Form №: SL/QMS/18

DANGEROUS GOODS AUDIT CHECKLIST Rev: 00

Issued 20 Oct 19

DANGEROUS GOODS OPERATOR AUDIT CHECKLIST

Name of Auditee:

Date of Audit:

Auditor(s): /

Assessment Code:

S= Satisfactory

U = Unsatisfactory, mark this column if you determine that the document or individual line item does not comply

N/C= Not Checked, Reasons should be given in remarks column

N/A= Not Applicable, mark this column if it is not applicable or you do not have adequate information to make a valid comment.

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART I: PRE AUDIT

No Check Item Description Reference Details

1. 1
Identify any outstanding Audit Findings from the last audit. N/A

2. Determine the current type of operation and identify any changes since the
N/A
last audit.
3. Review prior company records to establish compliance history. N/A
4. Review dangerous occurrence reports, where applicable. N/A
5. Determine if the company currently has any relevant approvals/exemptions N/A
6. Review manual(s) and determine if there have been any applicable
ICAO TI 7; 4.2
amendments.
7. Determine if the company has an approved dangerous goods training ICAO TI 1;
program. 4.1.2
8. Determine if the training program reflects all regulatory or operational ICAO TI 1;
amendments. 4.1.2

Auditors’ Remarks & Observations:

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART II: POLICY, PROCEDURES & OVERSIGHT

No Check Item Description Reference Details

1. Determine who is nominated as responsible for dangerous goods for the

ICAO TI 1;1.2
operator and that their level of training is appropriate
2. Determine who is responsible for the operator’s policy for how dangerous
goods are carried as cargo and by passengers (e.g. what may be carried,
ICAO TI 1;1.2
segregation requirements, processes for provision of information etc) and that
their level of training is appropriate.
3. Identify who is responsible for determining whether approvals/ exemptions ICAO TI 1;1.1,
are required and for obtaining/ renewing them 1.1.2
4. Determine that the above responsibilities are at an appropriate level within ICAO TI 1;1.2
the organization
5. Determine that the above responsibilities are covered by the relevant job ICAO TI 1;1.2
description(s) / Terms of Reference?
6. Verify that any approvals/exemptions held by the operator have been ICAO TI 7;4.2
provided to the handling agents used.
7. Determine the adequacy of how any relevant conditions on approvals/
exemptions are notified to the appropriate people (which may include ICAO TI 1;1
flight/cabin crew, ground staff, trainers, handling agents)
8. Determine adequacy of internal audits of the Manuals, DG Training, DG ICAO TI 1;1.2
Acceptance/ Handling/Loading Processes and DG Document Control.
9. Verify that the auditor is appropriate trained of dangerous goods training ICAO TI 1;1.2
prior their performing internal audit
10. Determine whether an audit schedule has been established and maintained ICAO TI 1;1.2
and that it is appropriate to the size/ complexity of the operation.
11. Identify whether adequate audit checklists have been generated by a person ICAO TI 1;1.2
who is familiar with the carriage of dangerous goods by air and that they

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART II: POLICY, PROCEDURES & OVERSIGHT

cover all areas relevant to the operation.

12. Identify whether the audit schedule has been adhered to. ICAO TI 1;1.2

PART II: POLICY, PROCEDURES & OVERSIGHT

No Check Item Description Reference Details

13. Determine whether reports of audits have been completed and that they
demonstrate that the audits have been effective ICAO TI 1;1.2

14. Determine that responses to findings are sought in a timely manner. ICAO TI 1;1.2

15. Determine that closures to findings are acceptable and resolve the findings
raised satisfactorily. ICAO TI 1;1.2

16. Determine who has the authority to amend and issue Dangerous Goods
information in the Manual(s) and verify that the information is adequate and ICAO TI 7;4.2
up-to-date

17. Determine whether the process for updating/amending manuals is adequate. ICAO TI 7;4.2

18. Determine whether the manual(s) and any amendments reflect the operation, ICAO TI 7;4.2
e.g. if dangerous goods are not to be carried on certain routes, is this stated?

