# Description 

Gamache-Wortman FAA 2010- 1081 

Agency Exhibits 

1 MFR 20090514 undecl hazmat ~ 1 pp 

2 Air Waybill AK 2090514 ~ 4 pp 

3 Photos ~ 6 pp 

4 Record Review of MSDS ~ 3 pp 

5 Record Review of MSDS ~ 6 pp 

6 Sta Meaders ~ 1 pp 

7 LOI dtd 20090518-3 pp 

8 Sanctions Guidance 2150.38 dtd 20071001- 17 pp 

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,__. 
"James Oswald" 

<james.oswald@alaskaair.co 

m> 

05/14/2009 08:52PM 

Undeclared Haz-Mat 

,AWE# 7132 6603 

Lisa Gamache 

Box 570 

Seward, Alaska 

Telephone # 360.628.9399 

2ea small hand flares/ flammable 

To Jeff Deitz/AAUFAA@FAA, Gary Meaders/AAUFAA@F AA, 

"Mike Tobin" <Mike.Tobin@AiaskaAir:com>, "ANCFK MOD" 

<ANCFK.MOD@AiaskaAir.com> 

cc 

bee 

Subject Undeclared Haz-Mat 

l box 20ga shotgun slugs/ explosive 

Flares found in survival suit 

Slugs found in fiberboard box with a shot gun. 

Located: Inbound Haz-Mat 

tOP;_ ____ _ 

Page.~l__.of~,_. _1_ 
·."' 

1 

027 ANC 7132 6603 027-7132 6603 

Sllipper'i Nama vnd Address 

LISA GAMACHE 

BOX570 

I Shl~pe~s Aoooun\ N~mber Not Nogouable 

1----c-ua-tome_r's_I~O~-um-!l!r-r---IAir Waybill 

SEWARD, AK 999999 

USA 

-001259J31S t&sue~By 

~M(o:q,~a. 

Consignee's Name Mel Address 

LISA GAMACHE · 

HFPU 

SEATTLE, WA 99999 

USA 

11!5Ui09 Canie(s Agent and City 

Tel: 360·628-9399 

I Consignee's Account Number 

Tel: 360M628-9399 

Also notrfy 

AccCJr.ting h'llonnallon 

L!S.A. GAMACHE 

BOX 570 

P,O, BOX 68900 UAT'I'LI!, -IN'A 981(,8 

800·2.25·2.151 AlASKACARGO.C:OM• 

Tel: 

""Ol!1259131S 

SEWARD, AK 999999 h~~~~~~~~~~A~~~,e-------------------~I'~~~~~N~~--------.----iUSA 

Airport of Departure (Addr. of First Carrier) and Flequeatad Routing 

Anchorage Gnneral Cargo 

To By First C&iriiOI' 

SEA Alaska Airlines 

otBy Curntn<:yl w 11/Af.. ulher · peclaretl Value For Carriage IOac!llletl Vatue For Cus1ams 

USD PP IX I - X l I NVD 1 NCV 

Airport of Oestinatlon 

Seattle XXX 

HandOng lnformalian 

UNKNOWN SHIPPER-ALL CARGO AIRCRAFT ONLY 

No of 

~ 

( 14 b 

f--..--' 

14 

Prapaid 

Gross 

Weight 

395.0 lt. 

395.0 

Climmodllr 

Item No. 

Weight 

1 

Charge 

248.85 

Valuai Charge 

1.96 

rT. 

Cha'9"able 

Weight 

I ass.o 

Collect othllf' Cha~gea 

MYC 

sec 

Ralel 

ChDJge 

0.63 

23.70 

7.90 

Total 

. 246.85 

I SCI 

Npture and QuantHy Of Good~ 

tinct Dimensions o~ Vo:olurne) 

HOUSE HOLD GOODS 

Dims: 34 x 40 x48 x 1 

1 X 1 X1 X 13 

1--------tGEN UNK 

248.85 Volume: 37.785 

p.2 

Tolal Other ChTarges Due ~ent Shipper c:ertflills that 1110 ~artt:utars on lhe race hereof are Cllll'llCl and that Insofar oq part oftbe ~onaignrnent 

conlllln• dangarou• goada, suth part. Ia properly daeoriiMid b)' name and Ia In proper col'dluon lor carrlqa 

1------...,..~~~~=~=~----1 by alriiCcordlng to IIUiappllcable Dan1J8rou• Gaoda Ragulallons. I con1ont to the Inspection Qf thla 011111"· "''..,\ 

TotalotherChaf90110ueCerrter For: LISA GAMACHE stonalureofSh!ODIII'crlliaAaetnt ';6 I 

31.60 . ~ty\Q~ 1) 

r.:J"1'Ht$ SHIPMENT ~CONTAIN ~HIS SHIPM~ CONTAIN ' /)' 

~----~~~~----~---~~~~--~~~==~~ANIGE~RO~U;S~!~;o~O~DS~--------~l--_b====~A~NG;E~R~OU~S~G~O~O;D-S-----.-. .... ---..---1/Vv Total Prepaid Total COIIacl 

282.41 

-iL.~~---~~:~! ........ ~-~---··-..;;.;;;;~~~~~---·· 1'1/ 

1 · o2r-11s2~ ~ 

.__---~--- ,• .. ·-· .. ···--···. . --··· ·--- . ···--·-·----) 
p, 0 • B 0 X 6 8 9 0 0 S E AT T L E , W A · 9 8 1 6 8 

8 0 0 • 2 2 5 .. 2 7 S 2 A L A S K A C A R G 0 . C o. M 

SHIPPER 

LISA GAMACHE 

60X570 

SEWARD, AK 999999 

AWB Number Pieces 

027~71326603 16 

Storage Locations: AWB3 

LOCAL CHARGES : 

PO Number 

.. 

Weight 

CONSIGNEE 

LISA GAMACHE 

HFPU 

SEATTLE, WA 99999 

Origin i Dest Nature of Goods Arriving Flight Details 

388.0 Lb ANC-SEA~ HOUSE HOLD GO AS 7082 16-May-2009 

16 

Bonded Warehouse 0 

Total Local Charges: USD 

VAT0.70%: 

Grand Total: 

USD 

USD 

RE C E I P T S T A T E M E N T 

Customs 

0.00 

0.00 

0.00 

The undersigned acknowledge the receipt of above mentioned consignment complete and in good 

~ , 1,.. condition. · 

Date: J~:.¥.C!Y:?.Q~ •••••..•.••••.. 

Time: J~_:9.1 ...•................... 

Driver: .l:!!!~.@~!!l!=!.C!~!! •••••. -•.••••• 

·-.. ___ ,, ... ____ ......... --····--··-....... -... ·-·· --·-·-.. ·-·--··-··· 

Registration: •••••••••••••••••••••••••••••• 

Signature: ~~f}~ 

.., -- ··-~·----. --··--·-··-···-··-·-·--------

p.3 

'I 
nar lH 11 1~:33p 

027 ANC 7132 6603 027-7132 6603 Shippe~s Name and Address 

LIS GAMACHE 

Ct. 1?1J;A ;;i 7 0 ,. SEWARD, AK 999999 

USA 

l Shippets Accounl Number 

L----C,...u-slo_m_e~ts~IO~Nu-mbe-:--r---;Air Waybill 

-00 1259131 S ls:iu"'' sr 

Ncl Negotiable 

Tel: 360-628-9399 

P.O. 80X 6B90D SEATTLE. WA 98168 800·2.2.5·2752 ALASKACARGO,COM 

Consignee's Name and Address 

LISA GAMACHE 

HFPU 

SEATTLE, WA 99999 

USA 

I Consignee's ~ounl Number 

Tel: 360-628-9399 

Aloonohly 

J1( 1( t>1 I 00 \,fY ~ 6-

IS"=-!S/!ItfSI'j}wC. -l.-~ 

Tel: 

Issuing Carrier's Agenl and Clly Aoco•nlrng lnformaUcn -0012591318 

l.ISA GAMACHE 

BOX570 

SEWARD, AK 999999 

r.~~~~r~~~~~~A~c~oo~e--------------------~j'~~==u=m~N~o.-----------.------1usA · 

Airport or Departure {Addr. of Firat Carrier) and Requesled RouUng 

Anchorage 

To By Firs! Clll'riet 

SEA Alaska Airlines 

Airport or OestlnaUon 

Seattle 

HandHng lnrormaucn 

o/By 

I'

Fiigh!IDate 

AS 7082/16 

UghiiOate 

UNKNOWN SHIPPER-ALL CARGO AIRCRAFT ONLY 

Gener.al Cargo 

Arr.o•nt of lnsuranoe 

XXX 

I SCi 

No or GI0$8 

~: Commadny 

~·=·· Weight Item No. 

Chargeable Rata/ 

Weight Charge Tolat Nature nnd Ouantlly of Goods 

(Incl. Dimensions or Volume) 

\~ 395.0 iL c 

' 

.. 

16 395.0. 

395.0 

. 

AS AGREED HOUSE HOLD GOODS 

Dims: 34 x 40 x48 x 1 

1 X 1 X1 X 13 

~------~------~GENUNK 

AS AGREED Volume: 37.790 

Prepaid Weight 

1 

Charge 

AS AGREED 

corroot Other Charges 

.~YC 

sec 

23.70 

Valuatii Charge 7.90 

TOial O.lher Chalrgas Cue Agent Shipper certifies thatllle pan!C'Jtars onlhe tDce hareorare CQtrect and lhal l~tsofat as any part Ojlf the conslgnmvnt 

contains dangerous goods, such part Is properly describe!! by name and Is In proper condition for carriage 

1-----~~~~-1--..,~~,..------1 by 111r according to the applicable Dangerous Goods Regulations, I consent to lhe inspection of this cargo. 

