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- J N J M 3 3 f D i n • o O 3 o . f D 3 X 3 " X X X 5 O OU.S . DEPARTMEN TO F TRANSPORTATI O FEDERA L AVIATIO N ADMINISTRATIO N

HAZARDOU S KMTERIAL S 

### AGEN T STATEMENT : Donal d A . STIGER , Specia l Agen t (SA ) , Federa l Aviatio n Administration , Portlan d Hazardou s Material s Inspectio n Detachment , 7 3 0 3 N.E . Alderwoo d Road , Portland , Orego n 97218 , telephon e (503 ) 258-6995 . Specifically , o n Augus t 22 , 2007 , durin g th e cours e o f a hazardou s material s ram p inspectio n o f Empir e Airlines , Inc. , (COEA ) aircraf t N-940F E (Fligh t # 8677-22 ) a t Rogu e Valle yInternationa l Airpor t (MFR) , 360 0 Termina l Road , Medford , Orego n 97504 , m e an d Federa l Aviatio n Administratio n (FAA ) Specia l Agen t Thoma s KENN Y observe d tw o package s (fiberboar d boxes) , bein g unloade d fro ma n aircraft , [FEDERA L EXPRESS , INC. , (FDEA ) Trackin g Number s 731 7 035 3 053 0 an d 731 7 035 3 0562 ] marke d "CONSUME R COMMODIT Y ORM-D " o n bot h side s o f eac h respectiv e packag e withou t correspondin g hazardou s material s shippin g paper s o r wit h prope r packag e markings . I confirme d wit h th e pilot-in-coram;an d o f COE Aaircraf t N-940F E tha t h e ha d n o hazardou s material s shippin g paper s o r pilo t notificatio n o f hazardou s material s onboar d fo r hi s fligh t fro mPortland , Oregon , t o Medford , Oregon . Upo n Furthe r investigatio n o f th e tw o packages , I confirme d tha t th e content s insid e eac h packag e wer e a s follows : Inne r containers : Plasti c bottl e Capacit yo f eac h inne r container : 35 4 m l Numbe r o f bottle s i n eac h fiberboar d box : 2 4 plasti c bottle s Bottl e markings : Neixu mHan d Sanitizin g Ge l Activ e ingredient : 62 % Ethy l alcoho l I als o note d tha t th e screw-typ e ca p o n eac h Neixu mHan d Sanitizin g Ge l bottl e wa s no t securel yhel d wit h a positiv e mean s o f control . Shippin g label s o n eac h respectiv e packag e identifie d th e shippe r a s Astrazenec a Pharmaceutical s L P (Astrazeneca) , 1501 , Perryma n Road , Aberdeen , Marylan d 2100 1 an d th e consignee s a s Car l CASEBEER , 852 5 Thir d Street , Jacksonville , Orego n 97530 . FDE Ashippin g label s indicate d tha t th e leve l o f servic e fo r th e tw o shipment s wer e fo r "Priorit yOvernight " transportation . I als o note d tha t on e packag e ha d a labe l tha t indicate d th e following : Packag e wit h FDE ATrackin g Number : 731 7 035 3 056 2 Orde r # : 21012510169 4 Cas e ID : 173212 2 Carto n Group : Ful l Cas e Pic k Carto n Type : FULLCAS E Ite m# 2 4 966 4 Qt y2 4 Eac h Wav e Id : 900 3 priorit y

terviewed/Reviewo d O n A t 

### B y Fil e No. 2007NM70015 6 (Publi cavailabilit yt o b e \ ttermlne d unde r5 U.S.C . 552 ) > FA AFor m 1600-32- 1 (9^ ) FO R OFFICIA L USE'ONLY , \ ^ determine d unde r5 U,S.C . 552 )U.S . DEPARTMEN TO F TRANSPORTAT K FEDERA L AVIATIO N ADMINISTRATIO N

HAZARDOU S MATERIAL S 

### Th e othe r packag e ha d a labe l tha t indicate d th e following : Packag e wit h FDE ATrackin g Number : 731 7 035 3 053 0 Orde r # : 21012510169 4 Cas e ID : 173212 1 Carto n Group : Ful l Cas e Pic k Carto n Type : FULLCAS E Ite m# 24966 4 Qt y2 4 Eac h Wav e Id : 900 3 priorit y APhotocop yo f th e FDE AInboun d Dangerou s Good s Aler t fo r COE A fligh t 8677-2 2 wa s take n o n Augus t 22 , 2007 . Photograph s wer e als o take n o f bot h shipment s o n Augus t 22 , 2007 . O n Augus t 24 , 2007 , I downloade d FDE Atrackin g report s fro mFDEA' s Interne t websit e (http://www.fedex.com/Tracking ) fo r bot h shipment s identifie d b ytrackin g number s 731 7 035 3 053 0 an d 731 7 035 3 0562 . Th e trackin g informatio n indicate d tha t bot h package s fle wfro m Baltimore , Maryland , t o Medford , Oregon , vi a Memphis , Tennessee , an d Portland , Oregon , respectively . I als o contacte d CASEBEER , a t 541-899-9061 , an d confirme d tha t he , a s a n Astrazenec a employe e (Salesman) , ha d ordere d bot h shipment s o f th e Neixu mHan d Sanitizin g Ge l vi a Astrazeneca' s Intranet . O n Augus t 27 , 2007 , I receive d a Materia l Safet yDat a Shee t (MSDS ) fro mTh e Roya l Hous e Corporation , 1312 1 S W 12 2 Avenue , Miami , Florid a 3318 6 fo r th e Han d Sanitizin g Gel . I als o ha d a phon e conversatio n a t 305-255-224 2 wit h Mar k OSETE , Operation s Manager , Roya l Hous e Corporation , an d confirme d tha t th e package s marke d ORM- D an d containin g th e bottle s o f Han d Sanitizin g Ge l ar e no t package d fo r ai r transportation . O n Septembe r 6 , 2007 , I receive d fro mFAASpecia l Agen t Ronal d GRIEFF ^ Dulles , Virginia , produc t orde r informatio n sheet s (Produc t orde r 210125101694 ) an d FDE AExpres s Servic e Complianc e Repor t date d Augus t 30 , 2007 , utilize d b yAstrazeneca' s shippin g agen t Archwa yMarketin g Services , 150 1 Perryma n Road , Suit e 100 , Aberdeen , Marylan d 21001 . Th e additiona l informatio n fro mGRIEF F indicate d tha t th e tw o shipment s leve l o f ai r servic e wa s upgrade d fro mFDE A"Standar d Overnight " t o FDE A"Priorit yOvernight" .

^erviewed/Reviewe

dO n Septembe r

6 . 200 7 , A t Portland . Orego n B y Special Agen t

Donal dA . Stige r

fXl H AAjy^" ^ , FiieNo. 2007NM70015 6 ^-- ^ FA AFor m 1600-32- 1 (M6 ) I / FO R OFFICIA L US E ONL Y y/ (PuW/ cavailabilit yt o b e / ' ^ \ ydetermine d unde r5 U.S.C . 5S2 ) h- .Shipment s



### a d Result s (Y ) Quic k Hel p

Trackin g nunnbe r73170353056 2 Referenc e Signe d fo rb ySignatur e releas e o n fil e Destinatio n Shi p dat e Au g 21 , 200 7 Delivere d t o Deliver ydat e Au g 22 , 200 7 11:0 5 A M Servic e typ e Weigti t Statu s Delivere d Signatur e imag e N o availabl e DafeTTim e Activit y Au g 22 , 200 7 11:05 A M Delivere d

9:1 1 A M O n FedE xvehicl e fo r

deliver y 8:5 1 A M At loca l FedE xfacility 5.4 5 A M A

t des t sor t facility Locatio n

Jacksonville , O R MEDFORD , O R MEDFORD , O R PORTLAND , Detail s 173212 2 Jacksonville , O R Residenc e Priorit yOvernigh t 18. 0 lbs .

Lef t at garage . Packag e deliver e recipien t addres s - releas e auth (

• 3:5 0 A M Departe d FedE x

locatio n 12:32 A M Arrive d at FedE x

locatio n Au g 21 , 200 7 7:4 3 P M Lef t origi n
• 3:4 0 P M Picke d u p 12:32 P M Packag e dat a

transmitte d t o FedE x O R MEMPHIS , T N MEMPHIS , T N BALTIMORE , M D BALTIMORE , M D

Subscrib e t o trackin g update s (optional ) You rName : I E-mai l addres s 

# r Languag e 

### JEngiis h i I Englis h j Englis h j Englis h You rE-mai i Address : | Exceptio n update s 

# m Deliver y

update s 

# n n n n Selec t format : <?' HTIVI L C Tex t C > Wireles s Ad d persona l message : Not availabl e fo rWireles s o r non-Englis h characters . B yselectin g thi s chec k

bo xan d th e Submi t button , I agre e t o thes e Term s an d Condition s Iji^JM^fniL J 

# a / ^ ^ \ (

# • " •

Expres s

i » FedE xExpres s

Custome rSuppor t Trac e 387 5 Airway s Boulevar d Modul e H , 4t h Floo r Memphis , T N 3811 6 U.S . Mail : P O Bo x72 7 Memphis , T N 38194-464 3 Telephone : 901-369-360 0 Augus t 24,200 7 Dea rCustomer : Th e followin g i s th e proo f o f deliver yyo u requeste d wit h th e trackin g numbe r731703530562 . 

### Deliver yinformation : Status : Signe d fo rby : Servic e type : Delivere d Signatur e releas e o n fil e Priorit yOvernigh t Deliver ylocation : Deliver ydate : Jacksonville , O R Au g 22 , 200 7 11:0 5

N O SIGNATUR E I S AVAILJ^BL E FedE xExpres s Proo f o f deliver ydetail s appea rbelow , howeve rn o signatur e i s currentl yavailabl e fo rthi s FedE x Expres s shipment . Availabilit yo f signatur e image s ma ytak e u p t o 5 day s afte rdeliver ydate . Shippin g Infomnation : Trackin g numbe r Recipient : Jacksonville , O R U S Referenc e 73170353056 2 Shi p date : Weight : Shipper : BALTIMORE , 173212 2 I\/1DU S Au g 21 , 200 7 18. 0 lbs .

Than k yo u fo rchoosin g FedE xExpress . FedE xWorldwid e Custome rServic e I.SOO.GoFedE x1.800.463.333 9



# c ^ v

f Z'Z -Trad k

Shipment s 

## f ' Detaile d Result s (7 ) Quic k Hel p

Trackin g numbe r Signe d fo rb y Shi p dat e Deliver ydat e 73170353053 0 Referenc e Signatur e releas e o n fil e Destinatio n Au g 21 , 200 7 Delivere d t o Au g 22 , 200 7 11:0 5 A M Servic e typ e Weigh t 173212 1 Jacksonville , O R Residenc e Priorit yOvernigh t 20. 0 lbs . Statu s Delivere d Signatur e imag e N o availabl e Date/Tim e Activit y Au g 22 , 200 7 11:05 A M Delivere d

9:1 1 A M O n FedE xvehicl e fo r

deliver y 8:5 1 A M A

t loca l FedE xfacility ,5:45 A M A

t des t sor t facility Locatio n

Jacksonvill e O R MEDFORD , O R MEDFORD , O R PORTLAN D 3:5 0 A M Departe d FedE x

locatio n 12:32 A M Arrive d at FedE x

locatio n Au g 21 , 200 7 7:43 P M Lef t origi n 3:4 0 P M Picke d u p 12:32 P M Packag e data

transmitte d t o FedE x O R MEMPHIS , T N MEMPHIS , T N BALTIMORE , M D BALTIMORE , M D Detail s

Lef t at garage . Packag e delivere d t o recipien t addres s - releas e authorize d



# ^^KM^^^iMiWIi^^^^^jMI^S ^ Subscrib e t o trackin g update s (optional ) You rName : j E-mai l addres s 

# r r Languag e j Englis h I Englis h I Englis h i I Englis h You rE-mai l Address : [

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> Wireles s Ad d persona l message : f No t availabl e fo rWireles s o r non-Englis h characters . 

# - 1 Exceptio n update s 

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# m I

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# n n n n

•- - B yselectin g thi s chec k bo xan d th e Submi t button , 1 agre e t o thes e Term s an d ' Condition s l^jjbrntty l 

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# • 4

Evpress

•S " FedE xExpres s

Custome rSuppor t Trac e 387 5 Airway s Boulevar d Modul e H , 4t h Floo r Memphis , T N 3811 6 U.S . Mail : P O Bo x72 7 Mempl^is , T N 38194-464 3 Telephone : 901-369-360 0 Augus t 24,200 7 Dea rCustomer : Th e followin g i s th e proo f o f deliver yyo u requeste d wit h th e trackin g numbe r731703530530 . Deliver yInformation : Status : Signe d fo rby : Servic e type : Delivere d Signatur e releas e o n fil e Priorit yOvernigh t Deliver ylocation : Deliver ydate : Jacksonville , O R Au g 22 , 200 7 11:0 5
N O SIGNATUR E I S AVAILABL E FedE xExpres s Proo f o f deliver ydetail s appea rbelow , howeve rn o signatur e i s currentl yavailabl e fo rthi s FedE x Expres s shipment . Availabilit yo f signatur e Image s ma ytak e u p t o 5 day s afte rdeliver ydate . Shippin g Information : Trackin g numbe r Recipient : Jacksonville , O R U S 73170353053 0 Shi p date : Weight : Shipper : BALTIMORE , M D U S • Au g 21,200 7 20. 0 lbs .

Referenc e 173212 1 Than k yo u fo rchoosin g FedE xExpress . FedE xWorldwid e Custome rServic e I.SOO.GoFedE x1.800.463.333 9



# 2- VU.S . DEPARTMEN TO F TRANSPORTATI O FEDERA L AVIATIO N ADMINISTRATIO N

HAZARDOU S MATERIAL S 

## PHOTOGRAP H 3- 1

Photograp h depicting th e shipment s identifie d b yFEDERAL EXPRESS , INC. , tracking number s 731 7 035 3 053 0 an d 731 7 035 3 0562 ; examine d a t Rogu e Valle yInternationa l Airpor t (MFR) , 360 0 Termina l Road , Medford , Orego n 97504 , o n Augus t 22 , 2007 , 

## / ? 

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### A t Portland . Orego n B y Special A.gen

t Donal dA . Stige r Fil e No . 20Q7NM70015 6 

## .0- '



# ^Ta > \ p FA A For m1600-32- 1 (o-86

) FOROFFICIA LUS EONL

Y (Publi c availability t o b e determine dunde r

5 l/.S.C . 552 )U.S . DEPARTMEN TO F TRANSPORTATIO . FEDERA L AVIATIO N ADMINISTRATIO N

HAZARDOU S MATERIAL S 

## PHOTOGRAP H 3- 2

Photograp h depicting th e shipment s identifie d b yFEDERAL EXPRESS , INC. , tracking number s 731 7 035 3 053 0 an d 731 7 035 3 0562 ; examine d a t Rogu e Valle yInternationa l Airpor t (MFR) , 360 0 Termina l Road , Medford , Orego n 97504 , o n Augus t 22 , 2007 .

Interviewed/Reviewe

dO n AugUS t

22 . 200 7 

### B y Specia l Agen t

Donal dA . S tige r A t Portland . Orego n (

V

, Fil e No . 2Q07NM70015 6 FA A Form1600-32- 1 (o-sa

) FO R OFFICIA L US E ONL Y (Publi c availability t o b e determine d unde riU.S.C . SS2 )U.S . DEPARTMEN TO F TRANSPORTATI* ^ FEDERA L AVIATIO N ADMINISTRATIO N

HAZARDOU S MATERIAL

S 

## PHOTOGRAP H 3- 3

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## Photograph depicting th e shipment s identifie d b yFEDERAL EXPRESS , INC. , tracking number s 731 7 035 3 053 0 an d 731 7 035 3 0562 ; examine d a t Rogu e Valle yInternationa l Airpor t (MFR) , 360 0 Termina l Road , Medford , Orego n 97504 , o n Augus t 22 , 2007 . 

