Air Cargo Security Compliance Requirements

Transcription

1 Lead Partner Task Leader Project Project name: Baltic.AirCargo.Net Improvement of the air cargo transport sector by service oriented ICT-methods and processing logistic network Project ID #050 Air Cargo Security Compliance Requirements Deliverables Index Work Package # Task # Task Leader Version / Release 3 - AIR CARGO MARKET - Analysis & Outlooks Air Cargo Security Regulations Compliance Requirements [ICE] FINAL Date Coordinator Marcus Hallside Part-financed by the European Union (European Regional Development Fund and European Neighbourhood and Partnership Instrument)

2 Lead Partner Task Leader Project Table of Contents (Project deliverables) COMPONENT TITLE DESCRIPTION Part A Part B Air Cargo Regulations prior to the enactment of Implementing Regulation (EU) No 1082/2012 Support for BSR Airports with respect to Commission Implementing Regulation (EU) No 1082/ November 2012 amending Regulation (EU) No 185/2010 in respect of EU aviation security validation (the ACC3 Regulation) A.1 Review of Air Cargo Security Regulations and significance for BSR A.2 Compliance Data Acquisition B.1 Background to ACC3 Regulation and impact on BSR airports B.2 ACC3 Air Cargo Security Newsletters B.3 Visit with BSR Airport Managers in Belarus to present approach to and obtain feedback B.4 Updated ACC3 Overview for BSR Airport Managers after Belarus visit B.5 EU Aviation Security Validation Guide for BSR Airports Evolution of Task 3.4 of Work Package 3 Air Cargo Market In establishing the content of task Air Cargo Security Regulations Compliance Requirements, the original proposition was to: evaluate air cargo and supply chain security procedures and processes that will enable airports and air cargo stakeholders in BSR to be accepted as having equivalent security procedures to those in EU Member States, and thus be considered as equal members of the air cargo community across Europe and Worldwide This was supported by a review of the air Cargo Security Regulations and the significance for BSR, to be further enhanced by the collection of air cargo supply chain compliance data in the BSR. Early during the life of the project in 2010, the EU tabled Regulation (EU) No 185/2010, which without providing full implementation details, stated that the EU requirements to enable air cargo to be flown from BSR airports (from States that are not EU Member States), would be significantly changed and the methods and approach required to secure air cargo after July 2014, would require a new level of awareness. The authors of Task 3.4 therefore proposed that on the enactment of the new Regulation, that was voted on as Regulation (EU) No 1082/2012 on 9 November 2012 amending Regulation (EU) No 185/2010 in respect of EU aviation security validation, the focus on task 3.4 would be changed to provide information and tools to BSR airports to facilitate compliance with this new Regulation, which Page 2 of Part-financed by the European Union (European Regional Development Fund and European Neighbourhood and Partnership Instrument)

3 Lead Partner Task Leader Project is referred to as the ACC3 Regulation. Prior to the enactment on 9 November 2012, the objective and outputs of Task 3.4 are defined and referenced as PART A, thereafter they are defined and referenced as Part B, Page 3 of Part-financed by the European Union (European Regional Development Fund and European Neighbourhood and Partnership Instrument)

4 Lead Partner Task Leader Project Project name: Baltic.AirCargo.Net Improvement of the air cargo transport sector by service oriented ICT-methods and processing logistic network Project ID #050 Air Cargo Security Compliance Requirements PART A.1 Review of Air Cargo Regulations prior to the enactment of Implementing Regulation (EU) No 1082/2012 amending Commission Regulation (EU) No 185/2010 in respect of EU Aviation Security Validations Work Package # Task # Task Leader Version / Release 3 - AIR CARGO MARKET - Analysis & Outlooks Air Cargo Security Regulations Compliance Requirements [ICE] FINAL Date Co-Ordinator Marcus Hallside Part-financed by the European Union (European Regional Development Fund and European Neighbourhood and Partnership Instrument)

5 Lead Partner Task Leader Project Table of contents 1. The Role of Air Cargo Security in Baltic Air Cargo.net Introduction BSR States Air cargo security challenges in BSR Overview of Task Introduction Sub-tasks and document structure Review of Relevant Current Air Cargo Regulations Introduction Legend European Regulations Common Rules European Regulations Implementing Measures EU Regulations relating to ICAO ICAO Annex State Regulations U.S. C.F.R. Part 1546 Foreign Air Carrier Evolving Air Cargo Regulatory Framework Introduction European action plan to strengthen air cargo security TSA 100% air cargo screening requirement th meeting of the ICAO Facilitation Panel (FALP) in May Hearing of the US Senate Committee on Commerce, Science and Transportation held on Dec Proposals of the Global Air Cargo Advisory Group Conclusion Certification of Participants in the Air Cargo Supply Chain Introduction International standards and certification challenges Certification alternatives Generic Security Programmes Government certification authorities Business certification/standards associations Customs (AEO) certification Employee background Checks Conclusion Screening of air cargo Introduction Work Package 3.4 Air Cargo Security Release 1.6 Page: 2

