RECEIVED 

JAN 3 1 2017 

U.S. DEPARTMENT OF TRANSPORTATIO~£ARING. D 

OFFICE OF HEARINGS OCKET 

WASHINGTON, D. C. 

IN THE MATTER OF: DOCKET NO. FAA-2016-4268 

PETER HANTZ COMPANY FAA CASE NO. 2012S0700041 

Respondent Judge Douglas M. Rawald 

MOTION FOR PARTIAL SUMMARY JUDGMENT 

Pursuant to 14 C.F.R. § 13.218(f)(5) and Rule 56(c) of the Federal Rules of Civil 

Procedure, the FAA hereby moves for summary judgment in this matter. No genuine issue of 

material fact exists to be determined, and the FAA is entitled to judgment as a matter oflaw. 

STATEMENT OF THE CASE 

On February 29,2016, the FAA issued a Final Notice of Proposed Civil Penalty against 

Respondent. Respondent timely appealed, and the FAA filed a Complaint. The Complaint 

charged that, on November 2, 2011, Respondent improperly offered an undeclared shipment of 

hazardous materials for transportation by air. The Complaint alleged numerous Hazardous 

Materials Regulations (HMR) violations relating to shipping papers, labeling, marking, 

packaging, training, emergency response information, and release of the hazardous material into 

the environment. The Complaint also alleged that Respondent had not properly trained its 

employees in hazardous materials shipping. The Complaint sought to impose a $77,000 civil 

penalty. Respondent filed an Answer, denying the allegations in the Complaint and disputing 

whether the sanction proposed was appropriate. 

1 
STATEMENT OF THE FACTS 

Respondent admits that, on November 2, 2011, it offered for air transportation to United 

Parcel Service (UPS) a shipment that was assigned UPS tracking nnmber lZ 84 7 624 4684 0410 

for transportation to consignee, Aladdin Beauty College #7, 1101 Melbourne Road, Suite b-5A, 

Hurst, TX 76053. See Exhibit 1, Response to Request for Admission Nos. 1-2; Exhibit 2, Page 

1. Additionally, Respondent admits that the referenced shipment contained the following 

hazardous material: (a) 41 !-ounce plastic containers of Ravi Acrylic Nail Liquid, and (b) 41 

7.5ml glass containers of Star Nail X-Strength Primer. See Exhibit 1, Response to Request for 

Admission Nos. 3-5. Respondent further admits that the referenced shipment did not include (a) 

shipping papers that declared the package to contain a hazardous material, (b) hazardous material 

markings on the outside of the box, or (c) hazardous material labels on the outside of the box. 

See Exhibit 1, Response to Request for Admission Nos. 6-8; see also Exhibit 3. Finally, 

Respondent admits that it did not provide the required emergency response information with the 

shipment and that, on November 2, 2011, it did not have a record of training for each of its 

employees that handled hazardous materials. See Exhibit I, Response to Request for Admission 

Nos. 9-10. During the shipment process, UPS personnel discovered that the shipment was 

leaking. See Exhibit 4, ~ 30 and Part VI on Page 4. Respondent regularly uses or handles 

hazmat in the course of its business, namely Ravi Acrylic Nail Liquid and Star Nail X-Strength 

Primer. See Exhibit 2, Page I. 

ARGUMENT 

Respondent offered an undeclared hazardous material shipment on November 2, 2011, 

that leaked during the shipment process. There is no genuine issue regarding the fact that the 

shipment did not contain the HMR required shipping papers, markings, or labels, and that it was 

2 
not accompanied by emergency response information. It is also undisputed that the shipment 

was not properly packaged, causing the hazardous material leak, and that Respondent failed to 

train its hazardous material employees prior to the shipment in question. 

The sanction in this case was determined in accordance with FAA sanction policy for 

hazardous materials violations, as presented in FAA Order 2150.3B, Appendix C (Exhibit 5). In 

particular, the sanction is driven based on the nature of the shipment (undeclared), the nature of 

Respondent's business (uses or handles hazardous materials in course of business), and the 

nature of the hazardous material (a Category A dangerous good). This satisfies the FAA's 

burden of establishing that the penalty proposed was appropriate. 

I. NO GENUINE ISSUE OF MATERIAL FACT 

The HMR, 49 C.F.R. Parts 171-77, set forth regulations for the transportation of 

hazardous materials, also !mown as dangerous goods. A knowing violation of the HMR can 

support the assessment of a civil penalty. 49 U.S.C. § 5123(a)(l). A person

1 acts knowingly 

when the person has actual lmowledge of the facts giving rise to the violation; or a reasonable 

person acting in the circumstances and exercising reasonable care would have that knowledge. 

49 U.S.C. § 5123(a)(l)(A)-(B). The legislative history of the Hazardous Materials Transportation 

Act indicates that Congress intended civil penalties be imposed on persons who knew about the 

act that constituted a violation, but were unaware of the law. In the Matter of TCI Comoration, 

FAA Order No. 92-77 (1992) at 8-9, n.13 (quoting the following language in the conference 

substitute: "a civil penalty may be imposed only upon proof that the defendant knowingly 

committed the act which constitutes the violation (it is not necessary to show that he knew the 

act constituted a violation) ... (emphasis added)" S. Conf. Rep. No. 1347, 93'd Cong., 2d Sess., 

reprinted in 1974 U.S. Code Cong. & Ad. News, 7669, 7686). It is clear Congress intended to 

1 "Person" includes business entities. See 49 C.F.R. § 171.8. 

3 
prevent persons from relying on ignorance of the law as an excuse in civil hazardous materials 

cases. In the Matter of Smalling, FAA Order No. 94-31 (1994). 

The HMR require that no entity may offer a hazardous material for transportation in 

commerce unless the hazardous material is properly classed, described, packaged, marked, 

labeled, and in condition for shipment as required by the applicable HMR. 49 C.P.R.§ 172.2(e). 

An offeror must include shipping papers with a hazardous material shipment that includes the 

material's (a) identification number, (b) proper shipping name, (c) hazard class, (d) packing 

group, (e) total mass per package, and (f) number and type of package. 49 C.P.R. § 

172.202(a)(l )-(4), (6)-(7). Likewise, the shipping papers must certify that the material was 

offered in accordance with the HMR and, if applicable, that all applicable air transport 

requirements were met. I d. at § 172.204( c )(I )-(3). 

The HMR also require that each hazardous material package be marked and labeled. Id. 

at§§ 172.30l(a), l72.312(a); l72.400(a). Furthermore, an offeror must provide emergency 

response information, including a telephone number. Id. at § 172.604(a)(3), (b). A company 

that ships hazardous materials must ensure that each hazmat employee (see 49 C.P.R. § 171.8) is 

trained as required by the HMR. Id. at §§ 172.702(a); 172.704(a)(1). Finally, a hazardous 

material package must be designed, constructed, maintained, filled, and closed so that under 

conditions normally incident to transportation, there will not be identifiable release of the 

hazardous material. Id. 173.24(b)(1). 

In these matters, the FAA has the burden of showing that the penalty proposed is 

appropriate. In the Matter of National Power Corporation, FAA Order No. 2016-3 at 2 

(September 30, 2016). This burden may be met by reference to the FAA' sanction guidance. Id. 

4 
Determining a hazardous materials sanction, while involving a variety of factors, contains 

two basic steps. See Exhibit 5 at C-4 to C-8; see also National Power Corp. at 12-14. First, the 

"weight" of the case is determined (Minimum, Moderate, or Maximum). This weight will be 

used to determine where in a sanction range the penalty should be located. The range itself is 

determined by the location of the violation on a matrix, based on the nature of the violator and 

the nature of the shipment. 

The weight of a case is determined by looking at a number of factors described on pages 

C-6 to C-8 of Exhibit 5. The first factor is what Category of hazardous material was in the 

shipment, with the three Categories (A, B, C) corresponding to the three weights (Maximum, 

Moderate, Minimum). Exhibit 5 at C-6. Where Category A hazardous materials are involved, a 

Maximum weight is assigned. Id. Therefore, for whatever range is identified in the matrix, a 

penalty in the upper third of that range will be appropriate. See National Power Corp., FAA 

Order 2016-3 at 14 (dividing the penalty ranges in thirds for Minimum/Moderate/Maximum 

penalties). The hazardous materials sanction matrix is identified in Exhibit 5, Page C-12. See 

Exhibit 5, Page C-12. This matrix broadly identifies the appropriate penalty ranges for 

hazardous materials violations, depending on the nature of the Respondent and the nature of the 

violations. Higher penalties are imposed on businesses that regularly transport hazardous 

materials than on business that do not, or on individuals. Higher penalties are imposed for 

shipments that present more striking safety hazards because they are undeclared, or because they 

involve hazardous materials that are not permitted at all on aircraft. For undeclared shipments 

offered by a business entity that uses or handles hazmat in the course of business, the appropriate 

civil penalty is up to $11,000 for each HMR grouping identified in the matrix. See id. 

5 
Here, it is undisputed that Respondent offered for air transport to UPS on November 2, 

2011 a shipment containing hazardous materials. See Exhibit I, Response to Request for 

Admission Nos. 1-5; Exhibit 4. It is also undisputed that the shipment did not include shipping 

papers declaring the shipment, nor hazardous material markings or labels. See Exhibit I, 

Response to Request for Admission Nos. 6-8. Likewise, Respondent did not make emergency 

response information available for use at all times the shipment was in transit and failed to have 

records showing that its hazmat employees were trained per the HMR. See id., Response to 

Request for Admission Nos. 9-10. Accordingly, there are no general issues of material facts, and 

the FAA is entitled to judgment as a matter of law that Respondent violated the HMR as alleged 

in the Complaint. 

With regard to sanction, Acrylic Nail Liquid a Hazard Class 3, Packing Group II 

hazardous material. See 49 C.F.R. § 172.101 table for Ethyl Methacrylate, Stabilized; Exhibit 2, 

Page 16 of 17, Section 14. Therefore, the shipment falls within Category A (maximum weight) 

because it involved a Class 3, Packing Group II hazardous material. See Exhibit 2, Page 16 of 

17, Section 14; Exhibit 5, Page C-17, Fig. C-2. Based on Respondent's admission that it uses 

hazardous materials in the course of business and that this was an undeclared shipment (see 

Exhibit 2, Page I), the violations fall within section C-II on the matrix. See Exhibit 5, Page C12, Fig. C-1. It is undisputed that Respondent violated the HMR related to (a) shipping papers, 

(b) labels, (c) markings, (d) packaging, (e) training, (f) emergency response, and (g) release of 

hazmat into the environment. See Exhibit I, Response to Request for Admission Nos. 6-1 0; 

Exhibit 4, ~ 30 and Part VI on Page 4; Exhibit 5. Accordingly, a maximum civil penalty per 

category ($11,000) was multiplied by seven to calculate the proposed $77,000 civil penalty in 

this case. 

6 
WHEREFORE, the FAA respectfully requests that the Judge grant Summary Judgment and 

affirm the Complaint in its entirety. 

Respectfully submitted this 30th day of January, 2017. 

~ r11Y~---~·· &~anders 

Attorney 

Office of the Chief Counsel 

7 
CERTIFICATE OF SERVICE 

I hereby certify that the foregoing Complainant's Motion for Summary Judgment was sent via 

Federal Express to: 

Federal Aviation Administration 

600 Independence Avenue, S.W. 

Wilbur Wright Building, Suite 2Wl000 

Washington, D.C. 20591 

Attention: Hearing Docket Clerk, AGC-430 

The Honorable Douglas M. Rawald 

Administrative Law Judge 

Office of Hearings, M-20 

U.S. Department of Transportation 

1200 New Jersey Avenue, SE (Ell-310) 

Washington, DC 20590 

facsimile: (202) 366-7536 

Timothy I. McCulloch, Esq. 

Hinshaw & Culbertson LLP 

2375 E. Camelback Rd. 

Suite 750 

Phoenix, AZ 85016 

facsimile: (602) 631-4404 

Attorney 

Office of the Chief Counsel 

Date 

(original and one copy) 

(one copy) 

(one copy) 

8 
U.S. DEPARTMENT OF TRANSPORATION 

OFFICE OF HEARINGS 

FEDERAL AVIATION ADMINISTRATION 

FEDERAL AVIATION ADMINISTRATION 

Complainant, 

vs. 

PETER HANTZ COMPANY, 

Res ondent 

Docket No. FAA-2016-4268 

(Civil Penalty Action) 

FAA Case No. 2012S0700041 

Judge: Ho. Douglas M. Rawald 

RESPONDENT'S RESPONSES FIRST DISCOVERY REQUESTS 

Peter Hantz Company ("Respondent"), by and through its undersigned counsel, 

hereby responds to Complainant's First Discovery Requests, pursuant to 14 C.F.R. § 

13.220 and Fed.R.Civ.P. 26-30, as follows: 

INTERROGATORIES 

I. To the extent not provided in your Rule 26(a) Initial Disclosures served on 

August 3, 2016, please provide the name, address, and telephone number for each person 

who you may call as a witness in this matter. 

ANSWER: None, all have been provided in Respondent's Rule 26(a) Initial 

Disclosure 

2. For each person identified in your Rule 26(a)(l) Initial Disclosures and 

response to Interrogatory I above, please state with specificity the subject matter upon 

which each is expected to testify, summarize the substance of the expected testimony, 

and identifY the source of the person 's knowledge. Government 

Exhibit 

, 
ANSWER: Lucy Cobos. Ms. Cobos is the General Manager of Respondent. 

She is expected to testify regarding the facts supporting its defenses in this case, 

regarding the truth and/or falsity of any facts alleged in the Complaint, and 

regarding all produced documentation and/or information revealed during 

discovery. Ms. Cobbs responded to the FAA Notice and worked with the employees 

of Respondent to correct the issues that led to the FAA Notice. 

3. For each Request for Admission that you deny, provide explain the factual 

basis for the denial. 

ANSWER: N/A 

4. Please identify any and all documents you believe contradict the allegations 

in the Complaint, support your affirmative defenses, or are otherwise relevant to matters 

raised in the Complaint or Answer. 

ANSWER: 1) Certificate of Achievement by Maria Morales, Lion 

Technology Inc.'s Online Training Program: Shipping Limited Quantities and 

Consumer Commodities Online Course 

REQUESTS FOR PRODUCTION 

I. Please produce all documents you relied upon or used in responding the 

Agency's First Set of Interrogatories and/or First Requests for Admission or that support 

those responses. 

ANSWER: None 

2. Please produce all documents you identified m your responses to the 

Agency's First Set oflnterrogatories. 

ANSWER: See Exhibits attached hereto. 

