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)

Objective: Where the RA3 accepts cargo and mail which does not come from a secure supply chain, the RA3 needs to subject these consignments to appropriate screening before it may be delivered to an ACC3 as secure cargo. The RA3 shall have procedures in place to ensure that EU or EEA bound air cargo and air mail for transfer, transit or unloading at a Union airport is screened by the means or methods referred to in Union legislation to a standard sufficient to reasonably ensure that it contains no prohibited articles.

Where screening of air cargo or air mail is performed by or on behalf of the appropriate authority in the third country, the RA3 shall declare this fact and specify the way adequate screening is ensured.

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

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| --- | --- | | 5.1.  Is screening applied on behalf of the entity by another entity? | 5.1.  Is screening applied on behalf of the entity by another entity? | | YES or NO | | | If YES, Specify the nature of these entities and provide details: — private screening company; — government regulated company; — government screening facility or body; — other Specify the nature of the agreement or contract between the validated entity and the entity that applies the screening on its behalf. | | | 5.2.  Is the entity able to request the appropriate security controls in case the screening is carried out by one of the above entities? | 5.2.  Is the entity able to request the appropriate security controls in case the screening is carried out by one of the above entities? | | YES or NO | | | If NO, provide details | | | 5.3.  By which instruments and instructions (such as oversight, monitoring, and quality control) does the entity ensure that security controls are applied in the required manner by such service providers? | 5.3.  By which instruments and instructions (such as oversight, monitoring, and quality control) does the entity ensure that security controls are applied in the required manner by such service providers? | | | | | 5.4.  What methods of screening are used for air cargo and mail? | 5.4.  What methods of screening are used for air cargo and mail? | | Specify, including details of equipment used for screening air cargo and air mail (such as manufacturer, type, software version, standard, serial number) for all the methods deployed. | | | 5.5.  Is the equipment or method (such as explosive detection dogs) used included in the most recent EU, European Civil Aviation Conference (ECAC) or the Transportation Security Administration (TSA) of the US compliance list? | 5.5.  Is the equipment or method (such as explosive detection dogs) used included in the most recent EU, European Civil Aviation Conference (ECAC) or the Transportation Security Administration (TSA) of the US compliance list? | | YES or NO | | | If YES, provide details | | | If NO, give details specifying the approval of the equipment and date thereof, as well as any indications that it complies with EU equipment standards. | | | 5.6.  Is the equipment used in accordance with the manufacturers' concept of operations (CONOPS) and is the equipment regularly tested and maintained? | 5.6.  Is the equipment used in accordance with the manufacturers' concept of operations (CONOPS) and is the equipment regularly tested and maintained? | | YES or NO | | | If YES, describe the process | | | 5.7.  In case EDDs are deployed, are they subjected to initial and recurrent training, approval and quality control process to a standard equivalent to the EU or TSA requirements? | 5.7.  In case EDDs are deployed, are they subjected to initial and recurrent training, approval and quality control process to a standard equivalent to the EU or TSA requirements? | | YES or NO | | | If YES, describe the entire process and the related documentation supporting the assessment | | | 5.8.  In case EDDs are used, is the screening process following a deployment methodology equivalent to EU or TSA standards? | 5.8.  In case EDDs are used, is the screening process following a deployment methodology equivalent to EU or TSA standards? | | YES or NO | | | If YES, describe the entire process and the related documentation supporting the assessment | | | 5.9.  Is the nature of the consignment taken into consideration during screening? | 5.9.  Is the nature of the consignment taken into consideration during screening? | | YES or NO | | | If YES, describe how it is ensured that the screening method selected is employed to a standard sufficient to reasonably ensure that no prohibited articles are concealed in the consignment. | | | 5.10.  Is there a process for the resolution of the alarm generated by the screening equipment? For some equipment, such as x-ray equipment, the alarm is triggered by the operator himself. | 5.10.  Is there a process for the resolution of the alarm generated by the screening equipment? For some equipment, such as x-ray equipment, the alarm is triggered by the operator himself. | | YES or NO | | | If YES, describe the process of resolving alarms to reasonably ensure the absence of prohibited articles. | | | If NO, describe what happens to the consignment | | | 5.11.  Are any consignments exempt from security screening? | 5.11.  Are any consignments exempt from security screening? | | YES or NO | | | 5.12.  Are there any exemptions that do not comply with the Union list? | 5.12.  Are there any exemptions that do not comply with the Union list? | | YES or NO | | | If YES, detail | | | 5.13.  Is access to the screening area controlled to ensure that only authorised and trained staff are granted access? | 5.13.  Is access to the screening area controlled to ensure that only authorised and trained staff are granted access? | | YES or NO | | | If YES, describe | | | 5.14.  Is an established quality control and/or testing regime in place? | 5.14.  Is an established quality control and/or testing regime in place? | | YES or NO | | | If YES, describe | | | 5.15.  Conclusion: Is air cargo or air mail screened by one of the means or methods listed in point 6.2.1 of the Annex to Implementing Regulation (EU) 2015/1998 to a standard sufficient to reasonably ensure that it contains no prohibited articles? | 5.15.  Conclusion: Is air cargo or air mail screened by one of the means or methods listed in point 6.2.1 of the Annex to Implementing Regulation (EU) 2015/1998 to a standard sufficient to reasonably ensure that it contains no prohibited articles? | | YES or NO | | | If NO, specify reason | | | Comments from the entity | | | Comments from the EU aviation security validator | |

PART 6

High Risk Cargo or Mail

Objective: Consignments which originate from or transfer in locations identified as high risk by the Union or which appear to have been significantly tampered with are to be considered as high risk cargo and mail (HRCM). Such consignments have to be screened in line with specific instructions. The RA3 shall have procedures in place to ensure that EU or EEA bound HRCM is identified and subject to appropriate controls as defined in the Union legislation.

The ACC3 to which the RA3 delivers air cargo or mail for transportation shall be authorised to inform the RA3 about the latest state of relevant information on high risk origins.

The RA3 shall apply the same measures, irrespective of whether it receives high risk cargo and mail from an air carrier or through other modes of transportation.

Reference: point 6.7 of the Annex to Implementing Regulation (EU) 2015/1998.

