Commission Implementing Regulation (EU) 2015/1998 of 5 November 2015 laying down detailed measures for the implementation of the common basic standards on aviation security (Text with EEA relevance)

The validation report shall consist of, for third country regulated agents, the declaration of commitments as set out in Attachment 6-H2 and the checklist set out in Attachment 6-C2, and for third country known consignors, the declaration of commitments as set out in Attachment 6-H3 and the checklist set out in Attachment 6-C4. The validation report shall also include a declaration by the EU aviation security validator, as set out in Attachment 11-A.

• 6.8.5.2 Once the EU aviation security validation according to point (b) of point 6.8.5.1 has been completed, the EU aviation security validator shall submit the validation report to the appropriate authority and provide the validated entity with a copy.

• 6.8.5.3 A compliance monitoring activity conducted by the appropriate authority of a Member State or by the Commission may be considered as an EU aviation security validation, provided that it covers all areas specified in the checklist set out in Attachment 6-C2 or 6-C4, as appropriate.

• 6.8.5.4 The ACC3 shall maintain a database giving at least the following information for each regulated agent or known consignor that has been subject to EU aviation security validation in accordance with point 6.8.5.1, from which it directly accepts cargo or mail for carriage into the Union:

• (a) the company details, including the bona fide business address; and

• (b) the nature of the business, excluding business sensitive information; and

• (c) contact details, including those of the person(s) responsible for security; and

• (d) the company registration number, if applicable; and

• (e) where available, the validation report; and

• (f) the unique alphanumeric identifier attributed in the Union database on supply chain security.

The database shall be available for inspection of the ACC3.

Other EU aviation security validated entities may maintain such a database.

6.8.6   Non-compliance and discontinuation of ACC3, RA3 and KC3 designation

6.8.6.1   Non-Compliance

• 1.Where the Commission or an appropriate authority identifies or receives written information about a serious deficiency relating to the operations of an ACC3, an RA3 or a KC3, which is deemed to have a significant impact on the overall level of aviation security in the Union, it shall:

• (a) inform the air carrier or entity concerned promptly, request comments and appropriate measures in respect to the serious deficiency;

• (b) promptly inform the other Member States and the Commission.

• The serious deficiency referred to in the first paragraph may be identified during either of the following activities:

• (1) during compliance monitoring activities;

• (2) during the examination of documentation including the EU aviation security validation report of other operators which are part of the supply chain of the ACC3, RA3 or KC3;

• (3) upon receipt of factual written information from other authorities and/or operators in respect of the activities of the concerned ACC3, RA3 or KC3, in form of documented evidence clearly indicating security breaches.

• 2.Where the ACC3, the RA3 or the KC3 has not rectified the serious deficiency within a specific time-frame, or in case the ACC3, the RA3 or the KC3 does not react to the request set out in point (a) of point 6.8.6.1, the authority, or the Commission shall:

• (a) deactivate the status as ACC3, RA3 or KC3 of the operator or entity in the Union database on supply chain security; or

• (b) request the appropriate authority responsible for the designation to deactivate the status as ACC3, RA3 or KC3 of the operator or entity in the Union database on supply chain security.

• In the situation referred to in the first paragraph, the authority, or the Commission, shall promptly inform the other Member States and the Commission.

• 3.An air carrier or entity whose status, respectively as an ACC3, RA3 or KC3, has been deactivated in accordance with point 6.8.6.1.2 shall not be reinstated or included in the Union database on supply chain security until an EU aviation security re-designation in accordance with 6.8.1 or 6.8.4 has taken place.

• 4.If an air carrier or an entity is no longer a holder of the ACC3, RA3 or KC3 status, the appropriate authorities shall undertake appropriate action to satisfy themselves that other ACC3s, RA3s and KC3s under their responsibility, operating in the supply chain of the air carrier or entity that has lost the status, still comply with the requirements of Regulation (EC) No 300/2008.

6.8.6.2   Discontinuation

• 1.The appropriate authority that designated the ACC3, the RA3 or the KC3, is responsible for removing the details thereof from the ‘Union database on supply chain security’:

• (a) at the request of or in agreement with the air carrier or the entity; or

• (b) where the ACC3, the RA3 or the KC3 does not pursue relevant cargo operations and does not react to a request for comments or otherwise obstructs the assessment of risk to aviation.

• 2.If an air carrier or an entity is no longer a holder of the ACC3, RA3 or KC3 status, the appropriate authorities shall undertake appropriate action to satisfy themselves that other ACC3s, RA3s and KC3s under their responsibility, operating in the supply chain of the air carrier or entity that has been discontinued, still comply with the requirements of Regulation (EC) No 300/2008.

6.8.7   Pre-Loading Advance Cargo Information (PLACI)

• 6.8.7.1Pursuant to Article 186 of Implementing Regulation (EU) 2015/2447, the PLACI shall be carried out before departure from a third country, upon receipt by the customs authority of the first point of entry, of the minimum dataset of the entry summary declaration referred to in Article 106(2) and (2a) of Commission Delegated Regulation (EU) 2015/2446 ([^E0008]).

• 6.8.7.2In the course of the PLACI and where there are reasonable grounds for the customs office of first entry to suspect that a consignment entering the customs territory of the Union by air could pose a serious threat to civil aviation, that consignment shall be treated as high risk cargo or mail (HRCM) in accordance with point 6.7.  An air carrier shall not load for carriage into the Union such consignment, unless the required measures as set out in points 6.8.7.3 and 6.8.7.4, as applicable, have been implemented satisfactorily.

• 6.8.7.3The air carrier, operator, entity or person in a third country other than those listed in Attachment 6-F and Iceland, shall, upon receipt of a notification from the customs office of first entry requiring a consignment to be treated as high risk cargo or mail (HRCM) in accordance with point 6.8.7.2:

• (a) implement in respect of the specific consignment, the security controls listed in points 6.7.3 and 6.7.4 of the Annex to Implementing Decision C(2015) 8005, in case of an ACC3 or an RA3 approved for the performance of such security controls;

• (b) ensure that an ACC3 or an RA3 approved for the performance of such security controls complies with the provisions laid down in point (a). Information to the customs office of first entry shall be provided in case the consignment is to be tendered or it has been tendered to another operator, entity or authority for the application of the security controls. Such other operator, entity or authority shall ensure the implementation of the security controls referred to in point (a) and confirm to the air carrier, operator, entity or person from which the consignment was received, both the implementation of such security controls and the results thereof;

• (c) confirm to the customs office of first entry both the implementation of the security controls referred to in point (a) and the results thereof.

• Points (a) and (b) of the first paragraph shall not apply in case the requested security controls have been previously implemented. However, should there be specific threat information that has only become available after the implementation of the previous security controls, the air carrier, operator, entity or person may be requested to repeat the security controls by using specific means and methods, and provide confirmation as set out in point (c) of the first paragraph. The air carrier, operator, entity or person may be made aware of any element and information necessary in order to effectively meet the security objective.

