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)

List of persons and entities visited and interviewed

Providing the name of the entity, the name and the position of the contact person and the date of the visit or interview.

| Name of entity | Name of contact person | Position of contact person | Date of visit or interview |

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ATTACHMENT 6-C4

VALIDATION CHECKLIST FOR THIRD COUNTRY EU AVIATION SECURITY VALIDATED KNOWN CONSIGNOR

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 known consignor (KC3). A KC3 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.

A (KC3) shall ensure that security controls have been applied to consignments bound for the Union ([^E0017]) and the consignments have been protected from unauthorised interference from the time that those security controls were applied and until transferring to an ACC3 or a third country EU aviation security validated regulated agent (RA3).

The prerequisites for carrying air cargo or air mail into the Union (EU) or Iceland, Norway and Switzerland are required by 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 ([^E0018]) by or under the responsibility of the entity seeking designation as a KC3. 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 following:

• — 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-H3 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 KC3 shall be able to use the report in its business relations with any ACC3 and any RA3.

By default the validation report shall be in English.

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:

• (1)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.

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

PART 1

Organisation and responsibilities

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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 KC3 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 — Types of cargo processed | 1.6.  Nature of business — Types of cargo processed | | What is the nature of business(es) — type of cargo processed in the applicant's premises? | | | 1.7.  Is the applicant responsible for…? | 1.7.  Is the applicant responsible for…? | | (a) production (b) packing (c) storage (d) despatch (e) 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 known consignor

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 a KC3 to an ACC3 or RA3 may only be accepted as secure cargo or mail if such security controls are applied by the KC3. Details of such controls are provided by the following Parts of this checklist.

The KC3 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 a RA3. Security controls reasonably ensure that no prohibited articles are concealed in the consignment.

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 information | 2.2.  Entity security programme information | | Date — use exact format dd/mm/yyyy | | | Version | | | Is the security programme submitted to or approved by the appropriate authority of the state in which the entity is located? If YES, please describe the process. | | | 2.3.  Does the security programme sufficiently cover the elements mentioned in parts 4 to 11 of the checklist? | 2.3.  Does the security programme sufficiently cover the elements mentioned in parts 4 to 11 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 EU or EEA bound air cargo or air mail is submitted to appropriate security controls before being transferred to an ACC3 or an RA3? | 2.5.  Has the entity established a process to ensure that EU or EEA bound air cargo or air mail is submitted to appropriate security controls before being transferred to an ACC3 or an RA3? | | YES or NO | | | If YES, describe the process | | | 2.6.  Has the entity a management system (for example instruments, instructions) in place to ensure that the required security controls are implemented? | 2.6.  Has the entity a management system (for example 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 other 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

Identifiable air cargo or air mail

Objective: To establish the point or place where cargo or mail becomes identifiable as air cargo or air mail.

3.1.  By inspection of the production, packing, storage, selection, despatch and any other relevant areas, ascertain where and how a consignment of EU or EEA bound air cargo or air mail becomes identifiable as such.	3.1.  By inspection of the production, packing, storage, selection, despatch and any other relevant areas, ascertain where and how a consignment of EU or EEA bound air cargo or air mail becomes identifiable as such.
Describe
Comments from the entity
Comments from the EU aviation security validator

Please note that detailed information should be given on the protection of identifiable air cargo or air mail from unauthorised interference or tampering in Parts 6 to 9.

PART 4

Staff recruitment and training

Objective: In order to ensure that the required security controls are applied, the KC3 shall assign responsible and competent staff to work in the field of securing air cargo or air mail. Staff with access to identifiable air cargo shall possess all the competencies required to perform their duties and be appropriately trained.

In order to fulfil that objective, the KC3 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 KC3 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 KC3 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 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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| --- | --- | | 4.1.  Is there a procedure ensuring that all staff with access to identifiable air cargo or air mail is subject to a pre-employment check that assesses background check and competence? | 4.1.  Is there a procedure ensuring that all staff with access to identifiable air cargo or air mail is subject to a pre-employment check that assesses background check 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. | | | 4.2.  Does this procedure include? | 4.2.  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. | | | 4.3.  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? | 4.3.  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. | | | 4.4.  Does this procedure include? | 4.4.  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. | | | 4.5.  Do staff with access to identifiable air cargo/air mail receive training before being given access to identifiable air cargo or air mail? | 4.5.  Do staff with access to identifiable air cargo/air mail receive training before being given access to identifiable air cargo or air mail? | | YES or NO | | | If YES, describe the elements and duration of the training | | | 4.6.  Do staff referred to in point 4.5 receive recurrent training? | 4.6.  Do staff referred to in point 4.5 receive recurrent training? | | YES or NO | | | If YES, specify the elements and the frequency of the recurrent training | | | 4.7.  Conclusion: do measures concerning staff recruitment and training ensure that all staff with access to identifiable EU or EEA bound air cargo or air mail have been properly recruited and trained to a standard sufficient to be aware of their security responsibilities? | 4.7.  Conclusion: do measures concerning staff recruitment and training ensure that all staff with access to identifiable EU or EEA bound 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 5

Physical security

Objective: The KC3 shall have procedures in place to ensure identifiable air cargo or air mail bound for the EU or EEA is protected from unauthorised interference or any tampering. If such cargo or mail is not protected, it cannot be forwarded to an ACC3 or RA3 as secure cargo or mail.

The entity has to demonstrate how its site or its premises are protected and that relevant access control procedures are in place. It is essential that access to the area where identifiable air cargo or air mail is processed or stored, is controlled. All doors, windows and other points of access to secure EU or EEA bound air cargo or air mail need to be secured or subject to access control.

Physical security can be, but is not limited to:

• — physical obstacles such as fencing or barriers,

• — technology using alarms and/or CCTV systems,

• — human security such as staff dedicated to carry out surveillance activities.

