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SERVED MARCH 28, 2011 

UNITED STATES DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, D. C. 

) 

FEDERAL AVIATION ADMINISTRATION,) 

) 

Complainant, ) FAA DOCKET No. CP09NM0009 

) 

V. ) (Civil Penalty Action) 

) 

EMPIRE AIRLINES, INC., ) 

) 

Respondent. ) DMS No. FAA-2009-0586 

) 

INITIAL DECISION 

OF ADMINISTRATIVE LAW JUDGE RICHARD C. GOODWIN 

Found: 1) Respondent violated 49 C.F.R. §§175.3, § 175.30(a)(2), and 175.30(a)(3) as 

charged; 

2) Complainant failed to prove a violation of §175.33(c)(3); 

3) The charge of violating 49 C.F.R. §175.33(c)(3) is dismissed; and 

4) Respondent is hereby assessed a civil penalty of $12,000. 

I. Background 

Respondent, Empire Airlines, Inc., ("Respondent" or "Empire"), of Hayden, ID, 

is an air carrier authorized to carry cargo under Parts 121 and 135. Complainant, 

Federal Aviation Administration, ("Complainant," "FAA," or "the agency") has 

charged the carrier with several violations of the Department's Hazardous Materials 

Regulations ("HMRs"), 49 CFR §§171-178. The allegations pertain to two flights. 

One charge involves the first flight. In the first flight the FAA avers that the location 

of hazardous materials on board had not been properly documented (see Exh. C-10; 

Jr. 166-68). The remaining charges apply to the second flight. In the second flight, 

the FAA alleges that agents of Empire accepted and shipped two boxes of a certain 

sanitizing gel, a hazardous material ("hazmat"). The boxes allegedly 1) contained 

improper markings and 2) lacked mandatory shipping papers. 
0 

In the Complaint, as amen 

Empire with violating 49 C.F.R. §§ 

175.30(a)(3). It is the §175.33(c)( 

failed in its obligation to retain a 

board and specifying their location ,J 

"readily accessible" at both the ai 

arrival. The remaining allegations 

a hazardous material that has not 

accepted, or transported in air tram 

hazardous material to be accepted 

ensures that it is described on a sh 

requirements. Finally, §175.30(a)( 

transportation unless the aircraft o| 

marked and labeled as required. P 

asks for a total civil penalty of $20, 

Respondent denied the charges, 

(Exh. C-11; Resp. Br, pp. 12-13; Tr; 12) 

A hearing was held on October 2|i 

a written decision was reasonable aid 

parties have each filed opening briem, 

proof, has also filed a rebuttal brief. ^' 

I find and conclude that Comj 

violation (the charge relating to the 

Complainant proved the remaining 

circumstances of this case warrant a 

in (Tr. 6-7), the agenj^JSharged 

175.30(a)(2), andl 

Ins to the JTirsst 

diescribftig l|)|i 

The shipping pil 

1^6 intendcKl i i 

\ht Secij« 

for shipment 

475.30(a)(2) d06| 

n unless the airci 

nee with 

ijance of ha0fi 

materitii^ 

:§5123(a)(1),tti^ 

Empire 

dts on 

IftiUstbe 

prohibits 

l^red , 

lAllowa 

rator 

m 

tliat no civil penalty is justified 

Pjpitland, OR. I determir^ that 

,tt)e circumstanois; The 

, which has the iniN^n of 

m the alleged §175J3$(cK3) 

me facts artd 

RespondgmtilEI^^OOO. 

I I . Discussion and Findings i j .?;';i%>.» 'w ,i: r-; 

A. The First Flight s - , li«?<?:^-.<- <>• v>*' 

tJ# > 

1. The Evidence 

FAA special agent DonakJ Sti 

Augu8||^ 2007, he and his superVifS 

undertilin a routine ramp inspactioi 

were Q^>^rVing off-loading operation: 

In PotTOfiit)R. became their focus. , .,,,, 

yhfi flight was part of Empire's 

Empirai^lprates on behalf of FedEx li 

' /A.-d-'x 

' ComplaW^'A Brief will be noted as "Compl. Br^' 

Rebuttallfilf a(s "Compl. Rebut." ^ 

iht ttiat' 

ral ExpfiBj^l^ 

traffic^ 

Br."; and Coi»|p]it|p|Bl''-
a FedEx trunk aircraft. The aircraft was adorned with FedEx colors and logo, but it 

was operated by Empire and used an Empire crew (Tr. 46, 67-69, 134, 168-69, 186; 

Exhs. C-11 andC-15). 

The agents determined that the records provided them failed to state the 

correct location of dangerous goods^ on the flight. These records, known as an 

Inbound Dangerous Goods Alert and an Auto DG Manifest, stated that all the flight's 

hazmats had been loaded onto the main deck (Exh. C-2; Tr. 23-25). However, the 

inspectors observed the dangerous goods - five packages of Class 8 hazardous 

materials labeled as corrosives - being unloaded from Pod C. Pod C is the aft 

center pod below the main deck (Exhs. C-1 and C-4, p. 4). 

The agents learned that the hazmats originally had been loaded onto the 

main deck, as the papers given them had stated. But the pilot had decided prior to 

takeoff from Portland to move them to Pod C. (Pilots have the authority to make 

such changes (Tr. 30, 162, 191-92)). 

Empire uses a computer system known as Auto DG to enter hazmat data. 

Auto DG is a product of Federal Express (Tr. 80-81). Only FedEx employees have 

access to the system, and only FedEx personnel trained in the system can update it. 

Conversely, a discrepancy could not be corrected by a non-FedEx employee (Tr. 

146-49, 175; Exh. C-11, p. 41). 

A FedEx dangerous-goods specialist in Portland made a paper entry 

reflecting the change. The new location was noted on a document known as a 

Feeder Aircraft Load Control Sheet ("Load Control Sheet"). The pilot signed off on 

the change and was given a copy of the Load Control Sheet. But no computer entry 

reflecting the change was put into the Auto DG system. As a result the updated data 

was not sent downline. That is why the records the agents obtained at the airport of 

arrival, Medford, reflected the hazmats' old location (Exhs. C-1, C-2, C-3, C-4, p. 4 

and C-11; Tr. 17-40, 81, 162-63, 179-80, 190-92). 

2. Arguments of the Parties 

Empire argues that, under the circumstances described, it is not responsible 

for the violation. The failure of the downline station to show the hazmats' changed 

location simply is not its fault, it states. The responsibility lay with Federal Express 

and only with Federal Express. 

Empire pilots - and the pilot operating this flight was employed by Empire ~ 

must ensure that their paperwork reflects accurately the nature, amount, and 

location of hazmats on board their ship. Pilots take charge of this process. But 

Empire's responsibilities. Respondent contends, do not extend to ensuring that any 

^ The term "dangerous goods," as used in the International Civil Aviation Organization (ICAO) Technical 

Instructions, is interchangeable with the term "hazardous material" as defined in 49 C.F.R. §171.8. See 

also Empire's General Operations Manual, Exh. C-11, p. 8, ^D ("The terms Dangerous Goods and 

Hazardous Materials are synonymous and may be used interchangeably."). 
:\lj  

&,, 

changas made are reflected in a Q 

by anpttier entity (Tr. 52, 80, 169 

was FedEx' sole responsibility to e 

its expectation that FedEx personn|tl 

FedEx personnel had the authority 

under thase circumstances be hafa^l 

To a^^de responsibility to Emptira; 

a duty on its pilot to "follow the DG 

entries «(ere transcribed" (Exh, C-11? 

cannot fajriy be stretched that far."' 

Complainant countered that 

an indapendent duty to abide j^y thi 

anottiar, carrier's tracking system vw 

carrier finite discrete responsibfttty 

the FAA contends (Compl. Br., pp. 

3. Decision 

J Will dismiss this charge. I 

circumstances, it may not be haid li 

hazmats' location failed to be reflect 

.controiiad, 

ilasponde^' 

i d that Emp'mWi 

(l^esp. Br., p. 10; 

new dnia^ 

nce/tl 

p^uldj i 

rllffisa tO'fti 

itend€ 

Kiaid liable. R^ 

ictthat 

ofan« 

be only 

^nnot 

irldsr 

Ing : 

ihual 

itions 

.iTi.^^'•'T'\i'J '>< ' • '''^^%«- ^ -

that, in the ^ r^rtsi-il e' 

f^th8t#^#i|^(|i n the 

The operative regulation, §1 

ensure that data showing the tocatioi 

the, op«|rator's destination. But the 

everyifiilture of perfonnance. I <y.i i 

Empire, as Complainant strai 

com^nce with the HMRs. Thacai 

or "MartuaO as well as the HMRs coi 

9). Indeed, this responsibility is so ci 

exercise the highest possible degree 

e.g., Alaska Airlines, Inc., FAA Order 

1984), f)«^. Yet the regulations. aiSQ 

provi^J^y another entity when it j ^ 

is su(iiJ^uation. Empire obtsrinnd 

hold that it was reasonable to assumi 

be made in due course by the FedEx 

step, talip routinely. The risk ctfiKin* 

to Empile (^pmparatively great. The 

operatoliMih a duty to investlgato am 

investlOliNNi would have revealed 

\^^^:<^ ^ 

poaximX be 

4 ^ opeipl 

itbfts 

j^j . '8; see O 

i H r carrier's di 

•fffint hfi ficilftfir 

p L 3198210 0 j 

miyon 

,F,R. 

m 

^jitwasapu 

andthi 

Z=>''W^'-^'»^' 

^ Respondi^ja]«Q stated that in the fiiture it;Woi 

reflecting hazmat placement. Tr. 180. ^ -mAt' 

« cam<M' 4 
The fact, moreover, that Empire has since implemented a method of ensuring 

that this situation is not repeated should not suggest that the carrier was duty-bound 

to employ the method in the first place. Hindsight is 20-20. Respondent was not 

obligated to take steps to forestall this possibility. 

For all these reasons, I decline to find a violation of §175.33(c)(3). I will 

dismiss this charge.^ 

B. The Second Flight 

1. The Evidence 

The FAA agents also claimed violations pertaining to a second PortlandMedford flight Empire had operated on August 22, 2007. The agents determined 

that Empire had tendered and shipped two fiberboard boxes marked on both sides 

"CONSUMER COMMODITY ORM-D." (Caps in original). A FedEx official at the 

Medford airport opened the boxes. Each contained one case (24 bottles) of 354-

milliliter plastic bottles of Nexium Hand Sanitizing Gel ("Gel"), a hazardous material 

(Exhs. C-1 and C-8; Tr. 49-54). Because of the presence of hazmats, the agents 

concluded that the markings were improper. Nor were the packages accompanied 

by hazardous materials shipping papers. 

The Gel had begun its journey in Baltimore the day before, on August 21, 

2007. It had traveled to Memphis on Federal Express and then was put on a flight to 

Portland, OR before the FAA agents observed the packages at the final air 

destination, Medford, OR, the following day. The packages were to be delivered to a 

customer of AstraZeneca Pharmaceuticals LP ("AstraZeneca"), the original shipper, 

in Jacksonville, OR (Exhs. C-1, C-7). 

The Gel product is described generically as an antibacterial hand gel. It is 

classified as a hazardous material on account of its alcohol content. The product's 

Material Safety Data Sheet ("MSDS") indicates that it contains as much as 62% ethyl 

alcohol by volume. The Gel's flashpoint is 74° Fahrenheit (23° Celsius). Agent 

Stiger testified that this item is properly classed as a Class 3 flammable liquid. It is 

formally categorized in the Hazardous Materials Table ("Table") as a Flammable 

Material in Packing Group III. Its UN identification number is UN 1170 (Exh. C-9; Tr. 

54-59,71). 

2. Arguments of the Parties 

Agent Stiger testified that an "ORM-D" marking on a box means that the 

material inside is hazardous (Tr. 53). ("ORM-D" is an authorized marking standing 

'' The pilot, as seen, had the correct information on board. But it was not "readily accessible" as the 

regulation requires ~ particularly in a situation in which it would be needed most, an actual emergency. 

Pilots in emergency situations are trained to leave the aircraft as quickly as possible. The risk of leaving 

documents behind in that event clearly would be too great to suggest that the paper record in the pilot's 

possession satisfied regulatory requirements. See Tr. 33-35. 
mw

« 

for "other regulated material." 49 CiF.I 

penriitted to move by ground or rail 

trari^ldrtation (Tr. 50,151; Exh, Cj^ , 

a general matter are properiy marked 

noted is that a hazardous material pai 

intended for transportation by air mjiS^i^ 

C.F.R. §§172.200(a) and (b)). ButBiOTB 

Dangerous Goods Aleri: and the aircraft 

were on board (Exhs. C-5, C-6; Tr. ^1*44, 

type c^ps, were not securely held vith a|; 

HMRs requires. This is significant t^cai' 

reclassified as ORM-D Air. In'such til 

classification - in this case, a Class ^ 

that flie shipment had not been desaH0 

HMRs 

Empire countered that no vi 

and loading processes, it pointed oi 

Expre^. FedEx personnel also do 

responlfOtiiity for the violations, it» 

flies tiifi p^ne canying the FedEx E: 

(Exh. C-11, p. 41; Tr. 60-61,176, 18 

Enipire concedes that (in con' 

had suj^ehdsed the loading process, 

because the dimensional manner in 

prdven^d him from seeing the area 

2; Tr.S^flSI, 189-90; see Exh. C-8, 

reason to suspect hazmats. Respond 

for these boxes (Tr. 53,182; Resp. B^. 

cues a30k\g the pilot to such a sltii 

says, ^filGIt extend to examinir|| evi 

During^qiiFng he or she is concami 

(Tr. 182)L^IMore0ver, the package hi 

any tyfie of inspection for acceptance' 

3. Decision 

I find the violations. 

Respondent's arguments cannj 

Empire ftll^li full and independent 

a n* Element of its status as^igi! 

ififi t^p merited, au^ 

igi^n g Is notntll 

t?§172.101).: 

ler deficJenoy^^ 

I-D that is oflen^ | r 

by a shipping^ml ^ 

papers. Tha^G^jmlMNMind 

iSH||N|^|^t had indicated tHat^ f jBiJEmats 

" lalljr. the t70t^s« Wl^lfMM^ ncrewiriaans of control as $ i Jl^ T of the 

''itK^%4bien could nqtms l been 

'^' - Iverttothebaaa, , 

* Cpnriplai^jayt^llii^ded 

Quired # 

. to it. titl( 

l^rseen m t 

Reap 

phe point i^l 

jequirei 

; ^ n flie ^, 

&aced 0^' 

(Were afflx(' 

*-7). And,,. 

iiise there was 

p, 8 n. 2), 

paptain^s 

d-balan> 

hothav4 

^n.M|rf^-. 

^fjl^'if^k * : • 

' Tr. 54-56, «6; Exh. C-8. 49 C.F.R. §173.27(d) 

closures to^'h^ held securely, tightly and el 

on any p(^^si $ must be secured to prevrait 

intempei 
materials. 49 C.F.R. §171.1. The obligation, moreover also is required by the 

carrier's GOM (Exh. C-11, pps. 6-44; Tr. 62, 98). Empire simply is responsible for 

identifying HMRs aboard aircraft it operates (Tr. 99-100). 

More specifically, the HMRs require aircraft operators to ensure that hazmats 

are authorized for transportation by air and are properiy described and marked. 49 

C.F.R. §175.30. The GOM directs Empire personnel to verify that the outside of 

packages tendered to it are properiy marked. It cautions that packages may not be 

loaded "unless the shipment has met acceptance and packaging requirements."^ 

Non-compliant hazmats must be rejected. These responsibilities are fully Empire's; 

they are not delegable or transferable. 

The GOM does note that FedEx personnel perform the loading. But the 

Manual underscores that is the responsibility of Empire crewmembers to oversee the 

process: "A crewmember must supervise the loading of DG," the Manual states 

(Exh. C-11, p. 41,11A.2; Tr. 65-66, 100, 188). Empire's pilots perform this 

supervision (Tr. 100). In these circumstances, the actual loaders, no matter by 

whom employed, act as Empire's agents. Empire is responsible for the result. That 

the boxes were loaded at an angle which made it difficult to observe the entire 

outside of the boxes, and that the existing documentation failed to alert the pilot to 

the hazmats, made the pilot's duty of scrutiny trickier, to be sure; but these 

circumstances do not absolve Empire of liability for the resulting violations. 

For the reasons stated, I find and conclude that Empire violated HMRs 

§§175.3, 175.30(a)(2), and 175.30(a)(3). 

III. Penalty 

We now turn to the issue of civil penalty. 

A. Factors 

Determination of an appropriate civil penalty involves a number of factors. 

The decisionmaker must weigh "the nature, circumstances, extent, and gravity of the 

violationfs]," and, with respect to the violator, "the degree of culpability, any history of 

prior violations, [and] the ability to pay" as well as "other matters that justice requires" 

(49 U.S.C. §5123(c); see Tr. 62). The principal elements in this analysis are the 

nature of the respondent's conduct and the totality of the circumstances. 

Envirosolve, LLC, FAA Order No. 2006-2 (February 7, 2006), p. 13. 

The Administrator has provided policy guidance for agency employees to 

follow when recommending an appropriate civil penalty in hazardous-materials 

cases. It has published penalty guidelines. The guidelines, contained in FAA Order 

2150.3A, assess all relevant statutory criteria, including mitigating and aggravating 

* Exh. C-11, pp. 11, 12, 13; Tr. 62-65, 99. While "ORM-D" properly is considered a marking and not a 

label, the GOM categorized it as a label. Exh. C-11, p. 11; Tr. 63-64. 
circumstances. The guidelines 

throiigh a Sanction Guidance M; 

each input, cross-referencing sui 

examiple, whether it is a business 

risi^i^Cllliarm posed by the goods 0! 

noneiieless does not reflect mere 

guidanoejtable is intended to indii 

civil fiinalty ranges appropriate 

Service. Inc., FAA Order No. 2008 

13. Nprpre the guidelines binding, 

variables, is unique. "Evaluation of 

the totality of the facts and circums! 

t*8 penalty di 

Ispeclfic 

i^ftheresj 

hazmats) 

j^anction 

:eomput 

'generai^j 

tons. Pdi' 

I). 2008^^1*^ 

Jdependa^ 

"emphaijf" 

>An administrative law judge 

Policy is^^intended for the guidance 

personnel. Folsom's, supra, p. 14. 

ALJ determines (subject to agency 

and fio , in what amount. TheGu 

expressipn of agency sanction poflld 

consialant results in similar casas 

impose the agency's sanction poltey 

is not consistent with the Guideline^. 

2000-3 (February 3, 2000), p. 20; /Vi 

(November 7, 1990), pp. 8-10. 

Additional factors inform the 

car'riers are held to a high duty of ca 

services with "the highest possible sti 

16. This degree of care devolves froi 

maximum extent possible, the safety 

others involved in transportation by a 

Hazardous materials require 

very nature. The risk of hami must 

possit||||grave consequences ofem^ 

! are oxgi^ted to conform to the h^fi i 

answeifii appropriate measure If the; 

On account of hazmats' ihhei 

of proteqtion to minimize the risl< for. 

such materials. Flammable materials, 

^ FAA PoUcytm Enforcement of the Hazardous 

'I9443,^jy|||t4999 WL 226610 (F.R,) (Apdl 2 

pn AptiiMii^^ , as Change 26, Appendix 6 

iat www:py<yj)o.iBia.gov and was submitted in 

By Order 215p.3B, eflfective October 1,2007 

old. Sinq^j^p^ons involved in diis mmet 

applicable. Sfe 72 Fed.Reg. 55853 (October 1, 

notion 

the 

IMo n 

'th-i!^' 

Ho^iiowm 

" id AUs '" 

depenqi 

lehalty i|B 

k be rei 

ilforttopi 

isses a j 

(, Inc., 

Order No. 1( 

H I ^propriate civil P^l^ - Air 

'"^ JQdiigated to P9i^|^Hi#ir 

W^' *-9'-' '^o'^om^^pR'p. 

toassi, 

rpaWen^dM; WW, and 

are dajij 

iinthium 

, ooncorni 

Ive'riBeiy tf 

m, 

2150;! 

as Exhibit C-12. 

£uid0ljq«oim||^DU||h» 

i.OfderaiSa^'TM^"^' 
if they come in contact with a heat source. Such circumstances could threaten the 

integrity of the flight itself. 

B. Complainant's Position 

Complainant has asked for a levy of $20,000 on all charges. It bears the 

burden of proving the appropriateness of this amount by a preponderance of the 

evidence. Phillips Building Supply, FAA Order No. 2000-20 (August 11, 2000), p. 8. 

The penalty guidelines place the type of flammable liquid involved in this case 

in packing group III in the medium-risk category of the matrix, known as Category 

"B." Category B materials are materials that "may not pose an immediate threat to 

the safety of a flight, but can cause death or injury to persons due to unintended 

releases in aircraft cabin areas, and potential damage to aircraft structures over a 

longer period of time,..." They are given moderate weight for assessment 

purposes (64 Fed.Reg. 19443, 19449 (April 21, 1999); Exh. C-12, p. 7; Tr. 71, 86-

87). Respondent's marking and notification violations created a serious risk of 

danger, the agency says. The rules' prohibition of air carriage represents a 

detennination that the product, as shipped, was too dangerous for air travel. There 

were two violations, or one per shipment, stemming from the lack of shipping papers, 

and two violations for improper markings (Tr. 71-72). 

The agency also determined for assessment purposes that Empire was a 

"Group 2" carrier, as measured by the number of its pilots and the number of aircraft 

it operates (Tr. 73-74; Exh. C-12, p. 8). 

Finally, Complainant accounted for a mitigating factor: an entity other than the 

violator prepared the shipment. Respondent relied on incorrect information from 

another source. This factor suggests a minimum weight (Tr. 72-73). 

Respondent's violation history also was considered. It had none, but that 

circumstance is not considered mitigating (Tr. 73, 107). A violation-free history is 

expected to be the norm. Toyota Motor Sales, USA, Inc., FAA Order No. 94-28 

(September 30, 1994). 

For the second flight - the only flight in which violations are found - the 

guidelines suggest a sanction in the range of $5,000 to $27,500 for each of the four 

found violations (Tr. 74). So the sanction range is $20,000 to $110,000. Yet even if 

each shipment on the second flight is considered as one violation, for a total of two, 

the sanction range becomes $10,000 to $55,000 (Tr. 76). 

In taking all factors in consideration, including corrective action undertaken by 

Respondent, the agency concludes that its proposed assessment of $20,000 (which, 

of course, includes the allegation which was not proven) appropriately reflects all the 

salient circumstances, is "eminently reasonable," and even is low (Tr. 75-77; Compl. 

Br., p. 16). 
c. Respondent's PpsitiQn ; . ^'t^iH" 

Empire noted that neither of |ha,j^: 

intact. Neither box caused any da 

Additionally, the carrier had 

emphasized the difficulties in spottii 

it fails i(o understand why it received 

circumStarices (Resp. Br., p. 14). 

4 '.^ J. ' 

Th^ packaging r6n|aihed 

As stated 

D.,p.0.'«' 

under all 

D. J2££isiim 

i have decided to assess a toJ 

that tbif aniount appropriately reflei 

the of^hding shipments. 

Any package containing haza 

confomi to the HMRs introduces an i 

into tiiej|tream of air commerce. Fla 

The vlQlations presented a significap 

facts aiid circumstances warrant a c< 

I give no weight to Resppnde 

troub|fe»)ifTie result flowed from its fail 

fortuitous circumstances which do nol 

any of the shipments would have con 

(64 Fedpeg. 19443, 19445 (April 21 

Express: was involved in inspecting ai 

may also have been at fault, simply 

matter. Empire as the operator was ii 

permittiriO: these packages to entetr tbi 

shipping Pipers, however, must l>e 

warnin^jliat hazmats were on b^rd.ft'^ 

one's giJari and fall to look for proble^S'^ 

otherwise. The fact itself that Empire te^WSS^I ^ 

1^)00. Ifiraljri 

mstane^ 

fails to 

ibiypei 

very n^ 

WirtFansj 

^atcorotti; 

pack) 

(harm 

factor (Exh 

fact 

liriai 

responsible ^ 

an extent. 

JFJlially, civil penalties levied ii) 

Yet as|i|/^ministrator has said> I t 

cases bicliUse there are so many va 

Inc., FAA Order No. 1999-14 (DeoemI 

AirSeo^^Inc, FAA Order No. 200^ 

base J^^ ^ amounts have beennaj 

ladjustpllpivard fl^m time to time to 

|penall^^ a single violation of 49 U-

^ComptttPiant brought this base, was 

^ e n td^^,000 for violations occurrinj 

^13.305 Isliowing changes in minimu 

it excui 

lance oi 

thfbmiation also 

f^evant 

. 20 quotefl in i 

.p. 21: 

fl'iaars, 

inaxii 

atat 

$^,000 

Seel' 

amounts). (fl||fa)»ful 
11 

to note, nonetheless, the decision in the noted cases, which, like the present matter, 

involved two nonconforming units. The Respondent in Toyota Motor Sales, USA, 

Inc., was fined $50,000 for an undeclared shipment of two "wet" automobile 

batteries. FAA Order No. 94-28 (September 30, 1994). The respondent in Midtown 

Neon Sign Corporation, FAA Order No. 1996-26 (August 13, 1996) was fined 

$25,000 for an undeclared (and leaking) shipment of two 1-gallon cans of paint. 

I have considered all other arguments advanced by both parties. Those not 

discussed are rejected as without merit. 

In weighing the all the facts and circumstances, I find and conclude that a civil 

penalty assessment of $12,000 is warranted. This amount appropriately reflects the 

nature and extent of the risk to air transportation safety created by Empire, while 

giving appropriate weight to other salient factors. The risk of harm that Respondent 

brought to air transportation was significant. It allowed into the stream of air 

commerce flammable liquids considered so perilous that they were prohibited from 

traveling by air. On the other hand, mitigating circumstances, as discussed above, 

also were present. I believe a civil penalty of $3,000 for each of the four found 

violations (two per package), or $12,000 in total, is appropriate. 

The civil penalty levied will, I find, achieve the statutory purpose of promoting 

compliance with the HMRs. It also will achieve deterrence for Respondent and 

entities in a similar position. In sum, it appropriately accounts for the factors the 

statute and agency policy directs in fixing the assessment. 

Respondent Empire Airiines, Inc. is hereby assessed a civil penalty of 

$12,000 for violations of the HMRs 49 C.F.R. §§175.3, 175.30(a)(2) and 

175.30(a)(3) as stated in this Initial Decision. The Complaint is in all other respects 

dismissed.^ 

:hard C. Goodwin 

Administrative Law Judge 

Attachment - Service List 

' This decision may be appealed to the Administrator of the FAA. The notice of appeal must conform to 

sections 13.210, 13.211(e) and 13.233 of the Rules of Practice, which require that a notice of appeal 1) be 

filed not later than 10 days (plus an additional five days if mailed) from the service date of this decision, 

and 2) be perfected with a written brief or memorandum not later than 50 days (plus an additional five, if 

mailed) from the service date of this decision. The notice of appeal and brief or memorandum must either 

be a) mailed to the Federal Aviation Administration, 800 Independence Avenue, S.W., Washington, DC 

20591, Atta: Hearing Docket Clerk, AGC-430, Wilbur Wright Building—Suite 2W1000, or b) delivered 

personally or via expedited courier service to the Federal Aviation Administration, 600 Independence 

Avenue, S.W., Wilbur Wright Building—Suite 2W1000, Washington, D.C. 20591, Attn: Hearing Docket 

Clerk, AGC-430. A copy of the notice of appeal and brief or memorandum also must be sent to agency 

counsel. Service upon the presiding judge is optional. 
i 

 ^J-^-^! rw^) I

--: 

,s:r 

\ 

Federal Aviation Administration 

800 Independence Avenue, S.W. 

Washington, DC 20591 ^ . ,.,^ i^%! B K-, 

Attention: Hearing Docket Clerk, AGQ430 . -'F^Vi^hi t- ^ 

Wilbur Wright Building - SUiW Zi/l W ' ' ' 

Courtney;fi. Felts,Respondent's Counsel 

StafiF Att^n*^, Federal Express, Inc. 

