REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL 2011 ANNUAL REPORT ON THE IMPLEMENTATION OF REGULATION (EC) No. 300/2008 ON COMMON RULES IN THE FIELD OF CIVIL AVIATION SECURITY
Date: 2012-07-24
Institutions: European Commission
Subjects: air safety, airport, civil aviation, load, roadworthiness tests, safety standard, transport staff

EUROPEAN COMMISSION 

Brussels, 24.7.2012 
COM(2012) 412 final 

REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND 
THE COUNCIL  

2011 ANNUAL REPORT ON THE IMPLEMENTATION OF REGULATION (EC) No. 
300/2008 ON COMMON RULES IN THE FIELD OF CIVIL AVIATION SECURITY 

EN 

   EN 

 
 
 
 
  
 
REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND 
THE COUNCIL 

This report covers the period 1 January – 31 December 2011 

INTRODUCTION 

2011  was  the  first  full  year  of  implementation  of  Regulation  (EC)  No  300/2008  and  its 
implementing provisions since the revised aviation security rules entered into force in April 
2010.  Throughout  the  year,  the  Commission  worked  steadily  with  Member  States  and  the 
industry to ensure a consistent implementation  of  this  new  legal  framework.  The  inspection 
regime implemented by the Commission provided useful feedback on the main implementing 
challenges and allowed identifying areas that needed small adaptations to further increase the 
clarity of this new legal framework.   

The  report  describes  the  Commission's  inspection  activity  during  2011  and  recalls 
developments in the area of legislation, trials and studies, and international relations. 

PART ONE 

THE INSPECTIONS 

1. 

GENERAL 

The  Commission  is  required,  under  the  terms  of  Regulation  (EC)  300/2008  to  conduct 
inspections of Member States' aviation security administrations (the 'appropriate authorities') 
and of airports, operators and entities. Switzerland is also covered by the Union programme, 
while Norway and Iceland (and Liechtenstein) are inspected against parallel provisions by the 
EFTA Surveillance Authority (ESA). To carry out its inspection work, the Commission has a 
team  of  10  aviation  security  inspectors.  This  inspection  work  is  supported  by  a  pool  of 
currently  87  national  inspectors  nominated  by  Member  States,  Iceland,  Norway  and 
Switzerland. A chart summarising all Commission and ESA compliance monitoring activity 
to date is attached in an Annex.  

2. 

INSPECTIONS OF NATIONAL APPROPRIATE AUTHORITIES 

The  Commission  monitored  10  appropriate  authorities  during  2011,  all  of  which  had  been 
subject  to  previous  Commission  inspections.  For  several  Member  States  these  inspections 
showed  significant  improvements  from  the  past.  The  deficiencies  most  commonly  found  in 
2011  were  similar  to  those  in  2010  and  related  to  the  yet  outstanding  full  alignment  of  the 
National Aviation Security Programmes and the National Quality Control Programmes to the 
new legal framework of Regulation (EC) 300/2008.  

 
 
 
 
 
As regards implementation of the measures, there was still evidence in some Member States 
of a lack of capacity to detect and correct failures swiftly. Some Member States had failed to 
monitor  all  required  aspects  of  the  legislation  and  follow-up  activities  were  sometimes 
inadequate.  Sanctions  were  foreseen  in  the  legislation  of  all  Member  States,  but  were  not 
always applied in case deficiencies were not corrected swiftly.  

The  financial  crisis  and  resulting  pressure  on  public  budgets  also  affected  the  resources 
available for national compliance monitoring activities in certain Member States.  

3. 

INITIAL INSPECTIONS AT AIRPORTS 

Nineteen (19) initial inspections of airports were conducted during 2011, the same number as 
carried  out  in  2010.  All  chapters  were  covered  (although  not  during  each  inspection).  The 
overall  percentage  of  core  measures  found  to  be  in  compliance  in  2011  was  80%  and  thus 
identical to the compliance rate in 2010. 
The deficiencies which were found in the area of traditional measures1 tended, by and large, 
to stem from human factor issues and did not change significantly from previous years. Non-
compliances in the area of traditional measures at the airports inspected during 2011 mainly 
related to  the quality  of staff  screening  as  well  as  to  certain  cargo  security  requirements. In 
particular, the inadequate quality of hand searches of staff continued to be a challenge. In the 
area of cargo, most non-compliances related to the selection of the most suitable methods for 
screening,  given  the  nature  of  the  consignment,  and  standards  for  applying  them.  These 
human factor issues require careful attention and, until new technological and/or procedural 
alternatives are available, should be addressed through intensified training and supervision. 

