# 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 PETERHANTZ COMPANY FAA CASENO. 2012S0700041 Respondent Judge Douglas M. Rawald

MOTION FORPARTIAL 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 entitledtojudgment as a matter oflaw. STATEMENT OF THE CASE On February 29,2016, the FAA issued a Final Notice ofProposed 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 ofthe 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 whetherthe sanctionproposed 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 847 624 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 ofthe box, or (c) hazardous material labels on the outside ofthe 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 emergencyresponse 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 ofits business, namely Ravi Acrylic Nail Liquid and Star Nail X-Strength Primer. See Exhibit2, 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 HMRrequired 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 priorto 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 ofthe 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 ofestablishing thatthe 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 ofthe HMR can support the assessment of a civil penalty. 49 U.S.C. § 5123(a)(l). A person1 

### acts knowingly when the person has actual lmowledge ofthe 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 ofthe 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 ofthe law. In the Matter ofTCI 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 ofthe law as an excuse in civil hazardous materials cases. In the Matter ofSmalling, FAA OrderNo. 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. Id. 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 metby reference to the FAA' sanction guidance. Id.

4

### Determining ahazardous materials sanction, while involving avariety offactors, contains two basic steps. See Exhibit 5 at C-4 to C-8; see also National Power Corp. at 12-14. First, the "weight" ofthe 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 itselfis determined by the location ofthe violation on a matrix, based on the nature ofthe violator and the nature ofthe shipment. The weight ofa case is determined by looking at a number offactors described on pages C-6 to C-8 of Exhibit 5. The first factor is what Category ofhazardous 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 ofthat 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 ofthe Respondent and the nature ofthe 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 abusiness entity that uses orhandles hazmat inthe course ofbusiness, the appropriate civil penalty is up to $11,000 for each HMR grouping identified 

### inthe 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 AdmissionNos. 9-10. Accordingly, there are no general issues ofmaterial facts, and the FAA is entitled tojudgment as a matter oflaw 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. 6-10; 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 FAArespectfully requests that the Judge grant SummaryJudgment and affirmthe Complaintin its entirety. Respectfully submitted this 30th day ofJanuary, 2017.



# ~**r11Y~---~··**

**&~anders** Attorney Office ofthe ChiefCounsel

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 LawJudge Office ofHearings, M-20 U.S. Department ofTransportation 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 ofthe ChiefCounsel 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 ofthe person 's knowledge. Government 

### Exhibit 

# ,

### ANSWER: Lucy Cobos. Ms. Cobos is the General Manager ofRespondent. 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 ofRespondent 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 ofInterrogatories 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 ofyour 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 FORADMISSION 1. 

### Admit that you offered a shipment to UPS on November 2, 2011 that was assigned UPS tracking number lZ 847 624 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 ofRavi 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 ofStar 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 ofthe box. ANSWER: Admit 8. 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 labels on the outside ofthe 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 trainingfor 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 EnforcementDivision, SouthernTeam Federal AviationAdministration, SouthernRegion 1701 ColumbiaAvenue 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../



### 6Thiscertificateisawardedto:MariaMoralesForsuccessfulcompletionofLionTechnology'sOnlineTrainingProgram:ShippinglimitedQuantitiesandConsumerCommoditiesOnlineCourseThiscourseisbasedontheregulationsoftheUnitedStatesDepartmentofTransportation,theInternationalAirTransportationAssociation,andtheInternationalMaritimeOrganizationregardingthesafeandlegaltransportationofmaterialsdesignatedashazardous.Successfulcompletionincludesattainingapassinggradeonthefinalproficiencytest.Thistrainingisdesignedtosatisfythegeneralawareness,securityawareness,andfunction-specifictrainingrequirementsof49CFR172.704(a),IATADGR1.5,andIMDGCode1.3.1forhazmatemployeeswhopreparelimitedquantitypackages,includingconsumercommodities,fortransportation.onFebruary27,2014TrainingwasconductedbyLionTechnologyInc.,21SunsetInnRd.,Lafayette,NJ07848(973-383-0800).0.2CEUsawardedLIONTECHNOLOGYINC.www.lion.com

### Feder Aviation Administration 12/2/2011 Enclosed you will find the information that was requested FAA File No: 201250700041 Ifyou have any questions please contact me. Lucy Cobos General Manager 480-967-6464 ext. 18

Government Exhibit1211/2011 Reference account# 847624 Attn: Director ofSales 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 ourkits whenteaching a class to Cosmetology students. A class was scheduled atthe 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 trucklines (not UPS trucklines) with our regular shipment, butthey forgot to put the kits on the pallet so they shipped them UPS 2nd DayAir. 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 nothaving 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 ofthe oftlce and could not be reached so they sentthe shipment without knowing that this could not be shipped Next Day or 2nd DayAir. I have since spoken to everyone in our shipping depatiment on Hazardous Material and shipping policies ifIhappen to be out. We do not ship out any shipments byAir as it is very costly. The FAA will advise us ifwe 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 at480-964-6464. 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: 480.967.0777United 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 OtherTracking 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 DFWAirport, 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 shipperwith 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 shipperwith further information. I UPS will contact the senderwith 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)

SubscrH:w to UPS E-mail: Entere-mafi aeidress

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E-mail UPS Support Get Started Register j Sign Up» Solutions for: Healthcare Small Business Shipping Jr.formation

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## MAR-16-2000 03:07PM

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### 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

