# 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 9 10 11 12 13 14 15 

### 16 17 18 19 20 21 22 23 24 25 26 27 28 29 10 IN X X X X X X X X X X X X X X .X JN X X X X X X X X X X X X X X ,J(,**,:~--:~:·~1** ,__."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@FAA, "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 MelAddress 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. ofFirst 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 ofOestinatlon 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.

Weight1 Charge 248.85 ValuaiCharge
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 OtherChTarges Due**~ent** Shipper c:ertflills that 1110**~artt:utars** on lhe race hereof are Cllll'llCl and that Insofar oqpartoftbe**~onaignrnent** conlllln• dangarou• goada, suth part. Ia properly daeoriiMid b)' name and Ia In propercol'dluon lorcarrlqa**1------...,..~~~~=~=~----1** by alriiCcordlng to IIUiappllcable Dan1J8rou• Gaoda Ragulallons. Icon1ontto the Inspection Qfthla 011111"· "''..,\ TotalotherChaf90110ueCerrter For: LISA GAMACHE stonalureofSh!ODIII'crlliaAaetnt ';6 

## I

.**~ty\Q~** 

## 1) 31.60 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

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.. 2 7 S2 A L ASKA CA RG0

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### 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 

## iDest 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 ofabove mentioned consignment complete and in good**~** , 1,.. condition. · Date:**J~:.¥.C!Y:?.Q~** 

### •••••..•.••••.. Time:**J~_:9.1**

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### nar lH 11**1~:33p** 027 ANC 7132 6603 027-7132 6603**Shippe~s** Name and Address LIS GAMACHE 

## Ct. 1?1J;A ;;i70

,. SEWARD, AK 999999

USA 

# l Shippets Accounl Number**L----C,...u-slo_m_e~ts~IO~Nu-mbe-:--r---;Air** Waybill -001259131S 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 orDeparture {Addr. of Firat Carrier) and Requesled RouUng Anchorage To By Firs! Clll'riet SEA Alaska Airlines AirportorOestlnaUon 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 OtherCharges**.~YC** 

### sec 23.70 7.90 Valuatii Charge

TOial O.lherChalrgas Cue Agent Shipper certifies thatllle pan!C'Jtars onlhe tDce hareorare CQtrectand lhal**l~tsofat** as any part Ojlfthe conslgnmvnt contains dangerous goods, such part Is properly describe!! by name and Is In propercondition for carriage**1-----~~~~-1--..,~~,..------1** by 111raccording to the applicable Dangerous Goods Regulations, I consentto lhe inspection ofthis cargo. TotaiOtherChargeaDueCarller For. LISA GAMACHE**stanaiUreofShiDDer~** 

## 1----:-------r-.....;..-------;

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# I

# ~..!..,~_,., l!:::..::..bANGEROUS GOODS ANGEROUS GOODS Total Prepaid Tillal Cotlaat AS AGREED 

## 1 027-7132 aso3**~---------------------~--------------~--------------------~** 

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------..--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) ofthe 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, onMay 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 ofInvestigation (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 ofProof 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 ONLYU.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION Security and Hazardous Materials


### PHOTOGRAPH 1

Photograph taken at the AlaskaAirlines 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 ofcargo (General or Unknown). This photograph was taken by Special Agent Gary D. MEADERS, onMay 15,2009, with a FinePix FujiFilm A610 Automatic Digital Camera. The custodian ofall 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 ofProof4 (page 1 of6 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 ONLYU.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 ofall 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 ofProof4 (page 2 of6 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 ONLYU.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 ofthe palleted shipment. This photograph was taken by Special Agent Gary D. MEADERS, on May 15,2009, with a FinePix FujiFilm A610 Automatic Digital Camera. The custodian ofall 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 ofProof4 (page 3 of6 pages)

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

### 6:~ Special Agent Gary D. Meaders File No

..___**41 20ll!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 ofShotgun 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 ofall 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 ofProof4 (page 4 of6 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 ONLYU.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION Security and Hazardous Materials



### PHOTOGRAPH 5



### Photograph taken at the AlaskaAirlines Cargo Stores Facility, Ted Stevens Anchorage

International Airport (ANC), Anchorage, Alaska, depicting the two Skyblazer Aerial Flares and the box offive 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 ofall 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 WordVersion 10. No alterations were made to the photographs other than copying and enlarging them from Adobe Reader to Microsoft Office Word.

Item ofProof4 (page 5 of6 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 ONLYU.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 onthe reverse side ofthe box ofShotgun Shells. This photograph was taken by Special Agent 

### Gary D. MEADERS, onMay 15,2009, with a FinePix FujiFilm A610 Automatic Digital Camera. The custodian ofall 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 ofProof4 (page 6 of6 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 ONLYU.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION Security and Hazardous Materials



## RECORD REVIEW: Record Review ofMaterial 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, ifnot identical with, the material identified in this case.
This Data Sheet noted: Section I: Identification Description: A dark graypowder 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 ofthe MSDS from the Orion Signal Products Company is appended to this Item i 

# 1/0**~~~ ~~**  Item ofProof7

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 SAFETYPRODUCTS RAILWAY & IDGHWAYFUSEES