3620 H^ b Cross Road 

Building Bja"* Floor 

MempttUitN 38125-8800 

TEL: $&l-434-8632 

FAX: 901-434-8283 

Lawrence W. Bierlein, Respondent's Counsel 

lI0130*StiWt,NW 

Suite 560 

Washington, DC 20007 

TEL: 2(^2-625-8355 

FAX: 202-625-4363 

Scojt R. Monis, Complainant's Counsel 

Attorney, Office of the Regional Counsel 

Northwest Mountain Region, Al>nvl-7, FAA 

1601 Liiid Avenue, S,W. 

Renton,WA 98057 

TEL: 425-227-1417 

FAX: 425-227-1007 

Tbe Honorable Richard C. Goodvtin, Admini. 

Office of Hearings, M-20 

U.S. DeptfttJOStA of Transportation 

1200 New Jersey Avenue, S.E. 

Bast Bdldiog Ground Floor, Room E12-320 

Washinium, DC 20590 

TEL: i^i^lnsy-Advisor 202-366-2139 

i Md Assistant 202-366-5121 

FAX: 202-366-7536 

' Service was by U.S. Mail. For servii 

Hearing Dodcei, Federal Aviation Adnunistratit 

Room 2014, Washington, DC 20591, Attentioi 

FAA DoGlast Jt^^NMOOO? 

(avilP«5<|J^..i^P|,. !, 

' .^ S if 

iniMf 

courier, use fli^ 

»,S.W.,W{ieiKr 

•AGC-430. 
FAA Exhibit List 

# U Description 

1 1 Sta Donald Stiger 20070906 - 7 pp 

2 2 Impound DG alert 8/22/07 - 2 pp 

3 3 Feeder AC load conti dtd - 5 pp 

4 4 Photos - 4 pp 

Photo 4-1 

Photo 4-2 

Photo 4-3 

Photo 4-4 

5 5 Inbound DG alert 8/22/2007 - 1 pp 

6 6 DG System dtd 8/22/2007 

7 7 Track shpmt Detailed Results - 4 pp 

8 8 Photos - 4 pp 

Photo 8-1 

Photo 8-2 

Photo 8-3 

Photo 8-4 

9 9 MatI Safety Data Sheet 

10 10 Ltr DOT to Empire dtd 8/27/2007 - 3 pp 

11 11 Ltr Empire to DOT dtd 9/17/2007 - 44 pp 

12 12 Fed Reg Vol 64, No 76 4/21/98, sanctions guidance - 8 pp 

13 13 Op Spec D085 dtd 9/18/2001 -11 pp 

14 14 Op Spec D085 AC listing 9/18/01 - 2 pp 

15 15 Photos 

16 Photo 15-1 

17 Photo 15-2 

18 Photo 15-3 

19 16 FedEx AC Dry Lease and Svc Agmt - 44 pp SEALED 

20 

21 

22 

23 

24 

25 

26 

27 

28 

29 

ID 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

IN 

X 

X 

X 

X 

X 

X 

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NO 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

HAZARDOUS MATERIALS 

AGENT STATEMENT: Donald A. STIGER, Special Agent (SA) , Federal 

Aviation Administration, Portland Hazardous Materials Inspection 

Detachment, 7303 N.E. Alderwood Road, Portland, Oregon 97218, telephone 

(503) 258-6995. 

On August 22, 2007, during the course of a hazardous materials ramp 

inspection of EMPIRE AIRLINES, INC. (COEA), aircraft N-778FE 

(Flight # 8678-22, Cenessa Grand Caravan C-208B aircraft) at Rogue 

Valley International Airport (MFR), 3 600 Terminal Road, Medford, 

Oregon 97504, me and Federal Aviation Administration (FAA) Special 

Agent Thomas KENNY, after confirming that the Inbound Dangerous 

Goods Alert and AutoDG Manifest indicated that all the hazardous 

materials were loaded on the main deck (Position 1) on COEA 

aircraft N-778FE, observed (once the aircraft had landed) five 

packages (fiberboard boxes) of Class 8 hazardous materials being 

unloaded from Pod C of COEA aircraft N-778FE. The information 

required by Title 4 9 Code of Federal Regulations (49 CFR), Section 

175.33(c)(3) was incorrect. 

The AutoDG Manifest carried by COEA Flight 8678-22 pilot, Michael 

E. NEWLUN, also had the incorrect aircraft location of the Class 8 

hazardous materials packages. However, NEWLUN carried with him a 

Feeder Aircraft Load Control Sheet that had the correct aircraft 

location (POD C) of the Class 8 hazardous materials on the flight. 

Note that on a COEA Cenessa Grand Caravan C-208B aircraft, the main 

deck is called Position 1 and is divided into six zones (1-6). The 

Pods below the main deck are named as follows: 

Pod A (Forward) 

Pod B (Forward Center) 

Pod C (Aft Center) ^ 

Pod D (Aft) 

Actual printouts of the Ir±>ound Dangerous Goods Alert and AutoDG 

Manifest were obtained from Federal Express, Inc. (FDEA), MFR 

station computers. Photocopies of the Feeder Aircraft Load Control 

Sheet and AutoDG Manifest for COEA Flight 8678-22 were taken on 

August 22, 2007. Photographs were also taken of the physical 

unloading of the Class 8 hazardous materials from COEA aircraft N778FE on August 22, 2007. 

Also on August 22, 2007, during the course of a hazardous materials 

ramp inspection of COEA aircraft N-940FE (Flight # 8677-22) at MFR, 

3600 Terminal Road, Medford, Oregon 97504, me and KENNY observed 

two packages (fiberboard boxes), being unloaded from an aircraft, 

[FDEA Tracking Numbers 7317 0353 0530 and 7317 0353 0562] marked 

Interviewed/Reviewed On At 

By File No 2007NM700155 

FAA Form 1600-32-1 (M6) FOR OFFICIAL USE ONLY \ ' 

(Public availability to be 

determined under 5 U.S.C. 552) A " ) 

e 
U.S. DEPARTMENT OF TRANSPORTATIO,^i 

FEDERAL AVIATION ADMINISTRATION 

HAZARDOUS MATERIALS 

"CONSUMER COMMODITY ORM-D" on both sides of each respective package 

without corresponding hazardous materials shipping papers or with 

proper package markings. I confirmed with the pilot-in-command of 

COEA aircraft N-940FE (Craig E. FLEMING) that he had no hazardous 

materials shipping papers or pilot notification of hazardous 

materials onboard for his flight from Portland, Oregon, to Medford, 

Oregon. Upon Further investigation of the two packages, I 

confirmed that the contents inside each package were as follows: 

Inner containers: Plastic bottle 

Capacity of each inner container: 354 ml 

Number of bottles in each fiberboard box: 24 plastic bottles 

Bottle markings: Neixum Hand Sanitizing Gel 

Active ingredient: 62% Ethyl alcohol 

I also noted that the screw-type cap on each Neixum Hand Sanitizing 

Gel bottle was not securely held with a positive means of control. 

Shipping labels on each respective package identified the shipper 

as Astrazeneca Pharmaceuticals LP (Astrazeneca), 1501, Ferryman 

Road, Aberdeen, Maryland 21001 and the consignees as Carl CASEBEER, 

8525 Third Street, Jacksonville, Oregon 9753 0. FDEA shipping 

labels indicated that the level of service for the two shipments 

were for "Priority Overnight" transportation. I also noted.that 

one package had a label that indicated t:he following: 

Package with FDEA Tracking Number: 7317 03 53 0562 

Order #: 210125101694 

Case ID: 1732122 

Carton Group: Full Case Pick 

Carton Type: FULLCASE 

Item # 24 9664 Qty 24 Each 

Wave Id: 9003 priority 

The other package had a label that indicated the following: 

Package with FDEA Tracking Number: 7317 0353 0530 

Order #: 210125101694 

Case ID: 1732121 

Carton Group: Full Case Pick 

Carion Type: FULLCASE 

Item # 24 9664 Qty 24 Each 

Wave Id: 9003 priority 

A Photocopy of the FDEA Inbound Dangerous Goods Alert for COEA 

Flight 8677-22 was taken on August 22, 2007. Photographs were also 

taken of both shipments on August 22, 2007. 

Interviewed/Reviewed On At 

File No. 2007NM700155 

FAA Forno 1600-32-1 (M6) FOR OFFICIAL USE ONLY ^ \ l ' 

(Public availability to be 0 . J 

determined under 5 U.S.C. 552} ^ 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

HAZARDOUS MATERIALS 

On August 24, 2007, I downloaded FDEA tracking reports from FDEA's 

Internet website (http://www.fedex.com/Tracking) for both shipments 

identified by tracking numbers 7317 0353 0530 and 7317 0353 0562. 

The tracking information indicated that both packages flew from 

Baltimore, Maryland, to Medford, Oregon, via Memphis, Tennessee, 

and Portland, Oregon, respectively. 

I also contacted CASEBEER, at 541-899-9061, and confirmed that he, 

as an Astrazeneca employee (Salesman), had ordered both shipments 

of the Neixum Hand Sanitizing Gel via Astrazeneca's Intranet. 

On August 27, 2007, I received a Material Safety Data Sheet (MSDS) 

from The Royal House Corporation, 13121 SW 122 Avenue, Miami, 

Florida 33186 for the Hand Sanitizing Gel. I also had a phone 

conversation at 305-255-2242 with Mark OSETE, Operations Manager, 

Royal House Corporation, and confirmed that the packages marked 

ORM-D and containing the bottles of Hand Sanitizing Gel are not 

packaged for air transportation. 

On September 6, 2007, I received from FAA Special Agent Ronald 

GRIEFF, Dulles, Virginia, product order information sheets (Product 

order 210125101694) and FDEA Express Service Compliance Report 

dated August 30, 2007, utilized by Astrazeneca's shipping agent 

Archway Marketing Services, 1501 Perryman Road, Suite 100, 

Aberdeen, Maryland 21001. The additional information from GRIEFF 

indicated that the two shipments level of air service was upgraded 

from FDEA "Standard Overnight" to FDEA "Priority Overnight". 

intervievred/Revrewed On September 6. 200^ _ At Portland. Oregon 

By Special Agent Donald A. Stiger^^ ^ V/j^\/ ^ , FUeNo. 2007NM700155 . J^ 

FAAForm 1600-32-1 (MB) \ / FOR OFFICIAL USE ONLY 

(Public availability to be 

determined under 5 U.S.C. 552) h^ ^ 
6510039960 62006, Moore Wallace All rights reserved. - 0305 

- • • - - \ • 

D 

Feeder Aircraft Load Control Sheet 

Tailstand Checked By: (emp number) Zyj^ij&X Prepared By: (emp number). -Z^l^oS 

A/CType ATR D C20frB^F27 D Other • 

bate(Z) ^/33/ 6 

Flight No. .ISU l 

Origin: _giS)Og -

A/CNo. A/"77^/ge r 

Dest: mPi/Z A 

Preliminary weight 

(Must be given to pilot 20-minutes prior to departure) 

OutBound Feeder Load 

CarWan 

ULD No. 

Destination (+) 

AKg'S^.^b'^TFX 

:^c->^(oi p x 

K8 'i^^QO'^P'^ 

Sub Total 

Final Weight Adjustments (+/-) wt.change 

Loaded Wt. 

SS[ 

JS^O L 

SC3 0 

Z"?H 

±^£i±:. 

CartA/an 

ULD No. 

Destination 

i^^^^^s^s : 

% of A/C Cubet I Final Weight 

Int'i (circle one) LBS / KILOS 

y^vLt^OZ^ 

Ramp Certification: 

I have verified the pilots i.D. and certify that the A/C 

is loaded as described above in accordance with 

feeder operation policy and procedures found in the 

Aircraft Ramp Operations Manual and feeder training 

material. 

Signature: /UaoMjA, 

Employee No.: f/cV Hh:^{)q t h 

ot's Certification of Loading: 

.o pilot in command of the flight listed above, I certify| 

that this A/C has been loaded and deiced when 

warranted under my supervision and in accordance 

with my instructions for safe operation of this flight. 

Pilot 

Sianature: ^ 

Cash Bag ED 

iViailbag EH 

Load Start: 

Load Finish: 

Dangerous Goods Information 

(check one) 

• 

D 

^ 

No DG Aboard 

DG Aboard - See AutoDG Manifest 

DG Aboard - See NOTOC Below 

Dry Ice Limits (kilograms) 

UNI 845, Dry Ice, 9, III 

C208A/B 

F27/ATR 

Other 

Dry Ice 

Loaded 

Cabin 

76kg 

200kg 

200kg 

43.0 

Pod 

Unlimited 

Unlimited 

Wing/ 

Noselocker 

Unlimited 

Load 

Location 

Zone/Pod 

List All Classes Loaded 

(Excluding Dry Ice) 

Dangerous Goods Certification: 

j I certify that all DGs shown on this fomi have met all 

[the requirements, integrity, and loading requirements 

of 49 CFR, lAT/VICAO regulations, and FedEx 

Express Policy. 

DG Specialist/Agent 

Signature: 

Employee No.: 

Pilot's Certification of DG 

I have reviewed the information listed on the A/C DG 

manifest. I will have access to the entire DG 

manifest for this flight. 

Pilot 

Signature: 

'»9 

I Emeraencv Contact in FedEy Eynre.«.<: ROr- pni-99^79on v 

C( 

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3-r 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

HAZARDOUS MATERIALS 

PHOTOGRAPH 4-1 

Photograph depicting the unloading of Class 8 hazardous materials from 

Pod C of EMPIRE AIRLINES, INC. (COEA), aircraft N-778FE (Flight 8678-

22); examined at Rogue Valley International Airport (MFR), 3600 

Terminal Road, Medford, Oregon 97504, on August 22, 2007. 

c 

tJ 

Interviewed/Reviewed On AugUSt 22. 2007 At Portland. Oregon 

By Special Agent Donald A. Sti.e;er File No. 2007NM700155 

V \ 

FAA Form 1600-32-1 oaej FOR OFFICIAL USE ONLY 

(Public availability to be 

determined under 5 U.S.C. 552) 
U.S. DEPARTMENT OF TRANSPORTATIC,^ 

FEDERAL AVIATION ADMINISTRATION 

HAZARDOUS MATERIALS 

PHOTOGRAPH 4-2 

Photograph depicting the unloading of Class 8 hazardous materials from 

Pod C of EMPIRE AIRLINES, INC. (COEA), aircraft N-778FE (Flight 8678-

22); examined at Rogue Valley International Airport (MFR), 3600 

Terminal Road, Medford, Oregon 97504, on August 22, 2007. 

> 

.0' 

,V 0 

Interviewed/Revlewed On AugUSt 22. 2007 At Portland. Oregon 

By Special Agent Donald A. Stiger File No. 2007NM700155 

\ 

4.' A 

FAA Form 1600-32-1 (B-SB) FOR OFFICIAL USE ONLY 

(Public availability to be 

determined under 5 U.S.C. 552) 
U.S. DEPARTMENT OF TRANSPORTATIV_H 

FEDERAL AVIATION ADMINISTRATION 

HAZARDOUS MATERIALS 

PHOTOGRAPH 4-3 

Photograph depicting all of the Class 8 hazardous materials (five 

packages) unloaded from Pod C of EMPIRE AIRLINES, INC. (COEA), aircraft 

N-77BFE (Flight 8678-22); examined at Rogue Valley International 

Airport (MFR), 3600 Terminal Road, Medford, Oregon 97504, on August 22, 

2007. 

Interviewed/Revievwed On AugUSt 22 . 200 7 At Portland. Oregon 

By Special Agent Donald A. Stiger File No. 2007NM700155 

FAA Form 1600-32-1 (9-86) FOR OFFICIAL USE ONLY 

(Public availability to be 

determined under 5 U.S.C. 552) 
U.S. DEPARTMENT OF TRANSPORTATIL , 

FEDERAL AVIATION ADMINISTRATION 

HAZARDOUS MATERIALS 

PHOTOGRAPH 4-4 

Photograph depicting all of the cargo pods (A, B, C & D) for EMPIRE 

AIRLINES, INC. (COEA), aircraft N-778FE (Flight 8678-22); examined at 

Rogue Valley International Airport (MFR), 3600 Terminal Road, Medford, 

Oregon 97504, on August 22, 2007. 

Interviewed/Reviewed On AugUSt 22. 2007 At Portland. Oregon 

By Special Agent Donald A. Stiger File NO. 2007NM700155 

FAA Form 1600-32-1 p-es) FOR OFFICIAL USE ONLY 

(Public availability to be 

determined under 5 U.S.C. 552) 
MFRAO 

.MEMJKFX 221350 

*** INBOUND DANGEROUS GOODS ALERT *** 

FLIGHT: LEG DATE: QRIG: DEST: EQUIP: CONFIG; 

8677-22 08/22/2007 PDX MFR C208 

AIRCRAFT; 

N940FE 

CLOSED: 08/22/07 13:50 FLIGHT SCHEDULED TO ARRIVE AT: 08/22/07 14:46 

POS ASSET# CLASS DESCRIPTION SUBRISK WT/AMT 

********************** 

*** NO DG ON BOARD *** 

********************** 

PREPARING RAMP AGENT: 0000195525 TRINA BURBANK 

END OF INBOUND DG ALERT 

22 AUG 1350 IPPAG687 029366 ® WBP051 

* 

* 

* 

* 

r- 5-/ 
ADS210 

ADP006 

DANGEROUS GOODS SYSTEM 

AIRCRAFT DG MANIFEST 

08/22/07 

15:15:49 

FEDEX EXPRESS GOC - (901)397-8040 (US) / (901)397-8065 (NON-US) 

F 

8677-22 

LEG DATE: 

08/22/2007 

ORIG: 

PDX 

DEST: 

MFR 

EQUIP 

C208 

CLASS DESCRIPTION 

CONFIG: ACFT: 

N94 0FE 

WT(KG) 

NO DG ON BOARD, 

PREPARING RAMP AGENT: TRINA BURBANK EMP NO: 195525 

I CERTIFY THAT ALL DGS HAVE BEEN LOADED IN ACCORDANCE WITH FEDEX EXPRESS 

POLICY AND GOVERNMENT REGULATIONS. 

HISTORICAL REPRINT REQUESTED BY EMPLOYEE: 0000195525 

END. OF AIRCRAFT SUMMARY 

c.-^* ^ 
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731703530562 Reference 

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Aug 21, 2007 Delivered to 

Aug 22, 2007 11:05 AM Service type 

Weight 

Delivered 

No 

1732122 

Jacl<sonville, OR 

Residence 

Priority Overnigtit 

18.0 lbs. 

Date/Time 

Aug 22, 2007 

Aug 21, 2007 

Activity 

11.05 AM Delivered 

Location 

Jacksonville 

OR 

9:11 AM On FedEx vetilcle for MEDFORD, 

delivery OR 

8:51 AM At local FedEx facility MEDFORD, 

OR 

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3:50 AM Departed FedEx 

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12:32 AM Arrived at FedEx 

location 

7:43 PM Left origin 

' 3:40 PM Picked up 

12:32 PM Package data 

transmitted to FedEx 

PORTLAND, 

OR 

MEMPHIS. TN 

MEMPHIS, TN 

BALTIMORE, 

MD 

BALTIMORE, 

MD 

Details 

Left at garage. Package delivered to 

recipient address - release autfiorized 

^8ignptMret,p,r,oof ". |- ' E^^D^ij'/^sults. ] j-'- . 4rackjnore sjiipme.nts \ 

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Customer Support Trace 

3875 Airways Boulevard 

Module H, 4iri Floor 

Memphis, TN 38116 

U.S. Mail: PO Box 727 

Memphis, TN 38194-4643 

Telephone: 901-369-3600 

August 24,2007 

Dear Customer: 

The following is the proof of delivery you requested with the tracking number 731703530562. 

Delivery Infonmatlon: 

Status: 

Signed for by: 

Service type: 

Delivered 

Signature release on file 

Priority Overnight 

Delivery location: 

Delivery date: 

Jacksonville, OR 

Aug 22, 2007 11:05 

NO SIGNATURE IS AVAILABLE 

FedEx Express Proof of delivery details appear below, however no signature is currently available for this FedEx 

Express shipment. Availability of signature images may take up to 5 days after delivery date. 

Shipping Information: 

Tracking number. 

Recipient: 

Jacksonville, OR US 

731703530562 Ship date: 

Weight: 

Shipper: 

BALTIMORE, MD US 

Aug 21, 2007 

18.0 lbs. 

Reference 1732122 

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1732121 

Jacksonville, OR 

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20.0 lbs. 

Date/Time Activity Location 

Aug 22. 2007 

Aug 21. 2007 

11:05 AM 

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3:50 AM 

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delivery 

At local FedEx facility 

At dest sort facility 

Departed FedEx 

location 

Arrived at FedEx 

location 

Left origin 

Picked up 

Jacksonville, 

OR 

MEDFORD, 

OR 

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OR 

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OR 

MEMPHIS, TN 

MEMPHIS, TN 

BALTIMORE, 

MD 

BALTIMORE, 

MD 

12:32 PM Package data 

transmitted to FedEx 

Details 

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Customer Support Trace 

3875 Airways Boulevard 

Module H, 4th Floor 

Memphis, TN 38116 

U.S. Mail: PO Box 727 

Memphis, TN 38194-4643 

Telephone: 901-369-3600 

August 24,2007 

Dear Customer: 

The following is the proof of delivery you requested with the tracking number 731703530530. 

Delivery Information: 

Status: 

Signed for by: 

Service type: 

Delivered 

Signature release on file 

Priority Overnight 

Delivery location: 

Delivery date: 

Jacksonville, OR 

Aug 22, 2007 11:05 

NO SIGNATURE IS AVAILABLE 

FedEx Express Proof of delivery details appear below, however no signature is currently available for this FedEx 

Express shipment. Availability of signature images may take up to 5 days after delivery date. 

Shipping Information: 

Tracking number 731703530530 Ship date: 

Weight: 

Aug 21, 2007 

20.0 lbs. 

Recipient: 

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Shipper 

BALTIMORE, MD US 

Reference 1732121 

Thank you for choosing FedEx Express. 

FedEx Worldwide Customer Service 

1.800.GoFedEx 1.800.463.3339 

1 - ^ 
U.S. DEPARTMENT OF TRANSPORTATi _-,M 

FEDERAL AVIATION ADMINISTRATION 

HAZARDOUS MATERIALS 

PHOTOGRAPH 8-1 

Photograph depicting the offloading operation of EMPIRE AIRLINES, 

(COEA), aircraft N-940FE (Flight 8677-22); examined at Rogue Vail 

International Airport (MFR), 3600 Terminal Road, Medford, Oregon 

on August 22, 2007. 

Af 

INC. 

ey 

97504, 

Inteiviewed/Revlewed On August 22, 2007 At Portland. Oregon 

By Special Agent Donald A. Stiger File No. 2007NM7Q0155 

FAA Form 1600-32-1 o-ss) FOR OFFICIAL USE ONLY 

(Public availability to be 

determined under 5 U.S.C. 552) 
U.S. DEPARTMENT OF TRANSPORTATi..- -

FEDERAL AVIATION ADMINISTRATION 

HAZARDOUS MATERIALS 

PHOTOGRAPH 8-2 

Photograph depicting the shipments offloaded from EMPIRE AIRLINES, INC, 

(COEA), aircraft N-940FE (Flight 8677-22) identified by Federal 

Express, Inc., tracking numbers 7317 0353 0530 and 7317 0353 0562; 

examined at Rogue Valley International Airport (MFR), 3600 Terminal '^ 

Road, Medford, Oregon 97504, on August 22, 2007. 

Interviewed/Reviewed On Augus t 22 . 200 7 At Portland. Oregon 

By Special Agent Donald A. Stiger File No. 2007NM700155 

FAA Form 1«00-32-1 (9-88) FOR OFFICIAL USE ONLY 

(Public availability to be 

determined under 5 U.S.C. 552) 
U.S. DEPARTMENT OF TRANSPORTATi^M 

FEDERAL AVIATION ADMINISTRATION 

HAZARDOUS MATERIALS 

PHOTOGRAPH 8-3 

Photograph depicting one of the shipments offloaded from EMPIRE 

AIRLINES, INC. (COEA), aircraft N-940FE (Flight 8677-22); examined at 

Rogue Valley International Airport (MFR), 3600 Terminal Road, Medford, 

Oregon 97504, on August 22, 2007. \f 

0^ 

X 

A ' •' 

interviewed/Reviewed On August 22. 2007 At Portland. Oregon 

By Special Agent Donald A. Stiger File No. 2007NM700155 

FAA Form 1600-32-1 (9 86) FOR OFFICIAL USE ONLY 

(Public availability to be 

determined under 5 U.S.C. 552) 
U.S. DEPARTMENT OF TRANSPORTATi 

FEDERAL AVIATION ADMINISTRATION 

HAZARDOUS MATERIALS 

PHOTOGRAPH 8-4 

. -'^ - -^ ^ ••• • 

,..•;M^•^•-•••^^•^;.-.;.»'V ^ .«%:< 

Photograph depicting contents one of the shipments offloaded from 

EMPIRE AIRLINES, INC. (COEA), aircraft N-940FE (Flight 8677-22). Both 

shipments are identified by Federal Express, Inc., tracking numbers 

7317 0353 0530 and 7317 0353 0562; examined at Rogue Valley 

International Airport (MFR), 3600 Terminal Road, Medford, Oregon 97504 

on August 22, 2 0 07 M 

\j-' , ^ 

A 

Interviewed/Reviewed On AugUSt 22. 2007 At Portland. Oregon 

By Special Agent Donald A. Stiger File No. 2007NM700155 

FAA Form 1600-32-1 o-ae) FOR OFFICIAL USE ONLY 

(Public availability to be 

determined under 5 U.S.C, 552) 
Date: 

Supercedes: 

15 October 2001 

11 October 2000 

MATERIAL SAFETY DATASHEET 

PRODUCT IDENTIFICATION AND COMPANY IDENTIFICATION: 

Product Name: Antibacterial l-land Gel 

Company Name & Address: Jj^f Roval House Corporation 

13121 S.W. 122Avenue 

Phone Number: 

MSDS Request Phone: 

Miami, Florida 33186-6231 ~ U.S.A. 

(305)255-2242 

(305)255-2242 

INFORMATION ON INGREDIENTS: 

HAZARDOUS INGREDIENTS 

Ethyl Alcohol 

CAS NUMBER 

64-17-5 

OSHA PEL 

1000 ppm 

ACGIH TLV 

1000 ppm 

% RANGE 

62 

Other ingredient(s) with notification requirements: 

Ethyl Alcohol 

CAS NUMBER 

64-17-5 

List 

MA1;NJ1S;PA1;CN2 

3. HAZARDS IDENTIFICATION: 

EMERGENCY OVERVIEW 

When used according to instructions, the product applicable to this MSDS is safe and presents no 

immediate or long-term health hazard. However, abnormal entry routes, such as gross ingestion, may 

require immediate medical attention. 

Potential Health Effects: 

HMiS: 

Eye Contact: 

Skin Contact: 

Inhalation: 

Ingestion: 

Carcinogenicity: 

Health 1 Flammability 3 Reactivity 0 Personal Protection None 

May cause eye irritation. 

No irritation or reaction expected. 

Not applicable. 

May cause upset stomach, nausea (Abnormal entry route). 

Not listed as a carcinogen by NTP, lARC, OSHA or ACGIH. 

FIRST AID MEASURES: 

Eye Contact: Do not rub eyes. Flush eyes thoroughly with water for 15 minutes, if condition 

worsens or irritation persists, contact physician. 

Skin Contact: Not applicable. 

Inhalation: Not applicable. 

Ingestion: Do not induce vomiting. Contact a physician or Poison Control Center. 