2 
3. Please produce all documents that you may or will offer in support of your 

defense in this matter. 

ANSWER: See response to Request for Production No. 2 above. 

4. If you intend to assert an inability to pay argument, please provide the 

financial documents you will use to support that argument. 

ANSWER: N/A 

REQUESTS FOR ADMISSION 

1. Admit that you offered a shipment to UPS on November 2, 2011 that was 

assigned UPS tracking number lZ 84 7 624 4684 0410 for transportation to consignee, 

Aladdin Beauty College #7, 1101 Melbourne Road, Suite b-5A, Hurst, TX 76053. 

ANSWER: Admit 

2. Admit that the shipment offered to UPS on November 2, 2011 that was 

assigned UPS tracking number 1Z 847 624 4684 0410 was offered for air transportation. 

ANSWER: Admit 

3. Admit that the shipment you offered to UPS on November 2, 2011 that was 

assigned UPS tracking number !Z 847 624 4684 0410 contained forty-one !-ounce 

plastic containers of Ravi Acrylic Nail Liquid. 

ANSWER: Admit 

4. Admit that the shipment you offered to UPS on November 2, 2011 that was 

assigned UPS tracking number lZ 847 624 4684 0410 contained forty-one 7.5ml glass 

containers of Star Nail X-Strength Primer. 

ANSWER: Admit 

3 

23478!38vl 0987776 
5. Admit that Ravi Acrylic Nail Liquid and Star Nail X-Strength Primer are 

classified as hazardous material under the Department of Transportation Hazardous 

Materials Regulations (49 C.F.R. § 172.101.) 

ANSWER: Admit 

6. Admit that the shipment you offered to UPS on November 2, 2011 that 

was assigned UPS tracking number 1Z 847 624 4684 0410 did not include shipping 

papers that declared the package to contain a hazardous material. 

ANSWER: Admit 

7. Admit that the shipment you offered to UPS on November 2, 2011 that 

was assigned UPS tracking number 1Z 847 624 4684 0410 did not include hazardous 

material markings on the outside of the box. 

ANSWER: Admit 

8. Admit that the shipment you offered to UPS on November 2, 2011 that 

was assigned UPS tracking number 1Z 84 7 624 4684 0410 did not include hazardous 

material labels on the outside of the box. 

ANSWER: Admit 

9. Admit that you did not make emergency response information available for 

use all times the shipment you offered to UPS on November 2, 2011 that was assigned 

UPS tracking number IZ 847 624 4684 0410 was in transit. 

ANSWER: Respondent objects to this request because "emergency response 

information" is undefined. To the extent that those terms are meant to be defined 

pursuant to 49 CFR 172.602 concerning information to be provided in a shipment of 

hazardous material, the request is admitted. 

4 
10. Admit that at the time you offered a shipment to UPS on November 2, 2011 

that was assigned UPS tracking number lZ 847 624 4684 0410, you failed to keep a 

proper record of training for each of your hazmat employees in accordance with the 

prescribed requirements as set forth in 49 C.P.R.§ 172.704(d). 

ANSWER: Respondent objects to this request because it lacks foundation, is 

not reasonably tailored to the facts of this case, and seeks information and 

documents that are not relevant or reasonably calculated to lead to the discovery of 

admissible evidence in this matter. Specifically, "proper record" is not defined. 

Moreover, this matter involves the proper labeling and shipment of potentially 

hazardous material. Respondent's training records have no relevancy to the facts of 

this case. Notwithstanding the above, Respondent admits that on November 2, 2011 

it did not have a record of the training for each of its employees that potentially 

handled hazardous material. 

DATED this 14'h day ofNovember, 2016 

HINSHAW & CULBERT. 

5 
CERTIFICATE OF SERVICE 

I hereby certifY that on this date I have sent the foregoing Respondent's Responses 

to First Discovery Requests via UPS Overnight addressed as follows: 

Ryan Landers, Complainant's Counsel 

Enforcement Division, Southern Team 

Federal Aviation Administration, Southern Region 

1701 Columbia Avenue 

College Park, GA 30337 

rvan.landers(wfaa.gov 

Telephone: (404) 305-5200 

Facsimile: ( 404) 305-5223 

Dated: November 14,2016 

i - By: ,_;wl\:_#ifr/J/UJ 

~Trish Hoffinann )/ 

Legal Assistant l../ 

6 
This certificate is awarded to: 

Maria Morales 

For successful completion of Lion Technology's Online Training Program: 

Shipping limited Quantities and Consumer Commodities Onlin

This course is based on the regulations of the United States Department of Transportation, t

International Air Transportation Association, and the International Maritime Organization regardi

safe and legal transportation of materials designated as hazardous. Successful completion inclu

attaining a passing grade on the final proficiency test. 

This training is designed to satisfy the general awareness, security awareness, and function-spe

training requirements of 49 CFR 172.704(a), IATA DGR 1.5, and IMDG Code 1.3.1 for hazm

employees who prepare limited quantity packages, including consumer commodities, for transpo

on 

February 27, 2014 

Training was conducted by Lion Technology Inc., 21 Sunset Inn Rd., Lafayette, NJ 07848 (973-383

0.2 CEUs awarded 

L

TE

w
Feder Aviation Administration 

12/2/2011 

Enclosed you will find the information that was requested 

FAA File No: 201250700041 

If you have any questions please contact me. 

Lucy Cobos 

General Manager 

480-967-6464 ext. 18 

Government 

Exhibit 
1211/2011 

Reference account# 84 7624 

Attn: Director of Sales 

On 11/2/2011 Peter Hantz Company shipped a package going to Hurst, Texas. It had nail 

products in the box which contained Nail Liquid and Primer. We use those items in our kits 

when teaching a class to Cosmetology students. A class was scheduled at the last minute so we 

had to get these kits out and we had miscommunication at the company. The kits were suppose 

to go by LTL truck lines (not UPS trucklines) with our regular shipment, but they forgot to put the 

kits on the pallet so they shipped them UPS 2nd Day Air. They did this so the kits would still 

make the Friday deadline so the students would have them for the class that was on Sunday, 

November 6th and Monday, November 7th. I apologize for not having the box marked as 

"Regulated" or "Hazardous Material". Normally, product is shipped to our schools on pallets 

using other freight companies. 

I (Lucy Cobos) was out of the oftlce and could not be reached so they sent the shipment without 

knowing that this could not be shipped Next Day or 2nd Day Air. I have since spoken to 

everyone in our shipping depatiment on Hazardous Material and shipping policies if I happen to 

be out. We do not ship out any shipments by Air as it is very costly. 

The FAA will advise us if we are not to ship these products even in the small amount without 

having Hazardous labels on them. 

We will follow all the guidelines forward. 

Any questions please contact us at 480-964-6464. 

Thank you 

Lucy Cobos 

General Manager 

480-967-6464 ext. #18 

www. peterhantzco.com 

1840 E University Drive • Tempe, Arizona 85281 • office 480.967.6464 • toll free: 800.999.4247 • fox: 480.967.0777 
United States New Us-er Log-1n ! ~ntact UPS I The UPS Store Search Sd 

My UPS Shipping Tracking Freight Loc.atlons Support UPS Solutions 

Tracking Number l..oCJ··>:< for additional tracking details Other Tracking Options 

Tracking Detail .2rint 

128476240246840410 Updated 12/02/2011 7.15 PM. Eastern Time 

Last Location: Change Delivery)) 

Louisville, KY, United States, Tuesday, 11/22/2011 

Additional Information 

Multiple Packages: 

Shipped/Billed On: 

Type: 

Weight: 

Shipment Progress 

Location 

Louisville, KY, United States 

Louisville, KY, United States 

Louisville, KY, United States 

Fort Worth, TX, United States 

Fort Worth, TX, United States 

DFW Airport, TX, United States 

Louisville, KY, Unlted States 

Phoenix, AZ, United States 

Tempe, AZ, United States 

United States 

Date Local 

Time 

3 

11102/2011 

Package 

22.00 lbs 

Activity 

Request Status Updates>> 

11/2212011 1:47 P.M. A hazardous material irregularity has occurred with the 

shipment UPS will contact the shipper with further 

information. I Delivery rescheduled. 

11/07/2011 1:00 P.M. A hazardous material irregularity has occurred with the 

shipment. UPS will contact the shipper with further 

information. I UPS will contact the sender with details. 

11/04/2011 11:00 A.M. A hazardous material irregularity has occurred with the 

shipment. UPS will contact the shipper with further 

information. I UPS will contact the sender with details. 

11/04/2011 8:38A.M. Out For Delivery 

11/03/2011 9:25P.M. Arrival Scan 

11/03/2011 8:50P.M. Departure Scan 

11/03/2011 6:12P.M. Arrival Scan 

11/03/2011 5:06P.M. Departure Scan 

11/03/2011 11:21 A.M Arrival Scan 

11/0312011 5:10A.M. Departure Scan 

11/0312011 3:00A.M. Arrival Scan 

11102/2011 10:27 P.M. Departure Scan 

11/02/2011 8:56P.M. Origin Scan 

11/02/2011 7:27P.M. Order Processed: Ready for UPS 

Packages in this Sh!pmEmt {Tota! Packages: 3) 

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Copyright© 1994-2011 United Parcel Service of America, Inc. All rights reserved 

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· . ,. 

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' . 
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MAR-16-2000 03:06 PM 

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wa.ter tor at l•-t 15 lllinutea Whilo·.rOI'Il1liOVinq conta:minatad olotl\1ng .and e~oas. call a physiehn. . ' .. ' . 

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:p•u·aon. Cllll .a l)hy!iiieian. · 

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. U:r.~& Vlllntil"tion that. iS~ adequ&te to k111ep airborne cone~ntrationa ~low eXp¢$Ure limits. 

1,1~111 o( nonrli!'Pill!r~inli' and exp;J.olllion•proof l?iquipment may b!il 

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RESPIRATORS 

A NJ:OSa'fMSJtA ·!!.pprov*d air pur·ifying• reapb:atox- with e; orqanic V<~~por cart.::.iclqoa oi:: canhtoar. lilll<llf be p<llrllflissd.bl• un<!01r 

certatn ct~~*ancee where airborne concentrations are exp1111c:'ecod t~·, •wc\1114!d expo111ur .. li•ih. Prot~~~>ation provided by 

a~r ,purHylr\9' reep.l.r•tors is limited. Uue a poG<it:ive p:c-liilillliU:m :lllljlt :~ilitd. raepint.or if tluu:-.. im any potential to:.: an. u~troll111d. ralE~a•u•, oxposurm lavellil area no·t :ltnmm, 

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' 

·.::: !1'<'}f::it~' if!.; .I ..... j:l .... ··-1·..1.1' ' 
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MAR-16-2000 03:07PM 

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8TOAACnJt cc~mxttcm11 . , .. __________ ....,. ____ .. ..;...~ .... -.... ---------------... ..,..--... ---.... ---....... --................ __________ .... __ ......... _ 

stora 

area. 

above 

Keep 

65 <Sag F. Stor111· belo'll lD4 daq F. Stor'a in Well ventillltlld cohtainer tightly cloaad. 

~vo~d freeainv tnat may result in uneven distribution of iriliibitor. · · 

SP~CrA:L P~UTIOMS: Precautions to bill talum in llal,dlin<;J and atori119: Pr~d~ct ·fr&e:!;l!l!l at 61 deqF. To thaw b<d'ore 

dllqt) 

1J:11:in9', cl:t'\ll!la lllh~~d be plllcedl in a wann roo~z~ (at leAst 65 

!or aevar«l days, and _rolled to malt and mi~ oontenta. 

AVOlD LOCAL ovt~-HeATlNG ~bich miqht initiate uncontrollea 

vant 

polymeri~ation. Do not use tla~e o~ live 5team. a~ aura to 

both bu:n11a wh&n &11\ptying. Ob~uarve J.al:>el precautions. 

Clo5e 

Keep a"'ay trom l'!eat, direc::t s1.mU<]ht, "park,., and tlla!lle. 

pour ~ontain .. r otter eaeh uee. Ground eonta~ners when 

flamm~ls 

ins. See 

~i~ 

.E-,53033. J.logulat.ions rel11.ted to .. tor"'Je of shoYld be followed. . . --·-·-----!1---~~-,.l""'!'l""'!'-'"tj _____ .., _____________ ...,..,. ____________ _._ .. ~-- ..... --....... -, ____ ,... _____ ...,. 

... 

'l'I'i'L!I: -. ...... ___ III .... _____________________ UIU!.!:I ~lll:I':XCATlONs .... __ "'!" ____ ,.. _____ .... _,......, _____ .,._.,.._ .......... --... -, .... --·---··--

Acute 1 Ym~ 

chroi;i<J • 'tea 

!'ire • 1!91-llil 

. :k4u11oti vi t)' : Yes 

l':ra•.,ure 1 No . 

_ ... ...;_.,...., ___ w..""' ...... ~.~'Pi..,allll ____ ... _______ ..,._ ..... ____ ,.. _____ .. ..,..,....,.,..., ___ ..,..., .... ..,w...,..,.wa•a.~~~~o _____ ,.~>~~o,... ... 

OTH~R PReCAUTIONS: fer=it air space to uxist inside storage containers. Material stored more than 3 months shoul4 hava inhibitor level Cheoked and m&intained at the original lsvel. · 

Se6 E-53033, Methyl Methacrylate Storage and Handling 

Available 

~ulletin tor details on tnhi~itors and storage stability. trout ,, :E:. I. Du Pont do& Neao1.u:-e & co., Inc., Fabrieata~·~roducts Dept. 
ID 

esschem Inc. MATER I A L SAFETY DATA SHEET 

CHEMICAL NAME: 

PRODUCT NAME: 

TRADE NAME/PRODUCT CODE: 

PRODUCT USE: 

MANUFACTURER: 

ADDRESS: 

24 HR. EMERGENCY TELEPHONE: 

PREPARED BY: 

PHONE: 

PREPARATION/UPDATE DATE: 

PRINT DATE: 

MSDS ID: 

ITEM CHEMICAL NAME 

01 Ethyl Methacrylate Monomer 

02 Trimethylolpropane Trimethacrylate 

03 N ,N-Dimethyl-p-Toluidine 

ACGIH 

Ethyl Methacrylate Monomer Solution 

Regular Acrylic Liquid 

y 401 0001 

Organic Process Chemical 

ESSCHEM INC. 