TotaiOtherChargeaDueCarller For. LISA GAMACHE stanaiUreofShiDDer~ 

1----:-------r-.....;..-------; r=7ll<S""""" """"'_,.. I ~..!..,~_,., l!:::..::..bANGEROUS GOODS ANGEROUS GOODS 

Total Prepaid Tillal Cotlaat 

AS AGREED 

1 027-7132 aso3 

~---------------------~--------------~--------------------~ 

p.4 

-·-··---,., .. - - •• - ... ,.&. ... ooooao,oo,,., ,,. __ '''' ., ' '...,,... .. ,,,.,,, .. --·-' • o ''' '•' ._, ' -·-' ........ - .,_ .. ___ ..... ,--~·----· ... -""-·-···-·· ------.. --i::._ 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

Security and Hazardous Materials 

SPECIAL AGENT'S STATEMENT: Gary D. MEADERS, Special Agent (SA), 

Federal Aviation Administration, Office of Security and Hazardous Materials, 222 West 

7th Avenue #14, Anchorage, Alaska, 99513, telephone (907) 271-4409. 

On May 14,2009, at approximately 1851 hours, Lisa GAMACHE, an individual shipper, 

offered 14 pieces for carriage aboard an Alaska Airlines (ASAA) flight at Ted Stevens 

Anchorage International Airport (ANC), Anchorage, Alaska. Cargo screening revealed 

items regulated under the. Hazardous Materials Regulations (HMR): two Orion Skyblazer 

Signal Flares; and one box containing five 20-gauge shotgun shells. 

These items are regulated, respectively, as: 

Flares, Aerial, Hazard Class 1.4G (explosives), UN0403, Packing Grp IT. 

Cartridges, Small Arms, ORM-D (other regulated material). 

Column 9(a) of the Hazardous Materials Table, HMR, expressly forbids the flares from 

being offered or carried aboard a passenger-carrying aircraft, due to the danger 

represented. 

I received an e-mail notification of this discrepancy from Mr. James OSWALD, of 

ASAA, on May 14, 2009. 

I arranged to inspect the shipment, receive appropriate shipping documentation, and take 

investigative photographs, on May 15, 2009. 

A Material Safety Data Sheet (MSDS) for Aerial Flares was obtained, via the Internet, 

from the Orion Safety Products Company. 

An MSDS for Shotshell Loaded Round was obtained, via the Internet, from the 

Remington Arms Company. 

A Letter of Investigation (LOI) was mailed to GAMACHE on May 18,2009. 

No written, e-mail, fax, telephonic, or other response was forthcoming, and she did not 

return any telephone calls. 

