Unscoped DCT Report (Standard DCT)


MLF Label: 4.3.1 Shipper HM Functions DCT Type: EP DCT Specialty: Operations Peer Group: Z - AXH Other Regulated Entity (ORE) DCT Revision: 4.0 on 06/30/21 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): Purpose for ORE Element-level MLF
Objective (FAA Responsibility): Objective for ORE Element-level MLF

 Shipper HM Functions Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  4.3.1 Shipper HM Functions
1   
Were observed shipments properly prepared to include:

      #1 Classification;
      #2 Preparing shipping papers;
      #3 Marking;
      #4 Labeling; and
      #5 Packaging?

REFERENCES: 49 CFR 171.2(e), 49 CFR 171.2(f), 49 CFR 175.3, 172 subpart C, 172 subpart D, 172 subpart E, 49 CFR 171.23(a), 49 CFR 173.309(c)

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  2  6/24/2021 10:28:46 AM, 

QID:
 00055309, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  All observed shipments were correct
  Minor violations were observed
  Significant violations were observed
  Not Observable
2   
Is a record of current hazardous materials training maintained for each hazardous materials employee for as long as that employee is employed by the hazardous material employer as a hazardous materials employee that is:

      #1 Inclusive of the preceding three years; and
      #2 for 90 days after the employee is no longer employed.

REFERENCES: 49 CFR 172.704

Safety Attribute: Process Measurement,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") ,  Rev.  1  9/14/2019 11:59:51 PM, 

QID:
 00055343, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
3   
Did the hazardous materials employer ensure that each hazardous materials employee was trained and tested?


REFERENCES: 49 CFR 172.702

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") ,  Rev.  1  4/23/2019 5:11:02 PM, 

QID:
 00055043, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
4   
Does each hazardous materials employee's hazardous material training record contain:

      #1 .Individual's name;
      #2 Most recent training date;
      #3 Description of training materials used;
      #4 Name and address of organization providing training; and
      #5 Copy of certification including when the training and tests were completed satisfactorily?

REFERENCES: 49 CFR 172.704

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:51 PM, 

QID:
 00055372, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate.
  The records contained discrepancies.
  Not Observable
  Not Applicable
5   
Did each person correctly prepare shipping papers with the description of the hazardous materials that includes:

      #1 the identification number prescribed for the material;
      #2 the proper shipping name prescribed for the material;
      #3 the hazard class or division number prescribed for the material;
      #4 the packing group in roman numerals, if applicable
      #5 the total net mass or gross mass per package; and
      #6 the number and type of packages?

REFERENCES: 49 CFR 172.201, 49 CFR 172.202, 49 CFR 172.203

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:52 PM, 

QID:
 00055384, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies
  Not Observable
  Not Applicable
6   
Did each person retain shipping papers for hazardous materials shipments for two years after acceptance by the initial carrier?


REFERENCES: 49 CFR 172.201

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:52 PM, 

QID:
 00055391, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
7   
When offering hazardous materials shipments under a Special Permit and/or Approval, did the offeror comply with all applicable conditions contained within the special permit?


REFERENCES: 49 CFR 172.203(a), 49 CFR 172.301(c)

NOTE: Reference ICAO US variations.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  2  6/24/2021 10:24:31 AM, 

QID:
 00055392, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
8   
When required, does each shipping paper for a hazardous material offered for transportation as a "limited quantity," include the words "Limited Quantity" or Ltd Qty" following the basic description.


REFERENCES: 49 CFR 172.203(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:52 PM, 

QID:
 00055393, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
9   
Did the facility operator maintain emergency response information where a hazardous material is received, stored, or handled during transportation?


REFERENCES: 49 CFR 171.22(g), 49 CFR 172.600, 49 CFR 172.602(c)

NOTE: Reference ICAO US variations.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  2  6/24/2021 10:24:33 AM, 

QID:
 00055394, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
10   
Did each person who offers a hazardous material for transportation provide a numeric emergency response telephone number that was:

      #1 Monitored at all times the hazardous materials is in transportation, including storage incident to transportation;
      #2 The telephone number of a person knowledgeable of the hazardous material being shipped, or has immediate access to a person who possesses such knowledge and information;
      #3 Entered on a shipping paper, as required?