6 Lead Partner Task Leader Project 6.2 Physical examination (screening) of air cargo shipments Electronic screening of shipment information Chain of custody validations Conclusion BSR air cargo security awareness and Incident reporting Introduction Security awareness building and training Security incident reporting Conclusion Appendix I Air Cargo Security Definitions Appendix II Air Cargo Security Abbreviations Appendix III EU action plan to strengthen air cargo security Appendix IV TSA 100% Screening Communication Table of Figures Figure 1 - Baltic Sea Region Figure 2 - Regulated or Non-regulated air cargo stakeholders... 7 Figure 3: End-to-end supply chain List of Tables Table 1 EU and non EU States... 6 Table 2 - Legend for regulatory review Table 3 - Differences in the world-wide implementation of air cargo known consignor/trusted trader systems Table 4 - -Objectives of a Generic Security Programme Table 5 - Abbreviated table of contents Regulated agent security programme Table 6 - Abbreviated table of contents Logistics/road transport security programme Work Package 3.4 Air Cargo Security Release 1.6 Page: 3

7 Lead Partner Task Leader Project 1. The Role of Air Cargo Security in Baltic Air Cargo.net 1.1 Introduction The goal of Baltic Air Cargo net is the improvement of the Baltic air cargo transport sector by the use of modern, service oriented ICT-methods and logistic interfaces. Work Package 3 is entitled the Air Cargo Market Analysis and Outlooks, research, implementation, transfer. The aims of WP3 have been defined as: Analysis of the current situation on airfreight transport market in the Baltic Sea Region (BSR) Associated infrastructure and operational needs of the regional airports Prospects for future development and possible role of regional airports in the global network Planning of optimal mix with other transport modes Mapping relevant regional characteristics Development of Scenarios for involved airports The objective of task 3.4 Air Cargo Security Regulations is to evaluate, define and demonstrate air cargo and supply chain security IT procedures and processes that will enable airports and air cargo stakeholders in BSR to be accepted as having equivalent security procedures to those in EU Member States, and thus be considered as equal members of the air cargo community across Europe and Worldwide. The definition of this task early in the execution of the Baltic Air Cargo net project is timely, in view of the rapid changes currently being proposed in Europe 1 and Worldwide to combat the gaps in air cargo security highlighted by the events in Yemen in October of These changes include a pro-active approach to the application of a similar level of aviation security to that today implemented across the EU, in all States in Europe and Worldwide. They will include the extension of the air cargo regulated agent and known consigner certification and audit procedures to States not included in the Quadrilateral (QUAD) States 3, the strengthening of the 1 IP , Brussels Dec 2, 2010 A European Action Plan to Strengthen Air Cargo Security, included as Appendix The Quad States include U.S. Canada, the European Commission and its Member States and Australia. The aviation security authorities in these States are co-operating to ensure the harmonisation and m Work Package 3.4 Air Cargo Security Release 1.6 Page: 4

8 Lead Partner Task Leader Project account consignor implemented in the Express Parcels Industry, and the integration of the air cargo (known consignor and regulated agent) and Customs (Authorised Economic Operator) certifications. The benefits for the air cargo industry in the Baltic Sea region in the early evaluation and adoption of the required measures will ensure the above mentioned security procedure equivalence and acceptance within the European Community and World-wide. 1.2 BSR States Figure 1 and Table 1 illustrate the States participating in the BSR. Figure 1 - Baltic Sea Region. EU Member States Denmark Estonia Finland Non EU Member States Norway Belarus Russia (north-west regions) Germany (Northern parts) Latvia Work Package 3.4 Air Cargo Security Release 1.6 Page: 5

9 Lead Partner Task Leader Project EU Member States Non EU Member States Lithuania Poland Sweden Table 1 EU and non EU States 1.3 Air cargo security challenges in BSR The above list of participating countries to some extent defines the challenges for the ensuring a high level of air cargo security for the participants in the Baltic Air Cargo.net. Each of the EU Member States in BSR is required under EU regulations to already have in place a regulated agent accreditation program, and to be at this time moving forward to implementing a program to certify and audit the security programmes of known consignors (required by April 2013). The EU known consignor programme could be either based on certification and audit by EU appropriate authorities (generally the civil aviation authorities) and/or independent validators appointed by the appropriate authorities in each Member State. As of January 2011, The appropriate authority in Germany, the Luftfahrt-Bundesamt (LBA) 4 has not yet completed the inspection all of the more than 1,500 regulated agents in Germany. LBA is currently talking on additional staff to be able to internally using government inspectors to certify the approximately 3,000 known consignors that are expected to apply to be accredited by the cut-off date of April The other EU Member States in the BSR are each in different phases in the implementation of regulated agent and known consignor programmes. [Information relating to the known consignor programme status in BSR EU Member State is available, to interested parties with appropriate levels of EU Security Clearances] The above notwithstanding, as will be described in Chapter 4 the evolving air cargo regulatory framework moves are afoot to implement a regulated agent/known consignor scheme in thirdcountries, which for BSR would involve Norway, Belarus and the north-west regions of Russia. It can therefore be expected that the EU will expect to find similar air cargo security measures and processes in place across BSR by In addition Northwest Russia shares borders with Norway, Finland, Estonia, Latvia, Lithuania and Poland (both via Kaliningrad Oblast), and Belarus. As such any air cargo solution in BSR must address the security of the BSR logistics chain, and address the transport of goods by truck from one BSR State and loading on aircraft prior to shipment out with BSR States. 4 Work Package 3.4 Air Cargo Security Release 1.6 Page: 6