P 0 BOX 1139 

LINWOOD PA 19061-1139 

CHEMTREC: 1-800-424-9300 

Teri Allen, HEALTH & SAFETY DEI"ARTMENT 

1-610-497-9000, Dur"1ng Business Hours 

6/15/05 

7/19/06 

M25-01 

CAS NUMBER: 

97-63-2 

3290-92-4 

99-97-8 

OSHA 

WT/WT% 

60.0-100.0 

10.0-30.0 

0.0-2.0 

Company 

ITEM TLV-TWA TLV-STEL PEL TWA PEL CEILING Recommendation 

01 NE NE NE NE 100 ppm 

02 NE NE NE NE NE 

03 NE NE NE NE NE 

SKIN 

NE 

NE 

NE 

(I 

Note this material contains an inhibitor (HQ, MEHQ, etc) at <1 %. The type and amount meet product specifications. 

Contact manufacturer for exact concentration and details on inhibitor level maintenance. 

See Section 16 for Abbreviations. 
EMERGENCY OVERVIEW: 

WARNING: 

For MonOmer: 

Physical Hazards: 

Acute Hazards: 

Chronic Hazards: 

Note to Physicians: 

Ingestion: 

Eyes: 

Inhalation: 

Skin: 

I I 

Unstable/Reactive upon depletion of inhibitor. Check 

inhibitor levels periodically. 

,, 

Causes irritation, a burning sensation of the mouth, throat 

and respiratory tract and abdominal pain. 

Eye contact may cause irritation with discomfort, tearing, 

or blurring of vision. 

High concentrations irritant to the respiratory tract and may 

cause dizziness, headache and anesthetic effects. 

May cause skin irritation. Can cause skin sensitization. 

Extensive/prolonged or repeated exposure to this material 

may result in a more severe skin response. Symptoms 

may be delayed. 

None Listed. 

This product contains N,N-Dimethyl-p-Toluidine at a low concentration (Refer to Section 2). While 

complications from this component are not expected, absorption leads to formation of methemoglobin, 

which in sufficient concentration causes cyanosis. Symptoms may include headaches, weakness and 

dizziness, and can be recognized by the blue color of the lips, fingernails, nose and earlobes. Reversion of 

methemoglobin to hemoglobin occurs spontaneously after termination of exposure, moderate degree of 

cyanosis needs to be treated only by supportive measures such as bed rest and oxygen inhalation. 

Thorough cleansing of the entire contaminated area of the body is of utmost importance. If cyanosis is 

severe, intravenous injection of methylene blue, 1-2 mglkg body weight over a 5 minute period as a 1 % 

solution may be of value. If elevated methemoglobin persists after an hour, the treatment may be repeated, 

but the total dose should not exceed 7 mg!kg body weight. Cyanocobalmin (Vitamin B-12), 1 mg 

intramuscularly is reported to speed recovery. Intravenous fluids and blood transfusions may be indicated in 

very severe exposures. 

CARCINOGENICITY: None of the components of this material are listed by 

!ARC, NTP, OSHA, or ACGIH as carcinogens. 

PRIMARY ROUTES OF ENTRY: Inhalation, Skin or Eyes. 

EMERGENCY AND FIRST AID PROCEDURES: 

EYES: If product gets in the eyes, flush with copious amounts of lukewarm water for at 

INGESTION: 

INHALATION: 

SKIN: 

CLOTHING: 

TREATMENT: 

least 15 minutes. If irritation occurs, contact a physician. 

If ingested, do not induce vomiting. If product has been swallowed, drink plenty of 

water or milk IMMEDIATELY. If the patient is vomiting, continue to offer water or 

milk. Never give anything by mouth to an unconscious person. Provide an estimate 

of the time at which the material was ingested and the amount of the substance 

that was swallowed. Get medical attention immediately. 

Remove to fresh air. Seek immediate medical attention. 

If irritation occurs and product is on the skin, rinse thoroughly with lukewarm water, 

followed by a thorough washing of the effected area with soap and water. If 

irritation, redness or swelling persists, contact a physician immediately. 

Remove contaminated clothing, wash thoroughly before reuse. 

Treat symptoms conventionally, after thorough decontamination. 
FLASH POINT: 

FLAMMABLE LIMIT, AIR VOL% LOWER: 

UPPER: 

AUTOIGNITION TEMPERATURE: 

EXTINGUISHER METHOD: 

FIRE AND EXPLOSION HAZARDS: 

SPECIAL FIRE FIGHTING PROCEDURES: 

SENSITIVE TO MECHANICAL IMPACT: 

SENSITIVE TO STATIC DISCHARGE: 

ACCIDENTAL RELEASE: 

19 "C, 67"F 

1.8 

Saturation concentration. 

411 "C, 771 "F 

I~ 

Chemical foam, carbon dioxide, dry chemical, water spray. 

II 

High temperatures, inhibitor depletion, accidental impurities, or 

exposure to radiation or oxidizers may cause spontaneous 

polymerizing reaction generating heat/pressure. Closed containers 

may rupture or explode during a runaway polymerization. Use a 

water spray or fog to reduce or direct vapors. Water may not be 

effective in actually extinguishing a fire involving this product. 

This product is a flammable liquid. When involved in a fire, this 

product may ignite readily and decompose to produce carbon 

oxides. Vapors of this product are heavier than air and may travel 

to a source of ignition and flash back to a leaking or open 

container. Do not enter fire area without proper protection. Fight 

fire from a safe location. Heat/impurities may cause pressure to 

build and/or rupture closed containers, spreading fire, increasing 

risk of burns/injuries. Structural firefighters must wear SCBAs and 

full protective equipment. 

No. 

Yes. 

Before cleaning any spill or leak, individuals involved must wear appropriate Personal Protective 

Equipment (e.g., goggles, gloves). Deny entry to all unprotected individuals. Dike and contain spill 

with inert material (e.g. sand or earth). Use ONLY non-sparking tools for recovery and cleanup. 

Maximize ventilation (open doors and windows) and secure all sources of ignition. Place into 

appropriate closed container(s) for disposal in accordance with local, state and federal regulations. 

Wash all affected areas with plenty of warm water and soap. Remove any contaminated clothing 

and wash thoroughly before reuse. Keep spills and cleaning runoffs out of municipal sewers and 

open bodies of water. 
PRECAUTIONS FOR HANDLING: 

PRECAUTIONS FOR STORAGE: 

INDUSTRIAL HYGIENE PRACTICES: 

VENTILATION: 

RESPIRATORY PROTECTION: 

EYE PROTECTION: 

PROTECTIVE GLOVES: 

OTHER PROTECTIVE EQUIPMENT: 

II 

Use local explosion-proof ventilation with a minimum capture 

velocity of 100ft/min (30 mlmin) at point of material release. Refer 

to Industrial Ventilation: A Manual of Recommended Practice 

published by the American Conference of Governmental Hygienist. 

Observe precautions found on label. 

Store containers in a cool, dry location, away from direct sunlight, 

heat, sparks, flame, other light sources, or sources of intense heat. 

Keep container closed after each use. Ground and bond all 

containers when transferring. Check inhibitor levels 

periodically, add to the bulk material if needed. Maintain at a 

minimum, the original2-inch headspace in the product container. 

Do not blanket or mix with oxygen-free gas as it renders the 

inhibitor ineffective. 

Avoid contact with skin, eyes, clothing, and prolonged contact with 

the product. Use good personal hygiene and housekeeping. After 

use, wash hands and exposed skin with soap and water. Do not 

eat, drink or smoke while handling product. 

Refer to Section 7 regarding the ventilation requirements for 

working with this product. Use explosion-proof local exhaust at 

processing equipment, including buffers, sanders, grinders and 

polishers. High temperature processing equipment should be well 

ventilated. 

A respirator should be worn whenever workplace conditions 

warrant a respirators use. None required if airborne 

concentrations are maintained below the exposure limit l'isted in 

Section 2. If necessary, use only respiratory protection authorized 

per U.S. OSHA's requirement in 29 CFR §1910.134 or other 

appropriate governing standard. 

Depending on the use of this product, splash or safety glasses 

may be worn. If necessary, refer to U.S. OSHA 29 CFR 

§1910.133, or other appropriate governing standard. Ensure that 

an eyewash station, sink or washbasin is available in case of 

exposure to eyes. 

If anticipated that prolonged & repeated skin contact will occur 

during use of this product, wear chemical resistant gloves for 

routine industrial use. If necessary, refer to U.S. OSHA 29 CFR 

§1g10.138, or other appropriate governing standards. 

No special body protection is required under typical circumstances 

of use and handling. If necessary, refer to appropriate governing 

standards. An eyewash station and a safety shower are 

recommended. 
APPEARANCE: 

ODOR: 

pH: 

ODOR THRESHOLD: 

BOILING POINT: 

FREEZING POINT: 

VISCOSITY: 

SPECIFIC GRAVITY (H20=1 ): 

VAPOR PRESSURE: 

PERCENT VOLATILE WIW%: 

VAPOR DENSITY (AIR=1): 

EVAPORATION RATE (BuAc =1): 

SOLUBILITY IN WATER: 

COEFFICIENT OF WATER/OIL DISTRIBUTION: 

r.olorlr'ss liquid. 

Acrid, ester-like. 

NO 

NO 

118 'C, 246 'F 

< -50 'C 

NE 

NE 

20 mm/Hg @ 20 'C, 68 'F 

NE 

3.94 

NE 

0.5% @ 20 'C, 68 'F 

NE 

I~ 

CONDITIONS TO AVOID: Temperatures above 21 'C, 70'F, localized heat sources (example 

drum or band heaters) oxidizing conditions, freezing conditions, 

direct sunlight, ultraviolet radiation, inert gas blanketing. 

INCOMPATIBILITY (MATERIALS TO AVOID): Strong oxidizers, strong reducers, free radical initiators, inert 

gases, oxygen scavengers. Material has strong solvent properties 

and can soften paint and rubber. 

HAZARDOUS DECOMPOSITION PRODUCTS: Oxides of Carbon when burned. 

HAZARDOUS POL YMERIZAT!ON: MAYOCCUR: X WILL NOT OCCUR: 

STABILITY: Unstable/Reactive upon depletion of inhibitor. 

TARGET ORGANS: 

For Ethyl Methacrylate Monomer: None Listed. 

For N,N-Dimethyl-p-Toluidine: Liver, Central Nervous System, Blood and Skin. 

TOXICITY DATA: 

This product has NOT been tested on animals to obtain toxicology data. There is toxicology data for the 

components of the product, which is found in scientific literature. Some of this data is presented below. 

For Ethyl Methacrylate Monomer: 

Dermal Rabbit 

Inhalation Rat 

Intraperitoneal Mouse 

Intraperitoneal Rat 

Oral Rat 

For Trimethylolpropane Trimethacrylate: 

Intraperitoneal Mouse LD50 : 

For N,N-Dimethyl-p-Toluidine: 

Inhalation Rat 

Intraperitoneal Mouse 

LDso: 

LCso: 

LDso: 

LDso: 

LDso: 

2889 mg/kg. 

LCso: 

LDso: 

>10,000 mg/kg. 

8300 ppm/4H. 

1369 mg/kg. 

1223 mglkg. 

13468 mg/kg. 

1,400 mg/m3

/4 h. 

212 mg/kg. 
MUTAGENICITY DATA: 

For Mixture: 

For Trimethylolpropane Trimethacrylate: 

REPRODUCTIVE: 

For Ethyl Methacrylate Monomer: 

AQUATIC TOXICITY: 

IS \I 

None Listed. 

Mouse lymphoma studies indicate that this material may have a 

mutagenic potential. However the Ames assay for mutagenicity 

was negative. Therefore, there is reason to believe that the mouse 

lymphoma assay was a false positive. 

No information available. 

For Monomer: There is no specific data available for this product; however, very large releases of this product may 

be harmful or fatal to overexposed aquatic life. There is ecological data for the components of the 

product, which is found in scientific literature. Some of this data is presented below. 

For Ethyl Methacrylate Monomer: 

Daphnia Magna 

Rainbow Trout 

Algae 

ENVIRONMENTAL FATE: 

For Ethyl Methacrylate Monomer: 

Biodegradation: 

WASTE DISPOSAL METHOD: 

DISPOSAL OF EMPTY CONTAINERS: 

ECso: 

LCso: 

EC50: 

> 66 mg/L/48H. 

100 mg/I/96H. 

>0.70 mg/L/72H. 

Inherently biodegradable 79% in 28 days. 

When discarded it is a hazardous waste by the EPA under RCRA 

with the reportable quantity (RQ) of 1000 pounds (40 CFR Part 

302) for the ethyl methacrylate monomer. After addition of excess 

inhibitor, dispose waste material in accordance with Federal, State, 

and Local regulations. 

Reuse of empty drums or containers is not recommended. 

Employees should be advised of the potential hazards, due to 

residual flammable material, associated with empty containers. 

Dispose of a!! empty containers properly, in accordance with 

Federal, State and Local regulations. 
DOT/UN SHIPPING NAME: 

DOT/UN CLASS: 

NA/UN NUMBER: 

PACKING GROUP: 

LABEL: 

IMDG CLASS: 

EmS: 

CERCLARQ: 

SARA Reporting Requirements: 

SARA Threshold Planning Quantity: 

/(p 

ETHYL METHACRYLATE, STABILIZED, SOLUTION 

3 

UN 2277 

II 

Flammable Liqu'1d 

3 

3-07 

For Ethyl Methacrylate Monomer: 

Yes 

1000 lb. 

There are specific Threshold Planning Quantities for the 

components of this product. 

\I 

TSCA Inventory Status: 

CERCLA Reportable Quantity (RQ): 

The components of this product are listed on the TSCA Inventory. 

Yes 

Other Federal Requirements: 

Other Canadian Regulations: 

State Regulatory Information: 

RISK STATEMENTS: 

SAFETY STATEMENTS: 

This product complies with the appropriate sections of the Food 

and Drug Administration's 21 CFR. 

This product has been classified according to the hazard criteria of 

the CPR and the MSDS contains all of the information required by 

the CPR. The components of th.IS product are listed on the 

DSL/NDSL. None of the components of this product are listed 

on the Priorities Substances List 

This product may contain components that are covered under 

specific state criteria. 

R 11 - Highly Flammable 

R36/37/38- Irritating to eyes, respiratory system and skin. 

R43 :_ May cause sensitization by skin contact 

S3- Keep in a cool place. 

S7- Keep container tightly closed. 

S9- Keep container in a well ventilated place. 

S16- Keep away from sources of ignition- No Smoking. 

S20- When using do not eat or drink. 

S 29- Do not empty ·,nto drains. 

S33- Take precautionary measures against static discharges. 

S37/39- Wear suitable gloves and eye/face protection. 

HAZARDOUS MATERIAL IDENTIFICATION SYSTEM (HMIS) RATING: 

HEALTH: 2 

FLAMMABILITY: 3 

REACTIVITY: 2 

PERSONAL PROTECTIVE EQUIPMENT: Gloves and Safety Glasses or Chemical Splash Goggles. 

