FA AExhibi t Lis t 

# 1M^

- /^ < # Descriptio n :^^!'V\RTMEN TO F ' ^ "^ 1 Sanction s Guidanc e ••--^pORJATIO'^ ' ^ ^ 2 • :!':£ t OPERATiON S 3 

### 4 m MA Y

### 2 3 P 2

= 0 8 5 6 7 8 

### 9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 1 8 1 9 2 0 2 1 2 2 2 3 2 4 2 5 2 6 2 7 2 8 2 9

## ,-\t ^

10/01/0 7 2150.3 B Appendi x C . Sanctio nGuidanc e Hazardou s Material s Enforcemen t 1 . Background . a . Legislation . Congres s determine dtha t th e unregulate dtransportatio no f hazardou s material s constitute s athrea t t o publi c safety i nal l form s o f transportation . Congres s addresse d tha t threa t i n197 4 b y enactin g th e Hazardou s Material s Transportatio nAc t (HMTA) . B y 1990 , Congres s determine dtha t effectiv e enforcemen t

o f th e HMT A require dmor e sever e action , an d enacte dth e Hazardou s Material s Transportatio nUniformSafety Ac t o f 1990 , Publi c La w No . 101-615 , 199 0 U.S . Cod e Congress . & Admin . New s 104 Stat . 4605 . Th e primar y effec t o f thi s 199 0 revisio no f

th e HMT A wa s t o rais e th e maximu mcivi l penalt y for violatio no f

an y regulatio nenacte dunde r th e HMT A t o $25,000 , and , for th e first time , t o requir e a$25 0 minimu mpenalt y for

an y suc hviolation . Th e HMT A wa s recodifie din199 4 an di s no w referre d t o a s th e "Federa l hazardou s materia l transportatio nlaw, " 199 4 U.S . Cod e Congress . & Admin . New s 10 8 Stat . 759 , codifie dat 4 9 U.S.C . § § 5101-5127 . I nth e 199 4 recodification . Congres s specificall y state dtha t

th e recodificatio ncreate dn o substantiv e chang e t o th e earlie r for mo f th e statute . I n2005 , th e Congres s enacte dan dth e Presiden t signe dth e Safe , Accountable , Flexible , Efficien t Transportatio nEquit y Act : A Legac y for User s (SAFETE A - LU) , Publi c La w 109-59 , Augus t 10 , 2005 . Tha t

legislation , amon g othe r things , modifie dth e limitation s o ncivi l penaltie s tha t

ma y b e assesse dfor

violation s o f

th e hazardou s material s statut e an dregulations . b . Civi l Penalties . Th e Federa l Civi l Penaltie s Inflatio nAdjustmen t Ac t o f 1990 , 2 8 U.S.C . § 246 1 (note) , a s amende db y th e Deb t Collectio nImprovemen t Ac t o f 1996 , Publi c Law 104-134 , Apri l 26 , 1996 , provide s amechanis mfor adjustment s for

monetar y civi l penaltie s for inflatio ninorde r

t o maintai nth e deterren t effec t o f monetar y civi l penaltie s an dpromot e complianc e withth e law . Unde r th e statute , th e adjuste dcivi l penalt y maximum s canno t b e applie dunles s the y ar e implemente db y regulation . Th e adjuste dcivi l penaltie s ar e liste dinpart 1 3 o f Titl e 1 4 o f

th e CFR , subpar t

H . Pursuan t t o SAFETE A - LU , th e maximu mcivi l penalt y tha t ma y b e assesse dfo

r aviolatio n o f th e Federa l hazardou s materia l law o r ahazardou s materia l regulatio ni s no w $50,000 ; th e minimu mcivi l penalt y i s no w $250 . Ther e ar e tw o exception s t o thos e limits . A maximu mcivi l penalt y o f

$100,00 0 ma y b e assesse di f th e violatio nresult s i ndeath , seriou s illness , or sever e injur y t o an y person , o r

substantia l destructio no f property . Th e minimu mcivi l penalt y that ma y b e assesse dfor

atrainin g violatio ni s $450 . c . Enforcemen t

Responsibility . Withi nth e Departmen t o f Transportation , th e Pipelin e & Hazardou s Material s Safety Program s Administratio n(PHMSA) , create db y th e Norma nY . Minet aResearc han dSpecia l Program s Improvemen t Ac t i n2004 , adopt s th e Hazardou s j Material s Regulation s (HMR) , whic hgover nth e transportatio no f hazardou s material s (hazmat) . ^A\ ^ ' Th e FAA , unde r

delegate dauthority , enforce s th e Federa l hazardou s materia l transportatio nlaw an dth e HMR , wit hparticula r emphasi s o nshipmen t

o f hazma t b y air . 4 9 C.F.R . § 1.47(j) . <:r'T^r ^

C- 110/01/0 7 2150.3 B

d . Violatio no f

th e HMRs . Th e HM Rse t fort hregulation s for

th e transportatio no f

hazmat . A knowin g violatio no f

th e statut e o r

o f th e HM Rca nsuppor t

th e assessmen t

o f acivi l penalt y betwee n$25 0 an d$100,000 . A perso nact s knowingl y whe nth e perso nha s actua l knowledg e o f th e fact s givin g rise t o th e violation ; o r areasonabl e perso nactin g i nth e circumstance s an d exercisin g reasonabl e car e woul dhav e tha t knowledge . 4 9 U.S.C . § 5123(a)(1)(A) . Th e civi l penaltie s authorize dunde r th e statut e appl y t o eac hviolatio no f an y regulatio nse t

fort hinth e HMR ; the y als o appl y t o th e violatio no f a norder , specia l permit , o r approva l issue db y th e Department . Moreover , unde r th e statute , eac hcontinuin g violatio no f th e HM Rca nconstitut e a separat e violatio nfor

eac hda y aviolatio ncontinues . Insectio n512 4 o f th e statute . Congres s prescribe dcrimina l penaltie s for awillfii l violatio no f

th e Federa l hazardou s materia l transportatio nla w o r

th e HMR ; willfu l violation s requir e evidenc e o f bot hknowledg e o f

th e law s an dregulation s an dinten t t o violat e them . e . Investigativ e an dEnforcemen t Procedures . Part

