Listing of aviation security providers: frequently asked questions

The Aviation Security (Aviation Security Service Providers) Regulations

Introduction

These FAQs have been produced to help aviation security contractors to understand the Aviation Security (Aviation Security Service Providers) Regulations. These Regulations have not yet been made. The DfT anticipates that they will be created and come into force later this year.

The legal basis of the Regulations rests in Section 20A of the Aviation Security Act 1982 (introduced by section 85 of the Anti-terrorism, Crime and Security Act 2001). This allows the Secretary of State for Transport to maintain a list of persons who are approved by him for the provision of an aviation security service. An aviation security service is an activity which is carried out for the purpose of complying with a Direction in respect of aviation security under sections 12-14 of the Aviation Security Act 1982. The Secretary of State has decided that the provisions of Section 20A should be implemented.

The aim of the scheme is to apply the same standards to Security Providers as are applied to Directed Parties via Directions.

1. Who will be listed?

Providers of the following aviation security services:

a) The checking or searching of aircraft, and the controlling of access to aircraft;

b) The searching and/or patrolling of the restricted zone;

c) The screening or searching by hand, of passengers, other persons or vehicles entering the restricted zone;

d) The screening by x-ray or other equipment or searching by hand, of hand baggage;

e) The screening by x-ray or other equipment or searching by hand, of hold baggage;

f) Secondary screening of passenger and cabin baggage;

g) The Accounting and Authorising of Hold Baggage for carriage by air (Triple A);

h) Passenger questioning;

i) The issuing of passes to persons, or in respect of vehicles, to access the restricted zone.

Directed Parties undertaking security measures for themselves are not required to be listed. However, if a Directed Party provides security services to another Directed Party they would be required to be listed. The Department wishes to take the power to include as many functions as possible in the Regulations.

2. Why should companies/partnerships apply to be listed?

Once the Regulations become law, Directed Parties will only be able to use listed companies/partnerships for the provision of security services. Where a Directed Party chooses to use a body or another Directed Party to undertake security measures, that body or Directed Party must be on the list maintained by DfT.

3. Will there be a charge for listing?

No. The DfT has no plans to charge for listing.

4. Will listing be site-by-site or for the whole company/partnership at head office address?

A separate listing will be required for each provider at each location. Each provider will be required to state the functions at the location. Should a decision be taken to change the functions undertaken by the provider they will be required to inform the DfT.

5. How will a current provider get on the list?

Providers of aviation security services are required to apply to the DfT to be placed on the list. Applicants will be required to comply with certain requirements, provide information about the company/partnership and be able to demonstrate their ability to provide aviation security services to an acceptable standard (see point 7 below). A responsible person will be required to act as the DfT contact. If a listed company/partnership was subsequently purchased by a third party, the DfT must be informed and the new purchaser may be asked to reapply.

6. How will new providers become listed?

A provider proposing to offer a security service for which that provider is not already listed is required to make an application to be listed. A provisional listing could then be issued if appropriate. This would be sufficient to allow the company/partnership to bid for a contract. Once a contract was awarded and notified to DfT the new company/partnership would be formally listed, unless, in the interim, information came to light or circumstances changed as a result of which it was no longer appropriate to make a full listing.

7. What criteria will be applied for acceptance on the list?

To achieve listed status the applicant is required to submit an application form, giving general information about the company/partnership, and a separate annex for each location at which it provides, or wishes to provide, a security function. DfT will list the functions provided by your company at the locations quoted on this form, unless the Department is satisfied that the function is not being delivered to the required standard. The required standard is that determined by the DfT in relevant Directions and the National Aviation Security Programme (NASP) and is the same for both Directed Parties and their agents. If necessary, the DfT will make an inspection visit to assist with the determination of the listing application.

8. What will we need to make available, should the DfT wish to visit us?

You will be required to make your relevant recruitment; vetting and training records available. Should an employee transfer to another company you should, with the employee's consent, transfer their records to that company so that they are available should the DfT visit them. DfT may decide to inspect the delivery of a function as part of the assessment of the listing application.

9. Will there be different lists?

There will be a central list of each airport location, which will show the security function, and against this will be the listed provider(s).

10. How will an applicant know if they are successfully listed?

A letter of approval will be sent to the applicant, which will include the date on which listing had occurred. For a straight-forward application that meets all the criteria and does not require meetings or additional inspections, the DfT would aim to complete the approval process within 1 month of receipt. More complex applications may take longer. Companies/partnerships must not indicate that they are listed before approval of their listing has been formally conveyed to them by DfT.