# J K ^

Interviewed/Reviewe

d On Augt^S t 22 , 200 7 

### B y Special Agen t

Donal dA . Stige r FA AFor m 1600-32- 1 o-se

) 

### A t Portland . Orego n Fil e No . 2007NM70015 6

FO R OFFICIA L US E ONL Y (Publi cavailabilit yt o b e determine d unde rS U.S.C . SS2 )

### Se p 0 6 200 7 12:3 1 !^R n UDCSECF O 703BG1011 3

F ' ^a l Bxpres s Servic e Coinpll«nc e Repor t Pag e 1 Rv, , , t Pu n Dat e ; 0B/3D/200 7 Repoc t Run rim e ; 10:2 3 Trackin g » PO D cit y ecat e signatur e Dat e Tim e Servic e 73170353D53 0 V J«clc«onvill e O RSignatur e relea s 08/22/200 7 11:0 5 Expres s - Priorit y Overnigh t 731)0353056 2 y Jocksonvill e O RSignatur e rel«a i 08/22/200 7 lliO S BKprea s - Priorit y Overnigh t TOTA LPACKRGE

S TIUCRE

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### Se p O G 200 7 12:3 1 FR H UDCSECF O 703GB10I1 3 p. 5 

# Astrazenec a ^dlD : 2IOI2510)6!>< 1 Cas e ID : 17.J2122 Shi p Method : FEDE X STANDAR D OVER-NIGH T Ski p To ; Carl A Casebee t Addrv.« : 85 2 S Thir dS i Order* : 21012510169 4 Cusrnnc c Ortlc r

t t i

SCAC : f-so FuinilmEDt ; AstraZcBcc a OrJarDate : O8/JO/2O07 Prii>rJty ; Order* : 21012S1DI69 4 CO M ID : I7J212 2 Carto n Groiip : Ful l Cm e Pic k Csrto n Typ e :FULLCAS E llfl m#24966 < Qty 2 4 Eac h Wuvelcl : 900 3 priorit

y

Clt>' , Slate , 2t|» : Jacksonville , O R9753 0 PJivd c* : PRA # 541899906 1

Ite mNnm c Qty/UO M UO M Qt y Pic k Are aPlcl i Locatio n 24966 4 Nexiiui i Anlibaclciia l Ge l BolU e w/Ne w L.abeltn g 2 4 C S 1 CAS E QP l

Pag e 1 of I 

### Qunntit y ordere dni» y b e reduce dbase do n inventor y nvailabilif y THJU«) K YO U FO RYOU RORDC RFRO M ASTRAZENEC A 

## ^' 1

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# Astrazenec a idID : 21012510169 4

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# iiBifliuiiiiiaiffiiimineu i Ciistanic r

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08/30/200 7 2I012510169 4 173212 1 

# i i Carto n Group ; Ful l Cpt e Pic k Carto n Typ o O^ULLCAS E Ite mn Z4966 4 Qty 2 4 Eac h Wttv c Id : 900 3 priorit

y City,State,Zip : JneksonvtHe , O R9753 0 Plion e I t i PRA # 541899906 1

Ite mNami > Qty/UO M UO M Qt y PlchAre aPic k Locatio n 24966 4 Nexiun t AnlibQCterini Ge l Bottl e w/Ne\ v Labelin g 2 4 C S CAS E QP l



# a < ^

Paj> e I o ( I 

### Quantit y ordere dma y b e reduce dbase do n inventor y avaflAbilit y THANI C YOU FO RYOU RORDE RPROiV l ASTRAZENEC A i^ b 

# 4 / 

# r- IDate : Supercedes : 1 5 Octobe r200 1

1 1 Octobe r200 0 

## MATERIA L SAFETYDATASHEE T

PRODUC TIDENTIFICATIO N AN D COMPAN YIDENTIFICATION : Produc t Name : Antibacteria l Han d Ge l Compan yNam e & Address : "^•^ f j^°y^i,"?"^ ®

Corporatio n • ^ 1312 1 S.W . 122Avenu e Miami , Florid a 33186-623 1 ~ U.S.A . Phon e Number : i\^SD S Reques t Phone : (305)255-224 2 (305)255-224 2 INFORMATIO N O N INGREDIENTS : HAZARDOU S INGREDIENT S Ethy l Alcoho l CA S NUMBE R 64-17- 5 OSHAPE L

100 0 pp m ACGI H TL V

100 0 pp m % RANG E

6 2 Othe ringredient(s ) wit h notificatio n requirements : Ethy l Alcoho l CA S NUMBE R 64-17- 5 Lis t

MA1;NJ1S;PA1;CN 2

3 . HAZARD S IDENTIFICATION : EMERGENC YOVERVIE W Whe n use d accordin g t o instructions , th e produc t applicabl e t o thi s MSD S i s saf e an d present s n o immediat e o rlong-ter m healt h hazard . However , abnorma l entr yroutes , suc h a s gros s ingestion , ma y requir e Immediat e medica l attention ^ Potentia l Healtl i Effects : HMIS : Ey e Contact : Ski n Contact : inhalation : Ingestion : Carcinogenicity : FIRS TAI D MEASURES : Healt h 1 Flammabilit y3 Reactivit y0 Persona l Protectio n Non e Ma ycaus e ey e invitation . N o initatio n o rreactio n expected . No t applicable . Ma ycaus e upse t stomach , nause a (Abnorma l entr yroute) . No t liste d a s a carcinoge n b yNTP , lARC , OSHAo rACGIH . Ey e Contact : SId n Contact : Inhalation : Ingestion : D o no t ru b eyes . Flus h eye s thoroughl ywit h wate rfo r1 5 minutes . I f conditio n worsen s o rirritatio n persists , contac t physician . No t applicable . No t applicable . D o no t induc e vomiting . Contac t a physicia n o rPoiso n Contro l Center .ANTIBACTERIA L HAN D GE L Pag e 2 o f 2

5 . FIR E FIGHTIN G MEASURES : NFPA : Healt h 0 Fir e 3 Reactivit y0 Flashpoin t °F/° C (PMC C method) : 74^/23 ^ Unusua l Fir e an d Explosio n Hazards : Produc t i s flammabl e du e t o alcoho l content . Specia l Fir e Fightin g Procedures : Non e l^nown . Extinguishin g Media : X Wate rFo g X Alcoho l Foa m X CO 2 X Dr yChemica l Othe r 6 . ACCIDENTA L RELEAS E MEASURES : Avoi d contac t wit h ignitio n source s sinc e produc t i s flammable . Absor b ont o iner t materia l an d dispos e i n appropriat e manner . Wate rclea n u p an d rinse. CAUTIO N - WIL L CAUS E SLIPPER YSURFACES . 7 . HANDLIN G fiUO STORAGE : Kee p awa yfro m fir e o rflame . Stor e a t norma l roo m temperatur e awa yfro m reac h o f smal l children . Kee p container s sealed . Us e olde rcontainer s first . Avoi d freezin g conditions . 

### 8 . EXPOSUR E CONTROLS/PERSONA L PROTECTION : Ey e Protection : Non e require d unde rnorma l conditions . Ski n Protection : Non e require d unde rnorma l conditions . Respirator yProtection : Non e require d unde rnorma l conditions . Ventilation : Non e require d unde rnorma l conditions . Protectiv e Equipmen t o rClothing : Non e require d unde rnorma l conditions . 9 . PHYSICA L AN D CHEMICA L PROPERTIES : Appearanc e an d Odo rClea rliquid , citru s fragranc e p H (undiluted) : 7. 0 - 8.3 5 VOC,% : 6 5 10 . STABILIT YAN D REACTIVITY : Stabte/No n reactiv e product . Avoi d ignitio n sources . 11 . TOXICOLOGICA L INFORMATION : N o acut e o rchroni ctoxi ceffect s expecte d whe n use d accordin g t o directions . 12 . ECOLOGICA L CONSIDERATIONS : N o ecologica l o rspecia l consideration s whe n use d accordin g t o directions . No t considere d environmentall y harmfu l fro m norma l dilution , expecte d usag e an d typica l drainag e t o sewers , septi csystem s an d treatmen t plants . 13 . DISPOSA L CONSIDERATIONS : Characteristi chazardou s waste-flammabl e liquid . Dispos e accordin g t o local , stat e an d Federa l regulations . 14 . TRANSPOR TINFORMATION : Hazardou s b ytranspor t regulations . Whe n transporte d b yGroun d an d Rail , thi s produc t typicall yi s shippe d a s Consume rCommodit yORM-D . Whe n transporte d b yair , thi s produc t i s typicall yshippe d a s Consume r Commodit yo rAlcohol s N.O.S . dependin g o n packag e size . Whe n transporte d b yocean , thi s produc t i s typicall yshippe d a s Limite d Quantities . Refe rt o cunren t regulation s fo rexac t requirements . 15 . REGULATOR YAN D OTHE R INFORMATION : Complie s wit h curren t FD Aregulation s fo rcosmeti cand/o rover-the-counte rdru g products . Notice : Tti e informatio n tierei n i s base d o n dat a considere d t o b e accurat e a s o f th e dat e o f preparatio n o f thi s materia l safet ydat a sheet . However , n o wan^ant yo rrepresentation , expresse d o rimplied , i s mad e a s t o th e accuracyo rcompletenes s o f th e foregoing dat a an d safetyinfomiation . Th e use rassume s all liabilit yfo ran ydamag e o rinjur yresultin g fro m abnomna l use , fro m an yfailur e t o adhere t o recommende d practice s o rfrom an yhazard s inheren t i n th e natur e o f th e product .

# t l 

# © ( u s Departmen t W : . W Sevem n Streel . S.W. o f Transportatio n ' ' ^ > i • vyashmgion . D. C 2059 0 

### Researchan d | ,/' ; :^ . ., - j,; . .rkj'.!:^;. . & - - f Specia l Programs; ' 'f ' i^J , .,.-^«# , •4/'^. ; •'^• ' % . - 'L. , , Adtttlr^istratlo n i t vf : 

### T, Mr . Sainue l S . EIkind | ,„^. « ^ # U Ai r

operation s | 'SE*^^* ' 

### ' . *5' ^ | : i XJnitedParcelServtce'^^^^'--v-;^^ . :..^ ^ " " " i I t Airline s 

# W5 

# 199 8 820 3 Nationa l Turnpik e jti Louisville,K Y 4021 3

DearMr . Elkind : This i s i nrespons e t o you r

lette r requestin g clarificatio no f

th e packag e markin g statemen t in ;. : 4 9 CF R175,30(e)(3) , "insid e package s compl y wit hprescribe dspecifications. " Specifically , yo u f i aske dfo r

guidanc e a s t o wha t

reasonabl e step s anaircraf

t operato r mus t tak e t o establis hthat

a !»• • shipmen t

conform s t o th e requirement s o f 4 9 CFRpart s 17 2 an d173 . I nth e cas e o f

aDOT-3 9 specificatio ncylinder , § 173.301(k ) require s tha t acylinde r mus t b e ilirthe r containe dwithi nastron g outsi.de packaging . Furthermore , th e outsid e packagin g require d unde r § 173.301(k ) i s no t

a n "overpack " a s define di n§ 171. 8 an dapplie di n § 173.25 . Sectio n 175.30(e ) refer s onl y t o overpacks , i t doe s no t appl y t o individual package s tha t ar^properl y prepare dfo r

shipment . Ther e i s n o requiremen t i nth e Hazardou s Material s Regulation s (HMR ) t o mark th e stron g outsid e packagin g require db y §173.301(k ) wit hth e statemen t "insid e package s compl y wit hprescribe dspecifications. " However , w e pla nt o propos e tha t th e stron g outsid e packagin g conformt o th e requirement s o f § 173.2 5 i nafutur e actioti . I nit s acceptanc e o f

ashipmen t

o f hazardou s materials , n o carrie r ma y simpl y rel y o nth e shipper' s certificatio na s abasi s fo r

it s determinatio ntha t

apackag e conform s t o th e requirement s o f th e HM Rwhe nther e ar e obviou s discrepancies . Sectio n175.3 0 requires , i npart , tha t anai r carrie r verif y tha t a . hazardou s materia l i s authprize dfo r transportatio naboar daircraf t an dth e quantity o f materia l i ndii e packag e whe nofferedTo r trah^drtSio naboar dapassenger-canjdn g o r cargo onl y aircraf

t i s withi nth e limitation s prescribe db y § 172.101. . Fo r overpacks , acarrie r

ha s an obligatio nt o verif

y th e presenc e o f

the-insid e container s compl y statetnen t withi nareasonabl e limi t Sectio n175. 3 state s tha t

ahazardbti s material no t

prepare dfor

shipmen t inaccordanc e withSubchapte r

C , includin g par t

173 , o f th e HM Rmay no t

b e accepte dfo r

transportatio no r transporte daboar danaircraft . Therefore , \^athinrecognizabl e limitation s an dreasonabl e discretion , acarrie r

mus $ b e abl e t o recogniz e discrepancie s o f packaging , shippin g papers , labeling , an dplacarding . I hop e thi s informatio ni s helpful . I f w e canb e o f

fiirther assistance , pleas e contac t

us . Sincerd^ ^

^ ^ Q { Hatti e L . Mitchel l } " 7 t > ' ^ ' Chief , Regulator y Revie w an dReinvention^^ . . , _ ^ ^ - . ^- , Offic e o f Hazardoii s Material s Standard s ^^^/-i' * -»- /

# Q

U.S . Departmen t Northwes t Mountai n Regio n SECURIT Y6 HAZARDOU S /MATERIAL S DIVISIO N o f Transportatio n Colorado , Idaho , Atontana , Orego n Portland , Oregon , Offic e Utah , Washington , Wyomin g a Alask a 7303 N.E . Alderwoo d Roa d Federa l Aviatio n Portland , Orego n 9721 8 Administratio n Fax : (503)258-699 9


# m2 7 200 7

Mr . Davi d LittleJoh n Technica l Adviso r Federa l Express , Inc . Deliver yCod e 7622 , Buildin g G , 2"* * Floo r 3 67 0 Hack s Cros s Roa d Memphis , T N38125-880 0 Dea r Mr . LittleJohn : Lette r o f Investigatio n Fil e Number : 2007NM70015 5 Th e Unite d State s Departmen t o f Transportatio n (USDOT)/Federa l Aviatio n Administratio n (FAA ) i s conductin g a n investigatio n concernin g th e apparen t failur e o f Federa l Express , Inc . (FDEA) , t o compl ywit h th e followin g provision s o f Titl e 49 , Cod e o f Federa l Regulation s (4 9 CFR) : Sectio n 175. 3 - Acceptin g a hazardou s material s shipmen t fo r transportatio n no t prepare d i n accordanc e wit h Subchapte r C o f th e hazardou s material s regulations . Sectio n 175.30(a)(2 ) - Acceptin g a hazardou s materia l aboar d a n aircraft withou t a shippin g pape r prepare d i n accordanc e wit h Subpar t C o f Part 172 . Sectio n 175.30(a)(3 ) - Acceptin g a hazardou s materia l aboar d a n aircraf t not properl ymarke d i n accordanc e wit h Subpar t D o f Par t 172 . Sectio n 175.33(a ) - Failin g t o hav e accurat e an d complet e informatio n containe d i n th e writte n pilot-in-comman d notification . Specifically , o n Augus t 21 , 2007 , durin g th e cours e o f Hazardou s Material s Ram p Inspection s at th e Medford , Oregon , FDE Afacility , FAAHazardou s Material s Inspector s discovered , durin g loadin g operations , a n improperl yr \ marke d packag e o f Biologica l substances . Categor yB U N337 3 ha d bee n V ^ / accepte d fo r ai r transportation . Thi s pictur e i s provide d fo r furthe r j V information : \ 0 

# y \ 0

^ - #

### Pleas e not e th e numbe r o f th e FDE AD G Specialis t wh o accepte d th e shipmen t

i s 67571 :

I n addition , o n Augus t 22 , 2007 , durin g th e cours e o f Hazardou s Material s Ram p Inspection s a t th e Medford , Oregon , FDE Afacility , FA AHazardou s Material s Inspector s discovere d tw o undocumente d shipment s o f hazardou s material s during off-loadin g operation s o f Empir e Airline s (COEA ) aircraf t (N-940FE ) a t th e FDE Astatio n locate d a t 360 0 Termina l Spu r Roa d Medford , ^ . ^ '



## ^• iOrego n 97504 . Bot h shipment s wer e accepte d an d transporte d o n FDE A

aircraf t fro mBaltimore , Maryland , t o Portland , Oregon , vi a Memphis , Tennessee , wit h n o shippin g papers , imprope r markings , an d n o writte n notificatio n t o th e pilot(s)-in-comman d fo r eac h respectiv e le g o f ai r transportatio n fo r th e packages . Th e followin g informatio n i s provide d concernin g th e tw o shipments : Shipmen t # 1 Materia l (Marked) : Consume r Commodity , ORM- D Trackin g # : 7317-0353-053 0 Shipmen t # 2 Materia l (Marked) : Consume r Commodity , ORM- D Trackin g # : 7317-0353-056 2 Thi s pictur e i s provide d fo r additiona l information :

Pleas e not e tha t FDEA' s ai r transportatio n label s o n eac h respectiv e packag e wer e locate d righ t next t o th e hazardou s material s marking s (Consume r Commodity , ORM-D) . Yo u ar e bein g provide d a n opportunit yt o revie wth e event s associate d wit h thes e allegations , an d furnis h an yinformatio n o r materia l yo u dee m relevan t t o th e investigation . You r writte n respons e shoul d include : a . Acop yo f you r FA Aapprove d hazardou s material s progra mfo r personne l involve d i n th e recognition , acceptance , handling , loadin g an d ai r transportatio n o f hazardou s material s i n ai r commerce . b . Adescriptio n o f propose d action s t o preven t simila r incident s i n th e future . Pleas e b e advise d th e allegatio n containe d herei n doe s no t necessaril y includ e al l deficiencie s that ma yb e subsequentl ydiscovere d durin g th e cours e o f thi s investigation . e 

# i
'• 1You r response , i f any , i s neede d withi n 1 0 busines s day s afte r receip t o f

thi s lette r an d ma yb e sen t t o m e a t th e followin g address : Federa l Aviatio n Administratio n Securit y& Hazardou s Material s Divisio n P.O . Bo x 5500 8 Portland , Orego n 97238-500 8 I f I d o not receiv e a writte n respons e withi n th e 10-da ytim e period , I mus t conclud e m yinvestigatio n withou t th e benefi t o f you r statement . I f yo u hav e an yquestion s regardin g thi s matter , pleas e fee l fre e t o contac t m e a t (503 ) 258-699 5 o r a t donald.stiger@faa.gov . Sincerely ,

Donal d A . Stige r Hazardou s Material s Inspector , Securit y & Hazardou s Material s Divisio n



# c

^•^^ <Corporat e Saf ' Telephon e 901.434.955 6 367 0 Hack s C toad Fax901.434.976 9 Buildin g G , 2n'.. f loo r Memphis . TN I 38125-880 0

Express 

### Septembe r

6 , 200 7 "^
- '**' * Mr . Donal dA . Stige r Security & Hazardou s Material s Divisio n FAAPD X 730 3 N.E . Alderwoo dRoa d Portland , O R9721 8 RE;2007NM70015 5 Dear Mr . Stiger : FedE x Expres s ha s reviewe dyou r lette r receive db y my offic e Augus t 28 , 2007 , regardin g on e U N 337 3 shipmen t

an dtw o clas s ORM- D shipments . Th e U N 337 3 shipmen t

wa s fro maloca l shippe r in Medford , OR . Thes e shipment s d o no t requir e an y shipper' s declaration , label , specificatio n packag e markin g o r manifests . A s yo u ar e wel l aware , thes e typ e shipment s hav e bee n goin g throug hseveral change s for several years . Thi s ite mha s gon e fi"ombein g totall y unregulate dt o onl y ashippin g nam e an dthe n a marking . U p unti l thi s year thre e differen t

name s wer e allowe do n th e oute r packag e - Diagnosti c Specimens , Clinica l Specimen s an dBiologica l Substance , Category B . W e suspec t ther e ar e literall y thousand s o f preprinte dboxe s withan y o f th e abov e liste dbut especiall y th e nam e Diagnosti c Specimens . I hav e include darecen t interpretatio n fro m PHMS A regardin g thos e shipment s marke dDiagnosti c Specimens . FedE x Expres s make s availabl e awid e variet y o f dangerou s good s (DG ) informatio n o n ou r publi c websit e fo r

shippers . On e o f

thes e educationa l tool s i s informatio n abou t thes e typ e shipment s o n ou r

regulatory updat e page . O n tha t pag e w e provid e update dinformatio n abou t U N 337 3 shipment s an dabrochur e tha t ca n b e downloade d(attached) . A cop y o f th e brochur e wa s provide dt o th e shipper . Women' s Specialty Group , i n Medfor dt o compl y wit h futur e shipments . Concernin g th e tw o ORM- D shipment s fromth e sam e shipper , th e courie r mistakenl y di dno t notic e thes e minima l marking s duiii ^ processin g operations . T o ou r knowledg e hi s particula r C \ shippe r ha s no t offere dD Gshipment s t o FedE x Expres s i n th e past . The y offe r thes e typ e shipment s b y groun dservice . Th e shippe r di dno t informFedE x thi s shipmen t wa s aD G verbally o r

b y an y writte n notification . Th e employe e onl y scanne dth e shippin g label s fo r thi s shipmen t

an dth e shippe r

applie dth e label s directl y t o thei r freight. Thi s shippe r

the n />)

