Shipping Qualification


1.      Introduction

The purpose of this SOP is to describe the procedure that should be followed during all shipping Qualification (SQ) activities.

2.      Scope

This SOP applies to the qualification of all shipping configurations. This includes, and not limited to, intermediates, finished goods (full and partial load) and cold chain shipping configurations.

This SOP will provide guidance on the evaluation and qualification of shipping units in accordance with a uniform method, using established test methods at levels representative of those occurring in actual distribution.

The methods used to design a SQ are based on industry standards. These standards are created by the American Society for Testing Materials (ASTM) and/or International Safe Transit Association (ISTA). The most common method used is ASTM D 4169: Standard Practice for Performance Testing of Shipping Containers and Systems. However, ISTA creates a variety of methods that can be followed for more specific situations.

3.      Responsibilities

The packaging engineer, or equivalent, is responsible for managing the SQ which includes and not limited to writing the SQ protocol, procurement of test materials, coordinating execution of the test, and writing the SQ report. The packaging engineer will determine the need for performing the SQ and the type of testing to be performed during the SQ.

The Quality Unit is responsible for the review and approval of the SQ Protocol and SQ Report.

4.      Definitions

  • Assurance level as defined in ASTM D 4169 – The level of test intensity based on it’s probability of occurring in typical distribution. Note: there are three test intensity levels. Level 1 is a high level with low probability of occurrence. Level 3 is a low level, but has a correspondingly high probability of occurrence. Level 2 is between the two extremes.
  • ASTM – Acronym for American Society for Testing and Materials. ASTM is an international organisation that develops and publishes technical standards for materials, products, systems and services.
  • ISTA – Acronym for international Safe Transit Association. ISTA is an organisation that develops and publishes a variety of technical tests that are used for the analysis of package performance during transit.
  • LTL – Acronym for less than truckload.
  • Shipping Qualification – A shipping qualification is a written plan used to qualify a specified shipping configuration and packaging components. The qualification includes testing, sampling, inspection against pre-approved acceptance criteria. Shipping qualifications are used to demonstrate that the product and packaging will be able to withstand the rigors of the distribution environment.
  • Shipping study – A shipping study is used to gather data. It is not used for qualification on a shipping system.
  • Shipping unit – The smallest complete unit that will be subjected to the distribution environment. An example of a shipping unit is a shipping container and its contents.
  • Test plan – A specific listing of the test sequence to be followed to simulate the hazards anticipated during the distribution cycle of a shipping unit. This includes the test intensity and number of sequential tests.
  • Test Schedule – In ASTM D 4169, the test schedule refers to the specific procedure used, including the three assurance level intensities.

5.      General Information

A SQ is generally required whenever there is a change to packaging that could affect the form, fit or function of the product during storage and shipment. A shipping qualification is necessary whenever designing the packaging for a new product. The testing is performed by subjecting the shipping units to a test plan consisting of a sequence of anticipated hazard elements encountered in various distribution cycles.

ASTM and ISTA tests provide a guide for evaluating shipping units using established test methods at levels representative of those occurring in actual distribution. The test levels are based on available information on the shipping environment, and current industry/government practice and experience. The tests should be performed sequentially on the same containers.

Test deviations that are encountered should be recorded on a protocol deviation form and included in the final report.

6.      Procedure

Define the shipping unit. Describe it in terms of size, weight and materials of construction. Describe if the container construction is designed with stress bearing interior packaging or if the product will support any of the load.

6.1 Materials of Construction

Determine if the shipping unit will be handled manually or mechanically. Manual handling should be used to test single containers, small parcels or shipping containers weighing up to 200lbs. Mechanical handling should be used to test unitised loads, large cases and crates and shipping containers that are handled by mechanical equipment.

6.2 Method of Transportation

Identify whether the shipping unit will be shipped using identical shipping units or using mixed commodities. Identical shipping units are usually shipped on pallet loads. Mixed commodities are usually shipped in an LTL or small package delivery environment. This information will be required for calculating the theoretical load during warehouse stacking and/or vehicle stacking. Also identify method of shipping (i.e. truck, rail, air or any combination of these). This information will be necessary for determining vehicle vibration.