1 3 o f th e Federa l Aviatio n Regulation s - Investigativ e an dEnforcemen t Procedure s (1 4 C.F.R . par t 13 ) govern s th e procedure s applicabl e t o enforcemen t o f th e HM Rb y th e FAA . Hazma t violation s occurrin g o n o r after Augus t 2 , 1990 , ma y b e dismisse db y anadministrativ e law judg e (ALJ ) i f anotic e o f propose dcivi l penalt y ha s no t bee nissue dwithi n2 year s o f th e violation , unles s goo dcaus e for delay ha s bee nshown . 1 4 C.F.R . § 13.208(d) . 2 . Consideratio no f

Statutor y Criteria . A s agenera l matter , asanctio nshoul db e impose d that i s sufficientl y deterren t

bu t no t excessive , i norde r

t o compl y withth e underlyin g purpose s o f th e Federa l hazardou s materia l transportatio nla w an dHMR . Indeterminin g th e sanctio nt o b e assessed , penalt y criteri ase t fort hi n4 9 U.S.C . § 512 3 mus t b e considered . Thes e criteri aar e th e nature , circumstances , extent , an dgravit y o f th e violation ; th e degre e o f culpabilit y o f

th e violator ; th e histor y o f

pas t violation s (i f

any) ; th e abilit y t o pay ; th e effec t o nth e abilit y t o continu e t o d o business ; an dothe r matter s a s justic e requires . Som e o f thes e consideration s alread y ar e factore dt o som e exten t int o th e categorie s inth e Hazardou s Materia l Sanctio n Guidanc e Matrix . Th e statutor y factor s ar e further considere dunde r

th e weightin g analysi s that i s performe dt o indicat e th e amoun t o f th e civi l penalt y withi nth e appropriat e range , i.e. , at th e minimum , moderate , o r

maximu mportio no f

th e sanctio nrange . Th e Matri x recognize s tha t a n eve nhighe r

penalt y coul db e warrante dfor asignificantl y aggravate dcase , consisten t withth e increase dmaximu mpenalt y o f $50,00 0 impose db y SAFETEA-LU . I naddition , th e Matri x reflect s th e potentia l $100,00 0 penalty , als o impose db y SAFETEA-LU , for aviolatio nthat result s indeath , seriou s illness , o r sever e injury t o an y person , o r substantia l destructio no f property . 3 . Consistenc y o f

Penalt y Sanctions . Th e Hazardou s Material s Sanctio nGuidanc e i s designe d t o promot e bette r

consistenc y s o tha t

similar penaltie s ar e impose di nsimila r cases . Th e specifie dMatri x range s (e.g. , $250-$550 , o r $15,000-$32,500 ) ar e intende dt o reflec t th e nature , circumstances , extent , an dgravit y o f th e cas e a s compare dwithothe r type s o f cases . Eac hcase , however , mus t

b e evaluate do nit s ow nfacts. A sanctio nmay differ fi-omth e specifie dMatri x range s whe nth e fact s an dcircumstance s o f acas e support

eithe r agreate r o r lesse r penalty . Whe naspecia l agen t

believe s tha t

apenalt y shoul dexcee dth e specifie dMatri x ranges , th e agen t shoul dconsul t

withlega l counse l befor e furthe r processin g o f

th e Enforcemen t

Investigativ e Repor t (EIR) . Thi s consultatio ni s no t necessar y inth e cas e o f arecommende dpenalt y tha t i s 

### C-210/01/0 7 2150.3 B

les s thantha t

provide dinth e Matrix . Ineithe r situation , th e basi s for

th e decisio nt o g o outsid e therange s shoul db e explaine dindetail . 4 . Par t 17 5 Violations . Violation s o f part 17 5 o f th e HMR , whic hestablis hparticula r requirement s for

ai r carrier s an dothe r

aircraf t operators , ar e containe dinaseparat e matrix . However , suc hoperator s ofte noffer hazardou s material s for

ai r transportation , a s well a s accep t an dtransport

them . Fo r

thi s reason , suc hoperator s ma y b e liabl e for violation s botha s a busines s entity withi nth e Hazardou s Material s Sanctio nGuidanc e Matrix , a s wel l a s for specifi c ai r carrie r violations . 5 . Violatio nCommitte db y Smal l Busines s Entity . T o mee t statistics-gatherin g requirements , th e investigatin g specia l agen t mus t determin e whethe r

th e allege dviolato r

qualifie s a s asmal l busines s concer nunde r

th e Smal l Busines s Regulator y Enforcemen t Fairnes s Ac t

o f 199 6 (SBREFA) . Fo r

a nextensiv e discussio no f ho w t o mak e tha t

determination , se e Part

On e - Abbreviation s an dDefinitions , inAppendi x B o f thi s order . I f

investigatin g specia l agent s ar e unabl e t o obtai nindependenfl y informatio nt o determin e whethe r a nallege dviolato r

i s asmal l busines s concern , the y reques t suc hinformatio ninth e lette r o f investigation . Se e sampl e lette r o f investigatio ni nFigur e A- 1 o f Appendi x A . Becaus e violation s o f Titl e 4 9 o f

th e U.S . Cod e an dth e HM Rmay b e committe db y entitie s i nadditio nt o thos e normall y regulate db y th e FAA , th e investigatin g agen t