V place s thei r

freight o n pallet s an dload s th e pallet s directl y ont o atraile r tha t i s take n t o th e > Q"

^ 

# t ^ 

### \*- ' 

### Baltimor e (BWIR ) ramp . I t i s broke n dow n a t

BWI Rfo r

th e sor t bu t employee s ther e woul dy 

# v d ' i

## FA

A Cas e No . 2007NM70015

5 Pag e Tw o

not have bee n looking fo

r or awar e o f an y D Gfreight

a s agai n thi s shippe

r has not i n th e pas t offere dan y D Gfreight

fo r ai r transportatio n t o ou

r knowledge . Sinc e thi s issu e cam e t o our attention al

l shipping label s fromthi s custome r are scaimedb y ou

r employee s whe

n affixe d t o th e packages . Al

l employee s working a

t thi s locatio n hav e been mad e awar e o f thi s procedur e an dlook fo r an y D Gmarking s an

dlabel s that

might b e applied . I f

an y are discovered , they ar

e t o remove th e packag e fo r inspectio n b y one of

our D GSpecialists . The Sr . Manage

r along wit ha n operation s manage

r andthi s shipper' s FedE

x accoim t representativ e too k

immediat e action th e da

y yo u brough t thi s t o our

attention . The shippe

r wa s contactedregarding thi s shipmen t an dtheir Vic e President

ha s been informedthey cannot offe r an y D Gshipment s t o FedEx Expres s without providin g proo f

o f trainin g and corrective action . All statio n manager s anddispatcher s hav e been informedo f thi s shippe

r embargo . In addition , th e Sr . Manage r distribute da

n interna l jo b aidt o al

l employee s a

t th e station tha t show s a n exampl e o f

acorrec t ORM- D markin g fo

r ai r transportation . Yo u ar e awar e o f th e difficult

y air carrier s hav e when shipper s offe r 4 9 CF Rclas s ORM- D shipments wit

honly amarking groundshipment . Black letterin g on afiberboardbox simply doe s not provide enoughvisua

l recognitio n t o accepting air carriers . Whe

n offere dby ground transportation clas s ORM- D i s basically no t regulated . Groundtranspor t carrier s accep t

an d transpor t thi s clas s without

an y operationa

l concern s a s ther e are no shipping papers , manifest or placarding concerns . The phras e "consume r commodity " i s ambiguou s an ddoe s no t necessaril y indicate a

n ite mi s regulated . ORM-D s d o no t requir e an y specification packag e marldng , hazar

do r handlin g label , UN/E

D numbe r andonl y require ashipper' s declaration when offere

dfo r air transportation . Eve

n when th e marking i s offere di n alabel for mit doe s no t communicat

e by shap e (square ) o r

color (blue ) an y hazar dawareness . Man y carriers , includin g FedE

x Express , an

dindustr y organization s hav e requested tha t PHMS A furthe

r review thi s clas s o f

materia l becaus e o f

th e apparen

t problem s associatedwit

hORM-Ds . PHMS A in th e Federa l Register RSPA-02-1165 4 (HM-228 ) placeda n advancednotic e o f

propose drulemaking regardin g severa l change s i

n th e regulations . On e o f

thos e proposal s wa s t o alig n consume r commoditie s wit

hth e ICA O Technica l Instructions . FedE

x Expres s supporte dthi s change , a s among other advantages , i

t wouldad dconsistenc y t o th e regulations . W e hav e als o commente din other rulemaking s tha

t PHMS A shouldharmoniz e thi s clas s o f materia l wit hth e internationa

l regulation s wh^ e consume r commoditie s woul dhav e aclas s 9 label an daUN/ID numbe

r associate dwit

hth e proper shipping name . A s recentl y a s thi s yea r I attendedaPHMS A publi c meetin g o n LimitedQuantitie s andConsume r Commodities . I voice dou r concer n again regardin g th e acceptanc e issue s wit

hclas s ORM- D an

dth e needt o harmoniz e wit hth e internationa

l regulation s o r

a t th e ver y leas t adop t anew markin g an

dlabelin g requirement

t o mak e thi s C \ clas s mor e visibl e t o carrie

r persoimel . Our

departmen

t i s i n th e early stage s o f

developing a

n T ORM-D label fo

r air transportatio n tha

t will b e mad

e availabl e t o shippers . The label 

# X

^FA A Cas e No . 2007NM70015 5

Pag e TTire

e



## hopefull y will provid e better

recognitio n o f

thi s clas s o f

material . Onc e tha

t labe l i s approved an dfinalized, I wil

l b e gladt o sendyo

u a n example . Yo u ca n review an

y o f our FA A approvedtrainin g material s tha t are availabl e a

t ou r station locations . Than

k yo u in advanc e for

your consideratio n regardin g thi s report . If I ca n b e o f an y furthe r assistance , pleas e d o no t

hesitate t o contact

m e directly . Regards ,
DavidLittlejoh

n Corporat e Safet y Advisor FedE x Expres s 901.434.956 7 901.434.976 9 (fax)Express 

# Packagin g Guideline s fo r Clinica l Samples , Environmenta l Tes t Sample s an d Biologica l Substance , Categor yB (U N 3373 ) Shipment s At FedEx , w e understan d th e importanc e o f quickl yan d safel yprocessin g clinica l samples , environmenta l tes t sam ple s an d Biologica l Substance , Categor yB (U N 3373 ) ship ments . FedE

xExpress ca n hel p wit h specifi cinstruction s fo r packaging , markin g an d labeling .


## Content s Requirements fo rClinica l Sample s an d Environmenta l Tes t Sample s 

### 2 3 Genera l Packagin g Requirements 

### 2 3 Additiona l Packagin g Requirement s fo rNon-Infectiou s Clinica l Sample s 

### 24 Requirements fo rBiologica l Substance , Categor yB (U N 3373 ) Shipment s 

### 24 Genera l Packagin g Requirement s 

### 24 Free FedEx

® Pagkag e Testin g an d Desig n Service s 

### 2 6 Contacts an d Resources 

### 2 7

BacI : t o Ho wt o Pac k

content s 

# C ;

- XThi s guid e outline s th e requirement s fo rshippin g wit h

FedE xExpress . I n addition , al l shipment s mus t compl y wit h al l applicabl e local , stat e an d federa l law s governin g packing , markin g an d labeling . Blood , urine , fluid s an d othe rspecimen s containin g o rsuspecte d o f containin g infectiou s substance s must be shippe d accordin g t o applicabl e government , Internationa l Ai rTranspor t Associatio n (lATA

) an d Internationa l Civi l Aviatio n Organizatio n (ICAO) regulations . 

### Requirement s fo rClinica l Sample s an d Environmenta l Tes t Sample s Fo rth e purpose s o f thi s guide , clinica l sample s ar e generall ydefine d a s non-infectiou s huma n o ranima l material s including , bu t no t limite d to , excreta , secreta , tissu e an d tissu e fluids , bloo d an d FDA-approve d pharmaceutical s tha t ar e bloo d products . Environmenta l tes t sample s are typicall ysoi l an d wate r 

### Genera l Packagin g Requirement s Fo rliqui d clinica l sample s an d environmenta l tes t sample s o f soi l an d water , yo u mus t includ e fou rlayers o f packaging ; 1 . Primar ywatertigh t inne rreceptacle . Us e leakproo f container s fo rliqui d specimen s an d siftproo f container s fo rdrie d specimen s —wit h a positiv e closur e suc h a s a screw-on , snap-o n o rpush-o n lid , tape d fo ra n additiona l seal . I f yo u plac e multipl e fragil e primar

yreceptacle s i n a singl e secondar y receptacle , the ymus t b e individuall ywrappe d o r separate d t o preven t contac t betwee n them . 2 . Secondar ywatertigh t inne rreceptacle . Us e a leakproo f seale d plasti cbag , plasti ccanister , screw ca p ca n o rseale d foa m containe r 3 . Absorben t material . Place absorben t materia l betwee n th e primar

yan d secondar

yreceptacles , usin g enoug h materia l t o absor b th e entir e content s o f al l primar yreceptacles . Acceptabl e absorben t material s includ e cellulos e wadding , cotto n balls , superabsorben t packet s an d pape rtowels . 4 . Sturd youte rpackaging . Use rigi d oute rpackagin g constructe d o f corrugate d fiberboard , wood , meta l o r plastic , appropriatel ysize d fo rth e contents . I f th e oute rpackagin g i s smalle rtha n 7 " x4 " x2" , yo u ma y use a FedEx ® Clinica l Pak

a s a n overwra p t o compl y wit h th e minimu m acceptabl e siz e as lon g as th e fina l packag e meet s th e fou rbasi cpackagin g requirements . Acceptabl e Absorben t Material s Cellulos e waddin g . . • • : , 'St ' Cotto n ball s . Super-absorben t packets . Pape rtowels .
Acceptabl e Primar yContainer s Tape d plasti ccanister . 

## "f- M

Tape d glas s o rplasti cjar .

Tape d glas s o rplasti cvial .

Acceptabl e Secondar yContainer s Sealed , minimu m 1 "-thic k foa m containe r

- ^

Seale d plasti cbag .

Plasti ccontainer ,

Screw-ca p ca n _ 

# 0 ^ p \

Bac k t o content s Pag e 2 3

### Additiona l Packagin g Requirement s fo r

Non-Infectiou s Clinica l Sample s T o ensure saf e deliver

yo f you rclinica l an d environmenta l tes t samples , w e provid e thes e additiona l guidelines . Liqui d Clinica l Sampl e Markin g Requirement s Includ e a markin g o n th e packag e tha t properl yidentifie s th e shipmen t a s "Exemp t huma n specimen " o r"Exemp t anima l specimen " as appropriat e t o compl ywit h curren t lAT Aan d ICA

O regulations . I f yo u prefer , packag e marking s ma

yb e i n th e for m o f a label . Drie d Sample s Whil e non-infectiou s sample s o f drie d blood , tissue , saliv a an d hai rar e no t dangerou s good s an d are no t require d t o mee t dangerous-good s regulations , the yd o requir e specia l packagin g tha t meet s FedE xExpress guidelines . Enclos e dried-bloo d sample s o n absorben t pad s o rcard s i n watertigh t plasti cbag s an d shi p the m i n a sturd youte rcontaine ro rcommercia l envelope . Cushio n sample s o n glas s o rplasti cslide s an d shi p the m insid e a sturd youte rcontaine ro rflexible-envelop e packaging . Use o f th e FedExClinica l Pak i s optional . Environmenta l Tes t Sample s Packagin g o f environmenta l tes t sample s suc h a s soi l an d wate rmus t mee t th e fou rbasi cpackagin g requirement s fo rblood , urin e o rothe rliqui d clinica l samples . Provid e adequat e interna l fille ro rcushionin g t o protec t contents . Temperature-contro l requirement s o f environmenta l tes t sample s ar e you rresponsibilit/ . Packagin g Restriction s
• Foam boxes , plasti cbag s an d pape renvelope s are unacceptabl e oute rcontainers . • Th e FedEx

* Envelope , FedEx

* Tube , FedEx

* Pa k an d FedE xboxe s ar e no t acceptabl e a s oute rcontainers fo r clinica l sample s o renvironmenta l tes t samples . NOTE : Neve rplac e liqui d clinica l sample s o renviron menta l tes t sample s i n a FedExExpress * Dro p Box . FedExWorl d Servic e Center * locations , FedE xKinko's'' " Shi p Center s an d FedE

xKink o s Offic e an d Prin t Centers * accep t FedE

xClinica l Pak

shipment s tha t are no t classifie d as Biologica l Substance , Categor yB (U N 3373) . 

### Requirement s fo rBiologica l Substance , CategoryB (U U 3373 ) Shipment s Customer s wh o shi p Biologica l Substance , Categor yB (U N 3373 ) shipment s mus t compl ywit h local , stat e an d federa l law s governin g identification , classification , packagin g an d packag e marking s (whic h ma yb e i n labe l form) . FedExExpress strictl yadhere s t o th e lATA , ICA O an d U.S . governmen t guideline s fo rmaterial s categorize d as Biologica l Substance , Categor yB (U N 3373) . 

### Genera l Packagin g Requirement s Fo rBiologica l Substance , Categor yB (U N 3373 ) shipments , cushionin g materia l i s require d fo rbot h liqui d an d drie d specimens . Yo u mus t als o includ e fou r layers o f packaging : 1 . Primar ywatertigh t inne rreceptacle . Use primar y receptacle s mad e o f glass , meta l o rplasti cwit h a positiv e mean s o f ensurin g a leakproo f seal , skirte d stoppe ro rmeta l crim p sea l mus t b e provided ; scre w cap s mus t b e reinforce d wit h adhesiv e tape . Fo rliqui d specimens , th e primar

yreceptacl e mus t no t contai n mor e tha n 1 L . Fo rdrie d specimens , th e primar y receptacl e mus t no t excee d th e oute rpackagin g weigh t limit . 2 . Secondar ywatertigh t inne rreceptacle . Use a secondar

ycontaine rtha t i s leakproo f fo rliqui d specimen s o rsiftproo f fo rdrie d specimens . Choos e onl ysecondar

ycontainer s certifie d b

yth e manufacture rfo rBiologica l Substance , Categor yB (U N 3373 ) prio rt o use . Eithe ryou rprimar yo r secondar yreceptacl e mus t b e abl e t o withstand , withou t leakage , a n interna l pressure differentia l o f no t les s tha n 9 5 kPa i n th e rang e o f -4 0 C t o 5 5 C (-4 0 F t o 13 0 F) . T

o preven t contac t betwee n multipl e fragil e primar

yreceptacles , individuall ywra p o r separat e the m insid e th e secondar ycontaine r 3 . Absorben t material . Place absorben t materia l betwee n th e primar

yan d secondar

yreceptacles , usin g enoug h materia l t o absor b th e entir e content s of al l ^ ^

Bac k t o content s Pag e 2 4 

# bprimar yreceptacles . Absorben t materia l i s require d fo r Biologica l Substance , Categor yB (U N 3373 ) shipment s containin g liquids . Acceptabl e absorben t material s includ e cellulos e wadding , cotto n balls , superabsorben t packet s an d pape rtowels . 4 . Sturd youte rpackaging . Use rigi d oute rpackagin g constructe d o f corrugate d fiberboard , wood , meta l o r plastic , appropriatel ysize d fo rth e contents . Limi t th e tota l volum e fo rliqui d sample s t o 4 L an d th e tota l weigh t o f drie d sample s t o 4 k g pe route rcontaine r Th e minimu m oute rcontaine rsiz e i n th e smalles t overal l externa l dimensio n i s 4" . Complete d package s mus t be abl e t o withstan d a 4 ' (1.2-m ) impact tes t as outline d i n lAT

A6.6. 1 regulations . Before sealin g th e oute rpackaging , yo u mus t mak e a n itemize d lis t o f th e content s of th e packag e an d enclos e th e lis t betwee n th e secondar

ypackagin g an d oute rpackaging . Biologica l Substance , Categor yB (U N 3373 ) Markin g Requirement s • Cleari ymar k

"Biologica l Substance , Categor yB " i n 6-mm-hig h tex t o n th e oute rpackag e adjacen t t o a properl ysize d U N 337 3 diamond-shape d marking . I f yo u prefer , packag e marking s ma yb e i n th e for m o f a label . • Th e nam e an d telephon e numbe ro f a perso n responsibl e mus t be marke d o n th e packag e o r provide d o n th e airbill . • Th e nam e an d addres s o f th e shippe ran d recipien t mus t b e marke d o n th e package . However , whe n th e shippe ro rrecipien t i s als o th e "perso n responsible, " th e nam e an d addres s nee d onl yb e marke d once i n orde rt o satisf yth e nam e an d addres s provisions . • I f yo u choos e t o plac e mor e tha n on e properl yprepare d Biologica l Substance , Categor yB (U N 3373 ) shipmen t i n anothe route rpackage , mar k "OVERPACK

" o n th e outsid e packaging , an d reproduc e al l othe rrequire d packag e marking s o n th e outsid e o f th e overpack . • I f yo u ar e usin g a FedExClinica l Pak wit h Biologica l Substance , Categor

yB (U N 3373 ) shipments , chec k th e applicabl e bo

xo n th e outsid e o f th e pak . Biologica l Substance , Categor yB (U N 3373) Maildn g Requirement s

"Biologica l Substance , Categor yB " must appea ri n B-mm-hig h text o n th e oute r packag e adjacen t t o a diamond-shape d mar k like th e on e show n here . The U N 3373 markin g mus

t be i n th e fomt i of a squar e set a t a n angl e o

f 45 degrees . Eac h sid e of th e U N 3373 diamon d shoul d measur e a minimu m o

f 2 " (50 mm) . Th e widt h of th e diamon d rul e lin e mus t be a minimu m o

f 2 mm , an d th e letters an d number

s mus t be at least 6 m m high . Packagin g Restriction s • Foa m boxes , plasti cbag s an d pape renvelope s ar e unacceptabl e oute rcontainers . • Th e FedExEnvelope , FedExTube , FedExPa k an d FedE x boxe s ar e no t acceptabl e a s oute rcontainer s fo r Biologica l Substance , Categor yB (U N 3373 ) shipments . • Shipment s marke d o rlabele d 6. 2 (infectiou s materials ) an d shipment s containin g dr yic e canno t b e shippe d i n a FedExClinica l Pak . • Biologica l Substance , Categor yB (U N 3373 ) shipment s tha t ar e shippe d refrigerated , froze n o ri n liqui d nitroge n mus t compl ywit h curren t lAT Aan d ICA O regulations . • I f yo u hav e question s abou t whethe ryou rsample s requir e a biohazard label , consul t th e Occupationa l Safetyan d Healt h Administratio n (OSHA ) fo rth e applicabl e regulations . NOTE : Neve rplac e a Biologica l Substance , Categor yB (U N 3373 ) shipmen t i n a FedExExpress Dro p Box . Cal l 1 .SOO.GoFedE

x1.800.463.333 9 t o b e directe d t o a FedE x locatio n tha t ca n accep t thes e shipments . 