**~ulletin** 

### tor details on **tnhi~itors** 

### and storage stability. Available 

## 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 manufacturerfor 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 ofvision. 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 ata low concentration (Refer to Section 2). While complications from this component are not expected, absorption leads to formation ofmethemoglobin, which in sufficient concentration causes cyanosis. Symptoms mayinclude headaches, weakness and dizziness, and can be recognized by the blue color ofthe lips, fingernails, nose and earlobes. Reversion of methemoglobin to hemoglobin occurs spontaneously aftertermination ofexposure, moderate degree of cyanosis needs to be treated onlybysupportive measures such as bed rest and oxygen inhalation. Thorough cleansing ofthe entire contaminated area ofthe body is ofutmost importance. Ifcyanosis is severe, intravenous injection ofmethylene blue, 1-2 mglkg body weight overa 5 minute period as a 1 % solution may be ofvalue. Ifelevated methemoglobin persists afteran hour, the treatment may be repeated, but the total dose shouldnot exceed 7 mg!kg body weight. Cyanocobalmin (Vitamin B-12), 1 mg intramuscularly is reported to speed recovery. Intravenous fluids andblood transfusions maybe indicated in very severe exposures. CARCINOGENICITY: None ofthe components ofthis 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. Ifthe patient is vomiting, continue to offer water or milk. Never give anything by mouth to an unconscious person. Provide an estimate ofthe time at which the material was ingested and the amount ofthe 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 athorough 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 orfog 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 ofthis 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 mustwear 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 ofwarm 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 bythe American Conference of Governmental Hygienist. Observe precautions found on label. Store containers in a cool, dry location, awayfrom 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 ifairborne 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 orwashbasin is available in case of exposure to eyes. If anticipated that prolonged & repeated skin contact will occur during use ofthis 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 undertypical 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 (H 20=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 POLYMERIZAT!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 ofthe product, which is found in scientific literature. Some ofthis 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/m 3/4 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. Howeverthe 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 ofthe product, which is found in scientific literature. Some ofthis 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 ofthe 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 ofthis product. 

## \I

TSCA Inventory Status: CERCLA Reportable Quantity (RQ): The components ofthis 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 ofthe 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 ofthe information required by the CPR. The components of th.IS product are listed on the DSL/NDSL. None ofthe components ofthis product are listed on the Priorities Substances List This product may contain components that are covered under specific state criteria. R11 - 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 Pico 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 SAFETYDATA SHEETIS PREPARED !N COMPLIANCE WITH FEDERAL REGULATIONS (29 CFR 1910.1200}, THE COMMONWEALTH OFPENNSYLVANIA REGULA T/ONS (TITLE 34. CHAPTERS 301-323) AND CANADIAN WHMIS REGULATIONS, ANY APPLICABLE STATEAND LOCAL REGULA T/ONS SHOULD BE CONSUL TED. THEABOVE INFORMAT/ON MAYBE BASED IN PART ON !NFORMA T!ON PROVIDED BY COMPONENTSUPPLIERS AND IS BELIEVED TO BE CORRECTAS OF THE DATE HEREOF. HOWEVER, NO WARRANTY OFMERCHANTABILITY, FITNESS FOR ANY USE, OR ANY OTHER WARRANTYIS 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 INFORMAT/ON CONTAINED HEREIN MAYBEAPPLIED UNDER CONDITIONS BEYOND OUR CONTROL AND WITH WHICH WE MAYBE UNFAMILIAR, AND SINCE DATA MADE AVAILABLE SUBSEQUENT TO THE DATE HEREOF MAYSUGGESTMOD/FICA TION OF THE INFORMATION, WEASSUME NO RESPONSIBILITYFOR THE RESULT OF ITS

USE_ THIS INFORMATIONAND MATERIAL IS FURNISHED ON THE CONDITION THAT THE PERSON RECEIVING ITSHALL MAKE HIS/HER OWN DETERM!NA T/ON AS TO THE SUITABILITY OF THE MATERIAL FOR HIS/HER PARTICULAR PURPOSEAND ON THE CONDITION THATHE/SHEASSUME THE RISK OF HIS/HER USE THEREOF.

## '-1 DECLARATION PURSUANT TO 28 U.S C.§l746 I, Beverly A. Farris. am a Special Agent ofthe federal Aviation Administration, serving at the Louisville Security Field Office. Pursuant to my duty as a Special Agent ofthe Federal Aviation Administration, I regularly engage in the investigation ofhazardous 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 ofhazardous materials incidents. Moreover. also pursuant to the authority granted to me by the Administrator ofthe federal Aviation Administration. I make factual findings based upon my investigations ofhazardous 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 ofthe Federal Aviation Administration's official record ofthe hazardous materials incident. During the investigation. I recorded images ofthe hazardous materials incident by means of a digital camera. All such photographs represent the visual images ofthe incident scene as they appeared at the time the photographs were taken. Digital images can be altered subsequent to the time ofthe photograph; in view ofthis, it is the policy ofthe Federal Aviation Administration that such pictures are kept in a secure space. and remain unaltered. I hereby supply the following information: a. Type ofcamera and imaging medium: Canon PowerShot A490 Digital Camera b. Date and Time the images were taken: I11911 I @ 

### 2300 hours c. Place and inclusive dates of storage ofthe 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 ofpetjury [under the laws of the United States ofAmerica]' 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 ofthe subject matter ofthe 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 5U.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION OFFICE OF SECURITY AND HAZARDOUS MATERIALS 

## tiH' Photograph 1depicts the top ofthe fiberboard box 

# 3 •...

## ~.

I certify that this photograph fairly and accurately depicts the photo described above and was taken onNovember 9, 2011 at 2300 hrs.



## " -i I certify that this photograph fairly and accurately depicts the photo described above and was taken onNovember 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 5u,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 onNovember 9, 2011 at 2300 hrs.

I certify thatthis photograph fairly and accurately depicts the photo described above and was taken onNovember 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 5u.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION OFFICE OF SECURITY AND HAZARDOUS MATERIAlB·: 

### Jt

___ j 

### Photograph 5 depicts side 4 ofthe fiberboard box

**~**

# %.:::;," ... \

< \



### I certifythat this photograph fairly and accurately depicts the photo described above and was taken onNovember 9, 2011 at 2300 hrs.

I certify thatthis 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 5u.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION OFFICE OF SECURITY AND HAZARDOUS MATERIA(.$\) \.}.:1. 

### Photograph 7 depicts the address label onthe fiberboard box 

# 3 

# 22 LBS

I certify thatthis photograph fairly and accurately depicts the photo described above and was taken on November 9, 2011 at 2300 hrs.



# ,

I1'1111 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 onNovember 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 bedetennined under 5u.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 onNovember 9, 2011 at 2300 hrs.

