ICAO Dangerous Goods Inspector’s Workshop
GM 4 - Dangerous Goods Audits and Inspections
Slide 1
Revision 05 – March 2008
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
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
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
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
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.
In te rn a tio n a l S ta n d a rd s
a n d R e c o m m e n d e d P ra c tic e s
A n n ex 1 8
to th e C o n v e n tio n o n
In te rn a tio n a l C iv il A v ia tio n
T h e S a fe Tr a n s p o r t o f
D a n g e r o u s G o o d s b y A ir
T h is e d itio n in c o rp o ra te s a ll a m e n d m e n ts
a d o p te d b y th e C o u n c il p rio r to 8 M a rc h 2 0 0 1
a n d s u p e rs e d e s , o n 1 N o v e m b e r 2 0 0 1 , a ll p re v io u s
e d itio n s o f A n n e x 1 8 .
F o r in fo rm a tio n re g a rd in g th e a p p lic a b ility
o f th e S ta n d a rd s a n d R e c o m m e n d e d P ra c tic e s ,
s e e F o re w o rd a n d th e re le v a n t c la u s e s in
e a c h C h a p te r.
T h ird E d itio n
J u ly 2 0 0 1
In te rn a tio n a l C iv il A v ia tio n O rg a n iz a tio n
Slide 6
Revision 05 – March 2008
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
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
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
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
ICAO Dangerous Goods Inspector’s Workshop
GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections
Freight
Forwarder
Cargo
Mail &
Express
Parcels
Company
Material
(COMAT)
Aircraft
On Ground
(AOG)
Shippers
Aircraft
Equipment
Cargo
Acceptance
Staff
Catering
And
Duty Free
Loading
Staff
Security
Crew
Checked
Baggage
Employees
Checked
Baggage
PAX
Check-in
Staff
Passengers
Checked
Baggage
Passengers
Carry-on
Baggage
Crew
Carry-on
Baggage
Security
Crew
Employees
Employees
Carry-on
Baggage
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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:
A. Initial inspection:
B. Periodic inspections:
Slide 27
Revision 05 – March 2008
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
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
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
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 indepth audits to
consignment checks
and ramp inspections;
inspections at airports
also include checks for
notices for passengers.
Slide 31
Revision 05 – March 2008
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
ICAO Dangerous Goods Inspector’s Workshop
GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections
4.6 Results of inspections
•
4.6.3 If during an inspection an
Inspector discovers a violation, his
response will be determined by
various factors which will warrant
different courses of action.
Slide 51
Revision 05 – March 2008
ICAO Dangerous Goods Inspector’s Workshop
GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections
4.6 Results of inspections
•
•
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:”
Slide 52
Revision 05 – March 2008
ICAO Dangerous Goods Inspector’s Workshop
GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections
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.
Slide 53
Revision 05 – March 2008
ICAO Dangerous Goods Inspector’s Workshop
GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections
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 noncompliance.
Whether the non-compliance is of a
continuing nature and likely to reoccur.
Slide 54
Revision 05 – March 2008
ICAO Dangerous Goods Inspector’s Workshop
GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections
Topics of Chapter 04
4.7
Frequency of Inspections
Slide 55
Revision 05 – March 2008
ICAO Dangerous Goods Inspector’s Workshop
GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections
4.7 Frequency of inspections
•
•
4.7.1 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 operator’s procedures and
practices should be inspected at least
once every twelve-month period.
Slide 56
Revision 05 – March 2008
ICAO Dangerous Goods Inspector’s Workshop
GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections
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.
Slide 57
Revision 05 – March 2008
ICAO Dangerous Goods Inspector’s Workshop
GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections
4.7 Frequency of inspections
4.7.2 Some of the factors which may affect
an inspection’s 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.
Slide 58
Revision 05 – March 2008
ICAO Dangerous Goods Inspector’s Workshop
GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections
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.
Slide 59
Revision 05 – March 2008
ICAO Dangerous Goods Inspector’s Workshop
GM-04 – Guidance Manual – Chapter 4 - Dangerous Goods Audits and Inspections
End of Unit GM-04
Daniel J. Sylvestre
Superintendent, Dangerous Goods
TRANSPORT CANADA
National Operations – Airlines Division
Tel: 1 (514) 633-3116 / Fax: 1 (514) 633-3717
Email: [email protected]
Web: www.tc.gc.ca
700 Leigh Capreol, Suite 2093 (NAROA), Dorval, Quebec H4Y 1G7, CANADA
Government of Canada
Slide 60
Revision 05 – March 2008
Descargar

ICAO Dangerous Goods Inspector's Workshop