ISAGO AUDIT RESULT ANALYSIS

Transcription

1 ISAGO AUDIT RESULT ANALYSIS May 2010 September 2011 (Audit Closure) SO&I QUALITY

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3 Table of Contents Table of Contents INTRODUCTION EXECUTIVE SUMMARY DISTRIBUTION OF REPORTS PER REGION AND AUDIT SECTION Corporate audits Station audits Combined audits DISTRIBUTION OF FINDINGS PER REGION AND AUDIT SECTION ORGANIZATION AND MANAGEMENT SYSTEM - CORPORATE (ORM-H) DISTRIBUTION OF FINDINGS Distribution per region Distribution per sub section TOP 10 FINDINGS ORGANIZATION AND MANAGEMENT SYSTEM STATION (ORM-S) DISTRIBUTION OF FINDINGS Distribution per region Distribution per sub section TOP 10 FINDINGS (average per report) ORGANIZATION AND MANAGEMENT SYSTEM COMBINED (ORM-HS) DISTRIBUTION OF FINDINGS Distribution per region Distribution per sub section TOP 10 FINDINGS (average per report) LOAD CONTROL (LOD) DISTRIBUTION OF FINDINGS Distribution per region Distribution per sub section TOP 10 FINDINGS PASSENGER HANDLING (PAX) DISTRIBUTION OF FINDINGS Distribution per region Distribution per sub section TOP 10 FINDINGS BAGGAGE HANDLING (BAG) DISTRIBUTION OF FINDINGS Distribution per region Distribution per sub section TOP 10 FINDINGS AIRCRAFT HANDLING AND LOADING (HDL) DISTRIBUTION OF FINDINGS Distribution per region Distribution per sub section TOP 10 FINDINGS AIRCRAFT GROUND MOVEMENT (AGM) DISTRIBUTION OF FINDINGS Reference: DAT.F05 3 of 44 Issue date: 30-Sep-2011

4 Table of Contents Distribution per region Distribution per sub section TOP 10 FINDINGS CARGO AND MAIL HANDLING (CGM) DISTRIBUTION OF FINDINGS Distribution per region Distribution per sub section TOP 10 FINDINGS Reference: DAT.F05 4 of 44 Issue date: 30-Sep-2011

5 Introduction INTRODUCTION The purpose of this document is to provide the ISAGO registered providers, ISAGO pool member airlines and IATA relevant parties with detailed information about the result of the ISAGO corporate and station audits conducted during the period from May 2010 to September 2011 based on GOSM Edition 2 Revision 0. This presentation aims to provide a factual observation of the situation through the audit results. 79 audit reports (28 corporate, 13 combined and 38 station) have been included in the analyses covering all 8 regions NATAM, LATAM, MENA, CHINA, ASPAC, EUROPE, RUSSIA & CIS Countries and AFRICA. The 79 audits resulted in 497 corporate findings, 4186 station findings and 1156 combined findings. All were successfully addressed and closed within the pre-defined time frame. The overall results that cover the 8 ISAGO disciplines (see below) together are shown to give a global overview of the results of the ISAGO program. The results are produced under a systemic approach looking at the global results for each individual ISAGO discipline applicable to corporate and station audits. Then the analysis of the findings is detailed per region, per sub-section within the considered discipline. Eventually the top 10 findings are listed to give a view on the highest occurrences. Attention should be paid not to draw direct conclusions from the graphs that are presented as it would require a deeper analysis of the root causes for each listed finding and the non conformities observed should be put back into the context to avoid any mistaking conclusion. 1 ORGANIZATION AND MANAGEMENT SYSTEM (ORM-H) 1 Management and Control 2 Documentation and Records 3 Safety and Quality Management 4 Emergency Response 5 Training and Qualification 6 Security management 7 Ground Support Equipment (GSE) Management 8 Aircraft Turnaround Coordination Note: OMS auditing section is applicable to corporate audits only. 2 ORGANIZATION AND MANAGEMENT SYSTEM (ORM-S, ORM-HS) 1 Management and Control 2 Station Documentation and Records 3 Station Safety Management 4 Station Event Response 5 Station Training and Qualification 6 Station Security management 7 Station GSE Management 8 Unit Load Device (ULD) Management 9 Airside Practices and Procedures 10 Aircraft Turnaround Coordination 3 LOAD CONTROL (LOD) 1 Load Control Process 4 PASSENGER HANDLING (PAX) 1 Passenger Handling Operations 5 BAGGAGE HANDLING (BAG) 1 Baggage Handling Operations 6 AIRCRAFT HANDLING AND LOADING (HDL) 1 Aircraft Handling and Servicing Operations 2 Aircraft Loading Operations 7 AIRCRAFT GROUND MOVEMENT (AGM) 1 Aircraft Ground Movement Operations 2 Aircraft Nose Gear-controlled Pushback and Towing Operations 3 Aircraft Main Gear-controlled Pushback Operations 4 Aircraft Powerback Operations 8 CARGO AND MAIL HANDLING (CGM) 1 Cargo/Mail Acceptance and Handling 2 Cargo Security Note: STM, LOD, PAX, BAG, HDL, AGM and CGM auditing sections are applicable to station audits only. Reference: DAT.F05 5 of 44 Issue date: 30-Sep-2011

