# Commission Implementing Regulation (EU) No 654/2013Show full title

Commission Implementing Regulation (EU) No 654/2013 of 10 July 2013 amending Regulation (EU) No 185/2010 in respect of EU            aviation security validation checklists for third country entities (Text with EEA relevance)         

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U.K.

# Commission Implementing Regulation (EU) No 654/2013                     

# of 10 July 2013

# amending Regulation (EU) No 185/2010 in respect of EU aviation security validation checklists for third country entities

# (Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EC) No 300/2008 of the European Parliament and the Council of 11 March 2008 on common rules in                           the field of civil aviation security and repealing Regulation (EC) No 2320/2002(1) and in particular Article 4(3) thereof,                        

Whereas:

(1)Commission Regulation (EU) No 185/2010 of 4 March 2010 laying down detailed measures for the implementation of the common                              basic standards on aviation security(2) contains detailed rules for EU aviation security validation.

(2)Checklists are the instrument to be used by the EU aviation security validator for assessing the level of security applied                              to EU/EEA bound air cargo or air mail. It is necessary to add two further checklists to the existing ones in order to establish                              full implementation of the EU aviation security validation regime.

(3)Regulation (EU) No 185/2010 should therefore be amended accordingly.

(4)The measures provided for in this Regulation are in accordance with the opinion of the Committee on Civil Aviation Security                              set up by Article 19(1) of Regulation (EC) No 300/2008.

HAS ADOPTED THIS REGULATION:

# Article 1U.K.

The Annex to Regulation (EU) No 185/2010 is amended in accordance with the Annex to this Regulation.

# Article 2U.K.

This Regulation shall enter into force on the date of its publication in the *Official Journal of the European Union*.                  

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 10 July 2013.

*For the Commission*                            

*The President*                            

José Manuel Barroso                            

## ANNEXU.K.

The Annex to Regulation (EU) No 185/2010 is amended as follows:

The following Attachment is inserted after Attachment 6-C:

### **‘ATTACHMENT 6-C2**VALIDATION CHECKLIST FOR THIRD COUNTRY EU AVIATION SECURITY VALIDATED REGULATED AGENTS

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

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

The prerequisites for carrying air cargo or air mail into the Union(3) or Iceland, Norway and Switzerland are required by Regulation (EU) No 185/2010.                           

The checklist is the instrument to be used by the EU aviation security validator for assessing the level of security applied                                 to EU/EEA bound air cargo or air mail(4) by or under the responsibility of the entity seeking designation as an RA3. The checklist is to be used only in the cases                                 specified in point 6.8.4.1(b) of the Annex to Regulation (EU) No 185/2010. In the cases specified in point 6.8.4.1(a) of that                                 Annex, the EU aviation security validator shall use the ACC3 checklist.                           

If the EU aviation security validator concludes that the entity has succeeded in complying with the objectives referred to                                 in this checklist, a validation report shall be given to the validated entity. The validation report shall state that the                                 entity is designated Third Country EU aviation security validated Regulated Agent (RA3). The RA3 shall be able to use the                                 report in its business relations with any ACC3. Integral parts of the validation report shall include at least all of the                                 following:                           

the completed checklist (attachment 6-C2 set out in the Annex to Regulation (EU) No 185/2010) signed by the EU aviation security                                          validator and where applicable commented by the validated entity;                                    

the declaration of commitments (Attachment 6-H2 set out in the Annex to Regulation (EU) No 185/2010) signed by the validated                                          entity;                                    

an independence declaration (Attachment 11-A set out in the Annex to Regulation (EU) No 185/2010) 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 in English.                           

Part 5 – Screening and Part 6 – High risk cargo or mail (HRCM) shall be assessed against the requirements of Chapters 6.7                                 and 6.8 of the Annex to Regulation (EU) No 185/2010. For those parts that cannot be assessed against the requirements of Regulation                                 (EU) No 185/2010, 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).                           