10 Lead Partner Task Leader Project 2. Overview of Task Introduction Identifying the regulated and non-regulated stakeholders and parties operating in the aviation security environment is a challenging task. Figure 1 illustrates the situation often found in the cargo handling areas of airports. Cargo Brokers Transporters Airport Handling Agents Regulated Agents Consignee Warehouse Operators Un-regulated Agents Air Carriers Consignment Customs Brokers Airport Warehouse Operators Security Companies Consignor Sub-Contracted Parties Figure 2 - Regulated or Non-regulated air cargo stakeholders 5 The above picture graphically demonstrates this challenge. Many of the entities operating in the air cargo space in the airport environment, are not regulated. Have these entities handled air cargo shipments, and if so, has the broken chain of custody been resolved by the application of security controls. When an inspector from ICAO and/or the European Commission enters the cargo handling area and views the above list of stakeholders, he or she will immediately ask which are the regulated 5 Source - Study on a database of regulated agents and known shippers (DG-TREN) Work Package 3.4 Air Cargo Security Release 1.6 Page: 7

11 Lead Partner Task Leader Project parties, and what is the involvement of the non-regulated parties in handling/processing cargo designated for transport on passenger aircraft. The inspector will ask to view the accreditation certificates, and the operational security manuals for each regulated entity. 2.2 Sub-tasks and document structure To achieve the security equivalence objectives defined for Baltic Air Cargo.net, and to address this challenge, Task 3.4 is being divided into a number of sub-chapters, each addressing a separate element of the BSR air cargo security challenge: The initial sub task will relate to existing and planned air cargo regulations pertinent to companies operating in BSR. Chapter 3 will review relevant existing EU and international aviation security legislation, and identify the regulations that impact on air cargo security in the Baltic Sea Region. Thereafter, Chapter 4 will review the evolving air cargo security regulatory environment will be considered, and an evaluation be made of the additional regulations that will most probably be implemented during the next 5-10 years; Chapter 5 will provide a discussion on the implementation of security programmes to support the Baltic Air Cargo.net. The benefits of different approaches will be discussed and an initial proposal for a generic air cargo security programme, that could be implemented across participants in the Baltic Air Cargo.net project. This chapter will further address the possibility of an integrated supply chain security certification including aviation and customs security; Chapter 6 will review the air cargo screening implementation actions that have been put in place as elements within the air cargo regulations, and indicate the physical and electronic (data transfer) air cargo screening challenges facing BSR; and Chapter 7 will discuss the requirement for a BSR air cargo security awareness and incident reporting component to ensure that air cargo industry participants in the Baltic Air Cargo.net project within BSR can be made aware, trained and educated in the appropriate air cargo security measures and be made aware of emerging and evolving air cargo security (crime and terrorism) threats. This will enable participants in the Baltic Air Cargo.net to be exposed to security training and emerging threats to ensure equivalence of the security measures with those of the EU; and A conclusion will be provided at the end of each of Chapters 5, 6 and 7 that will discuss the significance of the regulatory changes/ developments and/or initiatives for the Baltic Air Cargo.net, and will discuss the extent to which addressing these components can be included in the approach of the consortium to air cargo security. Appendixes are included at the end of this document, which reference terminology, abbreviations and specific regulations. Work Package 3.4 Air Cargo Security Release 1.6 Page: 8

12 Lead Partner Task Leader Project 3. Review of Relevant Current Air Cargo Regulations 3.1 Introduction Chapter 3 provides a high-level overview of the relevant EU and International air cargo regulations. The regulations which are being review have been organized under the following headings: European regulations Common Rules European regulations Implementing Measures EU regulations relating to ICAO ICAO Annex 17 State Regulations US C.F.R. Part 1546 Foreign Air Carriers This overview of the existing legislative environment is significant as it relates to the make-up of BSR States. The EU Member States are subject to the requirements of all Stated EU regulations, the other BSR states are subject to the ICAO Annex 17, and the changes that are currently being discussed. Any of the BSR states wising to ship cargo by air to the US, are subject to the TSA foreign air carrier rules. 3.2 Legend Table 2 overleaf provides the legend has been adopted for the analysis of relevant legislative instruments in this document: Work Package 3.4 Air Cargo Security Release 1.6 Page: 9

13 Lead Partner Task Leader Project Table 2 - Legend for regulatory review Title Explanation Notes Project Identifier Reference identifier Rows repeated as the identifier Name of Instrument Legislative instrument as known by the appropriate for the legislative authority instrument Title/ description Title of legislative instrument Type Category of legislative Instrument - Framework Regulation, Implementing Regulation, Opinion, Directive, etc Date Scope Date of enactment MS, EU, Third Country, other Interrelationship other legislation Objective with e.g. EU Wide and pertaining to third countries Could be obtained from title and from within the regulation Objective of the instrument (often will be taken from the Preamble Applicability Structure To which areas of aviation security the instrument is applied The structure of the instrument in terms of preamble, articles ( with titles), annex ( with titles) Baltic Sea Region (Non EU) relevance Missing Non Public Documents The relevance of this instrument to non-eu States Relevant non-public security sensitive documents (Separate Commission Decisions) referenced in the legislative instrument Work Package 3.4 Air Cargo Security Release 1.6 Page: 10

