1-1 CHAPTER 1. GENERAL INFORMATION
1.1 Purpose of this Advisory Circular (AC).
This AC provides certificate holders with recommended contents for a dangerous goods training program and manual designed to guide and manage dangerous goods operations. Developing and using the comprehensive guidance in this document will promote establishment of a safe and efficient dangerous goods operation. This AC provides guidance for all certificate holders and applicants under 14 CFR part 121 or part 135 on the following:
• Developing dangerous goods training programs applicable to personnel providing a transport-related job function for, or on behalf of, the certificate holder;
• Implementing operational Safety Management Systems (SMS), and the structure of their risk analysis as they relate to dangerous goods; and
• Developing the manual for dangerous goods transportation/rejection as cargo or baggage, and a plan to prevent undeclared dangerous goods.
1.2 Intended Audience.
1.2.1 Primary Audience.
The primary audience for this AC is all certificate holders, or applicants seeking to operate, under either 14 CFR part 121 or part 135, and all such carriers, regardless of whether they have implemented a Safety Management System. It includes certificate holders that:
• Transport passengers and their baggage;
• Transport cargo or company material (COMAT), with a prohibition on transporting dangerous goods aboard the aircraft (“Will Not Carry” certificate holder with no OpSpec A055 issue and prohibited under OpSpec A004 limitations); and
• Transport dangerous goods as cargo or COMAT aboard the aircraft (“Will Carry” certificate holder with OpSpec A055 issued and listed under OpSpec A004 authorizations).
Note: Although this AC is addressed mainly to 121 and 135 certificate holders, 125 certificate holders are encouraged to comply with the contents of the training program and manual presented as best practice.
1.2.2 Secondary Audience.
The secondary audience for this AC is all Federal Aviation Administration personnel responsible for dangerous goods transportation certification, surveillance, and safety oversight activities.
1.3 Background.
1-2 Dangerous goods are known to have been involved in, and the cause of, incidents and accidents associated with air transportation. A certificate holder’s dangerous goods program constitutes the foundation for safely transporting dangerous goods by air. This AC provides guidance on designing and implementing a dangerous goods program to include managing the risks entering the aviation system from declared and undeclared dangerous goods. Passengers and shippers of cargo routinely introduce hazards associated with dangerous goods into the air transport system, often unknowingly. This includes dangerous goods associated with baggage, cargo, COMAT, and mail.
Improperly prepared and mismanaged dangerous goods can increase the risks to passengers, crew, aircraft, property, and environment. The hazards posed by these materials are often varied and difficult to specifically identify. Therefore, the risks are best addressed by individual certificate holders within the context of their own systems.
To guide the certificate holders in the process of addressing system risks, this AC sets forth suggestions for establishing a comprehensive dangerous goods training program and manual, including a plan to prevent undeclared dangerous goods from entering the transportation system.
1.4 Where You Can Find This AC.
This AC may be accessed by FAA personnel and the public through the web link:
http://www.faa.gov/regulations_policies/advisory_circulars/
1.5 Overview of Program and Regulatory Requirements
1.5.1 Standardized Terminology.
The terms “hazardous materials” and “dangerous goods” are synonyms. Although the majority of national regulations use the term “hazardous materials,” most US certificate holders’ operations are global, and subject to international regulations, in which the term “dangerous goods” is the standard terminology. In this AC, the term “dangerous goods” is used. However, the certificate holders can decide which terminology to use when submitting the manual and dangerous goods training program to the FAA. For the purposes of this AC, “regulatory requirements for dangerous goods” means the Hazardous Materials Regulations (HMR) and/or ICAO Technical Instructions, whichever provisions are more restrictive to the certificate holder’s operation.
1.5.2 Program Overview.
The Hazardous Materials Safety Program (HMSP) has the primary responsibility for the oversight of dangerous goods transportation by air to, from, and within the United States (US), and US certificate holder operations globally. The HMSP designee, in conjunction with FAA Flight Standards Principal Operations Inspectors (POI), has the responsibility for analyzing the certificate holder’s manual and dangerous goods training program in order to issue OpSpec. The OpSpec will indicate whether the certificate holder is authorized or prohibited from transporting dangerous goods. This process is facilitated by the technical review and recommendation by the HMSP designee. This AC is intended to support these mission responsibilities and to ensure all
1-3 individuals performing transport-related job functions on behalf of the certificate holder are fully aware of the certificate holder’s duties and policies.