NATIONAL FIRE PROTECTION ASSOCIATION (NFPA) HAZARD IDENTIFICATION RATING: 

HEALTH: 2 

FLAMMABILITY: 3 

REACTIVITY: 2 
/'7 

ABBREVIATIONS: 

NA Not Applicable NO Not Determined 

NE Not Established 

ppm parts per million G Gallon 

mg Milligram L Liter 

gm Gram mol Mole 

kg Kilogram ~ Micro 

mm Millimeter p Pi co 

Pa Pascals c cento 

LC Lethal Concentration LD Lethal Dose 

TC Toxic Concentration TO Toxic Dose 

BOD Biological Oxygen Demand COD Chemical Oxygen Demand 

Lo Lowest ThOD Theoretical Oxygen Demand 

TLm Threshold Limit IC Inhibitory Concentration 

DOC Dissolved Organic Carbon 

H Hours M Months 

D Days y Years 

w Weeks 

ACGIH American Conference of Governmental Industrial Hygienist 

CPR Controlled Product's Regulation 

DSL Canadian Domestic Substances List 

NDSL Canadian Non-domestic Substance List 

IARC International Agency for Research for Cancer 

NOEL No Observed Effect Level 

NOAEL No Observed Adverse Effect Level 

OSHA Occupational Safety and Health Administration 

PEL Permissible Exposure Limit 

TLV Threshold Limit Value 

Reviewed By: Barbara Gardocki Health, Safety and Environment 

Reviewed By: Edward Sobolewski Technical Review 

Reviewed By: Susan Sheariss Senior Company Officer 

Control Number: 04-079 

THIS MATERIAL SAFETY DATA SHEET IS PREPARED !N COMPLIANCE WITH FEDERAL REGULATIONS (29 CFR 1910.1200}, THE 

COMMONWEALTH OF PENNSYLVANIA REGULA T/ONS (TITLE 34. CHAPTERS 301-323) AND CANADIAN WHMIS REGULATIONS, ANY 

APPLICABLE STATE AND LOCAL REGULA T/ONS SHOULD BE CONSUL TED. THE ABOVE IN FORMAT/ON MAY BE BASED IN PART ON !NFORMA T!ON PROVIDED BY COMPONENT SUPPLIERS AND IS BELIEVED TO BE CORRECT AS OF THE DATE HEREOF. HOWEVER, 

NO WARRANTY OF MERCHANTABILITY, FITNESS FOR ANY USE, OR ANY OTHER WARRANTY IS EXPRESSED OR IS TO BE IMPLIED 

REGARDING THE ACCURACY OF THESE DATA, THE RESULTS TO BE OBTAINED FROM THE USE OF THE MATERIAL, OR THE 

HAZARDS CONNECTED WITH SUCH USE SINCE THE IN FORMAT/ON CONTAINED HEREIN MAY BE APPLIED UNDER CONDITIONS 

BEYOND OUR CONTROL AND WITH WHICH WE MAY BE UNFAMILIAR, AND SINCE DATA MADE AVAILABLE SUBSEQUENT TO THE 

DATE HEREOF MAY SUGGEST MOD/FICA TION OF THE INFORMATION, WE ASSUME NO RESPONSIBILITY FOR THE RESULT OF ITS 

USE_ THIS INFORMATION AND MATERIAL IS FURNISHED ON THE CONDITION THAT THE PERSON RECEIVING IT SHALL MAKE 

HIS/HER OWN DETERM!NA T/ON AS TO THE SUITABILITY OF THE MATERIAL FOR HIS/HER PARTICULAR PURPOSE AND ON THE 

CONDITION THAT HE/SHE ASSUME THE RISK OF HIS/HER USE THEREOF. 
'-1 

DECLARATION PURSUANT TO 28 U.S C.§l746 

I, Beverly A. Farris. am a Special Agent of the federal Aviation Administration, 

serving at the Louisville Security Field Office. 

Pursuant to my duty as a Special Agent of the Federal Aviation Administration, I 

regularly engage in the investigation of hazardous materials incidents related to aviation. at 

sites which may or may not be directly associated with aviation. such as off-airport cargo 

warehouses. Pursuant to my duty. imposed by law. I observe and report upon the facts I can 

discover during the investigation of hazardous materials incidents. Moreover. also pursuant to 

the authority granted to me by the Administrator of the federal Aviation Administration. I 

make factual findings based upon my investigations of hazardous materials incidents. 

I am required, where possible. to record any and all images related to a hazardous 

materials incident by photographic means. These images present part of the Federal Aviation 

Administration's official record of the hazardous materials incident. During the investigation. 

I recorded images of the hazardous materials incident by means of a digital camera. All such 

photographs represent the visual images of the incident scene as they appeared at the time the 

photographs were taken. Digital images can be altered subsequent to the time of the 

photograph; in view of this, it is the policy of the Federal Aviation Administration that such 

pictures are kept in a secure space. and remain unaltered. I hereby supply the following 

information: 

a. Type of camera and imaging medium: Canon PowerShot A490 Digital Camera 

b. Date and Time the images were taken: I 11911 I @ 2300 hours 

c. Place and inclusive dates of storage of the imaging medium: 11/9/11 stored on a 

CD in the Louisville Security Field Office. 

d. Enforcement Investigative Report (E!R) No. 2012S0700041 

I HEREBY CERTIFY under the penalty of petjury [under the laws of the United States 

of America]' that the foregoing is true and correct and that the visual images taken during the 

investigation leading to, and presented as evidence in EIR No. 2012S0700041 are unaltered 

representations of the subject matter of the investigation at the time the images were taken. 

Dated: November 9. 2011 

'iQOuo, L :_.A )-oAv&J 

FAA Special tgent 

Government 

Exhibit 

3 I Pursuant to 28 uses ~ 1746 this bracketed phrase must be used if this declaration is made OlltS!dC ot the United 

States. its territories, possessions or commonwealths. The phrase is not necessary if the declaration is made within 

the preceding boundaries. 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE OF SECURITY AND HAZARDOUS MATERIALS 

PHOTOGRAPHIC LOG 

Photos 1-12 

Taken by: Special Agent Beverly A Farris 

Date taken: November 9, 2011 

Camera: Canon PowerShot A490 Digital Camera 

Storage: CD in Louisville Hazmat Office 

Interviewed/Reviewed On January 9, 2012 

By Special Agent Beverly A. Farris 

FAA FORM 1600-32-1 (9-86) 

U.S.C. 552) 

IO~P 

At Louisville Security Field Office 

File No. 201280700041 

FOR OFFICIAL USE ONLY 

(Public availability to be determined under 5 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE OF SECURITY AND HAZARDOUS MATERIALS 

tiH' 

Photograph 1 depicts the top of the fiberboard box 3 •... ~. 

I certify that this photograph fairly and accurately depicts the photo described above and 

was taken on November 9, 2011 at 2300 hrs. 

" -i 

I certify that this photograph fairly and accurately depicts the photo described above and 

was taken on November 9, 2011 at 2300 hrs. 

Interviewed/Reviewed On January 9, 2012 

By Special Agent Beverly A. Farris 

u.s.c. 552) 

At Louisville Security Field Office 

File No. 201280700041 

FOR OFFICIAL USE ONLY 

(Public availability to be determined under 5 
u,S, DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE OF SECURITY AND HAZARDOUS MATERIALS ", _ 

i j ,, !_;i,., ',o ;:t_);( i .<·c:; - -~-- ~-- -, >·0- ; -~ -,. 

"~:? 

I certify that this photograph fairly and accurately depicts the photo described above and 

was taken on November 9, 2011 at 2300 hrs. 

I certify that this photograph fairly and accurately depicts the photo described above and 

was taken on November 9, 2011 at 2300 ln"S. 

Interviewed/Reviewed On January 9, 2012 

By Special Agent Beverly A. Farris 

FAA FORM 1600-32-1 (9-86) 

u.s.c. 552) 

At Louisville Security Field Office 

File No. 2012S0700041 

FOR OFFICIAL USE ONLY 

(Public availability to be determined under 5 
u.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE OF SECURITY AND HAZARDOUS MATERIAlB·: J t ___ j 

Photograph 5 depicts side 4 of the fiberboard box 

~ %.:::;," . . . \ < \ 

I certify that this photograph fairly and accurately depicts the photo described above and 

was taken on November 9, 2011 at 2300 hrs. 

I certify that this photograph fairly and accurately depicts the photo described above and 

was taken on November 9, 2011 at 2300 hrs. 

Interviewed/Reviewed On January 9, 2012 

By Special Agent Beverly A. Farris 

FAA FORM 1600-32-1 (9-86) 

u.s.c. 552) 

At Louisville Security Field Office 

File No. 2012S0700041 

FOR OFFICIAL USE ONLY 

(Public availability to be determined under 5 
u.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE OF SECURITY AND HAZARDOUS MATERIA(.$\) 

\.}.:1. 

Photograph 7 depicts the address label on the fiberboard box 3 

22 LBS 

I certify that this photograph fairly and accurately depicts the photo described above and 

was taken on November 9, 2011 at 2300 hrs. 

, I 1'1111 ijj I 

!L I I i 

11~\t Ill 

I cetiify that this photograph fairly and accurately depicts the photo described above and 

was taken on November 9, 2011 at 2300 hrs. 

Interviewed/Reviewed On January 9, 2012 

By Special Agent Beverly A. Farris 

FAA FORM 1600-32·1 (9·86) 

U.S.C. 552) 

At Louisville Security Field Office 

File No. 2012S0700041 

FOR OFFICIAL USE ONLY 

(Public availability to be detennined under 5 
u.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE OF SECURITY AND HAZARDOUS MATERIALpr_.;y 

I certify that this photograph fairly and accurately depicts the photo described above and 

was taken on November 9, 2011 at 2300 hrs. 

I certify that this fairly and accurately depicts the photo described above and 

was taken on November 9, 2011 at 2300 hrs. 

Interviewed/Reviewed On January 9, 2012 

By Special Agent Beverly A. Farris 

FAA FORM 1600-32-1 (9-86) 

U.S. C. 552) 

At Louisville Security Field Office 

File No. 201280700041 

FOR OFFICIAL USE ONLY 

(Public availability to be determined under 5 
J.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE OF SECURITY AND HAZARDOUS MATERIALS. ·< 

and accurately depicts the photo described above and 

was taken on November 9, 2011 at 2300 hrs. 

Photograph 12 depicts one !-ounce container of Nail Liquid and one 7.5-ml container of 

Primer 

I certify that this photograph fairly and accurately depicts the photo described above and 

was taken on November 9, 2011 at 2300 hrs. 

Interviewed/Reviewed On January 9, 2012 

By Special Agent Beverly A. Farris 

FAA FORM 1600-32-1 (9-86) 

U.S.C. 552) 

At Louisville Security Field Office 

File No. 2012S0700041 

FOR OFFICIAL USE ONLY 

{Public availability to be determined under 5 
01/04/2012 15•17 15023597790 CUSTSERV PAGE 01/04 

{ -'· lOP ~' aQ:e I 0 - -'-j __ ,_ .... ,""'''""'"'""'~f.A~ ••<- tJ.S, Department ofTrnmportatlon Hazardous Materials I Form;, r·provol OMB No.l1J7 .. 01139 R~.~(:l'l~h and Spi!ejnl P.-o~r:unfoj 

Admlnl~~:rAtion Incident Report 

Th!: 

Ac<:or.din~to vt!!!d 01\<In 

th~ =~mtr~l 

'rttpenvork 

nW'l'ibo::r 

Retl:n~tlon Ad. of 199$1 no pcr11on~ arc rcqu\r~ to ro~po!HI to-a collection of intormntlon "nlc~N It rll~plny~ a vl i d 0;\18 ~ol'!trol nm:nbcr. 

fui' tli-1~ inf;;~rmnti<Jll llr.Jiillctll;lii iii 2U7-0039. TI1C fillinll ont oftlti:'l i~formatlon if; mnndatnry tl!ld wlll tal(t! S ~i mlrmtc!IJo complete. 

INSTRUCTIONS~ Submit thh report to the Tnform;;tlon Sy~:om~ mlm.1ger, U.S. Oepl\rtmcnt of T!<allriportntion

ofi-Iazardou.~ Mnt~l'i:tlll 81\f~:ty, DHM-63, w.~u:hirtJ;-ton

1 Rt~Cnrch and St~ctiaJ PJ'OJ ;; am" Adminl!itration~ Offli:c 

entry IHlltlbcr being ttamplctccL Co~ic,; 

1 D.C- .20590-000.1. If ~rncc provided fnr nny item hi lnnclf.lqUl\tc, u~l! A ~t!:Jnr:ttl! !dtl!~t (~,paper, ldctl~:ifyin~ tll~ 

b~vc nny qnc~lion~~ yon ean ¢ontnd 

ofthi~ form nnd hlstructlollli can be obt:Uncrl from tbc Office of Ht~~nrdou~ Mn\criaiR Wi!h~itc rtt ht1 p :JIIta.7.ml'lt.dot.llOV. If you 

the Hn7nrdOt!1i Material~ ltlformarion Ccnt'!!:f nt Hl00-HMR..49l.2 (.1·800-467·4922) or online at http://l11 zmnt.dot.Aov_ 

Pi\RT 1- REPOR'r TYPF.. 