14 Lead Partner Task Leader Project 3.3 European Regulations Common Rules Commission Regulation (EC) No 300/2008 (EU1) Project Identifier Name of Instrument Title/ description Type EU1 Commission Regulation (EC) no 300/2008 of the European Parliament and of the Council common rules in the field of civil aviation security Framework Regulation Date 11 March 2008 Scope EU Wide and pertaining to third countries regulation should apply to airports serving civil aviation located in the territory of a Member State, to operators providing services at such airports and to entities providing goods and/or services to or through such airports [Whereas #6] Interrelationship with other legislation Objective Repeals EC regulation 2020/2002 enacted after 9/11 to establish the initial set of common rules across the EU. Is basis for future implementing regulation EU 185/2010. amended by EC regulations EC 272/2009 and EU 18/2010 Mentions Council Decision 1999/486/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred by the Commission This regulation provides the EU with a "common interpretation of Annex 17 of the Chicago Convention" (Art. 1). In other words, their purpose is to ensure a harmonised approach across Europe. Being a Regulation, these are automatically binding (directly applicable) in each Member State and do not need to be implemented through national law. This regulation sets out a list of "common basic standards". As with the Chicago convention these are relatively high-level, and the intention seems to be that they are fleshed out in more detail through published "detailed measures for the implementation of common basic standards" (Art 4(3)) This Regulations do not have much of relevance for flights from Third countries - although it does refer to the security requirements of Third countries in respect of flights going to, or flying over, those Third countries (e.g. Art. 7). Further (and more importantly) the Regulation allows for agreements to be made between the Community and a Third country recognising that the Third countries' security measures are equivalent to the EU's, such that security procedures relating to flights from those countries can be relaxed (e.g. there is no need to re-screen passengers or luggage). This is what is termed "one-stop security" (see Art. 20). Other generic objectives:. should lay down basic principles of what has to be done to safeguard civil aviation [Whereas #5] Work Package 3.4 Air Cargo Security Release 1.6 Page: 11

15 Lead Partner Task Leader Project Project Identifier Name of Instrument Title/ description EU1 Commission Regulation (EC) no 300/2008 of the European Parliament and of the Council common rules in the field of civil aviation security..should apply to airports..[whereas #6] MS should be allowed to.. apply more stringent measures..[whereas #10].each Member State should draw up a national civil aviation security programme. Furthermore, each airport operator, air carrier and entity implementing aviation security standards should draw up, apply and maintain a security programme in order to comply both with this Regulation and with whichever national civil aviation security programme is applicable...[whereas #13].. the Commission should conduct inspections, including unannounced inspections...[whereas #14]. Implementing acts setting out common measures and procedures for the implementation of the common basic standards on aviation security which contain sensitive security information, together with Commission inspection reports and the answers of the appropriate authorities should be regarded as EU classified information within the meaning of Commission Decision 2001/844/EC, ECSC, Euratom of 29 November 2001 amending its internal rules of procedure. Those items should not be published and should be made available only to those operators and entities with a legitimate interest. [Whereas #16] The measures necessary for the implementation of this Regulation should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission. [Whereas #17] Penalties should be provided for infringements of the provisions of this Regulation,. [Whereas #23] The Ministerial Statement on Gibraltar Airport, agreed in Cordoba on 18 September 2006 during the first Ministerial meeting of the Forum of Dialogue on Gibraltar, will replace the Joint Declaration on Gibraltar Airport made in London on 2 December 1987, and full compliance with it will be deemed to constitute compliance with the 1987 Declaration.,. [Whereas #24] Since the objectives of this Regulation, namely to safeguard civil aviation against acts of unlawful interference and to provide a basis for a common interpretation of Annex 17 to the Chicago Convention on International Civil Aviation, cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale and effects of this Regulation, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiary as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in Work Package 3.4 Air Cargo Security Release 1.6 Page: 12

16 Lead Partner Task Leader Project Project Identifier Name of Instrument Title/ description EU1 Commission Regulation (EC) no 300/2008 of the European Parliament and of the Council common rules in the field of civil aviation security order to achieve those objectives,. [Whereas #25] Applicability The regulation applies to : (a) all airports or parts of airports located in the territory of a Member State that are not exclusively used for military purposes; (b) all operators, including air carriers, providing services at airports referred to in point (a); (c) all entities applying aviation security standards that operate from premises located inside or outside airport premises and provide goods and/or services to or through airports referred to in point (a). Structure - Preamble (Whereas (background/objectives) 1 25) - Articles 1. Objectives 2. Scope 3. Definitions 4. Common basic standards 5. Security costs 6. More stringent measures applied by Member States 7. Security Measures required by third countries 8. Cooperation with the International Civil Aviation Organisation 9. Appropriate authority 10. National civil aviation security program 11. National quality control program 12. Airport security program 13. Air carrier security program 14. Entity security program 15. Commission inspections 16. Annual report 17. Stakeholder s Advisory Group 18. Dissemination of information Work Package 3.4 Air Cargo Security Release 1.6 Page: 13