• 6.8.7.4Air carriers, operators, entities or persons in a third country listed in Attachment 6-F or in Iceland, that receive a notification from the customs office of first entry requiring a consignment to be treated as high risk cargo or mail (HRCM) in accordance with point 6.8.7.2, shall:

• (a) implement, in respect of the specific consignment, at least the security controls established by ICAO Annex 17 for High Risk Cargo or Mail ([^E0009]);

• (b) ensure that the requirements of point (a) are fulfilled by an operator, entity or authority approved by the relevant appropriate authority in the third country for the performance of such security controls. Information to the customs office of first entry shall be provided in case the consignment is to be tendered or it has been tendered to another operator, entity or authority for the application of the security controls. Such other operator, entity or authority shall ensure the implementation of the security controls referred to in point (a) and confirm to the air carrier, operator, entity or person from which the consignment was received, both the implementation of such security controls and the results thereof;

• (c) confirm to the customs office of first entry both the implementation of the security controls referred to in point (a) and the results thereof.

• Points (a) and (b) of the first paragraph shall not apply in case the requested security controls have been previously implemented. However, should there be specific threat information that has only become available after the implementation of the previous security controls, the air carrier, operator, entity or person may be requested to repeat the security controls by using specific means and methods, and provide confirmation as set out in point (c) of the first paragraph. The air carrier, operator, entity or person may be made aware of any element and information necessary in order to effectively meet the security objective.

• 6.8.7.5In the course of the PLACI and where there are reasonable grounds for the customs office of first entry to suspect that a consignment entering the customs territory of the Union by air poses a serious threat to security, leading it to issue a do not load notification, that consignment shall not be loaded on board of an aircraft, or off-loaded, as applicable.

• 6.8.7.6The air carrier, operator, entity or person in a third country that receives a notification from the customs office of first entry requiring a consignment not to be loaded on board of an aircraft in accordance with point 6.8.7.5, shall:

• (a) ensure that the consignment in its possession is not loaded on board an aircraft, or it is immediately off-loaded in case the consignment is already on board the aircraft;

• (b) provide confirmation that it has fulfilled the request to the customs office of first entry in the customs territory of the Union;

• (c) cooperate with the relevant authorities of the Member State of the customs office of first entry;

• (d) inform the appropriate authority for civil aviation security of the State where the air carrier, operator, entity or person receiving the notification is located and of the third country where the consignment is currently located, if different.

• 6.8.7.7Should the consignment be already with another air carrier, operator or entity along the supply chain, the air carrier, operator, entity or person receiving the do not load notification laid down in point 6.8.7.5 shall immediately inform such other air carrier, operator, entity or person that it shall:

• (a) ensure compliance with the provisions of points (a), (c) and (d) of point 6.8.7.6;

• (b) confirm the application of point (b) of point 6.8.7.6 to the air carrier, operator, entity or person that received the notification laid down in point 6.8.7.5.

• 6.8.7.8Should the aircraft be already airborne with a consignment on board for which the customs office of first entry had notified, pursuant to point 6.8.7.5, that a consignment must not be loaded, the air carrier, operator, entity or person receiving the notification shall immediately inform:

• (a) the relevant authorities of the Member State referred to in point (c) of point 6.8.7.6 for the purpose of informing and liaising with the relevant authorities of the Member State of first overflight in the Union;

• (b) the appropriate authority for civil aviation security of the third country where the air carrier, operator, entity or person receiving the notification is located and of the third country from which the flight has departed, if different.

• 6.8.7.9Following the notification received from the customs office of first entry that has issued a notification as laid down in point 6.8.7.5, the appropriate authority of the same Member State shall, as applicable, implement or ensure the implementation thereof, or cooperate in any subsequent actions, including the coordination with the authorities of the third country of departure and where applicable in the country or countries of transit and/or transfer, the relevant security contingency protocols in accordance with the Member State’s national civil aviation security programme and the international standards and recommended practices regulating crisis management and response to acts of unlawful interference.

• 6.8.7.10The air carrier, operator, entity or person in a third country that receives a notification issued by the customs authority of a third country implementing a Pre-Loading Advance Cargo Information scheme in adherence to the principles set out by the World Customs Organisation’s SAFE Framework of Standards, shall ensure the implementation of the requirements laid down in points 6.8.7.3 and 6.8.7.4 and in points 6.8.7.6, 6.8.7.7, 6.8.7.8.

• This point applies only in respect of consignments of cargo or mail fulfilling any of the criteria below:

• (a) they are carried for transit or transfer at a Union airport before reaching the final destination at an airport based in the third country of the notifying customs authority;

• (b) they are carried for transit or transfer at a Union airport before having another transit or transfer at an airport based in the third country of the notifying customs authority.

• For the purposes of the requirements set out in points 6.8.7.6(c) and 6.8.7.8(a), the air carrier, operator, entity or person receiving the notification in a third country, shall immediately inform the relevant authorities of the Member State of first landing in the Union.

• Should the aircraft be already airborne, the information shall be provided to the relevant authorities of the Member State of first overflight in the Union that shall ensure the implementation of the actions referred to in point 6.8.7.9, in coordination with the relevant authorities of the Member State of first landing in the Union.

• The relevant authorities of both the Member State of first overflight in the Union and of the Member State of first landing in the Union shall inform the respective customs authority.

ATTACHMENT 6-A

DECLARATION OF COMMITMENTS — REGULATED AGENT

In accordance with Regulation (EC) No 300/2008 of the European Parliament and of the Council ([^E0010]) on common rules in the field of civil aviation security and its implementing acts,

I declare that,

• — to the best of my knowledge, the information contained in the company's security programme is true and accurate,

• — the practices and procedures set out in this security programme will be implemented and maintained at all sites covered by the programme,

• — this security programme will be adjusted and adapted to comply with all future relevant changes to Union legislation, unless [name of company] informs [name of appropriate authority] that it no longer wishes to trade as a regulated agent,

• — [name of company] will inform [name of appropriate authority] in writing of: (a) minor planned changes to its security programme, such as company name, company address, person responsible for security or contact details, change of person requiring access to the ‘Union database on supply chain security’, promptly and at least within 7 working days before the planned change; and

(b) major planned changes, such as new screening procedures, major building works which might affect its compliance with relevant Union legislation or change of site/address, at least 15 working days prior to their commencement/the planned change,

• — in order to ensure compliance with relevant Union legislation, [name of company] will cooperate fully with all inspections, as required, and provide access to all documents, as requested by inspectors,

• — [name of company] will inform [name of appropriate authority] of any serious security breaches and of any suspicious circumstances which may be relevant to air cargo/air mail security, in particular any attempt to conceal prohibited articles in consignments,

• — [name of company] will ensure that all relevant staff receive training in accordance with Chapter 11 of the Annex to Implementing Regulation (EU) 2015/1998 and are aware of their security responsibilities under the company's security programme; and

• — [name of company] will inform [name of appropriate authority] if: (a) it ceases trading; (b) it no longer deals with air cargo/air mail; or (c) it can no longer meet the requirements of the relevant Union legislation.

I shall accept full responsibility for this declaration.