Hazardous 

~~~ Materials Specialist 

Item of Proof 1 (Page 1 of 1 Page) 

Interviewed/Reviewed On __________ _ 

Qi Special Agent Garv D. Meaders 

FAA Form 1600-32·1 (9·86) · 

At __________ _ 

File No. __ ____,2~0~09~AL~=.~7..l.!00~1~03:i!.---­

FOR OFFICIAL UBJt ONLY 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

Security and Hazardous Materials 

PHOTOGRAPH 1 

Photograph taken at the Alaska Airlines Cargo Stores Facility, Ted Stevens Anchorage 

International Airport (ANC), Anchorage, Alaska, depicting the destination airport (SEA), 

Seattle; the origination airport (ANC), Anchorage; the Air Waybill Number (027-7132-

6603; the air carrier (AS), Alaska Airlines; the piece count (14); the total weight (395 

pounds); and the type of cargo (General or Unknown). 

This photograph was taken by Special Agent Gary D. MEADERS, on May 15,2009, with 

a FinePix FujiFilm A610 Automatic Digital Camera. 

The custodian of all photographs processed during this investigation is the Manager, 

Hazardous Materials Branch, ANM-740, 1601 Lind Avenue, S.W., Suite 530, Renton, 

WA 98055. Adobe Reader 9.0 was used to read the photos before they were transferred 

to Microsoft Office Word Version 10. No alterations were made to the photographs other 

than copying and enlarging them from Adobe Reader to Microsoft Office Word. 

Item of Proof 4 (page 1 of 6 pages) 

Interviewed/Reviewed On------------ At __________ _ 

~ Special Agent Gary D. Meaders File No •. ___ ""20<><0=9A ... L7-'-'0""-0...,10,._3 __ _ 

FAA Form 1600-32·1 (9·86) FOR OFFICIAL USE ONLY 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

Security and Hazardous Materials 

PHOTOGRAPH 2 

Photograph taken at the Alaska Airlines Cargo Stores Facility, Ted Stevens Anchorage 

International Airport (ANC), Anchorage, Alaska, depicting the palleted shipment. 

This photograph was taken by Special Agent Gary D. MEADERS, on May 15,2009, with 

a FinePix FujiFilm A61 0 Automatic Digital Camera. 

The custodian of all photographs processed during this investigation is the Manager, 

Hazardous Materials Branch, ANM-740, 1601 Lind Avenue, S.W., Suite 530, Renton, 

WA 98055. Adobe Reader 9.0 was used to read the photos before they were transferred 

to Microsoft Office Word Version 10. No alterations were made to the photographs other 

than copying and enlarging them from Adobe Reader to Microsoft Office W ?rd. 

Item of Proof 4 (page 2 of 6 pages) 

Interviewed/Reviewed On------------At-----------

~pecial Agent Garv D. Meaders File No •. ___ ~20~0u9AL~7L!.O!l.!.0~10~3 __ _ 

FAA Form 1600-32-1 (9-86) FOR OFFICIAL USE ONLY 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

Security and Hazardous Materials 

PHOTOGRAPH 3 

Photograph taken at the Alaska Airlines Cargo Stores Facility, Ted Stevens Anchorage 

International Airport (ANC), Anchorage, Alaska, depicting another view of the palleted 

shipment. 

This photograph was taken by Special Agent Gary D. MEADERS, on May 15,2009, with 

a FinePix FujiFilm A61 0 Automatic Digital Camera. 

The custodian of all photographs processed during this investigation is the Manager, 

Hazardous Materials Branch, ANM-740, 1601 Lind Avenue, S.W., Suite 530, Renton, 

WA 98055. Adobe Reader 9.0 was used to read the photos before they were transferred 

to Microsoft Office Word Version 10. No alterations were made to the photographs other 

than copying and enlarging them from Adobe Reader to Microsoft Office Word. 

Item of Proof 4 (page 3 of 6 pages) 

Interviewed/Reviewed On------------At---------~-

6:~ Special Agent Gary D. Meaders File No .. ___ 4120ll!09z.r.ALy,7.!.),0~0~10~3 __ _ 

FAA Form 1600·32·1 (9·86) FOR OFFICIAL US& ONLY 

\[, 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

Security and Hazardous Materials 

PHOTOGRAPH 4 

Photograph taken at the Alaska Airlines Cargo Stores Facility, Ted Stevens Anchorage 

International Airport (ANC), Anchorage, Alaska, depicting the two Skyblazer Red Aerial 

Flares, and, behind, the box of Shotgun Shells. 

This photograph was taken by Special Agent Gary D. MEADERS, on May 15,2009, with 

a FinePix FujiFilm A610 Automatic Digital Camera. 

The custodian of all photographs processed during this investigation is the Manager, 

Hazardous Materials Branch, ANM-740, 1601 Lind Avenue, S.W., Suite 530, Renton, 

WA 98055. Adobe Reader 9.0 was used to read the photos before they were transferred 

to Microsoft Office Word Version 10. No alterations were made to the photographs other 

than copying and enlarging them from Adobe Reader to Microsoft Office Word. 

Item of Proof 4 (page 4 of 6 pages) 

Interviewed/Reviewed On-----,---------At-----------

~pecial Agent Garv D. Meaders File No •. ___ £<J20~0Z£9A!!<L7.w.O!.!LO...,l0~3 __ _ 

FAA Form 1600·32·1 (9·86) FOR OFFICIAL USIIl ONLY 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

Security and Hazardous Materials 

PHOTOGRAPH 5 

Photograph taken at the Alaska Airlines Cargo Stores Facility, Ted Stevens Anchorage 

International Airport (ANC), Anchorage, Alaska, depicting the two Skyblazer Aerial 

Flares and the box of five 20-gauge Shotgun Shells. 

This photograph was taken by Special Agent Gary D. MEADERS, on May 15,2009, with 

a FinePix FujiFilm A610 Automatic Digital Camera. 

The custodian of all photographs processed during this investigation is the Manager, 

Hazardous Materials Branch, ANM-740, 1601 Lind Avenue, S.W., Suite 530, Renton, 

WA 98055. Adobe Reader 9.0 was used to read the photos before they were transferred 

to Microsoft Office Word Version 10. No alterations were made to the photographs other 

than copying and enlarging them from Adobe Reader to Microsoft Office Word. 

Item of Proof 4 (page 5 of 6 pages) 

Interviewed/Reviewed On------------ At __________ _ 

(;W Special Agent Garv D. Meaders File No •. ___ .a.~20l),l.09;u;AL""'7!.!<0~0llo.ll0:>!..3 ---

FAA Form 1600-32·1 (9-86) FOR OFFICIAL USE ONLY 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

Security and Hazardous Materials 

PHOTOGRAPH 6 

Photograph taken at the Alaska Airlines Cargo Stores Facility, Ted Stevens Anchorage 

International Airport (ANC), Anchorage, Alaska, depicting the Remington Arms Safety 

Rules on the reverse side of the box of Shotgun Shells. 

This photograph was taken by Special Agent Gary D. MEADERS, on May 15,2009, with 

a FinePix FujiFilm A610 Automatic Digital Camera. 

The custodian of all photographs processed during this investigation is the Manager, 

Hazardous Materials Branch, ANM-740, 1601 Lind Avenue, S.W., Suite 530, Renton, 

WA 98055. Adobe Reader 9.0 was used to read the photos before they were transferred 

to Microsoft Office Word Version 10. No alterations were made to the photographs other 

than copying and enlarging them from Adobe Reader to Microsoft Office Word. 

Item of Proof 4 (page 6 of 6 pages) 

Interviewed/Reviewed On------------At-----------

~ecial Agent Garv D. Meaders File No. ___ =20=09=AL..,7,_,0=01..,0,...3 __ _ 

FAA Form 1600·32·1 (9-86) FOR OFFICIAL USE ONLY 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

Security and Hazardous Materials 

RECORD REVIEW: Record Review of Material Safety Data Sheet (MSDS) 

for Flares, Aerial 

An MSDS was accessed on May 20, 2009, via the Internet, from the Orion Signal 

Products Company, Peru, lN (www.orion.com), a manufacturer/distributor for a product 

identified as Orion Skyblazer XLT anci XLT, Twin, an item similar to, if not identical 

with, the material identified in this case. 

This Data Sheet noted: 

Section I: Identification 

Description: A dark gray powder consolidated into an aluminum cup. 

Section III: Hazardous Ingredients 

Magnesium 

Strontium Nitrate 

Polyvinyl Chloride 

Dextrin 

Potassium Perchlorate 

Black Powder 

Section IV: Fire and Explosion Hazard Data . 

OSHA Classification: 1.4G, Explosive 

Section VIII: Shipping Data 

DOT Class: Flares, Aerial 

1.4G 

UN0403 

Packing Group II 

This Data Sheet, prepared August, 2006, contained no further applicable information. · c:l ~ 

A copy of the MSDS from the Orion Signal Products Company is appended to this Item i 1/0 ~~~ ~~ 

Item of Proof 7 

Interviewed/Reviewed On __________ _ 

b----"S!,b!lpe"'"cial.....,.Ag,.,.en..,.t....,.G ... arv_,_""D . ...,M..,.ea..,d ..... er .... s _ 

FAA Form 1600.32·1 {9·86) 

At __________ _ 

File No._.....,__2£<J,ODLQ9~AL~7u.!Q_,_,Ol~03o.t.--__ 

FOR. OFFICIAL USE ONLY 

7:~ ,~~' 

1\? 
ORION SAFETY PRODUCTS 

RAILWAY & IDGHWAY FUSEES 

MAru:N'E SIGNAL PRODOCI'S 

MATERIAL SAFETY DATA 

EMERGENCY CONTACf: CHEMTREC 

1-800424-9300 

SECI10N I-IDENTIFICATION 

PllODUCf NAME 8r: SYNONYMS: Orion Skyblazer XLT and XLT, Twin 

CHEMICALFAMILY: · Not Applicable J FORMULA: Mixture I TRADE NAME: Skyblazer XLT or XLT Twin 

. DESCRIPTION: A dark gray powder consolidated into an aluminum cup I CAS NO. Not Applicable 

SECI10N ll-NORMAL HANDLING PROCEDURES 

PRECAUTIONS TO BETAKEN IN HANDLING AND STORAGE: (KEEP OUT OF REACH OF CHILDREN) 

Store in a cool area out of direct sunlight. Do not allow long-tenn exposure to temperatures in excess of 1800p. A void long:term 

immersion in water. Do not disassemble signal. Remove bottom cap only if out-of-doors and preparing to activate signal. Flares 

should be allowed to burn to completion. Unburned and partially burned dares contain potassium perchlorate which should not be 

allowed to come into contact with surfiwe and ground water. Do not attempt to ignite or bum this product inside a building or vehicle 

PROTEC11VE EQUIPMmoff VENTILATION REQUIREMENTS 

EYES: Goggles when handling broken containers. 

GLOVES None required. Outdoor use only 

OTHER: None required. 

SECTION Ill- HAZARDOUS INGREDIENTS 

BASIC MATERIALS OSHA LDSO. LC50 SIGNIFICANT EFFECTS 

PEL 

Magnesium CAS# 7439-95-4 15mglm3 230 mgi.K.g (rat) No Data Heart beat alteration. J.n:flanunatiOD and 

local lesions on skin. 

~trontium Nitrate CAS# 10042-76-9 None Est. 2750 mg/Kg (rat) No Data hritant to skin. eyes & mucous membranes 

Polyvinyl Chloride CAS# .9002-86-2 1 ppm Not Known No Data May contain a suspected carcinogen. 

Dextrin CAS# 9004-53-9 5mg/m3 None Est. None Est. Possible eye & mUC()us membrane 

irritant. 

Potassium Perchlorate CAS# 7778-7 None Est. None Est. None Est. Irritant to skin, eyes & mucous membranes. 

Absorption can cause Methemogloglobinemia 

and kidney inJury. lngestiOD may cause 

gastroenteritis. Reactive oxidizer-keep awa 

from fuels. 

Black Powder None Est. None Est. None Est. Explosive ifloose. Dust may be irritant. 

SECTION lV- FIRE AND EXPLOSION HAZARD DATA 

Auto Ignition of Contents: OSHA CLASSJFlCATION: FLAMMABLE l!XPLOSIVE LOWER: tiPPER: 

>I80C>p 1.40, Explosive UMlTS NotK.no'Wn Not Known 

EXTINGUISHING MEDIA: Water deluge. Suffocation techniques maybe ineffective as oxidizers are included in the mixture. Collect 

water/sand for approved disposal. Keep :from entering surface or ground water.· 

SPECIAL FIRE HAZARD&. FIRE FIGifiiNG PROCEDURES: 

Use NIOSHIMSHA approved self-contained breathing apparatus when signals are involved in a fire. 

SECTlON V- HEALTH HAZARD DATA 

THRESHOLD LIMIT VALUE: None established. 

s¥MPTOMS OF OVER EXPOSURE: Contents of star can cause skin, eye and mucous membrane irritation; dermatitis. 

SKIN: If exposed to contents, flush thoroughly with water. 

EYES: If exposed to contents, flush with water fur 15 minutes, call a physician. 

INGESTION: Call a physician immediately 

INHALATION: If star contents are inhaled, move victim to fi'esh air. Call a physician. 

Page 1 of2 

lOP _____ ....., _ 

l of,_"2-.... __ 
I 

SECI'ION VI- TOXICOLOGY Contents of Si ai 

ACUI'E ORAL LD 50: No available data. CARCINOGENICITY: 

ACUTE DERMAL LD 50: No available data. MUTAGENICITY: 

ACUI'E INHALATION LC 50: No available data. IRRITANT: 