I certify that this fairly and accurately depicts the photo described above and was taken onNovember 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 5J.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION OFFICE OF SECURITY AND HAZARDOUS MATERIALS. ·<



### and accurately depicts the photo described above and was taken onNovember 9, 2011 at 2300 hrs. Photograph 12 depicts one !-ounce container ofNail 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 onNovember 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 501/04/2012 15•17 15023597790 CUSTSERV PAGE 01/04 

# { -'· 

# lOP

**~'**

# aQ:e I 

# 0 - - '-j__ ,_ ....**,""'''""'"'""'~f.A~** ••<- tJ.S, DepartmentofTrnmportatlon HazardousMaterials 

## I Form;, r·provol OMB No.l1J7 ..01139 **R~.~(:l'l~h** and Spi!ejnl

**P.-o~r:unfoj**

**Admlnl~~:rAtion** 

### Incident Report

**Ac<:or.din~to th~**  'rttpenvork

**Retl:n~tlon** Ad. of 199$1no

**pcr11on~** arc
**rcqu\r~** to

**ro~po!HI** to-a collection ofintormntlon

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**rll~plny~** a vl

### id 0;\18

**~ol'!trol** nm:nbcr. Th!: vt!!!d 01\<In

**=~mtr~l** nW'l'ibo::rfui'

**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~** Submitthh report to theTnform;;tlon

**Sy~:om~** mlm.1ger, U.S. Oepl\rtmcnt ofT!<allriportntion1**Rt~Cnrch** and

**St~ctiaJ** PJ'OJ ;; am"**Adminl!itration~** Offli:c
**ofi-Iazardou.~ Mnt~l'i:tlll**  **81\f~:ty,** DHM-63,

**w.~u:hirtJ;-ton**

**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~** entryIHlltlbcr being ttamplctccL

**Co~ic,; 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. Ifyou

**b~vc** nny
**qnc~lion~~** yon ean ¢ontndthe Hn7nrdOt!1i

**Material~** ltlformarion Ccnt'!!:f nt Hl00-HMR..49l.2 (.1·800-467·4922) oronlineat http://l11 zmnt.dot.Aov_ Pi\RT 1- REPOR'rTYPF.. 1, This iR to t'ClJJ:lrt; 

### lEI A) Ah: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;tthe ]a(littP,;rctcntil"'m'

**Sji~~·IJtn** nnd 1 ;:)

**dirltt~~l** hnve nrcl¢..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 ofIncident (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 ofIncident: 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<ADSLANE 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 NIIURSTDOURNE 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 EUNIVEI<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:

(ifditTcrcnt fl'otn

**~hipper addrc11.~)**  Ci1y:

**S1<~t¢;** 21>Codc: 13. nestinntlon: Sl;t:cct I101 MELBOURNERl) SUITE R·SA

**City~** HURST State: TX 7,!. 1 0Xh:::: 7605l

**~** 14, fll\,pcr SltippinRN!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) 4 Ouncc!i

Division: Nmnbct•: Group: Rc!cu:;c(; (E.g. UN27M, NA 2.020) (ifn]lplicnhlc) (Irelude 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, orCAnumhcr: 23, Wns

**thf~** :w l)tidcclnrcrl

**h~m~rdt1W3** mntcrinls shipment? [BJ

**Yc~** 

### 0 No

**~** 

### Government e 

### Exhibit



### ~ l'tlMn nor1·

**.:>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· ifJMttl lhnn one, list

**typ~ ofp::~cl~llginP,,**  copy Pnt't

### rn, 1 md

**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, S-:c inlltmc1.ions nnd c:nl'cr the lli'PI\iprlntc 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(** p!lokn'*'ing type Ch¢ckcd ahi)vc. Entert.lte numberof

**code~** ns nprrtoprint11: ta

**dc.~erlbc** the in'"ld¢nt Enttw th!) most im,)ortnnt lillh1rc point hi line Hlfi,Jrcpoims, provide in thJ.q /"l,;t'li"Jnt in pm1 VI, **ttl~** to the p<trticulm• I !ftltcrcnrc

**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 

### .. 

# ---

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**m:td<in~~,** ifnvni!alll¢, ldcntlficnti()tl

**Mnrkir~P,::::::** NONE

**(J~xnmpke.~;** r A!IYr.4/r 50/92/USA/RB/93/RI., UNJ lH**!/YQ493/U~A/M93.19/J**0800/1200, !JOT- JOSA • 1 OOW (RAIL), DOT406 (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:cglMgType: Mnl'ct'l;ll ofConstructio1i:
/.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 (ifi'l1iy); 65 l'oundM Mrwunt in Pnckngc: Numl1m' in Shipment: Number f\lilcd: SO[)NO PACKAGINQ Lust TCllt Onto: **~~**

**~~·~** 4 

# ------

I 

# ------

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**Ptlrtnbl~ nnl~,**  **orCylirtd~r)** -------------- (IfTank Ct\r, CJMV, P(ll1nblc T.!ok) --------------- (TfTnnk Car, CTMV,

**Portnhl~** Tnnk) ------------- (lfTnnkCOt\CTMV) ------------- (lfC:ylindcr) Milll.llfnctm'Ct; 29, II'thepaok;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 

### ·rCUSTSERV PAGE 03/04 01/04/2012 15:17 15023597790 

## ------------------~1~'

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## 2 ,'

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## f'P_A_R~'I'_Iv_"_cC~O-~~SE.::_•Qo_U_E_c_Nc:Cc:ES_'-----------------------"/L_
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## ... '1...

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## ,, 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 nlfthul 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~** Jftl.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 OtherClonnup

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• offit1'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;\Iinjury? 

### 0 Yea !l!] No Ifyes,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 Didthe 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 ('Iftho CV<lCua!lon _;O:;:.O;oOc_____

**(!tom~)** 3(l, Wa!> nrt;n.Jor 1rnttspmt11tion ar(cly orJilcllity 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~.:** leftl"('l!ldwny/tmck? WcnthcrcMd1lionl'l; 

### 0 y" 

### 0 Yes Ifyes, }lOW rnnny' _;Oc_.O;oO:__ __ (haul'S)



# ---
l"ARTV- 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:cta/fr<,m airt)l)rt 

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1. Background. Appendix C. Sanction Guidance Hazardous Materials Enforcement 2150.38

