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Regulation (EC) No 300/2008 of the European Parliament and of the Council of 11 March 2008 on common rules in the field of civil aviation security and repealing Regulation (EC) No 2320/2002 (Text with EEA relevance)

article annex_II

CELEX: 02008R0300-20100201

Common specifications for the national quality control programme to be implemented by each Member State in the field of civil aviation security

1. DEFINITIONS 1.1. For the purposes of this Annex, the following definitions shall apply:

(1) ‘annual traffic volume’ means the total number of passengers arriving, departing and in transit (counted once);

(2) ‘appropriate authority’ means the national authority designated by a Member State pursuant to Article 9 to be responsible for the coordination and monitoring of the implementation of its national civil aviation security programme;

(3) ‘auditor’ means any person conducting national compliance monitoring activities on behalf of the appropriate authority;

(4) ‘certification’ means a formal evaluation and confirmation by or on behalf of the appropriate authority that a person possesses the necessary competencies to perform the functions of an auditor to an acceptable level as defined by the appropriate authority;

(5) ‘compliance monitoring activities’ means any procedure or process used for assessing the implementation of this Regulation and the national aviation security programme;

article annex_II

CELEX: 02008R0300-20100201

(6) ‘deficiency’ means a failure to comply with an aviation security requirement;

(7) ‘inspection’ means an examination of the implementation of security measures and procedures in order to determine whether they are being carried out effectively and to the required standard and to identify any deficiencies;

(8) ‘interview’ means an oral check by an auditor to establish whether specific security measures or procedures are implemented;

(9) ‘observation’ means a visual check by an auditor that a security measure or procedure is implemented;

(10) ‘representative sample’ means a selection made from amongst possible options for monitoring which is sufficient in number and range to provide a basis for general conclusions on implementing standards;

(11) ‘security audit’ means an in-depth examination of security measures and procedures in order to determine if they are being fully implemented on a continual basis;

(12) ‘test’ means a trial of aviation security measures, where the appropriate authority simulates intent to commit an act of unlawful interference for the purpose of examining the effectiveness of the implementation of existing security measures;

article annex_II

CELEX: 02008R0300-20100201

(13) ‘verification’ means an action taken by an auditor to establish whether a specific security measure is actually in place;

(14) ‘vulnerability’ means any weakness in the implemented measures and procedures which could be exploited to carry out an act of unlawful interference.

2. POWERS OF THE APPROPRIATE AUTHORITY 2.1. Member States shall provide the appropriate authority with the necessary powers for monitoring and enforcing all requirements of this Regulation and its implementing acts, including the power to impose penalties in accordance with Article 21.

2.2. The appropriate authority shall perform compliance monitoring activities and have the powers necessary to require any identified deficiency to be rectified within set timeframes.

2.3. A graduated and proportionate approach shall be established regarding deficiency correction activities and enforcement measures. This approach shall consist of progressive steps to be followed until correction is achieved, including:

(a) advice and recommendations;

(b) formal warning;

(d) administrative sanctions and legal proceedings.

article annex_II

CELEX: 02008R0300-20100201

The appropriate authority may omit one or more of these steps, especially where the deficiency is serious or recurring.

3. OBJECTIVES AND CONTENT OF THE NATIONAL QUALITY CONTROL PROGRAMME 3.1. The objectives of the national quality control programme are to verify that aviation security measures are effectively and properly implemented and to determine the level of compliance with the provisions of this Regulation and the national civil aviation security programme, by means of compliance monitoring activities.

3.2. The national quality control programme shall include the following elements:

(a) organisational structure, responsibilities and resources;

(b) job descriptions of, and qualifications required for auditors;

(c) compliance monitoring activities, including scope of security audits, inspections, tests and, following an actual or potential breach of security, investigations, frequencies for security audits and inspections and also classification of compliance;

(d) surveys, where there is cause to reassess security needs;

article annex_II

CELEX: 02008R0300-20100201

(e) deficiency correction activities providing details concerning deficiency reporting, follow-up and correction in order to ensure compliance with aviation security requirements;

(f) enforcement measures and, where appropriate, penalties, as specified in points 2.1 and 2.3 of this Annex;

(g) reporting of compliance monitoring activities carried out including, where appropriate, information exchange between national bodies on compliance levels;

(h) monitoring process of the airport, operator and entity internal quality control measures;

(i) a process to record and analyse the results of the national quality control programme to identify trends and steer future policy development.