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

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| --- | --- | | 5.1.  Are all access points to identifiable air cargo/air mail subject to access control and is access limited to authorised persons? | 5.1.  Are all access points to identifiable air cargo/air mail subject to access control and is access limited to authorised persons? | | YES or NO | | | If YES, how is access controlled? Explain and describe. Multiple answers may be possible. □  by security staff □  by other staff □  manual checking if persons are allowed to enter the area □  electronic access control systems □  other, specify | | | If YES, how is it ensured that a person is authorised to enter the area? Explain and describe. Multiple answers may be possible. — use of a company identification card — use of another type of identification card such as passport or driver's licence — list of authorised persons used by (security) staff — electronic authorisation, e.g. by use of a chip; — distribution of keys or access codes only to authorised personnel — other, specify | | | 5.2.  Are all access points to identifiable air cargo or air mail secured? This includes access points which are not permanent in use and points which are normally not used as access points, such as windows. | 5.2.  Are all access points to identifiable air cargo or air mail secured? This includes access points which are not permanent in use and points which are normally not used as access points, such as windows. | | YES or NO | | | If YES, how are these points secured? Explain and describe. Multiple answers may be possible. — presence of security staff — electronic access control systems which allow access to one person at a time — barriers, for example shutters or locks — CCTV system — intruder detection system | | | 5.3.  Are there additional measures to enhance the security of the premises in general? | 5.3.  Are there additional measures to enhance the security of the premises in general? | | YES or NO | | | If YES, explain and describe what they are □  fencing or barriers □  CCTV system □  intruder detection system □  surveillance and patrols □  other, specify | | | 5.4.  Is the building of solid construction? | 5.4.  Is the building of solid construction? | | YES or NO | | | 5.5.  Conclusion: Are the measures taken by the entity sufficient to prevent unauthorised access to those parts of the site and premises where identifiable EU or EEA bound air cargo or air mail is processed or stored? | 5.5.  Conclusion: Are the measures taken by the entity sufficient to prevent unauthorised access to those parts of the site and premises where identifiable EU or EEA bound air cargo or air mail is processed or stored? | | YES or NO | | | If NO, specify reasons | | | Comments from the entity | | | Comments from the EU aviation security validator | |

PART 6

Production

Objective: The KC3 shall have procedures in place to ensure identifiable air cargo or air mail bound for the EU or EEA is protected from unauthorised interference or any tampering during the production process. If such cargo or mail is not protected, it cannot be forwarded to an ACC3 or RA3 as secure cargo or mail.

The entity has to demonstrate that access to the production area is controlled and the production process is supervised. If the product becomes identifiable as EU or EEA bound air cargo or air mail in the course of production, the entity has to show that measures are taken to protect air or cargo or air mail from unauthorised interference or tampering from this stage.

Answer these questions where the product can be identified as EU or EEA bound air cargo/air mail in the course of the production process.

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| --- | --- | | 6.1.  Is access to the production area controlled and limited to authorised persons? | 6.1.  Is access to the production area controlled and limited to authorised persons? | | YES or NO | | | If YES, explain how the access is controlled and limited to authorised persons | | | 6.2.  Is the production process supervised? | 6.2.  Is the production process supervised? | | YES or NO | | | If YES, explain how it is supervised | | | 6.3.  Are controls in place to prevent tampering at the stage of production? | 6.3.  Are controls in place to prevent tampering at the stage of production? | | YES or NO | | | If YES, describe | | | 6.4.  Conclusion: Are measures taken by the entity sufficient to protect identifiable EU or EEA bound air cargo or air mail from unauthorised interference or tampering during production? | 6.4.  Conclusion: Are measures taken by the entity sufficient to protect identifiable EU or EEA bound air cargo or air mail from unauthorised interference or tampering during production? | | YES or NO | | | If NO, specify reasons | | | Comments from the entity | | | Comments from the EU aviation security validator | |

PART 7

Packing

Objective: The KC3 shall have procedures in place to ensure identifiable air cargo or air mail bound for the EU or EEA is protected from unauthorised interference or any tampering during the packing process. If such cargo or mail is not protected, it cannot be forwarded to an ACC3 or RA3 as secure cargo or mail.

The entity has to demonstrate that access to the packing area is controlled and the packing process is supervised. If the product becomes identifiable as EU or EEA bound air cargo or air mail in the course of packing, the entity has to show that measures are taken to protect air cargo/air mail from unauthorised interference or tampering from this stage. All finished goods need to be checked prior to packing.

Answer these questions where the product can be identified as EU or EEA bound air cargo/air mail in the course of the packing process.

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| --- | --- | | 7.1.  Is access to the packing area controlled and limited to authorised persons? | 7.1.  Is access to the packing area controlled and limited to authorised persons? | | YES or NO | | | If YES, explain how the access is controlled and limited to authorised persons | | | 7.2.  Is the packing process supervised? | 7.2.  Is the packing process supervised? | | YES or NO | | | If YES, explain how it is supervised | | | 7.3.  Are controls in place to prevent tampering at the stage of packing? | 7.3.  Are controls in place to prevent tampering at the stage of packing? | | YES or NO | | | If YES, describe | | | 7.4.  Describe the finished outer packaging: | 7.4.  Describe the finished outer packaging: | | (a) Is the finished outer packing robust? | (a) Is the finished outer packing robust? | | YES or NO | | | Describe | | | (b) Is the finished outer packaging tamper evident? | (b) Is the finished outer packaging tamper evident? | | YES or NO | | | If YES, describe which process is used to make the packaging tamper evident, for example by use of numbered seals, special stamps or security tape. | | | If NO, describe what protection measures that ensure the integrity of the consignments are taken. | | | 7.5.  Conclusion: Are measures taken by the entity sufficient to protect identifiable EU or EEA bound air cargo or air mail from unauthorised interference or tampering during packing? | 7.5.  Conclusion: Are measures taken by the entity sufficient to protect identifiable EU or EEA bound air cargo or air mail from unauthorised interference or tampering during packing? | | YES or NO | | | If NO, specify reasons | | | Comments from the entity | | | Comments from the EU aviation security validator | |

PART 8

Storage

Objective: The KC3 shall have procedures in place to ensure identifiable air cargo or air mail bound for the EU or EEA is protected from unauthorised interference or any tampering during storage. If such cargo or mail is not protected, it cannot be forwarded to an ACC3 or RA3 as secure cargo or mail.