17 Lead Partner Task Leader Project Project Identifier Name of Instrument Title/ description EU1 Commission Regulation (EC) no 300/2008 of the European Parliament and of the Council common rules in the field of civil aviation security 19. Committee procedures 20. Agreements between the Community and third countries 21. Penalties 22. Commission report on financing 23. Repeal 24. Entry into force ANNEX Common Basic Standards for Safeguarding Civil Aviation Against Acts of Unlawful Interference ( Article 4) 25. Airport security 26. Demarcated Areas of Airports 27. Aircraft Security 28. Passengers and Cabin Baggage 29. Hold Baggage 30. Cargo and Mail 31. Air Carrier Mail and Air Carrier Materials 32. In-Flight Supplies 33. Airport Supplies 34. In-Flight Security Measures 35. Staff Recruitment and Training 36. Security Equipment Baltic Sea Region (Non EU) relevance - Preamble - Third countries may require the application of measures that differ from those laid down in this Regulation in respect of flights from an airport in a Member State to, or over, that third country. However, without prejudice to any bilateral agreements to which the Community is a party, it should be possible for the Commission to examine the measures required by the third country. (Whereas #11) - Article 7 Security measures required by third countries 1. Without prejudice to any bilateral agreements to which the Community is a party, a Member State shall notify the Commission of measures required by a third country if they differ from the common basic standards referred to in Article 4 in respect of flights from an airport in a Member State to, or over, that third Work Package 3.4 Air Cargo Security Release 1.6 Page: 14

18 Lead Partner Task Leader Project Project Identifier Name of Instrument Title/ description EU1 Commission Regulation (EC) no 300/2008 of the European Parliament and of the Council common rules in the field of civil aviation security country. 2. At the request of the Member State concerned or on its own initiative, the Commission shall examine the application of any measures notified under paragraph 1 and may, in accordance with the regulatory procedure referred to in Article 19(2), draw up an appropriate response to the third country concerned. [Paragraphs 1 and 2 shall not apply if: the Member State concerned applies the measures concerned in accordance with Article 6; or (b) the requirement of the third country is limited to a given flight on a specific date.] - Article 20 Agreements between the Community and third countries. When appropriate, and in conformity with Community law, agreements recognising that the security standards applied in a third country are equivalent to Community standards could be envisaged in aviation agreements between the Community and a third country in accordance with Article 300 of the Treaty, in order to advance the goal of one-stop security for all flights between the European Union and third countries. ANNEX 4. Passengers and Cabin Baggage Transfer passengers and their cabin baggage may be exempted from screening, if b) they arrive from a third country where the security standards applied are recognised as equivalent to the common basic standards in accordance with the regulatory procedure referred to in Article 19(2) Transit passengers and their cabin baggage may be exempted from screening if: a). they remain on board the aircraft; or b). they do not mix with screened departing passengers other than those who board the same aircraft; or c). they arrive from a third country where the security standards applied are recognized as equivalent to the common basic standards in accordance with the regulatory procedure referred to in Article 19(2) Screened departing passengers shall not mix with arriving passengers, (a) 6 Articles 5 and 7 of decision 1999/486/EC shall apply [Confidential?] Work Package 3.4 Air Cargo Security Release 1.6 Page: 15

19 Lead Partner Task Leader Project Project Identifier Name of Instrument Title/ description EU1 Commission Regulation (EC) no 300/2008 of the European Parliament and of the Council common rules in the field of civil aviation security unless: b). the passengers arrive from a third country where the security standards applied are recognized as equivalent to the common basic standards in accordance with the regulatory procedure referred to in Article 19(2). 5. Hold Baggage Transfer hold baggage may be exempted from screening, if b). it arrives from a third country where the security standards applied are recognised as equivalent to the common basic standards in accordance with the regulatory procedure referred to in Article 19(2) 6. Cargo and Mail Transfer cargo and transfer mail may be exempted from screening, if it remains on board the aircraft. Missing Non Public Documents Decision 1999/486/EC shall apply Work Package 3.4 Air Cargo Security Release 1.6 Page: 16