Name:

Position in company:

Date:

Signature:

ATTACHMENT 6-B

GUIDANCE FOR KNOWN CONSIGNORS

This guidance will help you to assess your existing security arrangements against the required criteria for known consignors as described in Regulation (EC) No 300/2008 of the European Parliament and of the Council ([^E0011]) and its implementing acts. This should enable you to ensure that you meet the requirements before arranging an official on-site validation visit.

It is important that the validator is able to talk to the right people during the validation visit (e.g. person responsible for security and person responsible for recruitment of staff). An EU checklist will be used to record the validator's assessments. Once the validation checklist is completed, the information contained in the checklist will be handled as classified information.

Please note that questions on the EU checklist are of two types: (1) those where a negative response will automatically mean that you cannot be accepted as a known consignor and (2) those which will be used to build up a general picture of your security provisions to allow the validator to reach an overall conclusion. The areas where a ‘fail’ will automatically be recorded are indicated by the requirements indicated in bold type below. If there is a ‘fail’ on the requirements indicated in bold type, the reasons will be given to you and advice on adjustments needed to pass.

If you are a holder of an AEO certificate referred to in point (b) or (c) of Article 14a(1) of Commission Regulation (EEC) No 2454/93 ([^E0012]) (so called AEOF and AEOS certificates) and if the site for which you are requesting the known consignor status has been successfully examined by customs authorities at a date not earlier than 3 years before the date of requesting the known consignor status, you are required to fill out and have signed by a legal representative of your company Part 1 concerning the organisation and responsibilities as well as the declaration of commitments of the ‘Validation checklist for known consignors’ as contained in attachment 6-C.

Introduction

The cargo must be originated by your company on the site to be inspected. This covers manufacture on the site and pick and pack operations where the items are not identifiable as air cargo until they are selected to meet an order. (See also Note.)

You will have to determine where a consignment of cargo/mail becomes identifiable as air cargo/air mail and demonstrate that you have the relevant measures in place to protect it from unauthorised interference or tampering. This will include details concerning the production, packing, storage and/or despatch.

Organisation and responsibilities

You will be required to provide details about your organisation (name, VAT or Chamber of Commerce number or Corporate registration number if applicable, AEO certificate number and the date of the last examination of this site by customs authorities, if applicable), address of the site to be validated and main address of organisation (if different from the site to be validated). The date of the previous validation visit and last unique alphanumeric identifier (if applicable) are required, as well as of the nature of the business, the approximate number of employees on site, name and title of the person responsible for air cargo/air mail security and contact details.

Staff recruitment procedure

You will be required to provide details of your recruitment procedures for all staff (permanent, temporary or agency staff, drivers) with access to identifiable air cargo/air mail. The recruitment procedure shall include a pre-employment check or a background check in accordance with point 11.1 of the Annex to Implementing Regulation (EU) 2015/1998. The on-site validation visit will involve an interview with the person responsible for the recruitment of staff. He/she will need to present evidence (e.g. blank forms) to substantiate the company procedures. This recruitment procedure shall apply to staff recruited after 29 April 2010.

Staff security training procedure

You will need to demonstrate that all staff (permanent, temporary or agency staff, drivers) with access to air cargo/air mail have received the appropriate training on security awareness matters. This training shall take place in accordance with point 11.2.7 of the Annex to Implementing Regulation (EU) 2015/1998. Individual training records should be kept on file. In addition, you will be required to show that all relevant staff implementing security controls have received training or recurrent training in accordance with Chapter 11 of the Annex to Implementing Regulation (EU) 2015/1998.

Physical security

You will be required to demonstrate how your site is protected (e.g. a physical fence or barrier) and that relevant access control procedures are in place. Where applicable, you will be required to provide details of any possible alarm- and/or CCTV system. It is essential that access to the area where air cargo/air mail is processed or stored, is controlled. All doors, windows and other points of access to air cargo/air mail need to be secured or subject to access control.

Production (where applicable)

You will need to demonstrate that access to the production area is controlled and the production process supervised. If the product can be identified as air cargo/air mail in the course of production then you will have to show that measures are taken to protect air cargo/air mail from unauthorised interference or tampering at this stage.

Packing (where applicable)

You will need to demonstrate that access to the packing area is controlled and the packing process supervised. If the product can be identified as air cargo/air mail in the course of packing then you will have to show that measures are taken to protect air cargo/air mail from unauthorised interference or tampering at this stage.

You will be required to provide details of your packing process and show that all finished goods are checked prior to packing.

You will need to describe the finished outer packing and demonstrate that it is robust. You also have to demonstrate how the finished outer packing is made tamper evident, for example by the use of numbered seals, security tape, special stamps or cardboard boxes fixed by a tape. You also need to show that you hold those under secure conditions when not in use and control their issue.

Storage (where applicable)

You will need to demonstrate that access to the storage area is controlled. If the product can be identified as air cargo/air mail while being stored then you will have to show that measures are taken to protect air cargo/air mail from unauthorised interference or tampering at this stage.

Finally, you will have to demonstrate that finished and packed air cargo/air mail is checked before despatch.

Despatch (where applicable)

You will need to demonstrate that access to the despatch area is controlled. If the product can be identified as air cargo/air mail in the course of despatch then you will have to show that measures are taken to protect air cargo/air mail from unauthorised interference or tampering at this stage.

Transportation

You will have to provide details concerning the method of transportation of cargo/mail to the regulated agent.

If you use your own transport, you will have to demonstrate that your drivers have been trained to the required level. If a contractor is used by your company, you will have to ensure that a) the air cargo/air mail is sealed or packed by you so as to ensure that any tampering would be evident and b) the haulier declaration as contained in Attachment 6-E of the Annex to Implementing Regulation (EU) 2015/1998 has been signed by the haulier.

If you are responsible for the transportation of air cargo/air mail, you will have to show that the means of transport are securable, either through the use of seals, if practicable, or any other method. Where numbered seals are used, you will have to demonstrate that access to the seals is controlled and numbers are recorded; if other methods are used you will have to show how cargo/mail is made tamper evident and/or kept secure. In addition you will need to show that there are measures in place to verify the identity of the drivers of vehicles collecting your air cargo/air mail. You will also need to show that you ensure that cargo/mail is secure when it leaves the premises. You will have to demonstrate that air cargo/air mail is protected from unauthorised interference during transportation.

You will not have to provide evidence about driver training or a copy of the haulier declaration where a regulated agent has made the transport arrangements for collecting air cargo/air mail from your premises.

Consignor's responsibilities

You will need to declare that you will accept unannounced inspections by the appropriate authority's inspectors for the purpose of monitoring these standards.

You will also need to declare to provide [name of appropriate authority] with the relevant details promptly but at least within 10 working days if:

• (a) the overall responsibility for security is assigned to anyone other than the person named

• (b) there are any other changes to premises or procedures likely to significantly impact on security

• (c) your company ceases trading, no longer deals with air cargo/air mail or can no longer meet the requirements of the relevant EU legislation.

Finally, you will need to declare to maintain standards of security until the subsequent on-site validation visit and/or inspection.

You will then be required to accept full responsibility for the declaration and to sign the validation document.