X r\J 

C-^' f 
ANTIBACTERIAL HAND GEL « Page 2 of 2 

5. FIRE FIGHTING MEASURES: 

NFPA: Health 0 Fire 3 Reactivity 0 

Flashpoint °F/°C (PMCC method): 74T/23°C 

Unusual Fire and Explosion Hazards: Product is flammable due to alcohol content. 

Special Fire Fighting Procedures: None known. 

Extinguishing Media: X Water Fog X Alcohol Foam X CO2 X Dry Chemical Other 

6. ACCIDENTAL RELEASE MEASURES: 

Avoid contact with ignition sources since product is flammable. Absorb onto inert material and dispose in 

appropriate manner. Water clean up and rinse. CAUTION -WIL L CAUSE SLIPPERY SURFACES. 

7. HANDLING AND STORAGE: 

Keep away from fire or flame. Store at normal room tem perature away from reach of small children. Keep 

containers sealed. Use older containers first. Avoid freezing conditions. 

8. EXPOSURE CONTROLS/PERSONAL PROTECTION: 

Eye Protection: None required under nonnal conditions. 

Skin Protection: None required under normal conditions. 

Respiratory Protection: None required under nomal conditions. 

Ventilation: None required under normal conditions. 

Protective Equipment or Clothing: None required under nonmal conditions. 

9. PHYSICAL AND CHEMICAL PROPERTIES: 

Appearance and Odor Clear liquid, citrus fragrance 

pH (undiluted): 7.0-8.35 

VOC,% : 65 

10. STABILITY AND REACTIVITY: 

Stable/Non reactive product. Avoid ignition sources. 

11. TOXICOLOGICAL INFORMATION: 

No acute or chronic toxic effects expected when used according to directions. 

12. ECOLOGICAL CONSIDERATIONS: 

No ecological or special considerations when used according to directions. Not considered environmentally 

harmful from normal dilution, expected usage and typical drainage to sewers, septic systems and treatment 

plants. 

13. DISPOSAL CONSIDERATIONS: 

Characteristic hazardous waste-flammable liquid. Dispose according to local, state and Federal regulations. 

14. TRANSPORT INFORMATION: 

Hazardous by transport regulations. When transported by Ground and Rail, this product typically is shipped as 

Consumer Commodity ORM-D. When transported by air, this product is typically shipped as Consumer 

Commodity or Alcohols N.O.S. depending on package size. When transported by ocean, this product is 

typically shipped as Limited Quantities. Refer to current regulations for exact requirements. 

15. REGULATORY AND OTHER INFORMATION: 

Complies with current FDA regulations for cosmetic and/or over-the-counter drug products. 

N.?tjce: TheJnfornriaHon h9re|n is based on_data considered to^accurat e as of the date of preparation of this material safety data 

sheet Ho\Mever. no warranty or representation, expressed or implied^ is made as to the aocmac^ or roiinpleteness of ttie'fbregotng data 

and safety Information. The user assumes all liability for any damage or Injury resulting from abnormal use, from any failure to adhere to 

recommended practices or from any hazards Inherent In the nature of the product. 

1-2. 
Q 

U.S. Department 

of Transportation 

Federal Aviation 

Administration 

Northwest Mountain Region 

Colorado, Idaho, Atontana, Oregon 

Utah, Washington, Wyoming & Alaska 

SECURITY a HAZARDOUS AUTERIALS 

DIVISION 

Portland, Oregon, Office 

7303 N.E. Alderwood Road 

Portland, Oregon 97218 

Fax; (503)258-6999 

AUS 2 7 2007 

Mr. Randal Lanfell 

Director of Operations 

Empire Airlines, Inc. 

11559 North Atlas Road 

Hayden, Idaho 83835 

Dear Mr. Lanfell: 

Letter of Investigation 

File Number: 2007NM700155 

The United States Department of Transportation (USDOT)/Federal Aviation 

Administration (FAA) is conducting an investigation concerning the 

apparent failure of Empire Airlines, Inc. (COEA), to comply with the 

following provisions of Title 49, Code of Federal Regulations (49 CFR): 

Section 175.3 - Accepting a hazardous materials shipment for 

transportation not prepared in accordance with Subchapter C of the 

hazardous materials regulations. 

Section 175.30(a)(2) - Accepting a hazardous material aboard an 

aircraft without a shipping paper prepared in accordance with 

Siibpart C of Part 172. 

Section 175.30(a)(3) - Accepting a hazardous material aboard an 

aircraft not properly marked in accordance with Subpart D of Part 

172. 

Section 175.33(a) - Failing to have accurate and complete 

information contained in the written pilot-in-command notification. 

Section 175.33(c)(3) - Failing to have complete and accurate 

information available at the intended airport of arrival. 

Specifically, on August 22, 2007, during the course of Hazardous Materials 

Ramp Inspections at the Medford, Oregon, Federal Express, Inc. (FDEA), 

facility, FAA Hazardous Materials Inspectors discovered two undocumented 

shipments of hazardous materials during off-loading operations of COEA 

aircraft (N-940FE) at the FDEA station located at 3600 Terminal Spur Road 

Medford, Oregon 97504. Both shipments were loaded and transported on COEA 

aircraft from Portland, Oregon, to Medford, Oregon, on COEA Flight 6677-22 

with no shipping papers, improper markings, and no written notification to 

c ^ ft>-t 
the pilot-in-command. The following information is provided concerning 

the two shipments: 

Shipment # 1 

Material (Marked): Consumer Commodity, ORM-D 

FDEA Tracking #: 7317-0353-0530 

Shipment # 2 

Material (Marked): Consumer Commodity, ORM-D 

FDEA Tracking #: 7317-0353-0562 

This picture is provided for additional information: 

In addition, on August 22, 2007, during the course of Hazardous Materials 

Ramp Inspections at the Medford, Oregon, FDEA facility, FAA Hazardous 

Materials Inspectors also discovered that inbound hazardous materials 

information on COEA Flight 8678-22 (N-778FE) listed the location of all 

Class 8 shipments on aircraft N-778FE as loaded in Position 1. A physical 

check of the aircraft during unloading operations revealed that all the 

Class 8 shipments had been loaded in Position C (Pod-C). 

You are being provided an opportunity to review the events associated with 

these allegations, and furnish any information or material you deem 

relevant to the investigation. Your written response should include: 

a. A copy of your FAA approved hazardous materials program for 

personnel involved in the recognition, acceptance, handling, loading and 

air transportation of hazardous materials in air commerce. 

b. Hazardous materials training records for both pilots involved in 

each of the described incidents. 

the 

c. A description of proposed actions to prevent similar incidents in 

future. 

// 

A'> 

/d'Z... 
Please be advised the allegation contained herein does not necessarily 

include all deficiencies that may be subsequently discovered during the 

course of this investigation. 

Your response, if any, is needed within 10 business days after receipt of 

this letter and may be sent to me at the following address: 

Federal Aviation Administration 

Security t Hazardous Materials Division 

P.O. Box 55008 

Portland, Oregon 97238-5008 

If I do not receive a written response within the 10-day time period, I 

must conclude my investigation without the benefit of your statement. If 

you have any questions regarding this matter, please feel free to contact 

me at (503) 258-6995 or at donald.stiger@faa.gov. 

Sincerely, 

Donald A. Stiger 

Hazardous Materials Inspector, Security 

& Hazardous Materials Division 
^ . 

17 September 2007 AIRLINES ' 

11559 Nortti Atlas Road 

Hayden, ID 83835 

(208) 292-3850 

fax (208) 292-3851 

Mr. Donald A. Stiger 

Federal Aviation Administration 

Security and Hazardous Materials Division 

P.O. Box 55008 

Portland, OR 97238-5008 

Re: Letter of Investigation File No. 2007NM700155 

Dear Inspector Stiger: 

We have received your letter of August 27, 2007 alleging that Empire Airlines, Inc. 

(COEA) failed to comply with certain provisions of Title 49, the Code of Federal 

Regulations. Empire Airlines denies it failed to comply with these provisions. 

Your letter states that while conducting a ramp inspection in Medford, OR on August 22, 

2007, two Hazardous Materials Inspectors allegedly discovered two undocumented 

shipments of hazardous materials off-loaded from COEA aircraft N940FE. You state the 

shipments were transported from Portland, OR to Medford, OR aboard the aircraft while 

conducting flight number 8677-22 with no shipping papers, improper markings, and no 

written notification to the Pilot-in-Command. 

You further allege that during the same inspection, the two inspectors also discovered 

the inbound hazardous materials information for COEA Flight 8678-22 (aircraft N778FE) 

indicated that all Class 8 shipments were loaded in position 1 and that a physical 

inspection revealed them to be loaded in Position C of the cargo pod. 

We offer the following information for your consideration. Empire Airlines provides 

regional cargo airline support to FedEx Corporation as part of its "Feeder Aircraft 

Operations" (FAO). Cargo carried by COEA is received from and delivered to their 

customer by FedEx. During the receiving process, FedEx agents conduct an inspection 

of goods being offered for transport aboard their own aircraft and the aircraft operated by 

their Feeder Aircraft Operators. 

As part of the inspection process, FedEx agents determine hazmat packages' eligibility 

for transport aboard aircraft, insure that they display the proper markings, and are 

entered and tracked in the Company's "Auto DG" system. This system is designed to 

ensure that each hazmat shipment is properly identified and handled in accordance with 

DOT/IATA regulations and the Company's own procedures. The Auto DG system is also 

the means by which FedEx complies with the requirement to ensure that the nature and 

location of all DG aboard the aircraft is available at the origin and destination of each 

flight and the means by which required notice is given to the Pilot-in-Command (NOPIC). 

We have conducted our own investigation and interviewed our pilots to determine the 

facts of the incidents alleged in your letter. The shipments you report as missing 

shipping papers, being improperly marked, and for which no written NOPIC was 

provided were apparently not identified as hazmat by FedEx agents during the receiving 

i/i^e i:^/7 £?cf rucf t 

i .~r^-^;i. 
process. They were apparently loaded aboard COEA's aircraft as regular freight and 

were not entered in the Auto DG system, which explains the lack of shipping papers. 

The ORM imprint on either end of each box was apparently the only indication that they 

might contain hazmat. When interviewed, our pilot said that he supervised the loading as 

required but did not see the ORM imprint. He explained that during the loading process, 

the long dimension of the boxes would run the same direction as the belt loader and the 

imprint on the box ends would be obscured from his view. He said that if he had seen 

the imprint, he would have pulled the boxes from the loader and investigated prior to 

loading them. 

The corrective action to be taken as a result of the ORM-D boxes transported without 

shipping papers, markings, and NOPIC: 

The investigation into this incident has not been completed at the time of this 

response submittal however; the circumstances indicate that the shipper 

presented these boxes for carriage without hazardous materials shipping papers 

and the customer service agent receiving the shipment did not question the 

apparent discrepancy between the boxes marked with ORM-D and no shipping 

papers. Once the actual facts of the undocumented shipments of hazardous 

materials are known a corrective action will be determined and carried out. 

Regarding the apparent discrepancy associated with the positioning of Class 8 shipment 

aboard aircraft N778FE, it appears that the FedEx DG representative in Portland did not 

ensure the computer entry of a position change made on the ramp. We are in 

possession of the Feeder Aircraft Load Control Sheet for this flight which shows the 

Class 8 shipment being located in Pod C. This sheet was signed by the FedEx DG 

Specialist and was acknowledged by our pilot. Empire Airlines' pilot would have no 

reason to follow the DG Specialist back to the office to ensure the manual entries were 

transcribed into the electronic Auto DG system. 

The corrective action to be taken as a result of the class 8 shipments physical location 

differed from Auto DG: 

Immediate change occurred to how the Portland ramp assigns Dangerous Goods 

to Feeder Aircraft. Dangerous Goods Agents now contact the hot seat ramp 

agent via phone to inform and review loads of each flight. At that time, the DG 

Agent informs the ramp agent which specific compartment location each DG 

package will be loaded. If multiple compartments of Feeder Aircraft are utilized 

for DG Shipments, additional BULK SHIPMENTS will be created for the purpose 

of assigning to multiple compartments. 

Each Ramp Agent and Dangerous Goods Agent will sign off on the Auto DG 

Feeder Job Aid memo. The sign offs will indicate each employee's understanding 

of the procedural change. 

In addition, management has printed DG SAFETY bulletin board titled Feeder 

Aircraft Assignment, dated Thursday, August 23, 2007. Each Ramp Agent And 

Dangerous Goods Agent has signed off on this note indicating their 

understanding of the expectation. 

h i-

//' Z 
^fiiiio3 

We intend to continue to emphasize accountability of corrective action with our 

customer's management team to prevent a recurrence of these events and will continue 

to train our personnel to be vigilant for system errors. However, in these events, we are 

unable to identify any active or passive errors on the part of Empire Airiines' employees. 

Clearly, FedEx has dedicated a lot of effort and expense developing an effective, 

compliant system to track and control hazmat shipments tendered by their customers. 

Serving our customer FedEx, we train our personnel to use and support this system and 

believe it to a very effective means of providing safe transport of hazardous materials. 

Unfortunately, human interface with any system results In occasional mistakes. In the 

instances described in your letter, it appears that human error on the part of FedEx 

employees during shipment acceptance and an inadvertent data transcription omission 

resulted in an out-of-compliance situation. 

While errors were not made by Empire Airiines or its employees and the relevance of our 

FAA hazmat program and training records are not abundantly clear, you will find both 

enclosed. 

Should you have any other questions regarding these events, please feel free to contact 

me at 208-292-3850, extension 123. 

Sincerely, 

Randell Lanfell 

Director of Operations 

cc: Tim Komberec - Empire 

Sandra Montague - FedEx 

Brent Ashley - FedEx 

11-1 
Employee Training Eve. s Report Date: 9/17/2007 

Type Prof Code 

mr'^vee : Newlun, Michael E 

Capacity 

ring Emerg Situation - (135 PIC PIC 

Rfcourrlng Security - (135 PIC) 

Recurring Gen Ops C208 

Recurring A/C Sys C208 

Recurring Hazmat (135 PIC) 

Recurring Emerg Drill C208 

Recurring Prof Ck C208 .293 

Recurring Prof Ck C208 .297 

Recurring Line Ck C208 .299 

PIC 

PIC 

PIC 

PIC 

PIC 

PIC 

PIC 

PIC 

Fleet 

CESSNA 208 CARAV 

CESSNA 208 CARAV 

CESSNA 208 CARAV 

CESSNA 208 CARAV 

CESSNA 208 CARAV 

CESSNA 208 CARAV 

FAR Status 

135 

135 

135 

135 

135 

135 

135 

135 

135 

completed 

completed 

completed 

completed 

completed 

completed 

completed 

completed 

completed 

Event Dates 

Due 

10/31/06 

10/31/06 

10/31/06 

10/31/06 

10/31/06 

10/31/06 

04/30/07 

04/30/07 

04/30/07 

Sched 

10/31/06 

10/31/06 

10/31/06 

10/31/06 

10/31/06 

10/31/06 

04/30/07 

04/30/07 

04/30/07 

Status 

09/26/06 

09/26/06 

09/26/06 

09/30/06 

10/25/05 

09/26/06 

10/24/06 

04/05/07 

10/24/06 

Instructor 

Jiiijot;;i, Daniel P 

Janssen, Daniel P 

Janssen, Daniel P 

Instructor, Contract 

Janssen, Daniel P 

Janssen, Daniel P 

Janssen, Daniel P 

Janssen, Daniel P 

Janssen, Daniel P 

Page 1 of 1 //-V 
Empioyeo Training Eve. Report Date: 9/17/2007 

Type Prof Code Capacity Fleet FAR Status 

135 

135 

135 

135 

135 

135 

135 

135 

135 

135 

135 

135 

completed 

completed 

completed 

completed 

completed 

completed 

completed 

completed 

completed 

completed 

completed 

completed 

Event Dates 

Due 

05/31/06 

09/30/06 

09/30/06 

03/31/07 

03/31/07 

05/31/07 

05/31/07 

05/31/07 

05/31/07 

09/30/07 

09/30/07 

09/30/07 

Sched 

05/31/06 

09/30/06 

09/30/06 

03/31/07 

03/31/07 

05/31/07 

05/31/07 

05/31/07 

05/31/07 

09/30/07 

09/30/07 

09/30/07 

Status 

04/12/05 

10/24/06 

10/24/06 

03/24/07 

03/20/07 

03/20/07 

03/20/07 

03/20/07 

03/20/07 

08/16/07 

08/16/07 

08/16/07 

Instructor 

Belcher, Douglas G 

Janssen, Daniel P 

Janssen, Daniel P 

Instructor, Contract 

Janssen, Daniel P 

Janssen, Daniel P 

Janssen, Daniel P 

Janssen, Daniel P 

Janssen, Daniel P 

Janssen, Daniel P 

Janssen, Daniel P 

Janssen, Daniel P 

.rnpinvee: Fleming, Craig E 

ring Hazmat (135 PIC) 

h^.jrring Line Ck C208 .299 

Recurring Prof Ck C208 .293 

Recurring A/C Sys C208 

Recurring Prof Ck C208 .297 

PIC 

PIC 

PIC 

PIC 

PIC 

Recurring Emerg Situation - (135 PIC PIC 

Recurring Emerg Drill C208 

Recurring Gen Ops C208 

Recurring Security - (135 PIC) 

Recurring Prof Ck C208 .297 

Recurring Prof Ck C208 .293 

Recurring Line Ck C208 .299 

PIC 

PIC 

PIC 

PIC 

PIC 

PIC 

CESSNA 208 CARAV 

CESSNA 208 CARAV 

CESSNA 208 CARAV 

CESSNA 208 CARAV 

CESSNA 208 CARAV 

CESSNA 208 CARAV 

CESSNA 208 CARAV 

CESSNA 208 CARAV 

CESSNA 208 CARAV 

Page 1 ot 1 //-r 
^ . 

10-3 

Date: 04/13/07 

AIRLINES- Revision: 39 

HAZARDOUS MATERIALS 

Contents 

General 10-5 

Acceptance Procedures 10-6 

Shipping Documents and Certification 10-6 

Marking 10-8 

Labeling 10-8 

Placards 10-9 

Rejection of Non-Compliant HM 10-9 

Company Materials (COMAT) 10-9 

Shipping/Transporting of COMAT 10-9 

HM COMAT Exceptions (49 CFR 175.8) 10-10 

Loading/Stowage/Handling Procedures 10-10 

Storage Incidental to Transport/Movement 10-10 

Stowage and Segregation 10-11 

Segregation Table 10-11 

Pre-Board Inspection 10-13 

Radioactive Materials (RAM) 10-14 

Quantity and Loading Table : : 10-15 

Orientation and Securing of HM Packages 10-16 

HM Location and Quantity Limitations Aboard Aircraft 10-16 

Cargo-Only Aircraft (CAO) Packages 10-16 

Emergency Response Information 10-16 

Pilot-In-Command Notification 10-17 

Special Flights/Special Permits (Exemptions) 10-17 

HM Exceptions for Passenger and Crew Members 10-18 

Acceptanceof Wheelchair/Mobility Aids 10-18 

Lithium Batteries 10-20 

Repair Station Notification 10-20 

Notification of HM Incidents, Discrepancies and Required Reports 10-20 

Emergency Response Contacts 10-23 

Appendix A - Hidden Shipment Indicators 10-24 

Appendix B - DOT Chart, Hazardous Materials Marking, Labeling & 

Placarding Guide 10-26 

Appendix C - Hazardous Materials Onboard Aircraft 10-30 

Appendix D -Hazardous Materials Incident Report: DOT Form F5800.. 10-32 

Appendix E - Notification of Hazardous Material Policies and Operation 

Specifications 10-33 

Appendix F -Acceptance Checklist: Non-Radioactive 10-34 

Appendix F - Acceptance Checklist: Radioactive 10-36 

Appendix G - FedEx Procedures 10-38 

Appendix H -Aircraft Procedures 10-40 

GENERAL OPERATIONS MANUAL 

IhU 
10-4 

Date: 02/23/07 

Revisior>: 38 AIRLINESHAZARDOUS MATERIALS 

This Page Intentionally Left Blank 

GENERAL OPERATIONS MANUAL 

n-n 
<5. 

General 

AIRLINESHAZARDOUS MATERIALS 

10-5 

Date: 02/23/07 

Revision: 38 

A. Notwittistanding the contents of this manual, we are responsible for 

compliance with all provisions of the Hazardous Material Regulations 

(HMR), Title 49, Code of Federal Regulations (49 CFR) and the 

Federal Aviation Regulations, Title 14 CFR. 

B. A current copy of this manual and the Hazardous Materials (HM) 

regulations found in 49 CFR Parts 107-185 (or a current copy of: 

the International Civil Aviation Organization (ICAO) Technical 

Instructions for the Safe Transport of Dangerous Goods by Air or the 

International Air Transport Association (LATA) Dangerous Goods 

Regulations) shall be available at each station. 

C. This Hazardous Materials Operations Manual shall be followed 

by each crewmember and person performing or directly supervising 

any of the following job functions involving any item for transport 

on board, attached to, or suspended from an aircraft: acceptance, 

rejection, handling, storage incidental to transport, packaging of 

company material, or loading. 

D. No employee, agent, or contract employee may prepare HM for 

shipment, including Company Material (COMAT), unless trained in 

this function. The terms Daiigerous Goods and Hazardous Materials 

are synonymous and may be used interchangeably. Dangerous goods 

and hazardous materials are sometimes also referred to as regulated 

materials, restricted articles, and dangerous materials. Definitions 

of connmon terms applicable to HM are found in 49 CFR 171.8, 

Definitions and Abbreviations. 

E. We shall not use or allow any crewmember or person to perform 

or directly supervise any job function in the Training Reference Table 

(Part Two), unless that person has satisfactorily completed our FAAapproved initial or recurrent hazardous materials program within the 

past 24 months. Exceptions for new hires, persons performing a new 

job function, and persons who work for more than one certificate 

holder are specified in 14 CFR 121.1005(b) and (c) or 135.505(b) and 

(c). An exception for operations in foreign locations is specified in 14 

CFR 121.1005(0 or 135.505(f). 

F. The notice required by 49 CFR 175.26 shall be prominently 

displayed at each facility locations where cargo is accepted. 

G. Each repair station performing work for or on our behalf shall be 

notified in writing of our policies pertaining to hazardous materials (14 

CFR 121.1005(e) or 135.505(e)). This notification requirement only 

GENERAL OPERATIONS MANUAL 

i,-S 
10-6 

Date: 02/23/07 

Revision: 38 

^ . 

AIRLINESHAZARDOUS MATERIALS 

applies to repair stations that are regulated by 49 CFR Parts 171-180. 

(See Appendix E) 

Acceptance Procedures 

A. Persons (shippers) offering Hazardous Materials (HM) for air 

transportation are responsible for properly identifying, describing, 

classifying, packaging, marking, and labeling the materials as required 

by either 49 CFR or ICAO. They are also responsible for properly 

completing the communications and packaging requirements prior to 

offering the shipment for transportation. 

B. Employees, agents, and contract employees may rely on the 

certification and information provided by the shipper to determine if 

the HM shipment is authorized for air transportation. All employees, 

agents, and contract employees responsible for the acceptance of cargo 

or baggage shall be provided a trigger list of indicators of undeclared 

HM to assist them in their review. (See Appendix A, Hidden Shipment 

Indicators) 

C. Domestic shipments may be offered in compliance with either 49 

CFR or ICAO requirements. The shipper chooses which regulations 

to use and the chosen regulations must be comphed in their entirety. 

Shipments following ICAO must also comply with 49 CFR 171.11. 

If the shipment is offered in accordance with ICAO, the accepting 

employee, agent, or contract employee must also ensure that the 

shipper has complied with aU applicable US Variations to the ICAO 

Dangerous Goods Table. 

D. A checklist (See Appendix F, Acceptance Checklist) will be used 

and will include all reasonable steps to ensure that: 

(1) Any package containing HM which is damaged or leaking 

shall be refused without any further processing; 

(2) The material is properly described on the shipping papers; 

(3) The required certification is on the shipping papers; 

(4) The authorized package is marked and labeled as required; 

(5) The shipment is authorized to be transported by aircraft in the 

condition offered; and 

(6) Emergency response information accompanies the shipment. 

Shipping Documents and Certification 

A. If Offered Under Title 49 CFR: The proper shipping name for 

GENERAL OPERATIONS MANUAL 

/ A ^ 
<J. 

10-7 

Date: 02/23/07 

AIRLINES- Revision: 38 

HAZARDOUS MATERIALS 

each HM is found in 49 CFR 172.101, the Hazardous Materials 

Table (HMT). The basic description must include the proper shipping 

name (supplemented with the technical name(s), if required) found 

in Colunrn 2, the hazard class or division prescribed in Column 3 

along with any subsidiary hazard class or division as in Column 6, the 

identification number prescribed in Column 4, and the packing group 

in roman numerals prescribed in Column 5. This basic description 

must be in proper sequence. "Cyclobutyl chloroformate, 6.1, (8, 3), 

UN2744, PG n" 

B. Alternatively, the basic description may be shown with the 

identification number listed first. "UN2744, Cyclobutyl chloroformate, 

6.1, (8, 3), PG n" Listed next is the total quantity of the material by 

weight or volume and type of packaging. The emergency response 

telephone number and additional entry requirements follow the 

basic description and quantity when required. The shipper's 

certification must appear on the shipping document and be signed by a 

representative of the shipper. 

C. If Offered Under ICAO: HM must be accurately described on the 

dangerous goods transport document by its proper shipping name 

(supplemented with the technical name(s) if required), class or when 

assigned - division, any assigned subsidiary hazard class or division 

number(s), UN number, and the appropriate packing group. These 

four elements of the basic dangerous goods description must be 

provided in the proper sequence. In addition to the basic dangerous 

goods description, the following information must be included 

on the dangerous goods document: total quantity of HM covered 

by the description of each item of HM bearing a different proper 

shipping name, UN number or packing group, the number and type 

of packaging, and packing instructions. The emergency response 

telephone number and additional entry requirements follow the basic 

description and quantity. "Acetyl chloride, 3 (8), UN1717, II" 

D. Alternatively, the basic description may be shown with the 

identification number listed first. "UNI 717, Acetyl chloride, 3 (8), II" 

E. If Offered Under 49 CFR or ICAO: Two copies of the shipping 

papers must be provided with the shipment. One copy must 

accompany each shipment, and one copy must be retained for one (1) 

year after the shipment is accepted. Shipping papers must be made 

available to an authorized official upon request. For a hazardous waste, 

each shipping paper copy must be retained for three years after the 

material is accepted. Each shipping paper copy must include the date 

of acceptance. 

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HAZARDOUS MATERIALS 

C. Markings and labels identifying handling instructions are: 

(1) "Cargo Aircraft Only" label (See 49 CFR 172.402) 

(2) "Magnetized Material" label (See 49 CFR 173.21(d) and the 

ICAO Dangerous Goods List for magnetized materials) 

D. Unless excepted, orientation markings/labels are required on 

packages containing liquids (t t) (See 49 CFR 172.312). 

E. These markings and labels are depicted on the Hazardous Materials 

Marking, Labeling & Placarding Guide. (See Appendix B, DOT Chart) 

Placards 

A. Unit Loading Devices (ULD's)/freight containers over 640 cubic 

feet capacity containing HM, must be placarded in accordance with 

49 CFR 172.512(a). ULD's/freight containers less than 640 cubic 

feet capacity containing HM must either be placarded or labeled in 

accordance with 49 CFR 172.512(b). 

Rejection of Non-Compliant HM 

A. Non-compliant HM shipments shall be rejected and segregated 

from all other cargo shipments to prevent accidental introduction 

into the transportation system. A record of rejected shipments should 

be maintained. Any shipment not in compliance must be properly 

disposed of or corrected in accordance with the HMR for further 

transportation. 

