Unscoped DCT Report (Standard DCT)


MLF Label: 4.3.3 F.F. HM Functions DCT Type: EP DCT Specialty: Operations Peer Group: Z - AXH Other Regulated Entity (ORE) DCT Revision: 5.0 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

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

Questions Answers Comments
  4.3.3 F.F. HM Functions
1   
Does the freight forwarder perform hazmat acceptance functions correctly, to include:

      #1 Review of documentation and certification,
      #2 Review of packaging,
      #3 Review of marking,
      #4 Review of labeling?

REFERENCES: 49 CFR 175.30, 121.1001, 135.501

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:54 PM, 

QID:
 00055529, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
2   
Does the freight forwarder ensure accepted shipments were undamaged and not leaking?


REFERENCES: 49 CFR 175.90

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:56 PM, 

QID:
 00055691, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
3   
Does the freight forwarder ensure accepted shipments were authorized within quantity limitations?


REFERENCES: 49 CFR 175.75

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  2  1/27/2020 4:43:15 PM, 

QID:
 00055692, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
4   
Were hazardous materials shipments that were accepted in accordance with ICAO, prepared as required?


REFERENCES: 49 CFR 171.23, 49 CFR 171.22, 49 CFR 171.24

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:56 PM, 

QID:
 00055693, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
5   
Did the freight forwarder display the required notifications at locations where the freight forwarder accepts cargo?


REFERENCES: 49 CFR 175.26

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:56 PM, 

QID:
 00055694, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
6   
Did the freight forwarder properly accept for transport packages, overpacks, containers, unit load devices (ULDs), or pallets containing dangerous good?


REFERENCES: 49 CFR 175.30(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:56 PM, 

QID:
 00055695, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
7   
Did the freight forwarder maintain emergency response information in facilities where hazardous material packages are stored?


REFERENCES: 49 CFR 172.602

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:56 PM, 

QID:
 00055696, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
8   
Did the freight forwarder stow and segregate packages containing hazardous materials which might react dangerously with one another?


REFERENCES: 49 CFR 175.78

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:56 PM, 

QID:
 00055697, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
9   
Were markings and labels visible and unobscured by attachments to the packaging or other labels and markings during storage, staging, or transport?


REFERENCES: 49 CFR 172.304(a), 49 CFR 172.406(f)

NOTE: Reference ICAO TI 5-2.2 & 7-2.6.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:56 PM, 

QID:
 00055698, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
10   
Did the freight forwarder report discrepancies that were discovered after acceptance as soon as practical?


REFERENCES: 49 CFR 175.31(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  2  1/27/2020 4:43:15 PM, 

QID:
 00055704, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
11   
Did the freight forwarder report the required information for discrepancy reporting?

      #1 Name and telephone number of the person reporting the discrepancy;
      #2 Name of the certificate holder;
      #3 Specific location of the shipment concerned;
      #4 Name of the shipper;
      #5 Nature of the discrepancy;
      #6 Address of the shipper or person responsible for the discrepancy if known by certificate holder.

REFERENCES: 49 CFR 175.31(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:57 PM, 

QID:
 00055705, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
12   
Did the freight forwarder have a current Certificate of Registration on file with the Department of Transportation?


NOTE: Reference 49 CFR 107.608

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:57 PM, 

QID:
 00055706, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
13   
Did the freight forwarder furnish a copy of the Department of Transportation Certificate of Registration upon request?


NOTE: Reference 49 CFR 107.620(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:21:18 PM, 

QID:
 00055707, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
14   
Did the freight forwarder maintain shipping papers for 2 years after the material is accepted by the initial carrier?


REFERENCES: 49 CFR 172.201

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:21:18 PM, 

QID:
 00055877, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
15   
Did the freight forwarder ensure that each hazmat employee had been trained and tested?


REFERENCES: 49 CFR 172.702

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:21:18 PM, 

QID:
 00055883, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
16   
The hazmat employer retains a record of current training, inclusive of the preceding three years including:

      #1 The hazmat employee's name,
      #2 The most recent training completion date of the hazmat employee's training,
      #3 A description, copy, or the location of the training materials used,
      #4 The name and address of the person providing the training, and
      #5 Certification that the hazmat employee has been trained and tested.

REFERENCES: 49 CFR 172.704(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:21:19 PM, 

QID:
 00055884, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
17   
When required, did the freight forwarder develop and adhere to a compliant security plan?


REFERENCES: 49 CFR 172.800(b), 49 CFR 172.802

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:21:19 PM, 

QID:
 00055885, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
18   
Did the freight forwarder ensure third parties, employed to act on the freight forwarders behalf, were trained to carry out their responsibilities with regard to transportation of hazardous materials on an initial and recurrent basis?