NOTES:

Explosive and incendiary devices

Assembled explosive and incendiary devices may be carried in consignments of cargo if the requirements of all safety rules are met in full.

Consignments from other sources

A known consignor may pass consignments which it has not itself originated to a regulated agent, provided that:

• (a) they are separated from consignments which it has originated; and

• (b) the origin is clearly indicated on the consignment or on accompanying documentation.

All such consignments must be screened before they are loaded on to an aircraft.

ATTACHMENT 6-C

VALIDATION CHECKLIST FOR KNOWN CONSIGNORS

Completion notes:

When completing this form please note that:

• — Items marked ‘(*)’ are required data and MUST be completed.

• — If the answer to any question in bold type is NO, the validation MUST be assessed as a FAIL. This does not apply where the questions do not apply.

• — The overall assessment can only be assessed as a PASS after the consignor has signed the declaration of commitments on the last page.

- — The original declaration of commitments must be retained by or made available to the appropriate authority until the validation expires. A copy of the declaration should also be given to the consignor.

PART 1

Organisation and responsibilities

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| --- | --- | | 1.1  Date of validation () | 1.1  Date of validation () | | dd/mm/yyyy | | | 1.2  Date of previous validation and Unique Identifier where applicable | 1.2  Date of previous validation and Unique Identifier where applicable | | dd/mm/yyyy | | | UNI | | | 1.3  Name of organisation to be validated () | 1.3  Name of organisation to be validated () | | Name VAT/Chamber of Commerce number/Corporate registration number (if applicable) | Name VAT/Chamber of Commerce number/Corporate registration number (if applicable) | | 1.4  Information on AEOF or AEOS certificate, where applicable | 1.4  Information on AEOF or AEOS certificate, where applicable | | AEO certificate number | | | Date when customs authorities have last examined this site | | | 1.5  Address of site to be validated () | 1.5  Address of site to be validated () | | Number/Unit/Building | | | Street | | | Town | | | Postcode | | | Country | | | 1.6  Main address of organisation (if different from site to be validated, provided that it is in the same country) | 1.6  Main address of organisation (if different from site to be validated, provided that it is in the same country) | | Number/Unit/Building | | | Street | | | Town | | | Postcode | | | Country | | | 1.7  Nature of Business(es) — types of cargo processed | 1.7  Nature of Business(es) — types of cargo processed | | 1.8  Is the applicant responsible for: | 1.8  Is the applicant responsible for: | | (a) Production (b) Packing (c) Storage (d) Dispatch (e) Other, please specify | | | 1.9  Approximate number of employees on site | | | 1.10  Name and title of person responsible for air cargo/air mail security () | 1.10  Name and title of person responsible for air cargo/air mail security () | | Name | | | Job title | | | 1.11  Contact telephone number | 1.11  Contact telephone number | | Tel. no. | | | 1.12  E-mail address () | 1.12  E-mail address () | | E-mail | |

PART 2

Identifiable air cargo/air mail

Aim: To establish the point (or: place) where cargo/mail becomes identifiable as air cargo/air mail.

• 2.1By inspection of the production, packing, storage, selection, despatch and any other relevant areas, ascertain where and how a consignment of air cargo/air mail becomes identifiable as such.

Describe:

NB: Detailed information should be given on the protection of identifiable air cargo/air mail from unauthorised interference or tampering in Parts 5 to 8.

PART 3

Staff recruitment and training

Aim: To ensure that all staff (permanent, temporary, agency staff, drivers) with access to identifiable air cargo/air mail have been subject to an appropriate pre-employment check and/or background check as well as trained in accordance with point 11.2.7 of the Annex to Implementing Regulation (EU) 2015/1998. In addition, to ensure that all staff implementing security controls in respect of supplies are trained in accordance with Chapter 11 of the Annex to Implementing Regulation (EU) 2015/1998.

Whether or not 3.1 and 3.2 are questions in bold type (and thus where a NO answer must be assessed as a fail) depends on the applicable national rules of the State where the site is located. However, at least one of these two questions shall be in bold type, whereby it should also be allowed that where a background has been carried out, then a pre-employment check is no longer required. The person responsible for implementing security controls shall always have a background check.

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| --- | --- | | 3.1  Is there a recruitment procedure for all staff with access to identifiable air cargo/air mail which includes a pre-employment check in accordance with point 11.1.4 of the Annex to Implementing Regulation (EU) 2015/1998? This applies to staff recruited after 29 April 2010. | 3.1  Is there a recruitment procedure for all staff with access to identifiable air cargo/air mail which includes a pre-employment check in accordance with point 11.1.4 of the Annex to Implementing Regulation (EU) 2015/1998? This applies to staff recruited after 29 April 2010. | | YES or NO | | | If YES, which type | | | 3.2  Does this recruitment procedure also include a background check, including a check on criminal records, in accordance with point 11.1.3 of the Annex to Implementing Regulation (EU) 2015/1998? This applies to staff recruited after 29 April 2010. | 3.2  Does this recruitment procedure also include a background check, including a check on criminal records, in accordance with point 11.1.3 of the Annex to Implementing Regulation (EU) 2015/1998? This applies to staff recruited after 29 April 2010. | | YES or NO | | | If YES, which type | | | 3.3  Does the appointment process for the named person responsible for the application and supervision of the implementation of security controls at the site include a requirement for a background check, including a check on criminal records in accordance with point 11.1.3 of the Annex to Implementing Regulation (EU) 2015/1998? | 3.3  Does the appointment process for the named person responsible for the application and supervision of the implementation of security controls at the site include a requirement for a background check, including a check on criminal records in accordance with point 11.1.3 of the Annex to Implementing Regulation (EU) 2015/1998? | | YES or NO | | | If YES, describe | | | | | | 3.4  Do staff with unsupervised access to identifiable air cargo/air mail and staff implementing security controls receive security training in accordance with point 11.2.3.9 before being given unsupervised access to identifiable air cargo/air mail? | 3.4  Do staff with unsupervised access to identifiable air cargo/air mail and staff implementing security controls receive security training in accordance with point 11.2.3.9 before being given unsupervised access to identifiable air cargo/air mail? | | | | | YES or NO | | | If YES, describe | | | 3.5  Do staff (as referred to above) receive refresher training in accordance with the frequency established for this training? | 3.5  Do staff (as referred to above) receive refresher training in accordance with the frequency established for this training? | | YES or NO | | | 3.6  Assessment — Are the measures sufficient to ensure that all staff with access to identifiable air cargo/air mail and staff implementing security controls have been properly recruited and trained in accordance with Chapter 11 of the Annex to Implementing Regulation (EU) 2015/1998? | 3.6  Assessment — Are the measures sufficient to ensure that all staff with access to identifiable air cargo/air mail and staff implementing security controls have been properly recruited and trained in accordance with Chapter 11 of the Annex to Implementing Regulation (EU) 2015/1998? | | YES or NO | | | If NO, specify reasons | |

PART 4

Physical security

Aim: To establish if there is a level of (physical) security on the site or at the premises sufficient to protect identifiable air cargo/air mail from unauthorised interference.