# o O '

Bac k t o contents Pag e 2 5 

# yFedE xClinica l Pa k

PedExprovide s a plasti cFedExClinica l Pak i n smal l an d larg e size s fo r clinica l samples , environmenta l tes t samples , an d Biologica l Substance , Categor yB (U N 3373 ) shipments . Smal l Clinica l Pa k

interio rdimensions : 14.25 " x10.13 " Larg e Clinica l Pa k

interio rdimensions : 18 " x13.? * Whe n usin g th e FedE xClinica l Pak , yo u mus t als o mee t genera l packagin g requirements , includin g primaryan d secondar yreceptacles , absorben t materia l an d a sturd youte rcontainer .

FecE x EjttrRTwI vUrgM l Smal l Onics l Pa k 

# ^^ffiiS l

I fyo u ar e usin g a FedE xClinica l Pak fo ra Biologica l Substance , Categor yE (U N 3373 ) shipment , chec k th e boxo n th e outsid e o f th e pak . 

### Fre e FedEx ® Packag e Testin g an d Desig n Service s W e offe rpackag e testing , evaluatio n an d desig n services , an d w e encourag e yo u t o submi t a sampl e o f you r clinical-sampl e an d environmental-test-sampl e packagin g fo rtestin g an d evaluation . Simpl ysubstitut e wate r o rsan d fo ryou rsampl e materia l i n equa l weigh t t o approximat e you ractua l tes t sample . Th e FedE xPackagin g Desig n an d Developmen t la b doe s no t tes t packagin g fo r Biologica l Substance , Categor yB (U N 3373 ) shipments . Testin g Reques t Guideline s Follo wthes e step s fo rsubmittin g you rpackagin g fo r testing . A n activ e FedExaccoun t numbe ri s required . Yo u an d you rFedExaccoun t executiv e shoul d expec t testin g result s i n approximatel y5 t o 7 busines s day s fro m receip t o f you rpackaging . 1 . Obtai n a Packagin g Service s Applicatio n atfedex.co m o rbycontactin g FedExPackagin g Desig n an d Developmen t a t packagingsen/ices@fedex.co m o r1.800.633.7019 . 2 . Complet e an d sig n you rapplication , referencin g th e nam e o f you rFedExaccoun t executiv e o n th e form . 3 . Prepare a sampl e tes t packag e includin g al l th e component s i n th e exact weigh t an d configuratio n yo u inten d t o sen d t o you rlab , wit h wate ro rsan d i n plac e o f th e actua l sample . Indicat e "Non-Hazardou s Content " o n th e sample s an d o n th e sampl e oute rbox . 4 . Place you rcomplete d application , an ypertinen t produc t documentatio n an d you rsampl e clinica l tes t packagin g labele d "Tes t Thi s Package " an d an y necessar ycushionin g materia l i n a sturd youte r containe rmarke d "Overpacked/Tes t Pkg . Inside. " 5 . Sen d you rshipmen t to ; FedExPackagin g Desig n an d Developmen t 282 8 Busines s Park

Driv e BIdg . H , Suit e 50 0 Memphis , T N 3811 8 

## <^ A



# oBac k t o contents 

# 0A \ Pag e 2 6

### Contact s an d Resource s NOTICE :

• Ho wt o Pack

guideline s a t fedex.conVus/services / FedE xExpres s wil l refus e t o accep t package s packageshipment /

tha t d o no t mee t FedE xExpress , government , o r r.rni n jr> i , u 'AT Aan d ICA O requirements . Thi s brochur e i s • FedExPackagin g Desig n an d Developmen t lab , . .. . . ' . 1 ^ f J innnr-omn m 1 0 H O wB yintende d t o roplac o roquiremont s packagingservices@fedex.co m o r1.800.633.7019 . .^. . .„„ TM J .«-r « TL - • M ^ ^ ^ mandate d b y49CF R an d lATA . Thi s I S fo r • FedExDangerou s Goods/Hazardou s Material s Hotline , informationa l purpose s only . I.SOO.GoFedEx1.800.463.3339 , ext . 81 .

NOTICE : Thi s packagin g brochur e i s provide d fre e t o FedE xcustomer

s t o hel p reduce loss o rdamag e du e t o imprope rpackaging . I t i s NO TIntende d t o b e a comprehensiv e guid e fo rpackagin g item s ^ ^ w e accept fo rtransi t We mak e n o warranties , expresse d o rimplied , regardin g thi s information . Prope rpackagin g i s th e sol e responsibilityo f th e shippe rFo rmor e infomiatro n an d comprehensiv e guidelines , contac

t th e FedE

xDangerou s Goods/Hazardou s Material s Hotlin e a t I.SOO.GoFedE x1.800.463.3333 . an d press '81. ' Ore-mai l th e FedE xPackagin g Desig n an d Developmen t departmenta l packagingseivlces@fedex.co m Refe rt o th e curren t FedE xSen/ic e Guid e fo rterms , condition s an d limitation s applicabl e t o FedEx ® deliver ysen/ices . ©200 7 FedE

x Bac k t o content s Pag e 

# .C\ '202366743 5 01:27:0 ' Qe-OB-200 7 1/ 2 

# e

120 0 NM T Jmnt y AVWIIM . 8 E WMhtnuton , D.C . 2059 0



### Referenc e No . 07-008 7 US . Departmen t o f Transportotto n Pipelin e an d Hazardou s Material s Safet yAdmlnfstratio n 

## JU N7 200 7 Mr . Joh n V . Cuni e Administrato r Th e Counci l o n Saf

e Tran.spoitatio n o f Hazardou s Aiticles , Inc . 780 3 Hil l Hous e Cou n Fairfa x Station , V A 2203 9 Dea r Mr . Cuirie : Thi s i s i n respons e t o you r Febntai y 20 , 200 7 lette r t o Nfr . Bo b Richard , Dqwt y Associat e Administiato r

fo r Hazardou s Material s Safety . Pipelin e an dHazardou s Material s Safety Administration , concernin g ho w t o transpcn t package s tha t

contai n bloo dan durin e sample s tha t d o no t mee t th e definitio n fo r

ahazardou s materia l unde r th e Hazardou s Material s R^ulation s (HMR : 4 9 CF RPart s 171-180) . Yo u stat e thes e .sample s ar e place dfai package s tfiat ar e pre-printe dwi A th e word s "Diagnosti c SpecioEien. " You r

lette r wa s forwarde dt o thi

e Offic e o f

Hazardou s Material s Suuidard s fo r reply . W e paraphrase dan danswere dyou r question s below . Q1 . T o msur e continue dcomplianc e wit hth e HMR , mus t acarrie r as k th e offero r

i f ever y packag e displayin g th e maddn g "DIAGNOSTI C SPECIMEN " contain s a n infectiou s substanc e t o lea mwhethe r o r no t i t contain s thi s material ? I f carrier s d o no t as k th e offeior s thi s question , ar e the y a t risk o f committin g aprobabl e violatio n o f

th e HM Rbase do n thei r potentia l knowledg e o f

th e omtents ? AI . Th e answe r

t o bot hquestion s i s no . EfleciiveOctobe r 1.2006 . unde r

Docke t No . PHMSA-2004-1689 S (HM-226A ; 6/2/06) , w e lephK^edth e prope r shippin g nam e an dmnkitt g "Diagnosti c specimen " wit h"Biologica l substances . Categor y B " an dadiamond-shape dmark containin g di e letter s an dnumber s "U N 3373 " printe dat leas t 6 m m(0.2 4 inches ) high . Se e § 173.199(a)(S X AUiou ^ th e HM Rd o no t

prohibi t th e word s "Diagnosti c specimen " fkon i bebi g marke do n a package , o n an dafter

Octobe r 1,2006 . thes e word s ma y n o longe r b e usedt o denot e aDivisio n 6. 2 (infections ) materia l Note , however , i n accordanc e wit h { I72.101(0 < stock s o f

preprinte dshippui g paper s o r packag e madcuig s ma y continu e i n us e unti l deplete do r fo r on e yea r afte r di e Octobe r

1.200 6 effectiv e date , whicheve r

i s less . A carrie r

i s no t require dmquestio n th e offero r o n whedie r o r no t apadcag e marke d"DIAGNOSTI C SPECIMEN " contain s a Divisio n 6. 2 material ; however , i t ma y b e i n di e carrier' s bes t interes t t o d o s o t o ensur e h e o r

sh e i s no t

inadvertentl y transportin g a n ite mmeetin g th e definitio n o f ahazardou s material . 

# C . \ «20 2 366743 5 01:27:2 7 \06-08-200 7 2/ 2



### Q2 . D o th e HM Rprohibi t shiiq[ier s fro mdisplayin g th e word s "DIAGNOSTI C SPECIMEN " o n al l packages ? Ar e w e correc t i n a.«$uming i t

i s no t aprohibite d marking ? A2 . Th e HM Rd o no t prohibi t displa y o f

th e word s "DIAGNOSTI C SPECIMEN " o n apackage . Q3 . Ma y ashippe r

offerin g paden t

specimen s exemp t

fro mregulatio n unde r

th e HM R t o an tntemationa l transpor t carrie r cal l the mdiagnosti c specimen s whe n transportiii g thes e material s i n th e Unite dStates ? A3 . Yes . I hop e thi s satisHe s you r

request . Sincerely . Hatti e L . Mitchell , Chie f Regulator y Revie w an dReinventio n Offic e o f Hazardou s Matoial s Standard sFedera l Register/Vol . 64 . No . 76/Wednesday . Apri l 21 . 1999/Rule s an dRegulation s 1944 3

Smid l Busines s R^ulatot y Enforcemen t Fairnes s Ac t Th e Smal l Busines s Regulatoi y Enforcemen t

Fairnes s Ac t

t d199 6 (Pub . L . 104-121 ) provide s generall y fo r congressiona l refvle w o f agenc y rtdes . A reportin g requiremen t

I s triggere dI n Instance s wher e NCU A Issue s afina l rul e a s define db y Sectio n 55 1 o f th e Administrativ e Procedure s Ac t 5 U.S.C . 551 . Th e OfQc e o f

Managemen t

an d Budge t ha s determine dtihat

thi s rul e doe s no t constitut e amajo r

rul e fo r purpose s o f

th e Smal l Busines s Regulator y Enforcemen t Fairnes s Ac t

o f 1996 . Lis t o f Subject s I n 1 2 CF RFor t 70 1 Charitabl e contributions . Credi t unions . B y th e Natiorta] Credi t

Unio n Adnilnlstratto n Boar

do n Apri l 15 , 1999 . Beckj r Baker , Secretai y o f

th e Board . Fo r th e reason s ^ t

fort habove . NCU A amend s 1 2 CFRpar t

70 1 ai s follows : PAR T701-ORGANIZAT1O N AN D OPERATIO N O F FEDERA L CREDI T UNION S
' , 1 . Th e authorit y citatio n fo r par t 70 1 continue s t o rea da s follows : Authorilsr : 1 2 U.S.C . 1752(5) , 1755,1756 . '757.1759.1761a . 1761b . 1766 . 1767 , 1782 . i7B4.1787 . an d1789 . Sectio n 701. 6 I s als o authorize db y 3 1 U.S.C . 3717 . Sectio n 701.3 1 laals o audioilze db y I S U.S.C . 160 1 e ( seq . 4 2 U.S.C . 186 1 an d4 2 U.S.C . 3601-3610 . Sectio n 701.3 5 i s als o authorize db y 4 2 U.S.C . 4311-4312 . 2 . Par t 70 1 I s amende db y addin g §701.2 5 t o rea da s follows ; §701.2 5 Chaittabt o contritwIion B an d donatloiw . (a ) A federa l credi t

imlo n ma y mak e charitabl e contrlbudon s and/o r donat e fund s t o rec^lent s no t

organize dfo r profi t tha t ar e locate di n o r

conduc t activitie s i n acommuni s i n whic hth e fedei^i l credi t

unio n ha s aplac e o f busines s o r

t o oi^ganlzatlon s tha t

ar e ta x exemp t organization s imde r

Sectio n 50 1 (c)(3 ) ^th e Interna l Revenu e Cod e an doperat e primaril y t o promot e an d develo p credi t

unions . (b ) Tn e boar do f

dlrecton ; mus t approv e charitabl e contribution s and/o r cbnations . an dth e approva l mus t b e base do n adeterminatio n b y th e boar d o f director s tha t

th e contribution s and / o r donation s ar e I n th e bes t interest s o f ^ e federa l credi t

unio n an dar e .easonabl e give n th e siz e an dfinancial conditio n o f

th e federal credi t

union , ih e boar do f

directors , i f

i t chooses , ma y establis habudge t

fo r charitabl e contribution s and/o r

donation s an d authoriz e appropriat e official s o f th e federa l credi t

unio n t o selec t

recipient s an ddisburs e budgete dfund s amon g thos e recipients . |F ROoc . 99-993 1 Pile d4-20-99 ; 8:4 5 am] BUJH Q COD E 7G3S-01-I ' DEPARIMEN TO F TRANSPORTATIO N Federa l Aviatio n Administratio n 1 4 CF R Par t 1 3 FiBdera l Aviatio n Admlnisbatlo n Polic y o n Enforcemen t o f th e Hazardou s Material s Regulations : Penalt y Guideline s AGENCY : Federa l Aviatio n Administratio n (FAA) . DOT . AtmON : Genera l statemen t o f policy . SUUMAHY : Thi s documen t state s tha t FA A polic y o n detennlnin g th e sanctio n amount s i n FA A enforcemen t action s addressin g violation s o f th e Departmen t o f TVanspottatto n Hazardou s Klat»1a l Regulation s (HMR) . Thi s polic y statemen t

provide s guidanc e fo r

agenc y personne l i n th e exercis e o f th e FAA' s prosecutoria l discretio n i n enforcemen t case s concernin g transportatio n o f hazardou s material s b y air . Th e guidanc e shoul dai dI n analysi s ( f th e uct s an dcircumstance s o f eac hcas e s o a s t o arriv e a t

a n appropriat e saiKtio n i n ligh t o f th e statutoril y define dpenal ^ considerations . Th e analytica l fhuhewoil c shoul dals o promot e a relativ e consistenc y i n determinin g civi l penaltie s fo r

violation s o f

th e HM R EFFECTIV EDATE: Apri l 14 . 1999 . FO RFUrmiE

RMFOnUATKM

I CONTACT

: Bl U Wilkenlng . Offic e o f Civ U Aviatio n Security , Dangerou s Good s an dCarg o Securit y Division , telephone : (202 ) 267
- 9864 , fiacsimUe (202 ) 267-5760 . emaU : Bill.Wilkening@faa.gov , mailin g address : ACO-800,80 0 Independenc e Avenue . S.W. , Washington , D.C . 20591 . o r Alla n H . Horowitz , Enforcemen t Division , Offic e o f

th e Chie f

Counsel , telephon e (202 ) 267-3137 . facsimil e (202 ) 267-5106 , emaU : AIlan.Homwit2&laa.gov , mailin g address : AGC-300,80 0 Independenc e Avenue . S.W. , Washington . D.C . 20591 . SUPi>l.EMENTAR

Y INFORMAHON

: Backgroun d Congres s determine dtha t th e unregulate dtransportatio n o f hazardou s material s constitute s athrea t t o publi c safe ^ i n al l form s o f

transportation . Congres s addresse dtha t threa t i n 197 4 b y enactin g th e Hazardou s Material s Transportatio n Ac t

(HMTA) . B y 1990 , Concres s determine dtha t pfferthiP L enforcemen t o f th e HMT A require d mor e sever e action , an denacte dth e Hazardou s Material s Transportatio n Unifor mSafe ^ Ac t

o f 1990 . Publi c La w No . 101-615.199 0 U.S . Cod e Congress . & Admin . New s 10 4 Stat . 4605 . Th e primar y effec t

o f thi s 199 0 revisio n o f th e HMT A wa s t o rais e th e maximu m civi l penalt y fo r

violatio n o f

an y regulatio n enacte dunde r th e HMT A t o $25,000 , and . fo r

th e first time , t o requir e a$25 0 minimu mpenalt y fio r an y suc hviolation . Th e HMT A wa s recodifie dI n 199 4 an di s no w refen-e d t o a s th e "Federa l hazardou s materia l transportatio n law. " 199 4 U.S . Cod e

. Congress , ft

Admin . New s 10 8 Sta t 759 . codifie da t

4 9 U.S.C . 5101-5127 . I n th e 199 4 recodification . Congres s specificall y state dtha t th e recodificatio n create dn o substantiv e chang e t o th e earlie r

for mo f th e statute . Th e Federa l Clv U Penaltie s Inflatio n Adjustmen t

Ac t o f 1990,2 8 U.S.C . 246 1 (note) , a s amende db y th e Deb t Collectto n Improvemen t Ac t o f 1996 , Publi c La w 104-134 , Apri l 26.1996 . provide s amechanis mfo r ad)u5troent s fo r monetar y dvl l penaltie s for inflatio n i n orde r t o maintai n th e deterren t effec t o f monetar y civi l penaltie s an dpromot e complianc e wit hth e law . Unde r tii e statute , th e ne w civi l penalt y maximum s canno t

b e applie dunles s the y ar e Implemente db y regulation . O n Decembe r

20.1996 . th e FA A publishe d afinal rul e (6 1 F R6744) , implementin g th e statut e fo r

eac hdv U perult y subjec t t o th e FAA' s Jurisdiction . O n Januar y 21,1997 , th e FA A published a correctto n t o th e final rul e (6 2 F R4134) . Th e final rul e i s codifie da t 1 4 CF RPar t 13 , Subpar t