Company Materials (COMAT) 

A. COMAT is an industry term developed and used by certificate 

holders and is generally used to describe a wide array of company 

materials including replacement items for installed equipment and 

consumable materials. (See Appendix C, Hazardous Materials 

Onboard Aircraft) 

Shipping / lYansporting of COMA T 

A. All COMAT shall be evaluated and identified by its hazardous 

or non-hazardous classification. All necessary measures to ensure 

that the HM COMAT is transported in full compliance of the 

Hazardous Material Regulations (HMRs) shall be taken. The offering 

of HM COMAT is a shipper function under the HMRs. Shipper's 

responsibilities include classifying, documenting, declaring, marking, 

labeling, and packaging a HM shipment. These responsibilities apply 

to all HM COMAT shipments for any mode of transportation. Anyone 

who accepts or carries its own HM COMAT is considered a transporter 

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under the HMRs. The offering and acceptance functions should 

be accomplished by separate employees. Employees, agents, and 

contractors who prepare and/or offer HM shipments for transportation 

must receive additional function-specific training to satisfy all of the 

requirements for shippers under 49 CFR Part 172, Subpart H. • 

H M COMA T Exceptions (49 CF R 175.8) 

A. There are three exceptions to the transport of HM COMAT. 

(1) When an operator transports its own replacement items 

(spares, COMAT), they can utilize packaging specifically 

designed for the transport of the aircraft spares and supplies 

provided that such packaging have at least an equivalent level of 

protection as required by the HMRs. 

(2) When an operator transports its own replacement items 

(spares, COMAT), aircraft batteries are not subject to the 

quantity limitations such as those in 49 CFR 172.101 and 

175.8(a)(3). 

(3) Tires that are inflated to a pressure not greater than their 

rated inflation pressure, are not subject to the requirements of the 

HMRs. (See 49 CPTl 172.307) All COMAT received from Repair 

Stations and Parts Suppliers shall be scrutinized to determine if 

the material is HM before introducing it into the transportation 

system. 

Loading/Stowage/Handling Procedures 

A. No employee, agent, or contract employee, unless trained in>this 

function, may load or transport aboard an aircraft any HM unless 

the shipment has met acceptance and packaging requirements, and 

the Pilot-In-Command notification has been completed (See 49 CFR 

175.30 and 175.33). 

Storage Incidental to Transport/Movemen t 

A. Title 49 CFR Part 171.1 contains information designed to clarify 

and define the applicability of the HMRs regarding persons and 

functions. Included in this section under Transportation Functions 

(171.1(c)(4)), is fiulher information on the Storage Incidental to 

Transport/Movement. It defines the term and clarifies that Storage 

Incidental to Transport/Movement does not include storage of a HM 

once it has arrived at its final destination as shown on the transport 

document. 

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HAZARDOUS MATERIALS 

Stowage and Segregation 

A. For stowage on an aircraft, in a cargo facility, or at any other area 

at an airport designated for the stowage of HM, packages containing 

HM which might react dangerously with one another may not be 

placed next to each other or in a position that would allow a dangerous 

interaction in the event of leakage. At a minimum, the segregation 

instructions prescribed in the Segregation Table below must be 

followed to maintain acceptable segregation t)etween packages 

containing HM with different hazards. The Segregation Table 

instructions apply whether or not the class or division is the primary or 

subsidiary risk. (See 49 CFR 175.78) 

Segregation Table 

Hazard 

Label 

1 

2 

3 

4.2 

4.3 

5.1 

5.2 

8 

Class or Division 

1 

Notel 

Note 2 

Note 2 

Note 2 

Note 2 

Note 2 

Note 2 

Note 2 

2 

Note 2 

3 

Note 2 

X 

4 

Note 2 

X 

5 

Note 2 

X 

6 

Note 2 

X 

X 

.^_ 

• 

7 

Note 2 

— 

"* 

— 

8 

Note 2 

X 

A. Section 175.78(c) Instructions for using the Segregation Table are 

as follows: 

(1) The dashes at the intersection of a row and column indicate 

that no restrictions apply. 

(2) The letter "X" at the intersection of a row and column 

indicates that packages containing these classes of hazardous 

materials may not be stowed next to or in contact with each other, 

or in a position which would allow interaction in the event of 

leakage of the contents. 

(3) Note 1. "Note 1" at the intersection of a row and column 

means the following: 

(i) For explosives in compatibility groups A through K and 

N -

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(a) Packages bearing the same compatibility group 

letter and the same division number may be stowed 

together. 

(b) Explosives of the same compatibility group, but 

different divisions may be stowed together provided the 

whole shipment is treated as belonging to the division 

having the smaller number. However, when explosives 

of Division 1.5 Compatibility Group D, are stowed 

together with explosives of Division 1.2 Compatibility 

Group D, the whole shipment must be treated as 

Division 1.1, Compatibility Group D. 

(c) Packages bearing different compatibility group 

letters may not be stowed together whether or not they 

belong to the same division, except as provided in 

paragraphs (c)(3)(ii) and (iii) of this section. 

(ii) Explosives in Compatibility Group L may not be 

stowed with explosives in other compatibility groups. They 

may only be stowed with the same type of explosives in 

Compatibility Group L. 

(iii) Explosives of Division 1.4, Compatibility Group S, may 

be stowed with explosives of all compatibility groups except 

for Compatibility Groups A and L. 

p (iv) Other than explosives of Division 1.4, Compatibility 

I Group S (see paragraph (c)(3)(iii) of this section), and 

I Compatibility Groups C, D and E that may be stowed 

I together, explosives that do not belong in the same 

51 compatibility group may not be stowed together. 

i (a) Any combination of substances in Compatibility 

;| Groups C and D must be assigned to the most 

;j appropriate compatibility group shown in Sec." 

ij 172.101Table of this subchapter 

;l (b) Explosives in Compatibility Group N may be 

j? stowed together with explosives in Compatibility 

J Groups C, D or E when the combination is assigned 

1 Compatibility Group D. 

;; (4) Note 2. "Note 2" at the intersection of a row and column 

1 means that other than explosives of Division 1.4, Compatibility 

Group S, explosives may not be stowed together with that class. 

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(5) Packages containing hazardous materials with multiple 

hazards in the class or divisions, which require segregation in 

accordance with the Segregation Table need not be segregated 

from other packages bearing the same UN number. 

(6) A package labeled "BLASTING AGENT" may not be stowed 

next to or in a position that will allow contact with a package of 

special fireworks or railway torpedoes. 

B. Poisons: Packages bearing the poison/toxic or infectious substance 

label may not be stowed in a ground facility or transported in the same 

compartment of an aircraft with material known to be foodstuffs, feed, 

or any otheir edible material intended for consumption by humans or 

animals unless loaded in separate ULD's which are not adjacent to 

each other. 

C. Radioactive Materials (RAM): While in transport or storage, no 

more than 50.0 Transport Index (TI) of RAM may be stored in any one 

group of packages. Any group of packages containing 50.0 TI must 

be separated from any other package or group of packages containiiig 

RAM by a distance of 20 feet. No package or group of packages may 

be placed in a position that is closer to that position which may be 

continuously occupied by people or animals or to undeveloped film 

than the distances allowed in 49 CFR Parts 175.701, 175.702, and 

175.706. 

Pre-Board Inspection 

A. General Inspection - No employee, agent, or contract employee 

shall load any package, outside container, or overpack containing HM 

aboard an aircraft, into a freight container, or onto a pallet prior to 

loading it aboard an aircraft unless immediately before doing so that 

person has inspected the exterior of the package, outside container, 

or overpack and determined that it has no holes, leakage.'or other 

obvious indications that its integrity has been compromised. The preboard inspection is not required for shipments of dry ice (C02 sohd), 

magnetized materials, or freight containers of ORM-D-AIR materials 

packaged by, and offered by, a single shipper. (See 49 CFR 175.30) 

B. Unit Load Devices (ULDs) containing HM must be inspected 

for damage or leakage prior to being loaded on the aircraft. (See 49 

CFR 175.88) Packages, overpacks, or ULDs containing HM must 

be inspected after being unloaded from the aircraft. Any evidence of 

leakage or damage requires further inspection of the aircraft and the 

ULD (if applicable) where the HM was stowed. (See 49 CFR 175.90) 

GENERAL OPERATIONS MANUAL 

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^^^JEm/xriB 

AIRLINESHAZARDOUS MATERIALS 

Radioactive Materials (RAM) 

A. Radioactive Contamination - Aircraft used routinely for the " 

transport of Class 7 (radioactive) materials shall be periodically 

checked for radioactive contamination. If the level of contamination 

exceeds 0.5 millirem per hour the aircraft must be taken out of service 

and may not again be placed in service or routinely occupied until the 

radiation dose rate at any accessible surface is less than 0.5 millirem 

per hour and there is no significant removable radioactive surface 

contamination. (49 CFR 175.705) 

B. Separation Distances for Animals - The separation distance 

between the surfaces of all Radioactive Yellow II and Yellow-III 

packages, overpacks, or freight containers must beseparated from live 

animals by a distance of at least 0.5 meters (20 inches) for journeys 

not exceeding 24 hours and at least 1.0 meters (39 inches) for journeys 

longer than 24 hours. (49 CFR 175.701-702) 

C. Cargo-Only Aircraft - In addition to any other requirement, 

packages requiring a radioactive Yellow II or III label must meet the 

following loading requirements: 

(1) No single package carried on a cargo-only aircraft may 

exceed a TI of 10.0. The combined TI of all the packages on the 

aircraft may not exceed 2(X). TTie combined critical index of all 

the packages on the aircraft may not exceed 50 on non-exclusive 

use cargo aircraft, or 100 on exclusive use cargo aircraft of fissile 

material (additional instructions must be developed by both 

shipper and carrier) 

(2) The total TI of all of the packages loaded on the aircraft does 

not exceed 200.00 and each package is loaded and carried on the 

aircraft in accordance with the separation distance of 49 CFR 

175.702 and be secured so as to prevent any movement in flight 

which would damage or change the orientation of the package. 

(3) The TI for any group of packages cannot exceed 50.0 and 

each group must be separated by at least 20 feet fi"om any other 

as measured from the outer surface of each group. For purposes 

of this paragraph, the term "group of packages" means packages 

that are separated from each other in aircraft by a distance of 20 

feet or less. 

GENERAL OPERATIONS MANUAL 

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HAZARDOUS MATERIALS 

Quantity and Loading Table 

April 2006 

PASSENGER AtRCRAFT 

Pattages Authorind lor Tiwuport Onboard a PatMroar AlniWI 

In an accaaaUa ca<Bo ooffipartmaflt 

• a In a UwlffA oortMhw 

20 kg pi 

75tcgo(DMelonZ.Zin 

CS1^ par oaniatM* pkw an addUona' 7a 

KgotDhWen 2.2 malarial 

In an Inaooatabk cuga oompaftmanl 

H puhaoaa a n nat h a Mg N oontalnti II pKkagaa aia bi a ta^iH oontakar 

n hfl par compaitmanl plut an adAlantl 7& kg of iMalon 2.2 tS kB par eonvvnart f* u an addUnnal 7B k0 ot DhMon e.a 

CAnoO ONLY AinCRAFT 

Padiagaa Authoftiad tor Trvupon Onboanl a PaaMnciar Ahcnil 

Bicfela CMBD eMnpaiknart 

If pachagai ar* acoaaaUa H padiagaa «» h a fral^i cmalnar 

25 ho par carrvaitnani phw wi adcttbnal 78 

Kg al DhWon t.2 malarW 

as hg P« eonlainar phia an addtknal 79 

taolOtifl*lon2.Snietarial 

In VI Inaccauklttcargo eonqwtTMrt 

N padcapai ara not In a IralBN offllahs • pacMpaaaialnafcaitfUoorUahf 

2Skg parcompvbnani phi* v i addNlonal 7S kg of DMtlon 3.2 23lqipar 

maiaiW 

7S kg ol DMatan Z.2 

Padagaa Only AuthortEsd for Twuport Aboard a Cafgo Akcmk 

bi an aocauS)la oaiijo oompaitnanl 

II pa(*agaa ar* haccauMa ir padiaoa* ara In a M( ^ Mrtafciar and If packagaa ar» h a Iralghl oonlahar and 

FotbWdan 

EuafA tha totowtng maleriala at* not 

«jb)ad to fih raaMcfloRi 

a. Ckaa S, ra II (unloaa tha haiartbus 

naiarW nwala r a datntbn ot vioihar 

hazard otaai) 

b. Claaa 8. ^Jnlau atao Wwlad ai a 

FofbJddKk...., ..„ 

Exapt ha Uowhg matariak am pwi 

•ufafact to IHa (aaWcttm 

a. Ou t i . p a III (uniHa Iha hazardoua 

laatoihl naau flia dalMton of anoihar 

o. Cteaa 7, (unlaaa tha haxar^oua 

matarialmaaUi' 

haxanJdaai) 

ki an kMuraiaHa cargo oomparkMnl 

If pachagaa ai» not ki a kalgtit oontahar ara h a fta^ oonkhar 

EMMpi ha fotmrfng malariala ara not aublaol to Ha 

a. Oaai 3. PG Ht (latlaaa tta hazardMa malartal maal* Ih* dainUon o< anothar 

haianJdaaa) 

b. Chat e. (unlau alM labatod aa a IbnmuUa I91U} 

c; Qasa 7, (lattoM iha hanrdoua nialarM maala ha dalnlkin of anothar haianl 

claaa} 

Ettapl ha lolowfc« malarWa ata not a>*|ad 10 IT* 

a. Ckaa 3l PQ U (urriaaa ha haiardMia aitMlal n 

hai«d(*i 4 

b. CttM e. (unlaaa atao hbilad a* a hnanabta Iqi 

0. Claaa 7. (inlaaa ha hatanlou* malaHaJ maatf f 

totanothai 

I dafhttan ot anohar hazard 

Note: No limitations apply to Class 9 or ORM-D-AIR aboard an aircraft. (Sec 49 CFR 175.75) 

GENERAL OPERATIONS MANUAL 

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Revision: 38 

^ , 

AIRLINESHAZARDOUS MATERIALS 

Orientation and Securing of HM Packages 

A. A package containing HM marked or labeled to indicate proper 

orientation will be loaded and secured in accordance with such 

markings or labels. Liquid HM without such markings will be loaded 

and secured with closures up. HM packages will be secured to prevent 

any movement in flight that would result in damage to or change in 

orientation of the packages. (See 49 CFR 175.88) 

HM Location and Quantity Limitations Aboard Aircraft 

A. No HM package may be carried in the cabin of a passenger-carrying 

aircraft or on the flight deck of any aircraft. HM may be carried in a 

main deck cargo compartment of a passenger aircraft provided "that 

the compartment is inaccessible to passengers and that it meets all 

certification requirements for a Class B aircraft cargo compartment in 

14 CFR 25.857Cb) or for a Class C aircraft cargo compartment in 14 

CFR 25.857(c). 

Cargo-Only Aircraft (CAO) Packages 

A. Each CAO package must be loaded in siich a manner that a crew 

member or other authorized person can see, handle, and when size and 

weight permit, separate such packages from other cargo during flight. 

See 49 CFR 175.75(e) for exceptions to this requirement. 

Emergency Response Information 

A. A HM shipment shall not be accepted without emergency response 

information immediately available. Emergency response information 

means information that can be used in the mitigation of an incident 

involving HM. This information may come in the form of a North 

American Emergency Response Guidebook (ERG), Material Safety 

Data Sheet (MSDS), the ICAO "Emergency Response Guidance for 

Aircraft Incidents Involving Dangerous Goods" (ICAO Redbook), 

or equivalent information as provided by the shipper. Emergency 

response information must be immediately available where the HM 

is received, stored, or handled during transportation. Emergency 

response information must also be immediately available onboard 

the aircraft while HM is being transported. (See 49 CFR 172.600(c) 

for Exceptions) An emergency response telephone number shall be 

provided on the shipping document offered with HM packages. See 

49 CFR 172.604(c) for additional information on when an emergency 

response telephone number is not required. The ERG can be ordered or 

downloaded at: http://hazmat.dot.gov/pubs/erg/gydebook.htra. 

GENERAL OPERATIONS MANUAL 

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AIRLINES10-17 

Date: 02/23/07 

Revision: 38 

HAZARDOUS MATERIALS 

Pilot-In-Command Notification 

A. The Pilot-In-Conunand (PIC) must be given accurate and legibly 

written information as early as practicable before departure regarding 

the HM proper shipping name, hazard class, identification number, 

packing group, total packages, and net quantity or gross \veight for 

each HM, location aboard the aircraft, confirmation that no damage 

or leaking packages have been loaded. For RAM, the number of 

packages, overpacks, or ULD's/freight containers, category, transport 

index (if applicable), and their location aboard the aircraft are required. 

(See 49 CFR 175.33) 

B. The date of the flight must be listed and the telephone number of a 

person not aboard the aircraft from whom the information contained 

in the notification of the PIC can be obtained must be included on the 

notification unless the number is in a location in the cockpit that is 

available and known to the flight crew. (See 49 CFR 175.33(a)(7-8)) 

C. A copy of each notification of pilot-in-command must be retained 

at the airport of departure or the operator's principal place of business 

for 90 days. This information must be readily accessible at the airport 

of departure and the intended airport of arrival for the duration of the 

flight leg and make this information immediately available to any 

representative of a Federal, State or local government agency who is 

responding to an incident involving the flight. (See 49 CFR 175.33(c)) 

D. If the PIC loads the aircraft, that individual must perform the 

pre-board inspection required. If someone other than the PIC loads 

the aircraft and conducts the pre-board inspection, that person 

shall provide the PIC with written notification. A copy of the PIC 

notification must be readily available to the PIC during flight. 

Emergency response information concerning HM on board must be 

available to the PIC. (See 49 CFR 172.602 (c)(1)) 

Special Flights / Special Permits (Exemptions) 

A. Specific requirements for the transport of flammable liquid fuel 

when other means of transportation are impracticable, on small 

passenger-carrying aircraft operating within the State of Alaska or 

into a remote area, in other than scheduled passenger operations, 

and on a cargo aircraft, is authorized only when the provisions of 

49 CFR 175.310 are met. Operations covered by 175.310 require 

additional conditions and limitations to be accepted by our FAA POI 

with coordination from the FAA Hazardous Materials Office (49 CFR 

175.310(e)). FUghts made under the provisions of a DOT Special 

GENERAL OPERATIONS MANUAL 

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^ . 

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HAZARDOUS MATERIALS 

Permit (Exemption) or approval must comply with the conditions 

specified in the Special Permit or approval. 

B. Any approved Special Permit or approval shall be retained as an 

Appendix to this manual. 

C. Information regarding the exception for aerial dispensing 

or expending of HM may be obtained from the FAA POI with 

coordination from the FAA Hazardous Materials Office. (See 49 

CFR175.9) 

HM Exceptions for Passenger and Crew Members 

A. Certain materials that are normally regulated as HM are excepted 

from the HMR. A summary of commonly utihzed exceptions of this 

regulation are provided in this section. AU available exceptions are 

Usted in 175.10 to include matches/lighters, implanted medical devices 

and radiopharmaceuticals, alcoholic beverages, butane powered curling 

irons, small thermometers, small arms ammunition, dry ice, self 

inflating life jacket, compressed gas for medical limbs, and electrically 

powered heat producing articles. A current copy of Title 49 CFR Part 

175 or a printout of the applicable sections from the internet will be 

maintained for reference, http://ecfr.gpoaccess.gov or http://hazmat. 

dot.gov 

B. HM Carried by Passenger or Crew Members - Personal use items 

carried by passenger or crew members are allowed under the following 

conditions: 

(1) Non-radioactive medicinal or toiletry articles (including 

aerosols) may be carried in checked or carry-on baggage. 

(2) Any Division 2.2 aerosol with no subsidiary risk and a 

protective cap (checked baggage only). 

(3) The aggregate quantity of all HM items carried by each person 

allowed in 1-2 above may not exceed 70 oz. (2 kg) by mass or 68 

fl. oz. (2 L) by volume. Each individual container cannot exceed 

18 oz. (0.5 kg) by mass or 17 fl. oz. (500 ml) by volume. 

(4) One self-defense spray not exceeding 4 fl. oz. that incorporates 

a positive means to prevent accidental discharge (checked 

baggage only). 

Acceptance of Wheelchair / Mobility Aids 

A. Battery-powered wheelchairs/mobility aids can be accepted as 

baggage. 

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HAZARDOUS MATERIALS 

B. Wheelchairs/mobility aids will NOT be transported if it exhibits 

evidence of previous leakage or damage. Wheelchair batteries are 

either "spillable" or "non-spillable". 

(1) Non-Spillable Batteries in a Wheelchair / MobiUty Aid 

(a) Non-Spillable batteries may be accepted for transport 

with the battery attached when properly prepared for 

shipment. 

(b) The battery must be disconnected and terminal and end 

cables are insulated to prevent short circuits. 

(c) The battery must be securely attached to the wheelchair/ 

mobility aid. 

(d) A visual inspection must not reveal any obvious defects. 

(e) Batteries manufactured after September 30, J 995, 

must be marked on the outside of the battery case, "NONSPILLABLE" or "NON-SPILLABLE BATTERY." If the 

wheelchair/mobility aid cannot be loaded/stowed in an 

upright position, it is advisable that the battery be removed 

and terminals are insulated to prevent short circuits. 

(2) Spillable Batteries in a Wheelchair / Mobility Aid 

(a) Spillable batteries may be accepted for transport with the 

battery attached when properly prepared for shipment. 

(b) The battery must be disconnected and terminal and end 

cables are insulated to prevent short circuits. 

(c) The battery must be securely attached to the wheelchair/ 

mobility aid. 

(d) A visual inspection must not reveal any obvious defects. 

(e) The wheelchair/mobihty aid must he loaded, stowed, 

secured, and unloaded in an upright position (If this cannot 

be accomplished the battery must be removed). 

(f) The Pilot-in-Command must be advised either orally or 

in writing prior to departure as to the location of the spillable 

battery aboard the aircraft. 

(3) Battery Removal - If a battery is removed from the 

wheelchair/mobility aid, the removal must be performed by 

qualified airline personnel only. The battery must be transported 

in strong, rigid packaging under the following conditions: 

GENERAL OPERATIONS MANUAL 

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<5. ^Emixns 

AIRUNES' 

HAZARDOUS MATERIALS 

(a) The packaging must be leak-tight and impervious to 

battery fluid. An inner liner may be used to satisfy this 

requirement if there is absorbent material placed inside of the 

liner and the liner has a leakproof closure; 

(b) The battery must be protected against short circuits, 

secured upright in the packaging, and be packaged with 

enough compatible absorbent material to completely absorb 

liquid contents in the event or rupture of the battery; and 

(c) The packaging must be labeled with a CORROSIVE 

label, marked to indicate proper orientation, and marked with 

the words "Battery, wet, with wheelchair;" 

Lithium Batteries 

A. Personal use consumer electronic and medical devices (watches, 

calculators, cameras, cellular phones, lap-top computers, camcorders, 

hearing aids, etc.) containing hthium cells or batteries, and spare 

hthium'batteries and cells for these devices, are allowed in checked or • 

carry-on baggage. Each installed or spare lithium battery must confirm 

to the following: 

(1) The lithium content of the anode of each cell, when fully 

charged, is not be more than 5g; and 

(2) The aggregate hthium content of the anodes of each battery, 

when fully charged, is not more than 25g. 

Repair Station Notification 

A. Each repair station regulated under 49 CFR Parts 171-180 

performing work for or on our behalf must be notified in writing of 

our poUcies and operation specifications pertaining to its "Will Carry" 

HM status in accordance with 14 CFR 121.1005(e) or 135.505(e). It is 

acceptable to notify all repair stations our HM policies and operation 

specifications. Each repair station must acknowledge receipt of the 

above notification. A record of the acknowledgement receipt should 

be kept together with the notification. (See Appendix E, Repair Station 

Notification) 

Notification of HM Incidents, Discrepancies and 

Required Reports 

A. Reporting of Incidents (See 49 CFR 171.15) 

(1) A HM incident shall be reported, as soon as practical but no 

later than 12 hours after the occurrence the incident, by telephone 

GENERAL OPERATIONS MANUAL 

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HAZARDOUS MATERIALS 

to the National Response Center (NRC) at 800-424- 8802 

(toll free) or 202-267-2675 or electronically at http://hazmat. 

dot.gov/spills.htm. Notice involving an infectious substance 

may be given to the Director, Centers for Disease Control and 

Prevention at 800-232-0124 (toll free) in place of the notice to 

the NRC, This includes incidents that occur during the course 

of transportation (including loading, unloading, or temporary 

storage) in which: 

(a) A person is killed; or 

(b) A person receives injuries requiring hospitalization; or 

(c) An evacuation of the general public occurs lasting one 

or more hours; or 

(d) One or more major transportation arteries or facilities 

are closed or shut down for one hour or more; or 

(e) The operational flight pattern or routine of an aircraft is 

altered; or 

(f) Fire, breakage, spillage, or suspected radioactive 

contamination occurs involving shipment of RAM; or 

(g) Fire, breakage, spillage, or suspected contamination 

occurs involving shipment of infectious substances 

(etiologic agents); or 

(h) A situation exists of such a nature (e.g., a^ontinuing 

danger to Ufe exists at the scene of the incident that, in the 

judgment of the carrier, it should be reported to the NRC 

even though it does not meet the criteria of paragraph l)(a) 

thru (g) of this section. 

(2) Radioactive Materials (RAM) - In addition to the 

notification to the NRC, a notification must be made at the 

earliest practicable moment to the shipper of the RAM involved 

in the incident. 

(3) Filing an Incident Report (See 49 CFR 171.16) A report 

shall be submitted on DOT Form F 5800.1 (01-2004), within 

30 days of the date of discovery, for each incident that occurs 

during the course of transportation (including loading, 

unloading, or storage, incidental thereto) in which any of the 

circumstances set forth in 49 CFR 171.15(b) occurs, there has 

been an unintentional release of hazardous materials from a 

package or quantity of hazardous waste has been discharged 

GENERAL OPERATIONS MANUAL 

//-2y 
10-22 

Date: 02/23/07 

Revision: 38 

^ . 

AIRLINESHAZARDOUS MATERIALS 

during transportation, or undeclared hazardous materials are 

found in cargo or baggage. 

Exception: Undeclared hazardous materials discovered 

in baggage during the airport screening process are not 

subject to filing a DOT F5800.1. Such items in baggage 

must be reported as a discrepancy per 49 CFR 175.31. 

(See Section VIII.B) 

(4) A copy of DOT Form F 5800.1 (01-2004) will be forwarded 

to: 

(a) Information Systems Manager, PHH-63 

Pipeline and Hazardous Materials Safety Administration 

Department of Transportation 

Washington, DC 20590-0001, and 

(b) The nearest FAA Security Office in the region of 

discovery. 

(5) Instiuctions for completing DOT Form F 5800.1 (01-2004) are 

included in Appendix D. 

B. Reporting of Discrepancies (See 49 CFR 175.31) 

(1) In the event of a discrepancy relative to the shipment of 

hazardous material following its acceptance for transportation 

aboard an aircraft, notification to the nearest FAA Security 

Office, by telephone or electronically, shall be made as soon as 

practicable, and shall provide the following information: 

(a) Name and Telephone number of the person reporting the 

discrepancy. 

(b) Name of the aircraft operator. 

(c) Specific location of the shipment concerned. 

(d) Name of the shipper. 

(e) Nature of discrepancy. 

(f) Address of the shipper or person responsible for the 

discrepancy, if known 

(2) Packages or baggage which are found to contain hazardous 

materials subsequent to their being offered and accepted as other 

than hazardous materials (undeclared) must be reported. 

GENERAL OPERATIONS MANUAL 

,i-i< 
<ft 10-23 

Date: 02/23/07 

Revision: 38 

li Anchorage, AK 99502 

AIRLINESHAZARDOUS MATERIALS 

(3) Discrepancies involving hazardous materials which are 

improperly described, certified, labeled, marked, or packaged, in 

a manner not ascertainable when accepted under 175.30(a), must 

be reported. 