Note: HRCM cleared for carriage into the EU/EEA shall be issued the security status ‘SHR’, meaning secure for passenger, all-cargo and all-mail aircraft in accordance with high risk requirements.

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| --- | --- | | 6.1.  Do staff responsible for performing security controls know which air cargo and mail is to be treated as high risk cargo and mail (HRCM)? | 6.1.  Do staff responsible for performing security controls know which air cargo and mail is to be treated as high risk cargo and mail (HRCM)? | | YES or NO | | | If YES, describe | | | 6.2.  Does the entity have procedures in place for the identification of HRCM? | 6.2.  Does the entity have procedures in place for the identification of HRCM? | | YES or NO | | | If YES, describe | | | 6.3.  Is HRCM subject to HRCM screening procedures according to Union legislation? | 6.3.  Is HRCM subject to HRCM screening procedures according to Union legislation? | | YES or NO | | | If NO, indicate procedures applied | | | 6.4.  After screening, does the entity issue a security status declaration for SHR in the documentation accompanying the consignment? | 6.4.  After screening, does the entity issue a security status declaration for SHR in the documentation accompanying the consignment? | | YES or NO | | | If YES, describe how security status is issued and in which document | | | 6.5.  Conclusion: Is the process put in place by the entity relevant and sufficient to ensure that all HRCM has been properly treated before loading? | 6.5.  Conclusion: Is the process put in place by the entity relevant and sufficient to ensure that all HRCM has been properly treated before loading? | | YES or NO | | | If NO, specify reason | | | Comments from the entity | | | Comments from EU aviation security validator | |

PART 7

Protection of secured air cargo and mail

Objective: The RA3 shall have procedures in place to ensure EU or EEA bound air cargo and/or air mail is protected from unauthorised interference and/or any tampering from the point where security screening or other security controls are applied or from the point of acceptance after screening or security controls have been applied, until loading or transferring to an ACC3 or another RA3. If previously secured air cargo and mail is not protected afterwards, it may not be loaded or transferred to an ACC3 or another RA3 as secure cargo or mail.

Protection can be provided by different means such as physical (for example barriers, locked rooms), human (for example patrols, trained staff) and technological (for example CCTV, intrusion alarm).

EU or EEA bound secured air cargo or mail should be separated from air cargo or mail which is not secured.

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

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| --- | --- | | 7.1.  Is protection of secured air cargo and air mail applied on behalf of the validated entity by another entity? | 7.1.  Is protection of secured air cargo and air mail applied on behalf of the validated entity by another entity? | | YES or NO | | | If YES, Specify the nature of these entities and provide details: — private screening company; — government regulated company; — government screening facility or body; — other | | | 7.2.  Are security controls and protection in place to prevent tampering during the screening process? | 7.2.  Are security controls and protection in place to prevent tampering during the screening process? | | YES or NO | | | If YES, describe Specify what kind(s) of protection(s) are put in place: — physical (for example fence, barrier, building of solid construction), — human (for example patrols etc.), — technological (for example CCTV, alarm system). Explain how they are organised. | | | 7.3.  Is the secure air cargo/air mail only accessible to authorised persons? | 7.3.  Is the secure air cargo/air mail only accessible to authorised persons? | | YES or NO | | | If YES, describe Specify how all access points (including doors and windows) to identifiable and secured air cargo or air mail are controlled. | | | 7.4.  Are there procedures in place to ensure EU or EEA bound air cargo or air mail to which security controls have been applied are protected from unauthorised interference from the time it has been secured until its loading or is transferred to an ACC3 or another RA3? | 7.4.  Are there procedures in place to ensure EU or EEA bound air cargo or air mail to which security controls have been applied are protected from unauthorised interference from the time it has been secured until its loading or is transferred to an ACC3 or another RA3? | | YES or NO | | | If YES, describe how it is protected (for example by physical, human, technological means) Specify also if the building is of solid construction and what kinds of materials are used, if available. | | | If NO, specify reasons | | | 7.5.  Conclusion: Is the protection of consignments sufficiently robust to prevent unlawful interference? | 7.5.  Conclusion: Is the protection of consignments sufficiently robust to prevent unlawful interference? | | YES or NO | | | If NO, specify reason | | | Comments from the entity | | | Comments from EU aviation security validator | |

PART 8

Documentation

Objective: The RA3 shall ensure that the documentation accompanying a consignment to which the RA3 has applied security controls (such as screening, protection), contains at least:

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

• (b) the unique identifier of the consignment, such as the number of the (house or master) air waybill, when applicable; and

• (c) the content of the consignment; and

• (d) the security status, indicated as follows:
• — ‘SPX’, which means secure for passenger, all-cargo and all-mail aircraft, or
• — ‘SCO’, which means secure for all-cargo and all-mail aircraft only, or
• — ‘SHR’, which means secure for passenger, all-cargo and all-mail aircraft in accordance with high risk requirements.

If the security status is issued by the RA3, the entity shall additionally indicate the reasons for issuing it, such as the means or method of screening used or the grounds for exempting the consignment from screening, using the standards adopted in the Consignment Security Declaration scheme.

The documentation accompanying the consignment may either be in the form of an air waybill, equivalent postal documentation or in a separate declaration, and either in an electronic format or in writing.

Reference: point (d) of point 6.3.2.6, points 6.8.3.4, 6.8.3.5 and 6.8.3.6 of the Annex to Implementing Regulation (EU) 2015/1998

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| --- | --- | | 8.1.  Does the entity ensure that appropriate accompanying documentation is established, and include the information required in point (d) of point 6.3.2.6, points 6.8.3.4, 6.8.3.5 and 6.8.3.6 of the Annex to Implementing Regulation (EU) 2015/1998? | 8.1.  Does the entity ensure that appropriate accompanying documentation is established, and include the information required in point (d) of point 6.3.2.6, points 6.8.3.4, 6.8.3.5 and 6.8.3.6 of the Annex to Implementing Regulation (EU) 2015/1998? | | YES or NO | | | If NO, explain | | | 8.2.  In particular, does the entity specify the status of the cargo and how this was achieved? | 8.2.  In particular, does the entity specify the status of the cargo and how this was achieved? | | YES or NO | | | If NO, explain | | | 8.3.  Conclusion: Is the documentation process sufficient to ensure that cargo or mail is provided with proper accompanying documentation which specifies the correct security status and all required information? | 8.3.  Conclusion: Is the documentation process sufficient to ensure that cargo or mail is provided with proper accompanying documentation which specifies the correct security status and all required information? | | YES or NO | | | If NO, specify reason | | | Comments from the entity | | | Comments from EU aviation security validator | |

PART 9

Transportation

Objective: Air cargo and air mail must be protected from unauthorised interference or tampering from the time it has been secured until its loading or until it is transferred to an ACC3 or another RA3. This includes protection during transportation to the aircraft, to the ACC3 or to another RA3. If previously secured air cargo and mail is not protected during transportation, it may not be loaded or transferred to an ACC3 or another RA3 as secure cargo.

