U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

In the matter of: 

PROTHERAGEN, INC., d/b/a/ 

ALFACOMPANY 

) 

) 

) FAA DOCKET CP 

) ) z.at Y:- OL\ ow 

) 

________________________ ) 

JUDGE NOT ASSIGNED 

COMPLAINT 

RECEIVED 

JUL -? 2fii4 

HEARING DvGKET 

The Federal Aviation Administration (FAA) hereby files its complaint, under Rule 208 of 

the Rules of Practice in FAA Civil Penalty Actions, 14 CPR§ 13.208, and states the following: 

I. 

Respondent Protheragen, Inc., d/b/a Alfa Chemistry ("Alfa Chemistry") was advised 

through a Amended Final Notice of Proposed Civil Penalty that the FAA proposed to assess a 

civil penalty in the amount of$325,000. On June 30,2014, Respondent submitted a written 

request for a hearing. 

II. 

1. Alfa Chemistry offered shipments of hazardous material for transportation by air, as 

set forth below, without complying with the Department of Transportation Hazardous 

Materials Regulations (HMR) (49 C.P.R. Parts 171 et seq.). 

Undeclared Hazardous Material Shipments 

2. On or about April19, 2013, Alfa Chemistry knowingly offered to FedEx Express 

("FedEx"), an air service, an undeclared shipment for transportation by air ("the April 

19, 2013 shipment"). 

3. The Aprill9, 2013 shipment, which was assigned FedEx Tracking No. 7995 6678 

3410, was offered for transportation in air commerce and delivery via standard 

overnight service to Rafi Dekermendjian, Alfa Aesar, 26 Parkridge Road, Ward Hill, 

Massachusetts 01835. 
14. At all times mentioned herein, the above-described shipments were not accompanied 

by a Shipper's Certification or Declaration for Dangerous Goods. 

15. Alfa Chemistry offered the above-described shipments of hazardous material for 

transportation in commerce when the material was not properly classed and/or 

described as required by the HMR (49 C.F.R. parts 171, et seq.). 

16. Alfa Chemistry offered the above-described shipments of hazardous material for 

transportation without properly describing the material on the shipping paper in the 

manner required by the HMR. 

1 7. Alfa Chemistry offered the above-described shipments of hazardous material for 

transportation when the required hazardous material description on the shipping paper 

did not include the proper identification number prescribed for the material in 

Column (4) ofthe §172.101 table (49 C.F.R. § 172.101). 

18. Alfa Chemistry offered the above-described shipments of hazardous material for 

transportation when the required hazardous material description on the shipping paper 

did not include the proper shipping name prescribed for the material in Column (2) of 

the §172.101 table (49 C.F.R. § 172.101). 

19. Alfa Chemistry offered the above-described shipments of hazardous material for 

transportation when the required hazardous material description on the shipping paper 

did not include the hazard class or division number prescribed for the material, as 

shown in Column (3) of the § 172.101 table (49 C.F.R. § 172.101). 

20. Alfa Chemistry offered the above-described shipments of hazardous material for 

transportation when the total quantity of the material covered by the description did 

not appear before or after, or both before and after, the description required by subpart 

C of the HMR. (49 C.F.R. §§ 172.200 et seq.). 

21. Alfa Chemistry offered the above-described shipments of hazardous material for 

transportation in air commerce without printing the required certification on the 

shipping paper as stated in §172.204(a)(1) or (a)(2) (49 C.F.R. § 172.204(a)(l) or 

(a)(2)). 

22. Alfa Chemistry offered the above-described shipments of hazardous material to an 

aircraft operator for transportation by air and did not provide two copies of the 

required shipper's certification. 

23. Alfa Chemistry offered the May 23,2013 shipment of hazardous material for 

transportation when the package was not marked in a manner required by the HMR. 
24. Alfa Chemistry offered the May 23, 2013 shipment of hazardous material for 

transportation and failed to mark the package with the proper shipping name and 

identification number for the material as shown in the §172.101 Table. 