Furthermore, certain additional measures introduced under the new regulatory framework had 
not yet been fully  implemented at  the airports inspected in 2011. Non-compliances arose in 
relation  to  methods  and  standards  of  screening  of  in-flight  and  airport  supplies  (where  a 
secure supply chain had not yet been fully deployed) and missing risk assessments in order to 
establish  adequate  means  and  frequencies  of  patrols  at  airports.  Member  States’  appropriate 
authorities should actively pursue the implementation of these new provisions. 

4. 

FOLLOW-UP INSPECTIONS 

In accordance with Article 13 of Regulation 72/2010, the Commission routinely carries out a 
limited  number  of  follow-up  inspections.  Such  follow-up  inspections  are  frequently  carried 
out  in  cases  where  several  serious  deficiencies  have  been  identified  during  the  initial 
inspection but  also, although to a lesser extent, on a random basis  to verify the accuracy of 
national compliance monitoring activities and reporting. Five such activities were carried out 
during 2011 and mostly confirmed the adequate rectification of identified deficiencies. 

5. 

OPEN FILES, ARTICLE 15 CASES AND LEGAL PROCEEDINGS 

Inspection  files  remain  open  until  the  Commission  is  satisfied  that  appropriate  rectification 
action has been taken. 30 files (18 airport and 12 appropriate authorities) were closed during 
2011. In all, 12 appropriate authority and 12 airport inspection files remained open at the end 
of the year. 

1 

Measures  are  defined  as  ‘traditional’  if  already  applicable  under  the  legal  framework  of  Regulation 
(EC) 2320/2002 

3

 
 
                                                 
If deficiencies found at an airport are considered so serious as to present a significant threat to 
the overall level of civil aviation security in the Union, the Commission will activate Article 
15  of  Regulation  (EU)  No.  72//20102.  This  means  that  all  other  appropriate  authorities  are 
alerted  to  the  situation  and  additional  measures  would  have  to  be  considered  in  respect  of 
flights from the airport in question. During 2011 no such activation was necessary. 

infringement  proceedings  were 

The  other  possible  sanction  in  the  most  serious  cases,  or  in  cases  of  prolonged  non-
rectification  or  reoccurrence  of  deficiencies,  is  to  open  infringement  proceedings.  In  2011, 
inspections  of  national 
initiated 
two 
administrations.  In  both  cases,  the  concerned  Member  State  failed  to  maintain  its  national 
aviation  security  programme.  During  the  same  year  three  other  infringement  cases  were 
closed following rectification of the identified shortcomings.  

following 

MEMBER STATES' OWN EVALUATIONS  

6. 
Point 18 of the Annex to Commission Regulation 18/20103 obliges Member States to submit 
an  annual  report  to  the  Commission  by  the  end  of  March  each  year,  covering  the  results  of 
their  national  compliance  monitoring  for  the  period  Jan-Dec  of  the  preceding  year.  The 
Member  States’  contributions  for  the  reporting  period  Jan-Dec  2010  were  all  submitted  on 
time and all followed the Commission template.  

The  analysis  of  these  reports  showed  that  several  Member  States  did  not  respect  in  full  the 
requirements relating to scope and frequencies of national monitoring activities. In addition, a 
significant  number  of  Member  States  declared  that  they  had  not  yet  developed  standard 
protocols for covert testing of aviation security requirements.  The Commission has taken up 
these issues  in the  agenda  of the working group on inspections set up under the Regulatory 
Committee for aviation security in order to assist Member States to reach compliance with the 
common requirements. 

PART TWO 

THE LEGISLATION AND SUPPLEMENTARY TOOLS 

1. 

GENERAL 

New aviation security legislative acts adopted during 2011 mainly related to the deployment 
of security scanners and new requirements for cargo and mail arriving from third countries. 

Following the completion of a full impact assessment, legislation governing the deployment 
of security scanners was adopted. This ensures that security scanners are used in a harmonised 
manner ensuring a high level of security while respecting passengers' fundamental rights, in 
particular as regards health, privacy and data protection and passengers entitlement to opt out 
from the security scanner procedure. The Commission will pay particular attention to ensure 
that these rules are fully respected by Member States.   