During transportation to an aircraft, an ACC3 or another RA3, the RA3 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 another RA3.

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

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| --- | --- | | 9.1.  How is the air cargo or air mail conveyed to the ACC3 or to another RA3? | 9.1.  How is the air cargo or air mail conveyed to the ACC3 or to another RA3? | | (a) Validated entity's own transport? | (a) Validated entity's own transport? | | YES or NO | | | (b) Other RA3'sor ACC3's transport? | (b) Other RA3'sor ACC3's transport? | | YES or NO | | | (c) Contractor used by the validated entity? | (c) Contractor used by the validated entity? | | YES or NO | | | 9.2.  Is the air cargo or air mail tamper evidently packed? | 9.2.  Is the air cargo or air mail tamper evidently packed? | | YES or NO | | | If YES, how | | | 9.3.  Is the vehicle sealed or locked before transportation? | 9.3.  Is the vehicle sealed or locked before transportation? | | YES or NO | | | If YES, how | | | 9.4.  Where numbered seals are used, is access to the seals controlled and are the numbers recorded? | 9.4.  Where numbered seals are used, is access to the seals controlled and are the numbers recorded? | | YES or NO | | | If YES, specify how | | | 9.5.  If applicable, does the respective haulier sign the haulier declaration? | 9.5.  If applicable, does the respective haulier sign the haulier declaration? | | YES or NO | | | 9.6.  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? | 9.6.  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 (such as pre-employment check, background check) and what kind of training (such as security awareness training). | | | 9.7.  Conclusion: Are the measures sufficient to protect air cargo or air mail from unauthorised interference during transportation? | 9.7.  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 EU aviation security validator | |

PART 10

Compliance

Objective: After assessing Parts 1 to 9 of this checklist, the EU aviation security validator has to conclude if its on-site verification confirms the implementation of the security controls in compliance with the objectives listed in this checklist for the 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;

• 1. has failed in complying with the objectives referred to in this checklist. In that case, the entity is not authorised to deliver secured air cargo or mail for EU or EEA destination to an ACC3 or to another RA3. It shall receive a copy of the completed checklist stating the deficiencies.

10.1.  General conclusion: Indicate the case closest to the situation validated	10.1.  General conclusion: Indicate the case 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-C3

VALIDATION CHECKLIST FOR ACC3

ACC3 (Air cargo or mail carrier operating into the Union from a third country airport) designation is the prerequisite for carrying air cargo or air mail into the European Union ([^E0015]) (EU) or Iceland, Norway and Switzerland and is required by Implementing Regulation (EU) 2015/1998.

ACC3 designation is in principle required for all flights carrying cargo or mail for transfer, transit or unloading at EU or EEA airports ([^E0016]). The appropriate authorities of the Member States of the European Union, Iceland, Norway and Switzerland are each responsible for the designation of specific air carriers as ACC3. The designation is based on the security programme of an air carrier and on an on-site verification of the implementation in compliance with the objectives referred to in this validation checklist.

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 by or under the responsibility of the ACC3 or an air carrier applying for ACC3 designation.

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-H1 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. By default the validation report shall be drafted in English.

Part 3 — Security programme of the air carrier, Part 6 — Database, Part 7 — Screening and Part 8 — 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 the other parts, 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 01.10.2012 to 02.10.2012 | Use exact date format, such as 01.10.2012 to 02.10.2012 | | dd/mm/yyyy | | | 1.2.  Date of previous validation and unique alphanumeric identifier (UAI) of the ACC3 where available | 1.2.  Date of previous validation and unique alphanumeric identifier (UAI) of the ACC3 where available | | dd/mm/yyyy | | | UAI | | | 1.3.  Aviation security validator information | 1.3.  Aviation security validator information | | Name | | | Company/Organisation/Authority | | | UAI | | | Email address | | | Telephone number — including international codes | | | 1.4.  Name of air carrier to be validated | 1.4.  Name of air carrier to be validated | | Name | | | AOC (Air Operators Certificate) issued in (name of State): | | | International Air Transport Association (IATA) code or International Civil Aviation Organisation (ICAO) code if IATA code does not exist for. Specify which code applies. | | | State responsible for designating air carrier as ACC3 | | | 1.5.  Details of third country airport location to be validated or cargo or mail facilities linked to it | 1.5.  Details of third country airport location to be validated or cargo or mail facilities linked to it | | Name | | | IATA or ICAO code for the airport | | | Country | | | 1.6.  Nature of air carrier's business — More than one business type may be applicable | 1.6.  Nature of air carrier's business — More than one business type may be applicable | | (a) passenger and cargo/mail carrier; (b) cargo and mail only carrier; (c) cargo only carrier; (d) mail only carrier; (e) integrator; (f) charter. | | | 1.7.  Name and title of person responsible for third country air cargo or air mail security | 1.7.  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 | | | 1.8.  Address of the air carrier's main office at the airport being visited | 1.8.  Address of the air carrier's main office at the airport being visited | | Number/Unit/Building/Airport | | | Street | | | Town | | | Postcode | | | State (where relevant) | | | Country | | | 1.9.  Address of the air carrier's main office, for example the corporate headquarters | 1.9.  Address of the air carrier's main office, for example the corporate headquarters | | Number/Unit/Building/Airport | | | Street | | | Town | | | Postcode | | | State (where relevant) | | | Country | |

PART 2

Organisation and responsibilities of the ACC3 at the airport

Objective: No air cargo or mail shall be carried to the EU or EEA without being subject to security controls. Details of such controls are provided by the following Parts of this checklist. The ACC3 shall not accept cargo or mail for carriage on an EU-bound aircraft unless the application of screening or other security controls is confirmed and accounted for by an EU aviation security validated regulated agent, an EU aviation security validated known consignor or an account consignor designated by itself or by an EU aviation security validated regulated agent, or such consignments are subject to screening in accordance with the Union legislation.