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| --- | --- | | 4.1  Is the site protected by a physical fence or barrier? | 4.1  Is the site protected by a physical fence or barrier? | | YES or NO | | | 4.2  Are all the access points to the site subject to access control? | 4.2  Are all the access points to the site subject to access control? | | YES or NO | | | 4.3  If YES, are the access points…? | 4.3  If YES, are the access points…? | | Staffed | | | Manual | | | Automatic | | | Electronic | Electronic | | Other, specify | Other, specify | | 4.4  Is the building of sound construction? | 4.4  Is the building of sound construction? | | YES or NO | | | 4.5  Does the building have an effective alarm system? | 4.5  Does the building have an effective alarm system? | | YES or NO | | | 4.6  Does the building have an effective CCTV system? | 4.6  Does the building have an effective CCTV system? | | YES or NO | | | 4.7  If yes, are the images of the CCTV recorded? | 4.7  If yes, are the images of the CCTV recorded? | | YES or NO | | | 4.8  Are all doors, windows and other points of access to identifiable air cargo/air mail secure or subject to access control? | 4.8  Are all doors, windows and other points of access to identifiable air cargo/air mail secure or subject to access control? | | YES or NO | | | 4.9  If no, specify reasons | 4.9  If no, specify reasons | | 4.10  Assessment: Are the measures taken by the organisation sufficient to prevent unauthorised access to those parts of the site and premises where identifiable air cargo/air mail is processed or stored? | 4.10  Assessment: Are the measures taken by the organisation sufficient to prevent unauthorised access to those parts of the site and premises where identifiable air cargo/air mail is processed or stored? | | YES or NO | | | If NO, specify reasons | |

PART 5

Production

Aim: To protect identifiable air cargo/air mail from unauthorised interference or tampering.

Answer these questions where the product could be identified as air cargo/air mail in the course of the production process.

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| --- | --- | | 5.1  Is access controlled to the production area? | 5.1  Is access controlled to the production area? | | YES or NO | | | 5.2  If YES, how? | 5.2  If YES, how? | | 5.3  Is the production process supervised? | 5.3  Is the production process supervised? | | YES or NO | | | 5.4  If YES, how? | 5.4  If YES, how? | | 5.5  Are controls in place to prevent tampering at the stage of production? | 5.5  Are controls in place to prevent tampering at the stage of production? | | YES or NO | | | If YES, describe | If YES, describe | | 5.6  Assessment: Are measures taken by the organisation sufficient to protect identifiable air cargo/air mail from unauthorised interference or tampering during production? | 5.6  Assessment: Are measures taken by the organisation sufficient to protect identifiable air cargo/air mail from unauthorised interference or tampering during production? | | YES or NO | | | If NO, specify reasons | |

PART 6

Packing

Aim: To protect identifiable air cargo/air mail from unauthorised interference or tampering.

Answer these questions where the product could be identified as air cargo/air mail in the course of the packing process.

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| --- | --- | | 6.1  Is the packing process supervised? | 6.1  Is the packing process supervised? | | YES or NO | | | 6.2  If YES, how? | 6.2  If YES, how? | | 6.3  Please describe the finished outer packaging: | 6.3  Please describe the finished outer packaging: | | (a) Is the finished outer packaging robust? | (a) Is the finished outer packaging robust? | | YES or NO Describe: | YES or NO Describe: | | (b) Is the finished outer packaging tamper evident? | (b) Is the finished outer packaging tamper evident? | | YES or NO | | | Describe: | | | 6.4 (a)  Are numbered seals, security tape, special stamps or cardboard boxes fixed by a tape used to make air cargo/air mail tamper evident? | 6.4 (a)  Are numbered seals, security tape, special stamps or cardboard boxes fixed by a tape used to make air cargo/air mail tamper evident? | | YES or NO | | | If YES: | | | 6.4 (b)  Are the seals, security tape or special stamps held under secure conditions when not in use? | 6.4 (b)  Are the seals, security tape or special stamps held under secure conditions when not in use? | | YES or NO | | | Describe: | | | 6.4 (c)  Is the issue of numbered seals, security tape, and/or stamps controlled? | 6.4 (c)  Is the issue of numbered seals, security tape, and/or stamps controlled? | | YES or NO | | | Describe: | | | 6.5  If the answer to 6.4 (a) is YES, how is this controlled? | 6.5  If the answer to 6.4 (a) is YES, how is this controlled? | | 6.6  Assessment: Are the packing procedures sufficient to protect identifiable air cargo/air mail from unauthorised interference and/or tampering? | 6.6  Assessment: Are the packing procedures sufficient to protect identifiable air cargo/air mail from unauthorised interference and/or tampering? | | YES or NO | | | If NO, specify reasons | |

PART 7

Storage

Aim: To protect identifiable air cargo/air mail from unauthorised interference or tampering.

Answer these questions where the product could be identified as air cargo/air mail in the course of the storage process.

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| --- | --- | | 7.1  Is the finished and packed air cargo/air mail stored securely and checked for tampering? | 7.1  Is the finished and packed air cargo/air mail stored securely and checked for tampering? | | YES or NO | | | 7.2  Assessment: Are the storage procedures sufficient to protect identifiable air cargo/air mail from unauthorised interference and/or tampering? | 7.2  Assessment: Are the storage procedures sufficient to protect identifiable air cargo/air mail from unauthorised interference and/or tampering? | | YES or NO | | | If NO, specify reasons | If NO, specify reasons |

PART 8

Despatch

Aim: To protect identifiable air cargo/air mail from unauthorised interference or tampering.

Answer these questions where the product could be identified as air cargo/air mail in the course of the despatch process.

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| --- | --- | | 8.1  Is access controlled to the despatch area? | 8.1  Is access controlled to the despatch area? | | YES or NO | | | 8.2  If YES, how? | 8.2  If YES, how? | | 8.3  Who has access to the despatch area? | 8.3  Who has access to the despatch area? | | Employees? | Employees? | | YES or NO | | | Drivers? | Drivers? | | YES or NO | | | Visitors? | Visitors? | | YES or NO | | | Contractors? | Contractors? | | YES or NO | | | 8.4  Assessment: Is the protection sufficient to protect the air cargo/air mail from unauthorised interference or tampering in the despatch area? | 8.4  Assessment: Is the protection sufficient to protect the air cargo/air mail from unauthorised interference or tampering in the despatch area? | | YES or NO | | | If NO, specify reasons | If NO, specify reasons |

PART 8A

Consignments from other sources

Aim: to establish the procedures for dealing with unsecured consignments.

Answer these questions only if consignments for carriage by air are being accepted from other companies.

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| --- | --- | | 8A.1  Does the company accept consignments of cargo intended for carriage by air from any other companies? | 8A.1  Does the company accept consignments of cargo intended for carriage by air from any other companies? | | YES OR NO | | | 8A.2  If YES, how are these kept separate from the company's own cargo and how are they identified to the regulated agent/haulier? | 8A.2  If YES, how are these kept separate from the company's own cargo and how are they identified to the regulated agent/haulier? |

PART 9

Transportation

Aim: To protect identifiable air cargo/air mail from unauthorised interference or tampering.