11. Where will the list be held?

The list will be published on the DfT website www.transec.dft.gov.uk. Details shown will be as follows;

   Name of Company/Partnership

   Location

   Contact details; Full address, telephone number, fax number, email address

   Security Function(s)

   Name of Responsible Person

   Listing expiry date

12. How long will listing last?

Listing will last for 5 years from the date of acceptance on the list. The exception to this will be if de-listing occurs. Listed providers will be expected to initiate renewal at least 1 month prior to expiry of listing but no sooner than 2 months before the expiry date of the listing.

13. What happens if a listing request is not approved?

The applicant will be notified with reasons for the rejection and will be notified of the appeals procedure. If the appeal fails the applicant will be entitled to reapply.

14. When might de-listing occur?

A listed provider may be de-listed if:

• They fail, after several warnings, to carry out security functions to an acceptable standard;
• They failed to comply with the criteria required for listing;
• They no longer provide the aviation security service for which they were listed;
• They have not reapplied at renewal time (1 month prior to expiry of listing);
• They made a deliberately false declaration during the period of listing; or
• There is any other valid reason to do so (e.g. terrorist-related convictions).

There will be ongoing compliance monitoring of providers by TRANSEC Inspectors. In cases where de-listing is an option following non-compliance, the stepped approach to enforcement would be the preferred option. This is the approach currently used by inspectors and is based on a philosophy of encouragement, assistance and working together to achieve compliance. De-listing should be seen as a last resort. Directed Parties will be kept informed. However, the Department reserves the right to use any or all of its available legal powers at any time should it deem necessary given the circumstances. A letter explaining the reasons for the de-listing, and suggestions for how re-listing could be achieved, would be issued. De-listing by site would be undertaken if the issue was particular to that site. However, if the issue was one where the effects were seen throughout the provider's locations, it might be necessary to de-list the whole company/partnership. This would (subject to the above) be the final step after all other compliance measures had been exhausted.

Once de-listing of a provider occurs it will not be able to continue to carry out aviation security duties.

If a listed company receives notification from the DfT that de-listing is being considered it is incumbent upon the listed company/partnership to inform all relevant Directed Parties at that location.

15. Will there be an appeal mechanism against de-listing?

Yes. The applicant will be notified with reasons for de-listing. The applicant will be notified of the appeals procedure. The appeals procedure would allow the provider to make representations to the Department within 28 days. These representations will be carefully considered and a letter issued indicating both a successful appeal and a listing date or that the decision remains not to list the applicant. Full reasons will be given.

16. When could a de-listed company/partnership re-apply?

As soon as the letter notifying de-listing has been received. The re-application must be accompanied by an action plan, detailing the measures to be taken and the targets for achieving compliance.

17. Before introduction of the Regulations, will there be a transitional period during which time applicants can make their applications for listing?

Yes. There will be a trial period to allow applications to be made and processed, and for the DfT to be satisfied the scheme is fit for purpose. Successful applicants will be listed. The DfT wishes all current providers of UK aviation security functions to apply for listing as soon as possible; any company that is not listed will not be allowed to carry out the designated security functions once the Regulations become law. By signing and submitting to DfT an application for listing, companies/partnerships agree to be bound by the Regulations from the date they enter into force.

Other Issues

18. Why can't TRANSEC widen the scope of listing to cover screening/searching of cargo?

There is no scope to change the scheme at present. The plan from the outset was that listing would only cover (Dir 11 schedule 2) security functions - those for which CTC is required. Screening of cargo was not included and did not form part of the Regulatory Impact Assessment. Including cargo screening now would significantly increase the scope of the project, and TRANSEC is not resourced to deal with applications on this scale. Cargo screeners may be added at a later date.

19. Will there be regular audits or inspections?

Each application will be assessed using the information provided by you on your application form, and your company or partnership's compliance history. DfT reserves the right to undertake an unannounced inspection and/or site visit to assist with our assessment of the application.

20. Will listed providers be served with their own Directions?

No. Listed companies are those carrying out a function on behalf of a Directed Party, in order to help that party to meet its obligations under the Directions.

21. The length of the listing status (5 years) is causing concern as all contract lengths will vary.

The period of the listed status need not interfere with the length of the contract. Companies/partnerships can apply for re-listing in good time to secure that status, and so ensure that they do not have a period where they are not listed and can no longer be contracted. With the stepped approach to compliance, de-listing is very much a last resort. TRANSEC would be aware of the effect of refusing re-listing (or refusing listing in the first instance) and the implications for the organisation who let the contract. If a company was de-listed, their operations could be temporarily covered by another listed provider (or de-listing could be delayed until another provider is lined-up for the job). In short, we would work with the industry to find the most sensible way forward.