H . Pursuan t

t o 1 4 CF R 13.305(d) . th e maxlmtm i dvl l penalt y tha t ma y b e assesse dfo r

aviolatio n o f th e Federa l hazardou s materia l la w o r a hazardou s materia l regulatio ni s no w $27,500 . Congres s assigne dth e responsibilit y fo r th e enforcemen t

o f th e Federa l hazardou s materia l transportaUo n la w t o th e Secretar y o f

Transportation . Withi n th e Departmen t

o f IVansportation , th e Researu i an dSpecia l Program s Administratio n (RSPA ) adopt s th e Hazardou s Material s Regulation s (HMR) . 4 9 CF Rpart s 17 1 Uiroug h178 . whic hgover n th e transportatio n o f hazardou s material s (Hazmat) . Althoug h RSP A ha s som e enforcemen t responsibilities , th e responsibilit y for enforcin g th e HM Rwit hrespec t t o clv U aviatio n i s delegate db y th e Secretai y o f IVansportatio n t o th e FAA . 4 9 CF R 1.4700 . Th e HM Rse t

fort hregulation s for

th e transportatio n o f

Hazmat . A knowin g violatio n o f

th e statut e o r

o f th e HMR ran fiiirinnrf f\\r » acCAvcmon f nf a r>li«4 l 

## ^A- ;

### 1944 4 Federa l Register/Vol . 64 . No . 76/Wednesday . Apri l 21 , 1999/Rule s an dRegulation s

.penalty betwee

n $25 0 an d$27,500 . A perso n act s knowingl y whe n th e perso n ha s actua l knowledg e of

th e fact s givin g is e t o th e violation ; o r

areasonabl e perso n acting i n th e circumstance s an d exerclsli] g reasonabl e car e woul dhav e tha t knowledge . 4 9 U.S.C . 5123(a)(1)(A) . Th e clv U penaltie s authorize dimde r th e statut e apply t o BAC

H violatio n o f

an y regulatio n se

t fort hi n th e HMR . Moreover , under

th e statute , eac h continuin g Woladon o f

th e HM Rca n constitut e aseparat e violatio n fo r eac h day aviolatio n continues . I n secdo n 5124 of th e statute , Cor^gres s prescribe d crimina l penaltie s for

awiUfu l violatio n of th e Federa

l hazardou s materia l transportatio n law o r

th e HMR : willfu l violation s require evidenc e o f bot h knowledg e o

f th e law s an dregulation s an dinten t

t o violat e them . Part 1 3 o f th e Federa l Aviatio n Regulations—Investigativ e an d Enforcemen

t Procedure s (1 4 CF

RPar t 13 ) govern s th e procedure s applicabl e t o enfbrcement

o f th e HM Rb y th e FAA . Hazmat violation s occurrin g o n o r afte r Augus t 2,1990 , ma y b e dismisse db y a n administratW e la w Judg e (ALJ) I f a Notic e of Pnyxne dCivi l Penalt y ha s no t bee n Issue dwithi n 2 year s o f th e vlolaUon , unles s goo dcaus e fo r dela y Aa s bee n shown . | 4 CF

R13.208(cl) .

- Consideratio n of

Statutor y Criteri a I n determinin g th e sanctio n t o b e assessed , penalt

y criteri ase t

fort hi n 4 9 U.S,C . 512 3 mus t

b e considered . Thes e criteri aar e th e nature , circnmistances , extent , an dgravit

y of th e violation , th e degre e o f culpability of

th e violator , an y histor y o f pas t violations , th e abilit y t o pay , an y diec t

o n th e abilit y t o continu e t o cl o business , an dothe r

matter s a s Justic e requires . Som e of

thes e consideration s alread y ar e factore dt o som e exten t

int o th e categorie s I n th e Hazardoii s Material Sandlo n Guidanc e Matrix . Th e statutor y fador s ar e furthe r considere dunde r

th e weightin g analysi s tha t i s performe dt o Indicat e th e amoun t of civi l penalty withi n th e appropriat e range , i.e . a

t th e mlnlraum , moderate , o r maximu mportio n o f

th e sanctio n range . T o compl y wit hth e underlyin g purpose s o

f th e Federa l hazardou s materia l transportatio n la w an dHMR , a sanctio n shoul db e Impose dtha t I s sufficientl y deterren t

bu t no t excessive . Th e Hasirdou s Material s Sanctio n Outdanc e i s designe dt o promot e bette r consistenc y s o tha t

simila r penaltie s ar e impose dI n similar

cases . Th e Matri x ]mge s ar e intende dt o reflec t th e nature , jircumstances , exten t

an dgravit y o f

th e :as e a s compare dwit hothe r type s o f cases . Eachcase , however , mus t b e evaluate do

n it s ow n facts . A sanctio n mav diffe r fro mth e Matri x ranee s whe n th e fact s an dcircumstance s of acas e support eithe r agreate r o r lesse r penalty . Whe n aspecia l qgent tielieve s that apenalt y shoul dexcee dth e Matrix ranges , th e agen t

shoul dconsul t

wit h l^ia l counse l befor e furthe r processin g of th e Enforcemen t

Investigativ e Repor

t (EIR) . Thi s consultatio n i s no t necessar y i n th e cas e o f

arecommendedpenalty that i s les s tha n tha t

provide di n th e Matrix . I neithe r

situation , th e basi s for th e decisio n t o g o outsid e th e range s shoul db e explaine dI n detail . Violation s o f

Par t 17 5 of th e HMR. whic hestablis hparticula r requirement s fo r ai r carrier s ari dothe r

airci ^ operators , ar e containe di naseparat e matrix . However , suc hoperator s often offe r hazardou s material s for

ai r transportation , a s wel l a s accep t an d transpor t them . Fo r

thi s reason , suc h operator s ma y b e liabl e t » violation s bot ha s abusines s entit y withi nth e Hazardot u Material s Sanctio n Guidanc e Matrix , a s wel l a s specifi c ai r carrie r violations . Us e of (h e Sanctio n Guidanc e Thi s guidanc e provide s agenc y personne l wit hasystemati c way t o evaluate acas e an darriv e a t a n appropriat e penalty , considerin g al l th e relevan t statutor y criteri aincludUng an y mitigatin g an daggravatin g circumstances . Statutoi y consideration s hav e bee nfactore dInt o th e variou s taiige s withi nth e Sanctio nGuidanc e Matrix . Determinatio n c f

wher e a sanctio nIle awithi n thes e range s i s aide db y aserie s o f

weightin g question s that pnA e th e variou s aggravatin g an d mitigatin g factors tha t

ma y exis t

i na case . First , th e weightin g analysi s I s perfbrmed . Agenc y personne l respon d t o aserie s o f

<{uestton s t o determin e th e aggregat e weigh t o f th e case . Ih e aggr^at e we^ t

o f th e cas e help s determin e th e sanctio n amoun t of eac h violatio ngrou p withi nth e establishe d range s o f di e Matrix . I t i s importan t

t o not e tha t detenninatio n of

wher e th e sanctio nlie s withi n th e Matri x i s no t

th e resul t of a mathematical computation . Evaluatio n o f th e cas e i s base do ntti e totalit y of th e fact s an dcircumstances . Generally . I f th e answe r

t o aparticula r

questio n represent s amor e significant aspe dof a case , greate r

consideratio n shoid db e give n t o tha t

answer . Fo r

example , violation s involvlr ^ a nextremel y dangerou7substance . eve ni n minut e quantities , migh t

warran t apenalt y at th e maximu men dof

th e rang e o r

eve n apenalty exceedin g th e Matri x ranges . Unde r th e Sanctio nGuidanc e Matrix , agenc y personne l determin e th e cateeor v of violato r di e perso nfall s withi n(e.g. , busines s entit y tha t regularl y offers , accepts , o r transport s Hazmat ) an dth e offens e categor

y (e.g. . undeclare dshipmen t

withi nHazma

t quantit y limitations) . Th e sanctio n range s unde r

th e variou s violato r categorie s tak e int o accoun t tli e rdatlv e culpabilit y o f

th e violator . Similarly , th e offens e categorie s addres s th e nature , drcumstances , an dgravit y o f th e particular offense . Mte r

cletermlnln g th e appropriat e categorie s an dIntersectin g bo x o f th e Matrix , agenc y personne l the ndetennin e whic hsubcategorie s of ofiiense s (e.g. . shippin g papers ) ar e allege dt o hav e bee n violated . Basedo n th e weightin g analysi s performe di n Secdo nI , a nappropriat e penalt y I s assigne dfor

ead i of th e applicabl e violatio ngroups - Th e penalt y amoun t for eac hrdevan t

violatio n grou p i s adde dtogethe r

t o reac hth e recommende dsanction . Unde r Sectio n mo f

th e Guidance , th e speda l agen t

the n consider s othe r relevan t foctors. includin g evidenc e of correctiv e action . A recommende d sanctio nma y b e reduce dprio r t o th e issuanc e o f

aNotic e o f

Propose dChrll Penalty whe n ther e i s adequat e reliabl e Informatio nconcernin g th e correctiv e action s take n fay aresponden t Correcttv e action s tha t

Justif y reductio n of th e recommendedpenalt y mus t excee dth e minimu mlega l requirements . Th e sp«da l agent als o attempt s t o provid e informatio n concernin g th e allege dviolator' s size , finandal condition , an d^ilit y t o pa y a reconunende dsanction . Whe na n EI

RI s forwarde dt o legal counse l for

enforcemen t

action , counse l wit hgiv e appropriat e consideratio n t o th e recommende dsanction . FA A legal counse l wil l als o review th e factors , analysis , an ddetermination s unde r th e Hazardou s Material s Sanctio n Guidance . An y basi s for

deviatin g from th e recommeii dsanctio n I s ordinaril y explaine dto . an ddiscusse dwith , th e investigatin g specia l agent . Final determUiatlo no f

th e sanctio namoun t propose di n th e Notic e of Proposed . Civi l Penalt y i s ordinaril y ajnxxluc t of Join t decisonmakln g an dapprova l o f th e Investigatin g agen t

an dth e l^a l offke . Federa l Aviatio n Administratio n Hazardou s Material s Sanctio n Guidanc e Thi s Sanctio nGuidanc e i s divide d int o thre e sections : I . Cas e Analysis , n . Utilizatio no

f th e SanctionGuidanc

e Matri x (Matrix) , an d m . CoitslderaUo

no f other Statutoi y Factors . Th e SanctionGuidanc e Matri

x i s containe

d inFigur e 1 an dth e Ris

k Categories ar

e containedi nFieur

e 2 . 

# c .Federa l Register/Vol . 64 , No . 76/Wednesday , Apri l 21 . 1999/Rule s an dRegulation s 1944 5

I , Cas e Analysi s (Evaluatio n of Statutory Assessment

Fadors ) Thi s section contain s aserie s o f question s designe dt o assis t specia l agent s an dattorney s I n evaluatin g a particular case . Th e questio n review factor s Invohin g th e nature , circtmistances , exten t

an dgravity o

f th e violation , th

e violator' s degre e o f hi culpability , an dth e vfolator' s histor y o f [ j prio r violations . Som e o f

thes e foctors ' are alread y considere dt o som e deten t withi n th e varlotJS categorie s o f th e Sanctio n Guidanc e Matrix . Th e question s i

n thi s sectio n provid e additiona l consideratio n o f th e statutoi y factor s an dexamin e th e existenc e o f aggravatin g an dmitigatin g factor s i n a case . Th e agent^attome y answer s eac h questio n In Sectio n I an ddetermine s I f arelativ e weigh

t o f minimum , moderate , o

r maximu mshoul db e assigne dbase

do n th e respons e t o tli e question . Wit

hth e exceptio n of Questio n Al. , no t

al l question s wil l appl y t o agive

n fac t situation . Questio n A1. , whic haddresse s th e natur e o f th e hazardou s Aiaterial(s ) involved . I s th e onl y questio n tha t

alway s receive s a "yes " answer

t o on e o f It s subquestion s an dI s considere di n ever y case . Th e aggravatin g or

mltlgatii ^ factor s -iddresse din th e question s onl y appl y t o di e cas e when th e C]uestlo n receive s a "yes " response . Question s receivin g a "no " respons e d o no t

affe dth e weightin g o

f th e cas e an dar e no t consfidereid . Fo r

example , i f

th e vfolatio n resulte di n han n t o person s o r property , tiiat ma y bea n aggravatingfecto r I n th e case . However , th e fodtha t th e violatio n di dno t

resul t i n injur y o r damage . I s no t

amitigatin g facto r

an d shoul dno t

resul t i n penalt y mltigstion . I n man y Instances , th e answer s t o mos t o r a U of th e question s wil l ti e "no " an d th e onl y relevant

weightin g facto r

I n thi s sectio n wil l b e th e ris k categot y of th e material identifie dI n Questio n A.l . I n determinin g th e final aggregat e weigh t o f th e case , th e response s t o eac h o f th e question s d o no t

hav e t o b e equall y considered . Determinatio n of whethe r th e overal l cas e shoul dhav e a minimum , moderate , o r

maximu m weigh t canno t b e determine dwit h mathematica l certainty . Generally . I f th e v ; answe r

t o aquestio n demonstrate s tha t th e factor a t issu e represent s amor e significant

aspec t o f th e case , greate r |onslderaUo n i s give n t o tha t factor . Th e .Ina l aggregat

e weigh t i s base do n th e otallt y of di e fact s an dcircumstance s o f Ji e case . Once determined , th e fina l aggregate weigh

t I s the n utilize dt o eac happlicabl e violatio ngrou p o n th e Sanctio nGuidanc e Matri x (Fig . 1) . A , Th e Nature , Circumstances , Extent , an dGravity o f

th e Violatio n (Factor s Concernin g th e Shipmen t 1 . What Matertal(s ) Wa s Offered , Transported , o r

Accepte dfor

Ai r Transportatton ? (Figure 2 divide s hazardou s material s of partlctda r dasses , divisions , an d packin g group s Int o thre e ris k categories : Categor

y A . Categor

y B , an d Categor y C . Fin dth e materlal(s ) a t Issu e i n Figur e 2 an danswe r

th e question s below. ) a . I s th e materia l (s) ofiiered , transported , o r

accepte dI nCategor

y A ? I f yes . assig n aMaximu mwel^t . b.I s di e materlal(s ) ofTered . transported , o r

accepte di n Categor

y B ? I f yes , assig n aModerat e wei^ t c.I s th e material(s ) ofiioed , transported , o r

accepte dI n Categor

y C 7 I f yes , assig n aMinimu mweigh t Guldaiic e Note : Th

e categorie s in Figur

e 2 represen t tti e inlKren

t ris k o f dange r t o ai r tiansportatla

nposedl> y tlu i material , tf

ther e i s mor e than one typ e o

f hazardou s materia

l involvedI n th e slilpnien t

answe r till s questionusing tli e hazardou s materia ] I n the higiies t ris k category . 2 . What Quantit y of

th e Matcrial(s ) Wa s Oflered , Trans^iorted . o r

Accepte dfor Ai r Transportation ? aDi dth e package(^ ) excee dth e authorize dquantit y llrnitaUon s by a siffiUJcant

amount ? I f yes , conside r

aModerat e o r Msdmu mweigh t

dependiii g o n th e d^re e t o whic hth e limitatio nwa s exceeded . GiddaiK e Note : The Matrix , discusse di n Section III . take s into accoun t th e factua l situation s wiier

e th e quantit

y limltttlan s for th e materia

l are exceeded , llil s par

t o f th e analysi s l aIntende dt o detennine whethe r furthe r aggravatin g circumstance s exist wher e quantit y limitation s ar

e exceede dfay a significan t amoun t Wliethe r thi s fiictor i s assignedamoderat

e o r maximu mweigh t wil l dependo nth e degre

e b y whic hth e quantit

y limitationwa s exceeded . Example : The quantit

y limitationfo

r gasoline on apassenge

r plane i s 5 liter s per package . I f aviolator offer s 3 0 liter s ina singl e package onapassenge r plane , thi s ma

y resul t In amaximu

mweigh t fo r thi s factor. b . Wer e ther e multipl e package s i n th e shipment ? If yes . conside r

aModerate o r Maximu mweight , dependiii g o nth e . numbe r o f package s an dtota l anwun t of hazardou s materia l bein g transporte di n VlolaUon . Guidanc e Note : A packag

e means a packagin g plus it s contents . Ther

e wa y b e overpack. MulUpt

o package s ofte

n represen t multiple violations . Unde

r the Sanctio

n Guidaice . tld s &c

t i s considereda

n aggravatin g circumstanc e rattie

r tlia n adiiec t mulUplie r o f th e sanctio nfo

r eac hviolaUon . Eac hcase , however, mus t

b e evaluate

do nit s particula r iacts . A vet

y large-numbe

r o f packages ma

y result insud t an . egregious cas e tha t th e ovGial l weigli t o f th e cas e i s s o hig httia t apenalt y iieyon dtt w maximu m point i n th e range i s warranted . A n investigation wil l occasionall y revea l severa l sh^nnent s fromth e sam

e offiero r ove r aperio do f seveia l days , al l o

f wlilc hinvolve violation s o

f th e HMR . Thes e Independen

t act s o f oifEiarin g usually ar

e consolidate

dInt o on e EI Randaddressedi none Not e o f Propose dCtv U Penalty . However

, fo r purpose s o f detennlnin g tit

e appropriat

e sanction , eac

hseparate siiipinen

t wit ha separat e air waybil l o r shtoping paqpen. . separat e destination , and/o r

an y othe r evidenc e establishing It

ia s aseparat e shipment i s onlinarily oonsldtte das a separat e incident fo r purpose s o

f applying th e sanctic mguidanc e arulysls . I

t i s suggeste dtha t th e separat

e shipments lie treateda s individua

l count s i n tli e EI

Ran d th e Notice o

f ProposedCivi

l Penalty , wit

h. eac hcount having it s ow n sanction derived fromapplicaUono

f till s guidance . Note , there mus t b e sufficien

t evidenc e t o suppor

t eac h coun t 3 . Di dth e Shipmen t

Caus e Damage o r Hara i t o Person s o r

Property , o r

Interfer e Wit hCommerce ? If yes , conside r

aModerat e o r Marimu mweigh t Guidanc e Note : The Eac

t tha t n o damag e occurreda s aresult

o f th e shipmen

t i s no t amlUgatUi g factor . However, damag

e o r harni ma y aggravat e th e nature , cdrcumstances . exten t andp«^ ^ of

th e violation . Dependin g o n di e degree o

f damag e caused by th ashipment

and/o r th e existence o

f othe r g^ggravatlii g foctots, departure fromth e rai>ge s ma y b e Justlfled . B . Violator' s Degre e o f

