3-19 Identify the handling process for rejected shipments, including the key points for rejection at the acceptance point, the loading ramp, or storage incidental to transport.
3.8.10.2 Personnel.
Identify the following personnel, duties, and information:
• The person responsible for oversight of the handling functions;
• The person responsible for performing the handling job function;
• The job duties of the persons performing the handling job function;
• The job duties related to moving items from the acceptance point to either storage incidental to transport or the loading dock; and
• The specific rejection requirements used to evaluate packages containing dangerous goods.
3.8.11 Storage Incidental to Transport.
3.8.11.1 Process.
Identify the location where items are placed in the certificate holder’s facility when entering “storage incidental to transport”.
• Specify how rejected items are stored, including segregation or isolation procedures, to keep potentially reactive items separate; and
• Describe how certificate holder tracks rejected items within its facility.
3.8.11.2 Personnel.
Identify the person responsible for this function within the certificate holder’s facility.
3.8.12 Loading.
3.8.12.1 Personnel.
For each loading area, the certificate holder should identify the following:
• Management personnel responsible for overseeing loading; and
• Worker personnel, including any contractors, subcontractors, or affiliates acting on behalf of the certificate holder.
3.8.12.2 Process.
For each loading area, identify the process for preparing the shipments prior to loading and the actual loading onto the aircraft. The process should:
• Identify the responsible managers by loading location;
3-20
• Identify personnel, contractors, subcontractors, and affiliates acting on behalf of the certificate holder performing this function by job description;
• Describe the process of rejecting dangerous goods packages prior to loading onto the aircraft (i.e., use of unit load devices, palletizing shipments, etc.); and
• Describe the roles the ramp personnel have in rejecting dangerous goods, specifying who makes decisions regarding when dangerous goods packages are rejected prior to loading onto the aircraft.
3.8.13 Incident and Discrepancy Reporting.
Identify the process for reporting packages determined to contain dangerous goods (declared or undeclared).
• Specify the person, by title or job description, responsible for the report;
• Specify how the report is made (electronic, paper form);
• Describe how the package is separated from other packages continuing in air transport;
• Describe what happens to the package once it is rejected;
• Specify when and how the shipper/offeror is notified; and
• Describe any follow-up actions taken with the shipper or analysis of reports.
3.9 Manual for Will Carry Certificate Holders.
3.9.1 Will Carry Definition.
“Will Carry” means that the certificate holder has authorization to transport dangerous goods in its OpSpec. Based on that, the certificate holder is permitted to transport cargo or COMAT containing dangerous goods aboard the aircraft.
3.9.2 Will Carry Provisions.
In addition to the content described in sections 3.3, 3.4, 3.5, and 3.6, of this chapter, the manual of a Will Carry certificate holder is expected to contain procedures and information to ensure:
• Packages containing dangerous goods are properly offered and accepted in compliance with the regulatory requirements for dangerous goods;
• Packages containing dangerous goods are properly handled, stored, packaged, loaded, or carried on board an aircraft in compliance with the regulatory requirements for dangerous goods; and
• COMAT containing dangerous goods (i.e., aircraft replacement parts, lithium batteries, chemical oxygen generators, consumable materials, or other items
3-21 regulated by the regulatory requirements for dangerous goods) are properly handled, packaged, and transported.
3.9.3 Additional Provisions.
The Will Carry certificate holder authorized to transport passengers and their baggage in its OpSpec is also expected to follow the provisions described on section 3.7 of this chapter in accordance with Table 1.
3.9.4 Corporate Overview.
Include a corporate overview of certificate holder’s operations, especially as it relates to dangerous goods transport and any limitations.
• Define the scope of operations for the certificate holder;
1. Refer to other documents, where identified, or identify certificate holder’s routes, if possible;
2. Identify the locations where the certificate holder accepts dangerous goods, if limited;
3. Identify types of dangerous goods transported, if limited; and
4. Identify whether the certificate holder is scheduled or unscheduled.
• Describe the Safety Risk Management structure of the certificate holder.