20 Lead Partner Task Leader Project Commission Regulation (EC) No 272/2009 (EU2) Project Identifier Name Instrument Title/ description Type of EU2 Commission Regulation (EC) no 272/2009 of the European Parliament and of the Council supplementing the common basic standards on civil aviation security laid down in the Annex to Regulation (EC) No 300/2008 Framework Regulation Date 2 April 2009 Scope EU Wide and pertaining to third countries as per EC 300/2008 regulation should apply to airports serving civil aviation located in the territory of a Member State, to operators providing services at such airports and to entities providing goods and/or services to or through such airports [ EC 300/2008 Whereas #6] Interrelationship with other legislation Supplementing Regulation EC No 300/2008 Objective General measures supplementing the common basic standards on civil aviation security should therefore be adopted in the field of screening, access control and other security controls as well as in the field of prohibited articles, third country recognition of equivalence, staff recruitment, training, special security procedures and exemptions from security controls..[whereas #3] Methods, including technologies, for detection of liquid explosives should be deployed on an EU-wide basis at airports as swiftly as possible, and no later than 29 April 2010, thus allowing passengers to carry harmless liquids without restrictions. If it is not possible to deploy methods, including technologies, for the detection of liquid explosives on an EU-wide basis in time, the Commission will propose the necessary addition to the categories of items that may be prohibited (Part B of the Annex). If the deployment of methods, including tech-nologies, is not possible at certain airports for objective reasons, modalities to allow liquids to be carried without compromising standards of security will be specified by the Commission in implementing measures...[whereas #6] Applicability The regulation provides for general measures to supplement the common basic standards set out in the Annex to Regulation (EC) No 300/2008. [ Date of application to be not later than 29 April 2010] Work Package 3.4 Air Cargo Security Release 1.6 Page: 17

21 Lead Partner Task Leader Project Project Identifier Name Instrument Title/ description of EU2 Commission Regulation (EC) no 272/2009 of the European Parliament and of the Council supplementing the common basic standards on civil aviation security laid down in the Annex to Regulation (EC) No 300/2008 Structure - Preamble (Whereas (background/objectives) 1 7) - - Articles 1. Measures to supplement common basic standards set out in Annex to Regulation (EC) No 300/ Definitions 3. Entry into force ANNEX PART A Allowing the use of methods: 4. For the screening of persons 5. For the screening of cabin baggage items 6. For the screening of hold baggage, cargo and mail may allow the use of other methods on a trial basis and for a limited period ANNEX PART B Categories of articles that may be prohibited ANNEX PART C Access control grounds for granting access to airside and security restricted areas ANNEX PART D Methods allowed for the examination of vehicles, aircraft security checks and aircraft security searches ANNEX PART E Criteria for recognizing the equivalence of security standards in third countries ANNEX PART F Cargo and Mail ANNEX PART G Air carrier mail and air carrier materials: conditions under which they shall be screened or subjected to other security controls ANNEX PART H Work Package 3.4 Air Cargo Security Release 1.6 Page: 18

22 Lead Partner Task Leader Project Project Identifier Name Instrument Title/ description of EU2 Commission Regulation (EC) no 272/2009 of the European Parliament and of the Council supplementing the common basic standards on civil aviation security laid down in the Annex to Regulation (EC) No 300/2008 In-flight supplies and airports supplies ANNEX PART I Criteria for defining critical parts of security restricted areas ANNEX PART J Staff recruitment and methods of training ANNEX PART K Conditions under which special security procedures or exemptions from security procedures may be applied Relevance to the Study - Article 1 e) establish criteria for recognizing the equivalence of security standards of third countries as laid down in part E of the Annex; - ANNEX PART E Criteria for recognizing the equivalence of security standards in third countries The Commission shall recognize the equivalence of security standards in accordance with the following criteria: (a) The third country has a good record of cooperation with the Community and its Member States; (b) The Commission has verified that the third country applies satisfactory standards of aviation security, including quality control; and (c) The Commission has verified that: as regards passengers and cabin baggage, security measures are applied equivalent to those set out in sections 1, 3, 11 and 12 and points 4.1 and 4.2 of the Annex to Regulation (EC) No 300/2008 and related implementing acts; as regards hold baggage, security measures are applied equivalent to those set out in sections 1, 3, 5, 11 and 12 of the Annex to Regulation (EC) No 300/2008 and related implementing acts; as regards cargo and mail, security measures are applied equivalent to those set out in sections 1, 3, 6, 11 and 12 of the Annex to Regulation (EC) No 300/2008 and related implementing acts; and/or as regards aircraft security, security measures are applied equivalent to Work Package 3.4 Air Cargo Security Release 1.6 Page: 19

23 Lead Partner Task Leader Project Project Identifier Name Instrument Title/ description of EU2 Commission Regulation (EC) no 272/2009 of the European Parliament and of the Council supplementing the common basic standards on civil aviation security laid down in the Annex to Regulation (EC) No 300/2008 those set out in sections 1, 3, 11 and 12 and points 4.1 and 4.2 of the Annex to Regulation (EC) No 300/2008 and related implementing acts Missing Non Public Documents None identified Commission Regulation (EU) No 18/2010 (EU3) Project Identifier Name Instrument Title/ description Type of EU3 Commission Regulation (EU) no 18/2010 of the European Parliament and of the Council 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 Framework Regulation Date 8 January 2010 Scope EU Wide and pertaining to third countries as per EC 300/2008 regulation should apply to airports serving civil aviation located in the territory of a Member State, to operators providing services at such airports and to entities providing goods and/or services to or through such airports [ EC 300/2008 Whereas #6] Interrelationship with other legislation Objective Amending Regulation EC No 300/2008 The development and implementation of a national quality control programme by each Member State is essential to ensure the effectiveness of its national civil aviation security programme in accordance with Article 11(1) of Regulation (EC) No 300/ [Whereas #1] Applicability Regulation (EC) No 300/2008 is amended as follows: 1. The title Annex is replaced by Annex I. Work Package 3.4 Air Cargo Security Release 1.6 Page: 20