1.5.3 Regulatory Overview.
Regardless of whether the certificate holder operates under 14 CFR part 121 or part 135, and an authorization exists on its OpSpec, a manual and dangerous goods training program are required.
• Pursuant to 14 CFR § 119.49(a)(13), certificate holders are required to have OpSpec that authorize (Will Carry) or prohibit (Will Not Carry) to accept, handle, and transport dangerous goods on its aircraft;
• Title 14 CFR §§ 121.133(a), 125.73(o) and 135.21(a) require each certificate holder to prepare and keep current a manual for the use and guidance of flight, ground operations, and management personnel, in conducting its dangerous goods operations;
• The manual content for dangerous goods is specified in 14 CFR §§ 121.135(b)(25) and 135.23(p); and
• The dangerous goods training program is contained in 14 CFR part 121, subpart Z and part 135, subpart K.
1.5.4 Regulatory References.
Use of the applicable guidance and best practices contained within this AC constitutes one means of compliance with:
• Title 14 CFR, part 5 (Safety Management Systems – SMS – related to dangerous goods);
• Title 14 CFR, parts 60 to 139;
• Title 49 CFR, parts 171 to 180 (Hazardous Materials Regulations [HMR]);
• International Civil Aviation Organization (ICAO) Technical Instructions for the Safe Transport of Dangerous Goods by Aircraft;
• Order 8900.1, Flight Standards Information Management Systems;
• Interpretation, 63 Fed. Reg 30411, June 4, 1998; and
• Electronic Signatures, Electronic Recordkeeping, and Electronic Manuals, AC 120- 78A.
2-4 CHAPTER 2. DANGEROUS GOODS TRAINING PROGRAM
2.1 Applicability.
The dangerous goods training program is applicable to certificate holders operating in accordance with 14 CFR part 121 or part 135 that perform any of the following activities:
• Transport passengers and their baggage;
• Transport cargo or COMAT, with a prohibition on transporting dangerous goods aboard the aircraft (“Will Not Carry” certificate holder with no OpSpec A055 issue and prohibited under OpSpec A004 limitations); and
• Transport dangerous goods as cargo or COMAT aboard the aircraft (“Will Carry” certificate holder with OpSpec A055 issued and listed under OpSpec A004 authorizations).
2.2 Training Requirement.
Certificate holders are responsible for providing initial and recurrent dangerous goods training to each crewmember and person performing or directly supervising any transport-related job functions involving any item for transport on board an aircraft according to 14 CFR part 121, subpart Z and part 135, subpart K. Transport-related job functions include, but are not limited to, acceptance, rejection, handling, storage incidental to transport, packaging of company material, and loading.
2.3 Dangerous Goods Training Program Required.
Certificate holders are required to establish and implement a dangerous goods training program satisfying 14 CFR, part 121, Appendix O, at a minimum to:
• Ensure that each person performing or directly supervising any of the transportrelated job functions is trained to comply with the regulatory requirements for dangerous goods;
• Enable the trained person to recognize items that contain, or may contain, dangerous goods regulated by the regulatory requirements for dangerous goods; and
• Enable the trained person to follow any certificate holder’s specific policy, process, or operational procedure.
2.4 FAA Approval.
Regardless of the certificate holder’s decision to use this AC or not, the dangerous goods training program requires the approval of the FAA prior to implementation or modification.
2.5 Training Program Content.
2-5 Certificate holders may use alternative approved approaches to develop and implement the dangerous goods training program.
2.5.1 Who to Train.
• Identify personnel who perform duties with any transport-related job function;
• Identify the level of responsibility of each worker (i.e., manager, supervisor, worker, contractor acting on behalf of the certificate holder);
• Identify who is responsible for identifying the personnel that need to be trained;
• Identify new hires and personnel who provide supervision during the interim period prior to the completion of training;
• Identify personnel whose transport-related job function is changing, and personnel who provide supervision during the interim period, prior to training being completed;
• Identify personnel who work for more than one certificate holder; and
• Identify repair stations regulated by the regulatory requirements for dangerous goods that perform work for or on the certificate holder’s behalf.