REFERENCES: 49 CFR 171.22(g), 49 CFR 172.600, 49 CFR 172.604

NOTE: Reference ICAO US variations.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  2  6/24/2021 10:24:33 AM, 

QID:
 00055397, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
11   
Does this facility correctly mark non-bulk hazardous materials packaging with:

      #1 The Proper Shipping Name (PSN);
      #2 Identification number;
      #3 Technical name, where applicable;
      #4 "DOT-SP" followed by the Special Permit number, where applicable; and
      #5 the consignee's or consignor's name and address?

REFERENCES: 49 CFR 172.301(a), 49 CFR 172.301(b), 49 CFR 172.301(c), 49 CFR 172.301(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:53 PM, 

QID:
 00055401, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
12   
Does this facility maintain a current Certificate of Registration on file with the DOT for hazardous materials requiring registration, offered in transportation?


NOTE: Reference 49 CFR 107 Subpart G and ICAO US variations.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  2  6/24/2021 10:24:34 AM, 

QID:
 00055407, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
13   
Do markings on hazardous materials packages meet applicable requirements to include:

      #1 Durable;
      #2 In English
      #3 Printed on or affixed to the surface of the package or on a label, tag, or sign;
      #4 displayed on a background of sharply contrasting color;
      #5 located away from any other marking that could substantially reduce its effectiveness.

REFERENCES: 49 CFR 172.304

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:54 PM, 

QID:
 00055408, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
14   
Are liquid hazardous materials in non-bulk packaging legibly marked with package orientation markings?


REFERENCES: 49 CFR 172.312

NOTE: Reference ICAO US variations.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  2  6/24/2021 10:24:31 AM, 

QID:
 00055414, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
15   
Are Class 1 materials marked with the EX-number for each substance, article, or device contained in the package.


REFERENCES: 49 CFR 172.320(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:53 PM, 

QID:
 00055416, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
16   
Are hazardous materials packages labeled with the accurate labels for the hazardous materials contained in the package.


REFERENCES: 49 CFR 172.400(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:53 PM, 

QID:
 00055417, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
17   
Are hazardous materials labels applied to packages adhering to the following placement requirements:

      #1 Printed on or affixed to a surface (other than the bottom) of the package;
      #2 located on the same surface of the package and near the proper shipping name marking if the package dimensions are adequate?

REFERENCES: 49 CFR 172.406

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:53 PM, 

QID:
 00055418, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
18   
Does this facility prepare packaging so designed and closed that under conditions (including the effects of temperature, pressure, and vibration) normally incident to transportation:

      #1 There is no identifiable release of hazardous materials to the environment from the opening to which the closure is applied;
      #2 The closure is leak proof and secured against loosening; and
      #3 Follows packaging manufacturer closure instructions for shipments intended by air?

REFERENCES: 49 CFR 173.27, 49 CFR 173.22, 49 CFR 173.24

NOTE: Reference ICAO US variations.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  2  6/24/2021 10:24:32 AM, 

QID:
 00055421, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
19   
Does packaging offered by this facility or intended for air transportation meet heightened packing group requirements?


REFERENCES: 49 CFR 173.27(a)

NOTE: Reference ICAO US variations.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  2  6/24/2021 10:24:32 AM, 

QID:
 00055424, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
20   
Does packaging offered by this facility or intended for air transportation meet the closure requirements to adequately resist the effects of temperature and vibration occurring in conditions normally incident to air transportation?


REFERENCES: 49 CFR 173.27(d)

NOTE: Reference ICAO US variations.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  2  6/24/2021 10:24:32 AM, 

QID:
 00055425, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
21   
Does packaging offered by this facility or intended for air transportation meet applicable absorbent material requirements?


REFERENCES: 49 CFR 173.27

NOTE: Reference ICAO US variations.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  2  6/24/2021 10:24:31 AM, 

QID:
 00055426, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
22   
Does packaging offered by this facility or intended for air transportation meet inner package quantity limitations?