24 Lead Partner Task Leader Project Project Identifier Name Instrument Title/ description of EU3 Commission Regulation (EU) no 18/2010 of the European Parliament and of the Council 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 2. The text set out in the Annex to this Regulation is added as Annex II. Structure Preamble (Whereas (background/objectives) 1 8) Articles Amendments to Regulation (EC) No 300/2008 Entry into force ANNEX 1 (Not provided relates to Annex of 300/2008) ANNEX II Common specifications for the national quality control programme to be implemented by each member State in the field of civil aviation security Definitions Powers of the Appropriate Authority Objectives and Content of the National Quality Control Programme Compliance Monitoring Methodology Security Audits Inspections Tests Surveys Reporting Common Classification of Compliance Correction of Deficiencies Follow-up Activities Related to the Verification of the Correction Availability of Auditors Qualification Criteria for Auditors Powers of Auditors Best Practices Reporting to the Commission Appendix I Elements to be included in the set of directly linked security measures Work Package 3.4 Air Cargo Security Release 1.6 Page: 21

25 Lead Partner Task Leader Project Project Identifier Name Instrument Title/ description of EU3 Commission Regulation (EU) no 18/2010 of the European Parliament and of the Council 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 The sets of directly linked security measures as referred to in point 7.1 of Annex II shall include the following elements of Annex I to this Regulation and the corresponding provisions in its implementing acts: Appendix II Harmonised classification system of compliance Appendix II Content of Report to the Commission Baltic Sea Region (Non EU) relevance Missing Non Public Documents No specific mention/ relevance Not identified Work Package 3.4 Air Cargo Security Release 1.6 Page: 22

26 Lead Partner Task Leader Project Commission Regulation (EU) No 297/2010 (Study 4) Project Identifier Name Instrument Title/ description Type of EU4 Commission Regulation (EU) no 297/2010 of 9 April 2010 amending Regulation (EC) No 272/2009 supplementing the common basic standards on civil aviation security Framework Regulation Date 9 April 2010 Scope EU Wide and pertaining to third countries as per EC 300/2008 regulation should apply to airports serving civil aviation located in the territory of a Member State, to operators providing services at such airports and to entities providing goods and/or services to or through such airports [ EC 300/2008 Whereas #6] Interrelationship with other legislation The Annex to Commission Regulation (EC) No 272/2009 of 2 April 2009 supplementing the common basic standards on civil aviation security laid down in the Annex to Regulation (EC) No 300/2008 of the European Parliament and of the Council, details in its Part A.3 the methods of screening allowed for baggage, cargo and mail which is to be loaded into the hold of an aircraft. It is necessary from time to time to make provision for additional methods of screening shown to be effective for screening some or all types of cargo and to provide a legal basis for the development of detailed implementing measures. Metal detection equipment is considered to be an effective screening method for some types of cargo. [Whereas #2] Regulation (EC) No 272/2009 does not provide for liquids, aerosols and gels to be considered as a category of articles that may be prohibited from introduction into security restricted areas and on board an aircraft. Instead Regulation (EC) No 272/2009 requires methods, including technologies, for detection of liquid explosives to be deployed on an EU-wide basis at airports as swiftly as possible, but no later than 29 April [Whereas #4] Objective It is now time to put an end to the restrictions on liquids, aerosols and gels, moving progressively from banning most liquids to a system of screening for liquid explosives. To this end, transitional arrangements beyond April 2010 are required to phase-in the deployment of detection methods, including technologies, at all EU airports without compromising aviation security. The concerns of the law enforcement community, aimed at preventing possible terrorist threats in the future, require an effective mechanism in place until airports are in a position to install reliable detection equipment. Therefore a Work Package 3.4 Air Cargo Security Release 1.6 Page: 23

27 Lead Partner Task Leader Project Project Identifier Name Instrument Title/ description Applicability of EU4 Commission Regulation (EU) no 297/2010 of 9 April 2010 amending Regulation (EC) No 272/2009 supplementing the common basic standards on civil aviation security new approach is needed. This should be achieved by 29 April 2013, the date by which all airports should have the capability to screen liquids, aerosols and gels. [Whereas #5] The regulation provides for general measures to amend 272/2009 supplementing the common basic standards set out in the Annex to Regulation (EC) No 300/2008 Structure Amending 272/2009 Part A Methods of screening allowed for hold baggage cargo and mail Adding metal detection equipment Part B Categories of articles that may be prohibited Adding Liquids, aerosols and gels (LAGs) Baltic Sea Region (Non EU) relevance Liquids, aerosols and gels shall be permitted to be taken into security restricted areas and on board an aircraft provided they are screened or exempted from screening in accordance with the requirements of implementing rules adopted pursuant to Article 4(3) of Regulation (EC) No 300/2008. By 29 April 2011 liquids, aerosols and gels obtained at a third country airport or on board an aircraft of a non- Community air carrier shall be permitted into security restricted areas and on board an aircraft, on condition that the liquid is packed in a bag that conforms to the recommended security control guidelines of the International Civil Aviation Organisation and the bag displays satisfactory proof of purchase within the preceding thirty-six hours airside at the airport or on board the aircraft. They shall be screened in accordance with the requirements of implementing rules adopted pursuant to Article 4(3) of Regulation (EC) No 300/2008. Missing Non Public Documents None identified Work Package 3.4 Air Cargo Security Release 1.6 Page: 24

