3.III.4.2. Certificates and authorizations granted by customs or other authorities of the Administration

1. Existing customs authorizations

   When an economic operator applies for AEO status, any other customs authorizations previously granted must be taken into account.

2. Certificates issued by aviation agencies or authorities

   Aviation authorities authorize entities involved in the handling of air cargo. Depending on the role played in the supply chain, entities may obtain AA or EA status from these authorities, while the customer-shipping party (CSP) will be directly appointed by an AA.

   AAs are companies such as agencies, freight forwarders, or other entities that maintain business relationships with an airline and carry out security controls recognized or prescribed by the competent authority in relation to cargo, courier services, express parcels, and letters.

   An EC is a shipper who originates cargo or mail on his own account and whose procedures comply with common security rules and regulations to a degree sufficient to enable such cargo or mail to be transported on any aircraft.

   In the case of an AA or an EC, the criteria set out in Article 28(1) of the CAU EA shall be deemed to be met pursuant to Article 28(3) of the CAU EA in relation to the installations and activities for which the economic operator has obtained AA or EC status. Unlike the AEO program, AA or EC status is always granted to a specific location. It should also be noted that, in principle, the AA or EC status only applies to outgoing goods transported on board aircraft. In the case of incoming goods, the processes are not examined or authorized.

   The comparison carried out by the relevant Commission services in cooperation with the EU Member States between the AA, EC and AEO criteria concluded that the requirements of these programmes were in principle comparable in the following four areas:

   • building security;
   • appropriate access controls;
   • cargo security;
   • staff safety.

   Thus, in the areas mentioned above, the most common conditions are more likely to be found and are therefore considered to be met.

   Therefore, if the applicant for an AEOS authorization has already received authorization as an AA or EC, it will be necessary to assess in a timely manner whether they also carry out other commercial activities and, if so, these should also be subject to control. There should be no automatic recognition, but at the same time, re-control of the same locations and operations should be avoided.

   Although there is no legal recognition of ECl status, similar objectives are pursued, so ECl status can also be useful in the AEO authorization procedure.

3. Ship and Port Facility Security (ISPS)

   The IMO has adopted, as part of the mandatory International Convention for the Safety of Life at Sea (SOLAS), an equally mandatory code relating to the safety of ships and port facilities: the International Ship and Port Facility Security Code (ISPS Code). It establishes the responsibilities of Administrations, maritime transport companies, ship captains, on-board personnel, ports, port facilities and their personnel with respect to carrying out risk assessments and analyses, and the development, maintenance and improvement of security plans for maritime transport companies and their vessels, as well as for ports and port facilities, with the aim of preventing security incidents affecting vessels or port facilities used in international trade.

   The security requirements of the ISPS Code include physical security measures, such as those relating to access control to vessels and port facilities, as well as maintaining the integrity of goods and cargo units. These measures must be duly documented in a security plan submitted to the Authority designated for the protection of ships and port facilities. The approved security plan is not only a useful tool for assessing the security criteria for obtaining AEO status, but also, if the elements of the approved security plan are identical to or correspond to the AEO conditions, it will be considered by the Customs Administration as a factor in compliance with such conditions (Article 28, paragraph 2, of the AE CAU).

   Although vessels and port facilities that comply with the applicable requirements of the ISPS Code will be issued certificates attesting to such compliance, it should be noted that shipping companies' compliance with the relevant parts of the ISPS Code is subject to mandatory validation by national maritime administrations, in collaboration with the EU 's European Maritime Safety Agency (EMSA). In this regard, such authorized validation of the shipping company must also be considered in the context of authorization as an AEO.

4. Eligibility for the Eurosystem Credit Assessment Facility (ECAF) of the European Central Bank

   The Eurosystem Credit Assessment Facility (ECAF) of the European Central Bank defines the procedures, standards, and techniques that ensure compliance with the high credit quality requirement imposed by the Eurosystem for all collateral. In assessing credit quality, the Eurosystem takes into account institutional criteria and features that guarantee similar protection to the instrument holder, such as guarantees. In some Member States, eligibility is certified by the national central bank. The Eurosystem's permanent reference for establishing a minimum requirement for high credit quality is defined in terms of a credit rating of "A" (where "A" means a minimum long-term rating of "A-" from Fitch or Standard & Poor's, "A3" from Moody's or "AL" from DBRS).

   Therefore, when assessing the proven financial solvency criterion, the assessment of credit rating agencies can also be taken into account.

5. The Sarbanes-Oaxley Act (SOX)

   SOX is a U.S. federal law that establishes new or strengthens existing standards for all public company boards, executive management, and public accounting firms. It also applies to companies outside the United States whose securities are traded in this country. SOX primarily includes provisions on the system of internal control relating to accounting and financial reporting and balance sheets. It emphasizes the requirements regarding disclosure of information and the responsibility of managers.

   A company's compliance with SOX does not automatically satisfy the criteria for AEO status. However, such compliance will be an indicator that must be considered in the risk analysis and in the context of authorization as an AEO.

6. AEO or similar programs in third countries

   In some countries, a safety and security program is implemented in line with the AEO concept of the WCO SAFE Framework. Although there is no mutual recognition between the EU and the country concerned, the fact that an economic operator is validated or certified under such schemes is also important in the context of authorization as an AEO, and must be taken into account by the competent customs authorities in the inspection process for granting AEO status.

7. TIR (Transports International Routiers)

   The Customs Convention for the International Carriage of Goods Under Cover of TIR Carnets (1975 TIR Convention) was drawn up under the auspices of the UNECE.

   The TIR Convention and the TIR Manual are maintained by the UNECE. The Manual contains, in addition to the text of the Convention, a large amount of useful information on its practical application.

   Of particular interest for the purposes of AEO authorization is controlled access to TIR procedures, which constitutes one of the pillars of the Convention. In accordance with Article 6 of the TIR Convention, the competent authorities shall only grant access to such procedures to transport operators who meet the minimum conditions and requirements set out in Annex 9, Part 2 of the Convention, namely:

   • proven experience and ability to carry out activities in the field of international transport;
   • solid financial situation;
   • demonstrated knowledge in the application of the TIR;
   • absence of serious or repeated violations of customs or tax legislation;
   • written declaration reflecting the commitment to comply with customs legislation and to pay any sums owed in the event of an infringement or irregularity.

   For the purposes of AEO authorization, the approval of vehicles and containers for road transport may also be of particular interest. The TIR Convention stipulates that goods must be transported in containers or road vehicles with cargo compartments constructed so as to prevent access to their interior when secured by a seal. If a container or cargo compartment meets the requirements of the Convention, the relevant national authorities responsible for authorization or inspection issue so-called road vehicle or container approval certificates.

8. Other

   Verifiable compliance with safety standards and requirements established by intergovernmental organizations, such as the IMO, UNECE, OTIF, UPU, and ICAO, may constitute partial or full fulfillment of the criteria for AEO status, provided they are identical or comparable.