2 

3 

Commission Regulation (EU) No 72/2010 of 26 January 2010 laying down procedures for conducting 
Commission inspections in the field of civil aviation security, OJ L23 of 27.1.2010, p.1 
Commission Regulation (EU) No 18/2010 of 8 January 2010 amending Regulation (EC) No 300/2008 
of  the  European  Parliament  and  of  the  Council  as  far  as  specifications  for  national  quality  control 
programmes in the field of civil aviation security are concerned OJ L7 of 12.1.2010, p. 3.  

4

 
 
 
                                                 
In response to the Yemen cargo incident in late October 2010 the Commission together with 
Member  States  and  involving  stakeholders  also  swiftly  developed  appropriate  legal 
requirements for cargo flown into the EU from third countries.  

In addition, anticipated implementation difficulties to screen liquids required changes to the 
implementation  date  for  the  first  phase  of  mandatory  liquids  screening  at  EU  airports.  A 
working  group  was  set  up  and  a  study  to  analyse  all  relevant  factors  connected  to  the 
deployment  of  liquid  screening  equipment  at  EU  airports  was  commissioned.  Finally,  an 
extension  of  the  time  span  for  the  use  of  Standard  2  explosive  detection  systems  became 
necessary and was adopted in the autumn of 2011. 

2. 

SUPPLEMENTARY LEGISLATION ADOPTED  

The new legislative texts adopted during 2011 were: 

• 

• 

• 

• 

• 

• 

• 

Regulation  (EU)  720/20114  supplementing  the  common  basic  standards  on  civil 
aviation security as regards the phasing-in of the screening  of liquids, aerosols and 
gels at EU airports; 
Regulation (EU) 859/20115 laying down detailed measures for the implementation of 
the common basic standards on aviation security in respect of air cargo and mail; 
Regulation (EU) 1087/20116 laying down detailed measures for the implementation 
of the common basic standards on aviation security in respect of explosive detection 
systems; 
Regulation  (EU)  1141/20117  supplementing  the  common  basic  standards  on  civil 
aviation security as regards the use of security scanners at EU airports; 
Regulation (EU) 1147/20118 laying down detailed measures for the implementation 
of the common basic standards on aviation security in respect of security scanners; 
Decision  2011/5862/EU9  laying  down  detailed  measures  for  the  implementation  of 
the common basic standards on aviation security in respect of air cargo and mail; 
Decision 2011/8042/EU10 laying down detailed measures for the implementation of 
the common basic standards on aviation security in respect of security scanners; 

These texts were finalised during 6 regular meetings and 2 special meetings of the Aviation 
Security Regulatory Committee as well as 6 meetings of the Stakeholders’ Advisory Group on 
Aviation Security. 

4 

5 

6 

7 

8 

9 

10 

Commission Regulation (EU) No 720/2011 of 22 July 2011 amending Regulation (EC) No 272/2009, 
OJ L 193, 23.7.2011, p. 19–21 
Commission Implementing Regulation (EU) No 859/2011 of 25 August 2011 on amending Regulation 
(EU) No 185/2010, OJ L 220, 26.8.2011, p. 9–15 
Commission Implementing Regulation (EU) No 1087/2011 of 27 October 2011 amending Regulation 
(EU) No 185/2010, OJ L 281, 28.10.2011, p. 12–13 
Commission  Regulation  (EU)  No  1141/2011  of  10  November  2011  amending  Regulation  (EC)  No 
272/2009, OJ L 293, 11.11.2011, p. 22–23 
Commission Implementing Regulation (EU) No 1147/2011 of 11 November 2011 amending Regulation 
(EU) No 185/2010, OJ L 294, 12.11.2011, p. 7–11 
Commission Decision 2011/5862/EU of 17 August 2011 addressed to all Member States; not published 
in the OJ (restricted and confidential material) 
Commission  Decision  2011/8042/EU  of  14  November  2011  addressed  to  all  Member  States;  not 
published in the OJ (restricted and confidential material) 

5

 
 
                                                 
3. 

REGULATED AGENT AND KNOWN CONSIGNOR DATABASE  

To  strengthen  the  secure  supply  chain  in  air  cargo  and  air  mail  as  well  as  to  facilitate  its 
homogenous  implementation  in  the  EU,  the  regulated  agent  and  known  consignor  (RAKC) 
database was developed and has been maintained since its full deployment on 1st June 2010 
under a Commission framework contract. The RAKC database contained at the end of 2011 
about 8,500 records of regulated agents and (independently validated) known consignors. It is 
the  only  legal  primary  tool  to  be  used  by  regulated  agents  for  consultation  when  accepting 
consignments from another regulated agent or known consignor.  