PIUNCIPAL ROUTES OF ABSO'R.PTJON: Inhalation or ingestion of contents. 

Not known to be carcinogenic. 

Not known to be mutagenic. 

Eye and skin 

. EFFEcrs OF ACUTE EXPOSURE: Contents can cause skin, eye and mucous membrane irritation; dermatitis. 

EFFECI'S OF CHRONIC EXPOSURE: Contents as a dust may cause dermatitis. Exposure to dust can irritate respiratory tract. Ingestion 0 

potassium perchlorate may disrupt the proper functioning of the thyroid gland. Additional 

information may be obtained from the National Academy of Sciences concerning the effects of 

potassium perchlorate on humans. 

SECTION VII- SPILL AND LEAKAGE PROCEDURES (Control Procedures) 

ACI'ION FOR MATERIAL RELEASE OR SPILL: 

Remove all sources of ignition. Wear NIOSHIMSHA approved dust respirator if there are dusty conditions. (Follow OSHA 

regulations fur respirator use. See 29 CFR 1910.134.) Use non~sparking utensils to· sweep or shovel up and place in an 

approved DOT container. Do not return material to original container. Isolate and DO NOT SEAL. Wash all contaminated 

clothing before re-use. In the event of a large spill, call the emergency telephone number listed below. 

TRANSPORTATION EMERGENCY, CONTACT CHEMTREC 1-8()0...424-9300 

WASTE DISPOSAL METHOD: 

Dispose of contaminated product and materials used in cleaning up spills or leaks in the manner approved fur pyrotechnic 

material. Consult appropriate federal, state and local regulatory agencies to ascertain proper disposal procedures. 

Open burning is preferred method of disposal fur pyrotechnic materials. · Signal should be allowed to bum to completion. 

Partially burned, unburned signals, and ash from burned signals should be disposed of in accordance with f.Meral, state, and 

local requirements. Reier to 40 CFR 261.20 -.24 to determine at the time of disposal whether the product should be classified a 

a hazardous waste. Do not store partially burned signals in a vehicle, closed container, warehouse, or any other building. Refur 

to California Code ofRegulations, Title 33, Sections 67384.1-67384.10 for additional infurmatii.m on handling and disposal of 

potassium perchlorate containing materials. 

SECTION VIII- SHIPPING DATA 

DOT CLASS: XLTModel: Flares, aerial, 1.4G, UN0403, PackingGroupll, Label required 1.4G, EX~2002110107 

TWJNXLTModel: Flares, aerial, 1.40, UN0403, Packing Group II, Label required 1.40, EX-2002110148 

STABLE: X UNSTABLE: 

CONDlnONS TO AVOID: 

SECI'ION IX- REACTIVITY DATA 

AT ___ oC ___ •F I HAZARDOUS 

POLYMERIZATION I MAYOCCUR: 

WILL NOT OCCUR: X 

Exposure of the signal to temperatures in excess of 1801>f may cause weakening of the signal body. 

INCOMP ATIBIUIY (Material to avoid): 

A void exposure to organic solvents which might weaken the signal body. 

HAZARDOUS DBCOMPOSIDONPRODUCTS: 

Carbon monoxide, Nitrous oxides, Carbon dioxide. 

MELTING POINT Not Applicable 

BOILING POINT Not Applicable 

SPECIFIC GRA Vl1Y (lb0-1) No Data 

INFORMATION FURNISHED BY: 

SECI'ION X- PHYSICAL DATA 

VAPOR PRESSURE No Data 

SOLUBILITY IN WATER No Data 

pH Not Applicable 

VOLATILES 

EVAPORATION RATE 

VAPOR DENSI1Y (Air=l) 

ORION SAFETY PRODUCTS 

3157 N 500W 

P~lN46970 

1-800-851-5260 

DATE: 

No Data 

No Data 

Not Applicable 

August2006 

This infonnation is accurate to the best knowledge of Orion Safety Products, ORION SAFETY PRODUCTS MAKES. NO REPRESENTATIONS OR 

WARRANTIES, EITHER EXPRESS OR IMPUED, INCLUDING WITHOUT LIMITATION ANY WARRANTIES OF MERCHANTABll..ITY OR 

FITNESS FOR A PARTICULAR PURPOSE, WITH RESPECT TO THS INFORMATION SET FORTH HERIN OR. THE 'PRODUCT TO WHICH THE 

INFORMATION REFERS. ACCORDINGLY, ORION SAFETY PRODUCTS WILL NOT BE RESPONSIBLE FOR DAMAGES RESULTING FROM 

JSE OF OR RELIANCE UPON THIS INFORMATION. Ally person utilizing this document should seek competent professional advice to verify and 

assume responsibility for the suitability of this infonnation to their pa:rticular situation. 

Page2 of2 lOP t 

Page, __ "2--.of ...... , ___ 2-_ 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

Security and Hazardous Materials 

RECORD REVIEW: Record Review of Material Safety Data Sheet (MSDS) 

for Shotshell Loaded Round 

An MSDS was accessed, on June 16, 2009, via the Internet, from the Remington Arms 

Company, Madison, NC, for a product identified as a Shotshell Loaded Round, an item 

similar to, if not identical with, the material identified in this case. 

This Data Sheet noted: 

Section 2: Hazardous Component Information 

Propellant: Nitrocellulose, Nitroglycerin, Graphite 

Section 14: Transportation Information: 

Proper Shipping Name: Cartridges, Small Arms 

Hazard Class: ORM-D 

Special Information: May be reclassified internationally as: 

Hazard Class: 1.4S 

UN/NA No.: UN0012 

Packing Group: IT 

This Data Sheet, issued April, 1995, contained no further applicable information. 

A copy of the MSDS from the Remington Arms Company is appended to this Item of 

Proof. 

Item of Proof 8 

Interviewed/Reviewed On--~---------

M _________________ __ 

~ Special Agent Gary D. Meaders File No. ___ 2.,0""09...,AL~7w.O,..,Ol""'03.,__ __ 

FAA Form 1600-32-1 (9-86) FOR OFFICIAL US& ONLY 
Remington Arms Material Safety Data Sheet 

This Material Safety Data Sheet has been prepared in compliance with Federal OSHA Hazard 

Communication Standard 29 CPR 1910.1200, ANSI Z400.1-1993 and the ISO Safety Data Sheet Standard. 

This product may be considered to be a hazardous chemical under 29 CPR 1910.1200. This information is 

required to be disclosed for safety in the workplace. This MSDS is applicable only. to the product 

identified herein and only when used properly. 

NOTE: Refer to Section XVII for List of Acronyms. 

Product: SHOTSHELL LOADED ROUND 

HMIS Rating 

Health: 2 

Flammability: 0 

Reactivity: 1 

Shotshell Ammunition is comprised of the following four (6) components. The hazardous chemicals 

contained in each are listed. The percent by weight of the hazardous ingredients in Shotshell Ammunition 

are listed in the table below. 

1. Projectile (Load) 

Slug ........................... Lead, Copper, Antimony, Arsenic 

Lead ShOt ................. Lead, Copper, Antimony, Arsenic 

Steel Shot ................. Iron, Zinc 

2. Plastic Shotshell Case ..... Polyethylene (No hazardous chemicals contained in plastic Shotshell 

case.) 

3. Shotshell Cap .................. Copper, Zinc, Iron 

4. Wad ................................. Polyethylene (No hazardous chemicals contained in wad.) 

5. Propellant.. ...................... Nitrocellulose, Nitroglycerin, Graphite 

6. Primer ............. , ............... Copper, Zinc, Iron, Antimony, Barium, Lead Styphnate, Tetrazene 

Hazardous lnl!redients 

Copper 

Zinc 

Revised: October, 2001 

Issued: April, 1995 

Percent by Weil!ht 

8-65% 

*0.1-8% 

* all Brass Head 

Less than 0.1-3% 

CAS Number Exposure Limits (PEL) 

7440-50-8 None established 

7440-66-6 TWA (fume) 0.1 mg/m3 

TWA (dust, mist) 1.0 mg/m3 

Page 1 of6 

lOP _____ e _ 

Page___j__of,_6_ 
Remington Arms 

Lead 

Antimony. 

Arsenic 

Iron 

Barium 

Nitroglycerin 

Graphite 

Lead Styphnate 

Lead Trinitroresorcinate 

Nitrocellulose 

Cellulose Tetranitrate 

Tetrazene 

Emergency Overview: 

Material Safety Data Sheet 

50-92% 7439-92-1 TWA 0.05 mg/m3 

*0% 

*with Steel Shot 

Less than 0.1-5.5% 7440-36-0 TWA 0.5 mg/m3 

0.3-1.4% 1309-37-1 TWA 10mg/m3 

2-13% 7440-39-3 TWA 0.5 mg/m, 

*70-89% 

* with Steel Shot 

Less than 0.2% 7440-39-3 TWA 0.5 mg/m3 

0.3-2.8% 55-63-0 TWA CL 0.2 ppm (skin) 

STEL 0.1 mg/m3 (skin) 

Less than 1% 7440-44-0 (Natural) TWA 2.5 mg/m3 

(Synthetic) Respirable 

Fraction: 5 mg/m3 

Less than 0.2% 63918-97-8 None established 

Less than 1% 9004-70-0 None established 

Less than 0.1% 109-27-3 None established 

Accidental fire may cause low-energy fragments to be emitted thus 

causing potential eye injl:li'Y. 

Potential Human Health Effects: 

Skin Contact: May cause allergic reaction (sensitization) in susceptible individuals. 

Eye Contact: Dust and fumes can irritate the eyes causing redness and discharge. 

Inhalation: Inhalation of dust or fumes may cause irritation to nose, throat, upper 

respiratory tract and lungs. Irritation may lead to bronchitis, headache, 

lowering of blood pressure and weakness. 

Ingestion/ Absorption: Ingestion may cause severe headache, nausea, vomiting, abdominal 

pain, fatigue, diarrhea, trembling, ringing in ear and salivation. 

Carcinogenicity Information: This product is not classified a carcinogen by IARC, OSHA, NTP or 

EPA. Lead and Arsenic are classified a carcinogen by IARC. 

Skin Contact: 

Eye Contact: 

Inhalation: 

Wash affected area thoroughly with soap and water. Remove contaminated 

clothing. Wash clothing thoroughly prior to reuse. Discard any contaminated 

leather items (i.e. shoes, etc.). 

If wearing contacts, immediately remove contact lenses. Hold eyelids apart and 

flush eyes thoroughly with water for at least 15 minutes. Obtain medical 

attention immediately. · 

Immediately remove to fresh air. Administer artificial respiration, if necessary. 

If breathing is difficult, administer oxygen. Obtain medical attention 

immediately. 

Revised: October, 2001 

Issued: April, 1995 

Page 2 of6 

lOP ~ 

~of-~_·_ 
~---~~~~--~-~~~~~~~--~~~~~~~~~~~~~~~----~------~---------

Remington Arms 

Ingestion/ Absorption: 

Flammable Properties: 

Extinguishing Media: 

Material Safety Data Sheet 

If conscious, drink large amounts of water. Induce vomiting. Immediately 

contact a physician or Poison Control Center. Never induce vomiting or give 

anything by mouth to an unconscious person. 

May ignite ifheated to 250°F. Will ignite when exposed to flame and high 

temperatures. Be cautious of low-energy fragments. 

Flood fire with water to fight fire and cool shells. If no water is available, 

use carbon dioxide, dry chemical or earth. 

Fire-Fighting Instructions: Evacuate area immediately. Deluge area with water. Wear full firefighting protective gear including face shield or SCBA to protect from 

fragments. 

Safeguards: 

Spill Cleanup: 

Accidental Release: 

Personnel Handling: 

Storage: 

Engineering Controls: 

Remove from all sources of ignition. 

Use non-sparking equipment to clean up spill. If disposal is necessary, refer 

to XIII DISPOSAL CONSIDERATIONS. 

See above. 

Handle with care. Do not strike or crush the rounds. 

Store in original containers in a cool, dry, well-ventilated area away from all 

sources of ignition. Do not subject to mechanical shock. Keep out of reach 

of children. This product must not be stored with acids, strong oxidizers or 

caustics. 

Local exhaust ventilation is recommended if significant dusting occurs. 

Otherwise, use general exhaust ventilation. 

Personal Protective Equipment: Safety glasses recommended when handling or firing rounds. 

Hearing protection recommended when firing rounds. 

Exposure Guidelines: 

Exposure Limits: 

PHYSICAL DATA 

Form: 

Revised: October, 2001 

·Issued: April, 1995 

Use of a NIOSHIMSHA-approved respirator is recommended when 

concentrations to fumes and/or dust exceed the PEL or TL V. 

• Keep product away from sources of accidental ignition. 

• Exposure limits listed with each hazardous chemical. 

Solid Evaporation Rate: N/A 

Page 3 of6 

lOP 

Page 

~ 

~\J 

~of_ c, 
Remington Arms Material Safety Data Sheet 

Color: 

Odor: 

Boiling Point: 

Specific Gravity: 

Vapor Pressure: 

Vapor Density: 

Chemical Stability: 

Other Hazards: 

Incompatibility: 

Polymerization: 

Variable 

None 

N/A 

N/A 

N/A 

N/A 

Melting Point: 

Solubility in Water: 

pH: 

N/A 

N/A 

N/A 

Stable under normal use conditions. Will not react with water. 

Incompatible with acids, strong oxidizers and caustics. 

Will not occur. 