If the EU aviation security validator concludes that the entity has failed to comply with the objectives referred to in this                                 checklist, the entity shall receive a copy of the completed checklist stating the deficiencies.                           

#### **Completion notes:**

All parts of the checklist must be completed. 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 1U.K.**Identification of the entity validated and the validator**

#### PART 2U.K.**Organisation and responsibilities of the third country EU aviation security validated regulated agent**

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

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

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

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

Reference: Point 6.8.3.                           

#### PART 3U.K.**Staff recruitment and training**

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

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

have been subject to initial and recurrent pre-employment checks and/or background checks, which are at least in accordance                                          with the requirements of the local authorities of the RA3 premise 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 RA3 premise validated.                                    

##### Note:

                -  A background check means a check of a person’s identity and previous experience, including where legally permissible, any                                       criminal history as part of the assessment of an individual’s suitability to implement a security control and/or for unescorted                                       access to a security restricted area (ICAO Annex 17 definition).                                  
                -  A pre-employment check shall establish the person’s identity on the basis of documentary evidence, cover employment, education                                       and any gaps during at least the preceding five years, and require the person to sign a declaration detailing any criminal                                       history in all states of residence during at least the preceding 5 years (Union definition).                                  

Reference: Point 6.8.3.1.                           

#### PART 4U.K.**Acceptance procedures**

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

An RA3 may maintain a database giving at least the following information for each regulated agent or known consignor that                                 has been subject to EU aviation security validation in accordance with point 6.8.4.1, from which it directly accepts cargo                                 or mail to be delivered to an ACC3 for carriage into the Union:                           

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 company registration number, if applicable,                                    

where available, the validation report.                                    

Reference: Points 6.8.3.1 and 6.8.4.3.                           

Note: An RA3 may only accept cargo from an AC3 as secure cargo, if this RA3 has designated this consignor itself as AC3 and                                 accounts for the cargo delivered by this consignor.                           

#### PART 5U.K.**Screening**

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/EEA bound air cargo and air mail for transfer, transit or unloading at an 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.                           

Note: Although point 6.8.3.2 allows applying ICAO standards as a minimum to implement the provisions of point 6.8.3.1 until                                 30 June 2014, the EU aviation security validation takes into account the EU screening requirements, even if the validation                                 is performed before 1 July 2014.                           

Reference: Point 6.8.3.                           

#### PART 6U.K.**High Risk Cargo or Mail (HRCM)**

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/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.                           

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.                           

#### PART 7U.K.**Protection of secured air cargo and mail**

Objective: The RA3 shall have procedures in place to ensure EU/EEA bound air cargo and/or air mail is protected from unauthorised                                 interference and/or any tampering from the point of 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 (barriers, locked rooms, etc.), human (patrols, trained staff,                                 etc.) and technological (CCTV, intrusion alarm, etc.).                           

EU/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.                           

#### PART 8U.K.**Documentation**

Objective: The security status of a consignment shall be indicated in the documentation accompanying the consignment, either                                 in the form of an air waybill, equivalent postal documentation or in a separate declaration and either in an electronic format                                 or in writing. The security status shall be issued by the RA3.                           

Reference: Points 6.3.2.6(d) and 6.8.3.4.                           

Note: the following security statuses may be indicated:                           
                -  ‘SPX’, meaning secure for passenger, all-cargo and all-mail aircraft, or                                  
                -  ‘SCO’, meaning secure for all-cargo and all-mail aircraft only, or                                  
                -  ‘SHR’, meaning secure for passenger, all-cargo and all-mail aircraft in accordance with high risk requirements.                                  

#### PART 9U.K.**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 is transferred to an ACC3 or another RA3. This includes protection during transportation to the                                 aircraft, otherwise 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.                           

#### PART 10U.K.**Compliance**

Objective: After assessing the nine previous parts 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/EEA bound air cargo/air mail.                           