ma y nee dt o refer

t o th e SBA' s complet e tabl e o f siz e standard s t o find th e correc t

siz e limi t

for a nallege dviolator . a . Enforcemen t

Polic y unde r

SBREFA . Chapte r

7 , Paragrap h10 , o f

thi s orde r

generall y outline s th e FAA' s enforcemen t polic y unde r

SBREFA . I ndeterminin g whethe r an dho w t o provid e for

th e reductio no r

waive r o f civi l penaltie s for

statutor y o r

regulator y violation s b y smal l entities , th e FAA' s polic y ma y contai ncertai nconditions . Thos e condition s may allo w for excludin g fromsuc hareductio no r waiver : asmal l entity tha t ha s bee nsubjec t

t o multipl e enforcemen t

action s b y th e agency , aviolatio ninvolvin g willfu l o r crimina l conduct , aviolatio n that result s whe nther e ha s no t bee nagoo dfait

hattemp t t o compl y withth e requirements , an da violatio ntha t

pose s aseriou s health , safety o r environmenta l threat . Withrespec t t o ai r carrier s an dothe r aircraf t operators , th e FA A take s int o consideratio ncompan y siz e indeterminin g th e appropriat e amoun t

o f civi l penalty . Se e th e Matrix , Figur e C-1 , below . b . Informatio nShee t

fo r Complaint s b y Smal l Busines s Concerns . Eac hFA A employe e wh o conduct s a

ninspectio no f

asmal l busines s concer ntha t i s regulate db y th e FA A provide s th e smal l busines s concer nwithaninformatio nsheet . Th e informatio nshee t inform s that

entity that it may submi t

complaint s o r

comment s regardin g unfai r FA A regulator y enforcemen t t o th e Nationa l Ombudsman . FA A specia l agent s may obtai nacop y o f th e informatio nshee t

for hazardou s material s inspection s an dadditiona l guidanc e for distributin g i t

fro mth e AS H regiona l offices . c . Reductio no r

Waive r o f Penalty . Th e FA A doe s no t reduc e o r

waiv e th e penalt y o f

a n allege dviolato r

solel y becaus e i t

i s asmal l busines s entity . Thi s i s becaus e aviolatio no f th e hazma t statute s o r

HM Rtypicall y pose s aseriou s health , safety , o r environmenta l threa t

(an d ma y involv e on e o f

th e othe r reason s for

exclusion) . Accordingly , th e FA A wil l usuall y reduc e
C- 310/01/0 7 2150.3 8

o r waiv e apenalt y onl y i f

th e smal l busines s entit y provide s evidenc e t o demonstrat e it s inability t o pa y o r tha t th e propose dpenalt y woul dpreven t th e entity fromcontinuin g i nbusiness . d . Enforcemen t

Action s Othe r

tha nCivi l Penalties . Th e FA A may , i nlimite d circumstances , announc e policie s t o provid e for hazma t enforcemen t

action s les s onerou s tha n civi l penalties , tha t

is , administrativ e actions . Suc hpolicie s ma y appl y t o smal l busines s entitie s o r t o others , an dwil l b e announce da s Complianc e an dEnforcemen t Bulletin s inthi s order . 6 . Us e o f

th e Sanctio nGuidance . Thi s guidanc e provide s agenc y personne l wit hasystemati c wa y t o evaluat e acas e an darriv e at anappropriat e penalty , considerin g al l th e relevan t statutor y criteri aincludin g mitigatin g an daggravatin g circumstances , i f any . Statutor y consideration s hav e bee nfactore dint o th e variou s range s withi nth e Sanctio nGuidanc e Matrix . Determinatio n o f wher e asanctio nlie s withi nthes e range s i s aide db y aserie s o f weightin g question s tha t prob e th e variou s aggravatin g an dmitigatin g factor s that may exis t

inacase . a . Weigh t

Analysis . First , th e weightin g analysi s i s performed . Agenc y personne l respon d t o aserie s o f

question s t o determin e th e aggregat e weigh t o f th e case . Th e aggregat e weigh t o f th e cas e help s determin e th e sanctio namoun t for eac hviolatio ngrou p withi nth e establishe d range s o f th e Matrix . b . Determinatio no f

Sanction . I t

i s importan t

t o not e tha t

determinatio no f

wher e th e sanctio nlie s withi nth e Matri x i s no t th e resul t

o f amathematica l computation . Evaluatio no f th e cas e i s base do nth e totalit y o f th e fact s an dcircumstances . Generally , i f th e answe r

t o a particular questio nrepresent s amor e significan t aspec t o f acase , greate r

consideratio nshoul db e give nt o tha t

answer . Fo r

example , violation s involvin g a nextremel y dangerou s substance , eve n inminut e quantities , migh t warran t apenalt y a

t th e maximu men do f

th e rang e o r

eve napenalty exceedin g th e Matri x range s (i f no t alread y at

th e statutory maximum) . c . Determinatio no f

Category . Unde r

th e Sanctio nGuidanc e Matrix , agenc y personne l determin e th e categor y o f violato r th e perso nfall s withi n{fo r example , busines s entit y tha t regularl y offers , accepts , o r transport s hazmat ) an dth e offens e categor y {fo r example , undeclare d shipmen t withi nhazma t

quantit y limitations) . Th e sanctio nrange s unde r th e variou s violato r categorie s tak e int o accoun t th e relativ e culpabilit y o f th e violator . Similarly , th e offens e categorie s addres s th e nature , circumstances , an dgravity o f th e particula r

offense . After determinin g th e appropriat e categorie s an dintersectin g bo x o f th e Matrix , agenc y personne l the n determin e whic hsubcategorie s o f offense s {fo

r example , shippin g papers ) ar e allege dt o hav e bee nviolated . Base do nth e weightin g analysi s performe dinsubparagraph s 8.a.-e. , a n appropriat e penalt y i s assigne dfor eac ho f th e applicabl e violatio ngroups . Th e penalt y amoun t for eac hrelevan t

violatio ngrou p i s adde dtogethe r t o reac hth e recommende dsanction . d . Othe r Relevan t