6 Introduction INTENTIONALLY LEFT BLANK Reference: DAT.F05 6 of 44 Issue date: 30-Sep-2011

7 Executive Summary 1 EXECUTIVE SUMMARY 1.1 DISTRIBUTION OF REPORTS PER REGION AND AUDIT SECTION Audit Section Region AGM BAG CGM HDL LOD ORM-H ORM-HS ORM-S PAX Total AFI ASPAC CIS EUR LATAM MENA CHINA/NA NAM Total Total HQ reports = 28 Total Combined Reports = 13 Total ST reports = Corporate audits Reference: DAT.F05 7 of 44 Issue date: 30-Sep-2011

8 Executive Summary Station audits Combined audits Reference: DAT.F05 8 of 44 Issue date: 30-Sep-2011

9 Executive Summary 1.2 DISTRIBUTION OF FINDINGS PER REGION AND AUDIT SECTION Audit Section Region AGM BAG CGM HDL LOD ORM-H ORM-HS ORM-S PAX Total AFI ASPAC CIS EUR LATAM MENA NATAM Total Total HQ Findings = 497 Total ST Findings = 4186 Total Combined (HQ+ST findings) = 1156 Reference: DAT.F05 9 of 44 Issue date: 30-Sep-2011

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11 2 ORGANIZATION AND MANAGEMENT - CORPORATE (ORM-H) 2.1 DISTRIBUTION OF FINDINGS Distribution per region Total number of reports = 28 Region ORM-H AFI 1 ASPAC 3 CIS - EUR 6 LATAM 8 MENA 5 CHINA/NA - NAM 5 Total 28 Reference: DAT.F05 11 of 44 Issue date: 30-Sep-2011

12 2.1.2 Distribution per sub section ORM-H sub sections 1-Management and Control 2-Documentation and Records 3-Safety and Quality Management 4-Emergency Response 5-Training and Qualification 6-Security Management 7-Ground Support Equipment (GSE) Management 8-Aircraft Turnaround Coordination Reference: DAT.F05 12 of 44 Issue date: 30-Sep-2011

13 2.2 TOP 10 FINDINGS ORM-H The Provider shall have a management system that ensures: i) Policies, systems, programs, processes, procedures and/or plans of the Provider are administered and/or implemented throughout the organization; Ground operations at all locations are supervised and controlled; i All operations are conducted in accordance with applicable regulations and requirements of the customer airline(s). ORM-H The Provider shall have a policy that ensures positions throughout the organization that affect operational safety and security are filled by personnel that possess the knowledge, skills, training, and experience appropriate for the position. ORM-H The Provider shall have a system for the management and control of operational records to ensure the content and retention of such records is in accordance with applicable regulations and requirements of the customer airline(s), and to ensure operational records are subjected to standardized processes for: i) Identification; Legibility; i Maintenance; iv) Retrieval; v) Protection and security; vi) Disposal, deletion (electronic records) and archiving. ORM-H The Provider shall have a process to ensure significant issues arising from the safety program as specified in ORM-H are subject to regular review by operations management. Reference: DAT.F05 13 of 44 Issue date: 30-Sep-2011

14 ORM-H The Provider shall have an operational reporting system in effect at all locations where ground operations are conducted that: i) Encourages and facilitates feedback from personnel to identify deficiencies, expose hazards and raise concerns over issues that have the potential to threaten the safety or security of aircraft, passengers, personnel, facilities, systems or equipment; Includes analysis and management action to address operational deficiencies, hazards and concerns identified through the reporting system i Is in accordance with applicable regulations and requirements of the customer airline(s). ORM-H The Provider shall have a program that ensures ground handling personnel at all stations with duties that require access to airside areas complete initial and recurrent airside safety training. ORM-H The Provider shall ensure the security program as specified in ORM-H includes procedures that require ground handling personnel performing functions in station airside areas to maintain awareness for unauthorized interference, and to request a verification of identity from any potentially unauthorized persons. ORM-H The Provider shall ensure the security program as specified in ORM-H includes a requirement for procedures to address security threats at stations, and such procedures: i) Are in accordance with requirements of the customer airline(s); Provide for the assessment of associated risks and implementation of response measures. ORM-H The Provider shall ensure the GSE operation program as specified in ORM-H includes a procedure for GSE to be subjected to a pre-movement inspection prior to being utilized in operations. ORM-H The Provider shall ensure the GSE operation program as specified in ORM-H includes procedures for GSE to be parked: i) Only in designated airside equipment parking areas when not in use; In a manner that does not obstruct access to fire fighting equipment; i In a manner that does not obstruct access to the fuel hydrant emergency stop switch. Reference: DAT.F05 14 of 44 Issue date: 30-Sep-2011

