Commission Regulation (EC) No 1217/2003 of 4 July 2003 laying down common specifications for national civil aviation security quality control programmes (Text with EEA relevance)
Date: 2003-07-04
Institutions: European Commission
Subjects: approximation of laws, civil aviation, evaluation method, qualitative analysis, transport safety

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COMMISSION REGULATION (EC) No 1217/2003

of 4 July 2003

laying down common specifications

for national civil aviation security quality control

programmes

(Text with EEA relevance)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

HAS ADOPTED THIS REGULATION:

Having regard to the Treaty establishing the European
Community,

Having regard to Regulation (EC) No 2320/2002 of
the
European Parliament and of the Council of 16 December 2002
establishing common rules
in the field of civil aviation
security (1), and in particular Article 7(1) thereof,

Whereas:

CHAPTER I

OBJECTIVE AND DEFINITIONS

Article 1

Objective

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

The development and implementation of a national civil
aviation security quality control programme by each
Member State is essential to ensure the effectiveness of
its national civil aviation security programme in accor-
dance with Article 5(3) of Regulation (EC) No 2320/
2002.

Specifications for the national civil aviation security
quality control programme to be implemented by the
Member States should ensure a harmonised approach in
this respect. Therefore a Regulation is the most suitable
instrument for this purpose.

The monitoring of national civil aviation security quality
requires a
control programmes at Community level
harmonised approach to the assessment of compliance
at national level.

To be effective, audits to be undertaken under the
responsibility of
the appropriate authority should be
carried out regularly. They should not be restricted as to
the subject, stage or moment at which they are carried
out. They should take the most suitable forms to ensure
their effectiveness.

Priority should be given to the development of a detailed
common methodology for audits.

It is necessary to develop a harmonised way of reporting
on the measures taken to fulfil the obligations under this
Regulation and on the aviation security situation at the
airports in the territories of the Member States.

civil

National
control
programmes should be based on best practices. Such
best practices should be shared between Member States.

aviation

security

quality

The measures provided for in this Regulation are in
accordance with the opinion of the Committee for Civil
Aviation Security,

(1) OJ L 355, 30.12.2002, p. 1.

This Regulation lays down the common specifications for the
national civil aviation security quality control programme to be
implemented by each Member State. This includes establishing
common requirements
for quality control programmes, a
common methodology for the audits to be undertaken and
common requirements for auditors.

Article 2

Definitions

For the purpose of this Regulation the following definitions
shall apply:

1.

2.

3.

4.

5.

6.

7.

8.

‘appropriate authority’ shall mean the national authority
designated by a Member State pursuant to Article 5(2) of
Regulation (EC) No 2320/2002 to be responsible for the
coordination and monitoring of the implementation of its
national civil aviation security programme;

‘audit’ shall mean any procedure or process used for
compliance monitoring undertaken at national
It
covers security audits, inspections, surveys, tests and inves-
tigations;

level.

‘auditor’ shall mean any person conducting audits at
national level;

‘deficiency’ shall mean failure to comply with aviation
security requirements;

‘inspection’ shall mean an examination of the implementa-
tion of one or more aspects of security measures and
procedures in order to determine how effectively they are
being carried out;

‘investigation’ shall mean an examination of a security inci-
dent and an explanation of its cause in order to avoid
recurrence and to consider legal action;

‘quality control programme’ shall mean the national civil
aviation security quality control programme;

‘security audit’ shall mean an in-depth examination of all
aspects of security measures and procedures in order to
determine if they are being implemented on a continual
basis and to a constant standard;

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9.

‘security incident’ shall mean an occurrence with negative
implications for the security and safety of persons and
property;

Article 5

Compliance monitoring

10.

11.

‘survey’ shall mean an evaluation of operations in order to
determine security needs. This includes the identification
of vulnerabilities which could be exploited to carry out an
act of unlawful interference, despite the implementation of
security measures and procedures, and the recommenda-
tion of compensatory protective measures commensurate
with the threat to address any identified risk;

‘test’ shall mean a trial of aviation security measures, where
the appropriate authority introduces or simulates intent to
commit an unlawful act for the purpose of examining the
security
efficiency
measures.

implementation

existing

and

of

CHAPTER II

COMMON REQUIREMENTS

FOR QUALITY

CONTROL

PROGRAMMES

Article 3

Powers of the appropriate authority

In order to ensure the effectiveness of its national civil aviation
security programme, Member States shall provide the appro-
priate authority with necessary enforcement powers.

Article 4

Content of the quality control programme

1.
The quality control programme shall contain all necessary
quality control monitoring measures taken to assess on a
regular basis the implementation of the national civil aviation
security programme, including the policies on which they are
based.

The implementation of the national civil aviation security

1.
programme shall be monitored.