The ACC3 shall have a process to ensure that appropriate security controls are applied to all EU or EEA bound air cargo and air mail unless it is exempted from screening in accordance with the Union legislation and that cargo or mail is protected thereafter until loading onto aircraft. Security controls shall consist of:

• — physical screening which shall be of a standard sufficient to reasonably ensure that no prohibited articles are concealed in the consignment, or

• — other security controls which are part of a supply chain security process that reasonably ensure that no prohibited articles are concealed in the consignment applied by EU aviation security validated regulated agents or known consignors or by an account consignor designated by itself or by an EU aviation security validated regulated agent.

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

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| --- | --- | | 2.1.  Has the air carrier established a process to ensure that air cargo or air mail is submitted to appropriate security controls prior to being loaded onto an EU or EEA bound aircraft? | 2.1.  Has the air carrier established a process to ensure that air cargo or air mail is submitted to appropriate security controls prior to being loaded onto an EU or EEA bound aircraft? | | YES or NO | | | If YES, describe the process | | | 2.2.  Are the security controls applied by the air carrier or on its behalf by an entity covered under the air carrier's security programme? | 2.2.  Are the security controls applied by the air carrier or on its behalf by an entity covered under the air carrier's security programme? | | If YES, provide details | | | If NO, which entities not covered by the air carrier's security programme apply security controls to air cargo or mail carried by this air carrier into the EU or EEA? | | | Specify the nature of these entities and provide details: — private handling company; — government regulated company; — government screening facility or body; — other | | | 2.3.  By which instruments and instructions (such as oversight, monitoring, and quality control) does the air carrier ensure that security controls are applied in the required manner by the above service providers? | 2.3.  By which instruments and instructions (such as oversight, monitoring, and quality control) does the air carrier ensure that security controls are applied in the required manner by the above service providers? | | | | | 2.4.  Is the air carrier able to request the appropriate security controls in case the screening is carried out by entities which are not covered by the air carrier's security programme, such as government facilities? | 2.4.  Is the air carrier able to request the appropriate security controls in case the screening is carried out by entities which are not covered by the air carrier's security programme, such as government facilities? | | YES or NO | | | If NO, provide details | | | 2.5.  By which instruments and instructions (such as oversight, monitoring, and quality control) does the air carrier ensure that security controls are applied in the required manner by such service providers? | 2.5.  By which instruments and instructions (such as oversight, monitoring, and quality control) does the air carrier ensure that security controls are applied in the required manner by such service providers? | | | | | 2.6.  Has a regulated agent or known consignor programme for air cargo and mail been put in place in accordance with ICAO standards in the State of the airport at which the validation visit takes place? | 2.6.  Has a regulated agent or known consignor programme for air cargo and mail been put in place in accordance with ICAO standards in the State of the airport at which the validation visit takes place? | | If YES, describe the elements of the programme and how it has been put in place | | | 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 air carrier | | | Comments from the EU aviation security validator | |

PART 3

Security programme of the air carrier

Objective: The ACC3 shall ensure that its security programme includes all the aviation security measures relevant and sufficient for air cargo and mail to be transported into the Union.

The security programme and associated documentation of the air carrier shall be the basis of security controls applied in compliance with the objective of this checklist. The air carrier may wish to consider passing its documentation to the EU aviation security validator in advance of the site visit to help acquaint him with the details of the locations to be visited.

Reference: point 6.8.2.1 of the Annex and Attachment 6-G to Implementing Regulation (EU) 2015/1998

Note: The following points listed in Attachment 6-G to Implementing Regulation (EU) 2015/1998 shall be appropriately covered:

• (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 cargo and mail.

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| --- | --- | | 3.1.  Air carrier security programme | 3.1.  Air carrier security programme | | Date — use exact date format dd/mm/yyyy | | | Version | | | Has the programme been submitted to an EU or EEA appropriate authority at an earlier stage? If YES was it for ACC3 designation? Other purposes? | | | 3.2.  Does the security programme cover sufficiently the elements of the list above? | 3.2.  Does the security programme cover sufficiently the elements of the list above? | | YES or NO | | | If NO, describe why detailing the reasons | | | 3.3.  Are the aviation security measures described by the security programme relevant and sufficient to secure EU or EEA bound air cargo or air mail according to the required standards? | 3.3.  Are the aviation security measures described by the security programme relevant and sufficient to secure EU or EEA bound air cargo or air mail according to the required standards? | | YES or NO | | | If NO, describe why detailing the reasons | | | 3.4.  Conclusion: Is the security programme conclusive, robust and complete? | 3.4.  Conclusion: Is the security programme conclusive, robust and complete? | | YES or NO | | | If NO, specify reasons | | | Comments from the air carrier | | | Comments from the EU aviation security validator | |

PART 4

Staff recruitment and training

Objective: The ACC3 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 possess all the competencies required to perform their duties and are appropriately trained.

In order to fulfil that objective, the ACC3 shall have a procedure 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:

• — 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 airport validated, and

• — 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 airport validated.

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

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 five years (Union definition).

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| --- | --- | | 4.1.  Is there a procedure ensuring that all staff with direct and unescorted access to secured air cargo or air mail are subject to pre-employment checks that assesses background and competence? | 4.1.  Is there a procedure ensuring that all staff with direct and unescorted access to secured air cargo or air mail are subject to pre-employment checks 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. | | | 4.2.  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 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? | 4.5.  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 | | | 4.6.  Do staff that accept, screen or protect air cargo or air mail receive specific job related training? | 4.6.  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. | | | 4.7.  Do staff referred to in points 4.5 and 4.6 receive recurrent training? | 4.7.  Do staff referred to in points 4.5 and 4.6 receive recurrent training? | | YES or NO | | | If YES, specify the elements and the frequency of the recurrent training | | | 4.8.  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 assigned and trained to a standard sufficient to be aware of their security responsibilities? | 4.8.  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 assigned and trained to a standard sufficient to be aware of their security responsibilities? | | YES or NO | | | If NO, specify reasons | | | Comments from the air carrier | | | Comments from the EU aviation security validator | |

PART 5

Acceptance procedures

Objective: The ACC3 shall have a procedure in place in order to assess and verify upon acceptance the security status of a consignment in respect of previous controls.