a. Legislation. Congress determined thatthe unregulated transportation ofhazardous materials constitutes athreatto public safety in all forms oftransportation. Congress addressed thatthreat in 1974 by enacting the Hazardous Materials Transportation Act (HMTA). By 1990, Congress determined that effective enforcement ofthe HMTA required more severe action, and enacted the Hazardous Materials Transportation Uniform Safety Act of 1990, Public LawNo. 101-615, 1990 U.S. Code Congress. & Admin. News 104 Stat. 4605. The primary effect ofthis 1990 revision ofthe HMTA was to raise the maximum civil penalty for violation ofany regulation enacted underthe HMTA 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 nowreferred 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 statedthatthe recodification created no substantive change to the earlier form ofthe statute. In 2005, the Congress enacted and the President signedthe Safe, Accountable, Flexible, Efficient Transportation EquityAct: A Legacy for Users (SAFETEA- LU), Public Law 109-59, August 10, 2005. That legislation, among otherthings, modified the limitations on civil penalties thatmay be assessed for violations ofthe 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 DebtCollection ImprovementAct of 1996, Public Law 104-134, April26, 1996, provides a mechanism for adjustments for monetary civil penalties for inflation in orderto maintainthe deterrent effect ofmonetary civil penalties and promote compliance with the law. Underthe statute, the adjusted civil penalty maximums cannot be applied unless they are implementedby regulation. The adjusted civil penalties are listed in part 13 ofTitle 14 ofthe CFR, subpart H. Pursuantto SAFETEA- LU, the maximum civil penaltythat may be assessed for a violation ofthe Federal hazardous material law or a hazardous material regulation is now $50,000; the minimum civilpenalty is now $250. There are two exceptions to those limits. A maximum civil penalty of$100,000 may be assessed ifthe violation results in death, serious illness, or severe injuryto anyperson, or substantial destruction ofproperty. The minimum civil penaltythat may be assessed for a training violation is $450. c. Enforcement Responsibility. Within the Department ofTransportation, the Pipeline & Hazardous Materials Safety ProgramsAdministration (PHMSA), created by the Norman Y. MinetaResearch and Special Programs ImprovementAct in 2004, adopts the Hazardous Materials Regulations (HMR), which govern the transportation ofhazardous materials (hazmat). The FAA, under delegated authority, enforces the Federal hazardous material transportation law and the HMR, withparticular emphasis on shipment ofhazmatby air. 49 C.F.R. § 1.47G).
C-1 

### Government Exhibit10/01/07 2150.38 d. Violation ofthe HMRs. The HMR set forth regulations for the transportation ofhazmat. A knowing violation ofthe statute or ofthe HMRcan supportthe assessment ofa civil penalty between $250 and $100,000. A person acts knowingly when the personhas 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 ofany regulation set forth in the HMR; they also apply to the violation ofan order, special permit, or approval issued by the Department. Moreover, under the statute, each continuing violation ofthe HMR can constitute a separateviolation for each day a violation continues. In section 5124 ofthe statute, Congress prescribed criminal penalties for a willful violation ofthe Federal hazardous material transportation law or the HMR; willful violations require evidence ofbothknowledge ofthe laws and regulations and intent to violate them. e. Investigative and Enforcement Procedures. Part 13 ofthe Federal Aviation Regulations- Investigative and Enforcement Procedures (14 C.F.R. part 13) governs the procedures applicable to enforcement ofthe HMRby the FAA. Hazmatviolations occurring on or after August 2, 1990, may be dismissed by an administrative lawjudge (ALJ) ifa notice of proposed civilpenaltyhas not been issued within 2 years ofthe violation, unless good cause for delay has been shown. 14 C.F.R. § 13.208(d). 2. Consideration ofStatutory Criteria. As a general matter, a sanction should be imposed that is sufficiently deterrent but not excessive, in orderto comply with the underlying purposes ofthe Federal hazardous material transportation law and HMR. In determining the sanctionto be assessed, penalty criteria setforth in 49 U.S.C. § 5123 must be considered. These criteria are the nature, circumstances, extent, and gravity ofthe violation; the degree ofculpability ofthe violator; the history ofpastviolations (ifany); the ability to pay; the effect on the ability to continue to do business; and othermatters asjusticerequires. Some ofthese 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 performedto indicate the amount ofthe civil penalty within the appropriate range, i.e., at the minimum, moderate, ormaximum portion ofthe sanction range. The Matrixrecognizes that an even higherpenalty could be warranted for a significantly aggravated case, consistent with the increased maximum penalty of$50,000 imposedby 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 ofPenalty Sanctions. The Hazardous Materials Sanction Guidance is designed to promote betterconsistency so that similarpenalties are imposed in similar cases. The specified Matrixranges (e.g., $250-$550, or $15,000-$32,500) are intended to reflect the nature, circumstances, extent, and gravity ofthe case as compared with othertypes ofcases. Each case, however, must be evaluated on its own facts. A sanction may differ from the specifiedMatrix ranges whenthe facts and circumstances ofa case support either a greater or lesserpenalty. When a special agent believes that apenalty should exceed the specified Matrix ranges, the agent should consult with legal counsel before further processing ofthe EnforcementInvestigative Report (EIR). This consultation is not necessary in the case ofa recommended penalty thatis C-210/01/07 2150.38 less thanthatprovided 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 ofpart 175 ofthe HMR, which establish particular requirements for air carriers and other aircraft operators, are contained in a separate matrix. However, such operators often offerhazardous materials for air transportation, as well as accept and transportthem. Forthis 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 whetherthe alleged violator qualifies as a small business concern under the Small Business Regulatory EnforcementFairness Act of 1996 (SBREFA). For an extensive discussion ofhowto make that determination, see Part OneAbbreviations and Definitions, in Appendix B ofthis order. Ifinvestigating 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 ofinvestigation. See sample letter ofinvestigation in Figure A-1 ofAppendix A. Because violations ofTitle 49 ofthe U.S. Code and the HMR may be committed by entities in addition to those normally regulated by the FAA, the investigating agentmay need to refer to the SBA's complete table ofsize standards to find the correct size limit for an alleged violator. a. Enforcement Policy under SBREFA. Chapter 7, Paragraph 10, ofthis order generally outlines the FAA's enforcementpolicy under SBREFA. In determining whether and how to provide for the reduction or waiver ofcivil 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 subjectto multiple enforcement actions by the agency, a violation involving willful or criminal conduct, a violation thatresults whenthere has notbeen a good faith attempt to comply with the requirements, and a violation thatposes a serious health, safety or environmental threat. Withrespect to air carriers and other aircraft operators, the FAA takes into consideration company size in determining the appropriate amount ofcivil penalty. See the Matrix, Figure C-1, below. b. Information Sheet for Complaints by Small Business Concerns. Each FAA employee who conducts an inspection ofa 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 enforcementto the National Ombudsman. FAA special agents may obtain a copy ofthe information sheetfor hazardous materials inspections and additional guidance for distributing itfrom the ASH regional offices. c. Reduction or Waiver ofPenalty. The FAA does notreduce orwaive the penalty ofan alleged violator solely because it is a small business entity. This is because a violation ofthe hazmat statutes or HMRtypically poses a serious health, safety, or environmental threat (and may involve one ofthe otherreasons for exclusion). Accordingly, the FAA will usually reduce
C-310/01/07 2150.38
orwaive apenalty only ifthe small business entity provides evidence to demonstrate its inability to pay orthatthe proposedpenalty wouldprevent the entity from continuing in business. d. EnforcementActions Other than Civil Penalties. The FAA may, in limited circumstances, announce policiesto provide for hazmat enforcement actions less onerous than civil penalties, that is, administrative actions. Such policies may apply to small business entities orto others, and will be announced as Compliance and Enforcement Bulletins inthis order. 6. Use ofthe 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, ifany. Statutory considerations have been factored into the various ranges within the Sanction Guidance Matrix. Determination ofwhere a sanction lies within these ranges is aided by a series ofweighting questions thatprobe 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 ofquestions to determine the aggregate weight ofthe case. The aggregate weight of the case helps determine the sanction amount for each violation group within the established ranges ofthe Matrix. b. Determination ofSanction. Itis importantto note that determination ofwhere the sanction lies within the Matrix is not the result ofa mathematical computation. Evaluation ofthe case is based on the totality ofthe facts and circumstances. Generally, ifthe answer to a particular questionrepresents a more significant aspect ofa 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 ofthe range or even a penalty exceedingthe Matrixranges (ifnot already at the statutory maximum). c. Determination ofCategory. Under the Sanction GuidanceMatrix, agencypersonnel determine the category ofviolator the person falls within (jar example, business entity that regularly offers, accepts, ortransports hazmat) and the offense category (jar example, undeclared shipmentwithinhazmat quantity limitations). The sanction ranges underthe various violator categories take into account the relative culpability ofthe violator. Similarly, the offense categories address the nature, circumstances, and gravity ofthe particular offense. After determining the appropriate categories and intersectingbox ofthe Matrix, agency personnel then determine which subcategories ofoffenses (jar example, shippingpapers) are alleged to have been violated. Based on the weighting analysisperformed in subparagraphs 8.a.-e., an appropriate penalty is assigned for each ofthe applicable violation groups. Thepenalty amount for each relevant violation group is added togetherto reach the recommended sanction. d. Other Relevant Sanction Factors. Under subparagraph 8.g., the special agent then considers otherrelevant factors, including evidence ofcorrective action. A recommended sanctionmay be reduced priorto the issuance ofa notice ofproposed civil penalty when there is adequate reliable information concerning the corrective actions taken by a respondent. Corrective actions thatjustifyreduction ofthe recommended penalty mustexceedthe minimum
C-410/01/07 2150.38 