Sanctio nFactors . Unde r subparagrap h8.g. , th e specia l agen t the n consider s othe r

relevan t factors , includin g evidenc e o f correctiv e action . A recommende d sanctio nmay b e reduce dprio r t o th e issuanc e o f

anotic e o f

propose dcivi l penalt y whe nther e i s adequat e reliabl e informatio nconcernin g th e correctiv e action s take nb y arespondent . Correctiv e action s tha t

justif y reductio no f

th e recommende dpenalt y mus t excee dth e minimu m 

### C-410/01/0 7 2150.3 8

legal requirements . Th e specia l agen t als o attempt s t o provid e informatio nconcernin g th e allege dviolator' s size , financial condition , an dabilit y t o pa y arecommende dsanction . 7 . FA A Lega l Counse l Review . Whe nanEI Ri s forwarde dt o lega l counse l for enforcemen t action , counse l wil l giv e appropriat e consideratio nt o th e recommende dsanction . FA A lega l counse l wil l als o revie w th e factors , analysis , an ddetermination s unde r th e Hazardou s Material s Sanctio nGuidance . Th e basi s for deviatin g fromth e recommende dsanction , i f any , shoul db e explaine dto , an ddiscusse dwith , th e investigatin g specia l agent . Fina l determinatio no f th e sanctio namoun t

propose di nth e notic e o f propose dcivi l penalt y i s ordinaril y aproduc t o f join t decisionmakin g an dapprova l o f th e investigatin g agen t

an dth e lega l office . 8 . Federa l Aviatio nAdministratio nHazardou s Material s Sanctio nGuidance . Thi s Sanctio nGuidanc e i s divide dint o thre e sections : cas e analysis ; utilizatio no f th e Sanctio n Guidanc e Matri x (Matrix) ; an dconsideratio no f othe r statutor y factors . Th e Sanctio nGuidanc e Matri x i s containe di nFigur e C- 1 an dth e Ris k Categorie s ar e containe di nFigur e C-2 . a . Cas e Analysi s (Evaluatio no f Statutor y Assessmen t

Factors) . (1 ) Thi s sectio ncontain s aserie s o f question s t o assis t

aspecia l agen t

inevaluatin g a cas e an drecommendin g asanction . I t als o assist s anattorne y i nevaluatin g acas e file prio r t o initiation , an dafter

additiona l informatio ni s receive dinrespons e t o anotic e o f propose dcivi l penalty . Th e question s revie w factor s involvin g th e nature , circumstances , exten t an dgravity o f th e violation , th e violator' s degre e o f culpability , an dth e violator' s histor y o f prio r violations . Some o f thes e factor s ar e alread y considere dt o som e exten t withi nth e variou s categorie s o f th e Sanctio nGuidanc e Matrix . Th e question s inthi s sectio nprovid e additiona l consideratio no f th e statutory factor s an dexamin e th e existenc e o f aggravatin g an dmitigatin g factor s inacase . (2 ) Th e agen t

answer s eac hquestio ninSectio n/an ddetermine s i f arelativ e weigh t

o f minimum , moderate , o r

maximu mshoul db e assignedbase do nth e respons e t o th e question . Wit hth e exceptio no i Questio n(l)(a) , no t al l question s wil l necessaril y appl y t o agive nfact situation . Questio n(l)(a ) addresse s th e natur e o f th e hazardou s material(s ) involved , an dth e evidenc e wil l indicat e th e ris k categor y and , therefore , th e weight . Th e aggravatin g o r mitigatin g factor s addresse dinth e othe r question s onl y appl y t o th e cas e whe nth e questio nreceive s aye s response . Question s receivin g an o respons e d o no t affec t th e weightin g o f

th e cas e an dar e no t considered . Fo r

example , tha t

th e violatio ndi dno t

resul t i ninjury o r

damag e i s no t

amitigatin g factor , an dshoul dno t

resul t i npenalt y mitigation . Inman y instances , th e answer s t o mos t o r al l o f th e question s wil l b e n o an dth e onl y relevan t weightin g facto r

i nthi s sectio nwil l b e th e ris k categor y o f

th e materia l identifie di nQuestio n(l)(a) . (3 ) Indeterminin g th e final aggregat e weigh t o f th e case , th e response s t o eac ho f th e question s d o no t

hav e t o b e equall y considered . Determinatio no f whethe r th e overal l cas e shoul dhav e aminimum , moderate , o r maximu mweigh t

canno t b e determine dwithmathematica l certainty . Generally , i f

th e answe r

t o aquestio ndemonstrate s tha t th e facto r

at issu e represent s a mor e significan t

aspec t o f th e case , greate r

consideratio ni s give nt o tha t factor . Th e final aggregat e weigh t

i s base do nth e totalit y o f th e fact s an dcircumstance s o f tVi e case . Onc e C- 510/01/0 7 2150.3 8

determined , th e final aggregat e weigh t i s the nutilize dt o arriv e at th e recommende dsanctio nfor eac happlicabl e violatio ngrou p o nth e Sanctio nGuidanc e Matri x (See , Figur e C-1) . b . Th e Nature , Circumstances , Extent , an dGravit y o f th e Violatio n(Factor s Concernin g th e Shipment) : (1 ) What material(s ) wa s offered , transported , o r accepte dfor

ai r transportation ? Figur e C- 2 divide s hazardou s material s o f particula r

classes , divisions , an dpackin g group s int o thre e risk categories : Categor y A , Categor y B , an dCategor y C . Fin dth e materia l offered , transported , o r accepted , inFigur e C- 2 an danswe r th e question s below .