The procedure shall include the following elements:

• (a) confirmation that the entity delivering the consignment is listed as active in the Union database on supply chain security for the specified airport or site;

• (b) verification that the Union database unique alphanumeric identifier of the entity delivering the consignment is indicated on the accompanying documentation;

• (c) in case of consignments received from an account consignor, verification that the entity is in listed in the air carrier's database. If there is no indication on the accompanying documentation of the identifier, or if the air carrier or entity delivering the consignments is not listed as active in the Union database on supply chain security, or in the case of account consignors the entity is not in the air carrier's database, it shall be deemed that no security controls have previously been applied, and the consignments shall be screened by the ACC3 or by another EU aviation security validated RA3 before being loaded onto the aircraft;

• (d) verification of whether the consignment is delivered by a person nominated by the EU aviation security validated regulated agent or known consignor as listed in its database or an account consignor of such a regulated agent or designated by the air carrier itself;

• (e) the person nominated shall correspond to the person tasked to deliver the air cargo or air mail to the air carrier. The person delivering the consignment to the air carrier shall present an identity card, passport, driving license or other document, which includes his or her photograph and which has been issued or is recognised by the national authority;

• (f) where applicable, verification of whether the consignment is presented with all the required security information (air waybill and security status information on paper or by electronic means, description of the consignment and unique identifier thereof, reasons for issuing the security status, means or methods of screening or grounds for exemption from screening) that corresponds to the air cargo and mail consignments being delivered;

• (g) verification of whether the consignment is free from any signs of tampering; and

• (h) verification of whether the consignment has to be treated as high risk cargo and mail (HRCM).

Reference: point 6.8.3.5, 6.8.3.6, 6.8.3.7, and 6.8.5.4 of the Annex to Implementing Regulation (EU) 2015/1998

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| --- | --- | | 5.1.  When directly accepting a consignment, does the air carrier establish whether it comes from a regulated agent, a known consignor or an account consignor recognised according to Union air cargo legislation and listed in the Union database on supply chain security and in the database kept by the air carrier? | 5.1.  When directly accepting a consignment, does the air carrier establish whether it comes from a regulated agent, a known consignor or an account consignor recognised according to Union air cargo legislation and listed in the Union database on supply chain security and in the database kept by the air carrier? | | YES or NO | | | If YES, describe the procedure | | | 5.2.  Does the air carrier 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 database on supply chain security? | 5.2.  Does the air carrier 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 database on supply chain security? | | YES or NO | | | 5.3.  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? | 5.3.  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 | | | 5.4.  Does the air carrier designate consignors as AC3? | 5.4.  Does the air carrier designate consignors as AC3? | | YES or NO | | | If YES, describe the procedure and the safeguards required by the air carrier from the consignor. | | | 5.5.  When directly accepting a consignment, does the air carrier establish whether its destination is an EU or EEA airport? | 5.5.  When directly accepting a consignment, does the air carrier establish whether its destination is an EU or EEA airport? | | YES or NO — explain | | | 5.6.  If YES — does the air carrier submit all cargo or mail to the same security controls when the destination is an EU or EEA airport? | 5.6.  If YES — does the air carrier submit all cargo or mail to the same security controls when the destination is an EU or EEA airport? | | YES or NO | | | If YES, describe the procedure | | | 5.7.  When directly accepting a consignment, does the air carrier establish whether it is to be regarded as high risk cargo and mail (HRCM), including for consignments that are delivered by other modes of transport other than air? | 5.7.  When directly accepting a consignment, does the air carrier establish whether it is to be regarded as high risk cargo and mail (HRCM), including for consignments that are delivered by other modes of transport other than air? | | YES or NO | | | If YES, how? Describe the procedure | | | 5.8.  When accepting a secured consignment, does the air carrier establish whether it has been protected from unauthorised interference and/or tampering? | 5.8.  When accepting a secured consignment, does the air carrier establish whether it has been protected from unauthorised interference and/or tampering? | | YES or NO | | | If YES, describe (such as seals, locks). | | | 5.9.  If the air carrier accepts transit air cargo or air mail at this location (cargo or mail that departs on the same aircraft it arrived on), does the air carrier establish on the basis of the given data whether or not further security controls need to be applied? | 5.9.  If the air carrier accepts transit air cargo or air mail at this location (cargo or mail that departs on the same aircraft it arrived on), does the air carrier establish on the basis of the given data whether or not further security controls need to be applied? | | YES or NO | | | If YES, how is it established? | | | If NO, what controls are applied to ensure security of EU or EEA bound cargo and mail? | | | 5.10.  If the air carrier accepts transfer air cargo or air mail at this location (cargo or mail that departs on a different aircraft to the one it arrived on), does the air carrier establish on the basis of the given data whether or not further security controls need to be applied? | 5.10.  If the air carrier accepts transfer air cargo or air mail at this location (cargo or mail that departs on a different aircraft to the one it arrived on), does the air carrier establish on the basis of the given data whether or not further security controls need to be applied? | | YES or NO | | | If YES, how is it established? | | | If NO, what controls are applied to ensure security of EU or EEA bound cargo and mail? | | | 5.11.  Is the person delivering secured known air cargo to the air carrier required to present an official identification document containing a photograph? | 5.11.  Is the person delivering secured known air cargo to the air carrier required to present an official identification document containing a photograph? | | YES or NO | | | 5.12.  Conclusion: Are the acceptance procedures sufficient to establish whether air cargo or air mail comes from a secure supply chain or that it needs to be subjected to screening? | 5.12.  Conclusion: Are the acceptance procedures sufficient to establish whether air cargo or air mail comes from a secure supply chain or that it needs to be subjected to screening? | | YES or NO | | | If NO, specify reasons | | | Comments from the air carrier | | | Comments from the EU aviation security validator | |

PART 6

Database

Objective: Where the ACC3 is not obliged to apply 100 % screening to EU/EEA bound air cargo or air mail, the ACC3 shall ensure the cargo or mail comes from an EU aviation security validated entity designated by the appropriate authority of an EU Member State as third country regulated agent (RA3) or third country known consignor (KC3), or from an account consignor (AC3) designated by itself or by a third country regulated agent.