Emergency Response Contacts 

Contact Phone Number 

Center for Disease Control (800) 232-0124 

CHEMTREC (800) 424-8802 

For Radioactive Materials: 

Department of Energy (DOE) 202-586-8100 

Nuclear Regulatory Commission (NRC) 301-816-5100 

Alaskan Region Headquarters (907) 271 -5781 

Office of Security and Hazardous Materials 

4510 W. International Airport Rd., Suite 202 

Western-Pacific Region Headquarters (310) 725-3960 

Office of Security and Hazardous Materials - AWO-700 

PO. Box 92007 

Worldway Postal Center 

Los Angeles. CA 90009 

Great Lakes Region Headquarters (847) 294-7685 

Office of Security and Hazardous Materials - AGL-700 

O'Hare Lake Office Center 

2300 East Devon Avenue 

DesPaines.IL 60018 

Soutiiwest Region Headquarters (817) 222-5725 

Office of Security and Hazardous Materials - ASW-700 

2601 Meacham Boulevard 

Ft. Worth, TX 76193-0721F 

GENERAL OPERATIONS MANUAL 

n-zC 
10-24 

Date: 02/23/07 

Revision: 38 

^ . 

AIRLINES' 

HAZARDOUS MATERIALS 

Contact Phone Number 

Northwest Mountain Region Headquarters (425) 227-2720 

Office of Security and Hazardous Materials - ANM-700 

FAA Building 

1601 Lind Avenue, S.W. 

Renton, WA 98055-4056 

M 

FAA Flight Standards District Office 

(GEG FSDO) 

^Notes : 

(800)341-2623 

(509) 353-2434 

(1) The North American Emergency Response Guidebook 

is a valuable resource to have for handling HM incidents. 

http://hazmat.dot.gov/pubs/erg/gydebook.htm 

(2) The Emergency Response Telephone number provided 

oh the Dangerous Goods Declaration (shipping papers) 

should be utilized as a resource in a HM incident. 

Appendix A - Hidden Shipment Indicators 

A. Cargo and baggage that are offered under a general description 

might have hazards that are not apparent. The Hazardous Materials 

Table in 49 CFR Part 172 is not complete, and shippers and passengers 

may not be aware of this. Some of these consignments have caused 

incidents that could have seriously endangered the safety of the aircraft 

and/or its passengers. 

B. Please be alert to these possible hazards. Items found containing a 

hazardous material need to be shipped in accordance with the 49 CFR/ 

ICAO Technical Instructions. 

See table on following page. 

GENERAL OPERATIONS MANUAL 

// 19 
< ) . 

AIRLINES' 

10-25 

Date: 02/23/07 

Revision: 38 

HAZARDOUS MATERIALS 

INAME 

Aircraft Parts/COMAT 

1 Automobile Parts (car, motor, 

motorcyde) 

Breathing Apparatus/SCtJBA 

BuH (or ott\er animal) Semen 

Camping Equipment 

Chemicals 

Cryogenic (Uquid) 

Cylinders 

Dental Apparatus 

Electrical Equipment 

Electrically Powered 

Frozen Fruits, Vegetables 

Household Goods 

Instmments 

Laboratory/Testing 

Machinery Parts 

Medical Supplies/Equipment (Test Kite) 

Pharmaceuticals 

Ptwto Supplies 

Refrigerators 

Repair Kits 

Samples for Testing 

Swimming Pool Supplies 

SWHcHSSiiirEliSiitrtairEqulpment or 

Instrument 

Tear Gas Dispensers 

Toys 

Tool Boxes 

Vaccines 

1 REMARKS 

May indicate the presence of chemical oxygen 

generators, flammable Kquids/solids, cofrosives, 

compressed gases, radioactive materials in aircraft 

parts and accessories, or general company materials. 

May contain cellulose paints, wet batteries, 

shocks/struts with nitrogen, air bag inllators/air bag 

1 modules, etc. 

May indicate compressed air or oxygen cylinders 

May Involve use of refrigerant (e.g.. Liquid Nitrogen) 

May contain flammable liquids, gas, or solids 

Often found to be hazardous 

Indicates low temperature, low pressure, or nonpressurized gas such as Argon, Helium, Meon, and 

Nitrogen 

May Indicate compressed gas 

May contain hazardous cfiemicals such as resins or 

soivento 

May contain magnetized materials or mercury in 

switch gear and electron tubes 

May contain wet batteries apparatus (wheelchairs, 

lawn mowers, goK carts, etc.) 

May be pacl<ed in Dry Ice (Solid Csubon Dioxide) 

May contain hazardous materials such as paint, 

aerosols, bleaching powder, etc. 

May conceal barometers, manometers, mercury 

switches, rectifier tubes, thennometers containing ' 

mercury 

May contain various hazardous chemicals 

May include hazardous chemicals (adhesfves, paints, 

sealants, solvents, etc.) 

May contain various hazardous chemicals 

May contain various hazardous chemicals 

May contain various hazardous chemicals 

May contain various hazardous chemicals 

May contain various hazardous materials (adheslves. 

solvents, cellulose paints, organic peroxides, etc.) 

May contain various hazardous materials (including 

infecUoUB substances) 

May contain acid, chlorine 

May eentain merticrry 

Contains irritating material or pepper gas which is 

forbidden on passenger aircraft 

May be made of celluloid or other ilartimable material 

May contain Flammable gases, liquids, adheslves. 

Cleaners, Corrosives, Oxidizers, etc. 

May be packed in Dry Ice (Soiki Carbon Dtoxide) 

'JS.Note 1: Articles w/hich do not fall within the hazardous materials definitions 

of 49 CFR and w/hich, in the event of lealcage, may cause serious cleanup 

problems or corrosion to aluminum on a long term basis, must be checi<ed 

by the shipper to at least ensure that the paci<aging is adequate to prevent 

leal<age during transportation. These may include brine, powered or liquid 

dyes, pickled foodstuffs, etc. 

"JS^Note 2: Magnetized material, as defined in 49 CFR, with a gauss reading of 

more than 0.00525 is forbidden for air transportation and a package with a reading of 

0.00525 or less is not regulated. The ICAO and lATA Regulations regulate magnetized 

material writh a reading between 0.002 gauss and 0.00525 gauss, thus requiring a 

magnetized material label. 

GENERAL OPERATIONS MANUAL 

tl'Z^ 
t 10-26 

Date: 02/23/07 

Revision: 38 

<J. 

AIRLINESHAZARDOUS MATERIALS 

Appendix B - DOT Chart - Hazardous Materials 

\Iarking, Labeling & Placarding Guide 

This DOT CHART is produced by the Pipeline and Hazardous 

Materials Safety Administration (PHMSA). It can be purchased 

individually or obtained for Free in their Outreach Training folder 

labeled, "HAZARDOUS MATERIALS SAFETY R\CK A." 

The DOT CHARTs and HAZMAT Pack A's can be ordered on-line at: 

https://hazmatonline.phmsa.dot.gov/services/pub_default.aspx 

Hazardous Materials Marking , 

Labeling & Placarding Guide 

Refer to 49 CFR, Part 172: 

Marking - Subpart D 

Labeling - Subpart E 

Plocording - Subpart F 

Emergency Response - Subpart G 

GENERAL OPERATIONS MANUAL 

n-z^ 
^ . Empire AIRLINES10-27 

Date: Q2JZ3IQ7 

Revision: 38 

HAZARDOUS MATERIALS 

GENERAL OPERATIONS MANUAL 

N-'iO 
10-28 

Date: 02/23/07 

Revision: 38 

^ . Empir e 

AIRLINESHAZARDOUS MATERIALS 

IIHIIIIIIIIBI 

I liitiii 

itllll „ 

111 i 

mm 

•if .5j 

GENERAL OPERATIONS MANUAL 

i/-/ / 
< > . 

AIRLINES -

10-29 

Date: 02/23/07 

Revision: 38 

HAZARDOUS MATERIALS 

General Guidelines on Use of Warning Labels and Placards 

LABf U 

$ • • 49 CFR, Fbrt 172, Sut>()ort E, (CK comp[«te lobttltfig regulolioni. 

> ThaHou>rdCKuMolofiob1abtel§172.101,Col.61id«nHhesllw 

piop v k>b«l(4 for Ihe horardoui motariol Hslsd. 

Any ponon who oHen o hoionkMji inal«dal for trantportolion MUST • Any ponon who olw n o hoionkMji mai^tUa Ic 

lobe) Ihe pockog*, if requked Ifil 72.400(o)|. 

• Lobab may ba oifiMd lo pockogM whati nol raqulrad by mgulolioni, 

pfovki«d ooch label nprvsenti a honmi o l lh« fnotoricd cvnkMfMd Jn 

•hftpockoeo ($172 40)1. 

• Th« op(>ropriate hoiord clou or divhion numbw must b« dnpioircd in 

th« lower comw of o primory ond lubtidlory hoioni lobol 

r§172.402<b)I 

' Fordatsat 1,2,3,4,5^ondB.lvitindkuHngahatofd(t.g. , 

'COMOSIVE*) a NOT r^quirad on o lobal. Tha bbal mud ofhatwisa 

conform lo Sul^iort C of Ptet 172 (S > 72.405|. 

' tobab mutf be prinlad on or olRxad to Iha turfoce of the pockoga naor 

Iha proper shipphg noma moiiing |§ 177.406{o)\. 

Whan priinory and Mfbefdjory tobab ora raqufrad, tfwy must bm 

dtpbyw l fteit lo each othar (fiI72.406[c)l 

For o podcooa contoining o CNvuion 6.1 , Ftodtine Group III molerial, 

Iha POISON lobal ipacWad in g l 72.430 may ba modifiad I D disploy 

•ha tat PG W Irulaod of POISON or TOWC. Abo t M 5172.313(d). 

The cloM number mutf ba dliployad on a (ubaidiory lobal. 

For TronsJIion 2005, tea $172.402|b). 

HACAID 5 

Sea 49 CFR, hut 172, Subpcwt F, for comptate plocording rcgulollont. 

* Eodi parson who oltaix kir Irontportolton or IrorHpom ony hoiordou) 

motariol wbfect lo Aa Hatoidows Molwtoli RegublKNu must comply 

vwHh all oppljcoUe raquiramcnb of So^xirt F (§172.500). 

* Plocordt may ba disployad lor o hoxvdout motartal, avan whan nol 

required, if the placarding criherwita conforms to the requlremenlB ol 

Svbport F ol Pbrt 172 e 172.502(c)). 

* For olher than Clots 7 or Iha DANGEROUS placord,»edindicolir«o 

hozord (e.B-, 'FIAMMA&IE^ i* nol raquirad. Text may ba omlHad from 

Iha OXYGEN plocortt only if tha spadftc ID number b disployad on Iha 

placofd|S172.519|blO)|. 

• For a plocord corrafpondirtg to iha prinnoty or tvbaiAop/ hoioid clo u ol I 

o malariol, ihe hoiord cloa or dMsion number rmjai be dbployad in the f 

lower corrwr of iha plocord. For TromiKon 200S, >ae gi72.5l9(bH4). 

Any Ironsport uehicia, baiehl contotnar, or roil cor contotning 

ony quonlity ol nnlarid liiled in Ibfale t musi be plocordad (§172.S041. 

Whan the gross weight of o l hoiordous materials in r>or>-bulk pocloigai I 

cowered In TM t 2 is less tfion 454 kg (),001 h^ . no plocord i» ' 

raquJrad on o Iwispoi l vahlde ot freight conloinar |{172.504{cll. 

Nolec See $172.SD4(l)()q tor ploconting DhUo n 6.1 , PG M 

moteriots. 

Plocoidad loods require regaJralton with USOOT. Saa § 107.601 

(or reoblrahon raQulolioruInhatatlon Hozord fttoMriols 

INHALATION 

HAZARD 

§172.540 §172.555 §172.3)3 

Motarialt which rrtaet the Inhololion loncily oilsrio have 

odditiorKil 'communicotion slondords' prascribed by tha HMR. 

Tlw words 'Poison-lnholotion Hazard' musJ be enlared on tha 

shfppbigpaper,asrequlre<fby5172.203fm){2). Fbcfcagfngs 

must be marked 'Inhalation Hoiord' or, olt«irwtiv*f)rj whan 

Iha words 'Inholotion Hoiard' appear on Ihe lobel or pbcard, 

the 'Inholotion Hozord' marfcing U nol required on Iha 

podcoge. Troraport vahicles, freight conloirters, podobta tanks 

ond unH load devices ihol contoin a poisonous molarlal 

subject lo tha 'Poisort-lnholoKon fHoiord' thippir^ description, 

must be plocorded with a POISON INHAIATION HAZARD or 

POISON GAS plocord, oi oppropiiote. This sholl be in 

oddlllon lo ony other plocord required (or Ihot moteriol 

[§I72.504|. 

Hocordlns liablM 

11172.504(e)) 

ToUa 1 ptocord orty quantity 

ic pHD^da, ifp* I, li^M4 w 

. EXKOSIVES 1.1 

. emosivcsi.a 

. vv^.cw^s^.3 

. roeoNGAS 

. IMNGCIOUS WHt.M Wtl 

. OfICM4JC mtONCt 

TaUa 2 (PkKotd 1,001 lie or mora) 

ComibMiaiUmutf .. 

. EWIOWES4.4 

. EVlOSNm.5 

. FlAMMABlECM 

NQN-FlAMMAaU &•& 

HAMMAME 

COMHAWU 

nAUhMJUsouo 

. SKWUNtOiniV CCMaUSTlBlE 

&.3 (01i«r ttvtn oiyunic pof^udi. tip* t. 

ZotMAorlg .. 

oAGAMtc niono c 

. COUOSfVE 

. aAss9||in.»i|ijw i 

- I«*M» 

For complete dalo4s, rafcr lo one or mora ol (he lolowino: 

' Coda of FedertJ IteoulDtkm, THie 49, Tran^Mrtolion, 

Flirts 100-185. [AH moi H 

• Inlemollonol CtvA AvioHon OiganboKon (ICAO) Tachnkal 

Inetfvcliane for tfta Sofa T^niporl of Dongaroui Goods by Air. (Ai*) 

• bilemolionaf Mwilima Dongaroua Goods (IMOC^ Coda. IWolarl 

• TronsporloHon of Oongerows Goods Raguloflorts of Tronsport 

Omodo . |RoX ond Highway) 

e CopiN oJ tri« Chott may ba cpbMnMj by 

U3. OeptMtnwil 

of TreniporioHon 

RaMonhoN d 

Phme: 202-366-2301 

t-mi t ftfiMngaapaLdol.ga>i 

VM> sfk: wwirJipo-doLpcw 

GENERAL OPERATIOMS MANUAL 

//'J ^ 
10-30 

Date: 02/23/07 

Revision: 38 

^ . ^Empire 

AIRLINES -

Appendix C 

Cessna 208 

HAZARDOUS MATERIALS 

Hazardous Materials Onboard Aircraft 

UFTCFEWOOOR f^"^ 

A ROUrc HANDLE DOVm 

AMDRmWMOTDQKN 

POftlDOM 

B. niLLDOOnGPEN. 

PBVOUT. 

HANDRnc" ^ 

EXTMOUMHEn 

niQHracwooo R 

A. ROllVE HANDLE DOWN 

MDFORWMOtDOPEH ENGINE O t 

B. PUUDOOROPiN. 

C F DOOR » JAMMED. 

PRY ou t 

L4_t tji j 

BATTERT (LFAEMCD o n MCADI 

•.tJfrJICD) ELECmXYTE'SUl/Unc 

ACID (NBADi ELECTnourTE-pobasiuu 

NTOnCNDE 

BATTERV » LOCATCO ON niOHT FomHWO 

SIDEOFFinCWMl 

BATTERV IS LOCATED H A SEALED CONTAMER 

VeinCOOUTHDCTW AlFPtANE 

ATR 42/72 

11M1 

By Vw Fnnl 

urBoDoDT 

1: NUSnIBMMy 

2: 0>ygtn Bo«M In Coelipll 

a: «nng1;MiksM<1ZUJ.|ai:ar 

4: EngiiWdn: i.n>uss«r. 

t PllgMIMiilKertfir(FINq 

Front Owgo Door 

1; PMfebi flip and pwli 

MWIMIillofkMMa^ 

X: PiiBliMidl*#aN«fito 

iitttockft*Joer. 

•nMcli««d«ir. 

<: UlltoerUli. 

Hydraulp AoMMiM M 

M>lN«IW«M,HHIlPHIa». 

GENERAL OPERATIONS MANUAL 

fi' V 
^ . 

AIRLINES10-31 

Date: 02/23/07 

Revision: 38 

HAZARDOUS MATERIALS 

Fokker F27 

© P(JH HANDLE ©UFTHANDlf ® PPCSSBUTTON. 

AWPUUDOOR ANDTURN. (lS PiKH WUWMMuuMi 

GENERAL OPERATIONS MANUAL 

WJ'f 
10-32 

Date: 02/23/07 

Revision: 38 

^ . 

AIRLINESHAZARDOUS MATERIALS 

Appendix D 

Hazardous Materials Incident Report: DOT Form F 

5800.1 (01-2004) 

A. The guide for preparing hazardous materials incident reports is kept 

current and available at Company headquarters. When a reportable 

hazardous materials incident occurs, the information required to 

complete the report, DOT Form F 5800.1, will be collected by the 

Director of Operations or designee and forwarded to the office of 

Hazardous Materials Transportation and the nearest FAA Field Office 

in the region of discovery 

B. DOT Form F 5800.1 can now be reported on-line to the DOT. 

The form can then be printed out and faxed, mailed, or emailed to 

your local FAA HM Field Office meeting the requirements of air 

incidents in 49 CFR 171.16. For assistance in completing the Incident 

Report Form 5800.1 or any questions regarding the incident reporting 

requirements, please call the Hazardous Materials Information Center 

at 800-467-4922. 

GENERAL OPERATIONS MANUAL 

//•jr 
^ . 

AIRLINEStO-33 

Date: 02/23/07 

Revision: 38 

HAZARDOUS MATERIALS 

Appendix E 

Notification of Hazardous Material Policies and 

Operation Specifications 

Date: 

To: 

From: Empire Airlines 

Empire Airlines is hereby notifying you of our policies 

and operation specifications concerning the transport 

of hazardous materials. This notification is conducted 

in accordance with the requirements of 14 CFR, Parts 

121.1005(e) or 135.505(e). In accordance with 14 CFR 

145.206(a), you are required to acknowledge receipt of 

this notUication back to us. 

Empire Airlines has an FAA approved Will-Carry HM 

Program as follows: 

Empire Airlines will accept and transport all properly 

declared and packaged hazardous materials including 

COMAT. 

GENERAL OPERATIONS MANUAL 

ii'lC 
10-34 

Date: 02/23/07 

Revision: 38 

^ . 

AIRLINESHAZARDOUS MATERIALS 

Appendix F 

Acceptance Checklist: Non-Radioactive - Page One 

Appendix F applies if the operator elects to accept and transport 

hazardous materials using the International Civil Aviation 

organization's "Technical Instructions" in addition to 49 CFR 

Hazardous Materials Regulations. 

April 2006 

APPENDIX F 

DANGEROUS GOODS CHECKUST FOR A NON-RADIOACTIVE SHIPMENT 

The recommended check list appearing on Ihe following pages is intended to verify shipments at 

origin. Never accept or refuse a shipment before all items have been checked. 

Is the fallowing information correct for each entry? 

SHIPPERS DECLARATION FOR DANGEROUS GOODS (DGD) 

1. Two copies In English Tonnst 

% Full nsmo and nUiess of Shipper 

3. Full ntme and addiess of Consignee 

penon leiponsibte for Division 6.2 

InlccliQos Substance shipment 

S i r Ihe Ait Waybill Is not shown, enter it 

7. iriU I nan« of Aiipoit or Cily ofDepatture 

>. The noiHip^licable Aitctan Type delaol 

9. The -m i "Kailioactive- deleted 

Identification JL%* ^'MB » • •• • ^ OT ^S \ r H 

10. riopet Shipping Name and the technical 

name In pAentheses Ibr asterisked enhiea 

11. Class or Division, sod for Class 1. the 

12. UN or 10 Nuodier, preceded t r prcruc 

IJ.PadddgOrou)) 

U.StibtidiaiyRisli 

YES NO«N/A 

O 

D 

D 

D 

P 

• 

D 

D 

n 

D 

D 

D 

D 

D 

D 

D 

D 

D 

n 

• 

D 

D 

D 

D 

D 

D 

D 

D 

Quantity and Type of Packing 

13. Number andType or Packages 

16. i^iaotily and unit ofmeasuie (net or 

gross, u applicable) per package 

IT. irdlflkrentdaiveroin goods are packed 

in one outer packaging, are the following 

rules applied: 

-Compallbk 

(noK exoplion b r chemical kitsAim 

aid tils. SeopoekHigInstnKtion9IS 

andY»l5) 

- For UN PMkagcs comaming Division 

6 J 

•-Al l pacJted m one (type ofpackagiogr 

-Calculatioo of-< r value 

D 

D 

D 

D 

D 

D 

D 

D 

D 

a 

a 

D 

n 

D 

D 

D 

D 

D 

n 

D 

D 

18 Ovcqiack 

' Indication -Overpack used" 

- Mult|.oveipack marks and ()uantiTy 

Packing Instructions 

19. Packing tnsDuetion Number 

Authorizations 

20. Indication of-Umiled Quantity- or "Lnl 

. Qty-if"Y"packing hotnictionmed 

21. ThoSpecial PiovlskinNumber if AI.A2 

ASI.A>l,orAI09 

is attached, including a copy in English 

23. Additional approvals as needed 

YES NO 

D 

D 

D 

D 

D 

n 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

•N/ A 

D 

D 

D 

D 

• 

a 

D 

Additional Handling Information 

24. Far self-te«^e and related substsncea 

Division M , or samples Ihcteof. is the 

25. Shipper's certification for air nanspen 

26. Name and Title ofSignatory, Place and 

Dalendicated 

Shipper 

Air Waybill 

-Dangerous goods as pet attached 

SUpper-s Deelsralioo- c< Dangerous 

Oocds u per anadierl DQD30 -Cargo AJreraO Only" or -CAO". if 

applkaUe 

D 

D 

D 

D 

n 

n 

D 

D 

D 

D 

D 

D 

D 

• 

P 

D 

D 

P 

P 

D 

GENERAL OPERATIONS MANUAL 

//'J7 
< ) -

AIRLINES10-35 

Date: 02/23/07 

Revision: 38 

HAZARDOUS MATERIALS 

Appendix F - Acceptance Checklist: Non-Radioactive 

Two 

Page 

April 2006 

PacMcc<a) and Overpacks 

31. Packaging confonm with packing 

instructioiu and is undamaged 

32. Same number and lypeorp«dcagings 

and oveipicks delivered as shown on 

YES NO* N/A 

D D 

D D D 

43.. Hie Subsldiaiy Hazard Labels must 

show the Class or Division number 

44. Cargo Aircnn Only label, adjacent to 

HazanI labeKs) 

Markings 

45. "Orientation- labeb 

46. For Magnetized Material, Ibe Handling 

label 

33. For UN Spectflcalion Packaging, are they 

47. -Ciyogenic Liquitf' labels 

48. "KeepAway From HeaT label ifRquired 

YES NO ' N/A 

D • D 

D D D 

D n D 

D D D 

n a n 

D • D 

• Symbol and SpeciAcalion Code 

- X. Y. Z, agreed widi Packing Omapt 

Packing Inslnictfon 

- MSDtimum Gross Weight not exceeded 

(solitb or inner |;w;kagmgs) 

34. THe Proper Shipping Nanit<s) including 

technical name whole required, and the 

UNorlDN<mibei(s) 

3S. The Aill name(s) and Addressfes) of 

Shinier and Consignee 

36. The Net Quantity ofEzplosives and Gross 

Weight oflhe package Ibr Class 1 Kems 

37. The Name and Idephooe Number ofa 

38. The Special Marking ivquirements shown 

fbrPaddnglnslruclJoom 

39. In the ease of CattwnDloxkk. Solid (Diy 

Ice), the Net Weight marked on Ihe 

Package 

40. ForUmited Quantity packagings: "Umtted 

Quantity-or -LTD. QTY." 

41. For Salvage Packagings: -Sahage" 

Labeling 

a . ThoFtimaq'Risk LabelO, with Qaas or 

Division Number affixed to eadi (ackage 

Comments: 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

D 

• 

• 

D 

D 

D 

D 

D 

D 

D 

D 

D 

n 

D 

D 

D 

D 

D 

D 

D 

D 

4y. Al l aow c iBoeis iwiiccu y aiiixn i anu 

have all helevani marks and labels 

been removed 

For Overpacl(s 

50. Ifspecificatlon matkings are not visible. 

51. Packaging Use markings as required 

must be dearly visible or reproduced on 

the outside of the overpack 

52. If more than one oveipact, idemiricatioo 

maiks and the total quantity ofeach 

overpack must be indicated 

53. "Cargo Aircraft Only" rtslriaions 

General 

with 

55. For "Cargo AirciallOidy" shipments, a 

UJ 

D 

D 

D 

D 

n 

D 

' 

l -l 

D 

D 

D 

D 

D 

D 

l -l 

D 

D 

D 

D 

D 

D 

Checked by: 

nace: 

Dote: 

Time: 

Signature: 

•IF ANY QUESTION IS ANSWERED WITH A "NO", DO NOT ACCEPT THE SHIPMENT AND GIVE A DUPLICATE COPY 

OF THIS CX)MPLETED FORM TO THE SHIPPER. 

GENERAL OPERATIONS MANUAL 

//•?/ 
10-36 

Date: 02/23/07 

Revision: 38 

<5. 

AIRLINESHAZARDOUS MATERIALS 

Appendix F - Acceptance Checklist: Radioactive - Page One 

DANGEROUS GOODS CHECKLIST FOR A RADIOACTIVE SHIPMENT 

The recommended check list appeariog on the following pages is intended to venfy shipments at origin. Never accept or refuse a 

shipment before all items have been diecked. Is the following iaforniatioa correct for each entry? 