Conditions to Avoid: Flames, sparks, percussion, shock, static, high temperatures (266°F or 130°C, or 

above) 

OraiLD50: 

Dermal LD 50: 

Inhalation LC 50: 

Irritation: 

Aquatic Toxicity: 

No available data. 

No available data. 

No available data. 

Not a skin or eye irritant. 

Lead (LC 50) to Bluegill: 2-5 mg/1 

Barium to Stickleback: 400 mg/1 

Barium Nitrate to Stickleback: 760 mg/1 

Environmental Impact: 

When used and disposed of properly, there is no known environmental impact. 

This product is considered a characteristic hazardous waste per 40 CFR 261.24 for disposal purposes only. 

Dispose of as required by local, state and federal laws and regulations. 

EPA Hazardous Waste Code: D008 (lead) 

Revised: October, 2001 

Issued: April, 1995 

Page 4 of6 

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Page 4- of ~ 
Remington Arms 

SHIPPING INFORMATION 

Proper Shipping Name: 

Hazard Class: 

UN/NANo: 

Packing Group: 

Shipping Label: 

Cartridges, Small Arms 

ORM-D 

N/A 

N/A 

None required. 

Material Safety Data Sheet 

Special Information: May be reclassified internationally as: 

Hazard Class: 1.48 

UN/NA No.: UN0012 

Packing Group: II 

Shipping Label: 1.4S label (or marked 1.4S) 

U.S. FEDERAL REGULATIONS 

TSCA Inventory Status: Included on list. 

This product contains a toxic chemical or chemicals subject to the reporting requirements of 

section 313 of Title III of the Superfund Amendments and Reauthorization Act of 1986 and 40 

CPR Part 372. 

NFP A Rating: Not established. 

HAZARD CLASSIFICATION 

Chronic Health: 

Acute Health: 

Fire Hazard: 

Pressure Hazard: 

Reactivity Hazard: 

NPCA-HMIS Ratings: 

Health: 2 

Flammability: 0 

Reactivity: 1 

References: 

Headache, nausea, weakness 

Anemia, embryotoxin. 

0 (per HMIS Rating) 

Sudden release of pressure. 

1 (per HMIS Rating) 

Code of Federal Regulations, Monthly Summary, CPR 191 0.1200(g) and Appendix E (B.), 

Regulations Management Corporation, Bloomington, Indiana, July 1, 1994. 

Hazardous Chemical Desk Reference: Third Edition, Richard J. Lewis, Sr., Van Nostrand Reinhold, 

Copyright 1993. 

American National Standards Institute, Z400.1-1993 

International Standards Organization Safety Data Sheet Standard. 

Revised: October, 2001 

Issued: April, 1995 

~ \:J' 

Page5of6 \ 

lOP ______ s _ 

Page Sof <p 
Remington Arms Material Safety Data Sheet 

ACGIB American Conference of Governmental Industrial Hygienists 

AlBA WEEL American Industrial Hygiene Association-Workplace Environmental Exposure Level 

ANSI American National Standard Institute 

BEl Biological Exposure Indexes 

CAS Chemical Abstract Service 

CFR Code ofFederal Regulations 

CL Ceiling Limit (must not be exceeded) 

· DSL Domestic Substances List 

EPA Environmental Protection Agency 

BMIS Hazardous Materials Identification System 

IARC International Agency for Research on Cancer 

lATA International Air Transport Association 

ICAO International Civil Aviation Organization 

ISO International Standards Organization 

LC Lethal Concentration 

LD Lethal Dose 

MITI Ministry oflnternational Trade and Industry (Japan) 

MSBA Mine Safety and He~ilth Appliance 

NFP A National Fire Protection Association 

NIOSB National Institute for Occupational Safety and Health 

NTA National Transportation Agency (Canada) 

NTP National Toxicology Program 

OSHA Occupational Safety and Health Administration 

ORM Other Regulated Materials 

PEL Permissible Exposure Limit (OSHA) 

SCBA Self-contained Breathing Apparatus 

STEL Short-Term Exposure Limit 

TLV Threshold Limit Values (ACGIH) 

TSCA Toxic Substances Control Act 

TWA Time Weighted Average 

UN/NA United Nations/North American (Identification number) 

SARA Superfund Amendments and Reauthorization Act 

RCRA Resource Conservation and Recovery Act 

For aditional information, please contact: 

Remington Arms Company, Inc. 

· P.O. Box 700 

870 Remington Road 

Madison, NC 27025-0700 

(800) 243-9700 

The infonnation contained in this Material Sqfety Data Sheet is provided to all individuals who are or will be exposed 

to this product through use, handling, storage or transport. Remington believes, yet makes no waiTanty, that all 

infonnation contained in this document is current as of the date of publication. 

Revised: October, 2001 Page 6 of6 

Issued: April, 1995 

lOP------::--

Page ~ of_~_ 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

Security and Hazardous Materials 

SPECIAL AGENT'S STATEMENT: Gary D. MEADERS, Special Agent (SA), 

Federal Aviation Administration, Office of Security and Hazardous Materials, 222 West 

th Avenue #14, Anchorage, Alaska, 99513, telephone (907) 271-4409. 

On May 14,2009, at approximately 1851 hours, Lisa GAMACHE, an individual shipper, 

offered 14 pieces for carriage aboard an Alaska Airlines (ASAA) flight at Ted Stevens 

Anchorage International Airport (ANC), Anchorage, Alaska. Cargo screening revealed 

items regulated under the. Hazardous Materials Regulations (HMR): two Orion Skyblazer 

Signal Flares; and one box containing five 20-gauge shotgun shells. 

These items are regulated, respectively, as: 

Flares, Aerial, Hazard Class 1.4G (explosives), UN0403, Packing Grp II. 

Cartridges, Small Arms, ORM-D (other regulated material). 

Column 9(a) of the Hazardous Materials Table, HMR, expressly forbids the flares from 

being offered or carried aboard a passenger-carrying aircraft, due to the danger 

represented. 

I received an e-mail notification of this discrepancy from Mr. James OSWALD, of 

ASAA, on May 14, 2009. 

I arranged to inspect the shipment, receive appropriate shipping documentation, and take 

investigative photographs, on May 15,2009. 

A Material Safety Data Sheet (MSDS) for Aerial Flares was. obtained, via the Internet, 

from the Orion Safety Products Company. 

An MSDS for Shotshell Loaded Round was obtained, via the Internet, from the 

Remington Arms Company. 

A Letter of Investigation (LOI) was mailed to GAMACHE on May 18,2009. 

No written, e-mail, fax, telephonic, or other response was forthcoming, and she did not 

return any telephone calls. 

Gary 

~~ D:-MeJders, Special Agent 

Hazardous Materials Specialist 

Item of Proof 1 (Page 1 of 1 Page) 

Interviewed/Reviewed On __________ _ 

6-- Special Agent Garv D. Meaders 

FAA Form 1600·32-1 (9·86) · 

M----~--------------

~~·----~2~00~9&~70~0~10~3 __ __ 

FOR OFFICIAL t1SE ONLY 
0 

U.S. Department 

of Transportation 

Federal Aviation 

Administration 

CERTIFIED MAIL- RETURN RECEIPT REQUESTED 

May 18,2009 

Ms. Lisa Gamache 

P.O. Box 570 

Seward, Alaska 99664-0470 

Dear Ms. Gamache: 

Letter of Investigation 

File Number: 2009AL700103 

SECURITY and 

HAZARDOUS MATERIALS 

222 West 7th Avenue #14 

Anchorage, Alaska 99513-7587 

Tel: 907) 271-4409 

Fax: (9071 271-4933 

We are investigating an allegation that you violated the Federal Hazardous Materials 

Regulations (HMR) in offering improperly prepared hazardous materials for transport in 

air commerce. 

It was alleged that on May 14, 2009, you offered a 14-piece cargo shipment to Alaska 

Airlines at Ted Stevens Anchorage International Airport (ANC), Anchorage, AK, for 

carriage to Seattle-Tacoma International Airport (SEA), Seattle, WA. The shipment was 

documented on Air Waybill (AWB) 027-7132-6603, and described as containing 

"household goods." The block on the shipping papers used to describe the presence of 

hazardous materials was inited "No." 

Within your shipment were two Orion Skyblazer Flares, and one box containing five 20-

gauge shotgun shells. 

These materials are regulated, respectively, as: 

Flares, Aerial, Hazard Class 1.4G (explosives), UN0403, Packing Group 

II. 

Cartridges, Small Arms, ORM-D (other regulated material). 

Offering these materials in your checked baggage may therefore have violated several 

provisions of the HMR, codified in Title 49, Code of Federal Regulations, Subchapter C. 

Each violation of the HMR, if substantiated through our investigation, may subject the 

violator to a civil penalty. 

lOP s 

Paga __ l ..... of •:;2-
Before we conclude .our investigation, we would like to offer you the opportunity to 

provide any information pertinent to the matter, in writing, to Special Agent Gary D. 

Me~ders at the letterhead address. · 

Please prepare your response, if any, to reach us within 10 days of your receipt of this 

letter. If we do not hear from you within that time, we may close this investigation 

without the benefit of your input. 

Sincerely, 

C-c::::J 

Gary D. Meaders 

Special Agent 

Anchorage Office 

Security and Hazardous Materials 

Attachment: 

. Copy of AWB 027-7132-6603 

s .,,\, lOP _____ _ 

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U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

Securizy and Hazardous Materials 

U.S. Postal ServiceTM 

CERTIFJEO MAIL,M BECEIPT 

(Domestic Mail Only; No Jnsurance Coverage Provided) 

. .. . ' . . .. .. . OFFICIAL u s E 

Postage $ 

Certified Fee 

Return Receipt Fee 

(Endorsement Required) 

Postmark 

Here 

Restricted Delivery Fee 

(Endorsement Required) ~<=tkR.--10() 

Total Postage & Fees $ LC)S;. 

J 

§ .....-::::~-r-.-~l~-~-G-=--a...-~---------~ 

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PS form 380D,oliJ.IIle 21J02 See Reverse for lnsttucttons 

NDER: COMPLETE THIS SECTION 

• Complete _items 1, 2, and 3. Also complete 

. item 4 if Restricted Delivery is desired. · • Print your name and address on the reverse 

·· so that we can return the card to you. . 

• Attach this card to the back of the mailpiece, 

or on the front if space permits. 

1. Article Addressed to: 

L~ <t, <3..:-. ~ 

p - ~ -- ~ ..,_ "¥- .:;-"1 0 

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~~Q.4- 3. Service Type ... o..et;o Ill Certified Mail D Express Mali 

D Registered II Reti.tm RecelpUor Merchandise 

0 Insured Mail 0 C.O.D •. 

4. Restricted Delivery? (Extra Fee) 0 Yes 

2. Article Number 

(Transfer from service lEibei) 7004 2890 0002 8596 3919 

PS.Form 381 t, August 2001 Domestic Return Receipt 2ACPRI.03·P-40B1 

Interviewed/Reviewed On---------------- At _____________ _ 

€? File No. 

FAA Form 1600·32-1 (9·86) li'OR Ol!'lJ'ICXAL USE ONLY 
10/01/07 

1. Background. 

Appendix C. Sanction Guidance 

Hazardous Materials Enforcement 

2150.39 

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

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

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

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

enacted the Hazardous Materials TransportationUniforrn Safety Act of 1990~ Public Law No. 

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

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

regulation enacted under the HMTA to $25,000, and, for the flrst time, to require a $250 

minimut11 penalty.for any such violation. The HMTA was recodified in 1994 and is now referred 

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

News 108 Stat. 759, codified at 49 U.S.C. §§ 5101-5127. In the 1994 recodification, Congress 

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

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

Efficient Transportation Equity Act: A Legacy for Users (SAFETEA- LU), Public Law 1 09·59, 

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

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

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

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

104-134, April 26, 1996, provides a mechanism for adjustments for monetary civil penalties for 

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

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

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