### legal requirements. The special agent also attempts to provide information concerningthe allegedviolator's size, financial condition, and ability to pay arecommended sanction. 7. FAALegal 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, ifany, should be explained to, and discussed with, the investigating special agent. Final determination ofthe sanction amountproposed in the notice ofproposed civil penalty is ordinarily aproduct of joint decisionmaking and approval ofthe investigating agent and the legal office. 8. FederalAviation Administration HazardousMaterials Sanction Guidance. This Sanction Guidance is divided into three sections: case analysis; utilization ofthe Sanction Guidance Matrix (Matrix); and consideration ofother statutory factors. The Sanction Guidance Matrix is contained in Figure C-1 and the Risk Categories are contained in Figure C-2. a. CaseAnalysis (Evaluation ofStatutoryAssessmentFactors). (I) 

### This section contains a series ofquestions to assist a special agent in evaluating a case and reconnnending a sanction. It

### also assists an attorney in evaluating a case file priorto initiation, and after additional information is received inresponse to a notice ofproposed civil penalty. The questions review factors involvingthe nature, circumstances, extent and gravity of the violation, the violator's degree ofculpability, and the violator's history ofprior violations. Some ofthese factors are already consideredto some extent within the various categories ofthe Sanction Guidance Matrix. The questions inthis section provide additional consideration ofthe statutory factors and examine the existence ofaggravating and mitigating factors in a case. (2) The agent answers each question in Section I 

### and determines ifarelative weight of minimum, moderate, ormaximum should be assigned based on the response to the question. Withthe exception ofQuestion (l)(a), 

### not all questions will necessarily apply to a given fact situation. Question (I)(a) 

### addresses the nature ofthe 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 ayes 

### response. Questions receiving a no 

### response do notaffectthe weighting ofthe case and are not considered. For example, thatthe 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 ofthe questions will be no 

### and the only relevant weighting factor in this section will be the risk category ofthe material identified in Question (I)(a). 

### (3) In determining the final aggregate weight ofthe case, the responses to each ofthe questions do nothave to be equally considered. Determination ofwhetherthe overall case should have a minimum, moderate, or maximum weight cannot be determined with mathematical certainty. Generally, ifthe answer to a question demonstrates thatthe factor at issue represents a more significant aspect ofthe case, greater consideration is givento that factor. The final aggregate weight is based onthe totality ofthe facts and circumstances ofthe case. Once C-5

### 10/01/07 2150.38 determined, the final aggregate weight is then utilizedto 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 ofthe Violation (Factors Concerning the Shipment): (I) Whatmaterial(s) was offered, transported, or accepted for air transportation? Figure C-2 divides hazardous materials ofparticular classes, divisions, and packing groups into three risk categories: Category A, Category B, and Category C. Findthe material offered, transported, or accepted, in Figure C-2 and answerthe questions below. • Ifthe material(s) is in CategoryA, assign aMaximum weight. • Ifthe material(s) is in Category B, assign aModerate weight. • Ifthe material(s) is in Category C, assign aMinimum weight. GuidanceNote: The categories in Figure C-2 represent the inherentrisk of danger to air transportationposedby 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 ofthe material(s) was offered, transported, or accepted for air transportation? • Did the package(s) exceed the authorized quantity limitations by asignificant amount? Ifyes, consider aModerate orMaximum weight depending on the degree to which the limitation was exceeded. Guidance Example: The quantity limitation for gasoline on apassengerplane is 5 litersper package. 