Culpability (Th e Matrix , Figur e 1 , consider s th e relative culpabilit y o f

th e violator . Thi s sectio n of th e analysi s furthe r

evaluate s th e degre e o f

culpabilit y of

th e violator. ) 1 . I s th e Violato r

th e Manufacture r

of th e Hazardou s Material ? I f yes , conside r

aMaximu mweigh t Guidanc e Note : A manufacture r o f a ttazardou s materia

t i s expecte dt

o hav e complet e knowle<ig

e of th e natur e o f the hazardou s materia

l an dthiis . aliig

hdegre e o f culpabilit y wi U ordinarily l>

e impute dt o I t 2 . Di dSomeon e Othe r

Tha n th e Violator Prepar e th e Shipmen t

fo r Transportation ? I f yes , conside r

aMinimu mo r Moderat e weigh t Guidanc e Note : Pacts supporting a n afiinnaUv e answer t o till s questionma

y be1944 6 Federa l Register/Vol . 64 , No . 76/Wednesday . Apri l 21 , 1999/Rule s an dRegulation s

.separat e enforcement

actio n agains t

othe r responsibl e partie s wli o Itandle dth e Shipmen t A shippe r

tha t restiip s material s Reive dfro

manothe r perso n i n di e sam e packagin g i s independenti y responsibl e fo r ensurin g th e shipmen t

conu>lie s wit hth e HM RNevertheless , th e reshippe r i s generall y considere dt o hav e alesse r degre e o f culpabilit y for

complianc e o f

th e packag e a s received . However , i f

tli e restilppe r unpack s and/o r

repackage s th e slUpmen t th e r^hlppe r remain s a s culpabl e a s th e original shippe r an dgenerall y i s not

accorde d mitigatio n unde r

till s weightin g factor . (Fo r purpose s o f

thi s sectton , a"reshippec " refer s t o aperson , othe r

tha n th e original oITeror

, wli o oficT s ashipmen t

o f hazardou s materia l fo r transportation. ) 3 . Di dth e Violato r

Reasonabl y Rel y o n Incorrec t Informatio n Fro mAnothe r Source ? I f yes . conside r

aMinimu mweigh t Guidanc e Note : Detrimenta l o r reasonabl e relianc e o n anothe r

part y ma y b e amitlgattn g lacto r wtie n considerin g th e violator' s degre e o f culpability . Fo r

example^ relianc e o n a n Inaccurat e Material Safbt

y DataShee t

(MSDS ) ma y b e mltifating , 4 . Doe s th e Violato r

Hav e aHistor y o f Previou s HM RViolations ? I f yes . cohslde r

aModerat e o r Maximu mweigh t Guidanc e Note : T o establis havlolaUo n history , aprio r

violatio n mus t

b e a n actua l Indirq ; o f violatio n pursuan t

t o alegal enforcemen t

action . Special agent s dioul d atternp t t o determin e di e corporat e structur e o f th e violato r

an dwhethe r

otiie r inslnes a enUtle s o r

name s ar e o r

hav e bee n use dtiy th e entit y i n orde r

t( > obtai n acortiplet e : violatio n tUstory . Th e numbe r an dag e o f violation s shoul db e considered . OrdUnarlly . finding) o f

violatio n mor e tha n S year s ol d can y les s wdgti t

unles s acontlnuiii K

patter n o f violatio n exists . C . Otiie r

Factor s Eac hcas e mus t

b e evaluate do n It s particula r

facts . A s such , man y case s ma y presen t

uniqu e scenario s an d aggravatin g o r

mitigatin g factor s tlia t ar e no t routinely seen . If

a n aggravatin g o r mitigatin g circumstanc e exist s tha t i s no t adequatel y addresse delsewher e i n th e sanctio n guidance . I t ma y b e biclude dan dassigne daweigh t unde r thi s section . Th e facto r shoul db e clearl y identifie dan dexplaine dI n th e analysi s portio n o f

th e EI Ran dcarefull y scrutinize db y lega l counsel . Guidanc e Note : Fo r

example , ashipmen t of asingl e packag e contalniii g severa l differen t tiazardou s material s ma y presen t a n aggravatin g foctor. Th e degre e o f seriousnes s i f thi s facto r

wil l Increas e If

tli e hazardou s thuateriai s ar e incompatibl e vylt heac hothe r ind . ttierefore , creat e a n Increase drisk . Mitigatin g factor s may als o exis t tha t hav e no t bee n adequatel y considered . Fo r example , ashipmen t

containin g acf

e winJmi s quantit y o f materia l o r

a n amoun t

that woul d hav e qualifie dunde r

th e smal l quantit

y exceptio n o f

S 173. 4 ma y presen t

amitigating factor i f a s alesu httiet e wa s areduce dris k t o safet y I n transportation . D . Determin e th e Fina l Aggregat e Weigh t o f th e Cas e Al t th e responses/weight s ar e e%^uate dt o detennin e afinal aggregat e weigh t o f th e cas e (Minimum , Moderate , an dMaximum) . Question s recdvln g a. "ho " respons e wil l no t b e Indude di n thi s evaluatton . T o detennin e th e fina l aggregat e weigh t

th e agent/attorne y mus t exercis e his/he r

discretio n I n ligh t o f th e statutoi y fador s an dIcnowledg e o f th e particula r

fad s o f th e case . Th e fact s o f th e particula r

cas e wil l dictat e th e rotativ e Importanc e o f eac ho f th e weightin g factor s I n reachin g afinal aggregat e weigh t

Th e final aggregat e weigh t shoul db e dedde da s arntil t o i carefu l analysis , no t

amathematiai l averaging . I t

i s possibl e tha t

asingl e weightin g facto r

ma y outweig hal l others . Th e agent/attomey' s analysi s shoul dalway s b e explaine di n tlU s regard. Example : A cas e involviii g aItazardou s materia l i n th e lowes t

risk categor y ma y b e evaluate dt o Iiav e amaximu mweight becaus e o f

th e Iai;ge quantity ship|K dor th e damag e resultin g fromth e shipmen t n . Utiliz e th e Matri x (Figur e 1 ) Th e sanctio n range s unde r th e oftero r an dofiens e categorie s o f th e Sanctio n Guidanc e Matri x refie dth e relativ e culpabilit y o f

th e violato T an dth e nature , circumstances , exten t an d gravit y o f

th e case . Consideratio n o f dies e particula r

statutoi y factor s und« ' th e Federa l hazardou s materia l transportatio n la w I s buil t Int o tti e Matrix . Furthe r

analysi s o f

th e statutot y factor s I s require dto detennin e th e appropriat e sanctto n withi n th e range s establishe dunde r

th e Matrix . Thi s analysi s I s performe dI n Sectio n 1 . Afte r determinhi g th e final aggregat e weigh t o f th e cas e unde r

the | Sectio n 1 anal^ls . tha t weigh t I s applie dto th e appropriat e matri x rang e to Identif

y th e reconunende dsanctio n amoun t fo r eac h o f th e relevan t

violatio n group s aix l for tfi e cas e a s awhole . Althoug hth e Notic e o f Propose dCivi l Penalt y ma y dt e numerou s violation s o f aparticula r

par t o r subpar t o f th e HMR , unles s upwar d departur e I s Justified , asingl e penalt y amotm t fo r eac hviolatio n grou p I s ordinaril y use dt o reac hth e ful l sanction . A . Instruction s 1 . Identify th e appropriat e categcn y fo r th e type o f

entit y an dth e natur e o f th e ofiens e involve dI n th e case . Refer t o th e Definition s Sectio n tha t follows th e Matri x I n Figur e 1 fo r guidance . C o t o th e intersectin g bo x an didentif y th e applicabl e sanctto n rang e fo r eac h vtolaUo n group . 2 . Appl y th e conduslo n reache di n th e Sectio n I weightin g analysi s to assig n asanctto n amoun t withi n th e minimum , moderate , o r maximu m portio n o f

th e sanctto n rang e fo r

eac h relevant violatio n group . Ih e recommendedcivi l penalt y a t thi s stag e i s th e su mo f

th e sanction s fo r

eac ho f th e appUcabl e violatio n groups . A sanctto n shoul dno t

b e assesse dfo r

a violatio n grou p I f

ther e hav e bee n n o violation s o f

tha t par t o r sulipar t o f th e HMR . Th e sanctto n amoun t for eac h vlolatto n grou p nee dno t b e identica l bu t ordinaril y i s withi n th e portio n o f th e particula r

sanctio n range tha t represent s tti e overal l weigh t o f th e case . 3 . Departur e bo mth e Matri x ranges — Th e Matri x i s designe dto cove r th e majorit y o f

case s Involvin g violation s o f th e HMR . Th e fiids an dcircumstance s o f aparticula r

case , however , ma y Justif y eithe r

a n upwar do r

downwar d dqiartur e ba mih e Matri x ranges . Thi s sanctio n guidanc e anttdpate s an d encourage s departur e fiomtti e Matri x range s whe n Justified . A cas e tovolving violatton s i n whic hth e nature , circumstances , extent , an dgravit y o f th e indden t ar e particularl y sever e o r egregious , ma y Justify upwar ddepartur e fro mth e Matrix . I f

th e investigatin g agen t believes , base dupo nth e fact s o f acase , tha t

apenalt y shoul dexcee dth e Matri x ranges , th e agen t shoul dconsul t wit hlega l counse l befor e furthe r processin g o f

th e EIR . Conversely , th e Investigatin g agen t

ma y tieUev e tha t mitigaUx ^ ficbu s Justify adownwar d departur e bo mth e Matri x range. Consultatio n wit hlega l counse l i s no t necessar y I n th e cas e o f arecommende d penalt y tha t

I s les s tha n tha t

provide d i n th e Matrix . I n eithe r situation , however , th e agen t

i s to provid e a detaile dexplanatio n o f di e basi s for

th e decisio n to g o outsid e th e ranges. 4 . Violatton s o f

Par t 17 5 regulaUons . whic hestablis hparticula r requirement s fo r ai r carrier s an dothe r

aircraf t operatora , ar e containe di n aseparat e matrix . However , suc hoperator s ofte n offe r Hazma t fo r ai r transportaUo na s wel l a s accep t

an dtranspor t

I t A s such , th e operato r

ma y b e liabl e fo r

violatton s a s abusines s enttt y wldil n th e mai n Matri x a s wel l a s fo r

th e specifi c Par t 17 5 violattons . i n . Impac t

o f Other ' Statutot y Fador s Th e Federa l hazardou s materia l transportatto n la w als o requires consideratto n o f

aviolator' s abilit y t o pa y acivi l penalty , th e impac t o f th e civi l penalt y o n th e violator' s abilit y t o \ ^



# r
\X C^ ^Federa l Reglster/Vol . 64 . No . 76/Wednesday , Apri l 21 , 1999/Riile s an dRegulaUon s 1944 7

continu e t o d o bushiess , an dothe r jnatter s that

Justic e requires . Consideratio n o f

thes e factor s ma y resul t I n adjustment

o f th e recommende dcivi l penalt y calculate d i n Sectio n H I n situation s wher e th e agen t o r attorne y I s i n possessio n o f mitigatin g Information , suc ha s inabilit y to pa y th e reconunende ddvf i penalt y o r correctiv e actio n taken , reductio n o f th e recommende dpenalt y may b e appropriate . Mitigatin g informatio n shoul db e suifidentt y reliable , uncontrovcrted , an ddocumente dI n orde r to suppor t

reduction of

th e recommende dcivi l penalt y pricx
- t o issuin g th e Notic e o

f Propose dCivi l Penalty . A . Abilit yT o Pay/Continu e i n Busines s Historically , th e FAA ha s considere d thes e factor s afte

r th e Issuanc e o f

th e Notic e o f Propose dClv

U Penalt y du e to th e absenc: e o f

reliabl e financial Informatio n o n whic hto bas e a reductio n prio r

t o th e Issuanc e of

a Notice . Thi s Sanctio n Guidanc e recommend s tha t

th e specia l agen t

mak e efibrt s to obtai n reliabl e Infonnatton . regarding thf

i violator' s siz e an d financial conditio n for review prio r t o th e Issuanc e o f

aNotice . Thi s informatio n wil l b e transmitte dt o th e

. lega l offic e for

consideration . I t

i s recognize dtha t

I t ma y no t alway s b e possibl e for

th e specia l agen t

and/o r attorne y t o obtai n reliable financial toformation o n aparticula r responden t ttia t financial circumstance s chang e an d ttia t Informatio n may b e provide dafte r th e issuanc e of

th e I^otiC e tha t

ma y warran t further consideratio n o f

a respondent' s abUlty t o pay . 1 . Th e investigatin g agent will attemp t t o Includ e financial Informatio n a s a n exhibi t h i th e EI RI t

I s anticipate dthat thi s information , i f

available , wil l b e obtaine dfromreliabl e financial dat a bases . Finanda l documentatio nshoul d Indude . Ini t

nee dno t b e limite dto, informatio n concernin g th e violator' s corporat e structure , busines s adcbess . ofikers , numbe r

of employees , an d gras s revenues . 2 . Th e investigatin g agen t provide s a statemen t o r commen t wit hreape dto th e financial informatio nobtaine dliu t ordinaril y doe s no t

evaluat e th e financial concUttono f

aresponden t

wit h respe dto it s abilit y to pay apropose d dvl l penalty . Th e Investigatin g agent' s statemen t shoul dencompas s area s suc h a s th e ntimbe r

o f emplojnees . gros s revenues , an dnatur e of

busines s of

th e violator . 3 . FA A lega l couns dreviews th e financial informatio n provide di nth e EI Ran devaluate s it s suCRcfenc y an d relevance'to th e reconunende ddvf i penalty . L^a l counse l ma y determin e I

f mor e curren t

informatto n exist s concernin g th e financial condltto n of a responden t

an dI f tha t infonnatto n substantiall y differ s bo mth e Informatio navailabl e at

th e time of preparatio n o f

th e EIR . I f

ther e i s abasi s fordetermlnii^g tha t

th e recommende d sanctto ni s inappropriat e Ijasedupo n th e financial informatio nprovide di n th e EIR . th e recommende dsanctio n I s adjuste dprio r

to issuanc e o f

th e Notic e o f Propose dCiv

U Penalty . Thi s i s a preliminar y consideratio nof a company' s abUlt

y to pay . A s such , pre Notic e acUustment

o f arecommende d Civ U peiudt y doe s no t

predud e further MATRI X AN D DEFINITION S

[Figur e 1 ] consideratio n of arespondent' s financial claim s afte

r issuanc e o f

th e Notice . 4 . If legal couns ddetermine s tha t a responden t

qualifie s a s asmal l busines s entity , counse l ma y consider tha t statu s unde r th e Sma U Busines s Regulator

y Enforcement

Fairnes s Ac t

(SBREFA ) wit hrespe dto th e appropriatenes s of th e recommende dcivi l penalty . A respondent' s statu s a s asmal l busines s entit y may b e considere dt n conjunctio n wit hanalysi s of

th e statutoty fadora . B . Correctiv e Actio n Th e mos t commo n"ottier

matter " tha t th e FA A take s int o consideratio n i s correcttv e action . Correctiv e actio ntha t result s i nmitigatio n I s remedial actto n tha t exceed s th e minimu mlega l requirements . Th e prlnuu y factor s I n determinin g di e appropriat e amoun t of penalt y ledudlo n ar e th e extent an d timin g o f th e correcttv e actton . I n othe r words , mltlgatto ni s determine do n th e basi s o f ho w muc hcorrecttv e actto nwa s take n an dho w quicld y th e actto n wa s taken . Systemi c chang e Intende dto preven t futur e violation s shoul db e give n greate r

consideratton . SlmUarly . correcttv e actto n tliat

commence s upo n th e violator' s first

notic e of th e violatio n ordlnaiU y I s give ngreate r credi t tha n correctiv e actio n tha t

commence s onl y after th e Notic e of

Propose dCiv

U Penalt y ha s bee n Issued . MlUgatto n of

arecommende dclvU penalt y base dupo ncorrectiv e actio n shoul dbe^reference di n th e Notic e o f Propose dClv

U Penalt y s o that

th e responden t

i s o n notic e tha t

credi t alreacf y ha s bee ngive n for

sai daction .

Offens e categorie s AIndMdua l B . Busines s entit y C . Busines s entit y ttia t use s o rhan dle s Hazma t I n th e cours e o f busi nes s D . Busines s entit y

tha t regulartyof fers , aoceuls , o r transport s Hazma t

. Declare d Shipmen t 1 . Shippin g Paper s , 2 . Ubel a . „ 3 . Marking s » 4 . Packagin g 5 . Tralnh ^ 6 . Emerg . Respons e 7 . Releas e Int o Enviro n 8 . Othe r, „ , Undeclare d Shipmen t Withi n Hazma t Quantit yUmltaKons : 1 . Shippin g Paper s „ 2 . Ubel s 3 . Marking s 4 . Packagin g _„... . 5 . Trainin g . „ 6 . Emeig . Respons e 7 . Releas e Int o Enviro n I I fXhnr 250-50 0 2SO-60 0 250-50 0 250-60 0 250-500 250-600 250-60 0 250-1,00 0 250-1,00 0 2SO--1,00 0 250-1,00 0 2SO-1,00 0 250-1,00 0 9Rn- i nn n 250-1.00 0

250-1.00 0 250-1,00 0 250-1,00 0 250-1.00 0 250-1.00 0 250-1,00 0 250-1,00 0 1,500-7,50 0 1,500-7,50 0 1,500-7.50 0 1,500-7,50 0 1.50O-7.50 0 1.500-7,50 0 1.500-7,50 0 1 nwi_7i:nf \ 600-2,000

500-2,000 500-2,000 500-2,000 500-2,000 500-2,000 500-2.000 500-2,000 2,500-10.00 0 2,500-10,00 0 2,500-10.00 0 2,500-10.00 0 2,500-10.00 0 2.SOO-10.0D O 2,500-10,00 0 9 (;niv_'i n nn n 1,000-6,00 0

1,000-6,00 0 1,000-6,00 0 1,000-5,00 0 1,000-5,00 0 1,000-6,00 0 1.000-5,00 0 1,000-5,00 0 5,000-12,00 0 5,000-12,00 0 5,000-12,00 0 5,000-12,00 0 5/X}O-12,00 0 5,000-12,00 0 5,000-12,00 0 BnfVl--lonn n 

### C\

! 