## MAru:N'E SIGNAL PRODOCI'S 

### MATERIAL SAFETY DATA EMERGENCY CONTACf: CHEMTREC 1-800424-9300 SECI10NI- IDENTIFICATION
PllODUCfNAME8r: SYNONYMS: 

### Orion SkyblazerXLT and XLT, 

### Twin
CHEMICALFAMILY: · Not Applicable 

# J FORMULA: Mixture 

# I TRADE NAME: Skyblazer XLT orXLT Twin

.DESCRIPTION: A dark graypowder consolidated into an aluminum cup 

# I CAS NO. Not Applicable SECI10N ll- NORMAL HANDLING PROCEDURES
PRECAUTIONSTO BETAKENINHANDLING AND STORAGE: (KEEPOUT OFREACH OFCHILDREN) Store in a cool area out ofdirect sunlight. Do not allow long-tenn exposure to temperatures in excess of 1800p. Avoid long:term immersion in water. Do not disassemble signal. Remove bottom cap only ifout-of-doors and preparing to activate signal. Flares should be allowed to burn to completion. Unburned andpartiallyburned dares contain potassium perchlorate which should not be allowed to come into contact with surfiwe and ground water. Do notattempt to ignite or bum this product inside a building orvehicle PROTEC11VEEQUIPMmoff VENTILATION REQUIREMENTS EYES: Goggles when handling broken containers. GLOVES None required. Outdoor use only OTHER: Nonerequired. SECTION Ill- HAZARDOUS INGREDIENTS
BASICMATERIALS OSHA LDSO. LC50 SIGNIFICANTEFFECTS 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 1ppm Not Known No Data Maycontain 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. NoneEst. None Est. Explosive ifloose. Dust may be irritant. SECTIONlV- FIRE AND EXPLOSION HAZARD DATA AutoIgnition ofContents: 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&.FIREFIGifiiNGPROCEDURES: Use NIOSHIMSHA approved self-contained breathing apparatus when signals are involved in a fire. SECTlONV- HEALTH HAZARD DATA THRESHOLDLIMITVALUE: None established. s¥MPTOMS OFOVEREXPOSURE: Contents ofstar can cause skin, eye and mucous membrane irritation; dermatitis. SKIN: If exposed to contents, flush thoroughly with water. EYES: Ifexposed to contents, flush with water fur 15 minutes, call a physician. INGESTION: Call a physician immediately INHALATION: Ifstar contents are inhaled, move victim to fi'esh air. Call a physician.

Page 1of2 

## ....., lOP

_____ _ 

### l of,_"2-....

__I SECI'ION VI- TOXICOLOGY Contents 

### of Si 

### ai ACUI'EORALLD50: No available data. CARCINOGENICITY: ACUTE DERMALLD50: No available data. MUTAGENICITY: ACUI'EINHALATIONLC50: No available data. IRRITANT: PIUNCIPAL ROUTES OFABSO'R.PTJON: Inhalation or ingestion ofcontents. Not known to be carcinogenic. Notknown to be mutagenic. Eye and skin

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

EFFECI'S OFCHRONIC EXPOSURE: Contents as a dust may cause dermatitis. Exposure to dust can irritate respiratorytract. Ingestion 0 potassium perchlorate may disrupt theproper functioning ofthe thyroid gland. Additional information maybe obtained from theNational Academy ofSciences concerning the effects of potassium perchlorate on humans. SECTIONVII- SPILL AND LEAKAGE PROCEDURES (Control Procedures) ACI'ION FOR MATERIAL RELEASE OR SPILL: Remove all sources ofignition. Wear NIOSHIMSHA approved dust respirator ifthere 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 DONOT SEAL. Wash all contaminated clothing before re-use. In the event ofa large spill, call the emergencytelephonenumber listed below. TRANSPORTATIONEMERGENCY, CONTACTCHEMTREC 1-8()0...424-9300 WASTE DISPOSALMETHOD: Dispose ofcontaminatedproduct 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 disposalprocedures. Open burning ispreferred method ofdisposal fur pyrotechnic materials. ·Signal should be allowed to bum to completion. Partially burned, unburned signals, and ash from burned signals should be disposed ofin accordance with f.Meral, state, and local requirements. Reier to 40 CFR 261.20 -.24 to determine atthe time ofdisposal whether the product should be classified a a hazardouswaste. Do not storepartiallyburned 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 onhandling 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: CONDlnONSTOAVOID: SECI'ION IX- REACTIVITY DATA AT

___ oC

___ •F 

# IHAZARDOUS POLYMERIZATION 

# I MAYOCCUR: WILL NOTOCCUR: X Exposure ofthe signal to temperatures in excess of 1801>f maycause weakening ofthe signal body. INCOMP ATIBIUIY (Materialto avoid): Avoid exposure to organic solvents which mightweaken 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'IONX- PHYSICAL DATA VAPOR PRESSURE No Data SOLUBILITY INWATER No Data pH Not Applicable VOLATILES EVAPORATION RATE VAPORDENSI1Y (Air=l) ORION SAFETY PRODUCTS 3157 N 500W**P~lN46970** 1-800-851-5260 DATE: No Data No Data NotApplicable

August2006

This infonnation is accurate to the best knowledge ofOrion SafetyProducts, ORION SAFETY PRODUCTS MAKES.NO REPRESENTATIONS OR WARRANTIES, EITHER EXPRESS OR IMPUED, INCLUDING WITHOUT LIMITATION ANY WARRANTIES OF MERCHANTABll..ITY OR FITNESS FOR A PARTICULARPURPOSE, WITH RESPECT TOTHS INFORMATION SET FORTH HERIN OR. THE 'PRODUCTTO WHICH THE INFORMATION REFERS. ACCORDINGLY, ORION SAFETY PRODUCTS WILL NOT BE RESPONSIBLE FORDAMAGES RESULTING FROM JSE OF OR RELIANCE UPON THIS INFORMATION. Ally person utilizingthis document should seek competent professional advice toverify and assumeresponsibilityfor the suitability ofthis infonnation totheirpa:rticular situation. Page2 of2 lOP 

# t "2--.of 2- Page,

__ ...... , ___ _U.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION Security and Hazardous Materials



## RECORD REVIEW: Record Review ofMaterial SafetyData Sheet (MSDS) for ShotshellLoaded 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, ifnot identical with, the material identified inthis case.

This Data Sheet noted: Section 2: Hazardous Component Information Propellant: Nitrocellulose, Nitroglycerin, Graphite Section 14: Transportation Information: Proper ShippingName: Cartridges, Small Arms Hazard Class: 

### ORM-D Special Information: Maybereclassified internationally as: Hazard Class: 1.4S 

### UN/NANo.: UN0012 Packing Group: 

### IT

This 

### Data Sheet, issued April, 1995, contained no further applicable information. A copy ofthe MSDS from the Remington Arms Company is appended to this Item of Proof.

Item ofProof 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

### RemingtonArms MaterialSafety 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 ahazardous chemical under 29 CPR 1910.1200. This information is required to be disclosed for safety in the workplace. This MSDS is applicable only. to theproduct identifiedherein andonly when used properly. NOTE: Refer to Section XVII for Listof Acronyms.