REFERENCES: 49 CFR 175.20, 121.1003, 49 CFR 172.700, 135.503

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  2  6/24/2021 10:24:59 AM, 

QID:
 00055886, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
19   
Does the contracted third party properly perform acceptance functions on behalf of the freight forwarder?

      #1 Classification,
      #2 Documentation,
      #3 Certification,
      #4 Packaging,
      #5 Marking,
      #6 Labeling,
      #7 Any other contracted functions?

REFERENCES: 49 CFR 171.2(e), 49 CFR 175.1

NOTE: Determine what third party functions are performed (documentation, transportation, etc.)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:57 PM, 

QID:
 00055887, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
20   
When offering hazmat shipments, does the freight forwarder properly perform pre-transportation functions to include:

      #1 Classification,
      #2 Documentation,
      #3 Certification,
      #4 Packaging,
      #5 Marking,
      #6 Labeling,
      #7 Any other pre-transportation functions?

REFERENCES: 49 CFR 171.1(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:57 PM, 

QID:
 00055888, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
21   
Were hazardous materials shipments that were offered in accordance with ICAO, prepared as required?


REFERENCES: 49 CFR 171.22, 49 CFR 173.22(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:57 PM, 

QID:
 00055889, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
22   
Were hazardous materials authorized by Special Permit or Competent Authorities offered in compliance with applicable regulations?


NOTE: Reference 49 CFR 107.101

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:58 PM, 

QID:
 00055890, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
23   
Did the freight forwarder properly offer for transport packages, overpacks, containers, unit load devices (ULDs), or pallets containing dangerous good?


REFERENCES: 49 CFR 175.88, 49 CFR 173.25

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:58 PM, 

QID:
 00055895, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
24   
Did the freight forwarder ensure that ULDs, which contain hazardous materials requiring a hazard label, display an ID tag on their exterior indicating that hazardous materials are present?


NOTE: Reference 49 CFR 173.512 and ICAO TI 7-2.6

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:21:19 PM, 

QID:
 00055896, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
25   
When the unit load device was unloaded and the dangerous goods were removed, did the operator remove the identification tag?


NOTE: Reference 49 CFR 173.512 and ICAO TI 7-2.6

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:21:19 PM, 

QID:
 00055904, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
26   
Did the freight forwarder properly complete or provide information for the Notification to Pilot in Command (NOPIC) or Notification to Captain on behalf of the certificate holder with information regarding hazardous materials?


REFERENCES: 49 CFR 175.33

NOTE: Identify which certificate holder.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:54 PM, 

QID:
 00055912, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
27   
Did the freight forwarder keep a copy or information contained therein of the Notification to Pilot in Command on behalf of the certificate holder for 90 days?


REFERENCES: 49 CFR 175.33(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:54 PM, 

QID:
 00055913, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
28   
Does the contracted third party properly perform offeror functions on behalf of the freight forwarder to include:

      #1 Classification,
      #2 Documentation,
      #3 Certification,
      #4 Packaging,
      #5 Marking,
      #6 Labeling,
      #7 Any other pre-transportation functions?

REFERENCES: 49 CFR 171.2(e), 49 CFR 175.1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:54 PM, 

QID:
 00055914, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
29   
Did the freight forwarder ensure third parties employed to act on the freight forwarders behalf, were trained to carry out their responsibilities with regard to transportation of hazardous materials on an initial and recurrent basis?


REFERENCES: 49 CFR 175.20, 121.1003, 135.503, 49 CFR 175.700

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:55 PM, 

QID:
 00055922, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
30   
Were hazardous material incidents immediately reported as required?


REFERENCES: 49 CFR 171.15

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:55 PM, 

QID:
 00055923, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
31   
Were detailed hazardous materials incident reports submitted as required?


REFERENCES: 49 CFR 171.16

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  1  1/27/2020 4:20:55 PM, 

QID:
 00055924, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
32   
Were the freight forwarders controls effective in achieving the desired results?


Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  2  4/2/2020 3:16:23 PM, 

QID:
 00055925, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
33   
Were the freight forwarders interfaces effective in achieving the desired results?


Safety Attribute: Interfaces,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  2  4/2/2020 3:16:23 PM, 

QID:
 00055926, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
34   
Does the freight forwarders have a positive safety culture?


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

Scoping Attribute:
  (FAR PART = "49CFR") AND (ORE Type = "FREIGHT FORWARDER") ,  Rev.  2  4/2/2020 3:16:24 PM, 

QID:
 00055927, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable


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