9.1  How is the air cargo/air mail conveyed to the regulated agent?	9.1  How is the air cargo/air mail conveyed to the regulated agent?
(a) By, or on behalf of, the regulated agent?	(a) By, or on behalf of, the regulated agent?
YES or NO
(b) Consignor's own transport?	(b) Consignor's own transport?
YES or NO
(c) Contractor used by the consignor?	(c) Contractor used by the consignor?
YES or NO
9.2  Where a contractor is used by the consignor: — is the air cargo/air mail being sealed or packed before transportation so as to ensure that any tampering would be evident? and — has the haulier declaration been signed by the haulier?	9.2  Where a contractor is used by the consignor: — is the air cargo/air mail being sealed or packed before transportation so as to ensure that any tampering would be evident? and — has the haulier declaration been signed by the haulier?
YES or NO
Only answer the following questions where 9.1(b) or 9.1(c) applies 9.3  Is the cargo compartment of the transport vehicle securable?	Only answer the following questions where 9.1(b) or 9.1(c) applies 9.3  Is the cargo compartment of the transport vehicle securable?
YES or NO
If YES, specify how…	If YES, specify how…
9.4 (a)  Where the cargo compartment of the transport vehicle is securable, are numbered seals used?	9.4 (a)  Where the cargo compartment of the transport vehicle is securable, are numbered seals used?
YES or NO
(b) Where numbered seals are used, is access to the seals controlled and the numbers recorded on issue?	(b) Where numbered seals are used, is access to the seals controlled and the numbers recorded on issue?
YES or NO
If YES, specify how…
9.5  Where the cargo compartment of the transport vehicle is not securable, is the air cargo/air mail tamper evident?	9.5  Where the cargo compartment of the transport vehicle is not securable, is the air cargo/air mail tamper evident?
YES or NO	YES or NO
9.6  If YES, describe tamper evidence employed.	9.6  If YES, describe tamper evidence employed.
9.7  If NO, how is it kept secure?	9.7  If NO, how is it kept secure?
9.8  Assessment: Are the measures sufficient to protect air cargo/air mail from unauthorised interference during transportation?	9.8  Assessment: Are the measures sufficient to protect air cargo/air mail from unauthorised interference during transportation?
YES or NO
If NO, specify reasons

DECLARATION OF COMMITMENTS

I declare that:

• — I will accept unannounced inspections by the appropriate authority's inspectors for the purpose of monitoring these standards. If the inspector discovers any serious lapses in security, this could lead to the withdrawal of my status as known consignor.

• — I will provide [name of appropriate authority] with the relevant details promptly but at least within 10 working days if: — the overall responsibility for security is assigned to anyone other than the person named at point 1.10; — there are any other changes to premises or procedures likely to significantly impact on security; and — the company ceases trading, no longer deals with air cargo/air mail or can no longer meet the requirements of the relevant Union legislation.

• — I will maintain standards of security until the subsequent on-site validation visit and/or inspection.

• — I shall accept full responsibility for this declaration.

Signed	Signed
Position in company

Assessment (and notification)

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| --- | --- | | Pass/Fail | | | Where the overall assessment is a fail, list below the areas where the consignor fails to achieve the required standard of security or has a specific vulnerability. Also advice on the adjustments needed to achieve the required standard and thus to pass. | Where the overall assessment is a fail, list below the areas where the consignor fails to achieve the required standard of security or has a specific vulnerability. Also advice on the adjustments needed to achieve the required standard and thus to pass. | | Signed | Signed | | (Name of validator) | (Name of validator) |

ATTACHMENT 6-C2

VALIDATION CHECKLIST FOR THIRD COUNTRY EU AVIATION SECURITY VALIDATED REGULATED AGENTS

Third country entities have the option to become part of an ACC3's (Air cargo or mail carrier operating into the Union from a third country airport) secure supply chain by seeking designation as a third country EU aviation security validated regulated agent (RA3). An RA3 is a cargo handling entity located in a third country that is validated and approved as such on the basis of an EU aviation security validation.

An RA3 shall ensure that security controls including screening where applicable have been applied to consignments bound for the Union and the consignments have been protected from unauthorised interference from the time that those security controls were applied and until the consignments are loaded onto an aircraft or are otherwise handed over to an ACC3 or other RA3.

The prerequisites for carrying air cargo or air mail into the Union ([^E0013]) or Iceland, Norway and Switzerland are provided for in Implementing Regulation (EU) 2015/1998.

The checklist is the instrument to be used by the EU aviation security validator for assessing the level of security applied to EU or EEA bound air cargo or air mail ([^E0014]) by or under the responsibility of the entity seeking designation as a RA3. The checklist is to be used only in the cases specified in point (b) of point 6.8.5.1 of the Annex to Implementing Regulation (EU) 2015/1998. In cases specified in point (a) of point 6.8.5.1 of that Annex, the EU aviation security validator shall use the ACC3 checklist.

A validation report shall be delivered to the designating appropriate authority and to the validated entity within a maximum of one month after the on-site verification. Integral parts of the validation report shall be at least:

• — the completed checklist signed by the EU aviation security validator and where applicable commented by the validated entity; and

• — the declaration of commitments (Attachment 6-H2 to Implementing Regulation (EU) 2015/1998) signed by the validated entity; and

• — an independence declaration (Attachment 11-A to Implementing Regulation (EU) 2015/1998) in respect of the entity validated signed by the EU aviation security validator.

Page numbering, the date of the EU aviation security validation and initialling on each page by the validator and the validated entity shall be the proof of the validation report's integrity.

The RA3 shall be able to use the report in its business relations with any ACC3 and where applicable, with any RA3.

By default the validation report shall be in English.

Part 5 — Screening and Part 6 — High risk cargo or mail (HRCM) shall be assessed against the requirements of Chapters 6.7 and 6.8 of the Annex to Implementing Regulation (EU) 2015/1998. For those parts that cannot be assessed against the requirements of Implementing Regulation (EU) 2015/1998, baseline standards are the Standards and Recommended Practices (SARPs) of Annex 17 to the Convention on International Civil Aviation and the guidance material contained in the ICAO Aviation Security Manual (Doc 8973-Restricted).

Completion notes:

• — All applicable and relevant parts of the checklist must be completed, in accordance with the business model and operations of the entity being validated. Where no information is available, this must be explained.

- — After each part, the EU aviation security validator shall conclude if and to what extent the objectives of this part are met.