15 3 ORGANIZATION AND MANAGEMENT STATION (ORM-S) 3.1 DISTRIBUTION OF FINDINGS Distribution per region Total number of reports = 38 Region ORM-S AFI 0 ASPAC 2 CIS 0 EUR 16 LATAM 2 MENA 12 CHINA/NA 1 NAM 5 Total 38 Reference: DAT.F05 15 of 44 Issue date: 30-Sep-2011

16 3.1.2 Distribution per sub section ORM-S sub sections 1-Management and Control 2-Documentation and Records 3-Safety and Quality Management 4- Event/Emergency Response 5-Training and Qualification 6-Security Management 7-Ground Support Equipment (GSE) Management 8- Unit Load Device (ULD) Management 9-Station Airside Supervision and Safety 10-Aircraft Turnaround Coordination Reference: DAT.F05 16 of 44 Issue date: 30-Sep-2011

17 3.2 TOP 10 FINDINGS (average per report) ORM-S If the Provider outsources ground operations and/or associated functions to an external ground service provider, the Provider shall have a process to ensure each applicable external provider is supplied with operational manuals relevant to the type(s) of outsourced ground operations conducted. ORM-S If the Provider outsources ground operations and/or associated functions to external ground service providers, the Provider shall have processes for monitoring such external providers to ensure requirements that affect operational safety and security are being fulfilled by the external provider. ORM-S If the Provider outsources ground operations and/or associated functions to external ground service providers at the station, the Provider shall have a process to ensure the operational personnel of such external providers complete initial and recurrent training in accordance with requirements of the Provider s general and function specific training programs, as applicable to the operational functions conducted by the external provider. ORM-S If the Provider delivers aircraft handling and loading services at the station, and such services include the operation passenger boarding bridges, the Provider shall have a process to ensure station personnel with duties that include the operation of passenger boarding bridges complete training and qualification in accordance with the Provider s passenger boarding bridge training program as applicable to each type of boarding bridge operated at the station. ORM-S If the Provider outsources ground operations and/or associated functions to external ground service providers at the station, the Provider shall have a process to ensure such subcontractors have a security training program in accordance with requirements of the Provider s security training program. ORM-S If the Provider manages or operates a security screening system at the station, the Provider shall have a process to ensure personnel who manage or operate the system complete initial and recurrent training, and, if applicable, are certified, in accordance with the Provider s security training program. Reference: DAT.F05 17 of 44 Issue date: 30-Sep-2011

18 ORM-S If the Provider outsources dangerous goods handling functions to external ground service providers at the station, the Provider shall have a process to ensure such external providers have a dangerous goods training program in accordance with requirements of the Provider s dangerous goods training program. ORM-S If the Provider delivers cargo and mail handling services at the station, and dangerous goods training for cargo handling personnel is conducted by persons or organizations other than those specified in ORM-S 5.3.3, the Provider shall have a process in accordance with the Provider s dangerous goods training program to conduct a review that verifies the adequacy of such dangerous goods training. ORM-S If the Provider operates equipment utilized for security screening or for the implementation of other security controls at any station, the Provider shall ensure the testing calibration of such equipment on a periodic basis. ORM-S If a Local Baggage Committee (LBC) has been established at the station, the Provider shall have a process to ensure participation in Committee deliberations, and such participation shall be in accordance with requirements of the customer airline(s) and in a manner consistent with the Terms of Reference of the Committee. Reference: DAT.F05 18 of 44 Issue date: 30-Sep-2011

19 4 ORGANIZATION AND MANAGEMENT COMBINED (ORM-HS) 4.1 DISTRIBUTION OF FINDINGS Distribution per region Total number of reports = 13 Region ORM-HS AFI - ASPAC 5 CIS 3 EUR 3 LATAM - MENA 1 CHINA/NA 1 NAM - Total 13 Reference: DAT.F05 19 of 44 Issue date: 30-Sep-2011

20 4.1.2 Distribution per sub section ORM-HS sub sections 1-Management and Control 2-Documentation and Records 3-Safety and Quality Management 4- Event Response 5-Training and Qualification 6-Security Management 7-Ground Support Equipment (GSE) Management 8- Unit Load Device (ULD) Management 9-Station Airside Supervision and Safety 10-Aircraft Turnaround Coordination Reference: DAT.F05 20 of 44 Issue date: 30-Sep-2011