13 of Title 14 of the CFR, subpart H. · 

Pursuant to SAFE1EA- LU, the maximum civil penalty that may be assessed for a violation 

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

minimum civil penalty is now $250. There are two exceptions to those limits. A maximum civil · ·;J penalty of.$100,000 may be assessed ifthe violation results in death, serious illness, or severe ·/\ 

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

be assessed for a training violation is $450. 

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

Hazardous Materials Safety Programs Admfuistration (PHMSA), created by the Nonnan Y. 

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

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

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

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

C-1 
10/01/07 2150.38 

d. Violation of the aMRs. The HMR. set forth regulations for the transportation ofhazmat. 

A knowing violation of the statute or of the H:MR can support the assessment of a civil penalty 

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

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

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

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

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

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

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

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

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

laws and regulations and intent to violate them. 

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

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

procedures applicable to enforcement ofthe H:MRby the FAA. Hazmat violations occurring on 

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

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

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

2. Consideration of Statutory Criteria. As a general matter, a sanction sl).ould be imposed 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

property. 

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

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

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

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

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

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

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

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

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

C-2 
10/01/07 2150.38 

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

the ranges should be explained in detail. 

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

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

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

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

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

air carrier violations. 

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

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

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

(SBREF A). For an extensive discussion ofhow to make that determination, see Part One -

Abbreviations and Defmitions, in Appendix~ ofthis order. If investigating special agents are 

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

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

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

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

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

the correct size limit for an alleged violator. 

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

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

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

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

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

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

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

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

and other aircr;:tft operators, the FAA takes into consideration company size in determining the 

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

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

who conducts an inspection of a small business concern that is regp.lated by the FAA provides 

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

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

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

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

regional offices. 

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

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

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

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

C-3 
10/01/07 2150.38 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

ranges of the Matrix. 

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

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

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

p~cular question represents a more significant aspect of a case, greater consideration should be 

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

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

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

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

determine the category ofviolatorthe person falls within (jor example, business entity that 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

C-4 

I 
10/01/07 2150.38 

legal requirements. The special agent also attempts to provide i:riformation concerning the 

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

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

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

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

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

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

sanction amount proposed in tl:ie notice of proposed civil penalty is ordinarily a product of joint 

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

8. Federal Aviation Administration Hazardous Materials Sanction Guidance. This 

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

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

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

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

(1) This section contains a series of questions to assist a special agent in eva1uating.a 

case and recommending a sanction. It also assists an attorney in evaluating a case file prior t6 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

more significant aspect of the case~ greater consideration is given to that factor. The ftnal 

aggregate weight is based on the totality ofthe facts and circumstances of the cas.e. Once 

C-5 
10/01/07 2150.38 

determined, the fm.al aggregate weight is then utilized to arrive at the recommended sanction for 

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

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

Concerning the Shipment): 

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

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

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

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

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

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

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

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

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

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

(2) Whatquantity of the m.aterial(s) was offered, transported, or accepted for air 

transportation? 

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

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

limitation was exceeded. 

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

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

maximum weight for this factor. 

· • · Did the package contain-a forbidden material? If yes; assign a Maximum·weiglit: 

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

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

being transported in violation. · 

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

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

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

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

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

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

warranted. 

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

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

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

C-6 
10/01/07 2150.38 

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

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

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

incident forpurposes of applying the sanction guidance analysis. It is suggested that the 

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

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

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

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

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

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

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

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

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

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

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

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

of the violator. 

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

Maximum weight. 

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

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

of culpability will ordinarily be imputed to it. 

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

consider a Minimum or Moderate weight. 

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

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

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

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

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

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

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

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

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

hazardous material for transportation.) 

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

yes, consider a Minimum weight. 

. C-7 
10/01/07 2150.38 

Guidance Note: Detrimental, reasonable reliance on another party may be a mitigatingfactor 

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

Material Safety Data Sheet (MSDS) would be mitigating. 

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

Moderate or Maximum weight. 

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

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

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

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

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

less weight, unless a continuing pattern of violation exists. 

d. Other Factors. 

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

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

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

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

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

scrutinized by legal counsel. 