The entity has to demonstrate that access to the storage area is controlled. If the product becomes identifiable as EU or EEA bound air cargo or air mail while being stored, the entity has to show that measures are taken to protect air cargo or air mail from unauthorised interference or tampering as from this stage.

Answer these questions where the product can be identified as EU or EEA bound air cargo/air mail in the course of the storage process.

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| --- | --- | | 8.1.  Is access to the storage area controlled and limited to authorised persons? | 8.1.  Is access to the storage area controlled and limited to authorised persons? | | YES or NO | | | If YES, explain how the access is controlled and limited to authorised persons | | | 8.2.  Is the finished and packed air cargo or air mail stored securely and checked for tampering? | 8.2.  Is the finished and packed air cargo or air mail stored securely and checked for tampering? | | YES or NO | | | If YES, describe | | | If NO, explain how the entity ensures that the finished and packed EU or EEA bound air cargo and air mail is protected against unauthorised interference and any tampering. | | | 8.3.  Conclusion: Are measures taken by the entity sufficient to protect identifiable EU or EEA bound air cargo or air mail from unauthorised interference or tampering during storage? | 8.3.  Conclusion: Are measures taken by the entity sufficient to protect identifiable EU or EEA bound air cargo or air mail from unauthorised interference or tampering during storage? | | YES or NO | | | If NO, specify reasons | | | Comments from the entity | | | Comments from the EU aviation security validator | |

PART 9

Despatch

Objective: The KC3 shall have procedures in place to ensure identifiable air cargo or air mail bound for the EU or EEA is protected from unauthorised interference or any tampering during the despatch process. If such cargo or mail is not protected, it must not be forwarded to an ACC3 or RA3 as secure cargo or mail.

The entity has to demonstrate that access to the despatch area is controlled. If the product becomes identifiable as EU or EEA bound air cargo or air mail in the course of despatch, the entity has to show that measures are taken to protect air cargo or air mail from unauthorised interference or tampering from this stage.

Answer these questions where the product can be identified as EU/EEA bound air cargo or air mail in the course of the despatch process.

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| --- | --- | | 9.1.  Is access to the despatch area controlled and limited to authorised persons? | 9.1.  Is access to the despatch area controlled and limited to authorised persons? | | YES or NO | | | If YES, explain how the access is controlled and limited to authorised persons | | | 9.2.  Who has access to the despatch area? Multiple answers may be possible. | 9.2.  Who has access to the despatch area? Multiple answers may be possible. | | □  employees of the entity □  drivers □  visitors □  contractors □  others, specify | | | 9.3.  Is the despatch process supervised? | 9.3.  Is the despatch process supervised? | | YES or NO | | | If YES, explain how it is supervised | | | 9.4.  Are controls in place to prevent tampering in the despatch area? | 9.4.  Are controls in place to prevent tampering in the despatch area? | | YES or NO | | | If YES, describe | | | 9.5.  Conclusion: Are measures taken by the entity sufficient to protect identifiable EU or EEA bound air cargo or air mail from unauthorised interference or tampering during the despatch process? | 9.5.  Conclusion: Are measures taken by the entity sufficient to protect identifiable EU or EEA bound air cargo or air mail from unauthorised interference or tampering during the despatch process? | | YES or NO | | | If NO, specify reasons | | | Comments from the entity | | | Comments from the EU aviation security validator | |

PART 10

Consignments from other sources

Objective: The KC3 shall have procedures in place to ensure that cargo or mail which it has not originated itself, shall not be forwarded to an ACC3 or an RA3 as secure cargo or mail.

A KC3 may pass consignments which it has not itself originated to a RA3 or an ACC3, provided that following conditions are met:

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

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

All such consignments must be screened by an RA3 or ACC3 before they are loaded onto an aircraft.

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| --- | --- | | 10.1.  Does the entity accept consignments of cargo or mail intended for carriage by air from any other entity? | 10.1.  Does the entity accept consignments of cargo or mail intended for carriage by air from any other entity? | | YES or NO | | | If YES, how are these consignments kept separate from the company's own cargo or mail and how are they identified to the regulated agent or haulier? | | | Comments from the entity | | | Comments from the EU aviation security validator. | |

PART 11

Documentation

Objective: The KC3 shall ensure that the documentation accompanying a consignment to which the KC3 has applied security controls (for example protection), contains at least:

• (a) the unique alphanumeric identifier received from the designating appropriate authority; and

• (b) the content of the consignment.

The documentation accompanying the consignment may either be in an electronic format or in writing.

Reference: point 6.8.3.4 of the Annex to Implementing Regulation (EU) 2015/1998

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| --- | --- | | 11.1.  Does the entity ensure that appropriate accompanying documentation is established, containing the UAI received from the designating appropriate authority and a description of the consignment? | 11.1.  Does the entity ensure that appropriate accompanying documentation is established, containing the UAI received from the designating appropriate authority and a description of the consignment? | | YES or NO | | | If NO, explain | | | 11.2.  Conclusion: Is the documentation process sufficient to ensure that cargo or mail is provided with proper accompanying documentation? | 11.2.  Conclusion: Is the documentation process sufficient to ensure that cargo or mail is provided with proper accompanying documentation? | | YES or NO | | | If NO, specify reason | | | Comments from the entity | | | Comments from EU aviation security validator | |

PART 12

Transportation

Objective: The KC3 shall have procedures in place in order to ensure identifiable air cargo or air mail bound for the EU or EEA is protected from unauthorised interference or any tampering during transportation. If such cargo or mail is not protected, it must not be accepted by an ACC3 or RA3 as secure cargo or mail.