2.5.2 Type of Dangerous Goods Training.
• Identify competencies and knowledge that need to be achieved, determine the most effective way of achieving them, and establish valid and reliable assessment tools to evaluate their achievement in order to produce a competent workforce;
• Provide training to personnel with responsibilities for any transport-related job function such as, but not limited to, processing, accepting, and handling of baggage, cargo, mail, or COMAT, prior to perform any of these functions;
• Identify the types of training required for each worker (specific dangerous goods training, or special process to perform the duties involving the covered function);
and
• Identify who is responsible for determining the types of training each worker requires.
2.5.3 Timing of Dangerous Goods Training.
• Identify when initial training should begin, considering 14 CFR §§ 121.1005 and
135.505 as a minimum;
• Note when recurrent training should occur based on the initial training date;
• Determine who is responsible for ensuring the training is done in a timely manner;
and
• Describe how the training is tracked.
2.5.4 Source of Dangerous Goods Training.
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• Determine who provides the training (in-house, outsourced);
• Define the process for approving the training when it is provided by an entity other than the certificate holder; and
• Determine who decides how to conduct the training.
2.5.5 Evaluation of Dangerous Goods Training.
• Determine who oversees the training quality;
• Specify who determines instructor qualifications;
• Determine how training quality will continually be assessed; and
• Describe how demonstrated gaps in training will be handled.
1. How these personnel will be tracked; and
2. How these personnel will be supervised until training gaps are addressed.
2.5.6 Dangerous Goods Record Keeping Requirements.
• Identify who should be responsible for complying with record keeping requirements in 14 CFR §§ 121.1007 and 135.507;
• Identify who is responsible for storing and maintaining records database;
• Identify who is responsible for providing access to the training records when necessary; and
• Identify where records are kept.
3-7 CHAPTER 3. MANUAL
3.1 Applicability.
This chapter primarily contains general guidance for certificate holders to develop the dangerous goods procedures and information described in their manual to ensure that all applicable requirements of 14 CFR part 121 and part 135 are covered. Additional guidance related to the authorizations included in operations specification is described in sections 3.7 thru 3.9 of this chapter, regarding whether the certificate holder is authorized to:
• Transport passengers and their baggage;
• Transport cargo or COMAT, with a prohibition on transporting dangerous goods aboard the aircraft (“Will Not Carry” certificate holder with no OpSpec A055 issue and prohibited under OpSpec A004 limitations); and
• Transport dangerous goods as cargo or COMAT aboard the aircraft (“Will Carry” certificate holder with OpSpec A055 issued and listed under OpSpec A004 authorizations).
3.2 How to Apply the Content of this Chapter.
To aid the reader’s understanding of this chapter, the certificate holder should use the table below as a tool to direct them to the applicable contents of this chapter relating to their authorization on OpSpec.
Table 1: Applicable Content.
If you are a certificate holder that operates under 14 CFR part 121 or part 135 and your OpSpec are:
the following sections of this chapter are applicable:
1. To transport passengers and their baggage2
3.3 to 3.7
2. Will Not Carry1, 2 3.3 to 3.6, and 3.8
3. Will Carry1, 2 3.3 to 3.6, and 3.9 Note 1: If a Will Not Carry or a Will Carry certificate holder transports passengers and their baggage, section 3.7 of this chapter is also applicable.
Note 2: Appendix A of this AC should also be considered when preparing the manual.
3.3 Manual Requirement.
3-8 Certificate holders are responsible for preparing and keeping current a manual containing procedures and information about dangerous goods to assist each crewmember and person performing, or directly supervising, any transport-related job function involving the transport of any item on board an aircraft in accordance with 14 CFR part 121, subpart G and part 135, subpart A. Transport-related job functions include, but are not limited to, acceptance, rejection, handling, storage incidental to transport, packaging of company material, and loading.