19. Determine adequacy of the system for the distribution and control of manuals ICAO TI 7;4.2

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART II: POLICY, PROCEDURES & OVERSIGHT

and any amendments and that all applicable personnel (including handling
agents) have access to the latest versions

20. Determine if an appropriate reporting system exists to report DG accidents ICAO TI 7;4.4
and incidents to the State of operator and state where accident or incident
occurred.
21. Determine if an appropriate reporting system exists to report undeclared or
mis-declared dangerous goods discovered in cargo and mail. Verify
ICAO TI 7;4.5
arrangements between operator/handling agents and operator/security staff to
ensure reporting to the State of operator and State in which it occurred.

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART II: POLICY, PROCEDURES & OVERSIGHT

No Check Item Description Reference Details

22. Determine if an appropriate reporting system exists to report the finding of ICAO TI 7;4.5
prohibited items of dangerous goods carried by passengers. Arrangements
between operator/handling agents and operator/security staff to ensure
reporting to the State in which it occurred.

23. Determine if an appropriate reporting system exists to report occurrences of

incorrectly loaded dangerous goods or without information (NOTOC) being ICAO TI 7;4.6
provided to the pilot-in-command.

24. Determine the adequacy of procedures for provision of information in the

event of an aircraft accident, serious incident or incident and verify
ICAO TI 7;4.7
provisions are included in appropriate manuals and accident contingency
plans

Auditors’ Remarks & Observations:

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART II: POLICY, PROCEDURES & OVERSIGHT

PART III: TRAINING

No Check Item Description Reference Details

1. Determine who is responsible for ensuring dangerous goods training is

provided for:

2. Flight crew

3. Cabin crew

4. Ground handling staff

5. Other staff ICAO TI 7;4.10

6. Does the company's dangerous goods training program match the State ICAO TI 1;4.1.2
approved program?

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART III: TRAINING

7. Verify that the training materials used for each category of personnel ICAO TI 1;4.2.1
provides adequate details for the applicable responsibilities

8. Determine the adequacy of the process for amending training programmes to ICAO TI 7;4.2.1
reflect changes to the requirements or company procedures/policies

9. Determine who conducts the dangerous goods training and the adequacy of ICAO TI 1;4.3
the system for ensuring that those courses and instructors are appropriately
authorised/qualified, for both internal and external training providers.
10. Determine the adequacy of the process to ensure new employees are trained ICAO TI 1;4.2.2
prior to performing any duty

PART III: TRAINING

No Check Item Description Reference Details

11. Determine the adequacy of the process for ensuring that the recurrent training ICAO TI 1;4.2.3
takes place within 24 months of previous training.

Auditors’ Remarks & Observations:

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART III: TRAINING

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART IV: ACCEPTANCE OF CARGO

No Check Item Description Reference Details

1. Determine if the Operations Manual and/or other manuals are available to ICAO TI 7;4.2
staff as required, together with any amendments.

2. Verify availability/accessibility of current ICAO/IATA documents ICAO TI 1;1.2

3. Determine whether the process for incorporating amendments/addenda to the ICAO TI 1;1.2
ICAO/IATA documents is adequate

4. Determine that information is provided at cargo acceptance areas in sufficient ICAO TI 7;4.8
number and prominence.

5. Determine adequacy of the company's acceptance procedures. Verify ICAO TI 7;4.1

adequacy and use of acceptance checklist.

6. Determine whether incorrectly presented dangerous goods are rejected ICAO TI 7;1.2
appropriately.

7. Determine if the operator’s staff are appropriately trained and recurrent ICAO TI 1;
training has been carried out. 4.2.1 7; 1.1

8. Determine that there are adequate procedures for the reporting of dangerous ICAO TI 7;4.4,
goods accidents, incidents and occurrences 4.5 & 4.6

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART IV: ACCEPTANCE OF CARGO

Auditors’ Remarks & Observations:

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART V: STORAGE, HANDLING & LOADING OF DANGEROUS GOODS

No Check Item Description Reference Details

1. Determine that operator has appropriate procedures for removal of damaged ICAO TI 7;3.2
or leaking packages from aircraft.