Product: 

### SHOTSHELL LOADED ROUND HMIS Rating Health: 2 Flammability: 0 Reactivity: 1

Shotshell Ammunition is comprised ofthe following four (6) components. The hazardous chemicals contained in each are listed. The percent by weight ofthe 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/m 3 TWA (dust, mist) 1.0 mg/m3 

### Page 1 of6

# e

lOP

_____ _ 

## Page___j__of,_6_

### RemingtonArms
Lead Antimony. Arsenic Iron
Barium Nitroglycerin Graphite
Lead Styphnate Lead Trinitroresorcinate Nitrocellulose Cellulose Tetranitrate Tetrazene

Emergency Overview: 

### MaterialSafety 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/m 3 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/m 3 (skin) Less than 1% 7440-44-0 (Natural) TWA 2.5 mg/m3 (Synthetic) Respirable Fraction: 5mg/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 ofdust or fumes may cause irritation to nose, throat, upper respiratory tract and lungs. Irritation may lead to bronchitis, headache, lowering ofblood 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 areathoroughly with soap and water. Remove contaminated clothing. Wash clothing thoroughly prior to reuse. Discard any contaminated leather items (i.e. shoes, etc.). Ifwearing 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, ifnecessary. Ifbreathing is difficult, administer oxygen. Obtain medical attention immediately.


### Revised: October, 2001 Issued: April, 1995 Page 2 of6
lOP

### ~**~of-~_·_ ~---~~~~--~-~~~~~~~--~~~~~~~~~~~~~~~----~------~---------** 



### RemingtonArms Ingestion/ Absorption:

Flammable Properties: Extinguishing Media: 

### MaterialSafety Data Sheet
Ifconscious, drink large amounts ofwater. 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 oflow-energy fragments. Flood fire with water to fight fire and cool shells. Ifno 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 ofignition. Use non-sparking equipment to clean up spill. Ifdisposal is necessary, refer toXIII 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 ofignition. Do not subject to mechanical shock. Keep out ofreach ofchildren. This productmustnotbe storedwith acids, strong oxidizers or caustics.

Local exhaust ventilation is recommended ifsignificant dusting occurs. Otherwise, use general exhaustventilation. PersonalProtective 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 ofaNIOSHIMSHA-approved respirator is recommended when concentrations to fumes and/or dust exceed the PEL or TLV.

• Keep product away from sources ofaccidental ignition.

• Exposure limits listed with each hazardous chemical.

Solid Evaporation Rate: N/A 

### Page 3 of6 lOP Page

### ~

# ~\J**~of_** 

## c,

### RemingtonArms 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 undernormal 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 ofproperly, there is no known environmental impact.

This product is considered a characteristic hazardous waste per 40 CFR 261.24 for disposalpurposes only. Dispose ofas required by local, state and federal laws and regulations. EPA Hazardous Waste Code: D008 (lead)



### Revised: October, 2001 Issued: April, 1995 Page4 of6
lOP**-~-----** Page 

## 4- of

## ~

### RemingtonArms

SHIPPING INFORMATION Proper Shipping Name: Hazard Class: UN/NANo: Packing Group: ShippingLabel: Cartridges, Small Arms ORM-D N/A N/A None required. 

### MaterialSafety 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. FEDERALREGULATIONS TSCA Inventory Status: Included on list. This productcontains a toxic chemical or chemicals subjectto the reporting requirements of section 313 ofTitle III ofthe Superfund Amendments and Reauthorization Act of 1986 and 40 CPRPart 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 HMISRating) Sudden release ofpressure. 1 (perHMISRating)

Code of FederalRegulations, Monthly Summary, CPR 1910.1200(g) and Appendix E (B.), Regulations Management Corporation, Bloomington, Indiana, July 1, 1994. Hazardous Chemical DeskReference: ThirdEdition, Richard J. Lewis, Sr., Van Nostrand Reinhold,

Copyright 1993. AmericanNational Standards Institute, Z400.1-1993 InternationalStandards Organization Safety Data Sheet Standard.



### Revised: October, 2001 Issued: April, 1995

# ~

# \:J'
Page5of6 \ 

# s lOP

______ _ Page 

## Sof <p

### RemingtonArms Material Safety Data Sheet

ACGIB American Conference ofGovernmental Industrial Hygienists AlBAWEEL 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 TransportAssociation 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 NFPA 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 Sheetis provided to all individuals who are orwill be exposed to this product through use, handling, storage or transport. Remington believes, yetmakes no waiTanty, that all infonnation contained in this document is current as ofthe date ofpublication.



### Page 6 of6 Revised: October, 2001 Issued: April, 1995 lOP------::--

## ~**of_~_** PageU.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) ofthe 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 ofInvestigation (LOI) was mailed to GAMACHE onMay 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 ofProof 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 shipmentwas 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 ofyour input. Sincerely, 

# C-c::::J

Gary D. Meaders Special Agent Anchorage Office Security and Hazardous Materials Attachment:

. Copy ofAWB 027-7132-6603



# s .,,\, lOP

_____ _**Page,....._~_·· ..-~of.**  __ ..,__IT' ..-::1 IT' ITl ..D IT' tJ") cO nJ CJ CJ CJ CJ IT' cO nJ .::r

# I U.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION Securizy and Hazardous Materials

U.S. Postal 

### ServiceTM 

### CERTIFJEO MAIL,M 

### BECEIPT (Domestic Mail Only; NoJnsurance 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

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### sc··-----------······----·-··-·····-·························-···-·················-··**or":o~:::a~·;** 

## P-<0-..**~._.X,** $"""""\ 0**cirY."Siiii6;ZiJS+4""g~·-···.4~·-··qq··-~-64·········** 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

### g~~~ 3. Service Type**~~Q.4-** 

### ... 

## 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

(Transferfrom 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 ofhazardous materials constitutes a threatto public safety in all forms oftransportation. 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 ofthe HMTA was to raise the maximum civil penalty for violation ofany regulationenacted 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 ofthe 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 otherthings, modified the limitations on civil penalties that may be assessed for violations ofthe hazardous materials statute and regulations. b. Civil Penalties. 