25. Alfa Chemistry offered the May 23, 2013 shipment of hazardous material for 

transportation when the required markings were not durable, in English and printed 

on or affixed to the surface of the package or on a label, tag or sign. 

26. Alfa Chemistry offered the May 23, 2013 package containing hazardous material for 

transportation by air when the package was not properly labeled as specified in 

Section 172.101 (49 C.P.R.§ 172.101). 

27. Alfa Chemistry offered the above-described packages containing hazardous material 

for transportation by air without making emergency response information 

immediately available for use at all times the hazardous material was present. 

28. Alfa Chemistry offered the May 23, 2013 shipment of hazardous materials for 

transportation by air without properly preparing the shipment. 

29. Alfa Chemistry offered the May 23, 2013 shipment of hazardous material for 

transportation by air and failed to use a package that was so designed, constructed, 

maintained, filled, its contents so limited, and closed, so that under conditions 

normally incident to transportation, there would be no identifiable release of 

hazardous material to the environment. 

30. Alfa Chemistry offered the above-described shipments of hazardous material for 

transportation by air when the shipments contained a material that is "Forbidden" for 

transportation aboard an aircraft as indicated in Column 9b of the§ 172.101 table (49 

C.P.R.§ 172.101). 

Training 

31. Section 171.8 (49 C. F. R. § 171.8) ofthe Department of Transportation Hazardous 

Materials Regulations (HMR) ( 49 C.P.R. parts 171 et seq.) defmes the term 'hazmat 

employer' as a person who uses one or more of its employees in connection with 

transporting hazardous materials or causing hazardous materials to be transported or 

shipped in air commerce. 

32. Section 171.8 (49 C. F. R. § 171.8) of the HMR defmes the term 'hazmat employee' 

as a person employed by a hazmat employer who in the course of employment 

directly affects hazardous materials transportation safety. 

33. The HMR require hazmat employers to ensure that each hazmat employee is trained 

in accordance with the requirements of the HMR and is tested by appropriate means 

on the training subjects covered in section 172.704 (49 C. F. R. § 172.704), and the 
HMR preclude hazmat employees from performing any function subject to the 

requirements of the HMR without first being instructed in the requirements of the 

HMR that apply to that function. 

34. Alfa Chemistry causes hazardous materials to be transported in air commerce and 

Alfa Chemistry uses its employees in connection with that activity. 

3 5. Based upon the findings referenced above, Alfa Chemistry is classified as a hazmat 

employer under the HMR. 

36. Alfa Chemistry employees Alice White, Michelle Brown and Betty Lee performed 

functions subject to the HMR, as they prepared and/or offered shipments of hazardous 

materials for transportation in air commerce, including but not limited to the 

shipments of hazardous materials for transportation in air commerce described above. 

37. At the time they prepared and/or offered the shipments of hazardous materials for 

transportation in air commerce described above, Alice White, Michelle Brown and 

Betty Lee did not have the appropriate training as required by the HMR. 

38. Based on the above, Alfa Chemistry failed to ensure that each of its hazmat 

employees was first trained and tested in accordance with the HMR requirements. 

39. By reason of the foregoing facts and circumstances, Alfa Chemistry violated the 

following Department of Transportation Hazardous Materials Regulations (Title 49, 

Part 171 et seq., Code of Federal Regulations): 

a. Section 171.2(e) (49 C.F.R. § 171.2(e)), in that Alfa Chemistry offered hazardous 

material for transportation in commerce when the material was not properly 

classed, described, packaged, marked, labeled, and in the condition for shipment 

required by the HMR (49 C.F.R. parts 171, et seq.). 

b. Section 172.200(a) (49 C.F.R. §§ 172.200(a)), in that Alfa Chemistry offered 

hazardous material for transportation without properly describing the material on 

the shipping paper in the manner required by the HMR. 

c. Section 172.202(a)(l) (49 C.F.R. § 172.202(a)(l)), in that Alfa Chemistry offered 

hazardous material for transportation when the required hazardous material 

description on the shipping paper did not include the proper identification number 

prescribed for the material in Column (4) of the § 172.101 table (49 C.F.R. § 

172.101). 