REFERENCES: 49 CFR 173.27, 49 CFR 173.220, 49 CFR 173.222

NOTE: Reference ICAO US variations. Reference Tables 1, 2, and 3 in 49 CFR 173.27 for inner packing limitations.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  2  6/24/2021 10:24:31 AM, 

QID:
 00055427, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
23   
Does the facility retain a copy of the manufacturer's notification, including closure instructions for DOT Specification or UN standard packaging subject to the requirements of 49 CFR 178?


REFERENCES: 49 CFR 173.22(a)

NOTE: Reference ICAO US variations. May be retained at a local or corporate level.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  2  6/24/2021 10:24:33 AM, 

QID:
 00055428, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
24   
When a security plan is required, did the hazardous materials employer:

      #1 Develop a security plan compliant with the requirements;
      #2 Adhere to the security plan; and
      #3 Ensure that each employee has completed training related to the security plan and its requirements?

REFERENCES: 49 CFR 172.800

Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:52 PM, 

QID:
 00055380, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
25   
Are hazardous materials packages with a material that is poisonous by inhalation marked "Inhalation Hazard" on two opposing sides.


REFERENCES: 49 CFR 172.313(a)

Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:53 PM, 

QID:
 00055415, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
26   
Were the entities controls effective in achieving the desired results?


Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:54 PM, 

QID:
 00055430, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
27   
Were the entities interfaces effective in achieving the desired results?


Safety Attribute: Interfaces,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:54 PM, 

QID:
 00055431, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
28   
Does the entity have a positive safety culture?


Safety Attribute: Safety Ownership,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "49CFR" ,  Rev.  1  9/14/2019 11:59:54 PM, 

QID:
 00055429, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable


Response Details List  Controls ED/EP/SP DCTs (Both OP and AW) (Released, 1.0)
1 Failure to identify hazards or ineffective risk controls
2 Failure to develop and maintain risk controls
3 Failure to effectively mitigate risk before applying risk controls
4 Risk controls ineffective
5 Unclear risk controls
6 Failure to assess risk for a new system
7 Failure to assess risk when revising an existing system
8 Failure to assess risk when developing operational procedures
9 Failure to maintain records of outputs of risk control assessments
10 Other
Response Details List  EP & ED DCTs (Both OP and AW) (Released, 1.0)
1 Unclear procedure(s)
2 Conflicting procedure(s)
3 Used workaround(s)
4 Skipped process step(s)
5 Personnel failed to follow process (procedures, guidance, etc)
6 Procedures/guidance not available
7 Procedures/guidance not current
8 Inconsistent procedure(s)
9 Undocumented procedure(s)
10 Minor typographical error(s) (i.e. record entries)
11 Information missing
12 Communication failure(s)
13 Personnel failed to perform task
14 Process failed to meet desired outcome
15 Process oversight failure
16 Equipment/tools not available
17 Equipment/tools not adequate
18 Equipment/tools not calibrated
19 Facilities not adequate
20 Other
Response Details List  Interfaces ED/EP/SP DCTs (Both OP and AW) (Released, 1.0)
1 Internal communication failure(s)
2 External communication failure(s)
3 Lack of interfaces
4 Inconsistent interfaces
5 Poor coordination between departments and employees
6 Failure of interfaces between processes or procedures
7 Other
Response Details List  N/A Response Detail (Released, 2.0)
1 Not applicable or authorized for the certificate holder or applicant
2 Other
Response Details List  N/O Response Detail (Released, 2.0)
1 Personnel (e.g., key certificate holder personnel not present/available)
2 Equipment (e.g., equipment not present/available/in serviceable condition)
3 Event did not occur (e.g., did not observe an intoxicated passenger on the flight)
4 Time Constraints (e.g., resources/workload)
5 Weather (e.g., weather needed for observation not present or weather made observation impossible)
6 Other
Response Details List  Safety Ownership ED/EP/SP DCTs (Both OP and AW) (Released, 3.0)
1 Unaware of or ineffective safety policies or processes
2 Unaware of or ineffective safety related reporting tools
3 Unclear safety policy
4 Ineffective safety related training
5 Lack of safety culture
6 Unclear safety objectives
7 Other