SmPPERS DECLARATION FOR DANGEROUS GOODS (DGD) 

1. Two copies in Englith fonnat 

2. Full oanie and address of Shipper 

3. Full nunc and address of Consignee 

4. If the Ail WqrUU is not shown, enter It 

5. The numl)ei of pages shown 

6. The non-applicable Aircraft l^pe deleted 

7. If fiill name of Aiipoit or City of Departure 

DestinBtion is not ^wn , enter it 

8. The word '^on-Radjoactive'* deleted 

Identification 

9. Proper SKipptng Name 

10. dtss 7 

11. UN Number, preceded by prefix 

12. Packing Oroup if lequired for Subsidiary 

Risk 

13 Subsidiary Risk 

YES NO* N/A 

D n 

a a 

a D 

a D 

D D 

n D 

n • 

Packing Instructions 

20. Categoiy of package(i) or overpack 

Category II and Catesoiy m only 

22. For Finite MaloialtlicCriticalily Safety 

Itulex 

23. "Fissile Excepted" 

Autliorizations 

YES NO 

D 

D 

D 

D 

D 

D 

D 

D 

'N/ A 

D 

D 

D 

D 

a D 

D D 

D D 

D a 

D D • 

D D D 

Quantity and Type of Packing 

14. name or Symbol of Radionuctide(s) D I 

15. AdctoiptionofthephyalcalandCticniical D 

fomv or Special Fans, or low dispenible 

material 

D 

16. The number and Qrpe of pBckafes and the O D D 

activity bi Becquneb in each package, 

or for FissUji Material ihQ tRtal weight in 

gram or kilograms of fissile mataiai 

mty be shown in place of activity 

17. Fordi(brefitfndivtdua]radionucIkles,the D D D 

acdvlty ofeach radioiHidide and the words 

''AH packed in oiie* 

IS. Activity within limits for Type A packages, OD D 

TypeB,orTVpeC 

24. Identification marks shown and a copy of Q D D 

tbe document in English attached to DOD 

for tlie foltowing 

- Special Form approval califlcaie Q D [D 

- Low dispersiUe material approval Q [3 D ' 

certificate 

- Type fi package design approval G D D 

certificale 

- IVpe B (M) package shipment appTDvit D D Q 

cettiflcate 

- Type C piKJcage design and ahipmenl D D Q 

approval 

• Fissile material package desigo and O Q Q 

shifsnent approval certificate 

- Special Aiiangenieot shipment approvBl Q D Q 

certificata 

25. Additional Handling Information D D D 

26. Shipper's certification for air tnnspon CI C3 [D 

27. Name and Tide of Signatory, Place, and OD D 

Date 

28. Signahire (^Shipper • D D 

29. Amendment or alteration signed by Q D Q 

Air WaybUI 

30. The Handling h>fonnat)ott box sbowa: D D D 

"Dangerous goods as per attached 

Shipper's Declaration'' or "* Dangerous 

Goods as per attached DGD 

19. Words "overpack used" shown on 

DGD 

• • • Sl.CargoAiTCTaflOnlyorCAOtfapplicable • D D 

GENERAL OPERATIONS MANUAL 

//-; ^ 
^ . Empire 

AIRLINES' 

HAZARDOUS MATERIALS 

10-37 

Date: 02/23/07 

Revision: 38 

Appendix F - Acceptance Checklist: Radioactive - Page Two 

YES NO 

Package(s) and Overpacks 

32. Number and type of packagings and 

ovcrpacka delivered as shown on DO P 

in proper condition for transport 

Marldngs 

34. For Industrial packages, arc tbey muke d 

35. For Type A picfcagps are they martc j 

appropriately 

36 For Type B packages, ate they matted 

appropriatety 

37. For Type C packages, ate they maiked 

appropriately 

3g. For Fissile maleriiil, SIC they narked 

appoprialely 

39 Tlie Ftopei Shipping Name and U N 

Numt>er 

40 Tbe Itjll Nsme and Address of the Shipper 

and Consignee 

4 1 . Hi e permissible gross weight if it exceeds 

SO kg 

Labeling 

42. Two correctly completed Radioactive 

labels on opposite Bides 

43. Applioibte SebsMiaiy Hazan) Ubels 

adiaont to die Radioactive label completed 

a 

D 

D 

D 

a 

D 

D 

D 

a' 

D 

a 

D 

D 

D 

D 

• 

n 

n 

a 

a 

n 

n 

D 

D 

•N/A 

a 

D 

D 

D 

D 

• 

D 

D 

. / 

44. Two Cargo Aircraft Only labelsi i f 

retiuired, adjacent to dieHasuds 

labds to die Radkaoive labels 

codipleltd 

4S. For fissile mateiials. two cMrectly 

completed Crtdcalky Safely Indetr 

(CSI) Ubels on eppoilte aUea 

46. Al l labels conectly afflxed and 

For Overpacks 

47. I f apecifKation marfcinga aie not visifak. 

other auUiorisd indicatb i marked 

41. Infotmadoo on the ConteMs and Activity 

appean CO the radioactive label (uakd ) 

YIS NO 

n 

D 

D 

D 

D 

diffem t ladienucUdea, this inlbimatioo may be 

be replaced by the stMemenl - See Shipper's 

Declsratkin49. Packaging marlrings u reifiired must be 

cleul y vUible or reproduced on tbe odsldt 

oftheoveipack 

General 

with 

cargo aircraft operates on all secton 

52.. For peckages containing Cargo Dioxide 

Solkl (dry ice), hn e d a nartbg . Ubeling 

applied 

n 

• 

D 

D 

D 

D 

D 

D 

n 

D 

P 

D 

D 

n 

•N/A 

D 

D 

D 

D 

D 

D 

D 

D 

D 

Signature; 

•IP ANY QUESnOH IS ANSWERED WTrH A "NO". DO NOT ACCETT THE SWrMENT AND OIVE A DUPLICATE COPY 

O F THIS COMPLETED FOR M T O TH E SHIPPER. 

GENERAL OPERATIONS MANUAL 

// V^ 
10-38 

Date: 04/13/07 

Revision: 39 AIRLINES' 

HAZARDOUS MATERIALS 

Appendix G - FedEx Procedures 

A. Loading 

(1) Loading and unloading of DG is handled by FedEx ramp 

personnel. During loading the DG is separated from other freight 

so the crewmember may accomplish the pre-load inspection. 

(2) A crewmember must supervise the loading of DG. The 

requirements of compatibility, separation distances, accessibility, 

security, and package orientation must be checked using Empire 

Airlines EA DGL form (Dangerous Goods Loading). 

B. Forms 

(1) The following forms are used with FedEx DG shipments: 

p (a) FEC-M-1558 - This inspection sticker (or stamp) must be 

I present on all DG packages except those shipped by Omaha 

I Steaks. The sticker signifies that the FedEx DG Specialist 

I has processed the shiprrient and found it to comply with the 

i DG regulations. 

b I 

I: (b) Feeder Aircraft Load Control Sheet - This dual-purpose 

I j form shows the amount and location of all loaded cargo and 

r! the class and location of DG loaded on the aircraft. The Load 

I j Control Sheet may be used as the notification of PIC or in 

If conjunction with the AutoDG Manifest. If the Load Control 

j j Sheet is without an AutoDG Manifest, then the Shipper's 

[ ? Declaration must also be with the Load Control Sheet. The 

I' Load Control Sheet and Shippers' Declaration(s) contain the 

\\ information required per HMR 175.33. (example in GOM 

3 Chapter 15). 

(c) Onload Control Sheet - This sheet is a computer printout 

showing the amount and location of all loaded cargo and 

when accompanied by the AutoDG Manifest contains the 

information required by HMR 175.33. 

(d) Aircraft DG Manifest - Provides total quantity for each 

hazard class of DG loaded on the aircraft. Two copies are 

signed by the crew and one is retained for the flight. 

(e) Aircraft DG Position Summary - Provides a breakdown 

by loading location of the DG aboard the aircraft according 

; to hazard class and quantity of each hazard class. One copy 

is given to the crew. 

GENERAL OPERATIONS MANUAL 

//-y/ 
< ^ . 

10-39 

Date: 04/13/07 

AIRLINES- Revision; 39 

HAZARDOUS MATERIALS 

(f) ULD DG Manifest - Provides the information required 

by 49 CFR 175.33 for all the DG located in a compartment. 

This form provides the required information such as 

the UN Number, hazard class. Proper Shipping Name 

(PSN), subrisk, number of pieces, quantity, emergency 

telephone number. There is one ULD DG Manifest for each 

compartment containing DG aboard the aircraft. 

C. Form Procedures 

(1) If there is AutoDG paperwork and a last minute DG package 

shows up that is not listed it can be added to the Load Control 

Sheet with a pen entry. If the load position of the DG package 

changes from what is listed on the paperwork, the DG Specialist 

can correct and initial the change with a pen. 

(2) Signatures by the DG Specialist and the Pilot are required on 

both the Load Control Sheet and the AutoDG Manifest. 

(3) If a package is refused due to damage, leakage or Whatever, 

the entry on the AutoDG and/or Load Control Sheet can be lined 

out by the station DG Specialist and his initials entered with a 

pen. 

GENERAL OPERATIONS MANUAL 

//-Vi 
^ . Empire 

AIRLINESHAZARDOUS MATERIALS 

10-41 

Date: 05/04/07 

Revision: 40 

C208 

C208A 

Zone 

1 

2 

3 

4 

5 

6 

FWD Pod 

Middle 

AFT 

Total TI per 

Aircraft 

None permitted 

None permitted 

7.0 

13.0 

20.0 

30.0 

0 

0 

7.0 

C208B 

Zone/Pod 

1 

2 

3 

4 

5 

6 

FWD Pod 

FWD Center 

AFT Center 

AFT 

Total TI per 

Aircraft 

None permitted 

3.0 

16.0 

30.0 

40.0 

50.0 

0 

0 

7.0 

20.0 

Feeder Aircraft total TI may not exceed 50.0 unless operating under 

DOT-E-7060. 

F27 

Mkeoo 

Zone 

1 

2 

3 

4 

5 

6 

7 

Total TI per 

Aircraft 

3.0 

12.0 ' 

35.0 

50.0 

50.0 

50.0 

50.0 

Feeder Aircraft total TI may not exceed 50.0 unless operating under 

DOT-E-7060. 

GENERAL OPERATIONS MANUAL 

//WJ 
10-42 

Date: 04/13/07 

Revision: 39 

<)r 

AIRLINESHAZARDOUS MATERIALS 

ATR42/72 

ATR42 LC 

Zone 

1 

2 

3 

4 

5 

6 

7 

8 

MaxTI 

0 

3 

25 

50 

50 

50 

50 

50 

ATR42 SC 

Zone 

1 

2 

3 

4 

5 

6 

7 

MaxTI 

0 

3 

25 

50 

50 

50 

50 

ATR72 

Zone 

1 

2 

3 

4 

5 

6 

7 

8 

9 

10 

MaxTI 

0 

3 

'25 

50 

50 

50 

50 

50 

50 

50 

GENERAL OPERATIONS MANUAL 

//-VV 
Federal Register/Vol. 64. No. 76/Wednesday. April 21. 1999/Rules and Regulations 19443 

Small Business Regulatory Enforcement authorize appropriate ofilclals of the 

Fairness Act 

The Small Business Regulatory 

Enforcement Fairness Act of 1996 (Pub. 

L. 104-121) provides generally for 

congressional review of agency rules. A 

reporting requirement Is triggered in 

instances where NCUA Issues a final 

rule as defined by Section 551 of the 

Administrative Procedures Act 5 U.S.C. 

551. The Office of Management and 

Budget has detennined tihat this rule 

does not constitute a major rule for 

purposes of the Small Business 

Regulatory Enforcement Fairness Act of 

1996. 

List of Subjects in 12 CFR Part 701 

Charitable contributions. Credit 

unions. 

By the National Credit Union 

Administration Board on April 15, 1999. 

Beclgr Baker, 

Secretaiy of the Board. 

For the reatens set forth above, NCUA 

amends IZ CFR part 701 as foUoAWs: 

PART 701-ORGANIZA-nON AND 

OPERATION OF FEDERAL CREDIT 

UNIONS 

I. The authority citation for part 701 

!:ontlnues to read as follows: 

Authori^ 12 U.S.C. 1752(5), 1755, 1756, 

'757,1759,1761a, 1761b. 1766.1767. 1782, 

.784,1787, and 1769. Section 701.6 Is also 

authorized 1^31 U.S.C. 3717. Section 701.31 

b also authorized by 15 U.S.C. 1601 et seq, 

42 VS.C. 1861 and 42 U.S.C. 3601-3610. 

Secdon 701.35 Is also authorized by 42 

U.S.C. 4311-4312. 

2. Part 701 is amended by adding 

§ 701.25 to read as follows: 

§701.25 Charitable conblbulionB and 

donallona. 

(a) A federal credit union may make 

charitable contributions and/or donate 

fiinds to recipients not organized for 

profit that are located in or conduct 

activities in a communis in which the 

federal credit union has a place of 

business or to organizations that are tax 

exempt organizations under Section 

501 (cK3) of the Internal Revenue Code 

and operate primarily to promote and 

develop credit unions. 

(b) The board of directors must 

approve charitable contributions and/or 

donations, and the approval must be 

based on a determinaUon by the board 

of directors that the contributions and/ 

or donations are in the best Interests of 

'le federal credit union and are 

^asonable given the size and financial 

:ondidon of the federal credit union, 

ihe board of directors, if it chooses, 

may establish a budcet for charitable 

federal credit union to select recipients 

and disburse budgeted funds among 

those recipients. 

(FR Doc. 99-9931 Filed 4-2(^99; 8:45 am] 

aaUNB CODE 7S3S-IH-^ 

DEPARTMENT OF TRANSPORTATIOKi 

Federal Aviation Administration 

14 CFR Part 13 

Ftoderal Aviation Administration Policy 

on Enforcement of the Hazardous 

Materials Regulations: Penalty 

Guidelines 

AGENCy: Federal AvlaUon 

Administration (FAA). DOT. 

ACTION: General statement of policy. 

SUMMARY: This document states that 

FAA policy on detennining the sanction 

amounts in FAA enforcement actions 

addressing violations of the Department 

of Transportation Hazardous Material 

Regulations (HMR). This policy 

statement provides guidance for agency 

personnel in the exercise of the FAA's 

prosecutorial discretion in enforcement 

cases concerning tratisportatton of 

hazardous materials by air. The 

guidance should aid in analysis t i the 

facts and circumstances of each case so 

as to arrive at an appropriate sanction in 

light of the statutorUy defined penal^ 

considerations. Tbe analytical 

(rainewoik should also promote a 

relative consistency In determining civU 

penalties for violations of the HMR. 

EFFECTIVE DATE: April 14. 1999. 

FOR FURTHER MFORMATKM CONTACT: 

Bill Wilkenlng, Office of Civil Aviation 

Security. Dangerous Goods and Cargo 

Security Division, telephone: (ZOZ) 267-

9864. facsimile (ZOZ) 267-5760, email: 

Bill.Wilkening@faa.gov. mailing 

address: ACO-SOO, 800 Independence 

Avenue. S.W.. Washington. D.C. 20591. 

or Allan H. Horowitz, Enforcement 

Division. Office of the Chief Counsel, 

telephone (202) Z67-3137. facsimile 

(202) 267-^106, emaU: 

AIlan.Horowltz&faa.gov. mailing 

address: AGC-300,800 Independence 

Avenue. S.W.. Washington. D.C. 20591. 

SUPPLEMENTARY INFORMATION: 

Background 

Congress determined that the 

uru^ulated transportation of hazardous 

materials constitutes a threat to public 

safety in all forms of transportation. 

Congress addressed that threat in 1974 

by enacting the Hazardous Materials 

TVansnnrtaHnti Art ft-r\*TA\ D.. innn 

enforcement of the HMTA required 

more severe action, and enacted the 

Hazardous Materials Transportation 

Uniform Safety Act of 1990. IHiblic Law 

No. 101-615,1990 U.S. Code Congress. 

ft Admin. News 104 Stat. 4605. The 

primary effect of this 1990 revision of 

the HMTA was to raise the maximum 

dvil penalty for violation of any 

regulation enacted under the HMTA to 

$25,000. and. for the first time, to 

reritiire a $250 minimum perudty far any 

such violation. The HMTA was 

recodified in 1994 and is rtovr referred 

to as the "Federal hazardous material 

transportation law," 1994 U.S. Code 

Congress. & Admin, News 108 Stat 759. 

codified at 49 U.S.C. 5101-5127. In the 

1994 recodification. Congress 

specifically stated that the 

recodification created no substantive 

change to the earlier form of the statute. 

The Federal Civil Penalties Inflation 

Acyustment Act of 1990,28 U.S.C. 2461 

(noti^. as amended by the Debt 

Collection Improvement Act of 1996, 

PubUc Law 104-134. AprU 26.1996, 

provides a mechanism for ac^tments 

for monetary dvll penalties for inflation 

in order to maintain the deterrent effect 

of monetary civil penalties and promote 

compliance with tiie law. Under the 

statute, the new chrll penalty 

maximums caruiot be appU ^ unless 

they are implemented by regulation. On 

December 20.1996. the FAA published 

a final nile (61 FR 6744). Implemoiting 

the statute for each dvtl penalty subject 

to the FAA's Jurisdiction, On January 

21.1997, the FAA pubUsheda 

correction to the final rule (62 FR 4134). 

The final rule is codified at 14 CFR Part 

13. Subpart H. Pursuant to 14 CFR 

I3.30S(d). the maximum civil penalty 

that may be assessed for a violation of 

the Federal hazardous material law or a 

hazardotis material regulation is now 

$27,500. 

Ckingress assigned the responsibility 

for the enforcement of the Federal 

hazardous material transportation law to 

the Secretary of TraruportaUon. Within 

the Department of IVansportation. the 

Re5ean:h and Special Programs 

Administration (RSPA) adopts the 

Hazardous Materials Regulations 

(HMR). 49 CFR parts 171 through 178. 

which govern the transportation of 

hazardous materials (Hazmat). Although 

RSPA has some enforcement 

responsibilities, the responsibility for 

enforcing the HMR with respect to civil 

aviation is delegated by the Secretary of 

Transportation to the FAA. 49 CFR 

1.47(10. 

The HMR set forth regulations for the 

transportation of Hazmat. A knowing 

) 

/ 

'V 

r 
19444 Federal Register/Vol. 64, No. 76/Wednesday. April 21. 1999/Rules and Regulations 

.penalty between $250 and $27,500. A 

person acts knowingly when the person 

has actual knowledge of the facts giving 

ise to the violation; or a reasonable 

person acting in the circumstances and 

exercising reasonable care would have 

that knowledge. 49 U.S.C. S123(a)(l)(A}. 

The civil penalties authorized under the 

statute apply to EACH violation of any 

regulation set forth in the HMR. 

Moreover, under the statute, each 

continuing violation of the HMR can 

constitute a separate violation for each 

day a violation continues. In section 

5124 of the statute. Cor^gress prescribed 

criminal penalties for a willful violation 

of the Federal hazardous material 

transportation law or the HMR: willful 

violations require evidence of both 

knowledge of the laws and regulations 

and Intent to violate them. 

Part 13 of the Federal Aviation 

Regulations—Investigative and 

Enforcement Procedures (14 CFR Part 

13) governs the procedures applicable to 

enforcement iof the HMR by the FAA. 

Hazrnat violations (xxurring on or after 

August 2,1990, may be dismissed by an 

administrathne law Judge (ALJ) if a 

Notice of Proposed Civil Penalty has not 

been Issued within 2 years of the 

vloLatton, unless good cause for delay 

)ias been shown. 14 CPR 13.Z08(d). 

Consideration of Statutory Criteria 

In determining the sanction to be 

assessed, penalty criteria set forth in 49 

U.S.C. 5123 must be considered. These 

criteria are the nature, circumstances, 

extent and gravity of the violation, the 

degree of culpability of the violator, any 

history of past violations, the ability to 

pay. any dfect on the ability to continue 

ID do btjslness. and other matteis as 

Justice requires. Some of these 

considerations already are factored to 

some extent into the categories in the 

Hazardous Material Sanction Guidance 

Matrix. The statutory factors are further 

considered under the weighting analysis 

that is performed to indicate the amount 

of civil penalty within the appropriate 

range. i.e.. at the minimum, moderate, 

or maximum portion of the sanction 

range. To comply with the underlying 

purposes of the Federal hazardous 

material transportation law and HMR. a 

sanction should be imposed that is 

sufficiently deterrent but not excessive. 

The Ha^dous Materials Sanction 

Guidance is designed to promote better 

consistency so that similar penalties are 

imposed in similar cases. The Matrix 

^ges are Intended to reflect the nature, 

jlrcumstances, extent, and gravity of the 

:ase as compared with other types of 

cases. Each case, however, must be 

evaluated on its nwn fiirtc A car«oH/»»^ 

the facts and circumstances of a case 

support either a greater or lesser 

penalty. When a special ^n t believes 

that a penalty should exceed the Matrix 

ranges, the agent should consult with 

legal counsel before further processing 

of the Enforcement Investigative Report 

(EIR). This consultation is not necessaty 

in the case of a recommended penalty 

that is less than that provided in the 

Matrix In either situation, the basis far 

the decision to go outside the ranges 

should be explained in detail. 

Violations of Part 175 of the HMR. 

wtilch establish particular requirements 

for air carriers and other alrci^ 

operators, are cx>ntained in a separate 

matrix. However, such operators oflen 

offer hazardous materials for air 

transportation, as well as accept and 

transport them. For this reason, such 

operators may be liable tor violations 

both as a business entity within the 

Hazardous Materials Sanction Guidance 

Matrix, as well as spedflc air carrier 

violations. 

Use of tbe Sanction Guidance 

This guidance provides agency 

personnel with a systematic way to 

evaluate a case and arrive at an 

appropriate penalty, considering all the 

relevant statutory criteria including any 

mitigating and aggravating 

circuinistances. Statutory considerations 

have been factored into the various 

ranges wlthbi the Sanction Guidance 

Matrix. Determination of where a 

sanction lies within these ranges is 

aided by a series of weighting questions 

that probe the various aggravating and 

mitigating factors that may exist in a 

case. 

First, the weighting analysis is 

performed. Ag«ricy persormel respond 

to a series of questions todetermine the 

aggregate weight of the case. The 

e^ggregate wel^t of the case helps 

determine the sanction amount (tf each 

violation group withbi the established 

ranges of the Matrix. 

It is important to rtote that 

determination of where the sanction lies 

within the Matrix is not the result ofa 

mathematical computation. Evaluation 

of the case is based on the totality of the 

facts and circumstances. Generally, if 

the answer to a particular question 

represents a more significant aspect of a 

case, greater consideration shoiJd be 

given to that answer. For example, 

violations involving an extremely 

dangerous substance, even in minute 

quantities, might warrant a penalty at 

the maximum end of the range or even 

a penalty exceeding the Matrix ranges, 

tinder the Sanction Guidance Matrix. 

within (e.g.. business entity that 

regularly oifers. accepts, or transports 

HazmaO and the offense category (e.g., 

undeclared shipment within H^mat 

quantity limitations). The sanction 

ranges under the various violator 

categories t^ce Into account the relative 

culpability of the violator. Similarly, the 

offense categories address the nature, 

drcurostances. and gravity of the 

particular offense. After determining the 

appropriate categories and intersecting 

box of the Matrix, agency personnel 

thai determine which subcategories of 

cAEenses (e.g.. shipping papers) are 

alleged to have been violated. Based on 

the weighting analysis performed in 

Section I. an appropriate penalty is 

assigned for eath of the applicable 

violation groups. The perialty amount 

for each relevant violation group is 

added together to reach the 

recommended sanction. 

Under Section in of the Guidance, the 

special agent then consiilers other 

relevant fecbxs. iiKluding evidence of 

corrective action. A reconunended 

sanction may be reduced prior to the 

issuance of a Notice of Proposed Chrll 

Penalty when there is adequate reliable 

inforniotion corKemlng the corrective 

actions taken by a respondent 

Corrective actlwis that Jijstity reduction 

of the recorrmiended penalty must 

exceed the minimum legal 

requirements. The special agent also 

attempts to provide Information 

concerning the alleged violator's size, 

financial condition, and ability to pay a 

recommended sanctiorL 

When an EIR is forwarded to legal 

counsel for enforcement action, counsel 

with give appropriate consideration to 

the recommended sanction. FAA legal 

counsel wUl also review the factors, 

analysis, and determinations under the 

Hazardous Materials Sanction 

Guidance. Any basis for deviating from 

the recotnmeiid sanction is ordinarily 

explained to, and discussed with, the 

Investigating special agent. Final 

determination of the sanction amount 

proposed in the Notice of Proposed 

Civil Penalty is ordinarily a fnoduct of 

Joint decisonmaklng and approval of the 

investigating agent and the legal office. 

Federal Aviation Admlnistradon 

Hazardous Materials Sanction 

Guidance 

This Sanction Guidance is divided 

into three sections: 

I. Case Artalysls, 

n. Utilization of the Sanction Guidance 

Matrix (Matrl)^. and 

m. Consideration ot other Statutory Factors. 

The Saitction Guidance Matrix is contained 
Federal Register/Vol. 64, No. 76/Wednesday. April 21. 1999/Rules and Regulations 19445 

« 

I. Case Anatysb (Evaluation of 

IStatutory Assessment Factors) 

This section contains a series of 

questions designed to assist special 

agents and attorneys In evaluating a 

particular case. The question review 

factors Involving the nature, 

clrcumstarKes. extent and gravity of the 

violation, the violator's degree of 

each applicable violation group on the 

Sanction Guidance Matrix (Fig. 1). 

A, The Nature, Circumstances, Extent, 

artd Gravity of the Violation 

(Factors Concerning the Shipment 

1. What Matertal(s) Was Offered, 

Transported, or Aixepted for Air 

Transportation? 

culpability, and the violator's histoty of j (Figure 2 divides hazardous materials of 

prior violations. Some of these factors ' parilctrlar classes, divisions, and 

' are already considered to some extent packing groups Into three risk 

within the various categories of the 

Sanction Guidance Matrix. The 

questions in this section provide 

additional consideration of the statutoty 

factors and examine the existence of 

aggravating arxl mitigating factors in a 

case. 

The agent/attomey answers each 

question in Section I and determines if 

a relative weight of minimum, 

nxtderate. or maximum should be 

assigned bated on the response to the 

question. With the exception of 

Question Al., not all questions will 

apply to a given fact situation. Question 

A. 1.. which addresses the nature of the 

hazardous inaterial(s) involved, is the 

only question that ailways receives a 

."yes" answo' to one of Its subquestions 

'and Is considered In every case. The 

{Aggravating or mitigating factors 

iddressed in the questions only apply to 

die case when the questlcm receives a 

"yes" response. (Suestions receiving a 

"no" response do not affect the 

weighting of the case and are not 

consider^]. For example. If the violation 

resulted in harm to persons or property, 

that may be an aggravating factor in the 

case. However, the fact that the 

violation did not result in iri|uiy or 

damage, is nor a mitigating fector and 

should not result in penalty mitigation. 

In many instances, the answers to most 

or all of the questions will l>e "no " and 

the only relevant weighting factor in 

this section will be the risk category of 

the materia] identified in Question A. 1. 

In determining the final aggregate 

weight of the case, the responses to each 

of the questkxis d o not have to be 

equally considered. Determination of 

whether the overall case should have a 

minimum, moderate, or maximum 

weight caruiot be determined with 

mathematical certainty. Generally, if the 

answer to a question demonstrates that 

the factor at issue represents a more 

significant aspect of the case, greater 

|onsideration is given to that factor. The 

.Inal aggregate weight is based on the 

otality of die facts an d circumstances of 

Jie case. Once determined, the final 

categories: Category A. Category B. and 

Category C. Find the material(s) at issue 

in Figure 2 and answer the questions 

below.) 

a. Is the material(s) offered, 

transported, or accepted in Category A? 

ff yes. assign a Maxlmuro weight. 

b.is the n)aterial(s) offered, 

transported, or accepted in Categoty B7 

ff yes. assign a Moderate wei^ t 

c. Is the material(s) offered, 

transported, or accepted in Categoty C7 

ff yes, assign a Minimum weight 

Guidance Note: The categories in Figure 2 

represent the inherent risk of danger to air 

transportation posed by the material. If there 

to more tlun one type of hazardous material 

involved in the sMpment answer this 

question usirig the hazardous material in Hie 

iilghest ilsk category. 

2. What Quantity of the Materialts) Was 

Offered. Transported, or Accepted for 

Air Transportation? 

a. Did the packagefs) exceed the 

authorized quantity UmitaUons by a 

siffUficartt amount? 

If yes, consider a Moderate or 

Ma^dmum weight depending on the 

depe e to which the limitation was 

ex^eded. 

Gutdance Note: The Matrix, discussed In 

Section m, takes into account the factual 

situations wiiere the quantity limitations ibr 

the material are exceeded. This part of the 

analysis Is Intended to determine wltether 

further aggravating circumstances exist 

wliere quantity limitations are exceeded by a 

significant amount Whether this factor is 

assigned a moderate or maximum weight will 

depend on the degree liy which the quantity 

lirnltatlon was exceeded. 

Example: The quantity limitation for 

gasoline on a passenger plane to S liters per 

padiage. If a violator offers 30 liters In a 

single pacloge on a passenger plane, this may 

result in a maximum weight for this factor. 

b. Were there multiple packages in the 

shipment? 

If yes. consider a Moderate or 

Maximum weight dependir^ on the . 

number of packages and total amount of 

hazardous material being transported in 

violation. 

Guidance Note: A packaee means a 

overpack. Multiple packages often represent 

multiple violations. Under the Sanction 

Guidaaice. tids fact is considered an 

aggravatlrig drcumstaiKe rather than a dlrea 

multiplier of the sanction for each violation. 