### The Federal Civil Penalties Inflation Adjustment Act of 1990, 28 U.S.C. §2461 (note), as amended by the 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 ofmonetary civil penalties andpromote compliance with the law. Under the statute, the adjusted civil penalty maximums cannotbe applied unless they are implemented by regulation. The adjusted civil penalties are listed in part 13 ofTitle 14 ofthe CFR, subpart H. · Pursuant to SAFE1EA- LU, the maximum civil penalty that may be assessed for a violation ofthe 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, orsubstantial destruction ofproperty. The minimum civil penalty that may ··

### ~. be assessed for atraining violation is $450.

c. Enforcement Responsibility. 

### Within the Department ofTransportation, the Pipeline & 

### Hazardous Materials Safety Programs Admfuistration (PHMSA), created by the Nonnan Y. Mineta Research and Special Programs ImprovementAct in2004, adopts the Hazardous· Materials Regulations (HMR), 

### which govern the transportation ofhazardous materials (hazmat). The FAA, under delegated authority, enforces the Federal hazardous material transportation law and the HMR, with particular emphasis on shipment ofhazmat by air. 49 C.P.R.§ 1.47Q).

C-1

### 10/01/07 

### 2150.38
d. Violation ofthe 

### aMRs. The HMR. 

### set forth regulations for the transportation ofhazmat. A knowing violation ofthe statute or ofthe H:MR can support the assessment ofa 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 areasonable person acting in the circumstances and exercising reasonable care would have that knowledge. 49 U.S.C. § 5123(a)(l)(A)

.. The civil penalties authorized under the statute apply to 

### each violation ofany regulation set forth in the HMR; they also apply to the violation ofan order, special permit, or approval issued by the Department Moreover, under the statute, each continuing violation ofthe HMR. 

### can constitute a separate violation for each day aviolation continues. In section 5124 ofthe statute, Congress prescribed criminal penalties for a willful violation ofthe Federal hazardous material transportation law orthe HMR; willful violations require evidence ofboth knowledge ofthe laws and regulations and intent to 

### violate them.

e. Investigative and Enforcement Procedures. Part 13 ofthe Federal Aviation Regulations

.. Investigative and Enforcement Procedures (14 C.P.R. part 13) governs the procedures applicable to 

### enforcement oftheH:MRby the FAA. Hazmat violations occurring on or after August 2, 1990, may be dismissed by an administrative lawjudge (ALJ) ifa notice of proposed civil penalty has not been issued within 2 years ofthe violation, unless good cause for delay has been shown. 14 C.P.R.§ 13.208(d). 2. Consideration ofStatutory Criteria. As a general matter, a sanction sl).ould be imposed that is sufficiently deterrentbut not excessive, in orderto comply with the underlying purposes ofthe 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 ofthe violation; the degree ofculpability ofthe violator; the history ofpast violations (ifany); the ability to pay; the effect on the ability to continue to do business; and other matters asjustice requires. Some ofthese considerations already are factored to some extent into the categories in the Hazardous Material Sanction Guidance Matrix. The statutory factors are further considered under theweighting analysis that

. is performed to indicate the amount ofthe civil penalty within the appropriate range, 

### i.e., at the minimum, moderate, ormaximumportion ofthe sanctionrange. ·The Matrix recognizes that an even higherpenalty could be warranted for a significantly aggravated case, consistentwith 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 aviolation that results in death, serious illness, or severe injury to any person, or substantial destruction of property. 3. Consistency ofPenalty Sanctions. The Hazardous Materials Sanction Guidance is designed to promote 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 ofthe case as compared with other types ofcases. Each case, however, must be evaluated on its oWn facts. A sanction may differ from the specified Matrix ranges whenthe facts and circumstances ofa case support either a greater or lesser penalty. 'When a special agentbelieves that apenalty should exceed the specified Matrix ranges, the agent should consult with legal counsel before further processing ofthe Enforcement Investigative Report (EIR). This consultation is not necessary in the case ofa recommended penalty that is
C-210/01/07 2150.38
less thanthatprovided inthe Matrix. 

### In either situation, the basis for the decision to go outside the ranges should be explained in detail. 4. Part 

### 175 Violations. Violations ofpart 175 ofthe HMR, which establish particular requirements for air carriers and other aircraft operators, are contained in a separate matrix. However, such operators often offer hazardous materials for air transportation, as well as accept and transport them. Forthis reason, such operators may be liable for violations both as a business entity within the Hazardous Materials Sanction Guidance Matrix, as well as for specific air carrierviolations.

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 Actof 1996 (SBREF A). For an extensive discussion ofhowto make that determination, see Part One

- Abbreviations and Defmitions, in**Appendix~** ofthis order. Ifinvestigating special agents are unable to obtain independently information to determine whether an alleged violator is a small business concern, they request such information in.the letter ofinvestigation. See sample letter ofinvestigation in Figure

## A-1 ofAppendix A. Because violations ofTitle 49 ofthe U.S. Code and the HMRmay 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 ofsize standards to fmd the correct size limit for an alleged violator.



### a. EnforcementPolicy 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 ofcivil penalties for statutory orregulatory 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 thathas been subject to multiple enforcement actions by the agency, a violation involving willful or criminal conduct, a violation thatresults when there has notbeena good faith attempt to complywith the requirements, anq a violation that poses a serious health, safety or environmental threat. With respectto air carriers and other aircr;:tft operators, the FAAtakes into consideration company size in determining the appropriate amount ofcivil penalty. See the Matrix, Figure C-1, below. b. Information Sheetfor Complaints by Small Business Concerns. Each FAA employee who conducts an inspection ofa smallbusiness concern that is regp.lated by the FAAprovides the small business concern with an information sheet. The information sheet informs that entity that it may submit complaints or comments regarding unfair FAA regulatory enforcementto the National Ombudsman. FAA special agents may obtain a copy ofthe information sheet for hazardous materials inspections and additional guidance for distributing 