During transportation, the KC3 is responsible for the protection of the secure consignments. This includes cases where the transportation is undertaken by another entity, such as a freight forwarder, on its behalf. This does not include cases whereby the consignments are transported under the responsibility of an ACC3 or RA3.

Answer these questions where the product can be identified as EU or EEA bound air cargo or air mail when transported.

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| --- | --- | | 12.1.  How is the air cargo or air mail conveyed to the ACC3 or RA3? | 12.1.  How is the air cargo or air mail conveyed to the ACC3 or RA3? | | (a) Validated entity's own transport? | (a) Validated entity's own transport? | | YES or NO | | | (b) ACC3's or RA3's transport? | (b) ACC3's or RA3's transport? | | YES or NO | | | (c) Contractor used by the validated entity? | (c) Contractor used by the validated entity? | | YES or NO | | | 12.2.  Is the air cargo or air mail tamper evidently packed? | 12.2.  Is the air cargo or air mail tamper evidently packed? | | YES or NO | | | If YES, how | | | 12.3.  Is the vehicle sealed or locked before transportation? | 12.3.  Is the vehicle sealed or locked before transportation? | | YES or NO | | | If YES, how | | | 12.4.  Where numbered seals are used, is access to the seals controlled and are the numbers recorded? | 12.4.  Where numbered seals are used, is access to the seals controlled and are the numbers recorded? | | YES or NO | | | If YES, specify how | | | 12.5.  If applicable, does the respective haulier sign the haulier declaration? | 12.5.  If applicable, does the respective haulier sign the haulier declaration? | | YES or NO | | | 12.6.  Has the person transporting the cargo been subject to specific security controls and awareness training before being authorised to transport secured air cargo or air mail, or both? | 12.6.  Has the person transporting the cargo been subject to specific security controls and awareness training before being authorised to transport secured air cargo or air mail, or both? | | YES or NO | | | If YES, please describe what kind of security controls (for example, pre-employment check, background check) and what kind of training (for example, security awareness training, etc.) | | | 12.7.  Conclusion: Are the measures sufficient to protect air cargo or air mail from unauthorised interference during transportation? | 12.7.  Conclusion: Are the measures sufficient to protect air cargo or air mail from unauthorised interference during transportation? | | YES or NO | | | If NO, specify reasons | | | Comments from the entity | | | Comments from the EU aviation security validator | |

PART 13

Compliance

Objective: After assessing the twelve previous parts of this checklist, the EU aviation security validator has to conclude whether its on-site verification confirms the implementation of the security controls in compliance with the objectives listed in this checklist for EU or EEA bound air cargo or air mail.

Two different scenarios are possible. The EU aviation security validator concludes that the entity:

• (1) has succeeded in complying with the objectives referred to in this 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;

• (2) has failed in complying with the objectives referred to in this checklist. In that case, the entity is not authorised to deliver air cargo or mail for EU or EEA destination to an ACC3 or RA3 without it being screened by an authorised party. It shall receive a copy of the completed checklist stating the deficiencies.

The EU aviation security validator has to keep in mind that the assessment is based on an overall objective-based compliance methodology.

12.1.  General conclusion: Indicate the scenario closest to the situation validated	12.1.  General conclusion: Indicate the scenario closest to the situation validated
1 or 2
Comments from EU aviation security validator
Comments from the entity

Name of the validator:

Date:

Signature:

ANNEX

List of persons and entities visited and interviewed

Providing the name of the entity, the name and the position of the contact person and the date of the visit or interview.

| Name of entity | Name of contact person | Position of contact person | Date of visit or interview |

---	---	---	---

ATTACHMENT 6-D

DECLARATION OF COMMITMENTS – APPROVED HAULIER

In accordance with Regulation (EC) No 300/2008 of the European Parliament and of the Council ([^E0022]) 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 the security programme will be implemented and maintained at all locations covered by the programme;

• — the 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 an approved haulier;

• — [name of company] will inform [name of appropriate authority] in writing of: (a) minor changes to its security programme, such as company name or person responsible for security or contact details, promptly and at least within 10 working days; (b) major planned changes, such as procedural changes that might affect its compliance with relevant Union or national legislation or change of site or address, at least 15 working days prior to their commencement or 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 or air mail security, in particular any attempt to conceal prohibited articles in consignments or interference with secure transport, or both;

• — [name of company] will ensure that all relevant staff receive training in accordance with Chapter 11 of the Annex to Commission Implementing Regulation (EU) 2015/1998 ([^E0023]) and are aware of their security responsibilities under the company’s security programme;

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

I accept full responsibility for this declaration.

Name:

Position in company:

Name and registered address of the company:

Date:

Signature:

ATTACHMENT 6-E

HAULIER DECLARATION

In accordance with Regulation (EC) No 300/2008 of the European Parliament and of the Council ()  and its implementing acts,

When collecting, carrying, storing and delivering air cargo/mail to which security controls have been applied [on behalf of name of regulated agent/air carrier applying security controls for cargo or mail/known consignor], I confirm that the following security procedures will be adhered to:

• — All staff who performs transport of cargo and mail will have received general security awareness training in accordance with point 11.2.7. Additionally, if such staff is also granted unsupervised access to cargo and mail to which the required security controls have been applied it will have received security training in accordance with point 11.2.3.9;

• — The integrity of all staff being recruited with access to this air cargo/mail will be verified. This verification shall include at least a check of the identity (if possible by photographic identity card, driving licence or passport) and a check of the curriculum vitae and/or provided references;

• — Load compartments in vehicles will be sealed or locked. Curtain sided vehicles will be secured with TIR cords. The load areas of flatbed trucks will be kept under observation when air cargo is being transported;

• — Immediately prior to loading, the load compartment will be searched and the integrity of this search maintained until loading is completed;