Each case, iiowever. must t»e evaluated on its 

particular f»cts. A very largenumber of 

packages may result in such an egregious 

case that the overall weight of the case is so 

high that a penalty tN^ond the maximum 

point in tiie rar>ge Is warranted. 

An Investigation will occasionally reveal 

several shlpnients from the same ofifieror over 

a period of several days, all of which Imrolve 

violatlora of the HMR. These Independent 

acts of ofibrlng usually are consolidated Into 

one EIR and addressed in one Note of 

Proposed Civil Penalty. However, for 

purposes (tf detennining tlie appropriate 

sanction, each separate shipment with a 

separate air wasybiU or shipping p2a>en, . 

separate destination, artd/or ar^ other 

evidence establishing It as a separate 

shlpmesK Is ordinarily oonsldned as a 

separate Incident for purposes of applying 

tlie sanction guidance arialysls. It is 

suggested diat the separate shipments tw 

treated as individual counts in the EIR and 

the Notice of Proposed Civil Penalty, with . 

each count havlrig its own sarKUon derived 

fnua application of this guidance. Note, there 

must l>e sufficient eviderxe to support each 

count 

3. Did the Shipment Cause Damage or 

Harm to Persons or Property, or Interfere 

With Commerce? 

If yes, consider a Moderate or 

Maidmum weight 

' Guidance Note: The fact that no damage 

oocuned a* a result of die stiipment Is not 

a mltl^tirv factor. However, damage or harm 

may aggravate ttie nature, circumstances, 

extent and gravity of the violation. 

Depending on the degree of damage caused 

by tha shipment and/or the existence of other 

aggravatlr^ factors, departure from tiie ranges 

may be Justified. 

B. ViolatcH-'s Degree of Culpability 

(The Matrix, Figure 1. considers the 

relative culpability of the violator. This 

section of the analysis further evaluates 

the degree of culpability of the violator.) 

1. Is the Violator the Manufacturer of 

the Hazardous Material? 

If yes. consider a Maximum weight. 

Guidance Note: A manufacturer of a 

hazardous material is expected to have 

complete knowledge of die nature of die 

hazardous material and thus, a high degree 

of culpability will ordinarily t>e imputed to 

It 

2. Did Someone Other Than the Violator 

Prepare the Shipment for 

Transportation? 

ff yes, consider a Minimum or 

ModCTate weight 

Cniilsnrw N«if»> !?•/*• »...v——« 

arrnmwvK^ A 
19446 Federal Register/Vol. 64. No. 76/Wednesday, April 21. 1999/Rules and Regulations 

separate enforcement action against other 

pesporislble parties who liandjed the 

Shipment A shipper that nshlps materials 

Bcelved from another person in the same 

packaging to independentiy responsible for 

ensuring the shipment ccaiiplles with ttie 

HMR Nevertheless, lite reshlpper is 

generally considered to have a lesser degree 

of culpablll^ for compliance of the package 

as received. However. If tlie reshlpper 

unpacks and/or repadk^ges tiie slilpment the 

reshlpper remains as culpable as the original 

shipper and generally Is not arxotded 

mitigation under this weighting factor. (For 

purposes of ttita section, a "reshlpper" refers 

to a person, other than the orlgtnai oBeiar, 

who offers a shipment of hazardous nuterlal 

for transportation.) 

3. Did the Violator Reasonably Rely on 

Incorrect Information From Another 

Source? 

ff yes. consider a Minimum weight 

Guidance Note: Detrimental or reasonable 

reliance on another party may be a mitigating 

foctor wtien considering tiie violator's degree 

ai culpability. For example, reliance on an 

inaccurate Material Safety DaU Sheet (MSDS) 

may lie mitigating, 

4. Does the Violator Have a History of 

Previous HMR Violations? 

If yes. consider a Moderate or 

Maximum weight 

Guidance Note: To establish a violation 

- liistory. a prior vlolatian must be an actual 

Indlng of vlolatian pursuant to a legal 

enforcement action. Special agents dtould 

BtteinfA to determine the corporate structure 

of the violator and wiiether other business 

entities or names are or have been used by 

the entity in order to obtain a complete 

violation history. The number and age of 

violations should be considered. Ordinarily, 

flndingi of violation more than 5 yeara old 

carry less weight unless a contlnuirig pattern 

of violation exists. 

C. Otfier Factors 

Each case must be evaluated on its 

particular facts. As such, many cases 

may present unique scenarios and 

aggravating or mitigating factors that are 

not routinely seen, ff an aggravating or 

mitigating circumstance exists that is 

not adequately addressed elsewhere in 

the sanction guidance, It may be 

Included and assigned a weight under 

this section. The factor should be clearly 

identified and explained in the analysis 

portion of the EIR and carefidly 

scrutinized by legal counsel. 

Guidance Note: For example, a shipment 

ofa single package containing several 

different hazardous materials may present an 

aggravating factor. The degree of seriousness 

tf this factor will increase If the hazardous 

inaterials are Incompatible with each other 

vnd, therefore, create an increased risk. 

Mitigating factors may also exist that tiavG 

not be«i adequately considered. For 

quantity of materlai or an amount that would 

liave qualified under the small quantity 

exertion of § 173.4 may present a mitigating 

factor ff as a resuh there was a reduced risk 

to safety in transportation. 

D. DetermlrK the Pinal Aggregate 

Weigfit of the Case 

All the responsesAvelghts are 

e>^uated to determine a final aggregate 

weight of the case (Mlrdmum, Moderate, 

and Maxlmtmn). Questions receiving a . 

"no" response will not be lixduded in 

this evaluation. To determine the final 

aggregate weight the agent/attorney 

must exercise his/her (tiscretian in light 

of the statutory factors and knowledge 

of the particular facts of the case. The 

facts of the particular case will dictate 

the relative Importance of eadi of the 

wei^ting factors in reaching a final 

aggregate weight The final aggregate 

Hrelght should be decided as a restdt of 

careful analysis, not a mathematical 

averaging. It is possible that a single 

weighting factor may outweigh all 

others. The agent/attomey's analysis 

should always be explained in tlds 

regard. 

Example: A case involvlrig a hazardous 

material In the lowest risk category may be 

evaluated to hatv a maxtmum weight 

because of the large quantity shipped or tlie 

damage resulting from the shipment 

n . Utilize the Matrix (Hguie 1} 

The sanction ranges under the offeror 

and offense categories of the Sanction 

Guidance Matrix reflect the refatlve 

culpability of the violator and the 

nature, cdnnunstances, extent and 

gravity of the case. Consideration of 

uiese partictrlar statutoty factors under 

the Federal hazardous material 

transportation law is built into the 

Matrix. Ftuther analysis of the statutoty 

factors is required to determine the 

appropriate sanction within the ranges 

established imder the Matrix This 

analysis \a perfbrmed in Section 1. After 

determining the final aggregate weight 

of the case under the Section 1 analysis, 

that weight is applied to the appropriate 

matrix range to identify the 

recommended sanction amount for each 

of the relevant violation groups and for 

the case as a whole. Although the Notice 

of Proposed Civil Penalty may cite 

numerous violations of a particular part 

or subpart of the HMR, unless upward 

departure is Justified, a single penalty 

amotmt for each violation group is 

ordinarily tised to reach the fuU 

sanction. 

A. Instructions 

1. Identify the appropriate categoty 

for the type of entity and the nature of 

the offense involved in the case. Refer 

the Matrix in Figure I for guidance. Go 

to the Intersecting box and identify the 

applicable sanction range for each 

violation group. 

2. Apply the conclusion reai±ed in 

the Section I weighting analysis to 

assign a satKtion amotmt wUhin the 

mlnimtmi, moderate, or maximum 

portion of the sancticm range for each 

relevant violation group. The 

recommended clvU penalty at this stage 

Is the siun of the sanctions for each of 

the appUcable violation groups. A 

sanction should not be assessed for a 

violation group ff there have been no 

violations of that part or subpart of the 

HMR. The sanction amotmt for each 

violation group need not be Identical 

but ordinarity is within the portion of 

the particular sanction range that 

represents the overall weight of the case. 

3. Departure from the ^^trix ranges— 

The Matrix is designed to cover the 

itu^ority of cases involving violations of 

the HMR. The facts and circumstances 

ofa particular case, however, may 

Justify either an upward or downward 

di^>arture fitmi the Matrix ranges. This 

sanction guidance anticipates and 

encourages departure fium the Matrix 

ranges when Justified. A case involving 

viohitions in wfilch the nature, 

circumstances, extent and gravity of the 

incident are particularly severe or 

egre^ous. may Justify upward departure 

fipom the Matrix ff the investigating 

agent believes, based upon the facts of 

a case, that a penalty should exceed the 

Matrix ranges, the agent should consult 

with legal coimsel before further 

processing of the EIR. Conversely, the 

investigating agent may believe that 

mittgati^ factors Justify a downward 

departure from the Matrix range. 

Considtation with legal counsel Is not 

necessary in the case of a recommended 

penalty that is less than that provided 

In the Matrix In either situation, 

however, the agent is to provide a 

detailed explanation of tiie basis for the 

decision to go outside the ranges. 

4. Violations of Part 175 regulations, 

which establish particular requirements 

for air carriers and other alroait 

operators, are contained in a separate 

matrix. However, such operators often 

off'er Hazmat for air transportation as 

well as accept and transport ft As such, 

the operator may be liable for violations 

as a business entity within the main 

Matrix as well as for the specific Part 

175 violations. 

m. Impact of Other Statutoty Factors 

The Federal hazardous material 

transportation law also requires 

consideration ofa violator's ability to 

pay a civil penalty, the impact of the 
Federal Regbter/Vol. 64. No. 76/Wednesday, April 21. 1999/Rules and Regulations 19447 

continu e to do business, an d othe r 

matters that Justice requires. 

Consideration of these factors ma y 

result In adjustment of th e 

recommende d civil penalty calculated 

i n Sectio n IL I n situations wher e th e 

agent o r attorney Is i n possession of 

mitigating Information, suc h a s inability 

t o pa y th e recommended dvi l penalt y or 

corrective action taken, reductio n o f th e 

recommende d penalty ma y be 

appropriate . MlUgatii^ information 

shoul d b e sufflciendy reliable, 

tmcontroverted. an d documente d i n 

orde r t o support reductio n of th e 

recommende d civil penalt y pri(»- t o 

isstdng th e Notice of Proposed Civil 

Penalty. 

A. Ability To Pay/Continue I n Business 

Historically, the FAA ha s considere d 

thes e factors aifler th e issuanc e of th e 

Notic e of Proposed Civil Penalty du e to 

t h e absenc e of reliable financial 

information o n whic h to base a 

reductio n pritxr to th e Isstiance of a 

Notice . This Sanction Guidanc e 

recommend s tha t th e specia l sgent mak e 

^ori s t o obtain reliable information . 

regardin g the violator's siz e an d 

financial condition for review prior t o 

t h e Issuanc e of a Notice. This 

Information will be transmitted t o th e 

- legal office for consideration. It is 

recognize d that it ma y no t alwa^ys b e 

possibl e for th e specia l agent arid/or 

attorney t o obtain reliabl e financial 

liiformation o n a particula r responden t 

tha t financial cimimstance s chang e an d 

tha t information ma y b e provide d after 

t h e issuanc e of th e Notic e that ma y 

warran t further consideration of a 

respondent's ability t o pay. 

1. Th e investigating agent will attempt 

to Include financial information as an 

exhibit h i th e EIR It is anticipated that 

this hiformation. tf available, will be 

obtained fittm reliabl e financial data 

bases. Financia l documentation should 

include , bu t nee d no t b e limited to. 

information concemirig the violator's 

corporat e structure , business address, 

officers, numbe r of employees, and 

gross revenues. 

2. The investigating agent provides a 

statement or conunent with reject to 

the financial information obtained but 

ordinarily does not evaluate the 

financial condition of a respondent with 

respect to its ability to pay a proposed 

civil penalty. The Investigating agent's 

statement should encompass areas such 

as the number of employees, gross 

revenues, and nature of business of the 

violator. 

3 . FAA legal coimse l reviews tbe 

financial information provided in th e 

EIR an d evaluate s its sufficiency and 

relevanc e t o th e recommende d civil 

penalty. L^a l counse l ma y determine ff 

mor e cuiren t information exists 

concernin g th e financial condition of a 

responden t an d ff tha t informattcn 

substantially differs from the 

Information available at the time of 

preparatio n of th e EIR. ff there is a basis 

for determlnlt^g tha t th e recommended 

sanctio n is inappropriat e based upo n 

t h e financial itiformation provided tai 

t h e EIR. th e recommende d sanction is 

adjusted prior t o issuanc e of the Notice 

of Propose d Civil Penalty. This is a 

preliminar y consideration of a 

company's ability t o pay. As such, preNotic e adiustmen t of a recommerxled 

civU penalt y doe s no t preclude further 

MATRI X AN D DEFiNmoNs 

[Hguia 1] 

consideration of a respondent's 

financial claims after issuance of th e 

Notice. 

4. tf legal counse l determines tha t a 

responden t qualifies a s a small business 

entity, counse l ma y consider tha t statu s 

unde r th e Small Business R^;ulatory 

Enforcement Fairness Act (SBREFA) 

wit h respec t to the appropriateness of 

t h e recommende d civil penalty. A 

respondent's status a s a small business 

entit y ma y be considered in conjunction 

wit h analysis of th e statutoty factors, 

B. Corrective Action 

T h e most rxmunon "other matter " ttuit 

t h e FA A take s into consideration is 

corrective action. Corrective action tha t 

results i n mitigation is remedial actio n 

tha t exceed s th e minirrium legal 

requirements. Th e prlnuuy factors i n 

determinin g th e appropriate amotmt of 

penalt y reductio n are di e extent an d 

timin g of th e corrective action. In othe r 

words, mitigation is determined o n th e 

basis of ho w muc h corrective action wa s 

take n an d ho w c|uickfy th e action wa s 

taken. Systemi c change intended to 

preven t future violations should be 

given greater consideration. Similarly, 

corrective action that conunence s upo n 

t h e violator's first notice of the violation 

ordinaril y Is ^ve n greater credit tha n 

corrective action tha t corrunences onl y 

after th e Notic e of Proposed Civil 

Penalt y ha s bee n Issued. 

Mitigation of a recommended civil 

penalt y based upo n corrective actio n 

shoul d be.referenced i n th e Notice of 

Propose d Civil Penalty s o that th e 

responden t is o n notice that credit 

alread y ha s bee n given for said action. 

Offense categories A Individual B. Business enSl/ 

C. Business enb'ty 

that uses or handles Hazmalln 

the course of business 

D. Business entity 

ttiat reoulaily offers, accepts, or 

transpoils Hazmat 

I. Declared Shipment: 

1. Shtppins Papers 

2. Ubela ,„ 

3. Maildngs _ 

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release Into Environ 

8. Other , 

II. Undeciared Shipment Within Hazmat Quantity Umllallons: 

1. Shipping Papers _ 

2. tabols 

3. MarWnos 

4. Packaging 

5. Tralnbig •. 

6. Emeig. Response 

7. Release ftifo Environ 

2SO-S00 

250-500 

260-500 

250-COO 

250-500 

250-600 

250-«00 

250-1,000 

250-1,000 

250-1,000 

250-1,000 

250-1,000 

250-1.000 

250-1,000 

250-1,000 

250-1,000 

250-1,000 

250-1,000 

250-1,000 

250-1.000 

250-1,000 

1,500-7,500 

1,500-7,500 

1,500-7,500 

1,500-7,500 

1,500-7,500 

1,500-7,500 

1.500-7.500 

eOO-2,000 

500-2,000 

500-2,000 

500-2,000 

500-2,000 

SOO-2.000 

500-2,000 

500-2,000 

2.500-10,000 

2.50O-10.000 

2.500-10.000 

2,500-10.000 

2.500-10,000 

2.S0O-1O.000 

2.500-10.000 

1.000-6.000 

1,000-5.000 

1,000-5,000 

1.000-5,000 

1.000-5.000 

1.000-5,000 

1.000-5.000 

1,000-5,000 

5,000-12,000 

5,000-12,000 

5,000-12,000 

5,000-12,000 

5,000-12,000 

5,000-12,000 

S.OQO-is.nnn 

• / 
19448 Federal Register/Vol. 64. No. 76/Wednesday, April 21, 1999/Rules and Regulations 

MATRIX AND DEFiNmoNS—Continued 

[Rgure 1] 

Offense categories A IndMdual B. Business enllly 

C. Business entity 

that uses or liandles Hazmat in 

the course of business 

D. Business entity 

that rsgulaily offers, accepts, or 

transjxxls Hazmat 

III. UndeclarBd Shipment Hazmat foitMdm on, or exoeede 

qty Hmlts lor, Passenger Abaalh 

1. Shipping Papers 

2.UA>els— _ 

3. Maddngs. _ _ 

4. Pacfcai^ng _ _ _.., 

5. TraWtig _ — 

6. Emerg. Response 

7. Release Into Environ „ _. 

8. Other 

IV. UndeclaTBd Shipment RxbkMen on, or exceeds qty Hmlu 

for, Al Aircraft 

1. Shipping Papers 

2. Laliels.. „ 

3. Maddngs 

4. Packaging „ 

5. Training , 

6. Emerg. Response 

7. Releaso Into Environ -

8. Other 

V. Intentional or Delberate VfoiaUon.^ 

500-6,000 

500-6,000 

500-5,000 

500-5,000 

600-6.000 

500-6.000 

500-6.000 

500-27,500 

500-27,500 

500^7,500 

500-27.500 

500-27.500 

500-27,500 

500-27,500 

Consult Legal 

5.000-15.000 

5,000-15,000 

5,000-15.000 

5.000-15.000 

S.000-15.000 

6.000-15,000 

6,000-15,000 

5,000-16.000 

7,500-27,500 

7,500-27,500 

7,500-27,500 

7.500-27,500 

7,500-27.500 

7,600-27.500 

7,600-27,600 

7,600-27,500 

Consult Legal 

7,500-20,000 

7.500-2O.000 

7,600-20,000 

7.600-20.000 

7,500-20,000 

7,600-20,000 

7.600-20.000 

7,500-20,000 

10,000-27,500 

10,000-27,500 

10,000-27,500 

10,000-27,500 

10,000-27,500 

10,000-27,500 

10,000-27,600 

10,000-27,500 

Consult Legal 

10,000-27.500 

10,000-27,600 

10/)00-27.500 

10,000-27,500 

10/100-27,500 

10,000-27,500 

10,000-27,500 

10,000-27,500 

15,000-27,500 

15,000-27.500 

15,000-27,500 

15,000-27,500 

15,000-27,500 

16,000-27,500 

1Sj000^27.600 

15,000-27,500 

Ornsult Legal 

Air carrier and other aircraft operator violallons 

E. Group I & II air 

carrtefB and other 

aircraft operators 

F. Qroup III & IV 

air carriers and 

ottier aircrall operators 

- Failure la comply with Parts 171.172, or 173 requirements of Hie HMR as an offeror of Hazmat... 

improper acceptance of Hazmat for air transpotlation (l.e., quantlly, labeling, marking, packaging, anM 

shipping papers) See 49 CFR 175.S0(a) (1)-(4> 

Failure to Inspect Hazmat ahlpment properl/. See 49 CFR 176.30 (b), (c), (d), (e) ... 

Improper storage/tocuring of Hazmat aboard aircraft. »... _ 

Failure to provide Hazmat training, maintain records of training, or meat niinlmum requirements ftjr 

Hazmat training „ — — 

Failure to noiify FAA properly of biddent/Ulscrepancies In Hazmat sNpment... ..._ 

Failure lo provide notice to the pDot-lrxonHnand..... >.. ._ _.. _. ».. 

Other Part 175 violations _ _ 

(') 

6,000-^7.500 

10,000-27.500 

10,000-27.500 

10,000-27.500 

5,000-15,000 

5,00(»-16,000 

5,000-15,000 

( 

2,500-15,000 

5,000-15,000 

5,000-15,000 

5,000-15.000 

1.00O-6.000 

1.000-6.000 

1,000-6.000 

1 Use main Matrix. 

Definitions 

(a) Air Carrier and Other AircraR 

Operator Croups (I, U, M, A^Alr 

carriers and other aircraft operators are 

divided into two categories for purposes 

of determining an appropriate sanction. 

These categories track the air carrier 

groups established in FAA Order No. 

21S0.3A, Appendix 1, Compliance/ 

Enforcement Bulletin 92-1, but also 

includes any operator of an aircraft that 

is operated "in conunerce" as defined in 

the Federal hazardous materials law, 

including Part 129 Foreign Air Carriers. 

Part 125 Operators, and Part 91 

Operators. Group I is comprised of air 

carriers and other aircraft operators with 

^nual operating revenue of 

ji 100,000,000 or more. Group II is 

comprised of air carriers and other 

aircraft operators that hold Part 121 

certificates or have 50 or more pilots or 

operating revenue of less than 

$100,000,000. Group Iff is comprised of 

air carriers and other ab-craft operators 

that do not meet the criteria for Group 

n with (1) 6 to 49 pUots, or (2) 6 to 24 

aircraft Group IV is comprised of all 

other air carriers or aircraft operators 

not meeting the criteria for Groups I, ff. 

orm. 

do) Business i&i(iiy—The violator is a 

business, corporation, partnership, SubS Corporation, sob proprietor, 

association, or any type of commercial 

entity. An Indlvidfu^ who offers a 

hazmat shipment in air transportation in 

the course of his/her self-owned 

business falls into this categoty. 

Includes all entitles defined under the 

HMR's definition of "person," (49 CFR 

171.8) with the exception of an 

individual as defined herein. 

(c) Business Entity that Regularly 

Hazardous Materials in the Course of its 

Business.—A manufacturer or 

distributor of Hazmat faUs into this 

category. A freight forwarder would also 

fall into this category. The aspect of 

"regularly" offering covers a business 

entity that offers Hazmat with some 

anticipated fiequency or purports to do 

so, e.g., a catalogue company that offers 

hazardous material to its customers 

would fall into this categoty. even 

though its actual sale or transportation 

of the Hazmat Is infi?equent or limited. 

(d) BuslTKSS Entity that Uses. Handles 

Hazmat in the Course of Its Business— 

This categoty encompasses the business 

that utilizes Hazmat in its business but 

does nor offer it for transportation on a 

regular basis, as described above. For 

example, a manuiiactiu^r of a nonHazmat product that uses Hazmat in the 

manufacturing process could 611 into 
Fedo-al Register/Vol. 64, No. 76/Wednesday. April 21, 1999/Rules and Regulations 19449 

the company ordinarily does not offer 

he Hazmat it utilizes for transportation, 

dnd the shipment in this instance 

represents an isolated IncidenL This 

type of business is held to a higher 

standard than the business entity that 

has no regular involvement with 

Hazmat The described business entity 

receives the subject hazardous material 

in transportation and uses it in its 

business: thus, it is clearly on notice of 

the hazardous nature of the material and 

the regulatory requirements to which 

the Hazmat is subject. 

(e) Declared Shipment—A declared 

shipment, for purposes of this matrix 

only, is one that complies with one br 

more of the communicative 

requirements of the HMR, i.e., it has 

markings, labels, and/or partiallycorrect shipping papers. A package that 

has shlppirig papers that declare the 

contents as hazardous material but Is 

otherwise not marked or labeled falls 

into this categcxy. Simllarty, a properly 

marked and labeled package that lacks 

shipping papers also falls hito this 

categoty. A case falls into this cat^Oty 

where tiiere is clear Indication that the 

offeror made some attempt to give 

notice of the hazardous nature of the 

yiipment. 

,' (f) Forbidden or Exceeds (Quantity 

Limits for Passenger Alrcra^A 

shipment falls into this categoty if the 

quantity of Hazmat per package exceeds 

the quantity limitations for passengercarrying aircraft or ff the particular 

hazardous material is forbidden in air 

transportation on passenger aircraft 

circumvent those requirements. For 

example, an offeror who places a 

properly marked and labeled Hazmat 

slilpment along with properly 

completed shipping papers, into an 

overpack marked as "printed material.' 

(g) Forbidden on or Exceeds (Quantity has committed an intentional or 

Limits for All Aircra^A shipment will 

fall into this cat^oty ff the quantity of 

hazardous material per package exceeds 

the allowable amotmt for botii passenger 

and cargo aircraft or the Hazmat is 

absolutely forbidden in air 

transportation. 

(h) Hazmat—A "hazardous material," 

as defined hi 49 CFR 171.8. bicludes 

and is interchangeable with the term 

"dangerous goods, " as used in the 

International Civil Aviation 

Organization (ICAO) Technical 

Instructioiui. 

(0 Individual—An individual who 

offers a shipment of hazardotis inaterial 

in his/her personal capacity without any 

business ptirpose or as part of a 

commercial enterprise on the part of the 

individual. 

(1) bitaitional or Deliberate 

Violation—A shipment falls into this 

categoty when there is evidence that the 

offeror, acceptor, air carrier, or aircraft 

operator had knowledge of the 

requirements of the HMR and willfully 

clrcimivented or attempted to 

RISK CATHGORIES 

[Figure 2] 

deliberate violation. In this type of case, 

the investigating agent shall consult 

with FAA legal cotmsel and follow 

agentty guidance for potential criminal 

violations of the HMR. 

(k) UrKleclared Shipment—This is a 

sh^ment that has no indication of its 

hazardous material contents and/or no 

irxlicatton that the offeror 

commimlcated the hazardous nature of 

the shipment's contents to persons who 

accept or transport 

0) Within Hazmat Quantity 

Lindtatiojts—The amount of hazardous 

material is within the quantity 

llndtatlons per package as established in 

the § 172.101 Table (49 CFR 172.101) for 

the type of aircraft on which the 

shipment traveled.Por example, ff the 

shipment was offoed for transportation 

on a passeriger aircraft, the quantity of 

hazardous material was within the 

establi^died limit for transportation by 

passenger aircraft, ff the slilpment was 

offered for transpcvtation on a cargo 

aircraft, the quantity limitations for 

cargo aircraft apply. 

Crtegory "A" (Maximum Weight) 

Categoty "A" materials are mateiials that when released In the confines ol an ahctafl can potentially have a catastrophic eflect on an alroraffs ability to continue safe flight, resulting In a crash or emergerKy landing causing Ir^ury or death lo passengsis and fllghtctew, as well as 

penaons on ttie ground. 

aass 1 Explosives: Division 1.1, 1.2, 1.3. 

Class 2 CofT^rsssed Gases AN 2.1,2S: with Subsidiary Risk 5.1 and AH 2.3 PIH Zones A-D. 

aass 3 nanwnaUe Lk|idds PG I, II, and (PIH). 

Class 4 (Xvislon 4.1 Flammable Solids PG i, & (Matches). 

Division 4.2 Spontaneously CombustitJie Materials PG I (Pyrophoric). 

Division 4.3 Dangerous When Wet PG I. 

Class 5 ~ Division 5.1 OxkbSng LkjuMs and Solids PG I, il. e.g., 'Y%emk»i Oxygen Generators". 

l3Mslon 5.2 Organk: Peroxides PG II (Type A B. C, or D). 

aass 6 DMskm 6.1 Poisonous Uqukis PG I (PIH). 

Class 7 Cargo Aircraft Only QuanUlles on Passenger Aircraft 

Class 8 Corrosive Material Liqukf PQ I and (PIH). 

FotbkUen Itteterlals (See 49 CFR 173.21 & ICAO Tet^inteal instmcUons). 

Forfokiden Hazmat listed bi Dangerous Goods Table 49 CFR 172.101. 

Categoty "B " (Moderate Weight) 

The materials listed in (Category "B" are maleiials Ihat may not pose an immediate threat to the safety of a flight, but can cause deatti or injury lo persons dua to unintended releases in alrctatl cabin areas, and potential damage to aircraft structures over a kmger period of time due 

to undiscovered releases on aircraft structural components. 

aass 1 

aass 3 

Class 4 

I 

Class 5 . 

Class 6 . 