1, This iR to t'ClJJ:lrt; lEI A) A h:l?.tlrdl)u:;: mntcdal incident DB) Anundcclflnd !ihipll1ellt with no mlcmc 

D (')A -~jlCCi~~atlon cargnt:J.l'l].; 1,000 P,:<lllons R~i'1fcr con!Rining ;'IM)" M7.nrdaus mat¢rinls that (1) rcccivcri $t1'Uct 1.11:1l dnrnnr.o to t11c ladinr,: 

retention sy.~tcm (!t' d<unnt;e thnl. t\'lquirC$ t'Cp11lr to :1 :>:ysh~m intended to Jli'OI¢I;t the ]a(littP,; rctcntil"'m' Sji~~·IJtn nnd 1 ;: ) dirltt~~l hnve n rcl¢..1:;e, 

2. IT'Idit:!ltc whc!:h~r thl~ ill: IEl An initinl rcJl011. D A RUJ')f)]Cll'l'l~v'tltnl (1'ollow•up) report D Ad J .tionnl1111,9:C~ 

PAR.'T' II· GENER.AL INCliJENT JNF'ORMA'T'lON 

~-

3. Dmc orlt)cidcnt 1110311 I 

4. Time of Incident (u!!C: ~.4-hourtimc); ·12!45 

S. Entcl' Nntlonnl 

---· Rc~tl('rtl~c CcntcJ' R~f,l~tt-t' Nombcr {ifnpplic!lb!l:l): 

6. Jfyou submiltcd RI'CI'C>t1: to nnothct• F~dcml bOT agency, i.mtcrthc aP,:cncy at1~l rcpmt 

7. Loc:1tiot1 of Incident: City: LOUJSV!Lr,..B County: S!Mc; I<Y Zll' Cod1· :in:nown): 4D213 

Street Addtt,'!M/Milc mnrkcr/Ynrdn:un¢/Airport/Body 

- cfWat~r/Rivcr Mile; 911 OI<ADS LANE 

8. Mode ofTI':'InSporlation: lEI Ail' D [-JigllWll)' D Rail 0 Wat.cr 

9. Trnn~portntion Phnse: 1!11 Jn Tran!lit 0 LNidlMg D Unlt;m(ling D 111 Tt<ttlld ~!orngc 

I 0. Cmict'/Rcj~ortcr: Nt~ttlc', UNITED I'AI\CEL SERVICE CO 

Sn-cct: 1100 N IIURSTDOURNE PARKWAV 

C:i(y: LOUISVIlLE Stntc: I<Y 

--;:.IJ Code: 4021.3 

Fedcml DOT I!) NtJmber; 1-l~~.hl:'lt R.<.lgislmlion Number; ----· 

1!, Sllippcr/OfH~I'O~': Nnmc: !J~;tE:R HANTZ CO~ lORENA 

Sti'CCt.~ 1840 E UNIVEI<SJTY DR 

City: TEMPE StQtc· AZ t.l ~ Go(!c~ 85281 77ei0 ----- Wnyhill/Shippit1g Popcr: 1Z8476240Z46840410 r-Ta1.rnnt Rcgislr!ttion Numbct•: 

12. Orig1"n 

------· 

S(rcct: (if ditTcrcnt fl'otn 

~hipper addrc11.~) Ci1y: S1<~t¢; 21>Codc: 

13. nestinntlon: Sl;t:cct I 101 MELBOURNE Rl) SUITE R·SA 

City~ HURST State: TX 7,!. 1

~ 

0Xh:::: 7605l 

14, fll\,pcr SltippinR N!lmc ofHm:arclon,~ Mm~rl~l; ETHYL METHACRYLlC, STABILIZED, ~01.-UTION 

IJ, 'rcclmicnl/Tt't1dc Nnmc: RAVJ NAIL LIQU!L"J 

16. H:l?:."!rdou:; Cln11~/ 3 17, ldct1tlf'icution l/N2217 18. Pnoklng II 19. Qmmlil) 

Division: Nmnbct•: 4 Ouncc!i Group: Rc!cu:;c(; 

(E.g. UN27M, NA 2.020) (ifn]lplicnhlc) (Ir elude Mc1 ~ Llrcmcnt Unit.~) 

20. w~~~ l.ht:! mntcrl.al ::hifrrt¢d n5 niH17JII'dOit$ wn:;tc? D Y" lEI No tfyc.!\ pmvi(lc t11e EPA MnnHi::st Nt1trl.bc:r: _____ , 

21. il:l ibis 11 Toxic by ltihlllntion (Til-l) JtHltcriul? 0Yos iRJ Ntl If yo~, ).ll'OVi(f(l ~1¢ f~n;::nrd 7.on¢: 

-----· 22. Wns the mntorinl shippc::d ~mdcr an 8)(L~ptfon, Approv!ll, Ol' Cnttip~;:t·ont AlJI:hority Cct!lficntc'! 0Ye.!i lEI No 

[fyc:>, provide th~:: bcmpticl!l, Apptovul, orCA numhcr: 

23, Wns thf~ :w l)tidcclnrcrl h~m~rdt1W3 mntcrinls shipment? [BJ Yc~ 0 No 

~ Government e Exhibit 

~ l'tlMn nor 1· .:>o:~LIU.l (01.21)(14) l'ngc 

I '-1 ~ 
01/04/2012 15:17 15023597790 CUSTSERV 

MR'f Ill· PACI<AGJNC INFORMATION 

~--------------------------------------------------~------· 

24, Check Pncknging T)rpc (cf1cch! only one· if JMttl lhnn one, list typ~ ofp::~cl~llginP,, copy Pnt't rn, 1md compl~t!J for cMh ~ypc): 

[8] Non·bnlk 

D Cylindc:J' 

OIBC 

DRAM 

0 C:nr~l'l hmk Moto1' V¢hiclc(\TMV) 0 T11nk Cnr 

0 1\'lrl.!tblc Tnnk tJ Other 

PAGE 02/04 

,R_ Lj 

. ··--<.,~ ·-··~·-

2,5, 

p!lokn'*'ing 

S-:c inlltmc1.ions 

type Ch¢ckcd 

nnd c:nl'cr 

ahi)vc. 

the lli'PI\iprlntc 

Enter 

thilum Clldcs 'li:Jund nt the ~nd nftJ\e ine;tmc!lotJ::;. Be suJ'l:: to t:ntcr the vodc.~ fl'l')fl'l the list thut corrc~p( 

Hlfi,Jrc poims, provide in thJ.q /"l,;t'li"Jnt 

t.lte number of code~ ns nprrtoprint11: ta dc.~erlbc the in'"ld¢nt Enttw th!) most im,)ortnnt lillh1rc point hi line 

in pm1 VI, 

ttl~ to the p<trticulm• 

I !ftltcrc nrc tl"'~ltc thnatwo 

I, WlM Failed: _1 ___ fi 

2. Whnt Fllllcd; 

How Fnil¢d; L_. _o __ L._ 

How Fnilt:d; 

Cot-.~cs nfFn.lturo: 5 

C~l)l!C.!i ofFalJurc: 

3 5 .. --- .. --- ---

4.6!1. Provi(k the packoging idctttilkntion m:td<in~~, ifnvni!alll¢, 

ldcntlficnti()tl Mnrkir~P,:::::: NONE 

(J~xnmpke.~; r A !IY r .4/r 50/92/USA/RB/93/RI., UNJ l H !/YQ493/U~A/M93.19/J 0800/1200, !JOT- JOSA • 1 OOW (RAIL), DOT 406 (l·llGHWA \'), DOT51, !JOT 3·A) 

Single Pllck,l\go or Outer l'nckngiHJl;~ 

P<1~.:knging Type: 

Mfltcrin! 1"1fCon!ltt'Ll,C1.ion~ 

Jhmd Type (Dmms otll>'); 

Box 

0 Rcmovnblc 

ll('lwing-: 

Sinf.'!k: P~l¢l,it~c or Innct Pnckn!~itlg; (ifnny): 

Pack:cglMg Type: 

Mnl'ct'l;ll of Constructio1i: 

/.7. Dc~ct'ibl) the pnckagc cnpncii,Y ttttd the qi.L.'lnlity: 

Single Pnck.Hgc or Ou1.t,.'t l'nckaging: 

Amount Jti f·'nckngc: 

Numb~ ltt Shipnl~!\t: 

Munufncl'lJt~·.r: 

Scrinl N;1mbcr: 

Sholl Thic.kncfls: 

J-lCD(l T1tieknc.~!l: 

lfvnlvc M device failr;d; 

Type: 

Single Package ('lt Inner Pnck;ttdng (if i'l1iy); 

65 l'oundM 

Mrwunt in Pnckngc: 

Numl1m' in Shipment: 

Number f\lilcd: 

SO[)NO PACKAGINQ 

Lust TCllt Onto: 

~~ 

~~·~ 

4 

------

I 

------

-----------------(lfTnnk Cnr, CTMV, Ptlrtnbl~ nnl~, orCylirtd~r) 

--------------(If Tank Ct\r, CJMV, P(ll1nblc T.!ok) 

---------------(TfTnnk Car, CTMV, Portnhl~ Tnnk) 

-------------(lfTnnkCOt\CTMV) 

-------------(lfC:ylindcr) 

Milll.llfnctm'Ct; 

29, II' the paok;tging iB f('!l' RHdionc!.iv(: Mut"crialll, co:nt;1et·c tho following: 

0 Ty~o A 0 lypcR 0 Typi:\C 0 Fxc~ptcd 1:1 

Pflcknp;ing Cortific<'l1ion: D scrrccrtificd D U.::l, Cctiificntion C(lrtificalion Numhct, 

Nttclidc(,~) J.''rcBcnt: Tmn:!lport fndc){~ 

Activity: 

-·----- Ct·itic,11 Snfcty Index: 

-· 

lndus!ri11l 

·r 
01/04/2012 15:17 15023597790 CUSTSERV PAGE 03/04 

f'P_A_R~'I'_Iv_"_cC~O-~~SE.::_•Qo_U_E_c_Nc:Cc:ES_' 

------------------~1~' r~· 1'~~~,~·t~· .i.~/~1~f~tr;·':;;____ 2 ,' ~ ·f 

-----------------------"/L_ _____ ._d · 

I I 

... '1 ... ~ ,, 

30. !t<:!illlt of lncid~nl (cll<;:Ck all th~t tipp1y): [RJ Sr,lllngc 0 Fire 

0 VnpM (Gall) f)i~pct·simt 

31, Emcrgcn¢y R.c~t)N!sc: Th~; Jbl111wittg cntitic!'\ r~spondcd lo the tm::idcJtj·.; (CIJeck nlf thul npp!y) 

0 Fire/EMS tl.cpot111 0 Poli~.;t:: Rcp'pttl! 

32. Dam:Jgc::;: W\1.1 the t.o1<1l dama~c coR'! mot¢ tb~.n $500? 

If y~s. enter lhc follt"lwlng hrtbt-rrmtinn~ J ftl.o, go trr q\t~;stion 3.l 

D E:xplosioJJ 

D Envimntttcntal Dumage 

fl1l No 

D lvfatcrinl r; 1 creel W;~torw-ay/Stonn Sewer 

0 '>Jo Rclca!': : · 

[EJ ln-hou.sc ( :1 ~tlup 0 Other Clonnup 

t<.cn ~. diaHon/Cic:lfiUP CMt; 

() 0 $ ___ ~o ____ __ $ ---""------- 0 

3 3~, Did li11:. har:ru<knr:; mnte.t•inl cnU!':C! <1r C{lntrihlliC to 11 hun1<1n filtalily'! DYes [g) No 

lfyc.~, ~ntcr lhL: numl1ct• of fit1'Dlitlt::l' rCRu!tin~ !Tom tl1c h;l~nrdou~ matcr!nt: 

Patalitlc~; 0 Rc~])OI\dcrs 0 0 ~ncml Pt1~ ! c _ __,o~. __ _ 

~3b. Wer-e there hU1nrtn f-aMlitics tJ1~1 did not l'CSH!t from tll¢ hnzard¢tl.i mnt~rial? Ovcs [E) No ff'ycs, how t;um: ,. ' _.:;.0 ___ _ 

3•!, IJid tll~ hnzard011s mntcr·i;,l cnusc or contriblll~ to person;\ I injury? 0 Yea !l!] No 

If yes, enter• lh{': nun'lh~:.r of inj11dc~ rc~ult.illt~ from the lnrr.nn:lou::; matcl'lt~l: 

!-Jo~pi1illl7.cd (Admitted only)~ 0 Rc!l]'J(Hld~"f~ 0 01mcnJI Pub 1: _ __,o ___ _ 

Nl'ln~l-lospilnllzcd: F.ltlployeeR 0 Rc~p~mclcrs 0 

(e.g.: On site lln;t aid or 8mei'SOtJc,:y RDI'llll ol1~crvntion ntid rclcn~~) 

3.t Did the ltm·..nrdllUS mntcrial t::nt.li!C t'lt ¢t1ntributc t(l;m cvncu~l.iun? ii:11No 

Jfyc~, f.!TOVic\C tiW rb!lowlng infOMii!\tiOn: 

Totlll i'I(Unbcl' ofgcnCI'I"'l public ~Vl\CLnltcd 0 Tabl ~1umh~rllfcmplny¢CS cvncuntecl __ o _____ Totnll!vactlf\11 t _ _.0:,_ __ 

Oumtim1 ('If tho CV<lCua!lon _;O:;:.O;oOc_____ (!tom~) 

3(l, Wa!> nrt;n.Jor 1rnttspmt11tion ar(cly or Jilcllity closed'/ 

:37, Wu:.; d1c mi1tcrlnl involved hi n orn~h or dcrnilmcJH.? 

Jfyl)::~, provide the followinp, lt'l'fonnat:iO!l: Estimated ~pccd(ltiph): ..o_ __ _ 

Vq_hJdc IW¢rtum? 

Vchid~.: left l"('l!ldwny/tmck? 

WcnthcrcMd1lionl'l; 

0 y" 

0 Yes 

If yes, }lOW rnnny' _;Oc_.O;oO:__ __ (haul'S) 

---

l"ART V- AIR fNCJI)ENT tNFOR.MATTON (pJc~t.~c rcf<:r to §175.3110 report a dls<:rcp;:UlC.Y for :t!r ~.bipmcni:s) 

OYeR @No 

0 Cnrgo 

39. Whctc. did the lncidcti( ocelli' (ifunkrwwn, check the ll!JJWOJltlnto bt'l;\; fol' !.he location whcro the lticidcnt Wfl:t dlacovc1'1,)d)? 

fEJ Airolwricrcnrgo facility 

0 By RlJd;Jc:c ta/fr<,m airt)l)rt 

0 Sm1 ccntct 

0 During f11ght 

40. Whut phnse(s) hnd tftc Rhipr'licnt nltt:ndy undcJ•_gonc priM((! the incident? (Check: nil that" npp!y) 

D Shipme11t hnd n('lt been tmnspmtcd LEJ Tl"llt)$poltQd by l'llr (flnt 11lght) 

~ lnltifll tl"iitlaflCJit by hlghwf!y tt' cnre;o foc{[lty 0 Trnmfcr nt sort ccnh:rlcEJrp.(l ·fudhly 

D BElB!I"J:;tC 111'0;1 

0 Dm·it~g Joatlittg/tmlrlf!ding of1 u :ernft 

I -="""'"""""""""""',.,------------=.,--.-------·------· --··-- - r;tlnn UUT r• 5R0(J, l (0 1·20I.l'f) 'll~ll :1 
01/04/2012 15:17 15023597790 

PAR'f VI" OW.SCRJJTl'IONOli' EVENtS & PACKAGE Ji'AILURE 

CUSTSERV 

101'' 

I 

PAGE 04/04 

'':_•;_:_'! 