d. Section 172.202(a)(2) (49 C.F.R. § 172.202(a)(2)), in that Alfa Chemistry offered 

hazardous material for transportation when the required hazardous material 

description on the shipping paper did not include the proper shipping name 
prescribed for the material in Column (2) of the §172.101 table (49 C.P.R. § 

172.101). 

e. Section 172.202(a)(3) (49 C.P.R.§ 172.202(a)(3)), in that Alfa Chemistry offered 

hazardous material for transportation when the required hazardous material 

description on the shipping paper did not include the hazard class or division 

number prescribed for the material, as shown in Column (3) of the § 172.101 table 

(49 C.P.R.§ 172.101). 

f. Section 172.202(c) (49 C.P.R.§ 172.202(c)), in that Alfa Chemistry offered 

hazardous material for transportation when the total quantity of the material 

covered by the description did not appear before or after, or both before and after, 

the description required by subpart C of the HMR. (49 C.P.R.§§ 172.200 et seg.). 

g. Sections 172.204(a) or (c)(1) (49 C.P.R.§§ 172.204(a) or (c)(1)), in that Alfa 

Chemistry offered hazardous material for transportation in air commerce without 

printing the required certification on the shipping paper as stated in 

§ 172.204(a)(1) or (a)(2)( 49 C.P.R. § 172.204(a)(l) or (a)(2)). 

h. Section 172.204(c)(2) (49 C.P.R.§ 172.204(c)(2)), in that Alfa Chemistry offered 

hazardous material to an aircraft operator for transportation by air and did not 

provide two copies of the required shipper's certification. 

1. Section 172.300(a) ( 49 C.P.R. § 172.300(a)), in that Alfa Chemistry offered 

hazardous material for transportation when the package was not marked in a 

manner required by the HMR. 

J. Section 172.301(a) (49 C.P.R.§ 172.301(a)), in that Alfa Chemistry offered 

hazardous material for transportation and failed to mark the package with the 

proper shipping name and identification number for the material as shown in the 

§172.101 Table. 

k. Section 172.304(a)(l) (49 C.P.R.§ 172.304(a)(1)), in that Alfa Chemistry offered 

hazardous material for transportation when the required markings were not 

durable, in English and printed on or affixed to the surface ofthe package or on a 

label, tag or sign. 

I. Section 172.400(a) (49 C.P.R. § 172.400(a)), in that Alfa Chemistry offered a 

package containing hazardous material for transportation by air when the package 

was not properly labeled as specified in Section 172.101 (49 C.P.R. § 172.101). 

m. Sections 172.600(c)(l) and 172.600(c)(2) (49 C.P.R.§§ 172.600(c)(l) and 

172.600(c)(2)), in that Alfa Chemistry offered packages containing hazardous 

material for transportation by air without making emergency response information 

immediately available for use at all times the hazardous material was present. 
n. Section 172.702(a) (49 C.F.R. § 172.702(a)) in that Alfa Chemistry, as a hazmat 

employer as defined in 49 C.F.R. § 171.8, offered shipments containing hazardous 

material for air transportation and failed to ensure that each of its hazmat 

employees was trained in accordance with the requirements of Subpart H of Part 

172 of the HMR (49 C.F.R. § 172.700 et seg.). 

o. Section 172.702(b)(49 C.F.R. § 172.702(b)) in that Alfa Chemistry, as ahazmat 

employer as defined in 49 C.F.R. § 171.8, offered shipments containing hazardous 

material for air transportation and failed to thoroughly instruct its hazmat 

employees regarding compliance with the applicable requirements of Subpart H of 

Part 172 of the HMR (49 C.F.R. § 172.700 et seg.). 

p. Section 172.702(d) (49 C.F.R. § 172.702(d)) in that Alfa Chemistry, as a hazmat 

employer as defined in 49 C.F.R. § 171.8, offered shipments containing hazardous 

material for air transportation and failed to ensure that each of its hazmat 

employees was tested by appropriate means on the training subjects covered in 

Section 172.704 (49 C. F. R. § 172.704). 

q. Section 172.704(a)(l) (49 C.F.R. § 172.704(a)(l)) in that Alfa Chemistry, as a 

hazmat employer as defined in 49 C.F.R. § 171.8, offered shipments containing 

hazardous materials for air transportation and failed to provide each hazmat 

employee general awareness/familiarization training designed to provide 

familiarity with the requirements of Subpart H of Part 172 of the HMR (49 C.F.R. 

