ICAO Dangerous Goods Inspector’s Workshop

1. ICAO Dangerous Goods Inspector’s Workshop GM 4 - Dangerous Goods Audits and Inspections Slide 1 Revision 05 – March 2008

2. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Topics of Chapter 04 • 4.1 Introduction • 4.2 Purposes • 4.3 Inspection Procedures • 4.4 Summary of Inspection Procedures • 4.5 How to plan an inspection • 4.6 Results of inspections • 4.7 Frequency of inspections Slide 2 Revision 05 – March 2008

3. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Topics of Chapter 04 4.1 Introduction Slide 3 Revision 05 – March 2008

4. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.1 Introduction • 4.1.1 For the purposes of this manual and to align with the terminology used in ICAO Annex 18 “The Safe Transport of Dangerous Goods”, “inspections” should be regarded as synonymous with “audits”. Slide 4 Revision 05 – March 2008

5. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Topics of Chapter 04 4.2 Purposes Slide 5 Revision 05 – March 2008

6. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.2 Purposes • 4.2.1 As required by Annex 18 to the Chicago Convention, each contracting State shall establish inspection procedures with a view to achieving compliance with its dangerous goods regulations. Slide 6 Revision 05 – March 2008

7. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.2 Purposes 11.1 Inspection systems • Each Contracting State shall establish inspection, surveillance and enforcement procedures with a view to achieving compliance with its dangerous goods regulations. • … Source: ICAO Annex 18, 11.1 Slide 7 Revision 05 – March 2008

8. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.2 Purposes 11.1 Inspection systems • … • Note.— It is envisaged that these procedures would include provisions for the inspection of both documents and cargo and operators’ practices as well as providing a method for the investigation of alleged violations (see 11.3). Source: ICAO Annex 18, 11.1 Slide 8 Revision 05 – March 2008

9. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.2 Purposes • 4.2.2 The aim of the inspection is to assess the suitability of the organisation and procedures established by the operator and of the facilities provided for the handling of dangerous goods, taking into account the nature and scale of the operation. Slide 9 Revision 05 – March 2008

10. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.2 Purposes • If the operator uses a handling agent, the liaison between them needs to be checked to confirm that each knows what is expected of them by the other. Slide 10 Revision 05 – March 2008

11. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Shippers Freight Forwarder Cargo Mail & Express Parcels Company Material (COMAT) Aircraft On Ground (AOG) Aircraft Equipment Cargo Acceptance Staff Catering And Duty Free Loading Staff Passengers Carry-on Baggage Security PAX Check-in Staff Employees Checked Baggage Crew Carry-on Baggage Security Crew Checked Baggage Passengers Checked Baggage Crew Employees Employees Carry-on Baggage

12. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.2 Purposes • This Part details the responsibilities of operators with regard to the acceptance, handling and loading of dangerous goods... … Also, nothing in this Part is intended to preclude a ground handling agent from carrying out some or all of the functions of an operator. However, such ground handling agents are subject to the operator’s responsibilities of Part 7. Source: ICAO TI, Part 7, Introductory Note Slide 12 Revision 05 – March 2008

13. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.2 Purposes • “There are many air carriers who delegate to third parties some of the duties that are assigned to them in the ICAO Technical Instructions and in this Part. • There is nothing in these Regulations that hinders this practice but it should be noted by air carriers that delegating responsibility for certain duties does not include delegating liability for those duties. Transportation of Dangerous Goods Regulation (CANADA) chapter 12 Slide 13 Revision 05 – March 2008

14. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.2 Purposes • 4.2.3 The establishment of inspection procedures will ensure that dangerous goods are transported safely without placing an aircraft or its occupants at risk. Slide 14 Revision 05 – March 2008

15. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.2 Purposes • 4.2.4 There are numbers of aspects related to the transport of dangerous goods by air to verify during an inspection. • The inspection needs to confirm that the operator has sufficient resources for the intended operation and has identified those individuals who have specific responsibilities and has made them aware of their responsibilities. Slide 15 Revision 05 – March 2008

16. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.2 Purposes • It will ensure that reference manuals are up-to-date and available to staff who will need to use them. Slide 16 Revision 05 – March 2008

17. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.2 Purposes • The manner of handling and storing dangerous goods in airport premises is checked to ensure there are no practices which could lead to accidental damage of packages or put staff at risk; Slide 17 Revision 05 – March 2008

18. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.2 Purposes • … and the method of loading and stowage on aircraft is checked to ensure it is carried out according to the requirements. Slide 18 Revision 05 – March 2008

19. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Topics of Chapter 04 4.3 Inspection Procedures Slide 19 Revision 05 – March 2008

20. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.3 Inspection Procedures • 4.3.1 Inspections are carried out at cargo facilities, … Slide 20 Revision 05 – March 2008

21. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.3 Inspection Procedures …, on the ramp,… Slide 21 Revision 05 – March 2008

22. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.3 Inspection Procedures …, in passenger terminals and, ... Slide 22 Revision 05 – March 2008

23. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.3 Inspection Procedures … occasionally, other places such as security check-points, … Slide 23 Revision 05 – March 2008

24. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.3 Inspection Procedures …, shippers, freight forwarders, packaging manufacturers, at a frequency commensurate with the scale and nature of the operation… Slide 24 Revision 05 – March 2008

25. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.3 Inspection Procedures • In addition, audits of procedures include visiting operator's or handling agent's premises, as appropriate. Slide 25 Revision 05 – March 2008

26. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Topics of Chapter 04 4.4 Summary of Inspection Procedures Slide 26 Revision 05 – March 2008

27. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.4 Summary of Inspection Procedures • 4.4.1 Each inspection listed below will be explained in a separated chapter of this manual and sample inspection checklists will be annexed: • Initial inspection: • Periodic inspections: Slide 27 Revision 05 – March 2008

28. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.4 Summary of Inspection Procedures • 4.4.2 The purpose of an initial inspection is to verify that the operator meet the requirements of the National Regulations and the ICAO Technical Instructions before transporting dangerous goods. Slide 28 Revision 05 – March 2008

29. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.4 Summary of Inspection Procedures An initial inspection includes a review of: • Operator application to transport dangerous goods in normal or special circumstances; • Operations manual and other staff instructions; and • Training programs approvals. Slide 29 Revision 05 – March 2008

30. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.4 Summary of Inspection Procedures • 4.4.4 The periodic inspections are to verify that the operator keeps the information in the reference manuals up to date and that the manner of handling and storing dangerous goods in airport premises and the method of loading and stowage on aircraft are carried out according to the requirements. Slide 30 Revision 05 – March 2008

31. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.4 Summary of Inspection Procedures • The types of inspections for operators / handling agents may vary from in-depth audits to consignment checks and ramp inspections; • inspections at airports also include checks for notices for passengers. Slide 31 Revision 05 – March 2008

32. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.4 Summary of Inspection Procedures 4.4.5 Periodic inspections includes: • Operations manual and other staff instructions inspection • Training programs inspection • Staff training inspection • Consignment inspection (package and documents) at cargo facilities • … Slide 32 Revision 05 – March 2008

33. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.4 Summary of Inspection Procedures • … • Ramp inspection (loading and stowage) • Passenger information inspection (warning notices) • In-depth audits. Slide 33 Revision 05 – March 2008

34. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Topics of Chapter 04 4.5 How to Plan an Inspection Slide 34 Revision 05 – March 2008

35. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.5 How to plan an inspection • 4.5.1 Pre-Inspection • 4.5.1.1 Before an inspection is started, all information concerning the operator’s procedures shall be reviewed. Slide 35 Revision 05 – March 2008

36. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.5 How to plan an inspection • 4.5.1.2 Examine all relevant operator information such as: • Operator Company file • Certification file • Company Manuals • Occurrence report • Previous inspection records • State Approvals Slide 36 Revision 05 – March 2008

37. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.5 How to plan an inspection • … • Referral materials • Any other relevant carrier/company information available Slide 37 Revision 05 – March 2008

38. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.5 How to plan an inspection Slide 38 Revision 05 – March 2008

39. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.5 How to plan an inspection 4.5.2 Site Inspection • 4.5.2.1 When an inspection is scheduled, adequate notice should be given to advise the operator / handling agent and arrangements made for access to relevant areas. • In some circumstances the inspection may be made without giving prior notice. • However, this may not always be practicable or desirable. Slide 39 Revision 05 – March 2008

40. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.5 How to plan an inspection 4.5.2.2 On arrival: • Introduce self to company representative (it is recommended to provide a business card) • State purpose of inspection and request name of appropriate person to contact • Explain to appropriate person in charge reason for inspection and general inspection process Slide 40 Revision 05 – March 2008

41. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.5 How to plan an inspection … • Ensure safety equipment meets carrier / company requirements (i.e. safety boots, high visibility vest, etc.) • Arrange for accompaniment of person in charge Slide 41 Revision 05 – March 2008

42. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Topics of Chapter 04 4.6 Results of Inspections Slide 42 Revision 05 – March 2008

43. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.6 Results of inspections • 4.6.1 The results of a dangerous goods inspection are documented so as to produce a record of what was seen and noted at the time. • The record must be sufficiently comprehensive to identify any deficiencies, since these will need to be identified in a request to the operator to take action to remedy them. Slide 43 Revision 05 – March 2008

44. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.6 Results of inspections 4.6.2 The answer, requested from the operator should include: • An internal investigation report indicating the • Short term corrective action plan • Long term / system wide corrective action plan • Method to verify the effectiveness of corrective action plans (Specifying frequency and how documentation will be retained) Slide 44 Revision 05 – March 2008

45. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.6 Results of inspections Situation: • During an inspection, you discovered that three cargo acceptance staffs have expired the validity of their training by one month. Slide 45 Revision 05 – March 2008

46. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.6 Results of inspections Operator’s Corrective Action Plan Probable / Root Causes • The responsibility for tracking the competency of staff was delegated to each station; and • The person responsible for this duty has been on maternity leave for the last ten months and the duties were not assigned to someone else. Slide 46 Revision 05 – March 2008

47. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.6 Results of inspections Short term corrective action plan • The no longer qualified employees will be ordered not to accept any dangerous goods cargo until they have been re-trained. • Training for them will be done in the next 30 days. Slide 47 Revision 05 – March 2008

48. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.6 Results of inspections Long term / system wide corrective action plan: • A database will be establish in the next 60 days to track the validity of training of all employees. • This database will be located at headquarter • The training coordinator will be responsible for the database. Slide 48 Revision 05 – March 2008

49. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.6 Results of inspections • On the 1st day of every month, a list of staff requiring training in the next 90 days will be send to: • The Station Manager; and • The Director of training • On the 20th of every month, the Station Manager will have to report to the Vice President Operations on the staff no longer qualified (if applicable). Slide 49 Revision 05 – March 2008

50. ICAO Dangerous Goods Inspector’s Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections 4.6 Results of inspections Method to verify the effectiveness of corrective action plans : • Every a year, during the internal station’s audit, every training records will be reviewed for lapse of training qualification. • An associated report will be retain for ten years in the training department. Slide 50 Revision 05 – March 2008