21 4.2 TOP 10 FINDINGS (average per report) ORM-HS The Provider should utilize auditing as a method for the monitoring of external service providers as specified in ORM-HS ORM-HS If the Provider outsources ground operations and/or associated functions to external ground service providers at any station, the Provider shall have a process to ensure such external providers have a security training program in accordance with requirements of the Provider s security training program as specified in ORM-HS ORM-HS If the Provider conducts security functions at any station, the Provider shall ensure the security training program as specified in ORM-HS includes a process that requires personnel who perform such functions to complete: i) Initial security training prior to being assigned to operational duties that involve security responsibilities; Recurrent security training in accordance with the Security Program of the customer airline(s) and the civil aviation security program of states where operations are conducted. ORM-HS If the Provider manages or operates a security screening system at any station, the Provider shall ensure the security training program as specified in ORM-HS includes processes that require personnel who manage or operate the system: i) To be certified in accordance with requirements of the applicable civil aviation security authority, where such certification requirements exist; Complete initial and recurrent training, which shall include training in the identification of explosives, weapons or other dangerous items or devices. ORM-HS If the Provider outsources dangerous goods handling functions to external ground service providers at a station, the Provider shall have a process to ensure such external providers have a dangerous goods training program in accordance with requirements of the Provider s dangerous goods training program as specified in ORM-HS 5.3.1, and Reference: DAT.F05 21 of 44 Issue date: 30-Sep-2011

22 ORM-HS If the Provider delivers cargo and mail handling services at any station, the Provider shall ensure the dangerous goods training program as specified in ORM-HS includes a process that requires evaluation and/or testing associated with dangerous goods training for personnel with assigned duties and/or responsibilities in dangerous goods acceptance to be accomplished by written means. ORM-HS If the Provider delivers cargo and mail handling services at any station, and dangerous goods training for cargo handling personnel is conducted by persons or organizations other than those specified in ORM-HS , the Provider shall ensure the dangerous goods training program as specified in ORM-HS includes a process for the conduct of a review that verifies the adequacy of such dangerous goods training. ORM-HS If the Provider delivers services that require the operation of passenger boarding bridges at any station, the Provider shall have a passenger boarding bridge training program that ensures all personnel with duties that include the operation of passenger boarding bridges complete training and qualification applicable to each type of boarding bridge operated at the station. ORM-HS If the Provider operates equipment utilized for security screening or for the implementation of other security controls at the station, the Provider shall have procedures for the testing and calibration of such equipment on a periodic basis. ORM-HS If a Local Baggage Committee (LBC) has been established at the station, the Provider shall have a process to ensure participation in Committee deliberations, and such participation shall be in accordance with requirements of the customer airline(s) and in a manner consistent with the Terms of Reference of the Committee. Reference: DAT.F05 22 of 44 Issue date: 30-Sep-2011

23 5.1 DISTRIBUTION OF FINDINGS Distribution per region 5 LOAD CONTROL (LOD) Total number of Reports = 41 Region LOD AFI 7 ASPAC 2 CIS 17 EUR 0 LATAM 13 MENA 2 CHINA/NA 0 NAM 0 Total Distribution per sub section Not applicable 1. 1 Load Control section only has one sub section - 1 Load Control Process. Reference: DAT.F05 23 of 44 Issue date: 30-Sep-2011

24 5.2 TOP 10 FINDINGS LOD The Provider shall have procedures to ensure any verbal exchange of load information or data that could affect aircraft weight and balance calculations is: i) Manually or electronically documented; Confirmed prior to flight departure. LOD The Provider shall have a process to ensure operational load control records are retained in accordance with requirements of the customer airline(s), to include: i) Training and qualification records for personnel that perform load control functions; Load files for each flight in accordance with requirements of the customer airline(s). LOD The Provider shall have procedures to ensure the load control process utilizes passenger and baggage weights for weight and balance calculations that are in accordance with requirements of the customer airline(s). LOD The Provider shall have procedures in accordance with requirements of the customer airline(s) to ensure aircraft weight and balance calculations for each flight account for persons traveling on crew seats. LOD The Provider shall have procedures in accordance with requirements of the customer airline(s) for the application and use of ballast when necessary to bring the aircraft centre of gravity within operational limits. LOD The Provider shall have a procedure in accordance with requirements of the customer airline(s) to produce and issue an Off-loading Instruction/Report when required for transit flights, which includes: i) Instructions for transit load and off-load; Off-loading report, to include space to record items in transit or for off-load; i Off-loading certification; iv) Summary of special loads; Reference: DAT.F05 24 of 44 Issue date: 30-Sep-2011

25 v) A representation of all loading positions for that specific hold version. LOD If the Provider issues a manual LIR, the Provider shall have a procedure to ensure the accuracy of manual calculations is verified prior to flight departure. LOD The Provider shall have a process to provide the PIC, as soon as practicable prior to departure of the aircraft, with a notification that contains accurate and legible written or printed information concerning dangerous goods onboard the aircraft. Such notification shall include dangerous goods that have been loaded on the aircraft at a previous departure point and that are to be carried on a subsequent flight. LOD If an automated Departure Control System (DCS) is utilized, the Provider shall have a process to ensure the DCS is approved by the customer airline(s). LOD The Provider shall have procedures in accordance with requirements of the customer airline(s) for the manual or automatic production of a report or message that contains the information and data associated with the ULDs and total bulk load onboard each flight. Reference: DAT.F05 25 of 44 Issue date: 30-Sep-2011