If the shipping units are identical and they will be shipped as a unitised load, it is possible to perform the SQ using one shipping unit by following ASTM or ISTA test procedures to simulate a unitised load.

6.3 Conditioning

Different atmospheric and/or climatic conditions are likely to exist between the origin and destination points of a distribution cycle. This may have an effect on the performance characteristics for the product and/or packaging. The packaging engineer should evaluate these conditions and the need for conditioning. If conditioning is necessary for the SQ, the following procedures can be followed for conditioning:

  • Conduct the test at standard conditions and compensate for the effects of any climatic conditions. Condition the shipping unit(s) to a standard atmosphere of

23 ± 1oC (73.4 ± 2oF) and 50 ± 2% relative humidity. Condition fibreboard containers in accordance with ASTM D 4332: standard practice for conditioning containers, packages or packaging components for testing. A conditioning period of 72 hours, or sufficient time to reach equilibrium of all parts of the package and product is recommended. Test should be conducted in the conditioned atmosphere whenever possible. If not possible, conduct the test as soon after removal from the conditioning atmosphere as practicable. Recondition the shipping units to the standard atmosphere as necessary during the test plan.

  • It may be necessary to conduct some or all of the tests at special climatic conditions, such as tropical, desert, cold and/or ambient. A conditioning period of 72 hours, or sufficient time to reach equilibrium of all parts of the package

and product is recommended. Tests should be conducted in the conditioned atmosphere whenever possible. If this is not possible, conduct the tests as soon after removal from the conditioning atmosphere as practicable. Recondition the shipping units to the standard atmosphere as necessary during the test plan.

6.4 Altitude

Evaluate if the shipping unit will experience conditions such as low pressure (high altitude). This is important when packaged products are transported via feeder aircraft (potentially non-pressurised) or by ground over mountain passes. Test method ASTM D6653 can be used to perform a low pressure test. If expected altitude levels are unknown, us 4,267m (14,000 ft.) for a period of 60 minutes.

6.5 Test Specimen

The test specimens that are used during a SQ should be representative samples of the complete shipping units, including the contents. “Dummy” test loads are acceptable if testing the actual product might be hazardous and is representative of the load. Ideally, actual labelling components are used for the SQ; however, this may not always be possible or practical. In the event actual labelling components are not used, then labelling test components may be used. All components need to be representative of the design and materials of construction for actual/expected commercial components. Avoid unnecessary pre-handling that may damage the components and inspect all components before testing.

6.6 Test Design

After the information in 6.5 has been defined, determine if the test design will be based on ASTM D 4169 or an ISTA test method. Design the testing based on the test method that is chosen.

6.7 Acceptance Criteria

Establish acceptance criteria prior to testing and consider the required condition of the product and package at receipt. Determine if acceptance criteria will be based on a sampling plan. Depending on the objective of the SQ different criteria may be used provided it is justified in the protocol.

6.8 Protocol Generation

After the information in 6.7 has been determined, the packaging engineer should create a protocol using the following format:

Cover sheet/approval page – include the document title, document number, author, approvers name and title, and space for approval signatures.

Table of contents – a numbered list of sections in the protocol.

6.9 Review and Approval

The designated departments are to review and approve the SQ Protocol. When the protocol is approved, the execution of the SQ protocol can begin.

6.10 Execution of Protocol

The packaging engineer is to procure the test materials and coordinate the activities necessary to execute the protocol. Any deviations to the protocol are to be recorded and included in the report.

6.11 Report Generation

When the testing is complete and all data is collected, the packaging engineer should analyse and discuss the results in a SQ report. The report is to be written using the following format:

Summary – A brief explanation of why the study was performed, the protocol that was used, and the test configuration that was used. Include a brief description of the results(s) and further recommendation(s).

6.12 Report Approval

The designated departments are to review and approve the SQ Report.

6.13 Packaging Configuration Approval

Once the SQ Report is approved, a decision could be made based on the recommendation(s) from the report. If the product/package configuration(s) are satisfactorily qualified, the proposed changes can be implemented and the necessary activities to implement the change can begin.

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