<tt~,c'"' ..... ':1 - of '-{ 

cr:t~l~ii, 

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1. Background. 

Appendix C. Sanction Guidance 

Hazardous Materials Enforcement 

2150.38 

a. Legislation. Congress determined that the unregulated transportation of hazardous 

materials constitutes a threat to public safety in all forms of transportation. Congress addressed 

that threat in 1974 by enacting the Hazardous Materials Transportation Act (HMTA). By 1990, 

Congress determined that effective enforcement of the HMTA required more severe action, and 

enacted the Hazardous Materials Transportation Uniform Safety Act of 1990, Public Law No. 

101-615, 1990 U.S. Code Congress. & Admin. News 104 Stat. 4605. The primary effect of this 

1990 revision of the HMTA was to raise the maximum civil penalty for violation of any 

regulation enacted under the HMT A to $25,000, and, for the first time, to require a $250 

minimum penalty for any such violation. The HMTA was recodified in 1994 and is now referred 

to as the "Federal hazardous material transportation law," 1994 U.S. Code Congress. & Admin. 

News 108 Stat. 759, codified at49 U.S.C. §§ 5101-5127. In the 1994 recodification, Congress 

specifically stated that the recodification created no substantive change to the earlier form of the 

statute. In 2005, the Congress enacted and the President signed the Safe, Accountable, Flexible, 

Efficient Transportation Equity Act: A Legacy for Users (SAFETEA- LU), Public Law 109-59, 

August 10, 2005. That legislation, among other things, modified the limitations on civil 

penalties that may be assessed for violations of the hazardous materials statute and regulations. 

b. Civil Penalties. The Federal Civil Penalties Inflation Adjustment Act of 1990,28 U.S.C. 

§ 2461 (note), as amended by the Debt Collection Improvement Act of 1996, Public Law 

104-134, April26, 1996, provides a mechanism for adjustments for monetary civil penalties for 

inflation in order to maintain the deterrent effect of monetary civil penalties and promote 

compliance with the law. Under the statute, the adjusted civil penalty maximums cannot be 

applied unless they are implemented by regulation. The adjusted civil penalties are listed in part 

13 of Title 14 of the CFR, subpart H. 

Pursuant to SAFETEA- LU, the maximum civil penalty that may be assessed for a violation 

of the Federal hazardous material law or a hazardous material regulation is now $50,000; the 

minimum civil penalty is now $250. There are two exceptions to those limits. A maximum civil 

penalty of $100,000 may be assessed if the violation results in death, serious illness, or severe 

injury to any person, or substantial destruction of property. The minimum civil penalty that may 

be assessed for a training violation is $450. 

c. Enforcement Responsibility. Within the Department of Transportation, the Pipeline & 

Hazardous Materials Safety Programs Administration (PHMSA), created by the Norman Y. 

Mineta Research and Special Programs Improvement Act in 2004, adopts the Hazardous 

Materials Regulations (HMR), which govern the transportation of hazardous materials (hazmat). 

The FAA, under delegated authority, enforces the Federal hazardous material transportation law 

and the HMR, with particular emphasis on shipment ofhazmat by air. 49 C.F.R. § 1.47G). 

C-1 

Government 

Exhibit 
10/01/07 2150.38 

d. Violation of the HMRs. The HMR set forth regulations for the transportation of hazmat. 

A knowing violation of the statute or of the HMR can support the assessment of a civil penalty 

between $250 and $100,000. A person acts knowingly when the person has actual knowledge of 

the facts giving rise to the violation; or a reasonable person acting in the circumstances and 

exercising reasonable care would have that knowledge. 49 U.S. C.§ 5123(a)(l)(A). The civil 

penalties authorized under the statute apply to each violation of any regulation set forth in the 

HMR; they also apply to the violation of an order, special permit, or approval issued by the 

Department. Moreover, under the statute, each continuing violation of the HMR can constitute a 

separate violation for each day a violation continues. In section 5124 of the statute, Congress 

prescribed criminal penalties for a willful violation of the Federal hazardous material 

transportation law or the HMR; willful violations require evidence of both knowledge of the 

laws and regulations and intent to violate them. 

e. Investigative and Enforcement Procedures. Part 13 of the Federal Aviation 

Regulations- Investigative and Enforcement Procedures (14 C.F.R. part 13) governs the 

procedures applicable to enforcement of the HMR by the FAA. Hazmat violations occurring on 

or after August 2, 1990, may be dismissed by an administrative law judge (ALJ) if a notice of 

proposed civil penalty has not been issued within 2 years of the violation, unless good cause for 

delay has been shown. 14 C.F.R. § 13.208(d). 

2. Consideration of Statutory Criteria. As a general matter, a sanction should be imposed 

that is sufficiently deterrent but not excessive, in order to comply with the underlying purposes 

of the Federal hazardous material transportation law and HMR. In determining the sanction to 

be assessed, penalty criteria set forth in 49 U.S.C. § 5123 must be considered. These criteria are 

the nature, circumstances, extent, and gravity of the violation; the degree of culpability of the 

violator; the history of past violations (if any); the ability to pay; the effect on the ability to 

continue to do business; and other matters as justice requires. Some of these considerations 

already are factored to some extent into the categories in the Hazardous Material Sanction 

Guidance Matrix. The statutory factors are further considered under the weighting analysis that 

is performed to indicate the amount of the civil penalty within the appropriate range, i.e., at the 

minimum, moderate, or maximum portion of the sanction range. The Matrix recognizes that an 

even higher penalty could be warranted for a significantly aggravated case, consistent with the 

increased maximum penalty of $50,000 imposed by SAFETEA-LU. In addition, the Matrix 

reflects the potential $100,000 penalty, also imposed by SAFETEA-LU, for a violation that 

results in death, serious illness, or severe injury to any person, or substantial destruction of 

property. 

3. Consistency of Penalty Sanctions. The Hazardous Materials Sanction Guidance is designed 

to promote better consistency so that similar penalties are imposed in similar cases. The 

specified Matrix ranges (e.g., $250-$550, or $15,000-$32,500) are intended to reflect the nature, 

circumstances, extent, and gravity of the case as compared with other types of cases. Each case, 

however, must be evaluated on its own facts. A sanction may differ from the specified Matrix 

ranges when the facts and circumstances of a case support either a greater or lesser penalty. 

When a special agent believes that a penalty should exceed the specified Matrix ranges, the agent 

should consult with legal counsel before further processing of the Enforcement Investigative 

Report (EIR). This consultation is not necessary in the case of a recommended penalty that is 

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10/01/07 2150.38 

less than that provided in the Matrix. In either situation, the basis for the decision to go outside 

the ranges should be explained in detail. 

4. Part 175 Violations. Violations of part 175 of the HMR, which establish particular 

requirements for air carriers and other aircraft operators, are contained in a separate matrix. 

However, such operators often offer hazardous materials for air transportation, as well as accept 

and transport them. For this reason, such operators may be liable for violations both as a 

business entity within the Hazardous Materials Sanction Guidance Matrix, as well as for specific 

air carrier violations. 

5. Violation Committed by Small Business Entity. To meet statistics-gathering requirements, 

the investigating special agent must determine whether the alleged violator qualifies as a small 

business concern under the Small Business Regulatory Enforcement Fairness Act of 1996 

(SBREF A). For an extensive discussion of how to make that determination, see Part OneAbbreviations and Definitions, in Appendix B of this order. If investigating special agents are 

unable to obtain independently information to determine whether an alleged violator is a small 

business concern, they request such information in the letter of investigation. See sample letter 

of investigation in Figure A-1 of Appendix A. Because violations of Title 49 of the U.S. Code 

and the HMR may be committed by entities in addition to those normally regulated by the FAA, 

the investigating agent may need to refer to the SBA's complete table of size standards to find 

the correct size limit for an alleged violator. 

a. Enforcement Policy under SBREFA. Chapter 7, Paragraph 10, of this order generally 

outlines the FAA's enforcement policy under SBREFA. In determining whether and how to 

provide for the reduction or waiver of civil penalties for statutory or regulatory violations by 

small entities, the FAA's policy may contain certain conditions. Those conditions may allow for 

excluding from such a reduction or waiver: a small entity that has been subject to multiple 

enforcement actions by the agency, a violation involving willful or criminal conduct, a violation 

that results when there has not been a good faith attempt to comply with the requirements, and a 

violation that poses a serious health, safety or environmental threat. With respect to air carriers 

and other aircraft operators, the FAA takes into consideration company size in determining the 

appropriate amount of civil penalty. See the Matrix, Figure C-1, below. 

b. Information Sheet for Complaints by Small Business Concerns. Each FAA employee 

who conducts an inspection of a small business concern that is regulated by the FAA provides 

the small business concern with an information sheet. The information sheet informs that entity 

that it may submit complaints or comments regarding unfair FAA regulatory enforcement to the 

National Ombudsman. FAA special agents may obtain a copy of the information sheet for 

hazardous materials inspections and additional guidance for distributing it from the ASH 

regional offices. 

c. Reduction or Waiver of Penalty. The FAA does not reduce or waive the penalty of an 

alleged violator solely because it is a small business entity. This is because a violation of the 

hazmat statutes or HMR typically poses a serious health, safety, or environmental threat (and 

may involve one of the other reasons for exclusion). Accordingly, the FAA will usually reduce 

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10/01/07 2150.38 

or waive a penalty only if the small business entity provides evidence to demonstrate its inability 

to pay or that the proposed penalty would prevent the entity from continuing in business. 

d. Enforcement Actions Other than Civil Penalties. The FAA may, in limited 

circumstances, announce policies to provide for hazmat enforcement actions less onerous than 

civil penalties, that is, administrative actions. Such policies may apply to small business entities 

or to others, and will be announced as Compliance and Enforcement Bulletins in this order. 

6. Use of the Sanction Guidance. This guidance provides agency personnel with a systematic 

way to evaluate a case and arrive at an appropriate penalty, considering all the relevant statutory 

criteria including mitigating and aggravating circumstances, if any. Statutory considerations 

have been factored into the various ranges within the Sanction Guidance Matrix. Determination 

of where a sanction lies within these ranges is aided by a series of weighting questions that probe 

the various aggravating and mitigating factors that may exist in a case. 

a. Weight Analysis. First, the weighting analysis is performed. Agency personnel respond 

to a series of questions to determine the aggregate weight of the case. The aggregate weight of 

the case helps determine the sanction amount for each violation group within the established 

ranges of the Matrix. 

b. Determination of Sanction. It is important to note that determination of where the 

sanction lies within the Matrix is not the result of a mathematical computation. Evaluation of the 

case is based on the totality of the facts and circumstances. Generally, if the answer to a 

particular question represents a more significant aspect of a case, greater consideration should be 

given to that answer. For example, violations involving an extremely dangerous substance, even 

in minute quantities, might warrant a penalty at the maximum end of the range or even a penalty 

exceeding the Matrix ranges (if not already at the statutory maximum). 

c. Determination of Category. Under the Sanction Guidance Matrix, agency personnel 

determine the category of violator the person falls within (jar example, business entity that 

regularly offers, accepts, or transports hazmat) and the offense category (jar example, undeclared 

shipment within hazmat quantity limitations). The sanction ranges under the various violator 

categories take into account the relative culpability of the violator. Similarly, the offense 

categories address the nature, circumstances, and gravity of the particular offense. After 

determining the appropriate categories and intersecting box of the Matrix, agency personnel then 

determine which subcategories of offenses (jar example, shipping papers) are alleged to have 

been violated. Based on the weighting analysis performed in subparagraphs 8.a.-e., an 

appropriate penalty is assigned for each of the applicable violation groups. The penalty amount 

for each relevant violation group is added together to reach the recommended sanction. 

d. Other Relevant Sanction Factors. Under subparagraph 8.g., the special agent then 

considers other relevant factors, including evidence of corrective action. A recommended 

sanction may be reduced prior to the issuance of a notice of proposed civil penalty when there is 

adequate reliable information concerning the corrective actions taken by a respondent. 

Corrective actions that justify reduction of the recommended penalty must exceed the minimum 

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10/01/07 2150.38 

legal requirements. The special agent also attempts to provide information concerning the 

alleged violator's size, financial condition, and ability to pay a recommended sanction. 

7. FAA Legal Counsel Review. When an EIR is forwarded to legal counsel for enforcement 

action, counsel will give appropriate consideration to the recommended sanction. FAA legal 

counsel will also review the factors, analysis, and determinations under the Hazardous Materials 

Sanction Guidance. The basis for deviating from the recommended sanction, if any, should be 

explained to, and discussed with, the investigating special agent. Final determination of the 

sanction amount proposed in the notice of proposed civil penalty is ordinarily a product of joint 

decisionmaking and approval of the investigating agent and the legal office. 

8. Federal Aviation Administration Hazardous Materials Sanction Guidance. This 

Sanction Guidance is divided into three sections: case analysis; utilization of the Sanction 

Guidance Matrix (Matrix); and consideration of other statutory factors. The Sanction Guidance 

Matrix is contained in Figure C-1 and the Risk Categories are contained in Figure C-2. 

a. Case Analysis (Evaluation of Statutory Assessment Factors). 

(I) This section contains a series of questions to assist a special agent in evaluating a 

case and reconnnending a sanction. It also assists an attorney in evaluating a case file prior to 

initiation, and after additional information is received in response to a notice of proposed civil 

penalty. The questions review factors involving the nature, circumstances, extent and gravity of 

the violation, the violator's degree of culpability, and the violator's history of prior violations. 

Some of these factors are already considered to some extent within the various categories of the 

Sanction Guidance Matrix. The questions in this section provide additional consideration of the 

statutory factors and examine the existence of aggravating and mitigating factors in a case. 

(2) The agent answers each question in Section I and determines if a relative weight of 

minimum, moderate, or maximum should be assigned based on the response to the question. 

With the exception of Question (l)(a), not all questions will necessarily apply to a given fact 

situation. Question (I)(a) addresses the nature of the hazardous material(s) involved, and the 

evidence will indicate the risk category and, therefore, the weight. The aggravating or mitigating 

factors addressed in the other questions only apply to the case when the question receives a yes 

response. Questions receiving a no response do not affect the weighting of the case and are not 

considered. For example, that the violation did not result in injury or damage is not a mitigating 

factor, and should not result in penalty mitigation. In many instances, the answers to most or all 

of the questions will be no and the only relevant weighting factor in this section will be the risk 

category of the material identified in Question (I)(a). 

