U.S. Department Advisory of Transportation Circular Federal Aviation Administration Subject: 14 CFR Part 121 and Part 135 Date: 12/13/17 AC No: 121-40 Dangerous Goods Transportation Operations Initiated By: AXH-1 This Advisory Circular (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 the establishment of a safe and efficient dangerous goods operation. This AC establishes guidance for all part 119 certificate holders operating in accordance with part 121 or part 135 under operations specifications (OpSpec) to carry dangerous goods (Will Carry), prohibiting the transport of dangerous goods (Will Not Carry) and/or authorized to transport passengers and their baggage. Specifically, this AC sets forth suggestions for establishing a comprehensive dangerous goods training program and manual, regardless of the certificate holder's OpSpec.
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, and COMAT. 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. This AC is not mandatory, and does not constitute a regulation. This AC describes an acceptable means, but not the only means, of complying with applicable regulations to manage dangerous goods operations.
Janet MEsaughlin Janet McLaughlin Director Hazardous Materials Safety
CONTENTS Paragraph Page
Chapter 1. GENERAL INFORMATION1-1
1.1 Purpose of this Advisory Circular (AC)1-1
1.2 Intended Audience1-1
1.2.1 Primary Audience1-1
1.2.2 Secondary Audience1-1
1.3 Background1-1
1.4 Where You Can Find This AC1-2
1.5 Overview of Program and Regulatory Requirements1-2
1.5.1 Standardized Terminology1-2
1.5.2 Program Overview1-2
1.5.3 Regulatory Overview1-3
1.5.4 Regulatory References1-3
Chapter 2. DANGEROUS GOODS TRAINING PROGRAM2-4
2.1 Applicability2-4
2.2 Training Requirement2-4
2.3 Dangerous Goods Training Program Required2-4
2.4 FAA Approval2-4
2.5 Training Program Content2-4
2.5.1 Who to Train2-5
2.5.2 Type of Dangerous Goods Training2-5
2.5.3 Timing of Dangerous Goods Training2-5
2.5.4 Source of Dangerous Goods Training2-5
2.5.5 Evaluation of Dangerous Goods Training2-6
2.5.6 Dangerous Goods Record Keeping Requirements2-6
Chapter 3. MANUAL3-7
3.1 Applicability3-7
3.2 How to Apply the Content of this Chapter3-7
3.3 Manual Requirement3-7
3.4 Procedures and Information Required3-8
3.5 FAA Approval3-8
CONTENTS (CONTINUED) Paragraph Page
3.6 General Manual Content3-8
3.6.1 General Format3-8
3.6.2 Compatibility3-9
3.6.3 Form and Signature3-9
3.6.4 Dangerous Goods Safety Analysis3-9
3.6.5 Safety Management System (SMS) as it Relates to Dangerous Goods3-9
3.6.6 Undeclared Dangerous Goods3-10
3.6.7 Dangerous Goods Manual Management and Interfaces3-12
3.7 Manual for Certificate Holders Authorized to Transport Passengers and Their
Baggage3-13
3.7.1 Passenger and Baggage Provisions3-13
3.7.2 Additional Provisions3-13
3.7.3 Points of Entry3-13
3.7.4 Personnel3-14
3.7.5 Passenger Notification3-14
3.7.6 Baggage Acceptance Process3-14
3.7.7 Baggage Handling3-14
3.7.8 Rejecting Baggage3-15
3.7.9 Discrepancies Reporting3-15
3.8 Manual for Will Not Carry Certificate Holders3-15
3.8.1 Will Not Carry Definition3-15
3.8.2 Will Not Carry Provisions3-15
3.8.3 Additional Provisions3-16
3.8.4 Corporate Overview3-16
3.8.5 Certificate Holder’s Process for Rejection of Dangerous Goods3-16
3.8.6 Special Considerations for COMAT3-18
3.8.7 Special Consideration for Interlining3-18
3.8.8 Released Information by the FAA3-18
3.8.9 Repair Stations Notification3-18
3.8.10 Handling Dangerous Goods3-18
3.8.11 Storage Incidental to Transport3-19
CONTENTS (CONTINUED) Paragraph Page
3.8.12 Loading3-19
3.8.13 Incident and Discrepancy Reporting3-20
3.9 Manual for Will Carry Certificate Holders3-20
3.9.1 Will Carry Definition3-20
3.9.2 Will Carry Provisions3-20
3.9.3 Additional Provisions3-21
3.9.4 Corporate Overview3-21
3.9.5 Certificate Holder’s Process for Acceptance/Rejection3-21
3.9.6 Special Considerations for COMAT3-23
3.9.7 Special Considerations for Interlining3-24
3.9.8 Repair Stations Notification3-24
3.9.9 Special Consideration for Lithium Batteries3-24
3.9.10 Special Consideration for Chemical Oxygen Generators3-24
3.9.11 Cargo Aircraft Only Package3-24
3.9.12 Released Information by the FAA3-24
3.9.13 Handling Dangerous Goods3-25
3.9.14 Storage Incidental to Transport3-25
3.9.15 Loading3-25
3.9.16 Shipping Paper and Notification to Pilot in Command (NOPIC or NOTOC) 3-26
3.9.17 Incident and Discrepancy Reporting3-27
Appendix A. PREVENTING UNDECLARED DANGEROUS GOODSA-1
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.
2-6
• 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.