# c1944 8 Federa l Reglster/Vol . 64 . No . 76/Wednesday . Apri l 21 . 1999/Rule s an dRegulation s MATRI XAN D DEFiNmoNS—Continue d

[Figur e 1 ] Offens e categorie s AIndivMua l B . Busines s entit y C . Busines s enttt y tha t use s o rhan dle s Hazma t i n th e cours e o 1 busi nes s D . Bus^ies s entit y

ttia t regulartyof fers , eoeapis , o r transiwri s Hazma t III . Undeclare d Shipmen t Hazma t Forbidde n on . o rexceed s qt ynmil B for. Passenge rAircraft : 1 , Shippin g Paper s „ „ , Zlabels..... . „ a Marking s __ . 4 . Packa^n g 5 . TraMn g _.,....,. , 6 . Bmerjr . Respons e 7 . Releas e Int o Enviro n „ _ . 8 . Olhe r„ IV . Undeclars d Shipmen t Foibklde n on . o rexceed s qt yHmi U for . Al l Aircraft : 1 . Shippin g Paper s 2 . Label s , 3 . Marking s 4 . Packagin g _ 5 . Trainin g 6 . Emorj . Respons e : , 7 . Reloas o M o Enviro n _ B . Othe r V . Intentiona l o rDeliberat e VhjiaUo n 500-6.00 0 500-6,00 0 500-6,00 0 SOO-6,000 soiwiodd ' 500-6,00 0 600-6,00 0 500-27,50 0 5D0-Z7.S0 0 500-27,50 0 500-27.50 0 500^27,560 " 500-27,60 0 500-27,50 0 Consul t Lega l 5,000-16,00 0 S.000-15,00 0 5.000-15.00 0 5.000-15.00 0 5.00O-15.O0 0 6.000-15,00 0 6,000-15.00 0 5.000-16,00 0 7,500-27.50 0 7,500-27,50 0 7,500-27.50 0 7,500-27.50 0 7,500-27.50 0 7.500-27.50 0 7.G00-27.60O 7^600-27.500 Consi A Lega l 7.500-20,00 0 7.500-2O.00 0 7.500^20,00 0 7.500-2O.0O O 7,600-20.00 0 7.600-20,00 0 7.600-20.00 0 7,500-20,00 0 10,000-27,50 0 10,000-27,50 0 10,000-27,50 0 10,000-27,50 0 10,000-27,50 0 10.000-27,50 0 10,000-27.50 0 10,000-27,50 0 Consul t Lega l 10,000-27,50 0

10,000-27,60 0 10,000-27.50 0 104100-27.50 0 10,000-27.50 0 10,000-27,50 0 10,000-27.50 0 10.000-27.50 0 15,000-27.50 0 15,000-27.50 0 15,000-27.50 0 15,000-27.50 0 15,000-27,50 0 16,000-27.50 0 15j00O^27,50 O 16,000-27.50 0 Consul t Lega l Ai rcarrie ran d otiie rafrcraf l operato rvIcAalion s E . Grou p I & I I ai r carrters an d othe r aircraft operator s F . Qrou p II I & I V

ai rcanters an d ottie raireraf l oper ator s
• Failur e t o compl ywit h Part s 171,172 , o r17 3 requirement s o f th e HM R a s a n offero ro f Hazmat..- . Imprope raccepianc a o f Hazma t fo rai rtransporlatki n (i.e. , quanUly , labeling , marking , padcaging , ani l shippin g papers ) Se e 4 3 CF R 175.30(a ) (1)-(4) i -. . FaOur e t o Inspe d Hazma t shipmen t properly . Se e 4 9 CF R 175.3 0 (b) . (c) , (d) , (e ) - . imprope rstoragefescurln g o f Hazma t aboar d almBft........... . Failur e t o provid e Hazma t traNng , mainlai n record s o f training , o rmee t nilnlmu m lequlrBmenl s f<j r Hazma t trainin g ..........._...............-......,.... . ........................—.— . . —_ . Faihir a t o nofi ^

FAApropert yo f biddentMlscrepancie s i n Hazma t shipmen t „ Failur e t o provtd e notic e t o th e pikit-ln-comman d ...... . —— . Othe rPart 17 5 violation s - {' ) S.000-;?7.50 0 10.000-27.50 0 10.000-27,50 0 10.000-27.50 0 5.000-16,00 0 5,000-15,00 0 6,000-16.00 0 (

2.50O-15.O0 0 5,000-15.00 0 5,000-15.00 0 5,000-15.00 0 1,000-S.OO

O 1,000-6.00 0 1.000-5.00 0 1 Us e mai n Matrix . Definition s (a ) Ai r Carrie r an dOtiie r

Aircraf t Operato r Croup s (I . B , m , /VJAI

r carrier s an dothe r

aircraf t operator s ar e divide dInt o tw o categorie s fo r purpose s o f deterndnin g a n apfwopriat e sanction . Thes e categorie s trac k

th e ai r carrie r group s establishe dI n FA A Orde r No . 2150.3A , Appendi x 1 , Compliance / Enforcement

Bulleti n 92-1 , bu t

als o include s an y operato r

o f a n aircraf t tha t i s operate d"i n commerce " a s define dI n th e Federa l hazardou s material s law , includin g Par

t 12 9 Foreig n Ai r

Carriers , Par t 125 Operators , an dPart

9 1 Operatois . Grou p I i s comprise dof ai r carrier s an dothe r

aircraf t operatoi s wit h ^ua l operatin g revenue of ; 100,000.00 0 o r

more . Grou p U i s comprise do

f ai r carrier s an dothe r aircraf t operator s tha t

hol dPar t

12 1 certificate s or

hav e 5 0 o r

mor e pUot s or ooerat e 2 5 o

r mor e aircraft , wld i annua l operatin g revenu e o f les s tha n $100,000,000 . Grou p I H I s comprise dof ai r carrier s an dothe r

aircraf t operator s tha t d o no t mee t th e criteri afor

Group n wit h(1 ) 6 to 4 9 pUots , o r (2 ) 6 t o 2 4 aircraf t (Srou p IV i s comprise dof

al l othe r ai r carrier s o r

aircraf t operator s no t meetin g th e criteri afor

Group s I , II , orm . (b) Busines s Entity—Th e violato r i s a business , corporation , partnoship . S\A
S Coiporation . sol e proprietor , association , o r

ar y typ e o f

commercial entity . A n indivlcfua

l wh o offer s a hazmat shipmen t

I n ai r transportatio n i n th e cours e o

f his/he r self-owne d busines s fall s int o thi s categoty . Indude s al l entitle s define dunde r th e HMR' s definitio n of

"person, " (4 9 CF

R 171.8 ) wit hth e exceptio n of a n inilividua l a s define dherein . (c) Busines s Entity tha t

Regularl y Offers . Accents , o r

Transoort s Hazardou s Material s I nth e Cours e o f it s Business.—

A ixianufacture r

or distributo r

of Hazma t foils into thi s categoiy . A freigh t

forwarde r

woul dals o fal l int o thi s category . Th e aspec t o f "regularly " ofiierJn

g cover s abusines s entit y tha t

offer aHazma t wit hsome antidpate dfiequency o r

purport s to d o so , e.g. . acatalogu e compan y that offers hazaidou s matoia l t o It s customer s wotd dfa U Int o thi s categoty . eve n thoug hit s actua l sal e o r

transportatio n o f th e Hazmat

I s infrequen t

or limited . (d O Busines s Entit y tha t

Uses , Handle s Hazma t i nth e Cours e o f

It s Business— Thi s categoty encompasse s th e btislnes s tha t utUize s Hazma t

i nit s busines s bu t doe s no t offe r I t fo r transportaUo n on a regular basis , a s describe dabove . Fo r example , amanufecturo ' o f anon Hazma t produ dtha t

use s Hazma

t in th e manufacturin g proces s coul d& U Int o thi s cateeorv . I t

mus t b e establishe dtha t 

## xT

) 

## X 

# C J 

# I ; 'Federa l Reglster/Vol . 64 , No . 76/Wednesday , Apri l 21 . 1999/Rule s an dRegulaUon s 1944 9

th e compan y ordinaril y doe s no t ofi^e r h e Hazma t

i t utilize s for

transportation , an dth e sfiipmen t

I n thi s instanc e represent s a

n Isolate dinddent . Thi s typ e of busines s i s hel dt o ahighe r standar dthan th e busines s entit y tha t ha s n o regular

Involvemen t

wit h Hazma t Th e describe dbusines s entit y receive s th e subje dhazardou s materia l i n transportatto n an duse s i t I n it s business ; thus . I t

I s dearl y o n nottc e o f th e hazardou s natur e of

th e materia l an d th e regtdatoty requirement s to whic h th e Hazma t

I s sub)ec t (e ) Declare dShipment—A declare d shipment , fo

r purpose s o

f thi s matri x only , i s on e tha t

compile s wit hon e o r mor e o f th e communlcattv e requirement s o f

th e HMR , i.e. . i t

ha s markings , labels, and/o r

partlaUy
corre dshippin g papers . A packag e tha t ha s shippin g paper s tha t

declar e th e content s a s hazardou s materia l bu t i s otherwis e no t

marke do r

labele dfall s Int o thi s categoiy . Similarly , aproperl y marke dan dlabele dpackag e tha t lack s shippin g paper aals o fall s Int o thi s categoty . A cas e fall s Int o thi s categot y wher e dier e I s clea r

indlcatto n tha t

th e offeror mad e som e attemp t

t o giv e nottc e o f thdhazardou s natur e o f

th e '-^ipmen t ; (f ) Forbidde n o r

Exceed s Quantit y Limit s fo r

Passenge r

Aircraft- A shipmen t fall s int o thi s categoi y i

f th e quantit y o f

Hazma t pe r packag e exceed s di e quantit y limitation s for passenger carryin g aircraf

t o r if th e particular hazardou s materia l i s fotbidde nto ai r transportatto n o n passenge r aircraf t circumven t

thos e requirements. For example , a

n offero r wh o place s a properl y marke dan dlabele dHazma t shipmen t alon g wit hproperl y complete dshippin g papers , int o an overpac k marke da s "printe dmaterial. ' (g ) Forbidde n o n o r

Exceed s Quantity ha s committe da nintentiona l o r Limit s for

Al l Alrcra^ A shipmen t wil l fal l int o thi s cat^ot y If

th e quanttt y of hazardou s materia l pe r

packag e exceed s th e allowabl e amoun t

fo r bod i passenge r an dcai^g o aircraf t o r th e Hazmat

i s absolutel y foibldde n I n ai r transportation . (h) Hazmat—A "hazardou s material. " a s define dI n 4 9 CF

R171.8 . Include s an dI s Interchangeabl e wit hth e tei m "dangerou s goods . " a s use dI nth e Internationa l Clv

U Avlatto n Organizatio n(ICAO) Technica l Instructions . ( 0 Individual—A nindividua l wh o offer s ashipmen t

of hazardou s materia l i n his/he r persona l capadt y withou t an y busines s purpos e o r

a s par t of a conunerda l enterpris e o ndi e par t of th e individual . (1 ) bitoitiona l o r

Deliberat e Vldbtian—A shipmen t

fall s int o thi s categoty whe n ther e i s evidenc e tha t th e offeror , acceptor , ai r

carrier , o r

aircraf t operato r ha dknowledg e o f

th e requirement s of

th e HM Ran dwillfull y circumvente do r

attempte dto RIS KCATEGORIE S [Figur e 2 ] deliberat e vlolatton . I nthi s typ e of case , th e investigatin g agen t

sha U consul t wit hFAA legal counse l an dfbUo w agenqy guidanc e fo r

potential crimina l violation s of

th e HMR . (k ) Undeclare dShipment—Thi s i s a shipmen t tha t ha s n o Indicatio nof

It s hazardou s materia l content s and/o r n o Indlcatto ntha t

th e oB'ero

r communicate dth e hazardou s natur e of th e shipment' s content s to peison s wh o accep t o r transpor t J ( 0 Withi nHazma t

Quantity Limitations—Th e amoun t of hazardou s materia l i s withi n th e quantity limitation s pe r

packag e a s establishe di n di e S 172.10 1 Tabl e (4 9 CF R172.101 ) fo

r th e type o f

aircraf t o nvMc hth e shipmen t traveled.-Po r

example , if

th e shipmen t wa s offere dfo

r transportatto n o n apassenge r

aircraft , th e quantity o f hazaidcni s materia l wa s withi nth e estebllshe dlimi t

fo r transportatio n b y passenge r aircraft . I f

th e shipmen t

wa s bff'ae dfn * transportatio no n acaig o aircraft , th e quantit y llmltetion s fo r carg o aircraf

t apply . Categor y"A " (Maximu m Weight ) Categor y"A " material s ar e material s tha t wtie n release d I n th e oontine s o l a n abcia n ca n potenttaH yhav e a catastrophk : aflect o n a n ak craff s abifit yt o continu e saf e fflgM, resultin g I n a cras h o remergenc ylandin g causin g bijuryo rdeat h to passengar s an d ffightcrsw, as we n a s person s o n th e ground . Clas s 1 Explosives : DMsto n 1.1 , 1.2 , 1.3 . Clas s 2 Comprssse d Gase s A N 2.1,2. 2 wH h Subsidlai yRis k 5. 1 an d A » a s Pi H Ztane s A-D . Clas s 3 RammaU e Lk|idd s P G I , II , an d (PIH) . Qas s 4 Divisio n 4. 1 Flammabl e SoHd s P Q I , 8 i (Matehes) . Divisio n 4. 2 Spontaneousl yCombustibl e Material s P Q I (Pyrophoric) . Divisio n 4. 3 Dangerou s Whe n We t P G L Clas s 5 DMskN i 5. 1 QxMUn g UquM s an d SdM s P G I , II , e.g. , 'Y^iemtea l Oxyge n Generators" . IJivlsto n 5. 2 Otgant e Peroxide s P Q I I (Typ e AB , C , o rD) . Clas s 6 . . DMskx i 6. 1 Poisonou s Uquki s P G I (PIH) . Clas s 7 Carg o Aircraf t Onl yQuanHlle s o n Passenge rAircraft . Clas s 8 I Corrosiv e Materia l Uqu M P G I an d (PlhO . FiMbkkie n Material s (Se e 4 9 CF R 173.2 1 & ICAO Tedurica i InstmcUons) . Foitikfcle n Hazma t liste d I n Dangerou s Good s Tabl e 4 9 CF R 172.101 . Categot y"B " (Moderat e Welgh Q Th e material s liste d I n Categot y"B " ar e mateiial s Iha l ma yno t pos e a n Immediat e threa t t o ttie safet yo f a Hlgh t bu t ca n caus a deal h o rIn jur yt o person s du a t o unintende d release s i n aircraf t caU n areas , an d potentia l damag e t o airoraf t structure s ove ra kxige rperkx i o f tm e du e t o undisooveie d rdease s o n alreraf t stiucluFa l components . 