For monitoring the security relevant audit trail the ACC3 shall verify the active status of the RA3 and KC3 on the Union database of supply chain security, and maintain a database giving the following information for each entity or person from which it directly accepts cargo or mail:

• — the status of the involved entity (regulated agent or known consignor),

• — the company details, including the bona fide business address,

• — the nature of the business, excluding business sensitive information,

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

• — the unique alphanumeric identifier attributed in the Union database on supply chain security, or in case the entity is an AC3 the company registration number.

When receiving air cargo or mail from a RA3 or KC3 the ACC3 shall check in the Union database whether the entity is listed as active, and for AC3 in the air carrier's database. If the RA3 or KC3 status is not active or the AC3 is not included in the database, the air cargo or air mail delivered by such entity shall be screened before loading.

Reference: point (a) of point 6.8.3.5 and point 6.8.5.4 of the Annex to Implementing Regulation (EU) 2015/1998

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| --- | --- | | 6.1.  When directly accepting a consignment, does the air carrier establish whether it comes from a regulated agent, a known consignor or an account consignor recognised according to Union air cargo legislation and listed in the Union database on supply chain security and in the database kept by the air carrier? | 6.1.  When directly accepting a consignment, does the air carrier establish whether it comes from a regulated agent, a known consignor or an account consignor recognised according to Union air cargo legislation and listed in the Union database on supply chain security and in the database kept by the air carrier? | | YES or NO | | | If YES, describe the procedure | | | 6.2.  Does the air carrier maintain a database including, as appropriate, the details referred to above, of: | 6.2.  Does the air carrier maintain a database including, as appropriate, the details referred to above, of: | | — entities designated as third country regulated agent (RA3), — entities designated as third country known consignor (KC3), — entities designated as account consignors by an RA3 or by the air carrier (AC3)? | — entities designated as third country regulated agent (RA3), — entities designated as third country known consignor (KC3), — entities designated as account consignors by an RA3 or by the air carrier (AC3)? | | YES or NO | | | If YES, describe the database | | | If NO, explain why | | | 6.3.  Does staff accepting air cargo and air mail have easy access to the Union database on supply chain security and to the air carrier's database? | 6.3.  Does staff accepting air cargo and air mail have easy access to the Union database on supply chain security and to the air carrier's database? | | YES or NO | | | If YES, describe the process | | | 6.4.  Is the database updated in a regular manner as to provide reliable data to the staff accepting air cargo and air mail? | 6.4.  Is the database updated in a regular manner as to provide reliable data to the staff accepting air cargo and air mail? | | YES or NO | | | If NO, explain | | | 6.5.  Conclusion: Does the air carrier maintain a database that ensures full transparency on its relation to entities from which it directly receives (screened or security controlled) cargo or mail for transport into the Union or EEA? | 6.5.  Conclusion: Does the air carrier maintain a database that ensures full transparency on its relation to entities from which it directly receives (screened or security controlled) cargo or mail for transport into the Union or EEA? | | YES or NO | | | If NO, specify reasons | | | Comments from the air carrier | | | Comments from the EU aviation security validator | |

PART 7

Screening

Objective: Where the ACC3 accepts cargo and mail from an entity which is not an EU aviation security validated entity or the cargo received has not been protected from unauthorised interference from the time security controls were applied, the ACC3 shall ensure the air cargo or air mail is screened before being loaded onto an aircraft. The ACC3 shall have a process to ensure that EU or EEA bound air cargo and air mail for transfer, transit or unloading at an Union airport are screened by the means or methods referred to in Union legislation to a standard sufficient reasonably to ensure that it contains no prohibited articles.

Where the ACC3 does not screen air cargo or air mail itself, it shall ensure that the appropriate screening is carried out according to Union requirements. Screening procedures shall include where appropriate the treatment of transfer and transit cargo and mail

Where screening of air cargo or mail is performed by or on behalf of the appropriate authority in the third country, the ACC3 receiving such air cargo or air mail from the entity shall declare this fact in its security programme, and specify the way adequate screening is ensured.

Reference: points 6.8.3.1, 6.8.3.2, 6.8.3.3 of the Annex to Implementing Regulation (EU) 2015/1998