3.4 Procedures and Information Required.
Certificate holders are required to ensure the procedures and information contained in the manual are sufficient to assist personnel in identifying packages marked or labeled as containing dangerous goods, or show signs of containing undeclared dangerous goods, including:
• Procedures for rejecting packages that do not conform to the regulatory requirements for dangerous goods, or certificate holder’s policies, where appropriate, or appear to contain undeclared dangerous goods;
• Procedures for reporting dangerous goods incidents, discrepancies and apparent violations as cargo, mail, COMAT, or carried by passengers, in accordance with §§
171.15, 171.16 and 175.31 of the HMR, and under the certificate holder’s Voluntary Disclosure Reporting Program, as appropriate, as a minimum; and
• Information regarding the certificate holder’s dangerous goods policies, including whether the certificate holder is authorized to carry, or prohibited from carrying, dangerous goods.
3.5 FAA Approval.
The manual should clearly identify the person, with responsibility and authority for ensuring that the FAA is provided a copy of the manual, and for providing the FAA all updates. In accordance with the applicable operating certificate of the certificate holder, the manual requires the approval of the FAA prior to implementation.
3.6 General Manual Content.
Certificate holders may use alternative approved approaches to develop and implement the dangerous goods procedures and information described in their manual.
3.6.1 General Format.
The processes and procedures required for dangerous goods transport-related job functions are expected to be maintained in whole or in part in printed form, or other form acceptable to the FAA. The manual is required to be in a format which is easy to revise, and the content is clear and concise, with procedures to allow all concerned to perform their duties and responsibilities with a high degree of safety. The manual is required to comply with the Federal Regulations, 14 CFR part 121 or part 135, and cover all personnel responsible for transport related job functions.
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3.6.2 Compatibility.
The manual should interface with all other manuals and not conflict with any other processes and procedures outlined in the certificate holder's system design.
3.6.3 Form and Signature.
The manual may be maintained in paper format or electronically. The AC entitled “Electronic Signatures, Electronic Recordkeeping, and Electronic Manuals,” AC 120- 78A, provides additional guidance for electronic systems’ use. The requirement to provide a manual is an integral part of the certificate holder’s communication of its status as a “Will Carry” or “Will Not Carry” certificate holder and the processes and/or procedures adopted by the certificate holder.
3.6.4 Dangerous Goods Safety Analysis.
The processes and procedures contained in the manual are expected to be the result of an analysis on the part of the certificate holder, which demonstrates how the certificate holder will use its processes and procedures to ensure dangerous goods are properly and safely transported on board its aircraft, or rejected for transport.
• This analysis is part of the FAA baseline design analysis completed when reviewing the manual, prior to approval and issuing OpSpec. This analysis pertains to all processes and procedures regarding transport-related job functions.
• For certificate holders with an implemented SMS, the manual should contain a brief narrative of understanding that all processes, procedures, and operations regarding the transportation of dangerous goods are to be assessed under the certificate holder’s SMS for safety risks within the system, and how those risks identified are to be mitigated to the lowest levels. The safety analysis is expected to cover all relevant transport-related job functions performed by the certificate holder, its contractors, subcontractors, or affiliates, acting on behalf of the certificate holder including, but not limited to: acceptance, rejection, loading, storage incidental to transport, packaging, and transport, of dangerous goods.
1. Special considerations should be included for high-risk commodities such as lithium batteries and chemical oxygen generators;
2. All process and procedural changes should to be analyzed by the certificate holder for accepting any increased safety risk; and
3. The person accepting responsibility for identifying and/or mitigating the safety risk is expected to be identified in the analysis. This may be more than one person or business unit.
3.6.5 Safety Management System (SMS) as it Relates to Dangerous Goods.
Certificate holders with an approved and operational SMS are required to perform a safety risk analysis on their processes, and identify areas of risks and risk mitigation strategies, and continue to self-audit the design and performance elements of the system. The certificate holder should cover at a minimum the following items:
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• Identify areas that involve a safety risk (i.e., acceptance, loading, securing, packaging [e.g., COMAT]);
• Identify any hazards that exist within the established processes;
• Evaluate the level of the hazard (acceptable, non-acceptable);
• Verify whether the safety risk can be mitigated for non-acceptable hazards;
1. If yes, define mitigations necessary to eliminate or minimize the safety risk; and
2. With the mitigations in place, verify whether the risk is now acceptable.
• Self-Audit the process/system over time to determine if the mitigation is effective, and whether additional safety risks exist.
Note: Certificate holders not required to implement a SMS should demonstrate that they are aware of the hazards within their system, and have mitigated those hazards to the greatest extent possible, to be able to operate safely.