• I f th e material(s ) i s inCategor y A , assig naMaximu mweight . • I f th e material(s ) i s i nCategor y B , assig naModerat e weight . • I f th e material(s ) i s i nCategor y C , assig naMinimu mweight . Guidanc e Note : The categorie s inFigur e C- 2 represen t th e inheren t

ris k o f dange r t o ai r transportatio npose db y th e material . I f ther e i s mor e tha non e typ e o f hazardou s materia l involve dinth e shipment , us e th e hazardou s materia l inth e highes t ris k category . (2 ) Wha t quantit y o f

th e material(s ) wa s offered , transported , o r accepte dfor

ai r transportation ?

• Di dth e package(s ) excee dth e authorize dquantit y limitation s b y asignifican t amount ? \fyes , conside r aModerat e o r

Maximu mweigh t

dependin g o nth e degre e t o whic hth e limitatio nwa s exceeded . Guidanc e Example : The quantit y limitatio nfo r gasolin e o napassenge r plan e i s 5 liter s pe r package . I f

aviolato r

offer s 3 0 liter s i

nasingl e packag e o napassenge r plane , assig na maximumweigh t

fo r thi s factor .

• Di dth e packag e contai naforbidde nmaterial ? I f yes , assig naMaximu mweight .

• Wer e ther e multipl e package s i nth e shipment ? I f

yes , conside r

aModerat e o r Maximu mweight , dependin g o nth e numbe r o f package s an dtota l amoun t o f hazardou s materia l bein g transporte di nviolation . Guidanc e Note : A packag e mean s apackagin g plu s it s contents . Ther e may b e multipl e package s inon e shipmen t o r overpack . Multipl e package s oftenrepresen t multipl e violations . Unde r th e Sanctio nGuidance , thi s fac t i s considere da naggravatin g circumstanc e rathe r thana direc t multiplie r

o f th e sanctio nfo r

eac hviolation . Eac hcase , however , mus t b e evaluate donit s particula r

facts . A very larg e numbe r o f package s may resul t

insuc ha negregiou s cas e tha t th e overal l weigh t

o f th e cas e i s s o hig htha t

apenalt y beyon dth e maximu mpoin t inth e rang e i s warranted . A ninvestigatio nwil l occasionall y revea l sufficient evidenc e o f

severa l shipment s fro mth e sam e offero r ove r aperio do f

severa l days , al l o f

whic hinvolv e violation s o f th e HMR . Thes e independen t

act s o f offerin g usuall y ar e consolidate dint o on e EI Ran daddresse di non e notic e C- 610/01/0 7 2150.3 8

o f propose dcivi l penalty . However , fo r purpose s o f

determinin g th e appropriat e sanction , eac h separat e shipmen t

wit hseparat e ai r

waybil l o r

shippin g papers , separat e destination , and/o r othe r evidenc e establishin g i t a s aseparat e shipment , i s ordinaril y considere da s aseparat e inciden t fo r purpose s o f

applyin g th e sanctio nguidanc e analysis . I t i s suggeste dtha t

th e separat e shipment s b e treate da s individua l count s inth e EI Ran dth e notic e o f propose dcivi l penalty , wit

heac hcoun t

havin g it s ow nsanctio nderive dfro mapplicatio no f thi s guidance . (3 ) Di dth e shipmen t

caus e som e damag e o r

harmt o person s o r

propert y o r

interfer e wit

h commerce ? I f

yes , conside r

aModerat e o r

Maximu mweight . Guidanc e Note : The fac t tha t n o damag e occurre da s aresul t o f th e shipmen t

i s no t amitigatin g factor . However , damag e o r har mmay aggravat e th e nature , circumstances , extent , an dgravit y o f th e violation . Dependin g o nth e degre e o f damag e cause db y th e shipmen t and/o r th e existenc e o f

othe r aggravatin g factors , departur e fro mth e range s may b e justified . I t i s importan t t o not e tha t

death , seriou s illness , o r sever e injury t o an y person , o r substantia l destructio no f

property , warrant s additiona l consideratio no f aggravatio no f

th e tota l penalty . c . Violator' s Degre e o f Culpability . Th e Matrix , Figur e C-1 , consider s th e relativ e culpabilit y o f

th e violator . Thi s sectio no f th e analysi s fiirther

evaluate s th e degre e o f

culpabilit y o f th e violator . (1 ) I s th e violato r

th e manufacture r

o f th e hazardou s material ? I f ^^e^ , conside r

a Maximu mweight . Guidanc e Note : A manufacture r o f ahazardou s materia l i s expecte dt o hav e complet e knowledg e o f

th e natur e o f

th e hazardou s materia l it manufacture s o r

uses ; thus , ahig hdegre e o f culpabilit y wil l ordinaril y b e impute dt o it . (2 ) Di dsomeon e othe f

tha nth e violato r

prepar e th e shipmen t

for transportation ? \fyes , conside r aMinimu mo r

Moderat e weight . Guidanc e Note : Fact s supportin g a naffirmativ e answe r t o thi s questio nmay b e caus e t o mitigat e culpabilit y and/o r pursu e aseparat e enforcemen t actio nagains t

othe r responsibl e partie s wh o handle dth e shipment . A shippe r tha t reship s material s receive dfro manothe r perso ninth e sam e packagin g i s independentl y responsibl e fo r ensurin g th e shipmen t

complie s wit hth e HMR . Nevertheless , th e reshippe r i s generall y considere dt o hav e alesse r degre e o f culpabilit y fo r

complianc e o f

th e packag e a s received . However , i f th e reshippe r

unpack s and/o r repackage s th e shipment , th e reshippe r remain s a s culpabl e a s th e origina l shippe r an d generall y i s no t

accorde dmitigatio nunde r thi s weightin g factor . (Fo r purpose s o f

thi s section , a "reshipper " refer s t o aperson , othe r tha nth e origina l offeror , wh o offer s ashipmen t o f hazardou s materia l fo r

transportation. ) (3 ) Di dth e violato r

reasonabl y rely o nincorrec t informatio nfro manothe r source ? If yes , conside r

aMinimu mweight .