Following the entry into force of new requirements for air carriers transporting cargo into the 
EU  from  third  countries,  work  to  enlarge  the  database  in  order  to  include  also  these  air 
carriers has started. 

4. 

EU AIRPORT INSPECTIONS – HANDBOOKS 

Regulations (EC) No. 300/2008 and (EU) No. 72/2010 require that compliance monitoring by 
the Commission services on civil aviation security requirements shall be objective and use a 
standard methodology. 

To  contribute  to  this  aim,  the  Commission  set  up  and  maintains  two  comprehensive 
handbooks  with  detailed  prompts  and  guidance  for  EU  inspectors  in  the  field.  These 
handbooks are subject to regular review. 

PART THREE 

TRIALS AND STUDIES 

TRIALS 

1. 
A  'trial'  in  the  sense  of  the  EU  aviation  security  legislation11  is  conducted  when  a  Member 
State agrees with the Commission that it will use a particular means or method not recognised 
under  the  terms  of  the  legislation  to  replace  one  of  the  recognised  security  controls,  for  a 
limited  period  of  time,  provided  that,  in  particular,  such  trials    do  not  negatively  affect  the 
overall level of security being attained.. The term does not, in the legal sense, apply when a 
Member  State  or  entity  is  conducting  an  evaluation  of  a  new  security  control  deployed  in 
addition to one or more of those already covered by the legislation. 

New trials were initiated during 2011 in Spain and the United Kingdom. These concerned the 
use  of  explosive  trace  detection  and  hand  held  metal  detectors  for  screening  of  religious 
headgear worn by passengers. In addition, a number of trials of security scanners continued 
during 2011 before the formal adoption of EU legislation for the deployment of such security 
scanners. One of these trials is still ongoing in the UK. 

11  

See  Article  12.8."Methods  of  screening  using  new  technologies"  of  the  Annex  of  the  Commission 
Regulation (EU) No. 185/2010 laying down detailed measures for the implementation of the common 
basic standards on aviation security, OJ L 55, 5.3.2010, p.1 

6

 
 
 
                                                 
2. 

STUDIES 

EU  rules  on  aviation  security  require  all  liquids  (duty-free  and  taken  from  home)  to  be 
screened  (instead  of  rejected)  as  of  29  April  2013.  In  order  to  ensure  that  appropriate  and 
concrete steps are taken in view of the 2013-deadline, at the end of 2011 the Commission set 
up  a  2013-Liquid  Working  Group  and  launched  a  study  to  assess  the  operational  impact  of 
liquids screening at EU airports. 

Furthermore, a study on Threat Image Projection (TIP) technology used in screening of cabin 
baggage and hold baggage was conducted throughout the year. The final report, due in 2012, 
will  base  itself  on  the  analysis  of  results  from  covert  test  activities  at  TIP  and  non-TIP 
airports.   

Finally, the Commission launched a study on the impact of new EU security rules for inbound 
cargo at the end of 2011. The final report, due towards the end of 2012, is expected to provide 
timely input before the end of the transitional period for independent validations of air carriers 
transporting cargo from third countries into the EU, which expires on 30 June 2014. 

PART FOUR 

DIALOGUE WITH INTERNATIONAL BODIES AND THIRD COUNTRIES 

1. 

GENERAL 

The Commission is fully engaged with international bodies and key third country partners in 
preparing  and  participating  in  international  meetings  having  a  security  dimension.  The 
Commission  is  heavily  involved  in  co-ordinating  the  EU  position  and  often  making 
presentations  and  submitting  papers.  Dialogues  are  also  opened,  as  appropriate,  with 
individual  third  countries  on  issues  of  bilateral  concern  or  shared  interest.  Fostering  such 
relations  with  international  bodies  and  key  third  countries  ensures  that  the  EU  is  well 
informed  and positioned to influence  global policy on aviation  security, both from the rule-
making  perspective  and  from  the  implementation  perspectives  where  capacity-building  is 
important in some regions of the world. 

2. 

INTERNATIONAL BODIES 

In  representing  the  EU,  the  Commission  participates  in  the  annual  meeting  of  the  ICAO 
Aviation  Security  Panel.  At  the  2011  meeting  of  the  Panel  (Montreal,  21-25  March),  the 
European  Commission  and  EU  Member  States  presented  papers  to  the  Panel  on  air  cargo 
security – concerning both forthcoming EU rules and the need for strengthened international 
rules – and on EU rules concerning screening of liquids. 