• — Each driver will carry an identity card, passport, driving licence or other document, containing a photograph of the person, which has been issued or recognised by the national authorities;

• — Drivers will not make unscheduled stops between collection and delivery. Where this is unavoidable, the driver will check the security of the load and the integrity of locks and/or seals on his return. If the driver discovers any evidence of interference, he will notify his supervisor and the air cargo/mail will not be delivered without notification at delivery;

• — Transport will not be subcontracted to a third party, unless the third party: (a) has a haulier agreement with the regulated agent or known consignor responsible for the transport [same name as above]; or

(b) is approved or certified by the appropriate authority; or

(c) has a haulier agreement with the undersigned haulier requiring that the third party will not subcontract further and implements the security procedures contained in this declaration. The undersigned haulier retains full responsibility for the entire transport on behalf of the regulated agent or known consignor; and

• — No other services (e.g. storage) will be sub-contracted to any other party other than a regulated agent or an entity that has been certified or approved and listed for the provision of these services by the appropriate authority.

I accept full responsibility for this declaration.

Name:

Position in company:

Name and address of the company:

Date:

Signature:

ATTACHMENT 6-F

CARGO AND MAIL

6-Fi

THIRD COUNTRIES, AS WELL AS OTHER COUNTRIES AND TERRITORIES TO WHICH, IN ACCORDANCE WITH ARTICLE 355 OF THE TREATY ON THE FUNCTIONING OF THE EUROPEAN UNION, TITLE VI OF PART THREE OF THAT TREATY DOES NOT APPLY, THAT ARE RECOGNISED AS APPLYING SECURITY STANDARDS EQUIVALENT TO THE COMMON BASIC STANDARDS ON CIVIL AVIATION SECURITY

As regards cargo and mail, the following third countries have been recognised as applying security standards equivalent to the common basic standards on civil aviation security:

Kingdom of Norway, in regard to Svalbard Airport

Montenegro

Republic of Serbia

United Kingdom of Great Britain and Northern Ireland

The Commission shall notify without delay the appropriate authorities of the Member States if it has information indicating that security standards applied by the third country or other country or territory concerned with a significant impact on overall levels of aviation security in the Union are no longer equivalent to the common basic standards of the Union.

The appropriate authorities of the Member States shall be notified without delay when the Commission has information about actions, including compensatory measures, confirming that the equivalency of relevant security standards applied by the third country or other country or territory concerned is re-established.

6-Fii

THIRD COUNTRIES, AS WELL AS OTHER COUNTRIES AND TERRITORIES TO WHICH, IN ACCORDANCE WITH ARTICLE 355 OF THE TREATY ON THE FUNCTIONING OF THE EUROPEAN UNION, TITLE VI OF PART THREE OF THAT TREATY DOES NOT APPLY, FOR WHICH ACC3 DESIGNATION IS NOT REQUIRED, ARE LISTED IN COMMISSION IMPLEMENTING DECISION C(2015)8005.

6-Fiii

VALIDATION ACTIVITIES OF THIRD COUNTRIES, AS WELL AS OF OTHER COUNTRIES AND TERRITORIES TO WHICH, IN ACCORDANCE WITH ARTICLE 355 OF THE TREATY ON THE FUNCTIONING OF THE EUROPEAN UNION, TITLE VI OF PART THREE OF THAT TREATY DOES NOT APPLY, THAT ARE RECOGNISED AS EQUIVALENT TO EU AVIATION SECURITY VALIDATION.

No provisions adopted yet.

ATTACHMENT 6-G

PROVISIONS RELATING TO THIRD COUNTRY CARGO AND MAIL

The ACC3 security programme shall set out, as applicable and either for each third country airport individually or as a generic document specifying any variations at named third country airports:

• (a) description of measures for air cargo and mail;

• (b) procedures for acceptance;

• (c) regulated agent scheme and criteria;

• (d) known consignor scheme and criteria;

• (e) account consignor scheme and criteria;

• (f) standard of screening;

• (g) location of screening;

• (h) details of screening equipment;

- (i) details of operator or service provider;

- (j) list of exemptions from security screening;

• (k) treatment of high risk air cargo and mail.

ATTACHMENT 6-H1

DECLARATION OF COMMITMENTS — EU AVIATION SECURITY VALIDATED ACC3

On behalf of [name of air carrier] I take note of the following:

This report establishes the level of security applied to EU or EEA bound air cargo operations in respect of the security standards listed in the checklist or referred to therein.

[name of air carrier] can only be designated ‘air cargo or mail carrier operating into the Union from a third country airport’ (ACC3) once an EU aviation security validation report has been submitted to and accepted by the appropriate authority of a Member State of the European Union or Iceland, Norway or Switzerland for that purpose, and the details of the ACC3 have been entered in the Union database on supply chain security.

If a non-compliance in the security measures the report refers to is identified by the appropriate authority of an EU Member State or by the European Commission, this could lead to the withdrawal of [name of air carrier] designation as ACC3 already obtained for this airport which will prevent [name of air carrier] transport air cargo or mail into the EU or EEA area from this airport.

The report is valid for five years and shall therefore expire on … at the latest.

On behalf of [air carrier] I declare that:

• (1) [name of air carrier] will accept appropriate follow-up action for the purpose of monitoring the standards confirmed by the report.

• (2) I will provide the designating appropriate authority with the relevant details promptly but at least within 15 days if:
• (a) any changes to [name of air carrier] security programme occur;
• (b) the overall responsibility for security is assigned to anyone other than the person named in point 1.7 of Attachment 6-C3 to Implementing Regulation (EU) 2015/1998;
• (c) there are any other changes to premises or procedures likely to significantly impact on security;
• (d) the air carrier ceases trading, no longer deals with air cargo or mail bound to the Union, or can no longer meet the requirements of the relevant Union legislation that have been validated in this report.