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

has succeeded in complying with the objectives referred to in this checklist. The validator shall provide the validated entity                                          with the original of the validation report and state that the entity is designated EU aviation security validated 3rd country                                          regulated agent;                                    

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/EEA destination to an ACC3 or another RA3. It shall receive a copy of the completed checklist                                          stating the deficiencies.                                    

In general, the EU aviation security validator has to decide if cargo and mail handled by the validated entity is treated                                 in such a way that at the moment it is delivered to an ACC3 or another RA3 it may be deemed to be secure to be flown to the                                 EU/EEA in accordance with the applicable Union regulations.                           

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

Name of the validator:                           

Date:                           

Signature:                           

##### ANNEX**List of persons and entities visited and interviewed**

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

The following Attachment is inserted after Attachment 6-C3:

### **‘ATTACHMENT 6-C4**VALIDATION CHECKLIST FOR THIRD COUNTRY EU AVIATION SECURITY VALIDATED KNOWN CONSIGNORS

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 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                                 Regulation (EU) No 185/2010 as amended by Implementing Regulation (EU) No 859/2011 and Commission Implementing Regulation                                 (EU) No 1082/2012(5).                           

The checklist is the instrument to be used by the EU aviation security validator for assessing the level of security applied                                 to EU/EEA bound air cargo or air mail 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 6.8.4.1(b) of the Annex to Regulation (EU) No 185/2010. In cases specified                                 in point 6.8.4.1(a) of said Annex, the EU aviation security validator shall use the ACC3 checklist.                           

If the EU aviation security validator concludes that the entity has succeeded in complying with the objectives in this checklist,                                 a validation report shall be given to the validated entity. The validation report shall state that the entity is designated                                 third country EU aviation security validated known consignor (KC3). The KC3 shall be able to use the report in its business                                 relations with any ACC3 and any RA3. Integral parts of the validation report shall include at least all of the following:                           

the completed checklist (attachment 6-C4 set out in the Annex to Regulation (EU) No 185/2010) signed by the EU aviation security                                          validator and where applicable commented by the validated entity;                                    

the declaration of commitments (Attachment 6-H3 set out in the Annex to Regulation (EU) No 185/2010) signed by the validated                                          entity; and                                    

an independence declaration (Attachment 11-A set out in the Annex to Regulation (EU) No 185/2010) 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 in English.                           

For those parts that cannot be assessed against the requirements of Regulation (EU) No 185/2010, 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).                           

If the EU aviation security validation concludes that the entity has failed to comply with the objectives referred to in this                                 checklist, this entity shall receive a copy of the completed checklist stating the deficiencies.                           

#### **Completion notes:**

All parts of the checklist must be completed. 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 1U.K.**Organisation and responsibilities**

#### PART 2U.K.**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/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/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 shall                                 consist of measures that reasonably ensure that no prohibited articles are concealed in the consignment.                           

Reference: Point 6.8.3.                           

#### PART 3U.K.**Identifiable air cargo/air mail (‘Targetability’)**

Objective: To establish the point (or place) where cargo/mail becomes identifiable as air cargo/air mail. Targetability is                                 defined as being able to assess when/where the cargo/mail is identifiable as air cargo/air mail.                           

N.B. Detailed information should be given on the protection of identifiable air cargo/air mail from unauthorised interference                                 or tampering in Parts 6 to 9.                           

#### PART 4U.K.**Staff recruitment and training**

Objective: 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 possesses all the competencies                                 required to perform their duties and are appropriately trained.                           

To fulfil that objective, the KC3 shall have procedures in place to ensure that all staff (permanent, temporary, agency staff,                                 drivers, etc.) with direct and unescorted access to air cargo/air mail to which security controls are being or have been applied:                           

have been subject to initial and recurrent pre-employment checks and/or background checks, which are at least in accordance                                          with the requirements of the local authorities of the KC3 premise 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 KC3 premise validated.                                    