1. Refer to other documents, where identified, or identify the corporate chain of authority for safety management, include those responsible for budget and workforce decisions;
2. Identify all management personnel, by title or job description, who perform risk acceptance functions within the certificate holder’s system; and
3. Identify whether certificate holder has an operating Safety Management System, and how many years SMS has been operational.
• Describe the corporate structure for special policy, information, and communication identifying, by title or job description, the management personnel responsible for items such as, but not limited to, the following:
1. Safety Alert for Operators (SAFO);
2. FAA Notices applicable to Certificate Holders;
3. Information for Operators (InFO);
4. Advisory Circulars;
5. Reporting Procedures; and
6. Emergency Orders.
3.9.5 Certificate Holder’s Process for Acceptance/Rejection.
3-22
3.9.5.1 Points of Entry.
Identify the points of entry for packages into the certificate holder’s transport system.
• Identify each location responsible for acceptance of cargo.
3.9.5.2 Personnel.
Identify who is in charge of overseeing the acceptance/rejection intake points.
• For each point of cargo acceptance, identify the management personnel responsible for overseeing acceptance/rejection; and
• Worker personnel, including any contractors, subcontractors or affiliates acting on behalf of the certificate holder.
3.9.5.3 Certificate Holder’s Process.
From the point of cargo acceptance, identify the process for intake of cargo, and the process for determining dangerous goods compliance and identification. The process should cover at a minimum the following items:
3.9.5.3.1 Signage.
Identify signage required by the regulatory requirements for dangerous goods.
3.9.5.3.2 Documentation.
Verify the material’s shipping documentation and shipper’s certification are consistent with the hazard communications on the packaging (e.g., marking and labeling).
3.9.5.3.3 Marking/Labeling.
Verify packaging is marked and labeled appropriately for the material identified on the shipping paper.
3.9.5.3.4 Packaging.
Verify packaging is authorized, is not damaged, appears appropriate for the quantity of material shipped, and is not leaking.
3.9.5.3.5 Quantity.
Ensure that the total quantity indicated on the shipping documentation is within the quantity limitations authorized by the regulatory requirements for dangerous goods.
3.9.5.3.6 Special Considerations.
Verify if there are any special considerations for the package:
3-23
• Verify if the material is authorized for transport on passenger aircraft, or is required to be transported on cargo aircraft only;
• Verify if there are special labeling requirements for cargo-aircraft only shipments;
• Determine if the material is offered under a Special Permit (SP) or Competent Authority (CA) approval;
1. If yes, review the terms of the SP or CA, and ensure that the package is offered consistent with those terms; and
2. Verify that the certificate holder has been granted the authorization to transport the shipment.
• Determine if the material is a chemical oxygen generator or contains lithium batteries. If it does, ensure it is offered consistent with the regulations; and
• Consider any readily available information to determine compliance.
3.9.5.4 Non-compliant Packages.
Describe the process for rejecting dangerous goods as cargo deemed to be non-compliant with the regulatory requirements for dangerous goods.
• Identify factors used to determine the presence of a non-compliant or hidden shipment of dangerous goods;
• Specify procedures if the non-compliant package is discovered after acceptance;
• Provide the process for separating non-compliant packages from those that will be transported on an aircraft;
• Identify the person who is notified of a non-compliant package;
• Specify the process for returning non-compliant packages to the shipper/offeror or otherwise disposing of the packages; and
• Describe the process to notify the shipper/offeror that dangerous goods shipments have been rejected.
3.9.6 Special Considerations for COMAT.
Will Carry certificate holders are expected to establish a process for preparing and handling COMAT containing dangerous goods for shipment on board its aircraft. At a minimum, the process should:
• Identify the persons responsible for classifying, packaging, labeling, marking, completing the shipping paper, and offering the shipment for transport;
• Identify the person responsible for the oversight of the individuals preparing the COMAT containing dangerous goods for transport;
• Identify where COMAT is prepared;
3-24
• Describe how COMAT enters the transportation system; and
• Identify who verifies whether COMAT is prepared correctly.