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

hazardous materials may present an aggravating/actor. The degree ofseriousness of this factor 

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

an increased risk. 

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

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

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

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

shipped as a consumer commodity can also be a mitigating/actor. · 

e. Determine the Final Aggregate Weight of the Case. 

(1) All the responses/weights are evaluated to determine a fmal aggregateweightfor the 

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

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

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

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

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

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

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

be explained in this regard. 

C-8 
10/01/07 '2150.39 

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

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

resulting.from the shipment. 

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

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

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

extent, and gravity of cases for the majority of violations. Consideration o:fthese particular 

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

Further analysis of the statutory factors is requi!ed to determine the appropriate sanction within 

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

After deterniining the fmal aggregate weight of the case under subparagraphs 8.a.-e., that weight 

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

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

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

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

to reach the full sanction. 

(2) Instructions. 

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

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

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

violation group. 

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

assign a sanction amount within the minimum, moderate, or maximum portion of the sanction 

range for each relevant violation group. The recommended civil penalty at this stage is the sum 

of the sanctions for each of the applicable violation groups. A sanction should not be assessed 

for a violation group if there have been no violations of that part or subpart of the HMR. The 

sanction amount for each violation group need not be identical but ordinarily is within the 

portion of the particular sanction range that represents the overall weight of the case. 

(3) Departure from the Matrix ranges. The ranges of penalties specified in the Matrix 

(e.g., $250-$550) are intended to cover the majority of cases involving violations of the HMR. 

The facts and circumstances of a particular case, however, may justify either an upward or 

downward departure from the specified Matrix ranges. This sanction guidance anticipates 

, departure from the specified Matrix ranges when justified. A case involving violations in which 

the nature, circumstances, extent, and gravity of the incident are particularly severe or egregious, 

may justify upward departure from the specified ranges. If the investigating agent believes, 

based upon the facts of a case, that a penalty should exceed the specified Matrix ranges, the 

agent should consult with legal counsel before further processing of the EIR. (However, in no 

case may the civil penalty per violation exceed the maximum allowed by law.) Conversely, the 

investigating agent may believe that mitigating factors justify a downward departure from the 

C-9 
10/01/07 2150.38 

Matrix range. Consultation with legal counsel is not necessary in the case of a recommended 

penalty that isless than that provided in the Matrix. (However, in no case may the civil penalty 

per violation be less than the minimum allowed by law.) In either situation, however, the agent 

is to provide a detailed explanation of the basis for the decision to go outside the ranges. 

( 4) Violations of part 175 regulations, which establish particular requirements for air 

carriers and other aircraft operators, are contained in a separate matrix. However, such operators· 

often offer hazmat for air transportation as well as accept and transport it. As such, the operator 

may be liable for violations as a business entity within the main Matrix as well as for the specific 

part 175 violations. 

g. Impact of Other Statutory Factors. The Federal hazardous material transportation law 

also requires consideration of a violator's ability to pay a civil penalty, the impact of the civil 

penalty on the violator's ability to continue to do business, and other matters that justice 

requires. Consideration of these factors may result in adjustment ofthe recommended civil 

penalty calculated in subparagraph 8.f. In situations where the agent or attorney is in possession 

of mitigating information, such an inability to pay the recommended civil penalty or corrective 

action taken, reduction of the recommended penalty may be appropriate. Mitigating information 

should be sufficiently reliable, uncontroverted, and documented in order to support reduction of 

the recommended civil penalty prior to issuing the notice of proposed civil penalty. 

(1) Ability to pay or continue in business. Historically, the FAA has considered these 

factors after the issuance of the notice of proposed civilpenalty due to the absence of reliable 

financial information on which to base a reduction prior to the issuance of a notice. This 

Sanction Guidance recommends that the special agent make efforts to obtain reliable information 

regarding the violator's size and fmancial condition for review prior to the issuance of a notice. 

This information will be transmitted to the legal office for consideration. It is recognized that it 

may not always be possible for the special agent and/or attorney to obtain reliable financial 

information on a particular respondent, that fmancial circumstances change, and that information 

may be provided after the issuance of the notice that may warrant further consideration of a 

respondent's ability to pay. 

• The investigating agent will attempt to include fmancial information as an exhibit 

in the EIR. It is anticipated that this information, if available, will be ol;>tained from reliable 

fmancial data bases. Financial documentation should include, but need not be limited to, 

information concerning the violator's corporate structure, business address, officers, number of 

employees, and gross revenues. 

• The investigating agent provides a statement or comment with respect to the 

fmancial information obtained but ordinarily does not evaluate the fmancial condition of a 

respondent with respect to its ability to pay a proposed civil penalty. The investigating agent's 

statement should encompass areas like the number of employees; gross revenues, and nature of 

business ofthe violator. 

• FAA legal courtsel reviews the financial information provided in the EIR and 

evaluates its sufficiency and relevance to the recommended civil penalty. Legal counsel may 

C-10 
10/01/07 2150.38 

determine if more current infonnation exists concerning the fmancial condition of a respondent 

and if that infonnation substantially differs from the information available at the time of 

preparation of the EIR. If there is a b;:tsis for detennining that the recommended.sanction is 

inappropriate based upon the fmancial infonnation provided in the EIR, the recommended 

sanction is adjusted prior to issuance of the notice of proposed civil penalty. This is a 

preliminary consideration of a company's ability to pay. As such, pre-notice adjustment of a 

recommended Civil penalty does not preclude further consideration of a respondent's fmancial 

claims after issuance of the notice. · 

(2) Corrective Action. 

• The niost common other matter that the FAA takes into consideration is corrective 

action. Corrective action that results in mitigation is remedial action that exceeds the minimum 

legal requirements. The primary factors in detennining the appropriate amount of penalty 

reduction are the extent and timing of the corrective action. In other words, mitigation is 

determined on the basis of how much corrective action was taken and how quickly the action 

was taken. Systemic change intended to prevent future violations should be given greater 

consideration. Similarly, corrective action that commences upon the violator's first learning of 

the violations ordinarily is given greater credit than corrective action that commences only after 

the violator receives the letter of investigation or the notice of proposed civil penalty. 

Mitigation of a recommended civil penalty based upon corrective action should be 

referenced in the Notice of Proposed Civil Penalty so that the respondent is on notice that credit 

already has been given for such action. 

(2) Status of violator as a small business entity or concern. See subparagraphs S.a.-b. 

above. 

C-11 
10/01/07 

OFFENSE 

CA1EGORIES 

L Declared ShiQment 

1. Shipping Papers 

2. Labels 

3. Markings 

"4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other 

ll. Undeclared ShiQment 

Within liazmat 

Quantitv Limitations 

1. Shipping Papers 

2. Labels 

3. Markings 

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other 

m. Undeclared 

Shiument 

Hazmat Forbidden on1 

or exceeds g!I limits for1 

Passen.l!;lr Aircraft 

1. Shipping Papers 

2. Labels 

3. Markings ········•· ·-----

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other. 

N. Undeclared 

Shiument 

Forbidden on1 or 

exceeds gD: limits for1 

All· Aircraft 

1. Shipping Papers 

2. Labels 

3. Markings 

4. Packaging 

5. Training 

6. Emerg. 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 hazm.at in the 

course ofbusiriess 

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 

-------. 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 

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 

-.s-oo-s;soo-------·---·--·s;OOO=t0,200 ______ ·· 7;5oo-~zz;ooo-· ·· ·---

------- 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;ooo-16,2oo 7,500-22,000 

c 

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 1 0,000-32,5()0 

CONSULT CONSULT CONSULT 

C-12 

2150.38 

D. Business Entity 

that regularly 

offers, accepts, or 

trans~orts hazmat 

1,000-5,500 

1,000-5,500 

1,000-5,500 

t,ooo~5,50o 

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·,ooo-13,ooo 

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 

10,000-32,500 

-m;ooo=3T,5oo-··- ··-·-

10,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

CONSULT 
-

10/01/07 2150.38 

Deliberate Vlolation1 or LEGAL-. Up to LEGAL - Up to LEGAL- Up to LEGAL- Up to 

other s!fmificant 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 

VL Viglation results in CONSULT CONSULT CONSULT CONSULT 

death1 serious illness1 LEGAL- Up to LEGAL- Up to LEGAL- Up to LEGAL-Upto 

severe inju!:f~ or 100,000 per 100,000 per 100,000 per offense 100,000 may be 

substantial destruction offense category offense category category may be ·assessed 

ofnronertv may be assessed may be assessed assessed 

h. *Sanctions applicable to air carrier and commercial operator passengers and 

crewmembers. The range for the total civil penalty to be assessed, absent mitigating or 

aggravating factors, is $250 (the statutory. minimum) to $1,000. 