26 6.1 DISTRIBUTION OF FINDINGS Distribution per region 6 PASSENGER HANDLING (PAX) Total Number of Reports = 39 Region PAX AFI 7 ASPAC 2 CIS 16 EUR - LATAM 12 MENA 1 CHINA/NA 1 NAM - Total Distribution per sub section Not applicable 2. 2 Passenger Handling section only has one sub section - 1 Passenger Handling Operations. Reference: DAT.F05 26 of 44 Issue date: 30-Sep-2011

27 6.2 TOP 10 FINDINGS PAX The Provider shall have procedures to ensure, when receiving baggage during passenger check-in operations: i) All bags have a passenger identity tag or label; Baggage is tagged to the final destination as indicated on the ticket; i Old baggage tags and/or labels are removed or obliterated, as applicable; iv) Bags not suitable for secure carriage as checked baggage are refused. PAX The Provider shall have procedures to ensure cabin baggage is in compliance with size, weight and quantity limits as specified in applicable regulations and/or by the customer airline(s). PAX If the Provider utilizes scales to determine the weight of baggage during the passenger check-in process, the Provider shall have a process to ensure such scales are periodically checked and calibrated. PAX The Provider shall have a procedure in accordance with requirements of the customer airline(s) to address, prior to flight departure, passengers that are suspected of having a communicable disease. PAX The Provider shall have procedures in accordance with requirements of the customer airline(s) to detect and identify dangerous goods that are not permitted to be carried on board the aircraft by passengers. PAX The Provider shall have a procedure in accordance with requirements of the customer airline(s) to ensure, when it is known that unapproved dangerous goods have been detected being carried by a passenger, or in passenger baggage, a report is submitted to the applicable customer airline. PAX The Provider shall have a process in accordance with applicable regulations and/or requirements of the customer airline(s) to ensure all passengers and their cabin baggage have been subjected to appropriate security screening prior to being permitted to board the aircraft. Reference: DAT.F05 27 of 44 Issue date: 30-Sep-2011

28 PAX If the Provider handles passengers carrying weapons as specified in PAX 1.5.1, the Provider shall have procedures in accordance with applicable laws and requirements of the customer airline(s) to ensure the pilot-incommand is notified as soon as feasible prior to flight departure, and, if permitted by applicable laws involved, such notification shall include the number and seat locations of the authorized armed persons onboard the aircraft. PAX If the Provider, in accordance with requirements of the customer airline(s), handles weapons that are transported on the aircraft with, but are not in the possession of, passengers that are law enforcement officers or other authorized persons in the performance of their duty, the Provider shall have procedures in accordance with applicable laws and requirements of the customer airline(s) for the check-in, handling and boarding of such weapons, to ensure, as a minimum: i) An authorized and duly qualified person has determined any weapon to be boarded is not loaded; The weapon is stowed in a place that is inaccessible to any unauthorized person during flight. PAX The Provider shall have procedures in accordance with requirements of the customer airline(s) for the handling of potentially disruptive passengers, and for ensuring such passengers: i) Pose no danger or security risk to the flight; Are reported to the customer airline. Reference: DAT.F05 28 of 44 Issue date: 30-Sep-2011

29 7.1 DISTRIBUTION OF FINDINGS Distribution per region 7 BAGGAGE HANDLING (BAG) Total Number of Reports = 41 Region BAG AFI 7 ASPAC 2 CIS 13 EUR 2 LATAM 12 MENA 2 CHINA/NA 3 NAM - Total Distribution per sub section Not applicable 3. 3 Baggage Handling section only has one sub section - 1 Baggage Handling Operations. Reference: DAT.F05 29 of 44 Issue date: 30-Sep-2011

30 7.2 TOP 10 FINDINGS BAG The Provider shall have procedures for the transfer of information and data to the load control office to ensure all baggage loaded onto the aircraft is accounted for in the load control process. BAG The Provider shall have procedures in accordance with applicable regulations and requirements of the customer airline(s) for the handling of special baggage items, to include, as applicable: i) Items that have been removed from the possession of a passenger by security personnel that are conditionally acceptable for carriage in the aircraft hold; Duty-free goods that require loading into the aircraft hold; i Other items removed from a passenger after the check-in process that require loading into the aircraft hold. BAG The Provider shall have procedures in accordance with applicable regulations and requirements of the customer airline(s) for the handling and reporting of undeclared weapons discovered in checked baggage. BAG The Provider shall have procedures to ensure hold baggage and/or equipment, prior to release for loading into the aircraft, is inspected for signs of substance leakage, and, if leakage of dangerous goods is found, such baggage and/or equipment is prevented from release for loading into the aircraft and: i) An evaluation is conducted to identify and prevent from transport any other baggage or equipment that has become contaminated by such leakage; A notification is made to the applicable authority and customer airline. BAG The Provider shall have a procedure in accordance with requirements of the customer airline(s) to ensure, when dangerous goods not permitted for carriage onboard the aircraft are discovered in passenger baggage, a report is made to the appropriate authority of the state of occurrence and the customer airline. BAG The Provider shall have procedures to ensure baggage is protected from unauthorized interference from the point at which it is accepted or screened, whichever is earlier, until either: i) The Provider loads baggage into the aircraft, departure of the aircraft transporting the baggage; or Reference: DAT.F05 30 of 44 Issue date: 30-Sep-2011