• (3) [name of air carrier] will maintain the security level confirmed in this report as compliant with the objective set out in the checklist and, where appropriate, implement and apply any additional security measures required to be designated ACC3 where security standards were identified as insufficient, until the subsequent validation of [name of air carrier] activities.

• (4) [name of air carrier] will inform the designating appropriate authority in case it is not able to request, obtain or ensure the application of appropriate security controls in respect of cargo or mail it accepts for carriage into the EU or EEA area, or it cannot exercise effective oversight on its supply chain.

On behalf of [name of air carrier] I accept full responsibility for this declaration.

Name:

Position in company:

Date:

Signature:

ATTACHMENT 6-H2

DECLARATION OF COMMITMENTS — THIRD COUNTRY EU AVIATION SECURITY VALIDATED REGULATED AGENT (RA3)

On behalf of [name of entity] I take note of the following:

This report establishes the level of security applied to EU or EEA bound air cargo operations in respect of the security standards listed in the checklist or referred to therein.

[Name of entity] can only be designated ‘third country EU aviation security validated regulated agent’ (RA3) once an EU aviation security validation report has been submitted to and accepted by the appropriate authority of a Member State of the European Union or Iceland, Norway or Switzerland for that purpose, and the details of the RA3 have been entered in the Union database on supply chain security.

If a non-compliance in the security measures the report refers to is identified by the appropriate authority of a Union Member State or by the European Commission, this could lead to the withdrawal of [name of entity] designation as a RA3 already obtained for this premises which will prevent [name of entity] from delivering secured air cargo or mail for EU or EEA destination to an ACC3 or another RA3.

The report is valid for three years and shall therefore expire on … at the latest.

On behalf of [name of entity] I declare that:

• (1) [name of entity] will accept appropriate follow-up action for the purpose of monitoring the standards confirmed by the report.

• (2) I will provide the designating appropriate authority with the relevant details promptly but at least within 15 days if:
• (a) any changes to [name of entity] security programme occur;
• (b) the overall responsibility for security is assigned to anyone other than the person named in point 1.9 of Attachment 6-C2 to Implementing Regulation (EU) 2015/1998;
• (c) there are any other changes to premises or procedures likely to significantly impact on security;
• (d) the company ceases trading, no longer deals with air cargo or mail bound to the European Union, or can no longer meet the requirements of the relevant Union legislation that have been validated in this report.

• (3) [name of entity] will maintain the security level confirmed in this report as compliant with the objective set out in the checklist and, where appropriate, implement and apply any additional security measures required to be designated RA3 where security standards were identified as insufficient, until the subsequent validation of [name of entity] activities.

• (4) [name of entity] will inform the ACC3s and RA3s to which it delivers secured air cargo and/or air mail if [name of entity] ceases trading, no longer deals with air cargo/air mail or can no longer meet the requirements validated in this report.

On behalf of [name of entity] I accept full responsibility for this declaration.

Name:

Position in company:

Date:

Signature:

ATTACHMENT 6-H3

DECLARATION OF COMMITMENTS — THIRD COUNTRY EU AVIATION SECURITY VALIDATED KNOWN CONSIGNOR (KC3)

On behalf of [name of entity] I take note of the following:

This report establishes the level of security applied to EU or EEA bound air cargo operations in respect of the security standards listed in the checklist or referred to therein.

[Name of entity] can only be designated ‘third country EU aviation security validated known consignor’ (KC3) once an EU aviation security validation report has been submitted to and accepted by the appropriate authority of a Member State of the European Union or Iceland, Norway or Switzerland for that purpose, and the details of the KC3 have been entered in the Union database on supply chain security.

If a non-compliance in the security measures the report refers to is identified by the appropriate authority of a Union Member State or by the European Commission, this could lead to the withdrawal of [name of entity] designation as a KC3 already obtained for this premises which will prevent [name of entity] from delivering secured air cargo or mail for EU or EEA destination to an ACC3 or an RA3.

The report is valid for three years and shall therefore expire on … at the latest.

On behalf of [name of entity] I declare that:

• (1) [name of entity] will accept appropriate follow-up action for the purpose of monitoring the standards confirmed by the report;

• (2) I will provide the designating appropriate authority with the relevant details promptly but at least within 15 days if:
• (a) any changes to [name of entity] security programme occur;
• (b) the overall responsibility for security is assigned to anyone other than the person named in point 1.9 of Attachment 6-C4 to Implementing Regulation (EU) 2015/1998;
• (c) there are any other changes to premises or procedures likely to significantly impact on security;
• (d) the company ceases trading, no longer deals with air cargo/mail bound to the European Union, or can no longer meet the requirements of the relevant Union legislation that have been validated in this report.

• (3) [name of entity] will maintain the security level confirmed in this report as compliant with the objective set out in the checklist and, where appropriate, implement and apply any additional security measures required to be designated KC3 where security standards were identified as insufficient, until the subsequent validation of [name of entity] activities.

• (4) [name of entity] will inform the ACC3s and RA3s to which it delivers secured air cargo and/or air mail if [name of entity] ceases trading, no longer deals with air cargo/air mail or can no longer meet the requirements validated in this report.

On behalf of [name of entity] I accept full responsibility for this declaration.

Name:

Position in company:

Date:

Signature:

ATTACHMENT 6-I

Provisions for high risk cargo are laid down in Commission Implementing Decision C(2015) 8005.

ATTACHMENT 6-J

Provisions for the use of screening equipment are laid down in Commission Implementing Decision C(2015) 8005.

ATTACHMENT 6-K

SECURITY PROGRAMME OF THE APPROVED HAULIER

Introduction

This template for approved haulier security programme is designed to help you describe and assess your existing security precautions based on the criteria for hauliers set out in point 6.5 of Implementing Regulation (EU) 2015/1998. It is intended to enable you to ensure that you meet the requirements before you are subject to an official verification.

The applicant shall submit a security programme to the appropriate authority concerned. The programme shall describe the methods and procedures which are to be followed by the haulier in order to comply with the requirements of Regulation (EC) No 300/2008 and its implementing acts.