§ 172.700 et seq.), and to enable the employee to recognize and identity hazardous 

materials consistent with hazard communication standards of Subpart H of Part 

172 of the HMR (49 C.F.R. § 172.700 et seq.). 

r. Section 172.704(a)(2) (49 C.F.R. § 172.704(a)(2)) in that Alfa Chemistry, as a 

hazmat employer as defined in 49 C.F .R. § 171.8, offered shipments containing 

hazardous materials for air transportation and failed to provide each hazmat 

employee function-specific training concerning requirements of Subpart H of Part 

172 of the HMR (49 C.F.R. § 172.700 et seg.), or exemptions issued under 

subchapter A, which are specifically applicable to the functions the employee 

performs. 

s. Section 172.704(a)(3) (49 C.F.R. § 172.704(a)(3)) in that Alfa Chemistry, as a 

hazmat employer as defined in 49 C.F .R. § 171.8, offered shipments containing 

hazardous materials for air transportation and failed to provide each hazmat 

employee safety specific training concerning the requirements listed in Section 

172.704 (49 C.F.R. § 172.704). 

t. Section 173.l(b)(49 C.F.R. § 173.l(b)), in that Alfa Chemistry offered a 

shipment of hazardous materials for transportation by air without properly 

preparing the shipment. 
u. Section 173.24(b)(l) (49 C.F.R. § 173.24(b)(l)), in that Alfa Chemistry offered 

hazardous material for transportation by air and failed to use a package that was so 

designed, constructed, maintained, filled, its contents so limited, and closed, so 

that under conditions normally incident to transportation, there would be no 

identifiable release of hazardous materials to the environment. 

v. Section 173.27(b)(2) (49 C.F.R. § 173.27(b)(2)), in that Alfa Chemistry offered 

packages containing a material that is "Forbidden" for transportation aboard an 

aircraft as indicated in Colunrn 9b of the §172.101 table (49 C.F.R. § 172.101). 

III. 

40. Under 49 U.S.C. §5123, respondent is subject to a civil penalty for each of the 

foregoing violations ofthe FAA's regulations. The maximum penalty per violation, as adjusted 

under 14 C.F.R. §13.305, is $75,000. 

41. Under the facts and circumstances of this case, a civil penalty of$325,000 is 

appropriate. 

WHEREFORE, Complainant respectfully requests that the administrative law judge enter 

an order that respondent be assessed a civil penalty in the amount of $325,000. 

Respectfully submitted this 1st day of July, 2014 

CHRISTOPHER PORED A 

Regional Counsel 

By: 

R~:_-=::, 

Atto~ey 

Federal Aviation Administration 

Office of the Regional Counsel 

12 New England Executive Park 

Burlington, MA 01803 

Tel: 781-238-7058 

Fax: 781-238-7055 
CERTIFICATE OF SERVICE 

I certifY that the foregoing complaint has been mailed this date by Certified Mail, Return 

Receipt Requested, to: 

Respondent 

President 

Protheragen, Inc. d/b/a Alfa Chemistry 

1360 Stony Brook Rd. 

Stony Brook, NY 11790 

And 

Hearing Docket 

Federal Aviation Administration (original and one copy) 

800 Independence Avenue, SW 

Attn: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building, Suite 2Wl 000 

Washington, DC 20591 

~~~~ :CHELLEMULL Y;Thlted: Julyl,4 

Paralegal/Management Program Analyst