### it from the ASH regional offices.

c. Reduction orWaiver ofPenalty. The FAAdoes not reduce or waive the penalty ofan alleged violator solely because itis a small business entity. This is because a violation ofthe hazmat statutes orHMRtypically poses a serious health, safety, or environmental threat (and may involve one ofthe otherreasons for exclusion). Accordingly, the FAA will usually reduce

C-3

### 10/01/07 2150.38

orwaive a penalty only ifthe small**busines~** entity provides evidence to demonstrate its inability to pay orthat the proposed penalty would preventthe entity from continuing in business. d. EnforcementActions Otherthan 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. Suchpolicies may apply to small business entities orto others, and will be announced as Compliance and Enforcement Bulletins in this order; 6. Use ofthe Sanction Guidance. This guidance provides agency personnel with a systematic way to evaluate a case and arrive at an appropriate penalty, considering all the relevant statutory criteria including mitigating and aggravating circumstances, ifany. Statutory considerations have beenfactored into the'various ranges within the Sanction Guidance Matrix. Determination ofwhere a sanction lies within these ranges is aided by a series ofweighting questions thatprobe the various aggravating and mitigating factors that may exist in a case.

a. WeightAnalysis. First, the weighting analysis is performed., Agency personnel respond to a series ofquestions to determine the aggregate weight ofthe case. The aggregate weight of the case helps determine the sanction amount for each violation group within the established ranges oftheMatrix. b. Determination ofSanction. 

### Itis important to note that determination ofwhere the sanction lies within the Matrix is not the tesult ofa mathematical computation. Evaluation ofthe case is based on the totality ofthe facts and circumstances. Generally, ifthe answer to a**p~cular** question represents a more significant aspect ofa case, greater consideration should be given to that answer. For example, violations involving an extremely dangerous substance, everi in minute quantities, mightwarrant a penalty at the maximum end ofthe range or even a penalty exceeding the Matrix ranges (ifnotalready atthe statutory maximum).**~·** Determination ofCategory. 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 underthe various violator categories take into account the relative culpability ofthe violator. Similarly, the offense categories address the nature, circumstances, and gravity ofthe particular offense. After determining the appropriate categories and intersecting box ofthe Matrix, agency personnel then determine which.subcategories ofoffenses 

### (jor example, shipping papers) are alleged to have been violated. Based onthe weighting analysis performed in subparagraphs 8.a.-e., an appropriate penalty is assigned for each ofthe applicable violation groups. The penalty amount

.for each relevant violation group is added together to reach the recommended sanction. d. OtherRelevant Sanction Factors. Under subparagraph 8.g., the special agent then considers other relevant factors, including evidence ofcorrective action. A recommended sanction may be reduced priorto the issuance ofa notice ofproposed civil penalty when there is adequate reliable information concerning the corrective actions taken by a respondent. Corrective actions thatjustify reduction oftherecommended 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, ifany, should be explained to, and discussed with, the investigating special agent. Final determination ofthe sanction amount proposed in tl:ie notice ofproposed civil penalty is ordinarily 

### aproduct of joint decisionmaking and approval ofthe 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 ofthe Sanction Guidance Matrix (Matrix); 

### and consideration ofother statutory factors. The Sanction Guidance Matrix 

### is contained in Figure**C~** 1

### and the Risk Categories 

## are contained in Figure**C~2.** 

### a. CaseAnalysis (Evaluation ofStatutory Assessment Factors). (1) 

### This section contains a series ofquestions 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 ofproposed civil penalty. The questions review factors involving the nature, circumstances, extent and gravity of the violation, the violator's degree ofculpability, and the violator's history ofprior violations. Some ofthese factors are already considered to some extent within the various categories ofthe Sanction Guidance Matrix. The questions in this section provide additional consideration ofthe statutory factors and examine the existence ofaggravating and mitigating factors in a case. (2) The agent answers**~ach** 

### question in Section I 

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

### not all questions will necessarily apply to a givenfact situation. Question (l)(a) 

### addresses the nature ofthe hazardous material(s) involved, and the evidence will indicate the risk category and, therefore, the weight. The aggravating or mitigating factors addressed in the other questions only apply to the case when the question receives ayes 

### response. Questions receiving a no 

### response do not affectthe weighting ofthe 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 ofthe questions will be 

### no and the only relevant weighting factor in this section will be the risk category ofthe material identified 

### in Question (l)(a). 

### (3) In 

### determining the final aggregate weight ofthe case, the responses to each .ofthe questions do not have to be equally considered. Determination ofwhether the overall case should have a minimum, moderate, or maximum weight cannot be determined with mathematical certainty.**Generally~** 

### ifthe answer to a question demonstrates that the factor at issue represents a more significant aspect ofthe**case~** 

### greater consideration is given to that factor. The ftnal aggregate weight is based on the totality ofthe facts and circumstances ofthe cas.e. Once


### C-5

### 10/01/07 2150.38 determined, the fm.al aggregate weight is thenutilized to arrive atthe recommended sanction for each applicable violation group on the Sanction Guidance 

### Matrix (See, Figure C-1). b. TheNature, Circumstances, Extent, and Gravity ofthe Violation (Factors Concerning the Shipment): (1) Whatmaterial(s) was offered, transported, or accepted for air transportation? Figure C-2 divides hazardous materials ofparticular classes, divisions, and packing groups into three risk categories: Category A, Category B, and Category C; Find the material offered, transported, or accepted,

### -in Figure C-2 and answer the questions below.

• . Ifthe material(s) is in 

### CategoryA, assign a

### Maximum weight. • Ifthe 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 inherentrisk of danger to air transportationposedby the material. 

## If there is more than one type of hazardous material involvedin the shipment, use the hazardous material in the highestriskcategory. (2) Whatquantity ofthe m.aterial(s) was offered, transported, or accepted for air transportation?