The approved haulier security programme shall be protected from unauthorised access and only used on a company-internal basis, as it contains security-relevant information. All persons entrusted with aviation security tasks must have demonstrable knowledge of the content as well as the ability to apply it.

Instructions for completion:

- — If specified procedures do not apply to your operating site, that must be indicated in the approved haulier security programme.

- — Insofar as you make changes to a chapter of this security programme in the future, note the date of change of the respective chapter in the table of contents and submit the entire haulier security programme with the changes to the appropriate authority that has given your approval. In addition, changes to the approved haulier security programme must be highlighted in colour.

Table of contents Chapter Contents Date of the last modification 1 Contact details 2 Personnel 3 Transport and protection of air cargo and mail 4 Limited storage/transhipment of air cargo and mail 5 Internal quality assurance 6 Insider threat and security culture 7 Attachments: national requirements

CHAPTER 1

Contact details

1.1   Name, registered address and contact details of the haulier

Please indicate the name, full address and contact details (telephone, email address, etc.) of the company headquarters. Please note that your company will be approved under the official company name entered in the commercial register. Small or sole traders are approved as hauliers under their first and last names (as stated in the trade licence).

Please indicate the VAT/Chamber of Commerce number/Corporate registration number (as applicable).

1.2   Person responsible for the implementation of the security programme of the approved haulier (security manager)

Please indicate name and contact details (telephone, email address, etc.) of the person responsible for the compilation of the security programme, its implementation, and the compliance therewith.

1.3   Self-presentation of the company

Please provide detailed information on the specific business activities of your company, in particular:

• — the types of cargo you transport (e.g. live animals, perishable goods, dangerous goods, etc.);

• — whether or not you subcontract (or intend to subcontract) the transport of air cargo or air mail to which security controls have been applied to third parties (i.e. another approved haulier or regulated agent).

1.4   Operating sites (to be completed if not identical to 1.1)

• 1.4.1Please indicate:

• — the name and full address of all the operating sites in the Member State (if applicable);

• — the approximate number of employees on each operating site (at the time of establishing this security programme);

• — the type and approximate share of operations carried out on each operational site (as a percentage of the total).

• 1.4.2Please indicate:

- — the name and full address of all the operating sites in each Member State other than the approving Member State (if applicable);

- — the approximate number of employees on each operating site (at the time of establishing this security programme);

• — the type and approximate share of operations carried out on each operational site (as a percentage of the total).

CHAPTER 2

Personnel

The personnel recruitment procedure and training are carried out in accordance with Chapter 11 of the Annex to Implementing Regulation (EU) 2015/1998, as described below.

2.1   Recruitment

Please describe the personnel recruitment procedure in place and how it ensures compliance with points 11.1.8, 11.1.9 and 11.1.10 of the Annex to Implementing Regulation (EU) 2015/1998.

Recruitment and training records, including results of any assessment tests, must be kept for at least the duration of the contract. Please describe how your procedures ensure compliance with point 11.1.10 of the Annex to Implementing Regulation (EU) 2015/1998.

2.2   Background check

A successful enhanced background check is required for the person responsible for the implementation of the security programme of the approved haulier (security manager), as indicated in point 1.2.

A successful background check is required for persons having unescorted access to air cargo and mail to which the required security controls have been applied, as well as for persons implementing protection and any other security controls in respect of that air cargo and mail. Whether an enhanced or a standard background check has to be completed shall be determined by the appropriate authority approving the haulier in accordance with applicable national rules.

Please describe the background check procedure for the different categories of personnel and how the procedure ensures that the relevant staff has a valid background check at all times.

If a person fails a background check or the background check is withdrawn by the competent authority, the access and entry rights of the person are immediately withdrawn and this person will no longer be deployed for activities that require the successful completion of a background check. Please describe the relevant procedure applicable in such cases.

2.3.   Categories of personnel and training

The following categories of personnel exist and are subject to the relevant training specifications contained in the following points of the Annex to Implementing Regulation (EU) 2015/1998:

• — person responsible for the implementation of the security programme of the approved haulier (security manager): training in accordance with point 11.2.5;

• — personnel with unsupervised or unescorted access performing collection, carriage, limited storage and delivery of air cargo or air mail to which security controls have been applied: training in accordance with point 11.2.3.9;

• — personnel with supervised or escorted access performing collection, carriage, limited storage and delivery of air cargo or air mail to which security controls have been applied: training in accordance with point 11.2.7;

• — personnel with no access to air cargo or air mail to which security controls have been applied, involved in the transport or limited storage thereof: training in accordance with point 11.2.7.

Recurrent training of personnel must be carried out in accordance with point 11.4.3(a) of the Annex to Implementing Regulation (EU) 2015/1998.

The personnel includes both the company’s own personnel and personnel from service providers deployed at the operating site.

The approved haulier ensures that an up-to-date list of the personnel referred to in this point and the relevant training records are made available to the appropriate authority on request at any time.

Please describe the procedure and measures taken to ensure compliance with the requirements of this point at all times.

CHAPTER 3

Transport and protection of air cargo and mail

When collecting, transporting and delivering air cargo or air mail to which security controls have been applied, the haulier must ensure that it implements the requirements of point 6.5.2.1, 6.5.2.2 and 6.6 of the Annex to the Implementing Regulation (EU) 2015/1998 in its operations.

Please describe how the haulier ensures compliance with those legal provisions.

Please describe the actions implemented by the haulier where there is any reason to believe that a consignment to which security controls have been applied has been subject to an unlawful interference or has not been protected in accordance with point 6.6 of the Annex to Implementing Regulation (EU) 2015/1998, or both.

CHAPTER 4

Limited storage/Transhipment of air cargo and mail

In accordance with point 6.0.6 of the Annex to Implementing Regulation (EU) 2015/1998 ‘limited storage’ means the overall time strictly necessary for an approved haulier to perform the transhipment of cargo and mail from one means of transport onto the one used for the subsequent portion of the surface transport of that shipment.