PART 1

Identification of the entity validated and the validator

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| --- | --- | | 1.1.  Date(s) of validation | 1.1.  Date(s) of validation | | Use exact date format, such as from 01.10.2012 to 02.10.2012 | Use exact date format, such as from 01.10.2012 to 02.10.2012 | | dd/mm/yyyy | | | 1.2.  Date of previous validation where applicable | 1.2.  Date of previous validation where applicable | | dd/mm/yyyy | | | Previous RA3 registration number, where available | | | AEO certificate or C-TPAT status or other certifications, where available | | | 1.3.  Aviation security validator information | 1.3.  Aviation security validator information | | Name | | | Company/Organisation/Authority | | | Unique alphanumeric identifier (UAI) | | | Email address | | | Telephone number — including international codes | | | 1.4.  Name of entity | 1.4.  Name of entity | | Name | | | Company number (for example, commercial register identification number, if applicable) | | | Number/Unit/Building | | | Street | | | Town | | | Postcode | | | State (where relevant) | | | Country | | | P.O. Box address, if applicable | | | 1.5.  Main address of organisation (if different from site to be validated) | 1.5.  Main address of organisation (if different from site to be validated) | | Number/Unit/Building | | | Street | | | Town | | | Postcode | | | State (where relevant) | | | Country | | | P.O. Box address, if applicable | | | 1.6.  Nature of business — More than one business type may be applicable | 1.6.  Nature of business — More than one business type may be applicable | | (a) air cargo only (b) air and other modes of transport (c) freight forwarder with cargo premises (d) freight forwarder without cargo premises (e) handling agent (f) others | | | 1.7.  Does the applicant …? | 1.7.  Does the applicant …? | | (a) receive cargo from another 3rd country regulated agent | | | (b) receive cargo from 3rd country known consignors | | | (c) receive cargo from 3rd country account consignors | | | (d) receive exempted cargo | | | (e) screen cargo | | | (f) store cargo | | | (g) other, please specify | | | 1.8.  Approximate number of employees on site | 1.8.  Approximate number of employees on site | | Number | | | 1.9.  Name and title of person responsible for third country air cargo or air mail security | 1.9.  Name and title of person responsible for third country air cargo or air mail security | | Name | | | Job title | | | Email address | | | Telephone number — including international codes | |

PART 2

Organisation and responsibilities of the third country EU aviation security validated regulated agent

Objective: No air cargo or air mail shall be carried to the EU or EEA without being subject to security controls. Cargo and mail delivered by an RA3 to an ACC3 or another RA3 may only be accepted as secure cargo or mail if such security controls are applied by the RA3. Details of such controls are provided in the following Parts of this checklist.

The RA3 shall have procedures in place to ensure that appropriate security controls are applied to all EU or EEA bound air cargo and air mail and that secure cargo or mail is protected until being transferred to an ACC3 or another RA3. Security controls shall consist of one of the following:

• (a) physical screening which shall be of a standard sufficient to reasonably ensure that no prohibited articles are concealed in the consignment;

• (b) other security controls, part of a supply chain security process, that reasonably ensure that no prohibited articles are concealed in the consignment and which have been applied by another RA3, KC3 or AC3 designated by the RA3.

Reference: point 6.8.3 of the Annex to Implementing Regulation (EU) 2015/1998.

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| --- | --- | | 2.1.  Has the entity established a security programme? | 2.1.  Has the entity established a security programme? | | YES or NO | | | If NO go directly to point 2.5. | | | 2.2.  Entity security programme | 2.2.  Entity security programme | | Date — use exact format dd/mm/yyyy | | | Version | | | Is the security programme submitted and/or approved by the appropriate authority of the state of the entity? If YES please describe the process. | | | 2.3.  Does the security programme sufficiently cover the elements mentioned in parts 3 to 9 of the checklist? | 2.3.  Does the security programme sufficiently cover the elements mentioned in parts 3 to 9 of the checklist? | | YES or NO | | | If NO, describe why detailing the reasons | | | 2.4.  Is the security programme conclusive, robust and complete? | 2.4.  Is the security programme conclusive, robust and complete? | | YES or NO | | | If NO, specify the reasons | | | 2.5.  Has the entity established a process to ensure that air cargo or air mail is submitted to appropriate security controls before being transferred to an ACC3 or another RA3? | 2.5.  Has the entity established a process to ensure that air cargo or air mail is submitted to appropriate security controls before being transferred to an ACC3 or another RA3? | | YES or NO | | | If YES, describe the process | | | 2.6.  Has the entity a management system (such as instruments, instructions) in place to ensure that the required security controls are implemented? | 2.6.  Has the entity a management system (such as instruments, instructions) in place to ensure that the required security controls are implemented? | | YES or NO | | | If YES, describe the management system and explain if it is approved, checked or provided by the appropriate authority or another entity. | | | If NO, explain how the entity ensures that security controls are applied in the required manner. | | | 2.7.  Conclusions and general comments on the reliance, conclusiveness and robustness of the process. | 2.7.  Conclusions and general comments on the reliance, conclusiveness and robustness of the process. | | Comments from the entity | | | Comments from the EU aviation security validator | |

PART 3

Staff recruitment and training

Objective: To ensure the required security controls are applied, the RA3 shall assign responsible and competent staff to work in the field of securing air cargo or air mail. Staff with access to secured air cargo must possess all the competencies required to perform their duties and shall be appropriately trained.

To fulfil that objective, the RA3 shall have procedures in place to ensure that all staff (such as permanent, temporary, agency staff, drivers) with direct and unescorted access to air cargo or air mail to which security controls are being or have been applied:

• (a) have been subject to initial and recurrent pre-employment checks or background checks, which are at least in accordance with the requirements of the local authorities of the RA3 premises validated; and

- (b) have completed initial and recurrent security training to be aware of their security responsibilities in accordance with the requirements of the local authorities of the RA3 premises validated.

Note:

• — A background check means a check of a person's identity and previous experience, including where legally permissible, any criminal history as part of the assessment of an individual's suitability to implement a security control and/or for unescorted access to a security restricted area (ICAO Annex 17 definition).

• — A pre-employment check shall establish the person's identity on the basis of documentary evidence, cover employment, education and any gaps during at least the preceding five years, and require the person to sign a declaration detailing any criminal history in all states of residence during at least the preceding 5 years (Union definition).

Reference: point 6.8.3.1 of the Annex to Implementing Regulation (EU) 2015/1998.