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| --- | --- | | 7.1.  Is screening applied by the air carrier or on its behalf by an entity covered under the air carrier's security programme? | 7.1.  Is screening applied by the air carrier or on its behalf by an entity covered under the air carrier's security programme? | | If YES, provide details. If applicable, provide details of the entity or entities covered under the air carrier's security programme: — name — site specific address — presence of AEO status, if applicable | | | If NO, which entities not covered by the air carrier's security programme apply screening to air cargo or mail carried by this air carrier into the EU or EEA? Specify the nature of these entities and provide details — private handling company — government regulated company — government screening facility or body — other | | | 7.2.  Is the entity able to request the appropriate security controls in case the screening is carried out by one of the above entities? | 7.2.  Is the entity able to request the appropriate security controls in case the screening is carried out by one of the above entities? | | YES or NO | | | If NO, provide details | | | 7.3.  By which instruments and instructions (for example oversight, monitoring, and quality control) does the entity ensure that security controls are applied in the required manner by such service providers? | 7.3.  By which instruments and instructions (for example oversight, monitoring, and quality control) does the entity ensure that security controls are applied in the required manner by such service providers? | | | | | 7.4.  What methods of screening are used for air cargo and air mail? | 7.4.  What methods of screening are used for air cargo and air mail? | | Specify, including details of equipment used for screening air cargo and air mail (such as manufacturer, type, software version, standard, serial number) for all the methods deployed | | | 7.5.  Is the equipment or method (for example explosive detection dogs) used included in the most recent EU, European Civil Aviation Conference (ECAC) or the Transportation Security Administration (TSA) of the US compliance list? | 7.5.  Is the equipment or method (for example explosive detection dogs) used included in the most recent EU, European Civil Aviation Conference (ECAC) or the Transportation Security Administration (TSA) of the US compliance list? | | YES or NO | | | If YES, provide details | | | If NO, give details specifying the approval of the equipment and date thereof, as well as any indications that it complies with EU equipment standards | | | 7.6.  Is the equipment used in accordance with the manufacturers' concept of operations (CONOPS) and is the equipment regularly tested and maintained? | 7.6.  Is the equipment used in accordance with the manufacturers' concept of operations (CONOPS) and is the equipment regularly tested and maintained? | | YES or NO | | | If YES, describe the process | | | 7.7.  In case EDDs are deployed, are they subjected to initial and recurrent training, approval and quality control process to a standard equivalent to the EU or TSA requirements? | 7.7.  In case EDDs are deployed, are they subjected to initial and recurrent training, approval and quality control process to a standard equivalent to the EU or TSA requirements? | | YES or NO | | | If YES, describe the entire process and the related documentation supporting the assessment | | | 7.8.  In case EDDs are used, is the screening process following a deployment methodology equivalent to EU or TSA standards? | 7.8.  In case EDDs are used, is the screening process following a deployment methodology equivalent to EU or TSA standards? | | YES or NO | | | If YES, describe the entire process and the related documentation supporting the assessment | | | 7.9.  Is the nature of the consignment taken into consideration during screening? | 7.9.  Is the nature of the consignment taken into consideration during screening? | | YES or NO | | | If YES, describe how it is ensured that the screening method selected is employed to a standard sufficient to reasonably ensure that no prohibited articles are concealed in the consignment | | | 7.10.  Is there a process for the resolution of the alarm generated by the screening equipment? | 7.10.  Is there a process for the resolution of the alarm generated by the screening equipment? | | YES or NO | | | If YES, describe the process of resolving alarms to reasonably ensure the absence of prohibited articles. | | | If NO, describe what happens to the consignment. | | | 7.11.  Are any consignments exempt from security screening? | 7.11.  Are any consignments exempt from security screening? | | YES or NO | | | 7.12.  Are there any exemptions that do not comply with the Union list? | 7.12.  Are there any exemptions that do not comply with the Union list? | | YES or NO | | | If YES, detail | | | 7.13.  Is access to the screening area controlled to ensure that only authorised and trained staff is granted access? | 7.13.  Is access to the screening area controlled to ensure that only authorised and trained staff is granted access? | | YES or NO | | | If YES, describe | | | 7.14.  Is an established quality control or testing regime in place? | 7.14.  Is an established quality control or testing regime in place? | | YES or NO | | | If YES, describe | | | 7.15.  Conclusion: Is air cargo or air mail screened by one of the means or methods listed in point 6.2.1 of the Annex to Implementing Regulation (EU) 2015/1998 to a standard sufficient to reasonably ensure that it contains no prohibited articles? | 7.15.  Conclusion: Is air cargo or air mail screened by one of the means or methods listed in point 6.2.1 of the Annex to Implementing Regulation (EU) 2015/1998 to a standard sufficient to reasonably ensure that it contains no prohibited articles? | | YES or NO | | | If NO, specify reason | | | Comments from the air carrier | | | Comments from the EU aviation security validator | |

PART 8

High risk cargo or mail

Objective: Consignments which originate from or transfer in locations identified as high risk by the EU or which appear to have been significantly tampered with are to be considered as high risk cargo and mail (HRCM). Such consignments have to be screened in line with specific instructions. High risk origins and screening instructions are provided by the appropriate EU/EEA authority having designated the ACC3. The ACC3 shall have a procedure to ensure that EU or EEA bound HRCM is identified and subject to appropriate controls as defined in the Union legislation.

The ACC3 shall remain in contact with the appropriate authority responsible for the EU/EEA airports to which it carries cargo in order to have available the latest state of information on high risk origins.

The ACC3 shall apply the same measures, irrespective of whether it receives high risk cargo and mail from another air carrier or through other modes of transportation.

Reference: points 6.7 and 6.8.3.6 of the Annex to Implementing Regulation (EU) 2015/1998

Note: HRCM cleared for carriage into the EU or EEA shall be issued the security status ‘SHR’, which means secure for passenger, all-cargo and all-mail aircraft in accordance with high risk requirements.

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| --- | --- | | 8.1.  Does the air carrier staff responsible for performing security controls know which air cargo and mail is to be treated as high risk cargo and mail (HRCM)? | 8.1.  Does the air carrier staff responsible for performing security controls know which air cargo and mail is to be treated as high risk cargo and mail (HRCM)? | | YES or NO | | | If YES, describe | | | 8.2.  Does the air carrier have procedures in place for the identification of HRCM? | 8.2.  Does the air carrier have procedures in place for the identification of HRCM? | | YES or NO | | | If YES, describe | | | 8.3.  Is HRCM subject to HRCM screening procedures according to the EU legislation? | 8.3.  Is HRCM subject to HRCM screening procedures according to the EU legislation? | | YES or NO | | | If NO, indicate procedures applied | | | 8.4.  After screening, does the air carrier issue a security status declaration for SHR in the documentation accompanying the consignment? | 8.4.  After screening, does the air carrier issue a security status declaration for SHR in the documentation accompanying the consignment? | | YES or NO | | | If YES, describe how security status is issued and in which document | | | 8.5.  Conclusion: Is the process put in place by the air carrier relevant and sufficient to ensure that all HRCM has been properly treated before loading? | 8.5.  Conclusion: Is the process put in place by the air carrier relevant and sufficient to ensure that all HRCM has been properly treated before loading? | | YES or NO | | | If NO, specify reason | | | Comments from the air carrier | | | Comments from EU aviation security validator | |

PART 9

Protection

Objective: The ACC3 shall have processes in place to ensure EU or EEA bound air cargo or air mail is protected from unauthorised interference from the point where security screening or other security controls are applied or from the point of acceptance after screening or security controls have been applied, until loading.