2. Monitoring shall be undertaken in accordance with the
quality control programme, taking into consideration the threat
level, type and nature of the operations, standard of implemen-
tation, and other factors and assessments which will demand
for more frequent monitoring.

3.
The management, setting of priorities and organisation of
the quality control programme shall be undertaken indepen-
implementation of the measures
dently from the operational
taken under the national civil aviation security programme.

Article 6

Reporting

1. Member States shall annually submit a report
to the
Commission on the measures taken to fulfil their obligations
under this Regulation and on the aviation security situation at
the airports located in their territory. Guidelines for reporting
are set out in Annex I.

The reference period for the report shall be 1 January —
2.
31 December. The report shall be due two months after
completion of the reference period. Exceptionally, a report shall
be submitted by the end of February 2004 for the period 19
July 2003 to 31 December 2003.

CHAPTER III

COMMON METHODOLOGY FOR AUDITS

Article 7

Conduct of audits

Compliance monitoring activities shall include both announced
and unannounced activities.

The quality control programme shall include and address

2.
the following elements:

Article 8

(a) organisational structure, responsibilities and resources;

Classification of compliance

(b) job descriptions and qualifications of all auditors respon-

sible for carrying out the quality control programme;

(c) operational monitoring activities,

including types, aim,
content, frequency and focus of security audits, inspections,
surveys and tests as well as classification of compliance and
the scope and responsibilities of investigations whenever
applicable;

(d) deficiency

rectification

details
concerning deficiency reporting, follow-up and rectification
in order to effectively ensure aviation security requirements
compliance;

providing

activities

(e) enforcement measures; and

(f) communications and reporting of undertaken activities and
the level of aviation security requirements compliance.

Security audits, inspections and tests shall assess the implemen-
tation of the national civil aviation security programme using
the harmonised classification system of compliance set out in
Annex II.

CHAPTER IV

COMMON REQUIREMENTS FOR AUDITORS

Article 9

Availability of auditors

Each Member State shall take the appropriate steps to ensure
for
are
that
performing all compliance monitoring activities.

sufficient number of

available

auditors

a

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Article 10

(e) a working knowledge of the operations being examined.

Qualification criteria for auditors

1.
Each Member State shall ensure that auditors performing
functions on behalf of the appropriate authority shall have
appropriate qualifications, which shall include sufficient theore-
tical and practical experience in the relevant field.

2.

The auditors shall have:

(a) a good understanding of the national civil aviation security
programme and how it is applied to the operations being
examined;

(b) where appropriate, knowledge of

the more stringent
measures as applicable in the Member State concerned and
the location being examined;

(c) a good working knowledge of security technologies and

techniques;

(d) a knowledge of audit principles, procedures and techniques;

CHAPTER V

COMMON PROVISIONS

Article 11

Sharing of best practices

Member States shall inform the Commission of best practices
with regard to quality control programmes, audit methodolo-
gies and auditors. The Commission shall share this information
with the Member States.

Article 12

This Regulation shall enter
into force on the 20th day
following that of its publication in the Official Journal of the
European Communities.

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

Done at Brussels, 4 July 2003.

For the Commission

Loyola DE PALACIO

Vice-President

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ANNEX I

GUIDELINES FOR REPORTING TO THE COMMISSION

Organisational structure, responsibilities and resources

— Modalities of the quality control organisation, responsibilities and resources, including planned future amendments

(see Article 4(2)(a))

— Number of auditors — present and planned (see Article 9)

— Qualification of auditors — training facilities used and resources (see Articles 4(2)(b) and 10)

— Explanation if the quality control programme for this part is not being applied in full.

Operational monitoring activities

— Status of the implementation of the operational activities: types, aim, content, frequency and focus of all monitoring
activities (see Article 4(2)(c)), including number of audits per airport and per area of security measure requirements
(e.g. access control, aircraft protection, hold baggage screening) where appropriate and possible

— Proportionality of operational monitoring activities in relation to field activities (see Article 5(2))

— Level of compliance per area of aviation security requirements (e.g. access control, aircraft protection, hold baggage

screening) (see Article 8)

— Explanation if the operational activities are not being applied in full.

Deficiency rectification activities

— Status of the implementation of the deficiency rectification activities (see Article 4(2)(d))

— Main areas of concern with regard to the implementation of aviation security requirements (e.g. access control,

aircraft protection, hold baggage screening)

— Main activities undertaken or planned aimed at rectification (e.g. security awareness trainings, workshops, incentive

programmes)

— Enforcement measures used (see Article 4(2)(e)).

Aviation security situation at airports

— General context of the aviation security situation at the airports in the Member State.

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ANNEX II

Harmonised classification system of compliance

The following classification of compliance shall apply to assess the implementation of the national civil aviation security
programme.