3.9.7 Special Considerations for Interlining.
Describe the procedures to ensure that dangerous goods transferred from other certificate holder are in compliance with the permeation on OpSpec.
3.9.8 Repair Stations Notification Describe the process to notify in writing each repair station under the regulatory requirements for dangerous goods that perform work for, or on the certificate holder’s behalf, regarding certificate holder’s policies and the information about the permission to transport dangerous goods, according to the OpSpec as a Will Carry certificate holder.
3.9.9 Special Consideration for Lithium Batteries.
• Verify whether the Safety Risk Analysis has been completed;
1. Describe the process used for conducting the analysis;
2. Indicate if the analysis shows that lithium batteries can be safely transported;
3. If an analysis has not been completed, describe the process for rejecting lithium batteries.
• Identify process for determining the type of lithium battery being offered for transportation;
• Describe how the batteries that are forbidden on passenger aircraft are handled;
• Describe the mitigation measures applied during transport (such as ULD with fire suppression system, protective cover, etc.);
• Identify any other dangerous goods are loaded with lithium batteries; and
• Indicate whether lithium batteries are consolidated in a single location on the aircraft.
3.9.10 Special Consideration for Chemical Oxygen Generators.
Describe the process for shipping chemical oxygen generators, and how they are loaded into the aircraft.
3.9.11 Cargo Aircraft Only Package.
Describe the procedure to prevent the inadvertent shipment of items forbidden for transport on passenger aircraft.
3.9.12 Released Information by the FAA.
Evaluate whether all information in the applicable dangerous goods SAFOs and Notices published by the FAA was considered, and where this record is.
3-25
3.9.13 Handling Dangerous Goods.
3.9.13.1 Process.
Identify the handling process, including the description of the movement from the acceptance point, to the loading ramp, or storage incidental to transport.
3.9.13.2 Personnel.
Identify the following personnel, duties, and information:
• The persons responsible for oversight of the handling function;
• The persons responsible for performing the handling job function;
• The job duties of the persons performing the handling job function;
• The job duties related to moving items from the acceptance point to either storage incidental to transport or the loading dock; and
• The special handling requirements necessary for packages containing dangerous goods.
3.9.14 Storage Incidental to Transport
3.9.14.1 Process.
Identify the location where items are placed in the certificate holder’s facility when entering “storage incidental to transport”.
• Specify how items are stored, including segregation or isolation procedures, to keep potentially reactive items separate;
• Describe the process for moving items into or out of “storage incidental to transport”; and
• Describe how certificate holder tracks items within their facility that are in “storage incidental to transport”.
3.9.14.2 Personnel.
Identify the person responsible for this function within the certificate holder’s facility.
3.9.15 Loading
3.9.15.1 Personnel.
For each loading area, certificate holder should identify the following:
• Management personnel responsible for overseeing loading; and
• Worker personnel, including any contractors, subcontractors, or affiliates acting on behalf of the certificate holder.
3-26
3.9.15.2 Process.
For each loading area, identify the process for preparing the shipments prior to loading, and the actual loading onto the aircraft. The process should:
• Identify the responsible managers by loading location;
• Identify personnel, contractors, subcontractors, and affiliates acting on behalf of the certificate holder, performing this function by job description;
• Describe the process of preparing and consolidating the dangerous goods packages prior to loading onto the aircraft (i.e., use of unit load devices, palletizing shipments, etc.); and
• Describe the roles the ramp personnel have in verifying that the dangerous goods package is offered in compliance with the regulatory requirements for dangerous goods, to include:
1. Who makes decisions regarding where dangerous goods packages are placed in the aircraft (i.e., types of cargo compartments, location within compartments);
2. The process for verifying whether the loading process is consistent with the regulatory requirements for dangerous goods;
3. How dangerous goods packages are separated for loading into the different cargo compartments;
4. How cargo compartment quantity limitations are followed (e.g., under § 175.75 of the HMR);
5. The process for verifying that cargo is appropriately segregated on the loading ramp to prevent inadvertent shipment of cargo identified as non-compliant;
6. Who is responsible for ensuring that stowage limitations of §§ 175.78 and 175.501of the HMR, or the related ICAO Technical Instructions provisions, when applicable, are satisfied; and