C- 710/01/0 7 2150.3 8

Guidanc e Note : Detrimental , reasonabl e relianc e o nanothe r part y ma y b e amitigatin g facto r whenconsiderin g th e violator' s degre e o f culpability . Fo r

example , relianc e o na ninaccurat e Materia l Safet

y Dat aShee t

(MSDS ) woul db e mitigating . (4 ) Doe s th e violato r

hav e ahistor y o f

previou s HM Rviolations ? I f yes , conside r

a Moderat e o r

Maximu mweight . Guidanc e Note : T

o establis haviolatio nhistory , aprio r violatio nmus t

b e a nactua l findin g o f violatio npursuan t

t o alega l enforcemen t

action . Specia l agent s shoul dattemp t t o determin e th e corporat e structur e o f

th e violato r

an dwhethe r

othe r busines s entitie s o r

name s ar e o r

hav e bee nuse db y th e entit y inorde r t o obtai nacomplet e violatio nhistory . Th e numbe r an dag e o f violation s shoul db e considered . Ordinarily , finding s o f violatio nmor e tha n5 year s ol dcarr y les s weight , unles s acontinuin g patter no f violatio nexists . d . Othe r Factors . (1 ) Eac hcas e mus t

b e evaluate do nit s particula r facts . A s such , man y case s may presen t uniqu e scenario s an daggravatin g o r mitigatin g factor s that

ar e no t routinel y seen . I f

an aggravatin g o r

mitigatin g circumstanc e exist s that i s no t adequatel y addresse delsewher e i nth e sanctio nguidance , i t

ma y b e include dan dassignedaweigh t unde r thi s section . Th e facto r shoul db e clearl y identifie dan dexplaine di nth e analysi s portio no f th e EI Ran dcarefull y scrutinize db y lega l counsel . Guidanc e Note : Fo r

example , ashipmen t

o f asingl e packag e containin g severa l differen t hazardou s material s ma y presen t a naggravatin g factor . The degre e o f seriousnes s o f

thi s facto r wil l increas e i f

th e hazardou s material s ar e incompatibl e wit heac hothe r

and . therefore , creat e anincrease drisk . Mitigatin g factor s may als o exis t tha t hav e no t bee nadequatel y considered . Fo r example , a shipmen t containin g ad e minimi s quantit y o f materia l o r

a namoun t

tha t woul dhav e qualifie d unde r th e smal l quantit y exceptio no f 4 9 C.F.R . § 173. 4 may presen t amitigatin g facto r

i f a s a resul t ther e wa s areduce dris k t o safety intransportation . That th e materia l coul dhav e bee n shippe da s aconsume r

commodity ca nals o b e amitigatin g factor . e . Determin e th e Fina l Aggregat e Weigh t o f th e Case . (1 ) Al l th e responses/weight s ar e evaluate dt o determin e afinal aggregat e weigh t for th e cas e {Minimum , Moderate , an dMaximum.) . Question s receivin g an o respons e wil l no t b e include di nthi s evaluation . T o determin e th e final aggregat e weight , th e agen t o r attorne y mus t exercis e hi s o r

he r discretio ni nligh t

o f th e statutory factor s an dknowledg e o f th e particular fact s o f th e case . Th e fact s o f

th e particula r

cas e wil l dictat e th e relativ e importanc e o f eac ho f th e weightin g factor s i nreachin g th e final aggregat e weight . Th e final aggregat e weigh t shoul d b e decide da s aresul t

o f carefu l analysis , no t

amathematica l averaging . I t i s possibl e tha t

a singl e weightin g facto r

ma y outweig hal l others . Th e agen t o r attorney' s analysi s shoul dalway s b e explaine dinthi s regard . 

### 0- 810/01/0 7 2150.3 8

Guidanc e Example : A cas e involvin g ahazardou s materia l inth e lowes t ris k categor y may b e evaluate dt o hav e amaximu mweigh t becaus e o f

th e larg e quantit y shippe do r th e damag e resultin g fro mth e shipment . f . Utiliz e th e Matri x (Figur e C-1) . (1 ) Th e sanctio nrange s unde r th e offero r

an doffens e categorie s o f th e Sanctio n Guidanc e Matri x reflec t

th e relativ e culpabilit y o f th e violato r

an dth e nature , circumstances , extent , an dgravit y o f

case s for th e majority o f

violations . Consideratio no f thes e particula r statutor y factor s unde r

th e Federa l hazardou s materia l transportatio nla w i s buil t int o th e Matrix . Furthe r analysi s o f

th e statutor y factor s i s require dt o determin e th e appropriat e sanctio nwithi n th e range s establishe dunde r th e Matrix . Thi s analysi s i s performe di nsubparagraph s 8.a.-e . After determinin g th e final aggregat e weigh t o f th e cas e unde r

subparagraph s 8.a.-e. , tha t weigh t i s applie dt o th e appropriat e Matri x rang e t o identif y th e recommende dsanctio namoun t for eac h o f th e relevan t

violatio ngroup s an dfor th e cas e a s awhole . Althoug hth e notic e o f propose d civi l penalt y ma y cit e numerou s violation s o f aparticula r

part o r subpar t o f th e HMR , unles s upwar ddepartur e i s justified , asingl e penalt y amoun t for eac hviolatio ngrou p i s ordinaril y use d t o reac hth e ful

l sanction . (2 ) Instructions .