During the limited storage the consignment shall be kept protected from unauthorised interference in accordance with points 6.5.2, 6.6.1 and 6.6.2 of the Annex to Implementing Regulation (EU) 2015/1998.

Please indicate whether or not the haulier performs limited storage operations. If applicable:

- — please describe all types and means of storage used at each of the locations where that applies (e.g. warehouse, container, etc.), the reasons for their use and the relevant procedures in place;

- — please explain how air cargo and mail to which security controls have been applied is protected from unauthorised interference during limited storage;

• — please describe the actions implemented by the haulier where there is any reason to believe that a consignment to which security controls have been applied has been subject to an unlawful interference or has not been protected in accordance with points 6.5.2, 6.6.1 and 6.6.2 of the Annex to Implementing Regulation (EU) 2015/1998, or both.

CHAPTER 5

Internal quality assurance conducted by the approved haulier

The approved haulier must carry out internal quality assurance regularly, in accordance with national requirements.

The approved haulier must indicate the person responsible for aviation security internal quality activities (if different from the person indicated in point 1.2).

The approved haulier must ensure that the statutory requirements for the protection of air cargo or air mail to which security controls have been applied are complied with and that the procedures described in the security programme are up to date. To that end, the haulier must draw up an internal quality report.

Please list and describe the quality control activities performed, ensuring that they include and cover the following:

• — scope and frequency of the quality control activities;

• — areas and items to be checked;

- — weighting of the individual deficiencies (e.g. minor, serious or very serious deficiency);

- — responsibilities for rectification of deficiencies and deadlines for completion, as well as any escalation procedures.

The approved haulier shall ensure that the records of aviation security internal quality activities are made available to the appropriate authority on request at any time.

CHAPTER 6

Insider threat and security culture

To combat and mitigate the threat of internal offenders (insider threat), the approved haulier must lay down appropriate internal regulations and related preventive measures to raise awareness and promote a culture of security.

To that end, the haulier implements preventive measures to identify insider threat and radicalization and to counter those threats, as well as systems for the assessment of incidents relevant to aviation security. The measures taken and the assessment systems are being continuously analysed and corrected, in accordance with the following:

- — please indicate name and contact details of the person (if different from the person indicated in point 1.2) or the function responsible for the coordination of those measures;

- — please indicate name and contact details of the person (if different from the person indicated in point 1.2) or the function responsible for assessing incoming reports and for initiating and coordinating the measures to be derived from them;

• — please describe the personnel awareness measures and information on the internal reporting system.

CHAPTER 7

Attachments: national requirements

Please include any information and policy or regulatory documents established at national level that the approved haulier shall comply with.

ATTACHMENT 6-L

VALIDATION CHECKLIST FOR APPROVED HAULIERS

Completion notes

When completing this checklist, please note that if the answer to any question presented in bold type is NO, the validation MUST be assessed as a FAIL, unless the question does not apply.

Please note that questions on this checklist are of two types: (1) those where a negative response will automatically mean that you cannot be accepted as an approved haulier and (2) those which will be used to build up a general picture of the security provisions of the haulier 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. If there is a ‘fail’ on the requirements indicated in bold type, the reasons will be given to the haulier, as well as advice on adjustments needed in order to pass.

PART 1

Organisation and responsibilities

1.1	Date of validation	Date of validation
	dd/mm/yyyy
1.2	Date of previous validation and unique alphanumeric identifier (UAI) where applicable	Date of previous validation and unique alphanumeric identifier (UAI) where applicable
	dd/mm/yyyy
	UAI
1.3	Name of organisation to be validated	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	Geographical scope of operations: Does the applicant have more than one site in the Member State from which it is seeking approval?	Geographical scope of operations: Does the applicant have more than one site in the Member State from which it is seeking approval?
YES or NO	YES or NO
If YES, list all the sites in this Member State	If YES, list all the sites in this Member State
Indicate for each site the approximate total number of: — all employees — the employees dealing with secure air cargo and mail — the type and share of operations carried out (as a percentage of the total)	Indicate for each site the approximate total number of: — all employees — the employees dealing with secure air cargo and mail — the type and share of operations carried out (as a percentage of the total)
1.5	Geographical scope of operations: Is the applicant also operating in Member State(s) other than the one from which it is seeking the approval?	Geographical scope of operations: Is the applicant also operating in Member State(s) other than the one from which it is seeking the approval?
YES or NO	YES or NO
If YES, list all sites in other Member States:	If YES, list all sites in other Member States:
Approximate number of employees on each site	Approximate number of employees on each site
Indicate the type and share of operations in each of the other Member States (as a percentage of the total)	Indicate the type and share of operations in each of the other Member States (as a percentage of the total)
1.6	Address of site(s) to be validated and reason for the selection in case of multiple sites. NB. this can also include site(s) in other Member State(s) [add rows as necessary]	Address of site(s) to be validated and reason for the selection in case of multiple sites. NB. this can also include site(s) in other Member State(s) [add rows as necessary]
	Reason for selection of the site
	Number/Unit/Building
	Street
	Town
	Postcode
	Country
1.7	Main address of organisation (if different from site to be validated) in the approving Member State	Main address of organisation (if different from site to be validated) in the approving Member State
	Number/Unit/Building
	Street
	Town
	Postcode
	Country
1.8	Name and title of person responsible for air cargo/air mail security	Name and title of person responsible for air cargo/air mail security
	Name
	Job title
1.9	Contact telephone number	Contact telephone number
Tel. no.	Tel. no.
1.10	Contact email address	Contact email address
Email	Email

PART 2

Staff recruitment and training

Aim: To ensure that all personnel required to do so have been subject to an appropriate background check as well as trained in accordance with Chapter 11 of the Annex to Implementing Regulation (EU) 2015/1998.