##### Note:

                -  A background check means a check of a person’s identity and previous experience, including where legally permissible, any                                       criminal history as part of the assessment of an individual’s suitability to implement a security control and/or for unescorted                                       access to a security restricted area (ICAO Annex 17 definition).                                  
                -  A pre-employment check shall establish the person’s identity on the basis of documentary evidence, cover employment, education                                       and any gaps during at least the preceding five years, and require the person to sign a declaration detailing any criminal                                       history in all states of residence during at least the preceding 5 years (Union definition).                                  

Reference: Point 6.8.3.1.                           

#### PART 5U.K.**Physical security**

Objective: The KC3 shall have procedures in place to ensure identifiable air cargo and/or air mail bound for the EU/EEA is                                 protected from unauthorised interference and/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 is protected and that relevant access control procedures are in                                 place. It is essential that access to the area where identifiable air cargo/air mail is processed or stored, is controlled.                                 All doors, windows and other points of access to secure EU/EEA bound air cargo/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.                           

#### PART 6U.K.**Production**

Objective: The KC3 shall have procedures in place to ensure identifiable air cargo and/or air mail bound for the EU/EEA is                                 protected from unauthorised interference and/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/EEA bound air cargo/air mail in the course of production, the entity has to show that                                 measures are taken to protect air/cargo/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/air mail in the course of the production                                    process.*                           

#### PART 7U.K.**Packing**

Objective: The KC3 shall have procedures in place to ensure identifiable air cargo and/or air mail bound for the EU/EEA is                                 protected from unauthorised interference and/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/EEA bound air cargo/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/EEA bound air cargo/air mail in the course of the packing                                    process.*                           

#### PART 8U.K.**Storage**

Objective: The KC3 shall have procedures in place to ensure identifiable air cargo and/or air mail bound for the EU/EEA is                                 protected from unauthorised interference and/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/EEA                                 bound air cargo/air mail while being stored, the entity has to show that measures are taken to protect air cargo/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/air mail in the course of the storage                                    process.*                           

#### PART 9U.K.**Despatch**

Objective: The KC3 shall have procedures in place to ensure identifiable air cargo and/or air mail bound for the EU/EEA is                                 protected from unauthorised interference and/or any tampering during the despatch 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 despatch area is controlled. If the product becomes identifiable as EU/EEA                                 bound air cargo/air mail in the course of despatch, the entity has to show that measures are taken to protect air cargo/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/air mail in the course of the despatch                                    process.*                           

#### PART 10U.K.**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:                           

they are separated from consignments which it has originated; and                                    

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.                           

#### PART 11U.K.**Transportation**

Objective: The KC3 shall have procedures in place to ensure identifiable air cargo and/or air mail bound for the EU/EEA is                                 protected from unauthorised interference and/or any tampering during transportation. If such cargo or mail is not protected,                                 it cannot 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/EEA bound air cargo/air mail when transported.*                           

#### PART 12U.K.**Compliance**

Objective: After assessing the eleven previous parts 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 EU/EEA bound air cargo/air mail.                           

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

has succeeded in complying with the objectives referred to in this checklist. The validator shall provide the validated entity                                          with the original of the validation report and state that the entity is designated third country EU aviation security validated                                          known consignor (KC3);                                    

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/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.                                    

In general, the EU aviation security validator has to decide if cargo and mail handled by the validated entity is treated                                 in such a way that at the moment it is delivered to an ACC3 or an RA3 it may be deemed to be secure to be flown to the EU/EEA                                 in accordance with the applicable Union regulations.                           

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

Name of the validator:                           

Date:                           

Signature:                           

##### ANNEX**List of persons and entities visited and interviewed**

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

The following Attachments are inserted after Attachment 6-H1:

### **‘ATTACHMENT 6-H2**DECLARATION OF COMMITMENTS — THIRD COUNTRY EU AVIATION SECURITY VALIDATED REGULATED AGENT (RA3)

On behalf of [name of RA3] I take note of the following:                           

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

[Name of RA3] can only be designated ‘third country EU aviation security validated regulated agent’ (RA3) once an EU aviation                                 security validation has been successfully completed with a ‘PASS’ by an EU aviation security validator listed in the Union                                 database for the regulated agents and known consignors.                           