31 The point at which the baggage is transferred to and accepted by another entity for further handling. BAG The Provider shall have a process in accordance with applicable regulations and/or requirements of the customer airline(s) to ensure items of originating hold baggage, prior to release for loading into the aircraft, have been: i) Individually identified as accompanied or unaccompanied baggage; Subjected to appropriate security controls. BAG If required by applicable regulations or requirements of the customer airline(s), the Provider shall have a procedure in accordance with requirements of the customer airline(s) to provide a record of hold baggage that has been subjected to and satisfied the specifications contained in BAG BAG The Provider shall have a process in accordance with applicable regulations and/or requirements of the customer airline(s) to ensure, prior to release for loading into the aircraft, consignments checked in as baggage by courier services for air transport have been subjected to appropriate security screening. BAG The Provider shall have a process in accordance with applicable regulations and requirements of the customer airline(s) to ensure the reconciliation of hold baggage. Reference: DAT.F05 31 of 44 Issue date: 30-Sep-2011

32 8 AIRCRAFT HANDLING AND LOADING (HDL) 8.1 DISTRIBUTION OF FINDINGS Distribution per region Total Number of Reports = 44 Region HDL AFI 7 ASPAC 3 CIS 15 EUR 2 LATAM 13 MENA 2 CHINA/NA 2 NAM - Total 44 Reference: DAT.F05 32 of 44 Issue date: 30-Sep-2011

33 8.1.2 Distribution per sub section HDL sub sections 1-Aircraft Handling and Servicing Operations 2-Aircraft Loading Operations 8.2 TOP 10 FINDINGS Reference: DAT.F05 33 of 44 Issue date: 30-Sep-2011

34 HDL The Provider shall have procedures for the operation of aircraft access doors, applicable to each type of aircraft operated by the customer airline(s) at the station. HDL The Provider shall have procedures for closing an aircraft cabin access door, applicable to each type of door operated, to ensure ground handling personnel: i) Operate the door in accordance with the technical specifications of the aircraft original equipment manufacturer (OEM) and/or the customer airline; Before the door is closed, conduct an exterior inspection for obstructions that could hinder door closure; i Assist the cabin crew member, as necessary, in initiating the door closing movement; iv) Observe the door after closure to confirm it is fully closed. HDL The Provider shall have procedures in accordance with requirements of the customer airline that operates the aircraft for the placement of a safety device across the opening of a cabin access door that is open without GSE in position at the door. HDL The Provider shall have procedures to ensure GSE that is being towed to a position at or near the aircraft, where possible: i) Is driven along a path that does not require sharp turns; Approaches the aircraft on a path parallel to the side of the aircraft fuselage; i Is parked in the parallel position. HDL The Provider shall have procedures to ensure GSE, when positioned at the aircraft, does not: i) Obstruct the evacuation of persons from the aircraft in an emergency; Prevent or obstruct the movement of a fuelling vehicle away from the aircraft; i Unnecessarily impede the accomplishment of other aircraft handling operations in progress. HDL The Provider shall have procedures to ensure GSE is not removed from a cabin access door unless either: i) The cabin access door has been closed by an authorized person; or A safety device has been placed across the door opening in accordance with HDL HDL The Provider shall have practices and procedures for implementation by ground handling personnel during aircraft fuelling operations, which address: i) Aircraft protection; Fuel safety zone; i Fuel hose safety; iv) Fuel spillage; v) Ground support equipment; vi) Notification of persons onboard the aircraft; v Aircraft evacuation. HDL If the Provider conducts aircraft potable water servicing operations, the Provider shall have procedures for such operations that address: i) Operation of aircraft access panels or doors; Operation of aircraft servicing controls; Reference: DAT.F05 34 of 44 Issue date: 30-Sep-2011

35 i Equipment-to-aircraft interface; iv) Clean-up and leakage check. HDL The Provider shall have procedures for aircraft loading to ensure dangerous goods are handled and secured or stowed in a manner that: i) Prevents damage to packages and containers during aircraft loading and unloading; Provides for separation and segregation of packages on the aircraft to prevent interaction in the event of leakage; i Prevents movement that could change the orientation of packages on the aircraft. HDL The Provider shall have procedures to ensure ULDs, when loaded into an aircraft: i) Are guided into position by side rails and/or stops, locks or guides; Have an unobstructed path into the desired position; i Are prevented from high-speed impact with locks or stops; iv) Have a width and height that will allow clearance without damaging the aircraft door opening or the interior of the aircraft (hold or cargo compartment); v) Are secured by aircraft floor locks. Reference: DAT.F05 35 of 44 Issue date: 30-Sep-2011

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37 ISAGO Audit Results Analysis 9 AIRCRAFT GROUND MOVEMENT (AGM) 9.1 DISTRIBUTION OF FINDINGS Distribution per region Total Number of Reports = 38 Region AGM AFI 7 ASPAC 2 CIS 15 EUR 2 LATAM 9 MENA 1 CHINA/NA 2 NAM - Total 38 Reference: DAT.F05 37 of 44 Issue date: 30-Sep-2011