• Identif y th e appropriat e categor y for th e typ e o f

entity an dth e natur e o f

th e offens e involve dinth e case . Refe r t o th e Definition s Sectio ntha t follow s th e Matri x inFigur e C- 1 for guidance . G o t o th e intersectin g bo x an didentif y th e applicabl e sanctio nrang e for eac h violatio ngroup .

• Appl y th e conclusio nreache di nth e subparagraph s 8.a.-e . weightin g analysi s t o assig nasanctio namoun t withi nth e minimum , moderate , o r maximu mportio no f

th e sanctio n rang e for eac hrelevan t

violatio ngroup . Th e recommende dcivi l penalt y at thi s stag e i s th e sum o f th e sanction s for

eac ho f th e applicabl e violatio ngroups . A sanctio nshoul dno t b e assesse d for aviolatio ngrou p i f

ther e hav e bee nn o violation s o f that part o r subpar t o f th e HMR . Th e sanctio namoun t

for eac hviolatio ngrou p nee dno t b e identica l bu t

ordinaril y i s withi nth e portio no f

th e particula r

sanctio nrang e tha t

represent s th e overal l weigh t o f th e case . (3 ) Departur e fromth e Matri x ranges . Th e range s o f penaltie s specifie dinth e Matri x (e.g. , $250-$550 ) ar e intende dt o cove r th e majority o f

case s involvin g violation s o f th e HMR . Th e fact s an dcircumstance s o f aparticula r

case , however , may justif y eithe r a nupwar do r downwar ddepartur e fromth e specifie dMatri x ranges . Thi s sanctio nguidanc e anticipate s departur e fromth e specifie dMatri x range s whe njustified . A cas e involvin g violation s inwhic h th e nature , circumstances , extent , an dgravit y o f th e inciden t

ar e particularl y sever e o r egregious , may justif y upwar ddepartur e fromth e specifie dranges . I f th e investigatin g agen t

believes , base dupo nth e fact s o f

acase , tha t

apenalt y shoul dexcee dth e specifie dMatri x ranges , th e agen t shoul dconsul t

withlega l counse l befor e further processin g o f

th e EIR . (However , inn o cas e may th e civi l penalt y pe r violatio nexcee dth e maximu mallowe db y law. ) Conversely , th e investigatin g agen t

ma y believ e tha t

mitigatin g factor s justif

y adownwar ddepartur e fromth e C- 910/01/0 7 2150.3 8

Matinx range . Consultatio nwit hlega l counse l i s no t necessar y i nth e cas e o f arecommende d penalt y tha t

i s les s tha ntha t

provide dinth e Matrix . (However , inn o cas e ma y th e civi l penalt y pe r violatio nb e les s tha nth e minimu mallowe db y law. ) I neithe r situation , however , th e agen t i s t o provid e adetaile dexplanatio no f th e basi s for

th e decisio nt o g o outsid e th e ranges . (4 ) Violation s o f

par t 17 5 regulations , whic hestablis hparticula r requirement s for

ai r carrier s an dothe r

aircraf t operators , ar e containe di naseparat e matrix . However , suc hoperator s ofte no^r.hazma t

for ai r fransportationa s wel l a s accep t an dtranspor t

it . A s such , th e operato r may b e liabl e for

violation s a s abusines s entit y withi nth e mai nMatri x a s well a s for th e specifi c part 17 5 violations . g . Impac t

o f Othe r Statutor y Factors . Th e Federa l hazardou s materia l transportatio nlaw als o require s consideratio no f aviolator' s ability t o pa y acivi l penalty , th e impac t o f th e civi l penalt y o nth e violator' s abilit y t o continu e t o d o business , an dothe r matter s tha t

justic e requires . Consideratio no f thes e factor s may resul t inadjustmen t

o f th e recommende dcivi l penalt y calculate di nsubparagrap h8. f Insituation s wher e th e agen t o r attorne y i s i npossessio n o f mitigatin g information , suc ha ninabilit y t o pa y th e recommende dcivi l penalt y o r correctiv e actio ntaken , reductio no f th e recommende dpenalt y ma y b e appropriate . Mitigatin g informatio n shoul db e sufficientl y reliable , uncontroverted , an ddocumente di norde r t o suppor t

reductio no f th e recommende dcivi l penalt y prio r t o issuin g th e notic e o f

propose dcivi l penalty . (1 ) Abilit y t o pa y o r

continu e inbusiness . Historically , th e FA A ha s considere dthes e factor s after

th e issuanc e o f

th e notic e o f

propose dcivi l penalt y du e t o th e absenc e o f reliabl e financial informatio no nwhic ht o bas e areductio nprio r t o th e issuanc e o f

anotice . Thi s Sanctio nGuidanc e recommend s tha t th e specia l agen t

mak e effort s t o obtai nreliabl e informatio n regardin g th e violator' s siz e an dfinancial conditio nfor revie w prio r

t o th e issuanc e o f

anotice . Thi s informatio nwil l b e transmitte dt o th e lega l offic e for consideration . It

i s recognize dtha t

it ma y no t alway s b e possibl e for

th e specia l agen t

and/o r attorne y t o obtai nreliabl e financial informatio no naparticula r respondent , that

financial circumstance s change , an dtha t informatio n may b e provide dafte r

th e issuanc e o f

th e notic e tha t

may warran t

further consideratio no f

a respondent' s abilit y t o pay .