If the report establishes a non-compliance in the security measures it refers to, this could lead to the withdrawal of [name                                 of RA3] designation as a RA3 already obtained for this premise which will prevent [name of RA3] from delivering secured air                                 cargo or mail for EU/EEA destination to an ACC3 or another RA3.                           

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

On behalf of [name of RA3] I declare that:                           

[name of RA3] will accept appropriate follow-up action for the purpose of monitoring the standards confirmed by the report.                                    

Any changes to [name of RA3] operations not requiring full re-validation will be noted on the original report by adding the                                          information while keeping the previous information visible. This may concern the following changes:                                    

the overall responsibility for security is assigned to anyone other than the person named in point 1.8 of Attachment 6-C2                                                   to Regulation (EU) No 185/2010;                                             

any other changes to premises or procedures likely to significantly impact on security.                                             

[name of RA3] will inform the ACC3 and RA3’s to which it delivers secured air cargo and/or air mail if [name of RA3] ceases                                          trading, no longer deals with air cargo/air mail or can no longer meet the requirements validated in this report.                                    

[name of RA3] 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 RA3] activities.                                    

On behalf of [name of RA3] 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 KC3] I take note of the following:                           

This report establishes the level of security applied to EU/EEA bound(6) air cargo operations in respect of the security standards listed in the checklist or referred to therein(7).                           

[Name of KC3] can only be designated ‘third country EU aviation security validated known consignor’ (KC3) once an EU aviation                                 security validation has been successfully completed with a ‘PASS’ by an EU aviation security validator listed in the Union                                 database for the regulated agents and known consignors.                           

If the report establishes a non-compliance in the security measures it refers to, this could lead to the withdrawal of [name                                 of KC3] designation as a KC3 already obtained for this premise which will prevent [name of KC3] from delivering secured air                                 cargo or mail for EU/EEA destination to an ACC3 or a third country EU aviation security validated regulated agent (RA3).                           

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

On behalf of [name of KC3] I declare that:                           

[name of KC3] will accept appropriate follow-up action for the purpose of monitoring the standards confirmed by the report.                                    

Any changes to [name of KC3] operations not requiring full re-validation will be noted on the original report by adding the                                          information while keeping the previous information visible. This may concern the following changes:                                    

the overall responsibility for security is assigned to anyone other than the person named in point 1.9 of Attachment 6-C4                                                   to Regulation (EU) No 185/2010;                                             

any other changes to premises or procedures likely to significantly impact on security.                                             

[name of KC3] will inform the ACC3 and the RA3’s to which it delivers secured air cargo and/or air mail if [name of KC3] ceases                                          trading, no longer deals with air cargo/air mail or can no longer meet the requirements validated in this report.                                    

[name of KC3] 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 KC3] activities.                                    

On behalf of [name of KC3] I accept full responsibility for this declaration.                           

Name:                           

Position in company:                           

Date:                           

Signature:’                           

1

OJ L 97, 9.4.2008, p. 72.                           

2

OJ L 55, 5.3.2010, p. 1.                           

3

European Union Member States: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France,                              Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal, Romania,                              Slovakia, Slovenia, Spain, Sweden and the United Kingdom.                           

4

EU/EEA bound air cargo/air mail/aircraft in this validation checklist is equivalent to EU and Iceland, Norway and Switzerland                              bound air cargo/air mail/aircraft.’                           

5

OJ L 324, 22.11.2012, p. 25.’                           

6

Airports situated in Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany,                              Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal, Romania, Slovakia,                              Slovenia, Spain, Sweden, the United Kingdom as well as Iceland, Norway and Switzerland.                           

7

Regulation (EU) No 185/2010 as amended by Implementing Regulation (EU) No 859/2011 and (EU) No 1082/2012.’