7. How loading personnel are made aware any other risk mitigation strategies for dangerous goods.
3.9.16 Shipping Paper and Notification to Pilot in Command (NOPIC or NOTOC)
3.9.16.1 Personnel.
Identify the person responsible for compliance with the NOPIC requirements of §175.33 of the HMR, or the related ICAO Technical Instructions provisions, when applicable.
3-27
3.9.16.2 Process.
Identify the process for complying with §175.33 of the HMR or the related ICAO Technical Instructions provisions, when applicable.
• Specify where (by location) the shipping paper information is stored;
• Describe the process for notifying the pilot in command; and
• Describe the process used to make NOPIC information available at the intended airport of arrival, and make available to authorized government officials.
3.9.17 Incident and Discrepancy Reporting.
Identify the process for reporting dangerous goods packages damaged or found to be leaking, undeclared dangerous goods, or packages that are otherwise determined to be non-compliant.
• Specify the person, by title or job description, responsible for the report;
• Specify how the report is made (electronic, paper form);
• Describe how the package is separated from other packages continuing in air transport;
• Describe what happens to the package once it is rejected;
• Specify when and how the shipper/offeror is notified; and
• Describe any follow-up actions taken with the shipper or analysis of reports.
Appendix A A-1 APPENDIX A. PREVENTING UNDECLARED DANGEROUS GOODS A.1 General Information.
The risk of undeclared or improperly prepared dangerous goods shipments in air transportation has been demonstrated through experience such as the loss of ValuJet flight 592 in 1996. In addition, many incidents of fire and the dangerous evolution of heat in both the cargo hold and cabin have been reported. While these incidents have been managed and mitigated to date, we must continue to work to ensure that the risks of future incidents are being reduced to the greatest extent possible. This work will further decrease the likelihood of a catastrophic event to the aircraft. The information in this AC is intended for use by certificate holders when implementing a plan for preventing and reacting to undeclared (noncompliant) dangerous goods shipments presenting an unknown risk when being transported as cargo or in a passenger’s checked or carry-on baggage. The information consists of regulatory and recommended risk controls and include, but are not limited to, communication, education, training, feedback, and collaboration, to prevent the noncompliant shipments from entering the air transportation system. Prevention is and should be the goal of everyone involved in the air transport system. The success of controlling this risk should include not only the certificate holder, but also collaboration and coordination with every entity in the supply chain. Evolving technologies are making it easier to leverage a variety of media sources to provide information, which can be a more effective means to communicate, improve business practices, and to ultimately prevent undeclared dangerous goods shipments from being transported by certificate holders. Moreover, being proactive and providing resources to prevent the likelihood of undeclared dangerous goods may reduce the certificate holder’s costs and the amount of resources needed to identify, handle, and report, undeclared shipments after entering the air transportation system, including disposal or the return of the shipment to the offeror.
A.2 Communication and Notification.
One of the key tools for use by certificate holders, when implementing preventive processes and procedures to control the offering of undeclared dangerous goods, is communication. Cargo shippers and passengers are the most significant control for preventing undeclared dangerous goods from being transported on an aircraft. As cargo shippers offer shipments carried in cargo holds onboard both cargo and passenger aircraft, the origination of the risk is broad based. The undeclared shipment can be brought into the cabin in carry-on baggage and checked baggage in the cargo hold, or offered and transported as cargo. To account for evolving technologies and/or certificate holder-specific conditions supporting an effective notification to cargo shippers and passengers, the dangerous goods permitted, and recognized items that are not permitted, should consistently be provided to all involved. Most cargo shippers and passengers do not intentionally introduce risk into the air transportation system. They are not aware of the risk they are posing to themselves or others. There are deliberate actions, but those are less frequent and potentially criminal. The FAA continues to support and collaborate with the aviation industry on actions to involve all entities in the
Appendix A A-2 transportation of dangerous goods by air in programs to better communicate the hazards of dangerous goods.