3.6.6 Undeclared Dangerous Goods.
3.6.6.1 Concept.
An “undeclared” or “hidden” shipment is a shipment (mail, cargo or baggage) of dangerous goods not declared, intentionally or unintentionally, by the offeror to contain dangerous goods, and there is no attempt to comply with the regulatory requirements for dangerous goods. The certificate holder should exercise reasonable care to recognize readily apparent facts to reject any shipment of dangerous goods not in full compliance with the regulatory requirements for dangerous goods.
• The certificate holder knowingly violates the regulatory requirements for dangerous goods when they accept or transport dangerous goods without taking into account readily apparent facts indicating a package or baggage may contain dangerous goods which is not properly packaged, marked, labeled, or described on a shipping paper.
• It would not represent reasonable care to ignore readily apparent facts indicating either:
1. A shipment declared to contain dangerous goods has readily apparent information indicating it is not properly packaged, marked, labeled, placarded, or described on a shipping paper; or
2. A shipment contains a regulated dangerous good and is not properly marked, labeled, placarded, or described on a shipping paper, as containing the dangerous good.
3.6.6.2 Process.
3-11 Describe a plan to prevent packages or baggage containing undeclared dangerous goods from entering the air transportation system. The plan should include processes and procedures to:
• Prevent undeclared dangerous goods from being accepted, handled, loaded, and transported;
• Detect packages or baggage displaying readily apparent signs of containing undeclared dangerous goods, which may be included in the review of marks, labels, documentation, and any other readily apparent information;
• Prevent recurrences when a package or baggage containing undeclared dangerous goods is detected (evaluate internal process and contact shippers/offerors/passenger), including using the reporting process;
• Develop a preventive and continuous communication process to provide shippers/offerors/passenger information to understand the risk of undeclared dangerous goods in the transport system;
• Identify the personnel responsible for this function; and
• Describe how personnel should proceed when a package or an item contained in baggage does not comply with the regulatory requirements of dangerous goods or the certificate holder’s restrictions.
3.6.6.3 Automated Process.
Develop a plan to prevent packages or baggage containing undeclared dangerous goods from entering the air transportation system when that process does not require human intervention. The plan should include processes and procedures to:
• Identify the transport-related job functions replaced by mechanical/automated process;
• Develop process and procedures to prevent undeclared dangerous goods in the transport-related job functions replaced by mechanical/automated process;
• Detect packages displaying signs of containing undeclared dangerous goods, to include the review of marks, labels, and documentation, and any other readily apparent information;
• Develop process to prevent recurrences when a package containing undeclared dangerous goods is detected (evaluate internal process and contact shippers/offerors), including using the reporting process;
• Develop a preventive and continuous communication process to provide shippers/offerors/passengers information to understand the risk of undeclared dangerous goods in the transport system; and
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• Identify when a package or baggage does not comply with the regulatory requirements for dangerous goods.
3.6.6.4 Evaluation.
Describe the evaluation process performed, considering all sources of information and collected data, including:
• Self-audit processes and procedures in order to verify their effectiveness;
• Identify and analyze recurrences; and
• Analyze possible safety impacts when a process is intended to be modified.
Note: Appendix A of this AC provides information for preventing undeclared dangerous goods.
3.6.7 Dangerous Goods Manual Management and Interfaces.
The certificate holder is responsible for addressing safety risk management in the document control process, including responsibility, authority, distribution, accountability, and availability.
3.6.7.1 Responsibility/Authority.
Refer to other documents that identify or clearly delineate the accountable executive, by title or job description, who is responsible for the manual, and all management personnel with the authority to act on behalf of the accountable executive.
3.6.7.2 Revisions.
Define the title or job description of the person responsible for revising and maintaining the manual.
• Develop procedures to ensure that only authorized personnel revise the manual;
• Identify who, by title or job description, will be authorized to make revisions, and how that person is authorized to do so;
• Explain how the certificate holder ensures that the manual is current;
• Describe the process for making revisions; and
• Explain how the revisions are identified, distributed, and promoted, throughout the certificate holder’s transportation system.
3.6.7.3 Distribution, Availability/Publication.
Identify the process that verifies the manual is distributed to all remote station users/dangerous goods personnel (including contract personnel