• Didthe 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 limitationfor gasoline on apassengerplane is 5 

### litersper package. 

## If a violator offers 30 

### liters in a singlepackage on apassengerplane, assign a maximum weight for this factor.

· • · Didthe 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 ofpackages and total amount ofhazardous material being transported in violation. · 

### Guidance Note: A package means a packagingplus its contents. 

### There may be multiple packages in one shipment or overpack. Multiplepackages often representmultiple violations. Under the Sanction Guidance, this fact is consideredan aggravating circumstance rather than a· direct multiplierof the sanction for each violation. Each case, however, must be evaluatedon its particular facts. A very large number of packages may result in such an egregious case that the overallweightof the case is so high that apenalty beyondthe maximumpoint in the range is warranted. An investigation will occasionally revealsufficient evidence of several shipments from the same offeror over aperiodof several days, all of which involve violations of the HMR. These independentacts of offering usually are consolidatedinto one EIR andaddressedin one notice
C-6

### 10/01/07 2150.38 

### of proposedcivilpenalty. However,forpurposes of determining the appropriate sanction, each separate shipmentwith separate airwaybill orshippingpapers, separate destination, and/or other evidence establishing itas aseparate shipment, is ordinarily consideredas a separate incident forpurposes of applying the sanction guidance analysis. It is suggestedthat the separate shipments be treatedas.individual counts in the EIR andthe notice of proposedcivil penalty, with each count having its own sanction derived from application of this guidance. (3) Did the shipment cause some damage orharm to persons orproperty or interfere with commerce? If 

### yes, consider a 

### Moderate or

### Maximum weight. 

### Guidance Note: Thefact thatno damage occurredas a result of the·shipment is nota mitigating factor. However, damage or harm may aggravate the nature, circumstances, extent, andgravity of the violation. Depending on the deiree of damage causedby the shipmentand/or the existence of otheraggravating factors, departurefrom the ranges may bejustified. It is important to note that death, serious illness, orsevere injury to anyperson, orsubstantial destruction of property, warrants additional consideration of aggravation of the totalpenalty.

c. Violator's Degree ofCulpability: The Matrix, Figure C-1, considers the relative culpability ofthe violator. This section ofthe analysis further evaluates the degree ofculpability ofthe violator. (1) Is the violator the manufacturer ofthe hazardous material? If 

### yes, consider a 

### Maximum weight. 

### Guidance Note: A manufacturer of a hazardous material is expectedto have complete knowledge ofthe nature of the hazardous material itmanufactures or uses; thus, a high degree of culpability will ordinarily be imputedto it. (2) Did someone other than the violator prepare the shipment for transportation? If 

### yes, consider a 

### Minimum or

### Moderate weight. 

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

## if the reshipper unpacks and/or· repackages the shipment, the reshipper remains as culpable as the original shipper and generally is notaccordedmitigation under this weightingfactor. (Forpurposes of this section, a "reshipper" refers to aperson, otherthan the original offoror, who offers ashipmentof 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 anotherparty may be a mitigatingfactor when considering the violator's degree of culpability. For example, reliance on an inaccurate Material Safety Data Sheet (MSDS) wouldbe mitigating. (4) Does the violator have a history ofpreviousHMRviolations? If 

### yes, consider a 

### Moderate or

### Maximum weight. 

### Guidance Note: To establish a violation history, aprior violation must be an actual finding of violationpursuantto a legal enforcementaction. Special agents shouldattemptto. determine the corporate structure of the violator andwhether other business entities or names are or have been usedby the entity in order to obtaina complete violation history. The number andage of violations shouldbe considered. Ordinarily,findings of violation more than5 years oldcarry less weight, unless a continuingpattern of violation exists.


### d. Other Factors.

·(1) Each case mustbe evaluated on its particular facts. As such, many cases may present unique scenarios and aggravating or mitigating factors that are not routinely seen. Ifan aggravating or mitigating circumstance exists that is not adequately addressed elsewhere in the sanction guidance, itmay be included and assigned a weight under this section. The factor shouldbe clearly identified and explained 

### in the analysis portion ofthe EIR and carefully scrutinized by legal counsel. 

### GuidanceNote: For example, a shipmentof a singlepackage containing several different hazardous materials maypresent an aggravating/actor. The degree ofseriousness of this factor will increase 

## if the hazardous materials are incompatible with each other and, therefore, create an increasedrisk. Mitigating factors may also existthat have not been adequately considered. For example, a shipnumtcontaining

## ade minimis quantity of material oranamountthatwouldhave.qualified under the small quantity exception of 49 C.F.R. § 

### 173.4 maypresent a mitigating factor 

## if as a result there was a reducedriskto safety in transportation. That the material couldhcive been shippedas a consumer commodity can also be a mitigating/actor. ·


### e. Determine the Final Aggregate Weight ofthe Case. (1) All the responses/weights are evaluated to determine a fmal aggregateweightforthe case 

### (Minimum, Moderate, andMaximum.). 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 orher discretion in light ofthe statutory factors and knowledge ofthe particular facts ofthe case. The facts ofthe particular case will dictate the relative importance ofeach of the weighting factors in reaching the fmal aggregate weight. The final aggregate weight should be decided as a result ofcareful 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 riskcategory may be evaluatedto have a maximum weightbecause of the large quantity shippedor the damage resulting.from the shipment. f. Utilize the Matrix (Figure C-1). (I) The sanction ranges under the offeror and offense categories ofthe Sanction Guidance,Matrix reflect the relative culpability ofthe violator and the nature, circumstances, extent, and gravity ofcases for the majority ofviolations. Consideration o:fthese particular statutory factors under the Federal hazardous material transportation law is built into the Matrix. Further analysis ofthe statutory factors is requi!ed to determine the appropriate sanction within the ranges established underthe' Matrix. This analysis is performed in subparagraphs 8.a.-e. After deterniining the fmal aggregate weight ofthe case under subparagraphs 8.a.-e., thatweight is applied

## to the appropriate Matrix range to identify the recommended sanction amount for each ofthe relevantviolation groups and for the case as a whole. Althoughthe notice ofproposed civil penalty may cite numerous violations ofa particularpart or subpart ofthe 

### HMR., unless upward departure isjustified, a single penalty amount for each violation group is ordinarily used to reach the full sanction. (2) Instructions.