38 ISAGO Audit Results Analysis Distribution per sub section AGM Sub sections 1-Aircraft Ground Movement Operations 2-Aircraft Nose Gear-controlled Pushback and Towing Operations 3-Aircraft Main Gear-controlled Pushback Operations 4-Aircraft Powerback Operations 9.2 TOP 10 FINDINGS Reference: DAT.F05 38 of 44 Issue date: 30-Sep-2011

39 ISAGO Audit Results Analysis AGM The Provider shall ensure, for each departure or arrival aircraft ground movement operation, a person is assigned responsibility for the safe performance of the operation, and such responsibility includes ensuring: i) The responsible person is known to all personnel involved in the operation; Personnel involved in the operation are briefed of their individual responsibilities; i Only persons required to perform operating functions are in the operating area and involved in the operation; iv) Standard hand signals are used for non-verbal communication; v) Personnel involved in the operation are positioned away from hazard zones; vi) The general area of the operation is clear of ground support equipment and other obstacles. AGM The Provider shall have procedures for an inspection of the aircraft exterior and adjacent airside areas prior to aircraft departure or arrival ground movement to verify: i) The ramp surface condition is adequate for movement operations; The ramp surface is clear of items that might cause aircraft foreign object damage (FOD); i For movement from parking, aircraft servicing doors and panels are closed and secure; iv) For movement from parking, power cables and loading bridge are detached; v) Equipment and vehicles are positioned clear of the movement path; vi) Adequate clearance exists between the aircraft and facilities or fixed obstacles along the movement path; v For movement from parking, chocks are removed from all wheels. AGM The Provider shall have procedures in accordance with requirements of the customer airline(s) for aircraft arrival and parking that address, as a minimum: i) Pre-arrival planning and preparation; Use of the aircraft parking guidance system, if applicable; i Aircraft marshalling; iv) Aircraft movement assistance; v) Need to transition to towing; vi) Aircraft parking; v Aircraft engine shutdown; vi Ground-to-flight deck communication; ix) Aircraft chocking; x) Release of aircraft parking brake; xi) Application of ground support equipment; x Placement of aircraft marker cones. AGM The Provider shall have procedures in accordance with requirements of the customer airline(s) for aircraft power-out from parking that address, as a minimum: i) Pre-departure planning and preparation; Ground to flight deck communication; i Removal of ground support equipment; iv) Removal of aircraft marker cones; v) Aircraft engine start; vi) Removal of chocks; v Aircraft marshalling; Reference: DAT.F05 39 of 44 Issue date: 30-Sep-2011

40 ISAGO Audit Results Analysis vi Aircraft movement assistance; ix) Transition to towing; x) Transition from marshalling to taxiing. AGM The Provider shall have procedures for aircraft pushback or towing to ensure, prior to the commencement of movement, the tractor operator verifies: i) If feasible, the tractor is in line with the centerline of the aircraft; The wheels on the towbar, if applicable, are fully retracted; i The tractor is in the appropriate drive mode. AGM The Provider shall have procedures to ensure, during aircraft pushback operations: i) Communication with the flight deck is conducted in a manner that eliminates the need for personnel to walk in close proximity to the aircraft nose gear, towbar or tractor; A backup method of communication between ground handling personnel and the flight deck is in place for implementation should the primary method fail; i The flight deck is notified immediately in the event any connection between the tractor and the aircraft is lost during the operation. AGM The Provider shall have procedures for aircraft pushback operations to ensure, when the pushback movement has been stopped and prior to disconnecting the towbar from the aircraft nose gear, tension is released from the towbar. AGM The Provider shall have procedures for aircraft towing to ensure: i) Prior to commencement of a towing operation, communication is established between the tractor operator and the flight deck; Aircraft hydraulic brake system pressure is available during the towing operation; i When communication is lost during a towing operation, movement is immediately stopped. AGM The Provider shall have procedures for aircraft towing to ensure, when towing in low visibility or night conditions, the aircraft is illuminated so it can be seen. AGM The Provider shall have procedures for aircraft towing to ensure, when the towing movement has been stopped and prior to disconnecting the towbar or the towbarless tug from the aircraft nose gear, a chock is placed behind the aircraft main wheels. Reference: DAT.F05 40 of 44 Issue date: 30-Sep-2011

41 ISAGO Audit Results Analysis 10.1 DISTRIBUTION OF FINDINGS Distribution per region 10 CARGO AND MAIL HANDLING (CGM) Total Number of Reports = 28 Region CGM AFI 6 ASPAC 2 CIS 10 EUR - LATAM 6 MENA 2 CHINA/NA 2 NAM - Total Distribution per sub section Not applicable 4. 4 As of September, 2011 all findings are related to Cargo/Mail Acceptance and Handling sub section. Reference: DAT.F05 41 of 44 Issue date: 30-Sep-2011