E. Group I & II F. Group ID & IV 

AIR CARRIER AND OTHER AIRCRAFT Air Carriers and Air Carriers and 

OPERATOR VIOLATIONS Other Aircraft Other Aircraft 

Operators .. Operators 

Failure to comply with Parts 171, 172, or 173 Use main Matrix. Use main Matrix. 

requirements of the HMR as an offeror of hazmat. 

Improper acceptance of hazmat for air transportation. 

(i.e., quantity, labeling, marking, packaging, and 5,000-32,500 2,500-16,200 

shippmg papers) · 

See 49 C.F.R. §§ 175.30(a)(l)- (4) 

Failure to inspect hazmat shipment properly. 10,000-32,500 5,000-16,200 

See 49 C.P.R.§§ 175.30(b), (c), (d), (e) 

Improper storage/securing ofhazmat aboard aircraft. 10,000-32,500 5,000-16,200 

Failure to provide hazmat training, maintain records of 10,000-32,500 . 5,000-16,200 

training, or meet minimum requirements for hazmat 

training (49 C.P.R.) . 

. U sing_untrained/improperly..traihed.hazmat-personnel, --.... . -10,000-32;5 00.- -5-000-16 -200. . ' ' failure to retain hazmat training records (49 C.P.R.) 

Failure to notify FAA properly of incident/discrepancies 5,000-16,200 1,000-5,500 

in hazmat shipment. 

Failure to provide notice to the pilot-in-comrriand. 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- Upto - Up to 50,000 per 

50,000 per offense category 

offense category may be assessed 

may be assessed 

Violation results iri death, serious illness, severe injury, or CONSULT CONSULT LEGAL 

substantial destruction ofproperty. LEGAL- Upto - Up to 100,000 per 

100,000 per offense category 

offense category may pe assessed 

may be assessed 

C-13 
10/01/07 2150.38 

9. Definitions: Note that these definitions are. only for the purpose of applying the sanction 

guidance in this appendix. 

a. Air Carrier and Other Aircraft Operator Groups (I, II, ill, IV) -Air carriers and 

other aircraft operators are divided into two categories for purposes of detennining an 

appropriate sandtion. · These categories track the air carrier groups established in Appendix B · 

.this order. For pw:poses ofhazmat sanction guidance, the FAA also includes other aircraft 

operators operating in commerce that are of similar size, e.g., part 129 Foreign Air Carriers, part 

125 Operators, and part 91 Operators. 

(1) Group I is comprised of air carriers with annual operating revenue of $100,000,000 

or more. Other aircraft operators with annual operating revenue of$100,000,000 or more are 

included in Group I for hazmat sanction guidance purposes. 

(2) Group II is comprised of air carriers and other commerc~al 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 of the same size are included in Group II for hazmat 

sanction guidance purposes. 

(3) Group ill is comprised of air carriers and other aircraft operators that do not meet the 

criteria for Group IT, that is, they have only 6 to 49 pilots, or only 6 to 24 aircraft. Other aircraft 

operators of the same size are included in Gro~p ill for hazm.at sanction guidance purposes. 

( 4) Group IV is comprised of all other air carriers and commercial operators not meeting 

the criteria for Groups I, IT, or ill. Other aircraft operators of the same size are included in 

Group IV for hazmat sanction guidance purposes. 

b. Business Entity. A business, corporation, partnership, Sub-S Corporation, sole 

proprietor, association, or any type of commercial entity. An individual who offers a hazmat 

shipment in air transportation in the course of his or her self-owned business falls into this 

······ ·-category:-·It·irrdudes'·a-n·o~:r;;;prufin>Fganizatl:orran.aallotlieremiiiesdefmecfui1der 11:1e'FU\1R's _____ ·-----·----------------

definition of person ( 49 C.F .R. § 171.8), with the exception of an individual (as d.efined below). 

c. Business Entity that Regularly Offers, Accepts, or Transports Hazardous Materials 

in the Course of Its Business. A business entity that offers hazmat with some anticipated 

frequency, or pw:ports to do so, regularly offers hazmat. For example, a catalogue company that 

offers hazardous material to its customers would fall into this category; even though its actual 

sale or transportation of the hazmat is infrequent or limited. This category includes 

manufacturer or distributor ofhazmat and a freight forwarder. 

d. Business Entity that Uses, Handles Hazmat in the Course of Its Business. This 

category encompasses the business that utilizes hazmat in its business but does not offer it for 

transportation on a regular basis, as described above. For example, a manufacturer of a nonhazm.at product that uses hazmat in the manufacturing process could fall into this category. It 

must be established that the company ordinarily does not offer the hazmat it utilizes for 

transportation, and the shipment in this instance represents an isolated incident. This type of 

business is held to a higher standard than the business entity that has no regular involvement 

C-14 
10/01/07 2150.38 

with hazmat. The described business entity receives the subject hazardous material in 

transportation and uses it in its business; thus, it is clearly on notice of the hazardous nature of 

the material and the regulatory requirements to which the hazmat is subject 

e. Declared Shipment. For purposes of this sanction guidance, a declared shipment has at 

least one of the following communicative indicia---markings, labels, and/or shipping papers that 

meet the communicative requirements of the HMR.. A package that has shipping papers that 

declare the contents as hazardous material, but is otherwise not marked or labeled, falls into this 

category. For purposes of this defmition, a shipping paper is any document to which handlers 

refer in the normal course of transportation and that complies with one or more of the 

communicative requirements in the H:MR for shipping papers. Similatly, a properly marked and 

labeled package that lacks shipping papers also falls into this category. An example of a 

shipment that would not meet this defmition is one where the offeror states that the shipment 

contains hazmat, but only in paperwork to which the handlers do not refer in the normal course 

of transportation. 

f. Hazmat- A hazardous material, as defmed in 49 C.P.R. § 171.8, includes and is 

interchangeable with the term dangerous goods, as used in the International Civil Aviation 

Organization (ICAO) Technical Instructions. 

g. Individual- A human who offers a shipment of hazardous material in his or her personal· 

capacity, without any business purpose and not as part of a commercial enterprise. · 

h. Intentional or Deliberate Viobi.tion --A violation falls into this category when the 

offeror, acceptor, air carrier, or aircraft operator has knowledge of the requirements of the HMR., 

and willfully circumvents or attempts to circumvent those requirements. For example, an offeror 

who places a properly marked and labeled hazmat shipment along with properly completed 

shipping papers, into an overpack marked as printed material, has committed an intentional or 

deliberate violation. 

--------- --~---i.- --:Undeclared-Shipment-..,..-If-a-shipment-does-notmeetthe defmition ofd-edared·shipment;·· 

it is an undeclared shipment. 

j .. Undeclared Shipment Hazmat Exceeds Quantity Limits for All Aircraft- An 

undeclared shipment that is offered for transportation on or transported on any aircraft and the . 

quantity of hazardous material exceeds the limit, per package, for transportation on cargo 

aircraft, as established in the 49 C.P.R. § 172.101 Table. 

k. Undeclared Shipment Hazmat Exceeds Quantity Limits for Passenger Aircraft- An 

undeclared shipment that is· offered for transportation on or transported on a passenger aircraft, 

and the quantity of hazardous material e:Xceeds the limitation, per package, for transportation on 

passenger aircraft (but not for transportation on cargo aircraft), as established in the 49 C.F .R. § 

172.101 Table. 

I. Undeclared Shipment Hazmat Forbidden on All Aircraft- An undeclared shipment 

that is offered for transportation on or transported on any aircraft and the hazardous material is 

forbidden in air transportation on cargo aircraft, as established in the 49 C.P.R.§ 172.101 Table. 

C-15 
10/01/07 2150.38 

m. Undeclared Shipment Hazmat Forbidden on Passenger Aircraft-An undeclared 

shipment that is offered for transportation on or transported on a passenger aircraft, and the 

hazardous material is forbidden in air transportation on passenger aircraft (but not in air 

transportation on cargo aircraft), as established in the 49 C.F .R. § 172.101 Table. 

n. Undeclared Shipment Within Hazmat Quantity Limitations. 

(I) If the undeclared shipment is offered for transportation on or transported on a passenger 

aircraft, the quantity of hazardous material must be within the limitation, per package, for 

transportation on passenger aircraft, as established in the 49 C.F~R. § 172.101 Table. 

(2) If the undeclared shipment is offered for transportation on a cargo aircraft, but not 

transported, the quantity of hazardous material must be within the limitation, per package, for 

transportation on passenger aircraft, as established in the 49 C.F .R. § 172.101 Table. 

(3) If the undeclared shipment is offered for transportation on and transported on a cargo 

aircraft, the quantity of hazardous material must be within the .limitation, per package, for 

transportation on cargo aircraft, as established in the ~9 C.P.R. § 172.101 Table. 

All other undeclared shipments fit within the defmitions for Undeclared Shipment Hazmat 

Exceeds Quantity Limitsfor ... Aircrajt, or Undeclared Shipment Hazmat Forbidden 

on ... Aircrqft, see above. 

C-16 
10/01/07 

CATEGORY "A" 

{Maximum Weight} 

RISK CATEGORIES 

(Figure C-2) 

2150.38 

Category "A" materials are materials that when released In the confjnes of an aircraft can potentially have .a catastrophic 

effect on an aircraft's ability to continue safe flight, resulting in a crash or emergency landing causing injury. or death to 

passengers and flrghtcrew, as well as persons on the ground. 

Class 1 

Class 2 

Class3 

Class4 

Explosives: Division 1.1, 1.2, 1.3, 

Compressed Gases All2,1, 2.2 with Subsidiary Risk 5.1 and All2.3 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.Z1 & 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 "B" are materials that may not pose an immediate threat to the safety !>f a flight, but cari 

cause death or injury to persons due to unintended releases in aircraft cabin areas, and potential damage to aircraft 

structures over a longer period of time due to undiscovered releases on aircraft structural components. 

Class 1 

Class 3 

Class4 

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 

.~!!!SS -~L _Qi_vi~!Qn_§.J_Q_xidJAing_Llquids . .or~$olids. PG 111.-. 

Division 5.2 Organic Peroxides (Type E,F,G) 

Class 6 Division 6.1 Toxic/Poisonous Materials PG I, II ( NON- PIH ) 

Division 6.2 Infectious Substances 

Class 7 Radioactive Materials, yellow label II, white Iabeii 

Class 8 Liquids PG II, Ill Solids PG I, II, Ill 

Category "C" 

{Minimum Weight} 

The materials listed in Category "C" are materials that present the least amount of risk to the transportation system. 

Class 2 2.2 Nonflammable Gas 

Class 6 

Class 7 

Class 9 

Division 6.1 Toxic/Poisonous Materials PG Ill 

All other RAM (LSA, L TO QTY, Instruments, and Articles) 

Miscellaneous Dangerous Goods {ORM-D and Consumer Commodity} 

NOTE: This guidance is not intended to replace the experienced judgment of a special agent who is convinced, based on 

the evidence and facts of a case, that the failure of an air carrier, shipper, freight forwarder, or passenger to follow 

established regulations has posed a risk to aviation safety. · 

C-17