4. COMPLIANCE MONITORING 4.1. All airports, operators and other entities with aviation security responsibilities shall be regularly monitored to ensure the swift detection and correction of failures.

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CELEX: 02008R0300-20100201

4.2. Monitoring shall be undertaken in accordance with the national quality control programme, taking into consideration the threat level, type and nature of the operations, standard of implementation, results of internal quality control of airports, operators and entities and other factors and assessments which will affect the frequency of monitoring.

4.3. Monitoring shall include the implementation and effectiveness of the internal quality control measures of airports, operators and other entities.

4.4. Monitoring at each individual airport shall be made up of a suitable mixture of compliance monitoring activities and provide a comprehensive overview of the implementation of security measures in the field.

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

4.6. Compliance monitoring activities shall include security audits, inspections and tests.

5. METHODOLOGY

article annex_II

CELEX: 02008R0300-20100201

5.1. The methodology for conducting monitoring activities shall conform to a standardised approach, which includes tasking, planning, preparation, on-site activity, the classification of findings, the completion of the report and the correction process.

5.2. Compliance monitoring activities shall be based on the systematic gathering of information by means of observations, interviews, examination of documents and verifications.

5.3. Compliance monitoring shall include both announced and unannounced activities.

6. SECURITY AUDITS 6.1. A security audit shall cover:

(a) all security measures at an airport; or (b) all security measures implemented by an individual airport, terminal of an airport, operator or entity; or (c) a particular part of the National Civil Aviation Security Programme.

6.2. The methodology for conducting a security audit shall take into consideration the following elements:

(a) announcement of the security audit and communication of a pre-audit questionnaire, if appropriate;

(b) preparation phase including examination of the completed pre-audit questionnaire and other relevant documentation;

article annex_II

CELEX: 02008R0300-20100201

(d) on-site activity;

(e) debriefing and reporting;

(f) where deficiencies are identified, the correction process and the associated monitoring of that process.

6.3. In order to confirm that security measures are implemented, the conduct of a security audit shall be based on a systematic gathering of information by one or more of the following techniques:

(a) examination of documents;

(b) observations;

(d) verifications.

6.4. Airports with an annual traffic volume of more than 10 million passengers shall be subject to a security audit covering all aviation security standards at least every 4 years. The examination shall include a representative sample of information.

7. INSPECTIONS 7.1. The scope of an inspection shall cover at least one set of directly linked security measures of Annex I to this Regulation and the corresponding implementing acts monitored as a single activity or within a reasonable time frame, not normally exceeding three months. The examination shall include a representative sample of information.

article annex_II

CELEX: 02008R0300-20100201

7.2. A set of directly linked security measures is a set of two or more requirements as referred to in Annex I to this Regulation and the corresponding implementing acts which impact on each other so closely that achievement of the objective cannot be adequately assessed unless they are considered together. These sets shall include those listed in Appendix I to this Annex.

7.3. Inspections shall be unannounced. Where the appropriate authority considers that this is not practicable, inspections may be announced. The methodology for conducting an inspection shall take into consideration the following elements:

(a) preparation phase;

(b) on-site activity;

(d) reporting/recording;

(e) correction process and its monitoring.

7.4. In order to confirm that security measures are effective, the conduct of the inspection shall be based on the systematic gathering of information by one or more of the following techniques:

(a) examination of documents;

(b) observations;

(d) verifications.

article annex_II

CELEX: 02008R0300-20100201

7.5. At airports with an annual traffic volume of more than 2 million passengers the minimum frequency for inspecting all sets of directly linked security measures set out in chapters 1 to 6 of Annex I to this Regulation shall be at least every 12 months, unless an audit has been carried out at the airport during that time. The frequency for inspecting all security measures covered by chapters 7 to 12 of Annex I shall be determined by the appropriate authority based on a risk assessment.

7.6. Where a Member State has no airport with an annual traffic volume exceeding 2 million passengers, the requirements of point 7.5 shall apply to the airport on its territory with the greatest annual traffic volume.

8. TESTS 8.1. Tests shall be carried out to examine the effectiveness of the implementation of at least the following security measures:

(a) access control to security restricted areas;

(b) aircraft protection;

(d) screening of staff and items carried;

(e) protection of hold baggage;

(f) screening of cargo or mail;

(g) protection of cargo and mail.