## If a violator offers 30 liters in a singlepackage on apassengerplane, assign a maximum weight for thisfactor. • Did the package contain a forbidden material? If yes, assign aMaximum weight. • Were there multiple packages in the shipment? Ifyes, consider aModerate or Maximum weight, depending onthe number ofpackages and total amount ofhazardous material being transported in violation. GuidanceNote: A package means a packagingplus its contents. There may be multiple packages in one shipment or overpack. Multiplepackages often representmultiple violations. Under the Sanction Guidance, thisfact is consideredan aggravating circumstance rather than a direct multiplier of the sanction for each violation. Each case, however, mustbe evaluatedon its particular facts. A very large number of packages may result in such an egregious case that the overallweight of the case is so high that apenalty beyondthe maximumpoint in the range is warranted. An investigation will occasionally reveal sufficient evidence of several shipments from the same offeror over aperiodof severaldays, all of which involve violations of the HMR. These independentacts of offering usually are consolidatedinto one EIR andaddressed in one notice C-610/01/07 2150.38 of

proposedcivilpenalty. However,forpurposes of determining the appropriate sanction, each separate shipmentwith separate air waybill or shippingpapers, separate destination, and/or other evidence establishing itas a separate shipment, is ordinarily consideredas a separate incidentforpurposes of applying the sanction guidance analysis. It is suggestedthat the separate shipments be treatedas individual counts in the EIR andthe notice of proposedcivil 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? Ifyes, 

### consider aModerate 

### orMaximum 

### weight. GuidanceNote: Thefact that no damage occurredas a result of the shipment is nota mitigating factor. However, damage or harm mayaggravate the nature, circumstances, extent, andgravity of the violation. Depending on the degree of damage causedbythe shipmentand/or the existence of other aggravating factors, departurefrom the ranges maybe justified. It is important to note thatdeath, serious illness, or severe injury to anyperson, orsubstantial destruction of property, warrants additional consideration of aggravation of the totalpenalty. c. Violator's Degree ofCulpability. 

### The Matrix, Figure C-1, considers the relative culpability ofthe violator. This section ofthe analysis further evaluates the degree ofculpability ofthe violator. (I) Is the violator the manufacturer ofthe hazardous material? Ifyes, 

### consider a Maximum 

### weight. GuidanceNote: A manufacturer of a hazardous material is expectedto have complete knowledge of the nature of the hazardous material itmanufactures or uses; thus, a high degree of culpabilitywill ordinarily be imputedto it. 

### (2) Did someone otherthan the violator prepare the shipmentfor transportation? Ifyes, 

### consider aMinimum 

### orModerate 

### weight. Guidance Note: Facts supportingan affirmative answer to this question may be cause to mitigate culpabilityand/orpursue a separate enforcementaction against other responsible parties who handledthe shipment. A shipper that reships materials received from another person in the samepackaging is independently responsible for ensuring the shipment complies with the HMR. Nevertheless, the reshipper is generally consideredto have a lesser degree of culpability for compliance of thepackage as received. However, 

## if the reshipper unpacks and/or repackages the shipment, the reshipper remains as culpable as the originalshipper and generally is notaccordedmitigation under this weighting factor. (Forpurposes of this section, a "reshipper" refers to aperson, other than the original offeror, who offers a shipment of hazardousmaterial for transportation.) 

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

### consider aMinimum 

### weight.

C-710/01/07 2150.38 Guidance Note: Detrimental. reasonable reliance on anotherpartymay be a mitigating factor when considering the violator's degree of culpability. For example, reliance on an inaccurate Material Safety DataSheet (MSDS) wouldbe mitigating. (4) Does the violator have a history ofprevious HMR violations? Ifyes, consider a Moderate orMaximum weight. Guidance Note: To establish a violation history, aprior violation mustbe an actual finding of violationpursuantto a legal enforcementaction. Special agents shouldattempt to determine the corporate structure of the violator andwhether other business entities ornames are orhave been usedby the entity in order to obtain a complete violation history. The numberandage of violations shouldbe considered. Ordinarily,findings of violation more than 5years oldcarry less weight, unless a continuingpattern of violation.exists. d. OtherFactors. (I) Each case mustbe evaluated on its particular facts. As such, many cases maypresent unique scenarios and aggravating ormitigating factors that are not routinely seen. Ifan aggravating ormitigating 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 inthe analysis portion ofthe EIR and carefully scrutinized by legal counsel. Guidance Note: For example, a shipment of a singlepackage containingseveraldifferent hazardous materials maypresentan aggravating factor. The degree of seriousness of thisfactor will increase 

## if the hazardous materials are incompatible with each other and, therefore, create an increasedrisk. Mitigating factors may also exist that have notbeen adequately considered. For example, a shipmentcontaininga de minimis quantity of materialor an amountthatwouldhave qualified under the small quantity exception of 49 C.F.R. § 173.4 maypresenta mitigating factor 

## if as a result there was a reducedrisk to safety in transportation. That the material couldhave been shippedas a consumer commoditycan also be a mitigating factor. e. Determinethe FinalAggregate Weight ofthe Case. (I) All the responses/weights are evaluatedto determine a final aggregate weight for the case (Minimum, Moderate, andMaximum.). 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 orher discretion in light ofthe statutory factors and knowledge ofthe particular facts ofthe case. The facts ofthe particular case will dictate the relative importance ofeach of the weighting factors in reaching the final aggregate weight. The final aggregate weight should be decided as a result ofcareful analysis, not a mathematical averaging. Itis possible that a single weighting factor may outweigh all others. The agent or attorney's analysis should always be explained in this regard. 

### C-810/01/07 2150.38 Guidance Example: A case involvinga hazardous material in the lowest risk categmymay be evaluatedto have a maximum weightbecause of the large quantity shippedor the damage resulting from the shipment. f. Utilize the Matrix (Figure C-1). (I) The sanction ranges under the offeror and offense categories ofthe Sanction Guidance Matrix reflectthe relative culpability ofthe violator and the nature, circumstances, extent, and gravity ofcases for the majority ofviolations. Consideration ofthese particular statutory factors under the Federal hazardous material transportation law is built into the Matrix. Further analysis ofthe 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 ofthe case under subparagraphs 8.a.-e., that weight is applied to the appropriate Matrixrange to identify the recommended sanction amount for each ofthe relevant violation groups and for the case as a whole. Althoughthe notice ofproposed civil penalty may cite numerous violations ofa particularpart or subpart ofthe HMR, unless upward departure isjustified, 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 ofentity and the nature ofthe offense involved in the case. Referto the Definitions Section thatfollows the Matrix in Figure C-1 for guidance. Go to the intersecting box and identify the applicable sanctionrange 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, ormaximumportion ofthe sanction range for each relevant violation group. The recommended civilpenalty at this stage is the sum ofthe sanctions for each ofthe applicable violation groups. A sanction should notbe assessed for a violation group ifthere have been no violations ofthatpart or subpart ofthe HMR. The sanction amount for each violation group neednot be identical but ordinarily is withinthe portion oftheparticular sanction range that represents the overall weight ofthe case. (3) Departure from the Matrixranges. The ranges ofpenalties specified in the Matrix (e.g., $250-$550) are intended to coverthe majority ofcases involving violations ofthe HMR. The facts and circumstances ofa particular case, however, mayjustify either an upward or downward departure from the specified Matrix ranges. This sanction guidance anticipates departure from the specified Matrixranges whenjustified. A case involving violations 