(3) In determining the final aggregate weight of the case, the responses to each of the 

questions do not have to be equally considered. Determination of whether the overall case 

should have a minimum, moderate, or maximum weight cannot be determined with mathematical 

certainty. Generally, if the answer to a question demonstrates that the factor at issue represents a 

more significant aspect of the case, greater consideration is given to that factor. The final 

aggregate weight is based on the totality of the facts and circumstances of the case. Once 

C-5 
10/01/07 2150.38 

determined, the final aggregate weight is then utilized to arrive at the reconunended sanction for 

each applicable violation group on the Sanction Guidance Matrix (See, Figure C-1). 

b. The Nature, Circumstances, Extent, and Gravity of the Violation (Factors 

Concerning the Shipment): 

(I) What material(s) was offered, transported, or accepted for air transportation? Figure 

C-2 divides hazardous materials of particular classes, divisions, and packing groups into three 

risk categories: Category A, Category B, and Category C. Find the material offered, transported, 

or accepted, in Figure C-2 and answer the questions below. 

• If the material(s) is in Category A, assign a Maximum weight. 

• If the material(s) is in Category B, assign a Moderate weight. 

• If the material( s) is in Category C, assign a Minimum weight. 

Guidance Note: The categories in Figure C-2 represent the inherent risk of danger to air 

transportation posed by the material. If there is more than one type of hazardous material 

involved in the shipment, use the hazardous material in the highest risk category. 

(2) What quantity of the material(s) was offered, transported, or accepted for air 

transportation? 

• Did the package(s) exceed the authorized quantity limitations by a significant 

amount? If yes, consider a Moderate or Maximum weight depending on the degree to which the 

limitation was exceeded. 

Guidance Example: The quantity limitation for gasoline on a passenger plane is 5 liters per 

package. If a violator offers 30 liters in a single package on a passenger plane, assign a 

maximum weight for thisfactor. 

• Did the package contain a forbidden material? If yes, assign a Maximum weight. 

• Were there multiple packages in the shipment? If yes, consider a Moderate or 

Maximum weight, depending on the number of packages and total amount of hazardous material 

being transported in violation. 

Guidance Note: A package means a packaging plus its contents. There may be multiple 

packages in one shipment or overpack. Multiple packages often represent multiple violations. 

Under the Sanction Guidance, this fact is considered an aggravating circumstance rather than a 

direct multiplier of the sanction for each violation. Each case, however, must be evaluated on its 

particular facts. A very large number of packages may result in such an egregious case that the 

overall weight of the case is so high that a penalty beyond the maximum point in the range is 

warranted. 

An investigation will occasionally reveal sufficient evidence of several shipments from the same 

offeror over a period of several days, all of which involve violations of the HMR. These 

independent acts of offering usually are consolidated into one EIR and addressed in one notice 

C-6 
10/01/07 2150.38 

of proposed civil penalty. However, for purposes of determining the appropriate sanction, each 

separate shipment with separate air waybill or shipping papers, separate destination, and/or 

other evidence establishing it as a separate shipment, is ordinarily considered as a separate 

incidentfor purposes of applying the sanction guidance analysis. It is suggested that the 

separate shipments be treated as individual counts in the EIR and the notice of proposed civil 

penalty, with each count having its own sanction derived from application of this guidance. 

(3) Did the shipment cause some damage or harm to persons or property or interfere with 

commerce? If yes, consider a Moderate or Maximum weight. 

Guidance Note: The fact that no damage occurred as a result of the shipment is not a mitigating 

factor. However, damage or harm may aggravate the nature, circumstances, extent, and gravity 

of the violation. Depending on the degree of damage caused by the shipment and/or the 

existence of other aggravating factors, departure from the ranges may be justified. It is 

important to note that death, serious illness, or severe injury to any person, or substantial 

destruction of property, warrants additional consideration of aggravation of the total penalty. 

c. Violator's Degree of Culpability. The Matrix, Figure C-1, considers the relative 

culpability of the violator. This section of the analysis further evaluates the degree of culpability 

of the violator. 

(I) Is the violator the manufacturer of the hazardous material? If yes, consider a 

Maximum weight. 

Guidance Note: A manufacturer of a hazardous material is expected to have complete 

knowledge of the nature of the hazardous material it manufactures or uses; thus, a high degree 

of culpability will ordinarily be imputed to it. 

(2) Did someone other than the violator prepare the shipment for transportation? If yes, 

consider a Minimum or Moderate weight. 

Guidance Note: Facts supporting an affirmative answer to this question may be cause to 

mitigate culpability and/or pursue a separate enforcement action against other responsible 

parties who handled the shipment. A shipper that reships materials received from another 

person in the same packaging is independently responsible for ensuring the shipment complies 

with the HMR. Nevertheless, the reshipper is generally considered to have a lesser degree of 

culpability for compliance of the package as received. However, if the reshipper unpacks and/or 

repackages the shipment, the reshipper remains as culpable as the original shipper and 

generally is not accorded mitigation under this weighting factor. (For purposes of this section, a 

"reshipper" refers to a person, other than the original offeror, who offers a shipment of 

hazardous material for transportation.) 

(3) Did the violator reasonably rely on incorrect information from another source? If 

yes, consider a Minimum weight. 

C-7 
10/01/07 2150.38 

Guidance Note: Detrimental. reasonable reliance on another party may be a mitigating factor 

when considering the violator's degree of culpability. For example, reliance on an inaccurate 

Material Safety Data Sheet (MSDS) would be mitigating. 

( 4) Does the violator have a history of previous HMR violations? If yes, consider a 

Moderate or Maximum weight. 

Guidance Note: To establish a violation history, a prior violation must be an actual finding of 

violation pursuant to a legal enforcement action. Special agents should attempt to determine the 

corporate structure of the violator and whether other business entities or names are or have 

been used by the entity in order to obtain a complete violation history. The number and age of 

violations should be considered. Ordinarily, findings of violation more than 5 years old carry 

less weight, unless a continuing pattern of violation. exists. 

d. Other Factors. 

(I) Each case must be evaluated on its particular facts. As such, many cases may present 

unique scenarios and aggravating or mitigating factors that are not routinely seen. If an 

aggravating or mitigating circumstance exists that is not adequately addressed elsewhere in the 

sanction guidance, it may be included and assigned a weight under this section. The factor 

should be clearly identified and explained in the analysis portion of the EIR and carefully 

scrutinized by legal counsel. 

Guidance Note: For example, a shipment of a single package containing several different 

hazardous materials may present an aggravating factor. The degree of seriousness of this factor 

will increase if the hazardous materials are incompatible with each other and, therefore, create 

an increased risk. 

Mitigating factors may also exist that have not been adequately considered. For example, a 

shipment containing a de minimis quantity of material or an amount that would have qualified 

under the small quantity exception of 49 C.F.R. § 173.4 may present a mitigating factor if as a 

result there was a reduced risk to safety in transportation. That the material could have been 

shipped as a consumer commodity can also be a mitigating factor. 

e. Determine the Final Aggregate Weight of the Case. 

(I) All the responses/weights are evaluated to determine a final aggregate weight for the 

case (Minimum, Moderate, and Maximum.). Questions receiving a no response will not be 

included in this evaluation. To determine the final aggregate weight, the agent or attorney must 

exercise his or her discretion in light of the statutory factors and knowledge of the particular 

facts of the case. The facts of the particular case will dictate the relative importance of each of 

the weighting factors in reaching the final aggregate weight. The final aggregate weight should 

be decided as a result of careful analysis, not a mathematical averaging. It is possible that a 

single weighting factor may outweigh all others. The agent or attorney's analysis should always 

be explained in this regard. 

C-8 
10/01/07 2150.38 

Guidance Example: A case involving a hazardous material in the lowest risk categmy may be 

evaluated to have a maximum weight because of the large quantity shipped or the damage 

resulting from the shipment. 

f. Utilize the Matrix (Figure C-1 ). 

(I) The sanction ranges under the offeror and offense categories of the Sanction 

Guidance Matrix reflect the relative culpability of the violator and the nature, circumstances, 

extent, and gravity of cases for the majority of violations. Consideration of these particular 

statutory factors under the Federal hazardous material transportation law is built into the Matrix. 

Further analysis of the statutory factors is required to determine the appropriate sanction within 

the ranges established under the Matrix. This analysis is performed in subparagraphs 8.a.-e. 

After determining the final aggregate weight of the case under subparagraphs 8.a.-e., that weight 

is applied to the appropriate Matrix range to identify the recommended sanction amount for each 

of the relevant violation groups and for the case as a whole. Although the notice of proposed 

civil penalty may cite numerous violations of a particular part or subpart of the HMR, unless 

upward departure is justified, a single penalty amount for each violation group is ordinarily used 

to reach the full sanction. 

(2) Instructions. 

• Identify the appropriate category for the type of entity and the nature of the 

offense involved in the case. Refer to the Definitions Section that follows the Matrix in Figure 

C-1 for guidance. Go to the intersecting box and identify the applicable sanction range for each 

violation group. 

• Apply the conclusion reached in the subparagraphs 8.a.-e. weighting analysis to 

assign a sanction amount within the minimum, moderate, or maximum portion of the sanction 

range for each relevant violation group. The recommended civil penalty at this stage is the sum 

of the sanctions for each of the applicable violation groups. A sanction should not be assessed 

for a violation group if there have been no violations of that part or subpart of the HMR. The 

sanction amount for each violation group need not be identical but ordinarily is within the 

portion of the particular sanction range that represents the overall weight of the case. 

(3) Departure from the Matrix ranges. The ranges of penalties specified in the Matrix 

(e.g., $250-$550) are intended to cover the majority of cases involving violations of the HMR. 

The facts and circumstances of a particular case, however, may justify either an upward or 

downward departure from the specified Matrix ranges. This sanction guidance anticipates 

departure from the specified Matrix ranges when justified. A case involving violations in which 

the nature, circumstances, extent, and gravity of the incident are particularly severe or egregious, 

may justify upward departure from the specified ranges. If the investigating agent believes, 

based upon the facts of a case, that a penalty should exceed the specified Matrix ranges, the 

agent should consult with legal counsel before further processing of the EIR. (However, in no 

case may the civil penalty per violation exceed the maximum allowed by law.) Conversely, the 

investigating agent may believe that mitigating factors justify a downward departure from the 

C-9 
10/01/07 2150.38 

Matrix range. Consultation with legal counsel is not necessary in the case of a recommended 

penalty that is less than that provided in the Matrix. (However, in no case may the civil penalty 

per violation be less than the minimum allowed by law.) In either situation, however, the agent 

is to provide a detailed explanation of the basis for the decision to go outside the ranges. 

( 4) Violations of part 175 regulations, which establish particular requirements for air 

carriers and other aircraft operators, are contained in a separate matrix. However, such operators 

often offer hazmat for air transportation as well as accept and transport it. As such, the operator 

may be liable for violations as a business entity within the main Matrix as well as for the specific 

part 175 violations. 

g. Impact of Other Statutory Factors. The Federal hazardous material transportation law 

also requires consideration of a violator's ability to pay a civil penalty, the impact of the civil 

penalty on the violator's ability to continue to do business, and other matters that justice 

requires. Consideration of these factors may result in adjustment of the recommended civil 

penalty calculated in subparagraph 8.f. In situations where the agent or attorney is in possession 

of mitigating information, such an inability to pay the recommended civil penalty or corrective 

action taken, reduction of the recommended penalty may be appropriate. Mitigating information 

should be sufficiently reliable, uncontroverted, and documented in order to support reduction of 

the recommended civil penalty prior to issuing the notice of proposed civil penalty. 

(I) Ability to pay or continue in business. Historically, the FAA has considered these 

factors after the issuance of the notice of proposed civil penalty due to the absence of reliable 

financial information on which to base a reduction prior to the issuance of a notice. This 

Sanction Guidance recommends that the special agent make efforts to obtain reliable information 

regarding the violator's size and financial condition for review prior to the issuance of a notice. 

This information will be transmitted to the legal office for consideration. It is recognized that it 

may not always be possible for the special agent and/or attorney to obtain reliable financial 

information on a particular respondent, that financial circumstances change, and that information 

may be provided after the issuance of the notice that may warrant further consideration of a 

respondent's ability to pay. 

• The investigating agent will attempt to include financial information as an exhibit 

in the EIR. It is anticipated that this information, if available, will be obtained from reliable 

financial data bases. Financial documentation should include, but need not be limited to, 

information concerning the violator's corporate structure, business address, officers, number of 

employees, and gross revenues. 

• The investigating agent provides a statement or comment with respect to the 

financial information obtained but ordinarily does not evaluate the financial condition of a 

respondent with respect to its ability to pay a proposed civil penalty. The investigating agent's 

statement should encompass areas like the number of employees, gross revenues, and nature of 

business of the violator. 

• FAA legal counsel reviews the financial information provided in the EIR and 

evaluates its sufficiency and relevance to the recommended civil penalty. Legal counsel may 

C-10 
10/01/07 2150.38 

determine if more current information exists concerning the financial condition of a respondent 

and if that information substantially differs from the information available at the time of 

preparation of the EIR. If there is a basis for determining that the recommended sanction is 

inappropriate based upon the financial information provided in the EIR, the recommended 

sanction is adjusted prior to issuance of the notice of proposed civil penalty. This is a 

preliminary consideration of a company's ability to pay. As such, pre-notice adjustment of a 

recommended civil penalty does not preclude further consideration of a respondent's financial 

claims after issuance of the notice. 

(2) Corrective Action. 

• The most common other matter that the FAA takes into consideration is corrective 

action. Corrective action that results in mitigation is remedial action that exceeds the minimum 

legal requirements. The primary factors in determining the appropriate amount of penalty 

reduction are the extent and timing of the corrective action. In other words, mitigation is 

determined on the basis of how much corrective action was taken and how quickly the action 

was taken. Systemic change intended to prevent future violations should be given greater 

consideration. Similarly, corrective action that commences upon the violator's first learning of 

the violations ordinarily is given greater credit than corrective action that commences only after 

the violator receives the letter of investigation or the notice of proposed civil penalty. 

Mitigation of a recommended civil penalty based upon corrective action should be 

referenced in the Notice of Proposed Civil Penalty so that the respondent is on notice that credit 

already has been given for such action. 

(2) Status of violator as a small business entity or concern. See subparagraphs 5.a.-b. 

above. 

