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DGI Training CenterHAZARDOUS MATERIALS TRANSPORTATIONCOMPLIANCE AUDIT CHECKLISTCompany:Contact:Contact Phone:Contact Email:Audit Address:Date of Audit:Auditor:
Regulations AvailableNOYESModes Covered:HighwayAirN/A49 CFR §NORequirementYESITEMOceanCommentsREGISTRATION1Is a registration certificateavailable?107.601SECURITY PLANS2Is a written TransportationSecurity plan available?172.801(b)3Are the three requiredelements addressed in theplan?172.802(a)4Are key personnel andduties addressd?172.802(b)TRAINING172.704Are all "Hazmat"employees trained asrequired?172.704(a)5General AwarenessFunction SpecificSafetySecurity AwarenessIn-Depth Security6Appropriate recordsmaintained?172.704(d)7Has the above trainingbeen conducted within thelast 3 years?172.704(c)(2)DGI Training Centerdgitc@dgitraining.com – 800.338.2291Rev 2/28/14Audit Checklistpg. 2
N/ANO49 CFR §YESITEMRequirementCommentsSPECIAL PERMITS8Does the companyship under any SpecialPermits?107.1019Is the facility a holderof or party to theSpecial Permit?173.22a(a)10Are current copies ofSpecial Permitsmaintained at thefacility?See eachSpecialPermitSHIPPING PAPERS11Are hazardousmaterials listed first orotherwiseemphasized?172.201(a)(1)12Is all additionalinformation shownafter the basicdescription?172.201(a)(4)13Are copies of shippingpapers accessible atthe principle place ofbusiness for 2 years?172.201(e)14Are shipping papersdated?172.201(e)15Does the basicdescription appear oneach shipping paper inthe authorizedsequence?172.202(a) &172.202(b)16Is the total quantity(including a unit ofmeasure) shown foreach hazardousmaterial?172.202(a)(5)DGI Training Centerdgitc@dgitraining.com – 800.338.2291Rev 2/28/14Audit Checklistpg. 3
Are the number andtype of packagesclearly indicated foreach item ofhazardous materials?172.202(a)(6)18Are any abbreviationsused authorized andrecognizable?172.201(a)(3)&172.202(a)(6)19Is the additionalinformation requiredclearly entered on theshipping paper?172.203Special Permits172.203(a)Limited Quantities172.203(b)Hazardous Substances172.203(c)Radioactive Materials172.203(d)Empty Packagings172.203(e)Transportation by Air172.203(f)Transportation by Rail172.203(g)Transportation byHighway172.203(h)Transportation byWater172.203(i)Technical names172.203(k)Marine Pollutants172.203(l)Poisonous Materials172.203(m)Elevated temperaturematerials172.203(n)Organic Peroxides andself ReactiveSubstances172.203(o)DGI Training Centerdgitc@dgitraining.com – 800.338.2291Rev 2/28/14N/A17NO49 CFR §YESITEMRequirementCommentsAudit Checklistpg. 4
172.20421Does each shippingpaper clearly displayan EmergencyResponse Telephonenumbe and contractnumber if applicable?172.202(d) &172.60422Is each hazardousmaterial accompaniedby written emergencyresponse informationthat is available awayfrom the package?172.602N/AIs the requiredcertification statementpresent and signed bythe shipper?NO20CommentsYES49 CFR §ITEMRequirementMARKING - NON-BULKPACKAGES23Is each non-bulkpackage legiblymarked with theproper shipping nameand identificationnumber?172.301(a)24Is the appropriateidentification numberoffered or affixed tothe vehicle when morethan 4,000 kg of onehazardous material isoffered?172.301(a)(3)25Are technical namesmarked on each nonbulk package?172.301(b)26Is each packageauthorized by a SpecialPermit legibly markedwith the Special Permitnumber?172.301(c)DGI Training Centerdgitc@dgitraining.com – 800.338.2291Rev 2/28/14Audit Checklistpg. 5
Is each package legiblymarked with the nameand address of theshipper or consignee?172.301(d)28Is all marking durable, 172.304in English, displayed ona background ofcontrasting color,unobscured by labelsor attachments andlocated away fromother marking whichcould substantiallyreduce itseffectiveness?29Are orientation labelsapplied to twoopposite sides ofcombination packagedcontaining liquids?172.31230Are materials that arepoisonous byinhalation marked"Inhalation hazard"?172.31331Is each packagecontaining a limitedquantity marked withthe Limited Quantitymark?172.31532Is each packagecontaining a materialclassed as ORM-Dmarked with theshipping namefollowed by "ORM-D"in a rectangle?172.316DGI Training Centerdgitc@dgitraining.com – 800.338.2291Rev 2/28/14N/A27NO49 CFR §YESITEMRequirementCommentsAudit Checklistpg. 6
Is the "KEEP AWAYFROM HEAT" markingapplied to packages ofself-reactivesubstances andorganic peroxidesofferor fortransportation by air?172.31734Are explosives markedwith an EX Number asrequired?172.32035Do packagescontaining MarinePollutants offered fortransportation byvessel display theMarine Pollutantmark?172.32236Is each package172.324containing a hazardoussubstance marked withthe letters "RQ" andthe name of thehazardous substance?N/A33NO49 CFR §YESITEMRequirementCommentsLABELING37Does each non-bulkpackage display thehazard labels requiredby column 6 of theHazardous MaterialsTable?172.40038Are labels affixed onthe same face as theproper shipping name,if the package is bigenough?172.406(a)39Are primary and172.406(c)subsidiary labels within6 inches of oneanother?DGI Training Centerdgitc@dgitraining.com – 800.338.2291Rev 2/28/14Audit Checklistpg. 7