• Identify the appropriate category for the type ofentity and the nature ofthe offense involved in the case. Referto the Definitions Section that follows the Matrix inFigure 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 ofthe sanction range for each relevant violation group. The recommended civil penalty atthis stage is the sum ofthe sanctionsfor each ofthe applicable violation groups. A sanction should not be assessed for a violation group 

### ifthere have been no violations ofthatpart or subpart ofthe HMR. The sanction amount for eachviolation group need not be identical but ordinarily is within the portion ofthe particular sanction range thatrepresents the overall weight ofthe case. (3) Departure from the Matrixranges. The ranges ofpenalties specified in the Matrix (e.g., $250-$550) are intended to cover the majority ofcases involving violations ofthe HMR. The facts and circumstances ofa particular case, however, mayjustify either an upward or downward departure from the specified Matrix ranges. This sanction guidance anticipates

,departure from the specified Matrix ranges whenjustified. A case involving violations in which the nature, circumstances, extent, and gravity ofthe incident are particularly severe or egregious, mayjustifyupward departure from the specified ranges. Ifthe investigating agent believes, basedupon thefacts ofa case, that a penalty should exceed the specified Matrix ranges, the agent should consult with legal counsel before further processing ofthe EIR. (However, in no case may the civil penalty per violation exceed the maximum allowed by law.) Conversely, the investigating agent may believe that mitigating factorsjustify a downward departure from the
C-9

### 10/01/07 2150.38
Matrix range. Consultation with legal counsel is not necessary in the case ofa recommended penalty that isless than that provided in the Matrix. (However, in no case may the civilpenalty per violation be less than the minimum allowed by law.) 

### In either situation, however, the agent is to provide a detailed explanation ofthe basis for the decision to go outside the ranges. (4) Violations ofpart 175 regulations, which 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 ofOther StatutoryFactors. The Federal hazardous material transportation law also requires consideration ofa violator's ability to pay a civil penalty, the impact ofthe civil penalty on the violator's ability to continue to do business, and other matters thatjustice requires. Consideration ofthese factors may result in adjustment oftherecommended civil penalty calculated in subparagraph 8.f. 

### In situations where the agent or attorney is inpossession ofmitigating information, such an inability to paythe recommended civil penalty or corrective action taken, reduction ofthe 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 ofproposed civil penalty. 

### (1) Abilityto pay or continue in business. Historically, the FAAhas considered these factors after the issuance ofthe notice ofproposed civilpenalty due to the absence ofreliable financial information on which to base a reductionpriorto the issuance ofa 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 ofa notice. This information will be transmitted to thelegal office for consideration. It is recognized that it may not always bepossible for the special agent and/or attorney to obtain reliable financial information on a particularrespondent, that fmancial circumstances change, and that information may be provided after the issuance ofthe notice that may warrant further consideration ofa respondent's ability to pay.

• The investigating agent will attempt to include fmancial information as an exhibit in the EIR. It is anticipated that this information, ifavailable, will be ol;>tained from reliable fmancial data bases. Financial documentation should include, but need notbe limited to, information concerning the violator's corporate structure, business address, officers, number of employees, and gross revenues.

• The investigating agent provides a statement or comment with respect to the fmancial information obtainedbut ordinarily does not evaluate the fmancial condition ofa respondentwith respectto its ability to pay a proposed civil penalty. The investigating agent's statement should encompass areas like the number ofemployees; gross revenues, and nature of business ofthe violator.

• FAA legal 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 ifmore current infonnation exists concerning the fmancial condition ofa respondent and if

### that infonnation substantially differs from the information available at the time of preparation ofthe EIR. If

### there is a b;:tsis for detennining that the recommended.sanction is inappropriate based upon the fmancial infonnationprovided in

### the EIR, the recommended sanction is adjusted priorto issuance ofthe notice ofproposed civil penalty. This is a preliminary consideration ofa company's ability to pay. As 

### such, pre-notice adjustment ofa recommended Civil penalty does not preclude further consideration ofa respondent's fmancial claims after issuance ofthe notice. · (2) Corrective Action.

• The niost common other matter

### that the FAA takes into consideration is corrective action. Corrective action thatresults in mitigation is remedial action that exceeds the minimum legal requirements. The primary factors 

### in detennining the appropriate amount ofpenalty reduction are the extent and timing ofthe corrective action. In 

### other words, mitigation is determined on the basis ofhow much corrective action was taken and how quickly the action was taken. Systemic change intended to prevent future violations should be given greater consideration. Similarly, corrective action that commences upon the violator's first learning of the violations ordinarily is given greater credit than corrective action that commences only after the violator receives the letter ofinvestigation orthe notice ofproposed civil penalty. Mitigation ofarecommended civil penalty based upon corrective action should be referenced in the Notice ofProposed Civil Penalty so that the respondent is on notice that credit already has been given for such action. (2) Status ofviolator as a small business entity or concern. See 

### subparagraphs S.a.-b. above.

C-11

### 10/01/07

OFFENSE CA1EGORIES L Declared ShiQment 1. ShippingPapers 2. Labels 3. Markings "4. Packaging 5. Training 6. Emerg. Response 7. Release into Environ. 8. Other ll. Undeclared ShiQment Within liazmat QuantitvLimitations 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. ShippingPapers 2. Labels 3. Markings 4. Packaging 5. Training 6. Emerg. Response 7. Release intoEnviron. 8. Other V. Intentional or 

### MATRIX & 

### DEFINITIONS .(Figure C-1)

C. Business Entity that uses orhandles 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

DeliberateVlolation1 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 illness 1 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 OTHERAIRCRAFT Air Carriers and Air Carriers and 

### OPERATOR VIOLATIONS OtherAircraft OtherAircraft Operators

.. Operators Failure to comply with Parts 171, 172, or 173 Use main Matrix. Use main Matrix. requirements ofthe HMR as an offeror ofhazmat. Improper acceptance ofhazmat for airtransportation. (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 shipmentproperly. 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, ormeetminimum requirements for hazmat training (49 C.P.R.)

.

. Using_untrained/improperly..traihed.hazmat-personnel,

--.... . -10,000-32;500.- -5-000-16 -200.

. 