### in which the nature, circumstances, extent, and gravity ofthe incident are particularly severe or egregious, mayjustifyupward departure from the specified ranges. Ifthe investigating agent believes, based upon the facts ofa case, that a penalty should exceedthe specified Matrixranges, the agent should consult with legal counsel before further processing ofthe 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 factorsjustify a downward departure from the C-910/01/07 2150.38 Matrix range. Consultation with legal counsel is not necessary inthe case ofa recommended penalty that is less than that provided inthe Matrix. (However, in no case may the civilpenalty perviolation be less than the minimum allowed by law.) In either situation, however, the agent is to provide a detailed explanation ofthe basis for the decision to go outside the ranges. (4) Violations ofpart 175 regulations, which establishparticularrequirements for air carriers and other aircraft operators, are contained in a separate matrix. However, such operators often

### offerhazmat for airtransportation 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 ofOther Statutory Factors. The Federal hazardous material transportation law also requires consideration ofa violator's ability to pay a civilpenalty, the impact ofthe civil penalty onthe violator's ability to continue to do business, and othermatters thatjustice requires. Consideration ofthese factors may result in adjustment ofthe recommended civil penalty calculated in subparagraph 8.f. In situations where the agent or attorney is in possession ofmitigating information, such an inability to pay the recommended civil penalty or corrective action taken, reduction ofthe recommended penalty may be appropriate. Mitigating information should be sufficiently reliable, uncontroverted, and documented in orderto supportreduction of the recommended civil penaltypriorto issuing the notice ofproposed civil penalty. (I) Abilityto pay or continue in business. Historically, the FAA has considered these factors after the issuance ofthe notice ofproposed civil penalty due to the absence ofreliable financial information on which to base a reduction priorto the issuance ofa notice. This Sanction Guidance recommends thatthe special agent make efforts to obtain reliable information regarding the violator's size and financial condition for review priorto the issuance ofa notice. This information will betransmitted to the legal office for consideration. Itis recognized that it may not always be possible for the special agent and/or attorney to obtainreliable financial information on a particular respondent, thatfinancial circumstances change, and that information may be provided after the issuance ofthe notice that may warrant further consideration ofa respondent's ability to pay. • The investigating agent will attemptto include financial information as an exhibit in the EIR. It is anticipated thatthis information, ifavailable, will be obtained from reliable financial data bases. Financial documentation should include, but need notbe limited to, information concerning the violator's corporate structure, business address, officers, number of employees, and gross revenues. • The investigating agentprovides a statement or commentwithrespectto the financial information obtained but ordinarily does notevaluate the financial condition ofa respondent with respectto its ability to pay a proposed civil penalty. The investigating agent's statement should encompass areas like the number ofemployees, gross revenues, and nature of business ofthe violator. • FAA legal counsel reviews the financial informationprovided in the EIRand evaluates its sufficiency and relevance to the recommended civil penalty. Legal counsel may C-10

### 10/01/07 2150.38 determine ifmore current information exists concerningthe financial condition ofa respondent and ifthat information substantially differs from the information available at the time of preparation ofthe EIR. Ifthere 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 priorto issuance ofthe notice ofproposed civil penalty. This is a preliminary consideration ofa company's ability to pay. As such, pre-notice adjustment ofa recommended civil penalty does not preclude further consideration ofa respondent's financial claims after issuance ofthe notice. (2) Corrective Action. • The most common 

### other matterthat 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 ofpenalty reduction are the extent and timing ofthe corrective action. In other words, mitigation is determined on the basis ofhow 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 violatorreceives the letter ofinvestigation orthe notice ofproposed civil penalty. Mitigation ofa recommended civil penalty based upon corrective action should be referenced in the Notice ofProposed Civil Penalty so that the respondent is on notice that credit already has been given for such action. (2) Status ofviolator as a

### small business entity or concern. See subparagraphs 5.a.-b. above.



### C-11

### 10/01/07

OFFENSE CATEGORIES I. Declared Shinment I. ShippingPapers 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 for2 Passenger Aircraft I. ShippingPapers 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 for2 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 ofbusiness 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 I0,000-32,500 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 CONSULT10/01/07 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 I00,000 per offense I00,000 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 thetotal 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 CARRIERAND OTHER AIRCRAFT Air Carriers and Air Carriers and 

### OPERATOR VIOLATIONS OtherAircraft Other Aircraft Operators Operators Failure to comply with Parts 171, 172, or 173 Use main Matrix. Use main Matrix. requirements ofthe HMRas an offeror ofhazmat. Improper acceptance ofhazmat for air transportation. (i.e., quantity, labeling, marking, packaging, and 5,000-32,500 2,500-16,200 shippingpapers)

See49 C.F.R. §§175.30(a)(l)-(4) Failure to inspecthazmat shipmentproperly.

See 49 C.F.R. 