Do labels meetspecifications?172.407N/A40NO49 CFR §YESITEMRequirementCommentsMARKING - BULKPACKAGES41Is each bulk packagingproperly marked withthe identificationnumber?172.30242Are materials that arepoisonous byinhalation marked"Inhalation hazard"?172.31343Is each bulk packagemarked with theMARINE POLLUTANTmark when required?172.32244Is each packagecontaining an elevatedtemperature materialproperly marked"HOT"?172.32545Is each portable tankmarked with theproper shipping name?172.32646Is each cargo tankproperly marked?172.32847Is each tank car andmulti-unit tank cartank properly marked?172.3348Are other bulkpackagings properlymarked?172.331PLACARDING49Are all bulk packagesproperly placarded?172.505 &172.514DGI Training Centerdgitc@dgitraining.com – 800.338.2291Rev 2/28/14Audit Checklistpg. 8
Are placards offeredfor any amount of amaterial covered byTable 1?172.504(a) &172.50651Are placards offeredfor shipments of 1,000lb. or more aggregategross weight of Table 2hazards?172.504(c) &172.50652If the "Dangerous"placard is used, is usedproperly?172.504(b)53Are subsidiary placardsoffered whenrequired?172.50554For rail shipments, areplacards on a whitesquare backgroundoffered whenrequired?172.51055Do placards offered oraffixed meet therequiredspecifications?172.519N/A50NO49 CFR §YESITEMRequirementCommentsOVERPACKS56Do all overpackscontain materials thatwill not reactdangerously with eachother?173.25(a)(1)57Are any marks orlabels not visible onthe packagesreproduced on theoverpack?173.25(a)(2)58Are packages properlyoriented within theoverpack?173.25(a)(3)DGI Training Centerdgitc@dgitraining.com – 800.338.2291Rev 2/28/14Audit Checklistpg. 9
Is each overpackmarked with"OVERPACK" when therequired specificationmark is not visible?173.25(a)(4)60Do overpacks containmaterials whichrequire segregation?177.848N/A59NO49 CFR §YESITEMRequirementCommentsPACKAGING GENERAL61Are Salvage packagingsbeing properly used?173.3(c)62Is the Small Quantityexception properlyapplied anddocumented?173.463Does the facility utilizethe MATERIALS OFTRADE exception?173.664Are packagings offeredunder the terms ofSPECIAL PERMIT?173.22a65Do all packagings(specification and nonspecification) meet thegeneral Requirementsfor packagings andpackages?173.2466Are all packagings usedauthorized by theregulations?173.24(c)67Do non-bulkpackagings meet thegeneral requirementsfor closures, securingand filling limits.173.24aDGI Training Centerdgitc@dgitraining.com – 800.338.2291Rev 2/28/14Audit Checklistpg. 10
Do bulk packagings173.24bmeet the requirementsfor outage and fillinglimits?69Do hazardousmaterials offered forair transport complywith 173.27?173.2770Do reused packagingsmeet the applicablestandards?173.2871Are empty packagingsproperly marked,labeled anddocumented?173.2972Does the use of tankcars comply with173.31?173.3173Does the use ofportable tanks complywith 173.32?173.3274Do hazardousmaterials in IBCscomply with 173.35?173.35N/A68NO49 CFR §YESITEMRequirementCommentsUN SPECIFICATIONPACKAGING75Is the UN specificationcode durably andlegibly marked on eachspecificationpackaging?178.503(a)76Is each UNSpecificationpackaging assemble inaccordance with theinformation providedby the manufacturer?178.601(b),173.22 &178.2DGI Training Centerdgitc@dgitraining.com – 800.338.2291Rev 2/28/14Audit Checklistpg. 11
Are copies of closureinstructions beingmaintained for 90days?173.22(a)(4)(ii)N/A77NO49 CFR §YESITEMRequirementCommentsCLASSIFICATION78Do hazardousmaterials appear to beproperly classified?173.50,173.115 173.144DGI Training Centerdgitc@dgitraining.com – 800.338.2291Rev 2/28/14Audit Checklistpg. 12
C1C2C3C4C5C6C7C8C9Is an ERAP required for anymaterials offered orimported?Is the ERAP ref. number onthe shipping document?Are reporting requirementsfor Accidental Releaseunderstood?Are imported dangerousgoods reshipped in Canada?Is a notation on shippingpapers used for alternatesafety marks?When Class 3 is transportedby ship, is the flash pointdisplayed on the smallpackage.Is the 150kg Gross MassExemption used?Is the 500kg Gross MassExemption used?Is the Limited QuantityExemption used?N/ANOYESITEMADDITIONAL REQUIREMENTS PER 9.4(1)9.4(2)4.131.151.161.17DGI Training Centerdgitc@dgitraining.com – 800.338.2291Rev 2/28/14Audit Checklistpg. 13
LIST OF EMPLOYEES email:DateNameDGI Training Centerdgitc@dgitraining.com – 800.338.2291Rev 2/28/14TitleAreas ofresponsibilityAudit Checklistpg. 14
5 Are all "Hazmat" employees trained as required? 172.704(a) General Awareness Function Specific Safety Security Awareness . DGI Training Center Audit Checklist dgitc@dgitraining.com - 800.338.2291 Rev 2/28/14 pg. 9 EM Requirement 49 CFR § YES NO A Comments 50 Are placards offered .