2. Determine that the company has appropriate procedures for loading and ICAO TI 8;
stowing electric mobility aids for passengers (including notification to the Table 8-1;5) to
pilot in command). 7)

3. Determine that the company has appropriate procedures for the loading and ICAO TI 7;4.2
stowing dangerous goods excepted from the requirements as per ICAO TI and 1;1.1.5
1;1.1.5

4. Determine if the operator’s employees including those agencies employed to ICAO TI 7;4.10
act on the operator’s behalf are adequately trained.

5. Determine that there are adequate procedures for the reporting of dangerous ICAO TI 7;4.4,
goods accidents, incidents and occurrences 4.5 & 4.6

Auditors’ Remarks & Observations:

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART V: STORAGE, HANDLING & LOADING OF DANGEROUS GOODS

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART VI: PASSENGER CHECK-IN

No Check Item Description Reference Details

1. Determine if there is an appropriate documented policy or process concerning

ICAO TI 8;1
dangerous goods carried by passengers or crew.

2. Determine if there are appropriate procedures for approving the carriage of ICAO TI Table
dangerous goods, which require operator approval, by passengers or crew. 8-1

3. Verify that information about forbidden dangerous goods is provided at the

point of ticket purchase or made available in another manner to passenger
ICAO TI 7;5.1.1
prior to boarding pass issuance and at boarding pass issuance or when no
boarding pass is issued, prior to boarding the aircraft.

4. Verify that notices about forbidden dangerous goods are prominently

displayed (and include visual examples) in sufficient number at the airport
where:
 Tickets are issued;
ICAO TI 7;5.1.2
 Boarding passes are issued
 Passenger baggage is dropped off
 Aircraft boarding areas maintained
 Any other location where boarding passes are issued or checked
baggage is accepted
5. Verify that on-line check-in provides information to passengers about ICAO TI 7;
forbidden dangerous goods and that passengers cannot check-in without

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART VI: PASSENGER CHECK-IN

confirming they understand the restrictions 5.1.2

6. Verify information is readily available to passenger check-in staff about:

 Hidden dangerous goods ICAO TI 7;5.2
 Labels and marks
 Dangerous goods permitted to be carried
7. Determine if the operator’s employees including those agencies employed to
ICAO TI 7;5.2.1
act on the operator’s behalf are adequately trained.

8. Determine that there are adequate procedures for the reporting of dangerous ICAO TI 7;4.4,
goods accidents, incidents and occurrences 4.5 & 4.6

Auditors’ Remarks & Observations:

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

PART VI: PASSENGER CHECK-IN

PART VII: ENGINEERING STORES

No Check Item Description Reference Details

1. 1Determine if there is an appropriate process for identifying and determining ICAO TI 5;1.1
classification of dangerous goods upon receipt into stores.

2. Determine if there is an appropriate process for the shipping of parts that are ICAO TI 5;1.3
dangerous goods.

3. For dangerous goods that are shipped by Engineering Stores, determine that ICAO TI 5;1.1c)
there is an adequate process for selecting appropriate packaging.

4. Verify that appropriate Engineering Stores staff have received dangerous ICAO TI 5;1.4
goods training commensurate with their responsibilities.

5. Verify that dangerous goods training records are maintained as required. ICAO TI 1;4.2.5

Auditors’ Remarks & Observations:

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 Form №: SL/QMS/18
DANGEROUS GOODS AUDIT CHECKLIST Rev: 00
Issued 20 Oct 19

Evaluation Recommendations: SATISFACTORY UNSATISFACTORY

Name: Signature: Date:

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