42 ISAGO Audit Results Analysis 10.2 TOP 10 FINDINGS CGM The Provider shall have procedures to address cargo that is found to be damaged, to ensure: i) An assessment of the damage is conducted to determine whether such cargo is fit to be transported on an aircraft; If determined not fit for transport, such cargo is removed from the aircraft, ULD, the shipment, or normal storage area, as applicable; i Damage is documented; iv) The customer airline is notified. CGM If the Provider utilizes scales to determine the weight of cargo, the Provider shall have a process to ensure scales utilized to determine the weight of cargo intended for air transport are periodically checked and calibrated, and such actions are recorded and retained in accordance with applicable regulations and/or requirements of the customer airline(s). CGM Where dangerous goods are accepted for air transport, the Provider shall have procedures in accordance with requirements of the customer airline(s), to include the use of a Dangerous Goods Acceptance Checklist, to verify dangerous goods shipments are accepted in accordance with all applicable requirements for transportation on an aircraft. Procedures shall ensure, as applicable to specific dangerous goods shipments: i) Documentation is in accordance with requirements for shipments of radioactive and non-radioactive material; The quantity of dangerous goods per package is within applicable limits; i The marking of packages, overpacks, freight containers or unit load devices (ULDs) is visible and in agreement with the accompanying Shipper's Declaration of Dangerous Goods; iv) The packaging specification marking indicates a packing group that is appropriate for the dangerous goods contained within the package; v) Proper shipping names, UN numbers, ID numbers, hazard and handling labels on interior packages of an overpack are visible or reproduced on the outside of the overpack; vi) Labeling and marking of packages, overpacks, freight containers and ULDs is in accordance with requirements for radioactive and non-radioactive material; v The outer packaging of a package is of the type stated on the accompanying Shipper's Declaration of Dangerous Goods and is permitted by the applicable packing instruction; vi Packages or overpacks do not contain different dangerous goods that require segregation; Reference: DAT.F05 42 of 44 Issue date: 30-Sep-2011

43 ISAGO Audit Results Analysis ix) Packages, overpacks, freight containers and/or ULDs are not leaking and there is no indication the integrity has been compromised; x) Overpacks do not contain packages bearing a Cargo Aircraft Only label unless in accordance with specified exceptions. CGM Where dangerous goods are accepted for air transport, the Provider shall have procedures to ensure documentation associated with the acceptance and handling of dangerous goods is retained in accordance with requirements of the customer airline(s) and regulations of the state in which the cargo is accepted. Such documentation shall include, as a minimum: i) The Dangerous Goods Acceptance Checklist; The Shipper s Declaration of Dangerous Goods, if applicable; i The NOTOC and, when used, the NOTOC Summary. CGM The Provider shall have procedures in accordance with the customer airline(s) to ensure English, in addition to the language required by the State of Origin, is used for markings and transport documents related to the shipment of dangerous goods. CGM The Provider shall have procedures to ensure ULDs containing dangerous goods have a dangerous goods ULD tag that is marked with the class or division number(s) of the dangerous goods contained therein, and, if the ULD contains packages bearing a Cargo Aircraft Only label, the tag indicates the ULD can only be loaded onto a cargo aircraft. CGM The Provider shall have a process to ensure, when dangerous goods hazard and handling labels are discovered to be lost, illegible or detached from dangerous goods shipments subsequent to the time of acceptance, such labels are replaced in accordance with the information provided on the Shippers Declaration for Dangerous Goods. Such requirement for the replacement of labels shall not apply where labels are found to be missing or illegible at the time of acceptance. CGM The Provider shall have procedures to ensure packages or overpacks containing dangerous goods and labeled Cargo Aircraft Only are loaded only onto a cargo aircraft, and are loaded either: i) In a class C aircraft cargo compartment, or In a ULD equipped with a fire detection/suppression system equivalent to that required by the certification requirements of a Class C aircraft cargo compartment as determined by the applicable authority, or i In such a manner that in the event of an emergency involving such packages or overpacks, a crew member or other authorized person can access those packages or overpacks, and can handle and, where size and weight permit, separate such packages from other cargo. CGM Where perishable shipments, to include time- and temperature-sensitive goods, are accepted, the Provider shall have a process to ensure the acceptance and handling of such shipments is in accordance with the IATA Perishable Cargo Regulations (PCR), as well as applicable regulations and requirements of the customer airline(s). CGM Where special cargo shipments are accepted, the Provider shall have a process to ensure such shipments are accepted and handled in accordance with requirements of the customer airline(s). Reference: DAT.F05 43 of 44 Issue date: 30-Sep-2011

44 ISAGO Audit Results Analysis NOTE: The regional results for Ed 2 Rev 0 are not analyzed due to the inadequate number of findings within regions. Hence, the sub-sectional analysis within the regions is also not shown in this report. Please refer to section 1 (Executive Summary) for details regarding the number of reports and findings broken down by region and subsection. Reference: DAT.F05 44 of 44 Issue date: 30-Sep-2011