The  Commission  also  regularly  takes  part  in  meetings  of  the  European  Civil  Aviation 
Conference (ECAC), notably the ECAC Security Forum and the ECAC Technical Task Force 
which leads on technology issues. In some cases, ECAC's work has assisted in the work of the 
EU Regulatory Committee for Civil Aviation Security.  

3. 

THIRD COUNTRIES 

The Commission actively continued the dialogue on aviation security issues with the US in a 
number  of  fora,  in  particular  the  EU-US Transportation  Security Cooperation  Group, which 

7

 
 
progressed  work  towards  one-stop  security,  applicable  as  from  1  April  2011,  thus  allowing 
passengers and their baggage arriving from US airports to transfer through EU airports onto a 
connecting  flight  without  necessarily  having  to  be  subjected  to  security  controls  again12.  In 
2011, the Commission took part in inspections of US airports in relation to the application of 
one-stop security. 

The  Commission  also  intervened  on  a  number  of  occasions  when  Member  States  raised 
concerns  about  additional  security  measures  imposed  by  the  US  on  EU  air  carriers,  in 
particular with regard to air cargo security where requests by the US appeared to duplicate the 
application  of  security  controls  under  the  EU  aviation  security  regime.  In  that  respect,  the 
Commission  agreed  on  a  programme  for  cargo  recognition  whereby  the  US  would  work 
towards recognising EU security measures in lieu of equivalent US measures. Work on this 
initiative was intensified in the latter half of 2011 with the aim of finalisation in 2012. 

CONCLUSION 

While,  overall,  a  high  level  of  security  continues  to  be  ensured  in  the  EU,  Commission 
inspections have revealed some shortcomings. In traditional measures shortcomings identified 
in  the  areas  of  staff  and  cargo  screening  tended,  by  and  large,  to  stem  from  human  factor 
issues.  In  additional  measures  implemented  under  the  new  legal  framework  of  Regulation 
(EC)  300/2008  further  non-compliances  found  were  related  to  patrols  at  airports,  risk 
assessment  and  screening  of 
in-flight  supplies  and  airport  supplies.  Commission 
recommendations  for  corrective  action  were  on  the  whole  followed  up  satisfactorily  and 
confirm the importance of a robust EU inspection regime and of adequate quality assurance at 
Member  State  level.  The  Commission  will  continue  its  efforts  to  ensure  that  all  legal 
requirements are fully and correctly implemented, using its established peer review system as 
well as instigating formal infringement procedures if necessary. 

On the legislative front, further detailed implementing rules were adopted during 2011 mainly 
to  permit  the  deployment  of  security  scanners  under  certain  conditions  and  to  increase 
security of cargo and mail being transported into the EU. These and other measures are also 
being taken forward on the international front in contacts with international organisations and 
third countries in order to increase global aviation security standards. 

12 

Commission Regulation (EU) No 983/2010 of 3 November 2010, amending Regulation (EU) 185/2010, 
OJ L286 of 4.11.2010, p.1 

8

 
 
                                                 
Annex 

Commission inspections as at 31.12.2011 

State 

Austria 

Belgium 

Bulgaria 

Cyprus 

Czech Republic 

Denmark 

Estonia 

Finland 

France 

Germany 

Greece 

Hungary 

Ireland 

Italy 

Latvia 

Lithuania 

Luxembourg 

Malta 

Netherlands 

Poland 

Portugal 

Romania 

Slovakia 

Slovenia 

Spain 

Sweden 

United Kingdom 

Non EU Members : 

Switzerland 

TOTAL 

Number of inspections 
01/2011 -12/2011 
(including follow-ups) 

Total number of 
inspections 2004-2011 
(including follow-ups) 

9 

10 

6 

6 

7 

9 

5 

8 

15 

17 

13 

7 

8 

15 

5 

4 

6 

3 

7 

9 

8 

3 

4 

5 

14 

11 

17 

5 

236 

0 

1 

1 

1 

2 

2 

1 

1 

3 

3 

1 

2 

0 

3 

1 

0 

0 

0 

0 

2 

0 

0 

0 

1 

2 

2 

4 

1 

34 

9

 
 
 
 
 
 
 
EFTA Surveillance Authority inspections as at 31.12.2011 

State 

Iceland 

Norway 

TOTAL 

Number of inspections 
01/2011-12/2011  
(including follow-ups) 

Total number of 
inspections 2004-2011 
(including follow-ups) 

2 

4 

6 

9 

35 

44 

10