A.3 Proactive Actions to Prevent Undeclared Shipments.
Communication and notification methods for informing cargo shippers and passengers share a common outcome -- informing the originator of the dangerous goods restrictions. Therefore, in accordance with the certificate holder’s communication system, the most appropriate communication method necessary to implement and effectively deliver information to reduce or eliminate undeclared shipments will largely be dependent on the communication system the cargo shipper or passenger chooses to use.
A.3.1 Transporting Cargo.
For cargo shippers and those involved in the air transport system prior to the certificate holder accepting possession, the following processes may assist in prevention:
• Developing continuous communication with customers that are potential dangerous goods shippers (e.g., electronic device shippers, postal service) can serve as an effective means of preventing undeclared shipments from entering the air transportation system. This communication could direct customers to guidance and information on common undeclared dangerous goods and provide proper shipping practices:
1. Push Communication – Providing dangerous goods information directly to the cargo shippers; and
2. Pull Communication – Providing dangerous goods information on the certificate holder’s website, including brochures, videos, hotline number, etc., and directing the cargo shippers to that location.
• Processes that may be implemented by certificate holders:
1. Providing information or methods to find information on identifying dangerous goods in the business relationship (i.e., sales and marketing) with customers;
2. Informing customers about dangerous goods training requirements for shippers and others in the transport chain that may engage in functions related to dangerous goods transportation;
3. Providing procedures and information to educate shippers at cargo facilities is critical for reducing the occurrence of undeclared dangerous goods entering the air transportation system. This and other preventive measures are especially critical when the certificate holder’s cargo systems are automated, and do not use employees to recognize indications that the package should be rejected, as well as to implement reactive actions;
Appendix A A-3
4. Promoting possible incentives to shippers if they do not include undeclared dangerous goods in their shipments; and
5. Implementing any other means available to prevent or reduce the introduction of undeclared dangerous goods in the air transport system from the source.
A.3.2 Transporting Passengers.
For certificate holders that transport passengers and their baggage, the dangerous goods restrictions are required to be included in a passenger notification system. The intent here is to clearly communicate with passengers and prevent dangerous goods from being carried on the aircraft. Specifically, certificate holders are responsible for designing and implementing processes and procedures, as well as a passenger notification system to communicate to passengers, that dangerous goods are forbidden in carry-on or checked baggage. Key to the success of the notification process is the ability of certificate holders to reach passengers early and often; prior to transporting their carry-on or checked baggage. In addition, the notification system should provide flexibility to address changing circumstances, conditions and environments even if those changes are temporary.
• The passenger notification system includes a process for an acknowledgement by the passenger, or someone acting on their behalf, that he or she has been presented with the information about dangerous goods that are forbidden as carry-on or checked baggage, or conversely that he or she has been presented with the information about dangerous goods that are permitted as carry-on or checked baggage. Acknowledgement is required at:
1. The point of ticket purchase, or if not practical, made available in another manner to passengers prior to issuing a boarding pass; and
2. The time the boarding pass is issued, or when no boarding pass is issued, prior to boarding the aircraft.
• The information provided to passengers about dangerous goods forbidden or permitted to be carried aboard an aircraft are required to be presented at each location where the following processes take place:
1. Tickets are issued;
2. Boarding passes are issued;
3. Passenger baggage is dropped off;
4. Aircraft boarding areas; and
5. Any other location where passengers are issued boarding passes and/or checked baggage is accepted.
• In order to accommodate passengers who may not speak the national language, and to ensure that the information is communicated effectively, visual examples would substitute or supplement any text.