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| --- | --- | | 3.1.  Is there a procedure ensuring that all staff with direct and unescorted access to secured air cargo/air mail is subject to a pre-employment check that assesses background and competence? | 3.1.  Is there a procedure ensuring that all staff with direct and unescorted access to secured air cargo/air mail is subject to a pre-employment check that assesses background and competence? | | YES or NO | | | If YES, indicate the number of preceding years taken into account for the pre-employment check and state which entity carries it out. | | | 3.2.  Does this procedure include? | 3.2.  Does this procedure include? | | □  background check □  pre-employment check □  check of criminal records □  interviews □  other (provide details) Explain the elements, indicate which entity carries this element out and where applicable, indicate the preceding timeframe that is taken into account. | | | 3.3.  Is there a procedure ensuring that the person responsible for the application and supervision of the implementation of security controls at the site is subject to a pre-employment check that assesses background and competence? | 3.3.  Is there a procedure ensuring that the person responsible for the application and supervision of the implementation of security controls at the site is subject to a pre-employment check that assesses background and competence? | | YES or NO | | | If YES, indicate the number of preceding years taken into account for the pre-employment check and state which entity carries it out. | | | 3.4.  Does this procedure include? | 3.4.  Does this procedure include? | | □  background check □  pre-employment check □  check of criminal records □  interviews □  other (provide details) Explain the elements, indicate which entity carries this element out and where applicable, indicate the preceding timeframe that is taken into account. | □  background check □  pre-employment check □  check of criminal records □  interviews □  other (provide details) Explain the elements, indicate which entity carries this element out and where applicable, indicate the preceding timeframe that is taken into account. | | 3.5.  Do staff with direct and unescorted access to secured air cargo or air mail receive security training before being given access to secured air cargo or air mail? | 3.5.  Do staff with direct and unescorted access to secured air cargo or air mail receive security training before being given access to secured air cargo or air mail? | | YES or NO | | | If YES, describe the elements and duration of the training | | | 3.6.  Do staff that accept, screen or protect air cargo or air mail receive specific job-related training? | 3.6.  Do staff that accept, screen or protect air cargo or air mail receive specific job-related training? | | YES or NO | | | If YES, describe the elements and durations of training courses. | | | 3.7.  Do staff referred to in points 3.5 and 3.6 receive recurrent training? | 3.7.  Do staff referred to in points 3.5 and 3.6 receive recurrent training? | | YES or NO | | | If YES, specify the elements and the frequency of the recurrent training | | | 3.8.  Conclusion: do the measures concerning staff recruitment and training ensure that all staff with access to secured air cargo or air mail have been properly recruited and trained to a standard sufficient to be aware of their security responsibilities? | 3.8.  Conclusion: do the measures concerning staff recruitment and training ensure that all staff with access to secured air cargo or air mail have been properly recruited and trained to a standard sufficient to be aware of their security responsibilities? | | YES or NO | | | If NO, specify reasons | | | Comments from the entity | | | Comments from the EU aviation security validator | |

PART 4

Acceptance procedures

Objective: The RA3 may receive cargo or mail from another RA3, a KC3, an AC3 or from an unknown consignor. The RA3 shall have appropriate acceptance procedures for cargo and mail in place in order to establish whether a consignment comes from a secure supply chain or not and subsequently which security measures need to be applied to it.

When accepting any consignments, the RA3 shall establish the status of the entity from which it receives the consignments verifying whether or not the unique alphanumeric identifier (UAI) of the entity delivering the consignments is indicated on the accompanying documentation, and confirming that the air carrier or entity delivering the consignment is listed as active in the Union database on supply chain security for the specified airport or site, as appropriate.

If there is no indication of the UAI on the documentation or if the status of the air carrier or entity on the Union database on supply chain security is not active, the RA3 shall treat the consignments as arriving from an unknown source.

Additionally, a RA3 shall maintain a database giving at least the following information for each regulated agent or known consignor that has been subject to EU aviation security validation in accordance with point 6.8.5.1, from which it directly accepts cargo or mail to be delivered to an ACC3 for carriage into the Union:

• (a) the company details, including the bona fide business address;

• (b) the nature of the business, excluding business sensitive information;

• (c) contact details, including those of the person(s) responsible for security;

• (d) the company registration number, if applicable;

• (e) where available, the validation report;

• (f) the unique alphanumeric identifier attributed in the Union database on supply chain security.

Reference: points 6.8.3.1, 6.8.3.5, and 6.8.5.4 of the Annex to Implementing Regulation (EU) 2015/1998.

Note: An RA3 may only accept cargo from an AC3 as secure cargo, if this RA3 has designated this consignor itself as AC3, in accordance with point (c) of point 6.8.3.1 of the Annex to Implementing Regulation (EU) 2015/1998, and accounts for the cargo delivered by this consignor.

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| --- | --- | | 4.1.  When accepting a consignment, does the entity establish whether it comes from another RA3, a KC3, an AC3 or an unknown consignor? | 4.1.  When accepting a consignment, does the entity establish whether it comes from another RA3, a KC3, an AC3 or an unknown consignor? | | YES or NO | | | If YES, how? | | | 4.2.  Does the entity verify the indication of the UAI on the documentation accompanying consignments received from another ACC3, RA3 or KC3 and confirms the active status of the ACC3, RA3 or KC3 on the Union database on supply chain security? | 4.2.  Does the entity verify the indication of the UAI on the documentation accompanying consignments received from another ACC3, RA3 or KC3 and confirms the active status of the ACC3, RA3 or KC3 on the Union database on supply chain security? | | YES or NO | | | 4.3.  Does the entity have a procedure to ensure that in case the documentation does not contain the UAI or the entity from which the cargo is received has no active status on the Union database on supply chain security, the consignment is treated as shipment coming from an unknown source? | 4.3.  Does the entity have a procedure to ensure that in case the documentation does not contain the UAI or the entity from which the cargo is received has no active status on the Union database on supply chain security, the consignment is treated as shipment coming from an unknown source? | | YES or NO | | | 4.4.  Does the entity designate consignors as AC3? | 4.4.  Does the entity designate consignors as AC3? | | YES or NO | | | If YES, describe the procedure and the safeguards required by the entity from the consignor. | | | 4.5.  When accepting a consignment, does the entity establish whether its destination is an EU or EEA airport? | 4.5.  When accepting a consignment, does the entity establish whether its destination is an EU or EEA airport? | | YES or NO — explain | | | 4.6.  If YES — does the entity submit all air cargo or air mail to the same security controls when the destination is an EU or EEA airport? | 4.6.  If YES — does the entity submit all air cargo or air mail to the same security controls when the destination is an EU or EEA airport? | | YES or NO | | | If YES, describe the procedure | | | 4.7.  When accepting a consignment, does the entity establish whether it is to be regarded as high risk cargo and mail (HRCM) (see definition in Part 6), including for consignments that are delivered by other modes of transport than by air? | 4.7.  When accepting a consignment, does the entity establish whether it is to be regarded as high risk cargo and mail (HRCM) (see definition in Part 6), including for consignments that are delivered by other modes of transport than by air? | | YES or NO | | | If YES, how? Describe the procedure | | | 4.8.  When accepting a secured consignment, does the validated entity establish whether it has been protected from unauthorised interference or tampering? | 4.8.  When accepting a secured consignment, does the validated entity establish whether it has been protected from unauthorised interference or tampering? | | YES or NO | | | If YES, describe by which means (for example, using seals, locks, inspection) | | | 4.9.  Is the person making the delivery required to present an official identification document containing a photo? | 4.9.  Is the person making the delivery required to present an official identification document containing a photo? | | YES or NO | | | 4.10.  Is there a process in place to identify consignments that require screening? | 4.10.  Is there a process in place to identify consignments that require screening? | | YES or NO | | | If YES, how? | | | 4.11.  Conclusion: Are the acceptance procedures sufficient to establish that air cargo or air mail to an EU or EEA airport destination comes from a secure supply chain or needs to be subject to screening? | 4.11.  Conclusion: Are the acceptance procedures sufficient to establish that air cargo or air mail to an EU or EEA airport destination comes from a secure supply chain or needs to be subject to screening? | | YES or NO | | | If NO, specify reasons | | | Comments from the entity | | | Comments from EU aviation security validator | |

PART 5

Screening