# 0' \ ^ 

# b

Clas s 1 Clas s 3 Clas s 4 I Clas s 5 C^s s 6 DMsto n 1.4 , ^JS . 1.6 , A l Compatlbllit yGroups . P G II I Flammabl e Liquids . Divisio n 4. 1 Flammabl e Solid s P 6 II , III . Divisio n 4 2 Spontaneousl yCombustibl e Material s P G III . OMsio n 4. 3 Dangerou s Whe n We t P Q II , III . Divisio n 5. 1 QxMlzIn g UquM s o rSolid s P G IN . DiviskN i 5. 2 Organi cPeroxkie s (Typ e E . F , G) . Divisio n 6. 1 Poisonou s UquM s P G 1 . I I (NON-PIH) . DMsto n 6. 2 Infectiou s Sulistances . ^ 

# 4

^ \1945 0 Federa l Register/Vol . 64 , No . 76/Wednesday , Apri l 21 . 1999/Rule s an dRegulaUon s RIS KCATEGORIES—Continue d

[Figur e 2 ] Glas s 7 „ Clas s 8 Radioactiv e Materials . yeUo wlabe l III , yelk wlabe l II , an d whit e labe l L Uqufci a P Q II , II I Solkl s P G 1 , II , HI . Categoi y^' C (Minimu m Weight ) Th e material s Hsted I n Categot y"C " ar e material s tiia t presen t th e leas t amoun t o f risk to ttie transportatto n system . Clas s 2 Clas s 6 Clas s 7 Clas s 9 2J Z Nonflammatrt e Gas . OMsfc m 6. 1 Packin g Grou p li t A l ottie rRA M (LSA . LT D QTY . hislniment s an d Aittdes) . Mtscellaneou s Dangerou s Good s (ORM- 0 an d Consume rCommodity . Note : Thi s guidanc e I s no t Intende d t o raplao e th e experience d Judgmen t to a speda l agen t wh o i s oonvhiced . base d o n ttie evMenc e an d fact s o f a case , tha t ttie tajlure o f a n ai rcanter , shipper , freigh t forwarder , o rpassenge rto fplki westatiHshe d regtdaUon s ha s pose d a ris k to aviaSo n safety . Issue dto Waslilngton . D C o n Apri l 14 , 1999 . Jan e F . Garvey . Admltdstzator . [P RDoc . 99-998 3 File d4-20-99 ; 8:4 5 am ] MUM O CODE491»-1»- M SECURfnE S AN D EXCHANG E COMMISSIO N 1 7 CFRPart s 202 , 240 , 24 2 an d24 9 I - Backgroun d FO RFURTHE

RINFORUATK

N CONTACT : ElizabethKing , Senio r

Speda l Counsel , a t (202) 942-0140 . Constanc e Klgghis . Specia l Counsel , a t

(202 } 942-0059 . an d Kevi n EhrUch . Attorney , a t (202 9 942
- 0778 , Divisio no f

Marke t Regulation , Securitie s an dExchang e Commission . 4S 0 Fift hShee t N.W. . Washhigton . D.C . 20549-1001 . SUPPLEMENTAR

YINFORMATION : [Releas e N a 34-41297 ; Fil e No . S7-12-9B ] RIN3235-AH4 1

. RegulaUo n o f AHematlv a Tradin g Systems : Technica l Annendmen t AGENCY : Securitie s an dExchang e Commission . ACTION : Fina l rule ; technica l amendmen t an drevise dcomplianc e date . SUMMARY

: Th e Securitie s an dExchang e Commissio n I s modifyin g th e compUanc e date s for

Rul e 30 1 (b)(3 ) an d makin g atechnica l chang e t o Rtd e 202.3 . Thes e an dothe r

rule s an drul e amendment s relate t o th e regulatton o f alternativ e tradto g system s an d exchange s an dwer e publishe do n Decembe r

22.199 8 (6 3 PR70844) . Th e effectiv e dat e for

th e othe r rule s an d amendment s publishe di n 6 3 F R7084 4 remain s Apri l 21.1999 . excep t for th e effectiv e dat e for

S§242.301(b)(5)(l)(D ) an d(E ) andS£i242.301(b)(6)(0(D ) an d (E) . whic hremains Apri l 1 . 2000 . DATES : Effectiv e Date : Apri l 21,199 9 fo r amendmen t

to § 202.3 . Complianc e Date : Alternativ e tradin g system s mus t

compl y wit h §242.301(1:4(3 ) wit hrespec t to Uie 5 0 securitie s liste dI n Schedul e A b y Augus t 23.1999 ; wit hrespec t

t o th e >ecuritie s liste do n Schedule s A an dB o y Septembe r

28.1999 ; wit hrespec t

t o th e securitie s liste do n Schedule s A , B an dC b y Apri l 25 . 2000 ; an dwit h respec t t o al l securitie s b y Jun e 20 , O n December 8.1998 . th e Securitte s an dExchang e Commissio n ("Commission" ) adopte dne w rule s an d rul e amendment s t o allo w altemattv e tradin g system s to choos e whethe r t o registe r a s naUcma

l securitte s exchanges , o r to registe r

a s brbker-dealei s an d compl y wit haddlttona l requirement s unde r Regulatto nATS , dependin g o n thei r acttvltle s an dtradin g volume. * Th e effectiv e dat e for

mos t of Uies e ne w rule s an drul e amendment s i s Apr U 21 . 1999 . Th e Commissio nstete dI n th e adoptin g releas e tha t

prio r t o Apri l 21 . 1999 . i t woul dpublis halis t

of thos e securitie s wit hrespe dto whic h alternativ e tradin g system s mus t compl y wit hRul e 30 1 (b)@ ) o n Apr U 21.199 9 an dthos e securitie s wit hrespec t to whic halternativ e tradin g system s mus t compf y wit hRul e 30 1 (b)(3 ) o n Augus t 30.1999 . Rul e 301(b)(3 ) require s an alternativ e tradin g syste mt o provid e t o anationa l securitie s exchang e o r nationa l securitie s assodation . for indusio n i nth e publi c quotetio n system , th e price s an dsize s of It s bes t price dbu y an dsel l orders; , tha t ai e displaye dto mor e tha non e person . I n ead i covere dsecurit y i n whic hth e alternativ e tradin g syste mrepresent s 5 % o r mor e o f th e total tradin g volume. ^

• SecurlUe s Exchang e Ac t Ileleas e No . 49760 (Dec . B . 1998) . 6 3 F

R7084 4 (Dec . 22.1998) . > 1 7 CF R242.30 1 (b)(3) . Fo r

purpose s o

f RegulaUoiu ATS . a"covere dsecuri^ " Include s al l exdiange-llsted , Nasda qM M securiUes . andNasdaq Smal l (^ p securities , olhe r tha n deb t an d n . Dela y of (h e Complianc e Date s for Rul e 301(b)(3 ) On e major

altemattv e tradin g syste m ha s Indicate dtha t

i t wUl b e unabl e t o compl y wit hth e requirement s of Rul e 30 1 (b)(3 ) b y th e origina l complianc e date s withou t

puttin g th e operatto n o f It s syste ma t

seriou s ris k

of failure . Thie operattona l CaUur

e o f amajor altemattv e tradin g syste mcoul dinteifer e wit hth e markete a s awhole . Accordingly , th e Commissio n bdleve s i t

necessaty to adjus t th e complianc e date s fo

r Rul e 301(b)(3 ) a s foUows : Augus t 23.1999 : Complianc e wit h Rul e 30 1 (jo){3

j wit hrespe dto th e 5 0 Nasda qsecuritie s liste do nSchedul e A . atteche dI nth e appendix . Septembe r

28.1999 : Complianc e wit h Rul e 30 1 (b)(3 ) fo

r th e 50 % of

Nasdaq securitte s Uste do nSchedtde s A an dB , atteche dI nth e appendix . Apri l 25.2000 : CompUanc e wit hRul e 301(b)(3 ) for

di e 75 % of

Nasdaq securitte s Uste do n Schedule s A . B . an d C . attache dto th e appendix . Jun e 20 . 2000 : Complianc e withRul e 301(b)(3! ) for

a UNasda qsecuriUes . Schedule s A , B . an dC wer e create d b y rankin g a

Ucovere dsecuritie s trade d o nNasda qb y ttieir

Januat y 199 9 volume , an dtoducUng a n equa l numbe r of sediritte s fro

meac hdedle . Some securitie s tha t

wer e no t trade do n Nasda qi n Januat y 199 9 may commenc e tradin g o n Nasdaqsubsequendy . Alternativ e tradin g system s ma y wai t unt U Jun e 20,20O O t o compl y wid i Rul e - ^ - 30 1 (b) (3 ) wid i respe dt o thes e ( % securittes . A U othe r complianc e date s fo

r th e rule s an drul e amendment s adopte dlas t Decembe r

remain th e same . The Commissio n encourage s thos e alternativ e tradin g system s tha t ar e abl e t o compl y witi i Rul e 30 1 (b)(3 ) o n Apr U 21.199 9 t o d o so . 

# X ^ 

# ^ K
CF R240.11Acl-l(a)(6) : Rul e 300(e) . " CF RU.S . DEPARTMEN TO F TRANSPORTATH . FEDERA L AVIATIO N /ADMINISTRATIO N

HAZARDOU S MATERIAL S


### EI R Number : 2005EA70055 3 Dat e o f Violation : 02/01/200 5 Agent : FERNANDE Z Regulation s Cited : 4 9 CFR , 173.448 , 175.3 , 175.81(a ) Fina l Sanction : $12,00 0 Fina l Date : 12/13/200 5



# C . . ^

Interviewed/Reviewe

dO n Septembe r

11 . 200 7 

### A t Portland . Oregon Specia l Agen t DonaldA . Stige

r 

# ^A4 - FfcNo . 2007NM70015 6 

# If t FA AFor m 1600-32- 1 (9-86 ) FO R OFFICIA L US E ONL Y (Publi cavailabilit yt o ti e determine d unde r5 U.S.C . 552 )U.S . DEPARTMEN TO F TRANSPORTAT K FEDERA L AVIATIO N ADMINISTRATIO N

HAZARDOU S MATERIAL S 

### RECOR D REVIEW : Violatio n Histor yComputerize d Printout s fro mth e Federa l Aviatio n Administratio n (FAA ) Investigation s Systems , maintaine d b yth e Aviatio n Dat a System s Branc h (AFS-620) , Mik e Monrone y Aeronautica l Center , Oklahom a City , Oklahoma . Th e revie wprovide d substantiall ya s follows :

O n Septembe r 11 , 2007 , a revie wo f th e violatio n histor ydat a syste m reveale d 2 3 close d Enforcemen t Investigativ e Report s (EIR's ) pertainin g t o violation s o f th e Hazardou s Material s Regulation s (HMR ) identifiabl e wit h FEDERA L EXPRESS , INC . (FDEA) , withi n th e las t thre e (3 ) year s fro mth e dat e o f thi s curren t enforcemen t case . O f th e 2 3 cases , 1 8 wer e close d administrativel ythroug h issuanc e o f Warnin g Notices/Letter s o f Correction . Th e remainin g cas e wa s close d throug h issuanc e o f a civi l penalt ya s indicated : EI R Number : 2006AL70004 8 Dat e o f Violation : 06/15/200 6 Agent : DIETZ , Jeffer y Regulation s Cited : 4 9 CFR , 171.2(e ) Fina l Sanction : $8,00 0 Fina l Date : 02/08/200 7 EI R Number : 2006CE700000 7 Dat e o f Violation : 10/27/200 5 Agent : SCHAUFLE R Regulation s Cited : 4 9 CFR , 175.30(a)(2 ) Fina l Sanction : $5,00 0 Fina l Date : 09/26/200 6 EI R Number : 2005NM70004 6 Dat e o f Violation : 12/15/200 5 Agent : EICHENBER G Regulation s Cited : 4 9 CFR , 175.3 , 175.30(a)(3) , 178.3(a)(1 ) Fina l Sanction : $3,00 0 Fina l Date : 12/14/200 5 EI R Number : 2005CE70007 9 Dat e o f Violation : 06/23/200 5 Agent : UMLAN D Regulation s Cited : 4 9 CFR , 175.3 , 175.30(a)(2 ) Fina l Sanction : $3,00 0 Fina l Date : 10/24/200 5

Interviewed/Reviewe d O n A t B y 

### Fil e No . 2007NM70015 6 FA AFor m 1600-32- 1 (9^6) FO R OFFICIA L US E ONL Y (Publi cavailabilit yt o b e .^' ' determine d unde r5 U.S.C . S52 ) i; iDescriptio n

I SD- L Shipper s Declaratio n fo rD G - blan k < ^ SD- L Shipper s Declaratio n fo rDG - Do wt o Pfize r ^ SD- L Shipper s Declaratio n fo rD G - Custo m Pa k

t o Milgar d I f Lt rdt d 2007092 7 FA At o Littlejoh n - 2 p p ^ Lt rdt d 2007101 9 Littlejoh n t o FA A- 2 p p ( ^ Tec h Revie wdt d 20080125 , resi n solution , flammabl e

- / Tec h Revie wdt d 20080125 , flammabl e solid , organic , n.o. s ^ Tec h Revie wdt d 20080125 , Isopropy l alcoho l ^ Lr g C B bo xwit h ballp t marking s / l)Sma\ \ C B bo xwit h U N labe l othe rmarking s I j Enforcemen t H

xo f R />Mt l Safet yDat a Shee t ef f 2009012 7 - AC Tec h - 6 p p /3Mt l SafetyDat a Shee t - Glas s Adhesio n Prom o - 8 p p /i f Mt l Safet yDat a Shee t - Do wCornin g - 8 p p O N o exhibi t /6N O exhibi t ( ^ N o exhibi t I'T ^ N O exhibi t /(^N o exhibi t -T^hippin g labe l i n clea renvelop e# Descriptio n R- 1 D

G acceptanc e checklis tScot t A . Mugn o 367 0 Hack s Cfos s Roa

d Telephon e 901.434.958 7 \ Managin g Oifeclo rBuildin g G , 2n d Floo rFa x901.434.977 1 Corporat e SafetyMemphis , T N 38125-880 0 samu0no@fede)(.co m Healt h an d Fir

e Preventio n 

### Expres s Januar y8 , 200 8 Mr . Theodor

e L Wllik e Associat e Administrato r Office o f Hazardou s Material s Standard s Pipelin e an d Hazardou s Material s Safet yAdministratio n Attention : PHH- 1 U.S . Departmen t o f Transportatio n 1200 Ne wJerseyAvenue , S E Building , E 2131 7 Washington , DC 2059 0 RE : Petitio n fo rclas s chang e o f Othe rRegulate d Materlals- D (ORM-D ) Dea rMr . Willke : FedE xExpres s i s th e world' s largest expres s transportatio n compan yan d transports mor e dangerou s good s shipments tha n an yothe rai rcarrier . FedE xExpres s i s recommendin g th e eliminatio n o f th e Departmen t o f Transportatto n (DOT ) 4 9 Cod e of Federa l Regulation s (CFR ) §173.144 clas s Othe r Regulate d Materia!- D (ORM-D ) and , instead have thes e material s assigne d t o clas s 9 i n accordance wit h othe rworl d wid e recognize d regulations . FedE xExpres s contend s th e curren t clas s ORM- D identificatio n pose s a safet yconcer n a s thi s materia l i s inadvertentl yoffere d wit h th e minima l requirements fo rgroun d transportation . Further , eve n whe n properl yprepare d fo rai rtransportatio n i t i s difficul t t o recogniz e fo rinspectio n an d acceptance . Issu e Th e prope rshippin g nam e "consume rcommodity " i s ambiguous . I t doe s no t necessaril yindicat e a n ite m i s regulated . ORM-D s d o no t requir e an yspecificatio n packag e marking , hazar d o rhandlin g labels , U N o rI D number . ORM-D s onl yrequire a shipper' s declaratio n whe n offere d fo rai r transportation . Eve n whe n th e markin g i s offere d i n a labe l for m (smal l blu e square ) i t doe s not communicat e b

yshap e o rcolo ranyhazar d awareness . Whil e shipper

s an d groun d carrier

s of clas s ORM- D ma

yno t hav e an yacceptance problem s theyals o hav e n o inspectio n requirements identifyin g same . Suc h a carrie rcoul d hav e a n entire tracto rtraile r toad of ORM- D freigh t withou t an ymanifest , placardin g o rshippin g pape rrequirements . Th e package s are onl yrequire d t o b e marke d wit h "Consume rCommodit yan d ORM-D " somewher e o n th e oute rpackage . Fro m a practica l standpoint , th e freigh t i s treate d an d transport:e d a s no n hazardous . As yo u know , whe n offere d fo rai rtransportatio n th e word "Air " must be adde d t o th e ORM- D markin g an d a shippin g pape rprovided . Thi s i s a recognitio n proble m fo rai rcarrie rpersonnel . I t i s mor e commo n wher

e a shippe roffer

s a n ORM- D prepare d fo rgroun d transportatio n fo rai rcarriage . Man y shipper s mistakenl ythin k

ther e ar e n o additiona l requirements . Further , shipper s reus e boxe s marke d Consume rCommodity , ORM-D , however , th e contents ma yo rma ynot be regulate d fo rai r transportation . Th e Federa l Aviatio n Administratio n continue s t o hol d ai rcan"ter s an d shipper

s accountabl e fo rth e acceptance an d offerin g o f package s wit h minima l marking s whe n offere d fo rai rtransportation . Thus , thes e difficul t an d challengin g responsibilitie s are left u p t o ai rcarrie rpersonne l t o recogniz e thi s otherwis e unregulate d freigh t befor e placemen t o n a n aircraf t

^ ^ • 

# A /

### Additionally , we ar e bot h awar

e of th e propose d U N recommendatio n concernin g limite d quantitie s an d consume rcommoditie s fo ra uniqu e labe l an d markin g whe n thes e item s are offere d fo rai r transportation . I f adopted , th e proble m an d confiisio n o f clas s ORM- D prepare d an d offere d for groun d transportatio n an d inadvertentl ytransporte d b yair , wil l remain . Recommende d Chang e Handlin g an d loadin g personne l ar e traine d t o loo k

fo rstandardize d hazar

d clas s labels . Wit h al l th e industria l mariting s o n package s toda yi t i s difficul t fo rthe m t o distinguis h a markin g i n a rectangle . FedE xExpres s therefore recommend s requirin g th e universall yrecognize d diamon d shape d hazanc J label , PHMS

Ashoul d hannoniz e Consume rCommoditie s wit h th e tCA O regulation s wtiic h require a clas s 9 label , a n I D 800 0 an d th e prope rshippin g nam e markings . Thi s woul d increas e th e visibility an d ai d i n th e recognitio n o f thes e packages . A s yo u are aware , DO

Tat on e tim e had classe s ORM-A , B , C , D an d E fo rcertai n hazardou s materials . Classe s ORM-A , B . C an d E have bee n eliminate d an d o rreclasse d t o othe rrecognizabl e hammonize

d hazar d classes . We are not awar e o f an yproblem s o rconfusio n since thos e change s were mad e I n th e DO

Tregulations . FedE xExpres s recommend s PHMS Aeliminat e 4 9 CF R 173.144 clas s Othe rRegulate d Material- D (ORM-D ) an d have thes e material s assigne d t o clas s 9 i n accordance wit h othe rwori d wid e recognize d regulations . W e conten d publi csafet ywil l b e enhance d fo rth e carriag e o f thes e Item s b y al l mode s o f transportation . Objectio n t o titis recommendatio n shoul d b e minimal . FedE xExpres s note s tha t freigh t wit h clas s 9 label s hav e routinel ymove d b

ygroun d witiiou t an yconfusio n o r problems . A s a n example , Dr yIc e shipments transpori:e d b yai ran d subsequentl ydelivere d by ground . Note - w e are not recommendin g tha t thes e materials , once reclasse d a s clas s 9 b e furthe r regulate d b

ygroun d tha n theycun-entlyare . FedE xExpres s appreciate s th e opportunit yt o mak

e thi s recommendatio n fo rchang e i n th e regulations. I f yo u shoul d have an yquestion s concernin g thi s recommendatio n o rcomments , pleas e contac t m e o rDavi d Littlejohn , Corporat e Safet yAdvisor , a t (901 ) 434-9567 . Thin k Safety , Ac

t Safely , Be Safe , Scot t A . Mugn o Managin g Directo r Corporat e Safety , Healt h an d Fir e Preventio n FedE xExpres s