C-11 
10/01/07 

OFFENSE 

CATEGORIES 

I. Declared Shinment 

I. Shipping Papers 

2. Labels 

3. Markings 

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other 

II. Undeclared Shiument 

Within Hazmat 

Quantitx Limitations 

I. Shipping Papers 

2. Labels 

3. Markings 

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other 

III. Undeclared 

Shipment 

Hazmat Forbidden on2 

or exceeds g!,y limits for 2 

Passenger Aircraft 

I. Shipping Papers 

2. Labels 

3. Markings 

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other 

IV. Undeclared 

Shipment 

Forbidden on2 or 

exceeds gty limits for 2 

All Aircraft 

I. Shipping Papers 

2. Labels 

3. Markings 

4. Packaging 

5. Training 

6. Ernerg. Response 

7. Release into Environ. 

8. Other 

V. Intentional or 

MATRIX & DEFINITIONS 

(Figure C-1) 

C. Business Entity 

that uses or handles 

A. Individual* B. Business Entity hazmat in the 

course of business 

250-550 250-1.100 500-2,200 

250-550 250-1,100 500-2,200 

250-550 250-1,100 500-2,200 

250-550 250-1,100 500-2,200 

---------- 450-1,100 500-2,200 

250-550 250-1,100 500-2,200 

250-550 250-1,100 500-2,200 

250-550 250-1,100 500-2,200 

250-1,100 1,500-8,200 2,500-11,000 

250-1,100 1,500-8,200 2,500-11,000 

250-1,100 1,500-8,200 2,500-11 ,000 

250-1,100 1,500-8,200 2,500-11,000 

------------- I ,500-8,200 2,500-11,000 

250-1,100 1,500-8,200 2,500-11 ,000 

250-1,100 1,500-8,200 2,500-11 ,000 

250-1,100 1,500-8,200 2,500-11,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

---------- 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-32,500 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

---------- 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

CONSULT CONSULT CONSULT 

C-12 

2150.38 

D. Business Entity 

that regularly 

offers, accepts, or 

transports hazmat 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

10,000-32,500 

10,000-32,500 

I 0,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

CONSULT 
10/01/07 2150.38 

Deliberate Violation~ or LEGAL- Up to LEGAL- Up to LEGAL- Up to LEGAL- Up to 

other significant 50,000 per offense 50,000 per offense 50,000 per offense 50,000 per offense 

aggravation category may be category may be category may be category may be 

assessed assessed assessed assessed 

VI. Violation results in CONSULT CONSULT CONSULT CONSULT 

death2 serious illness2 LEGAL- Up to LEGAL- Up to LEGAL- Up to LEGAL- Up to 

severe inju!J::2 or 100,000 per 100,000 per I 00,000 per offense I 00,000 may be 

substantial destruction offense category offense category category may be assessed 

oforooertv may be assessed may be assessed assessed 

h. *Sanctions applicable to air carrier and commercial operator passengers and 

crewmembers. The range for the total civil penalty to be assessed, absent mitigating or 

aggravating factors, is $250 (the statutory minimum) to $1,000. 

E. Group I & II F. Group III & IV 

AIR CARRIER AND OTHER AIRCRAFT Air Carriers and Air Carriers and 

OPERATOR VIOLATIONS Other Aircraft Other Aircraft 

Operators Operators 

Failure to comply with Parts 171, 172, or 173 Use main Matrix. Use main Matrix. 

requirements of the HMR as an offeror of hazmat. 

Improper acceptance of hazmat for air transportation. 

(i.e., quantity, labeling, marking, packaging, and 5,000-32,500 2,500-16,200 

shipping papers) 

See49 C.F.R. §§175.30(a)(l)-(4) 

Failure to inspect hazmat shipment properly. 

See 49 C.F.R. §§ 175.30(b): (c), (d), (e) 

10,000-32,500 5,000-16,200 

Improper storage/securing of hazmat aboard aircraft. 10,000-32,500 5,000-16,200 

Failure to provide hazmat training, maintain records of I 0,000-32,500 5,000-16,200 

training, or meet minimum requirements for hazmat 

training (49 C.F.R.). 

Using untrained/improperly trained hazmat personnel, I 0,000-32,500 5,000-16,200 

failure to retain hazmat training records (49 C.F.R.) 

Failure to notify FAA properly of incident/discrepancies 5,000-16,200 1,000-5,500 

in hazmat shipment. 

Failure to provide notice to the pilot-in-command. 5,000-16,200 1,000-5,500 

Other Part 175 violations. 5,000-16,200 1,000-5,500 

Intentional, deliberate, or other significantly aggravated CONSULT CONSULT LEGAL 

violation. LEGAL- Up to - Up to 50,000 per 

50,000 per offense category 

offense category may be assessed 

may be assessed 

Violation results in death, serious illness, severe injury, or CONSULT CONSULT LEGAL 

substantial destruction of property. LEGAL- Up to - Up to I 00,000 per 

100,000 per offense category 

offense category may be assessed 

may be assessed 

C-13 
10/01/07 2150.38 

9. Definitions: Note that these definitions are only for the purpose of applying the sanction 

guidance in this appendix. 

a. Air Carrier and Other Aircraft Operator Groups (I, II, III, IV)- Air carriers and 

other aircraft operators are divided into two categories for purposes of determining an 

appropriate sanction. These categories track the air carrier groups established in Appendix B 

this order. For purposes of hazmat sanction guidance, the FAA also includes other aircraft 

operators operating in commerce that are of similar size, e.g., part 129 Foreign Air Carriers, part 

125 Operators, and part 91 Operators. 

(I) Group I is comprised of air carriers with annual operating revenue of $100,000,000 

or more. Other aircraft operators with annual operating revenue of $100,000,000 or more are 

included in Group I for hazmat sanction guidance purposes. 

(2) Group II is comprised of air carriers and other commercial operators that have an 

annual operating revenue of less than $100,000,000, and have 50 or more pilots and operate 25 

or more aircraft. Other aircraft operators of the same size are included in Group II for hazmat 

sanction guidance purposes. 

(3) Group III is comprised of air carriers and other aircraft operators that do not meet the 

criteria for Group II, that is, they have only 6 to 49 pilots, or only 6 to 24 aircraft. Other aircraft 

operators of the same size are included in Group III for hazmat sanction guidance purposes. 

( 4) Group IV is comprised of all other air carriers and commercial operators not meeting 

the criteria for Groups I, II, or III. Other aircraft operators of the same size are included in 

Group IV for hazmat sanction guidance purposes. 

b. Business Entity. A business, corporation, partnership, Sub-S Corporation, sole 

proprietor, association, or any type of commercial entity. An individual who offers a hazmat 

shipment in air transportation in the course of his or her self-owned business falls into this 

category. It includes a non-profit organization and all other entities defined under the HMR's 

definition of person (49 C.P.R. § 171.8), with the exception of an individual (as defined below). 

c. Business Entity that Regularly Offers, Accepts, or Transports Hazardous Materials 

in the Course of Its Business. A business entity that offers hazmat with some anticipated 

frequency, or purports to do so, regularly offers hazmat. For example, a catalogue company that 

offers hazardous material to its customers would fall into this category, even though its actual 

sale or transportation of the hazmat is infrequent or limited. This category includes 

manufacturer or distributor of hazmat and a freight forwarder. 

d. Business Entity that Uses, Handles Hazmat in the Course oflts Business. This 

category encompasses the business that utilizes hazmat in its business but does not offer it for 

transportation on a regular basis, as described above. For example, a manufacturer of a nonhazmat product that uses hazmat in the manufacturing process could fall into this category. It 

must be established that the company ordinarily does not offer the hazmat it utilizes for 

transportation, and the shipment in this instance represents an isolated incident. This type of 

business is held to a higher standard than the business entity that has no regular involvement 

C-14 
10/01/07 2150.38 

with hazmat. The described business entity receives the subject hazardous material in 

transportation and uses it in its business; thus, it is clearly on notice of the hazardous nature of 

the material and the regulatory requirements to which the hazmat is subject. 

e. Declared Shipment. For purposes of this sanction guidance, a declared shipment has at 

least one of the following communicative indicia---markings, labels, and/or shipping papers that 

meet the communicative requirements of the HMR. A package that has shipping papers that 

declare the contents as hazardous material, but is otherwise not marked or labeled, falls into this 

category. For purposes of this definition, a shipping paper is any document to which handlers 

refer in the normal course of transportation and that complies with one or more of the 

communicative requirements in the HMR for shipping papers. Similarly, a properly marked and 

labeled package that lacks shipping papers also falls into this category. An example of a 

shipment that would not meet this definition is one where the offeror states that the shipment 

contains hazmat, but only in paperwork to which the handlers do not refer in the normal course 

of transportation. 

f. Hazmat- A hazardous material, as defined in 49 C.F .R. § 171.8, includes and is 

interchangeable with the term dangerous goods, as used in the International Civil Aviation 

Organization (ICAO) Technical Instructions. 

g. Individual- A human who offers a shipment of hazardous material in his or her personal 

· capacity, without any business purpose and not as part of a commercial enterprise. 

h. Intentional or Deliberate Violation- A violation falls into this category when the 

offeror, acceptor, air carrier, or aircraft operator has knowledge of the requirements of the HMR, 

and willfully circumvents or attempts to circumvent those requirements. For example, an offeror 

who places a properly marked and labeled hazmat shipment along with properly completed 

shipping papers, into an overpack marked as printed material, has committed an intentional or 

deliberate violation. 

i. Undeclared Shipment -If a shipment does not meet the definition of declared shipment, 

it is an undeclared shipment. 

j. Undeclared Shipment Hazmat Exceeds Quantity Limits for All Aircraft- An 

undeclared shipment that is offered for transportation on or transported on any aircraft and the 

quantity of hazardous material exceeds the limit, per package, for transportation on cargo 

aircraft, as established in the 49 C.F.R. § 172.101 Table. 

k. Undeclared Shipment Hazmat Exceeds Quantity Limits for Passenger Aircraft- An 

undeclared shipment that is offered for transportation on or transported on a passenger aircraft, 

and the quantity of hazardous material exceeds the limitation, per package, for transportation on 

passenger aircraft (but not for transportation on cargo aircraft), as established in the 49 C.F .R. § 

172.10 I Table. 

I. Undeclared Shipment Hazmat Forbidden on All Aircraft- An undeclared shipment 

that is offered for transportation on or transported on any aircraft and the hazardous material is 

forbidden in air transportation on cargo aircraft, as established in the 49 C.F .R. § 172.10 I Table. 

C-15 
10/01/07 2150.38 

m. Undeclared Shipment Hazmat Forbidden on Passenger Aircraft- An undeclared 

shipment that is offered for transportation on or transported on a passenger aircraft, and the 

hazardous material is forbidden in air transportation on passenger aircraft (but not in air 

transportation on cargo aircraft), as established in the 49 C.F.R. § 172.101 Table. 

n. Undeclared Shipment Within Hazmat Quantity Limitations. 

( 1) If the undeclared shipment is offered for transportation on or transported on a passenger 

aircraft, the quantity of hazardous material must be within the limitation, per package, for 

transportation on passenger aircraft, as established in the 49 C.F .R. § 172.101 Table. 

(2) If the undeclared shipment is offered for transportation on a cargo aircraft, but not 

transported, the quantity of hazardous material must be within the limitation, per package, for 

transportation on passenger aircraft, as established in the 49 C.F .R. § 172.101 Table. 

(3) If the undeclared shipment is offered for transportation on and transported on a cargo 

aircraft, the quantity of hazardous material must be within the limitation, per package, for 

transportation on cargo aircraft, as established in the 49 C.F.R. § 172.101 Table. 

All other undeclared shipments fit within the definitions for Undeclared Shipment Hazmat 

Exceeds Quantity Limitsfor ... Aircrafi, or Undeclared Shipment Hazmat Forbidden 

on ... Aircrafi, see above. 

C-16 
10/01/07 

CATEGORY "A" 

{Maximum Weight} 

RISK CATEGORIES 

(Figure C-2) 

2150.38 

Category "A" materials are materials that when released in the confines of an aircraft can potentially have a catastrophic 

effect on an aircraft's ability to continue safe flight, resulting in a crash or emergency landing causing injuiy or death to 

passengers and flightcrew, as well as perso.ns on the ground. 

Class 1 

Class 2 

Class 3 

Class 4 

Explosives: Division 1.1, 1.2, 1.3, 

Compressed Gases All 2.1, 2.2 with Subsidiary Risk 5.1 and All 2.3 PIH Zones A-D 

Flammable Liquids PG I, II, and (PI H) 

Division 4.1 Flammable Solids PG I, & (Matches) 

Division 4.2 Spontaneously Combustible Materials PG I (Pyrophoric) 

Division 4.3 Dangerous When Wet PG I 

Class 5 Division 5.1 Oxidizing Liquids and Solids PG I, II, e.g., "Chemical Oxygen Generators" 

Division 5.2 Organic Peroxides PG II (Type A,B,C,D) 

Class 6 Division 6.1 Toxic/Poisonous Materials PG I (PI H) 

Class 7 Cargo Aircraft Only Quantities on Passenger Aircraft 

Class 8 Corrosive Material Liquid PG I and (PI H) 

Forbidden Materials (See 49 C.F.R. § 173.21 & ICAO Technical Instructions) 

Forbidden Hazmat listed in Dangerous Goods Table 49 C.F.R. § 172.101 

CATEGORY "8" 

{Moderate Weight} 

The materials listed in Category "8" are materials that may not pose an immediate threat to the safety of a flight, but can 

cause death or injury to persons due to unintended releases in aircraft cabin areas, and potential damage to aircraft 

structures over a longer period of time due to undiscovered releases on aircraft structural components. 

Class 1 

Class 3 

Class 4 

Class 5 

Class 6 

Class 7 

Class 8 

Division 1.4, 1.5, 1.6, All Compatibility Groups 

PG Ill Flammable Liquids 

Division 4.1 Flammable Solids PG II, Ill 

Division 4.2 Spontaneously Combustible Materials PG II, Ill 

Division 4.3 Dangerous When Wet PG II, Ill 

Division 5.1 Oxidizing Liquids or Solids PG Ill 

Division 5.2 Organic Peroxides (Type E,F,G) 

Division 6.1 Toxic/Poisonous Materials PG I, II ( NON- PIH ) 

Division 6.2 Infectious Substances 

Radioactive Materials, yellow label II, white Iabeii 

Liquids PG II, Ill Solids PG I, II, Ill 

Category "C" 

{Minimum Weight} 

The materials listed in Category "C" are materials that present the least amount of risk to the transportation system. 

Class 2 

Class 6 

Class 7 

Class 9 

2.2 Nonflammable Gas 

Division 6.1 Toxic/Poisonous Materials PG Ill 

All other RAM (LSA, LTD QTY, Instruments, and Articles) 

Miscellaneous Dangerous Goods {ORM-D and Consumer Commodity} 

NOTE: This guidance is not intended to replace the experienced judgment of a special agent who is convinced, based on 

the evidence and facts of a case, that the failure of an air carrier, shipper, freight forwarder, or passenger to follow 

established regulations has posed a risk to aviation safety. 

C-17