28 Lead Partner Task Leader Project 3.4 European Regulations Implementing Measures Commission Regulation (EU) No 72/2010 (EU5) Project Identifier Name of Instrument Title/ description Type EU5 Commission Regulation (EU) no 72/2010 of the European Parliament and of the Council laying down procedures for conducting Commission inspections the field of civil aviation security are concerned ( text with EEA relevance) Implementing measures Date 8 January 2010 Scope EU Wide and pertaining to third countries as per EC 300/2008 regulation should apply to airports serving civil aviation located in the territory of a Member State, to operators providing services at such airports and to entities providing goods and/or services to or through such airports [ EC 300/2008 Whereas #6] Interrelationship (other legislation) Addition to provisions of EC 300/2008 Objective In order to monitor the application by Member States of Regulation (EC) No 300/2008 the Commission should conduct inspections. The organisation of inspections under the supervision of the Commission is needed to verify the effectiveness of national quality control programmes [ Whereas #1] The Commission should have the possibility of including qualified national auditors made available by Member States in its inspection teams. [ Whereas #3] Applicability Chapter 1 Article 1 This Regulation lays down procedures for conducting Commission inspections to monitor the application by Member States of Regulation (EC) No 300/2008. Commission inspections shall cover appropriate authorities of Member States and selected airports, operators and entities applying aviation security standards. The inspections shall be conducted in a transparent, effective, harmonised and consistent manner. Structure Preamble (Whereas (background/objectives) 1 8) Chapter I Subject Matter and Definitions Work Package 3.4 Air Cargo Security Release 1.6 Page: 25

29 Lead Partner Task Leader Project Project Identifier Name of Instrument Title/ description EU5 Commission Regulation (EU) no 72/2010 of the European Parliament and of the Council laying down procedures for conducting Commission inspections the field of civil aviation security are concerned ( text with EEA relevance) Article 1 Subject matter Article 2 Definitions Chapter II General Requirements Article 3 Cooperation of Member States Article 4 Exercise of Commission Powers Article 5 Qualification criteria for Commission inspectors Article 6 Participation of National Auditors in Commission inspectors Chapter III Procedures for the conduct of Commission inspections Article 7 Notification of Inspections Article 8 Preparation of Inspections Article 9 Conduct of Inspections Article 10 Inspection reports Article 11 Answer of the Appropriate Authority Article 12 Rectification of deficiencies Article 13 Follow up inspections Chapter IV General and Final Provisions Article 14 Information to the Committee Article 15 Notification of serious deficiencies to appropriate authorities Article 16 Entry into force Baltic Sea Region (Non EU) relevance Missing Non Public Documents No specific mention/ relevance None identified Work Package 3.4 Air Cargo Security Release 1.6 Page: 26

30 Lead Partner Task Leader Project Commission Regulation (EU) No 185/2010 (EU6) Project Identifier Name Instrument Title/ description Type of EU6 Commission Regulation (EU) No 185/2010 laying down detailed measures for the implementation of the common basic standards on aviation security (Text with EEA relevance) Implementing measures Date 4 March 2010 Scope EU Wide and pertaining to third countries This Regulation lays down detailed measures for the implementation of common basic standards for safeguarding civil aviation against acts of unlawful interference that jeopardise the security of civil aviation and general measures supplementing the common basic standards [preamble] Interrelationship with other legislation Repeal Commission Regulations (EC) No 1217/2003 of 4 July 2003 laying down common specifications for national civil aviation security quality control programmes ( 3 ), (EC) No 1486/2003 of 22 August 2003 laying down procedures for conducting Commission inspections in the field of civil aviation security ( 4 ), (EC) No 1138/2004 of 21 June 2004 establishing a common definition of critical parts of security restricted areas at airports ( 5 ) and (EC) No 820/2008 of 8 August 2008 laying down measures for the implementation of the common basic standards on aviation security ( 6 ), which all implemented 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 ( 7 ), should therefore be repealed. (Whereas #5) Regulations (EC) No 1217/2003, (EC) No 1486/2003, (EC) No 1138/2004 and (EC) No 820/2008 are repealed with effect from 29 April (Article 5) Objective This Regulation is made pursuant to Art 4(3) of the Regulation 300/ providing the "detailed measures" that flesh out the "common basic standards". In accordance with Article 4(3) of Regulation (EC) No 300/2008 the Commission should adopt detailed measures for the implementation of common basic standards referred to in Article 4(1) and of general measures supplementing common basic standards referred to in Article 4(2) of that Work Package 3.4 Air Cargo Security Release 1.6 Page: 27