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

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Presentation on theme: "ICAO Dangerous Goods Inspectors Workshop GM 4 - Dangerous Goods Audits and Inspections Slide 1 Revision 05 – March 2008."— Presentation transcript:

1 ICAO Dangerous Goods Inspectors Workshop GM 4 - Dangerous Goods Audits and Inspections Slide 1 Revision 05 – March 2008

2 Topics of Chapter 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 ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 2 Revision 05 – March 2008

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

4 4.1 Introduction 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. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 4 Revision 05 – March 2008

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

6 4.2 Purposes 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. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 6 Revision 05 – March 2008

7 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 ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 7 Revision 05 – March 2008

8 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 ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 8 Revision 05 – March 2008

9 4.2 Purposes 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. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 9 Revision 05 – March 2008

10 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. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 10 Revision 05 – March 2008

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

12 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 operators responsibilities of Part 7. Source: ICAO TI, Part 7, Introductory Note ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 12 Revision 05 – March 2008

13 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 ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 13 Revision 05 – March 2008

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

15 4.2 Purposes 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. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 15 Revision 05 – March 2008

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

17 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; ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 17 Revision 05 – March 2008

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

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

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

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

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

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

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

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

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

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

28 4.4 Summary of Inspection Procedures 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. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 28 Revision 05 – March 2008

29 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. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 29 Revision 05 – March 2008

30 4.4 Summary of Inspection Procedures 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. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 30 Revision 05 – March 2008

31 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. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 31 Revision 05 – March 2008

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

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

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

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

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

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

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

39 4.5 How to plan an inspection Site Inspection 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. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 39 Revision 05 – March 2008

40 4.5 How to plan an inspection 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 ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 40 Revision 05 – March 2008

41 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 ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 41 Revision 05 – March 2008

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

43 4.6 Results of inspections 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. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 43 Revision 05 – March 2008

44 4.6 Results of inspections 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) ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 44 Revision 05 – March 2008

45 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. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 45 Revision 05 – March 2008

46 Operators 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. 4.6 Results of inspections ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 46 Revision 05 – March 2008

47 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. 4.6 Results of inspections ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 47 Revision 05 – March 2008

48 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. 4.6 Results of inspections ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 48 Revision 05 – March 2008

49 On the 1 st 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 20 th of every month, the Station Manager will have to report to the Vice President Operations on the staff no longer qualified (if applicable). 4.6 Results of inspections ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 49 Revision 05 – March 2008

50 Method to verify the effectiveness of corrective action plans : Every a year, during the internal stations 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. 4.6 Results of inspections ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 50 Revision 05 – March 2008

51 4.6 Results of inspections If during an inspection an Inspector discovers a violation, his response will be determined by various factors which will warrant different courses of action. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 51 Revision 05 – March 2008

52 Factors/Circumstances to Consider When Choosing a Response Whenever a violation of the Transportation of Dangerous Goods Act is discovered and substantiated, Inspectors will consider the following factors when deciding what enforcement response to take: 4.6 Results of inspections ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 52 Revision 05 – March 2008

53 4.6 Results of inspections The nature of the violation. This includes consideration of the seriousness of the violation or the harm or potential harm to life, health, property and the environment, the type and quantities of dangerous goods involved and circumstances of the violation. Whether there are attempts to conceal information or otherwise subvert the objectives of the Act. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 53 Revision 05 – March 2008

54 4.6 Results of inspections The attitude and attempts to comply or the intent to contravene the Act. Whether the violation is correctable on site. Previous recorded history of non- compliance. Whether the non-compliance is of a continuing nature and likely to reoccur. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 54 Revision 05 – March 2008

55 Topics of Chapter Frequency of Inspections ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 55 Revision 05 – March 2008

56 4.7 Frequency of inspections The Technical Instructions does not specify the frequency of such inspections. However the Manual of Procedures for Operations Inspection, Certification and Continued Surveillance, produced by ICAO, recommends that all significant aspects of the operators procedures and practices should be inspected at least once every twelve-month period. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 56 Revision 05 – March 2008

57 4.7 Frequency of inspections Consequently, states should consider inspecting all aspects related to dangerous goods of an operator engaged in the carriage of dangerous goods as cargo on an annual basis, as a minimum. Operators choosing not to transport dangerous goods as cargo may be inspected at a less frequent rate. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 57 Revision 05 – March 2008

58 4.7 Frequency of inspections Some of the factors which may affect an inspections schedules are as follow: Risk assessment of the air operator based on: –Prior inspection; and –Compliance record Quantity of COMAT or commercial dangerous goods accepted at the location. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 58 Revision 05 – March 2008

59 4.7 Frequency of inspections Location of many air operators at one location Seasonal operation in limited access area. ICAO Technical Instructions two years cycle. ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 59 Revision 05 – March 2008

60 End of Unit GM-04 ICAO Dangerous Goods Inspectors Workshop GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections Slide 60 Revision 05 – March 2008 Daniel J. Sylvestre Superintendent, Dangerous Goods TRANSPORT CANADA National Operations – Airlines Division Tel: 1 (514) / Fax: 1 (514) Web: 700 Leigh Capreol, Suite 2093 (NAROA), Dorval, Quebec H4Y 1G7, CANADA Government of Canada


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