### ' ' failure to retain hazmat training records (49 C.P.R.) Failure to notify FAA properly ofincident/discrepancies 5,000-16,200 1,000-5,500 in hazmat shipment. Failure to provide notice to the pilot-in-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 significantlyaggravated 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 thatthese definitions are. only for the purpose ofapplying the sanction guidance inthis appendix.

a. Air Carrier and OtherAircraft Operator Groups 

### (I, 

### II, ill, IV)

### -Air carriers and other aircraft operators 

### are divided into two categories for purposes ofdetennining an appropriate sandtion.· These categories track the 

### air carrier groups established inAppendix 

### B · .this order. Forpw:poses ofhazmat sanction guidance, the FAA also includes other aircraft operators operating 

### in commerce that are ofsimilar size, 

### e.g., part 129 Foreign 

### AirCarriers, part 125 Operators, andpart 91 Operators. 

### (1) Group 

### I is comprised ofair carriers with annual operating revenue of$100,000,000 ormore. Other aircraft operators with annual operatingrevenue of$100,000,000 or more are included in Group 

### I for hazmat sanction guidance purposes. (2) Group 

### IIis comprised ofair carriers and other**commerc~al** operators thathave an annual operating revenue ofless than $100,000,000, and have 50 or more pilots and operate 25 or more aircraft. Other aircraft operators ofthe same size are included in Group 

### IIfor hazmat sanction guidance purposes. 

### (3) Group 

### ill is comprised ofair 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 

### 6to 24 aircraft. Other aircraft operators ofthe same size are included in**Gro~p** 

### ill for hazm.at sanction guidance purposes. (4) Group IV is comprised ofall other air carriers and commercial operators notmeeting the criteria for Groups 

### I, IT, or

### ill. Other aircraft operators ofthe same size are included in Group IVfor hazmat sanction guidance purposes. 

### b. Business Entity. 

### A business, corporation, partnership, Sub-S Corporation, sole proprietor, association, or any type ofcommercial entity. An individual who offers a hazmat shipment in 

### air transportation in the course ofhis or her self-ownedbusiness 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), withthe exception ofan individual (as d.efined below).

c. Business Entity thatRegularly Offers, Accepts, or Transports Hazardous Materials in the Course ofIts Business. A business entity that offers hazmat with some anticipated frequency, orpw:ports to do so, 

### regularly offers hazmat. For example, a catalogue company that offers hazardous material to its customers would fall into this category;eventhough its actual sale or transportation ofthe hazmat is infrequent or limited. This category includes manufacturer or distributor ofhazmat and a freight forwarder.
d. Business Entity that Uses, Handles Hazmat in the Course ofIts Business. This category encompasses the business that utilizes hazmat in its business but does not offer 

### it for transportation on a regular basis, as described above. For example, a manufacturer ofa nonhazm.atproductthatuses hazmat in the manufacturingprocess could fall into this category. It mustbe established that the company ordinarily does not offer the hazmatitutilizes for transportation, and the shipment 

### in this instancerepresents an isolated incident. This type of business is held 

### to a higher standardthanthe 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 anduses it in its business; thus, it is clearly on notice ofthe hazardous nature of the material and the regulatory requirements 

### to which the hazmat is subject

e. Declared Shipment. Forpurposes ofthis sanction guidance, a declared shipment has at least one ofthe following communicative indicia---markings, labels, and/or shippingpapers that meetthe communicative requirements ofthe 

### HMR.. A package thathas shipping papers that declare the contents as hazardous material, but is otherwise not marked or labeled, falls into this category. Forpurposes ofthis defmition, a shipping paper is any document to which handlers refer in the normal course oftransportation and that complies with one or more ofthe communicative requirements in the 

### H:MR for shipping papers. Similatly, a properly marked and labeled package that lacks shippingpapers also falls into this category. 

### An example ofa shipmentthat would not meetthis defmition is one where the offeror states that the shipment contains hazmat, but only in paperworkto which the handlers do not refer inthe normal course oftransportation. 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 ofhazardous material in his orherpersonal· capacity, without any business purpose and not as part ofa commercial enterprise. · h. Intentional or Deliberate Viobi.tion --Aviolation falls into this category when the offeror, acceptor, air carrier, or aircraft operator has knowledge ofthe requirements ofthe 

### HMR., and willfully circumvents or attempts to circumventthose requirements. For example, an offeror who places a properly marked and labeled hazmat shipment along with properly completed shipping papers, into an overpackmarked as

### printedmaterial, 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 thatis offered for transportation on or transported on any aircraft and the

. quantity ofhazardous material exceeds the limit, per package, for transportation on cargo aircraft, as established in the 49 C.P.R. § 172.101 Table. k. Undeclared ShipmentHazmatExceeds QuantityLimits for Passenger Aircraft- 

### An undeclared shipment thatis· offered for transportation on ortransported on a passenger aircraft, andthe quantity ofhazardous material e:Xceeds the limitation, perpackage, 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 ShipmentHazmatForbidden on All Aircraft- An undeclared shipment thatis 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 HazmatForbidden on PassengerAircraft- 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 ofhazardous material must be within the limitation, perpackage, 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 ofhazardous material must be within the limitation, perpackage, for transportation on passenger 

### aircraft, as established in the 49 C.F.R. § 

### 172.101 Table. (3) If

### the undeclared shipment is offered for transportation on and 

### transported on a cargo 

### aircraft, the quantity ofhazardous material must be within the.limitation, perpackage, for transportation on cargo 

### aircraft, as established in the**~9** 

### C.P.R. § 

### 172.101 Table. All other undeclared shipments fit within the defmitions for UndeclaredShipment Hazmat Exceeds Quantity Limitsfor

...Aircrajt, or UndeclaredShipment 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 ofan 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 injuryto persons due to unintended releases in aircraft cabin areas, and potential damage to aircraft structures over a longer period oftime due to undiscovered releases on aircraft structural components. Class 1 Class 3 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 riskto the transportation system. 2.2 Nonflammable Gas Class 2 Class 6 Class 7 Class 9 Division 6.1 Toxic/Poisonous Materials PG Ill All other RAM (LSA, LTO 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 ofa case, that the failure ofan air carrier, shipper, freight forwarder, or passenger to follow established regulations has posed a risk to aviation safety. · 

### C-17