### §§ 175.30(b): (c), (d), (e) 10,000-32,500 5,000-16,200 Improper storage/securing ofhazmat aboard aircraft. 10,000-32,500 5,000-16,200 Failure to provide hazmat training, maintain records of I0,000-32,500 5,000-16,200 training, or meet minimum requirements for hazmat training (49 C.F.R.). Using untrained/improperly trained hazmat personnel, I0,000-32,500 5,000-16,200 failure to retain hazmattraining records (49 C.F.R.) Failure to notify FAA properly ofincident/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 Violationresults in death, serious illness, severe injury, or CONSULT CONSULT LEGAL substantial destruction ofproperty. LEGAL- Up to - Up to I00,000 per 100,000 per offense category offense category may be assessed may be assessed C-1310/01/07 2150.38 

### 9. Definitions: Note that these definitions are only for the purpose ofapplying the sanction guidance in this appendix.
a. Air Carrier and OtherAircraft Operator Groups (I, II, III, IV)- 

### Air carriers and other aircraft operators are divided into two categories for purposes ofdetermining an appropriate sanction. These categories track the air carrier groups established in Appendix B this order. Forpurposes ofhazmat sanction guidance, the FAA also includes other aircraft operators operating in commerce 

### that are ofsimilar size, e.g., 

### part 129 Foreign Air Carriers, part 125 Operators, and part 91 Operators. (I) 

### Group I is comprised ofair carriers with annual operating revenue of$100,000,000 or more. Other aircraft operators with annual operating revenue of$100,000,000 ormore are included in Group I for hazmat sanction guidance purposes. (2) Group II is comprised ofair carriers and other commercial operators that have an annual operating revenue ofless than $100,000,000, and have 50 or more pilots and operate 25 or more aircraft. Other aircraft operators ofthe same size are included in Group II for hazmat sanction guidance purposes. (3) Group III is comprised ofair 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 6to 24 aircraft. Other aircraft operators ofthe same size are included in Group III for hazmat sanction guidance purposes. (4) Group IV is comprised ofall other air carriers and commercial operators not meeting the criteria for Groups I, II, or III. Other aircraft operators ofthe same size are included in Group IV for hazmat sanction guidance purposes. b. BusinessEntity. A business, corporation, partnership, Sub-S Corporation, sole proprietor, association, or any type ofcommercial entity. An individual who offers a hazmat shipment in air transportation in the course ofhis orher 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 ofan individual (as defined below). c. BusinessEntity that Regularly Offers, Accepts, orTransportsHazardousMaterials in the Course ofIts 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 materialto its customers would fall into this category, even though its actual sale or transportation ofthe hazmat is infrequent or limited. This category includes manufacturer or distributor ofhazmat and a freight forwarder. d. Business Entity that Uses, Handles Hazmatin 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 ofa nonhazmatproductthat uses hazmat in the manufacturingprocess could fall into this category. It mustbe establishedthat 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 entitythat has no regular involvement C-1410/01/07 2150.38 with hazmat. The described business entity receivesthe subjecthazardous material in transportation and uses it in its business; thus, it is clearly on notice ofthe hazardous nature of the material andthe regulatory requirements to which the hazmat is subject. 

### e. Declared Shipment. Forpurposes ofthis sanction guidance, a declared shipmenthas at least one ofthe following communicative indicia---markings, labels, and/or shippingpapers that meetthe communicative requirements ofthe HMR. A packagethat has shippingpapers that declare the contents as hazardous material, but is otherwise not marked or labeled, falls into this category. Forpurposes ofthis definition, a shippingpaper is any documentto which handlers refer in the normal course oftransportation and that complies with one or more ofthe communicative requirements in the HMR for shipping papers. Similarly, a properly marked and labeledpackage that lacks shipping papers also falls into this category. An example ofa shipmentthat would not meetthis definition is one where the offeror states that the shipment contains hazmat, but only in paperworkto whichthe handlers do notrefer in the normal course oftransportation. 

### 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 ofhazardous material in his orherpersonal ·capacity, without any business purpose andnot as part ofa commercial enterprise. 

### h. Intentional orDeliberate Violation- A violation falls into this category whenthe offeror, acceptor, air carrier, or aircraft operatorhas knowledge ofthe requirements ofthe HMR, and willfully circumvents or attempts to circumventthose requirements. Forexample, an offeror who places a properlymarked and labeled hazmat shipment along withproperly completed shipping papers, into an overpack marked asprintedmaterial, has committed an intentional or deliberate violation. 

### i. Undeclared Shipment -Ifa shipment does not meetthe definition ofdeclaredshipment, it is an undeclared shipment. j. 

### Undeclared Shipment Hazmat Exceeds Quantity Limits for All Aircraft- An undeclared shipmentthat is offered for transportation on ortransported on any aircraft and the quantity ofhazardous 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 shipmentthat is offered for transportation on

### or transported on a passenger aircraft, and the quantity ofhazardous material exceeds the limitation, perpackage, for transportation on passenger aircraft (but not for transportation on cargo aircraft), as established in the 49 C.F.R. 

### § 172.10I Table. I. 

### Undeclared Shipment Hazmat Forbidden on All Aircraft- Anundeclared shipment that is offered for transportation on ortransported on any aircraft andthe hazardous material is forbidden in air transportation on cargo aircraft, as established in the 49 C.F.R. § 172.10I Table. C-15

### 10/01/07 2150.38

m. Undeclared Shipment HazmatForbidden on PassengerAircraft- An undeclared shipment that is offered for transportation on ortransported on a passenger aircraft, and the hazardous material is forbidden in airtransportation 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) Ifthe undeclared shipment is offered for transportation on ortransported on a passenger aircraft, the quantity ofhazardous material must be within the limitation, per package, for transportation on passenger aircraft, as established inthe 49 C.F.R. § 172.101 Table. (2) Ifthe undeclared shipment is offered for transportation on a cargo aircraft, but not transported, the quantity ofhazardous material must be within the limitation, perpackage, for transportation on passenger aircraft, as established in the 49 C.F.R. § 172.101 Table. (3) Ifthe undeclared shipment is offered for transportation on and transported on a cargo aircraft, the quantity ofhazardous material must be within the limitation, perpackage, 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 UndeclaredShipment Hazmat Exceeds QuantityLimitsfor...Aircrafi, or UndeclaredShipmentHazmat Forbidden on...Aircrafi, see above.



### C-1610/01/07



### CATEGORY "A" {Maximum Weight} RISK CATEGORIES (Figure C-2) 2150.38

Category "A" materials are materials that when released in the confines ofan aircraft can potentially have a catastrophic effect on an aircraft's ability to continue safe flight, resulting in a crash oremergency landing causing injuiy ordeath 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 (PIH) 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 (PIH) Class 7 Cargo Aircraft Only Quantities on Passenger Aircraft Class 8 Corrosive Material Liquid PG I and (PIH) 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 ofa 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 oftime 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 presentthe least amount of riskto 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 experiencedjudgment ofa special agentwho is convinced, based on the evidence and facts ofa case, thatthe failure ofan air carrier, shipper, freight forwarder, or passenger to follow established regulations has posed a riskto aviation safety. C-17