Protection can be provided by different means such as physical (for example barriers, locked rooms), human (for example patrols, trained staff) and technological (for example CCTV, intrusion alarm).

EU or EEA bound secured air cargo or mail should be separated from air cargo or mail which is not secured.

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

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| --- | --- | | 9.1.  Is protection of secured air cargo and air mail applied by the air carrier or on its behalf by an entity covered under the air carrier's security programme? | 9.1.  Is protection of secured air cargo and air mail applied by the air carrier or on its behalf by an entity covered under the air carrier's security programme? | | If YES, provide details | | | If NO, which entities not covered by the air carrier's security programme apply protection measures to secured air cargo or mail carried by this air carrier into the EU or EEA? Specify the nature of these entities and provide details: — private handling company — government regulated company — government screening facility or body — other | | | 9.2.  Are security controls and protection in place to prevent tampering during the screening process? | 9.2.  Are security controls and protection in place to prevent tampering during the screening process? | | YES or NO | | | If YES, describe | | | 9.3.  Are there processes in place to ensure EU or EEA bound air cargo or air mail to which security controls have been applied are protected from unauthorised interference from the time it has been secured until its loading? | 9.3.  Are there processes in place to ensure EU or EEA bound air cargo or air mail to which security controls have been applied are protected from unauthorised interference from the time it has been secured until its loading? | | YES or NO | | | If YES, describe how it is protected | | | If NO, specify reasons | | | 9.4.  Conclusions: Is the protection of consignments sufficiently robust to prevent unlawful interference? | 9.4.  Conclusions: Is the protection of consignments sufficiently robust to prevent unlawful interference? | | YES or NO | | | If NO specify reason | | | Comments from the air carrier | | | Comments from EU aviation security validator | |

PART 10

Accompanying documentation

Objective: The ACC3 shall ensure that the documentation accompanying a consignment to which the ACC3 has applied security controls (for example screening, protection), contains at least:

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

• (b) the unique identifier of the consignment, such as the number of the (house or master) air waybill, when applicable; and

• (c) the content of the consignment; and

• (d) the security status, indicated as follows:
• — ‘SPX’, which means secure for passenger, all-cargo and all-mail aircraft, or
• — ‘SCO’, which means secure for all-cargo and all-mail aircraft only, or
• — ‘SHR’, which means secure for passenger, all-cargo and all-mail aircraft in accordance with high risk requirements.

In the absence of a third country regulated agent, the security status declaration may be issued by the ACC3 or by the air carrier arriving from a third country exempted from the ACC3 regime.

If the security status is issued by the ACC3, the air carrier shall additionally indicate the reasons for issuing it, such as the means or method of screening used or the grounds for exempting the consignment from screening, using the standards adopted in the consignment security declaration scheme.

In the event that the security status and the accompanying documentation have been established by an upstream RA3 or by another ACC3, the ACC3 shall verify, during the acceptance process, that the above information is contained in the accompanying documentation.

The documentation accompanying the consignment may either be in the form of an air waybill, equivalent postal documentation or in a separate declaration, and either in an electronic format or in writing.

Reference: point (d) of point 6.3.2.6, points 6.8.3.4, 6.8.3.5, 6.8.3.6 and 6.8.3.7 of the Annex to Implementing Regulation (EU) 2015/1998

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| --- | --- | | 10.1.  Does the air carrier ensure that appropriate accompanying documentation is established, and include the information required in point (d) of point 6.3.2.6), points 6.8.3.4, 6.8.3.5 and 6.8.3.6 of the Annex to Implementing Regulation (EU) 2015/1998? | 10.1.  Does the air carrier ensure that appropriate accompanying documentation is established, and include the information required in point (d) of point 6.3.2.6), points 6.8.3.4, 6.8.3.5 and 6.8.3.6 of the Annex to Implementing Regulation (EU) 2015/1998? | | YES or NO | | | If YES, describe the content of the documentation | | | If NO, explain why and how the cargo or mail is treated as ‘secure’ by the air carrier if it is loaded onto an aircraft | | | 10.2.  Does the documentation include the air carrier's ACC3 unique alphanumeric identifier? | 10.2.  Does the documentation include the air carrier's ACC3 unique alphanumeric identifier? | | YES or NO | | | If NO, explain why | | | 10.3.  Does the documentation specify the security status of the cargo and how this status was achieved? | 10.3.  Does the documentation specify the security status of the cargo and how this status was achieved? | | YES or NO | | | Describe how this is specified | | | 10.4.  Conclusion: Is the documentation process sufficient to ensure that cargo or mail is provided with proper accompanying documentation which specifies the correct security status and all required information? | 10.4.  Conclusion: Is the documentation process sufficient to ensure that cargo or mail is provided with proper accompanying documentation which specifies the correct security status and all required information? | | YES or NO | | | If NO specify reason | | | Comments from the air carrier | | | Comments from EU aviation security validator | |

PART 11

Compliance

Objective: After assessing the ten previous Parts of this checklist, the EU aviation security validator has to conclude if its on-site verification corresponds with the content of the part of the air carrier security programme describing the measures for the EU or EEA bound air cargo or air mail and if the security controls sufficiently implements the objectives listed in this checklist.

Conclusions may comprise one of the following four possible main cases:

• (1) the air carrier security programme is in compliance with Attachment 6-G to Implementing Regulation (EU) 2015/1998 and the on-site verification confirms compliance with the objective of the checklist; or

• (2) the air carrier security programme is in compliance with Attachment 6-G to Implementing Regulation (EU) 2015/1998 but the on-site verification does not confirm compliance with the objective of the checklist; or

• (3) the air carrier security programme is not in compliance with Attachment 6-G to Implementing Regulation (EU) 2015/1998 but the on-site verification confirms compliance with the objective of the checklist; or

• (4) the air carrier security programme is not in compliance with Attachment 6-G to Implementing Regulation (EU) 2015/1998 and the on-site verification does not confirm compliance with the objective of the checklist.

11.1.  General conclusion: Indicate the case closest to the situation validated	11.1.  General conclusion: Indicate the case closest to the situation validated
1, 2, 3 or 4
Comments from EU aviation security validator
Comments from the air carrier

Name of the validator:

Date:

Signature:

ANNEX