DMskin 1.4, 1.5, 1.6, Al Compatibility Groups. 

PG iii Flammable Liquids. 

DMskMi 4.1 Flammable Solids PG ii, ill. 

|}ivision 4.2 Spontaneously Combustible Materials PG III. 

Oiviston 4.3 Darigsrous When Wet PG 11, ill. 

DMsion 5.1 Oxidizing Uqulds or Solids PG Hi. 

iSiviskm 5.2 Organic Peraddes (TVpe E, F, G). 

DMslon 6.1 Poisonous LkjuMs PG I, 11 (NOM-PIH). 

DMslon B.2 Infectious Suttstances. 
19450 Federal Register/Vol. 64, No. 76/Wednesday. April 21, 1999/Rules and Regulations 

RISK CATEGORIES—Continued 

(Figure 2] 

Class 7 

Class 8 

RadloacUva Materials, yelkrw label ill, yaltow label 11, and white label L 

UqukIs PQ 11, III SolMs PG 1,11, HI. 

Categoty r-C" (Minimum Weight) 

The materials Isted in Categoty "V are materials ttiat present ttie least amount of risk to ttie Inuisportatton system. 

Class 2 

Class 6 

Class? 

Class 9 

2u! Nonflammable Gas. 

DivMon 6.1 Packing Group IIL 

Al ottier RAM (LSA. LTD QTY. bistruroents and Articles). 

Misceflaneous Dangerous Goods (ORM-0 and Consumer OommodHy). 

Note: This guidance Is not Intended to replace ttie experienced Judgment to a special agent who is convinced, based on ttie evidetioe and 

facts of a case, that the failure of an air canter, shipper, freight forwarder, or passenger to toOow estabflshed reguiattons has posed a rtsit to 

aviatton safety. 

Issued in Wasiilngtoa DC on April 14, 

1999. 

Jane F. Carrey, 

Adm/nilsCra(Dr. 

(FR Doc. 99-9983 FUed 4-20-99; 8:45 am] 

BOXMO CODE 4Sie-n-H 

SECURmES AND EXCHANGE 

COMMISSION 

17 CFR Part* 202, 240, 242 and 249 I- Background 

FOR FURTHER INFORMATION CONTACT: 

Elizabeth Klrig, Senior Special Counsel, 

at (209 942-0140. Constance Kigghu. 

Special Counsel, at (202) 942-0059. and 

Kevhi Ehrllch, Attorney, at (202) 942-

0778. Division of Market Regulation. 

Securities and Exchange Commission. 

450 Flftii Street, N.W.. Washington, D.C. 

20549-1001. 

SUPPLEMENTARY INFORMATION: 

(Release No. 34-41297; File No. S7-12-M] 

RIN 3236-AH41 

Regulation of Alternative Trading 

Systems; Technical Amendment 

AGENCY: Securities and Exchange 

Conunission. 

ACTION: Final rule; technical amendment 

and revised compliance date. 

SUMMARY: The Securities and Exchange 

Commission is modifying the 

compliance dates for Rule 301 (b)(3) and 

making a technical change to Ride 

202.3. These and other rules and rule 

amendments relate to the regulation of 

alternative trading systems and 

exchanges and were published on 

December 22,1998 (63 FR 70844). The 

effective date for the other rules and 

amendments published in 63 FR 70844 

remains April 21,1999, except for the 

effective date for S§242.301(b)(5)(i)(D) 

and (E) and§§242.3Ql(b)(6)(i)(D) and 

(E). which remabis April I, 2000. 

DATES: Effective Date: April 21,1999 for 

amendment to § 202.3. 

Compliance Date: Alternative trading 

systems must comply with 

§ 242.301 (b)(3) with respect to the 50 

securities listed in Schedide A by 

August 23,1999; with respect to the 

securities listed on Schedules A and B 

oy September 28.1999; with respect to 

the securities listed on Schedules A, B 

and C by April 25, 2000; and with 

resDect to all securities bv June 20. 

On December 8.1998. the Securities 

and Exchange Commission 

("Commission") adopted newndes and 

rule amendments to allow alternative 

trading systems to choose whether to 

register as national securities exchanges, 

or to register as broker-dealers and 

comply with additional requirements 

tmder Regulation ATS. depending on 

their activities and trading volume.* The 

effective date for most of tiiese new 

rules and rule amendments is April 21. 

1999. The Commission stated in the 

adopting release that, prior to April 21. 

1999. it would publish a list of those 

securities with respect to which 

alternative trading s}9tenu musi comply 

witii Rule 3Ol(b)0) on April 21.1999 

and those sectulttes with respect to 

which alternative trading systems must 

comply with Rule 301(b)(3) on August 

30.1999. Rule 301(b)(3) requires an 

alternative trading system to provide to 

a national sectulttes exchange or 

national securities association, for 

inclusion in the public quotation 

system, the prices and sizes of its best 

priced buy and sell orders, that are 

displayed to m{»-e than one person, in 

each covered security in which the 

alternative trading system represents 

5% or more of the total trading voliune.^ 

• Securities Exchange Act Release No. 40760 

(Dec. 8.1998). 63 FR 70844 (Dec 22,1998). 

* 17 CPR 242.301 (b)0). For purposes of 

ReguIaUoni ATS, a "coveted securl^" includes all 

exdiange-llsted, Nasdaq NM securiUes. and Nasdaq 

n. Delay of (he Compliance Dates Cbr 

Rule 301(b)(3) 

One major alternative trading system 

has indicated that it will be unable to 

comply with the requirements of Rule 

301(b)(3) by the orlghial compliance 

dates without putting the operation of 

its system at serious risk of failure. The 

operational bilure of a major alternative 

trading system could interfere with the 

markets as a whole. Accordingly, the 

Commission believes it necessary to 

adjust the compliance dates for Rule 

301(b)(3) as follows: 

August 23.1999: Compliance with 

Rule 301 (b)(3) with respect to the 50 

Nasdaq securities listed on Schedule A. 

attadied in the appendix. 

September 28.1999: Compliance with 

Rule 301 (b)(3) for die 50% of Nasdaq 

securities listed on Schedules A and B. 

atteched in the appendix. 

April 25.2000: Compliance with Rule 

301(b)(3) for the 75% of Nasdaq 

securities listed on Schedules A. B, and 

C, attached in the appendix. 

June 20, 2000: Compliance with Rule 

301 (b) (3) for all Nasdaq securities. 

Schedules A, B. and C were created 

by ranking all covered securiUes traded 

on Nasdaq by their January 1999 

volume, and including an equal number 

of securities from each decile. Some 

securities that were not traded on 

Nasdaq In January 1999 may commence 

trading on Nasdaq subsequently. 

Alternative trading systems may wait 

until June 20.20OO to comply with Rule 

301(b)(3) with respect to these 

sectiritles. 

AU other compliance dates for the 

rules and rvile amendments adopted last 

December remain the same. The 

Commission encourages those 

alternative tradlrig systems that are able ' i 

to comply with Rule 301 (b) (3) on April ^ 

21.1999 to do so. 

•!ma11 Pa n ew<f«rltls« PRD 9AI\ ll^f-l^MaMtd- Dii1«^nn/nl M TXtU 
/ 

U.S. Department 

of Transportation 

Federal Aviation 

Administration Operations Specifications 

DOSS . Aircraft Listing HQ Control: 09/18/2001 

HQ Revision: 02b 

The certificate iiolder is authorized to conduct operations under 14 CFR Part 121 using the aircraft 

identified on this operations specification. 

Print Date: 9/22/2010 

Registration No. 

N731FD 

N732FD 

N733FD 

N716FD 

N717FD 

N718FD 

N719FD 

N720FD 

N721FD 

N722FD 

N723FD 

N724FD 

N725FD 

N726FD 

N727FD 

N728FD 

N729FD 

N730FD 

N740FD 

N741FD 

N742FD 

N743FD 

N744FD 

N745FD 

N746FD 

N748FD 

N749FD 

N750FD 

N751FD 

N650FE 

N651FE 

N652FE 

N653FE 

Serial No. 

709 

713 

715 

358 

361 

365 

388 

417 

477 

479 

543 

530 

572 

575 

579 

581 

657 

659 

559 

611 

613 

630 

664 

668 

688 

633 

536 

555 

625 

726 

728 

735 

736 

Nose Number, 

If Applicable 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

Aircraft M/M/S 

A-300-B4605R 

A-300-B4605R 

A-300-B4605R 

A-300-B4622 

A-300-B4622 

A-300-B4622 

A-300-B4622 

A-300-B4622 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-B4622R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

N/A A-300-F4605R | 

D085-1 

Federal Express Corporation 

Certificate No.: FDEA140A 

h 

X-

,f 

ria 

\ i; 
U.S. Department 

of Transportation 

Federal Aviation 

Administration Operations Specifications 

Registration No. 

N654FE 

N655FE 

N656FE 

N657FE 

N658FE 

N659FE 

N660FE 

N66IFE 

N662FE 

N663FE 

N664FE 

N665FE 

N667FE 

N668FE 

N669FE 

N670FE 

N671FE 

N672FE 

N673FE 

N674FE 

N675FE 

N676FE 

N677FE 

N678FE 

N679FE 

N680FE 

N681FE 

N682FE 

N683FE 

N684FE 

N685FE 

N686FE 

N687FE 

N688FE 

N689FE 

N690FE 

N691FE 

N692FE 

N401FE 

N402FE 

Serial No. 

738 

742 

745 

748 

752 

757 

759 

760 

761 

766 

768 

769 

771 

772 

774 

777 

778 

779 

780 

781 

789 

790 

791 

792 

793 

794 

799 

800 

801 

802 

803 

804 

873 

874 

875 

876 

877 

878 

191 

201 

Nose Number, 

If Applicable 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

Aircraft M/M/S 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-300-F4605R 

A-310-203 

A-310-203 

Print Date: 9/22/2010 D085-2 

Federal Express Corporation 

Certificate No.: FDEA140A 
U.S. Department 

of Transportation 

Federal Aviation 

Administration Operations Specifications 

Registration No. 

N403FE 

N404FE 

N405FE 

N407FE 

N408FE 

N409FE 

N410FE 

N411FE 

N412FE 

N413FE 

N414FE 

N423FE 

N425FE 

N426FE 

N427FE 

N428FE 

N429FE 

N430FE 

N431FE 

N435FE 

N436FE 

N443FE 

N445FE 

N416FE 

N417FE 

N418FE 

N419FE 

N421FE 

N446FE 

N447FE 

N448FE 

N450FE 

N451FE 

N453FE 

N454FE 

N455FE 

N456FE 

N816FD 

N817FD 

Serial No. 

230 

233 

237 

254 

257 

273 

356 

359 

360 

397 

400 

281 

264 

245 

362 

248 

364 

394 

316 

369 

454 

283 

297 

288 

333 

343 

345 

342 

224 

251 

260 

162 

303 

267 

278 

331 

318 

593 

552 

Nose Number, 

If Applicable 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

Aircraft M/M/S 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-203 

A-310-222 

A-310-222 

A-310-222 

A-310-222 

A-310-222 

A-310-222 

A-310-222 

A-310-222 

A-310-222 

A-310-222 

A-310-222 

A-310-222 

A-310-222 

A-310-222 

A-310-304 

A-310-304 

' \ 

Print Date: 9/22/2010 D085-3 

Federal Express Corporation 

Certificate No.: FDEA140A 
U.S. Department 

of Transportation 

Federal Aviation 

Administration Operations Specifications 

Registration No. 

N801FD 

N802FD 

N803FD 

N804FD 

N805FD 

N806FD 

N807FD 

N808FD 

N809FD 

N810FD 

N811FD 

N812FD 

N813FD 

N814FD 

N815FD 

N462FE 

N463FE 

N464FE 

N465FE 

N466FE 

N467FE 

N468FE 

N469FE 

N479FE 

N480FE 

N481FE 

N482FE 

N483FE 

N484FE 

N485FE 

N486FE 

N487FE 

N488FE 

N489FE 

N490FE 

N491FE 

N492FE 

N493FE 

Serial No. 

539 

542 

378 

549 

456 

458 

492 

439 

449 

452 

457 

467 

500 

534 

638 

22550 

22551 

21288 

21289 

21292 

21449 

21452 

21581 

21461 

21462 

21463 

21464 

21465 

21466 

21488 

21489 

21490 

21491 

21492 

21493 

21529 

21530 

21531 

N494FE 21532 

N495FE 21669 

Nose Number, 

If Applicable 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

Aircraft M/M/S 

A-310-324 

A-310-324 

A-310-324 

A-310-324 

A-310-324 

A-310-324 

A-310-324 

A-310-324 

A-310-324 

A-310-324 

A-310-324 

A-310-324 

A-310-324 

A-310-324 

A-310-324 

B-727-225 

B-727-225 

B-727-225 

B-727-225 

B-727-225 

B-727-225 

B-727-225 

B-727-225 

B-727-227 

B-727-227 

B-727-227 

B-727-227 

B-727-227 

B-727-227 

B-727-227 

B-727-227 

B-727-227 

B-727-227 

B-727-227 

B-727-227 

B-727-227 

B-727-227 

B-727-227 

B-727-227 

B-727-227 | 

' v\ 

Print Date: 9/22/2010 D085-4 

Federal Express Corporation 

Certificate No.: FDEA140A 
U.S. Department 

of Transportation 

Federal Aviation 

Administration Operations Specifications 

Registration No. 

N498FE 

N499FE 

N218FE 

N220FE 

N221FE 

N222FE 

N223FE 

N254FE 

N257FE 

N258FE 

N262FE 

N263FE 

N264FE 

N265FE 

N266FE 

N267FE 

N268FE 

N269FE 

N271FE 

N273FE 

N274FE 

N275FE 

N276FE 

N277FE 

N278FE 

N279FE 

N280FE 

N281FE 

N282FE 

N283FE 

N284FE 

N285FE 

N286FE 

N233FE 

N236FE 

N237FE 

N240FE 

N241FE 

N243FE 

Serial No. 

20867 

21018 

21101 

20934 

20932 

20933 

20935 

20936 

20939 

20940 

21624 

21625 

21626 

21671 

21672 

21673 

21674 

21675 

22036 

22038 

22039 

22040 

22041 

22042 

22345 

22346 

22347 

22348 

22349 

22350 

22621 

22622 

22623 

21327 

21330 

21331 

20978 

20979 

Nose Number, 

If Applicable 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A , 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

21480 1 N/A 1 

Aircraft M/M/S 

B-727-232 

B-727-232 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-233 

B-727-247 

B-727-247 

B-727-247 

B-727-277 

B-727-277 

B-727-277 

V 

\N 

Print Date: 9/22/2010 D085-5 

Federal Express Corporation 

Certificate No.: FDEA140A 
U.S. Department 

of Transportation 

Federal Aviation 

Administration Operations Specifications 

Registration No. 

N244FE 

N245FE 

N287FE 

N288FE 

N203FE 

N204FE 

N207FE 

N211FE 

N213FE 

N215FE 

N216FE 

N217FE 

N923FD 

N924FD 

N925FD 

N933FD 

N934FD 

N226CL (N942FD) 

N941FD 

N473AC (N997FD) 

N493AC (N999FD) 

N247SS (N940FD) 

N253CL(N100FE) 

N910FD 

N915FD 

N946FD 

N947FD 

N948FD 

N917FD 

N918FD 

N919FD 

N920FD 

N921FD 

N922FD 

N994FD 

N916FD 

N912FD 

N913FD 

N914FD 

N928FD 

Serial No. 

21647 

22016 

21849 

21850 

22925 

22926 

22929 

22933 

22935 

22936 

22937 

22938 

26266 

26267 

27238 

24330 

24331 

22612 NAS 

22691 NAS 

24738 NAS 

24748 NAS 

24772 NAS 

25053 NAS 

25054 

24120 

24398 NAS 

24882 NAS 

25059 NAS 

24291 

24290 

24636 

24289 

24924 

24293 

25490 NAS 

24137 

24260 

24017 

24367 

24369 NAS 

Nose Number, 

If Applicable 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

Aircraft M/M/S 

B-727-277 

B-727-277 

B-727-2D4 

B-727-2D4 

B-727-2S2F 

B-727-2S2F 

B-727-2S2F 

B-727-2S2F 

B-727-2S2F 

B-727-2S2F 

B-727-2S2F 

B-727-2S2F 

B-757-204 

B-757-204 

B-757-204 

B-757-21B 

B-757-21B 

B-757-225 

B-757-225 

B-757-230 

B-757-230 

B-757-236 

B-757-236 

B-757-236 

B-757-236 

B-757-236 

B-757-236 

B-757-236 

B-757-23A 

B-757-23A 

B-757-23A 

B-757-23A 

B-757-23A 

B-757-23A 

B-757-23A 

B-757-27B 

B-757-28A 

B-757-28A 

B-757-28A 

N/A B.757-28A | 

\ 

Print Date: 9/22/2010 D085-6 

Federal Express Corporation 

Certificate No.: FDEA140A 
' r 

U.S. Department 

of Transportation 

Federal Aviation 

Administration Operations Specifications 

Registration No. 

N901FD 

N902FD 

N903FD 

N904FD 

N905FD 

N906FD 

N909FD 

N943FD 

N944FD 

N993FD 

N903AW (N926FD) 

N935FD 

N936FD 

N937FD 

N930FD 

N880FD 

N882FD 

N850FD 

N851FD 

N852FD 

N853FD 

N854FD 

N855FD 

N856FD 

N857FD 

N68058 

N10060 

N357FE 

N358FE 

N359FE 

N360FE 

N361FE 

N362FE 

N363FE 

N365FE 

N366FE 

N367FE 

N368FE 

N369FE 

Serial No. 

27122 

27123 NAS 

27124 

27144 

27145 

27148 

27200 

23929 NAS 

24497 NAS 

24965 NAS 

23323 NAS 

22780 NAS 

23293 

23895 

25240 NAS 

32967 

32969 

37721 

37722 

37723 

37724 

37725 

37726 

37727 

37728 

46705 

46970 

46939 

46633 

46635 

46636 

48260 

48261 

48263 

46601 

46602 

46605 

46606 

46607 

Nose Number, 

If Applicable 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/AN/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

Aircraft M/M/S 

B-757-2B7 

B-757-2B7 

B-757-2B7 

B-757-2B7 

B-757-2B7 

B-757-2B7 

B-757-2B7 

B-757-2G5 

B-757-2G5 

B-757-2Q8 

B-757-2S7 

B-757-2T7 

B-757-2T7 

B-757-2T7 

B-757-2Y0 

B-777-F28 

B-777-F28 

B-777-FS2 

B-777-FS2 

B-777-FS2 

B-777-FS2 

B-777-FS2 

B-777-FS2 

B-777-FS2 

B-777-FS2 

DC-10-IOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-IO-IOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF w 

\ 

Print Date: 9/22/2010 D085-7 

Federal Express Corporation 

Certificate No.: FDEA140A 
U.S. Department 

of Transportation 

Federal Aviation 

Administration Operations Specifications 

Registration No. 

N370FE 

N371FE 

N372FE 

N373FE 

N374FE 

N375FE 

N377FE 

N381FE 

N383FE 

N384FE 

N385FE 

N386FE 

N387FE 

N388FE 

N389FE 

N390FE 

N392FE 

N394FE 

N395FE 

N396FE 

N397FE 

N398FE 

N399FE 

N40061 

N550FE 

N554FE 

N556FE 

N559FE 

N560FE 

N562FE 

N563FE 

N564FE 

N566FE 

N567FE 

N569FE 

N570FE 

N571FE 

N68049 

N68050 

N68051 

Serial No. 

46608 

46609 

46610 

46611 

46612 

46613 

47965 

46615 

46616 

46617 

46619 

46620 

46621 

46622 

46623 

46624 

46626 

46628 

46629 

46630 

46631 

46634 

48262 

46973 

46521 

46708 

46710 

46930 

46938 

46947 

46948 

46984 

46989 

46994 

47828 

47829 

47830 

47803 

47804 

47805 

Nose Number, 

If AppUcable 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

Aircraft M/M/S 

MD-IO-IOF 

MD-IO-IOF 

MD-IO-IOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-IO-IOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-IO-IOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

MD-IO-IOF 

MD-IO-IOF 

MD-10-lOF 

MD-10-lOF 

MD-IO-IOF 

MD-10-lOF 

MD-IO-IOF 

MD-10-lOF 

MD-10-lOF 

MD-10-lOF 

N/A MD-10-lOF 1 

\ 

Print Date: 9/22/2010 D085-8 

Federal Express Corporation 

Certificate No.: FDEA140A 
U.S. Department 

of Transportation 

Federal Aviation 

Administration Operations Specifications 

Registration No. 

N68052 

N68053 

N68054 

N68057 

N68059 

N302FE 

N303FE 

N304FE 

N306FE 

N307FE 

N308FE 

N311FE 

N312FE 

N313FE 

N314FE 

N315FE 

N316FE 

N317FE 

N318FE 

N319FE 

N320FE 

N321FE 

N785BC (N625FE) 

N521FE 

N522FE 

N523FE 

N524FE 

N525FE 

N526FE 

N527FE 

N528FE 

N529FE 

N572FE 

N573FE 

N574FE 

N575FE 

N576FE 

N577FE 

N578FE 

Serial No. 

47806 

47807 

47808 

48264 

46907 

46801 

46802 

46992 

48287 

48291 

48297 

46871 

48300 

48311 

48312 

4'8313 

48314 

46835 

46837 

47820 

47835 

47836 

48753 NAS 

48478 

48476 

48479 

48480 

48565 

48600 

48601 

48623 

48624 

48755 

48769 

48499 

48500 

48501 

48469 

48458 

Nose Number, 

If Applicable 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

. N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

Aircraft M/M/S 

MD-10-lOF 

MD-10-lOF 

MD-IO-IOF 

MD-10-lOF 

MD-10-lOF 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-10-30F 

MD-11 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

Print Date: 9/22/2010 D085-9 

Federal Express Corporation 

Certificate No.: FDEA140A 
U.S. Department 

of Transportation 

Federal Aviation 

Administration Operations Specifications 

Registration No. 

N579FE 

N580FE 

N582FE 

N583FE 

N584FE 

N585FE 

N586FE 

N587FE 

N588FE 

N589FE 

N590FE 

N591FE 

N592FE 

N593FE 

N594FE 

N595FE 

N596FE 

N597FE 

N598FE 

N599FE 

N601FE 

N602FE 

N603FE 

N604FE 

N605FE 

N606FE 

N607FE 

N608FE 

N609FE 

N610FE 

N612FE 

N613FE 

N614FE 

N615FE 

N616FE 

N617FE 

N618FE 

N619FE 

N620FE 

N621FE 

Serial No. 

48470 

48471 

48420 

48421 

48436 

48481 

48487 

48489 

48490 

48491 

48505 

48527 

48550 

48551 

48552 

48553 

48554 

48596 

48597 

48598 

48401 

48402 

48459 

48460 

48514 

48602 

48547 

48548 

48549 

48603 

48605 

48749 

48528 

48767 

48747 

48748 

• 48754 

48770 

Nose Number, 

If Applicable 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

48791 N/A 

48792 N/A 

Aircraft M/M/S 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-11-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-11-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 1 

Print Date: 9/22/2010 D085-10 

Federal Express Corporation 

Certificate No.: FDEA140A 
U.S. Department 

of Transportation 

Federal Aviation 

Administration Operations Specifications 

Registration No. 

N623FE 

N624FE 

N628FE 

N631FE 

Serial No. 

48794 

48443 

48447 

48454 

Nose Number, 

If Applicable 

N/A 

N/A 

N/A 

N/A 

Aircraft M/M/S 

MD-ll-F 

MD-ll-F 

MD-ll-F 

MD-ll-F 

NAS - Aircraft that are not approved for revenue operations but are being maintained under 

the FedEx Continuous Airworthiness Maintenance & Inspection Program. 

1. The Certificate Holder applies for the Operations in this paragraph. 

2. Support information reference: Added N785BC (MD-l 1), future registration will be N625FE. 

Updated N497EA to N944FD (B-757-2G5). Updated N929RD to N943FD (B-757-2G5). 

3. These Operations Specifications are approved by direction of the Administrator. 

2010.09.22 14:58:21 Cicniral Davlighi Time 

I-ocalion: WebOPSS 

Digitally signed b> Stiinby A Goddard on 

behaltoTMoorc". l,an-y D, J'rincipal 

Maintenance Inspector (CH2I) 

4. Date Approval is effective: 09/22/2010 Amendment Number: 420 

5.1 hereby accept and receive the Operations Specifications in this paragraph. 

2010.09.22 09:26:10 Central Da\lid]t I irae 

Location: WebOPSS 

Digitally signed by I'liomas R Taylor 

Date: 09/22/2010 

\ . \ 

Print Date: 9/22/2010 D085-11 

Federal Express Corporation 

Certificate No.: FDEA140A 
U.S. Department 

of Transportation 

Federal Aviation 

Administration 

Operations Specifications 

0085. Aircraft Listing HQ Control: 

HQ Revision: 

09/18/01 

02b 

The certificate holder is authorized to conduct operations under 14 CFR Part 121 using the aircraft 

identified on this operations specification. 

Table 1. FAR 121 Aircraft 

Registration No. 

N908FX 

N911FX 

N912FX 

N913FX 

N917FX 

N919FX 

N900FX 

N901FX 

N903FX 

N816FX 

N819FX 

N821FX 

Serial No. 

23 

45 

47 

250 

354 

266 

170 

172 

179 

347 

359 

253 

Nose Number, 

If Available 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

Aircraft M/M/S 

ATR-42-300 

ATR-42-300 

ATR-42-300 

ATR-42-300 

ATR-42-300 

ATR-42-300 

ATR-42-320 

ATR-42-320 

ATR-42-320 

ATR-72-212 

ATR-72-212 

ATR-72-212 

b. The certificate holder is authorized to conduct operations under 14 CFR Part 135 using the aircraft 

identified on this operations specification. 

Table 2. FAR 135 Aircraft 

Print Date: 6/9/2009 D085-1 

Empire Airlines, Inc. 

Registration No. 

N700FX 

N705FX 

N709FX 

N711FX 

N720FX 

N728FX 

N746FX 

N752FX 

N756FX 

N775FE 

N778FE 

N779FE 

N788FE 

N797FE 

N850FE 

N856FE 

N859FE 

N863FE 

N873FE 

N875FE 

N876FE 

N880FE 

N882FE 

N895FE 

N897FE 

Serial No. 

C208B0419 

C208B0425 

C208B0430 

C208B0433 

C208B0452 

C208B0471 

C208B0498 

C208B0517 

C208B0532 

C208B0272 

C208B0275 

C208B0276 

C208B0286 

C208B0042 

C208B0164 

C208B0176 

C208B0181 

C208B0186 

C208B0202 

C208B0206 

C208B0207 

C208B0215 

C208B0208 

C208B0015 

C208B0227 

Aircraft M/M/S 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

Certificate No.: COEA135A 

V V 
U.S. Department 

of Transportation 

Federal Aviation 

Administration 

Operations Specifications 

Registration No. 

N899FE 

N918FE 

N940FE 

N953FE 

N956FE 

N960FE 

N965FE 

N976FE 

N983FE 

N992FE 

Serial No. 

C208B0235 

C208B0018 

C208B0040 

C208B0062 

C208B0068 

C208B0075 

C208B0084 

C208B0103 

C208B0113 

C208B0128 

Aircraft M/M/S 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

CE-208-B 

1. Issued by the Federal Aviation Administration. 

2. Support information reference: 

3. These Operations Specifications are approved by direction of the Administrator. 

Bianco, John J. Principal Maintenance Inspector NM13 

4. Date Approval is effective: 6/9/09 

5. I hereby accept and receive the Operations Specifications in this paragraph. 

Amendment Number: 102 

Strom, Thomas J., Dir. of Maint., Part 121/135 Date: 6/9/09 

Print Date: 6/9/2009 D085-2 

Empire Airiines, Inc. 

Certificate No.: COEA135A n / 

/\, 
/ 

^ 
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