• Th e investigatin g agen t wil l attemp t

t o includ e financial informatio na s a nexhibi t i nth e EIR . It

i s anticipate dtha t

thi s information , i f

available , wil l b e obtaine dfromreliabl e financial dat abases . Financia l documentatio nshoul dinclude , bu t nee dno t b e limite dto , informatio nconcernin g th e violator' s corporat e structure , busines s address , officers , numbe r o f employees , an dgros s revenues .

• Th e investigatin g agen t provide s astatemen t

o r commen t

wit hrespec t

t o th e financial informatio nobtaine dbu t ordinaril y doe s no t

evaluat e th e financial conditio no f a responden t

wit hrespec t

t o it s abilit y t o pa y apropose dcivi l penalty . Th e investigatin g agent' s statemen t shoul dencompas s area s lik e th e numbe r o f employees , gros s revenues , an dnatur e o f busines s o f

th e violator .

• FA A lega l counse l review s th e financial informatio nprovide dinth e EI Ran d evaluate s it s sufficienc y an drelevanc e t o th e recommende dcivi l penalty . Lega l counse l may C-1 010/01/0 7 2150.3 8

determin e i f

mor e curren t

informatio nexist s concernin g th e financial conditio no f aresponden t an di f that informatio nsubstantiall y differ s fromth e informatio navailabl e at th e tim e o f preparatio no f

th e EIR . I f

ther e i s abasi s for

determinin g tha t

th e recommende dsanctio ni s inappropriat e base dupo nth e financia l informatio nprovide di nth e EIR , th e recommende d sanctio ni s adjuste dprio r t o issuanc e o f

th e notic e o f

propose dcivi l penalty . Thi s i s a preliminar y consideratio no f acompany' s abilit y t o pay . A s such , pre-notic e adjustmen t o f a recommende dcivi l penalt y doe s no t preclud e fiirther

consideratio no f

arespondent' s financial claim s after

issuanc e o f

th e notice . (2 ) Correctiv e Action .

• Th e mos t

commo nothe r

matte r tha t th e FA A take s int o consideratio ni s correctiv e action . Correctiv e actio ntha t result s i nmitigatio ni s remedia l actio ntha t exceed s th e minimu m lega l requirements . Th e primar y factor s indeterminin g th e appropriat e amoun t o f penalt y reductio nar e th e exten t

an dtimin g o f

th e correctiv e action . I nothe r words , mitigatio ni s determine do nth e basi s o f ho w muc hcorrectiv e actio nwa s take nan dho w quickl y th e actio n wa s taken . Systemi c chang e intende dt o preven t future violation s shoul db e give ngreate r consideration . Similarly , correctiv e actio ntha t commence s upo nth e violator' s first learnin g o f th e violation s ordinaril y i s give ngreate r credi t thancorrectiv e actio ntha t commence s onl y after th e violato r

receive s th e lette r

o f investigatio no r

th e notic e o f

propose dcivi l penalty . Mitigatio no f

arecommende dcivi l penalt y base dupo ncorrectiv e actio nshoul db e reference dinth e Notic e o f Propose dCivi l Penalty s o that th e responden t

i s o nnotic e that

credi t alread y ha s bee ngive nfor suc haction . (2 ) Statu s o f

violato r a s asmal l busines s entity o r concern . Se e subparagraph s 5.a.-b . above .

C-1 110/01/0 7 2150.3 8 

## MATRI X & DEFINITION S (Figur e C-1 )

OFFENS E CATEGORIE S I . Declare dShiomen t 1 . Shippin g Paper s 2 . Label s 3 . Marking s 4 . Packagin g 5 . Trainin g 6 . Emerg . Respons e 7 . Releas e int o Environ . 8 . Othe r II . Undeclare dShiDmen t Withi nHazma t Ouantit v Limitation s 1 . Shippin g Paper s 2 . Label s 3 . Marking s 4 . Packagin g 5 . Trainin g 6 . Emerg . Respons e 7 . Releas e int o Environ . 8 . Othe r III . Undeclare d Shipmen t Hazma t Forbidde non . o r exceed s at v limit s for . Passenge r

Aircraft 1 . Shippin g Paper s 2 . Label s 3 . Marking s 4 . Packagin g 5 . Trainin g 6 . Emerg . Respons e 7 . Releas e int o Environ . 8 . Othe r IV . Undeclare d Shipmen t Forbidde non , o r exceed s at v limit s for . Al l Aircraft 1 . Shippin g Paper s 2 . Label s 3 . Marking s 4 . Packagin g 5 . Trainin g 6 . Emerg . Respons e 7 . Releas e int o Environ . 8 . Othe r V . Intentiona l o r A . Individual * 250-55 0 250-55 0 250-55 0 250-55 0 250-55 0 250-55 0 250-55 0
250-1,10 0 250-1,10 0 250-1,10 0 250-1,10 0 250-1,10 0 250-1,10 0 250-1,10 0

500-5,50 0 500-5,50 0 500-5,50 0 500-5,50 0 500-5,50 0 500-5,50 0 500-5,50 0

500-32,50 0 500-32,50 0 500-32,50 0 500-32,50 0 * 500-32,50 0 500-32,50 0 500-32,50 0 CONSUL T B . Busines s Entit y

250-1,10 0 250-1,10 0 250-1,10 0 250-1,10 0 450-1,10 0 250-1,10 0 250-1,10 0 250-1,10 0
1,500-8,20 0 1,500-8,20 0 1,500-8,20 0 1,500-8,20 0 1,500-8,20 0 1,500-8,20 0 1,500-8,20 0 1,500-8,20 0

5,000-16,20 0 5,000-16,20 0 5,000-16,20 0 5,000-16,20 0 5,000-16,20 0 5,000-16,20 0 5,000-16,20 0 5,000-16,20 0

7,500-32,50 0 7,500-32,50 0 7,500-32,50 0 7,500-32,50 0 7,500-32,50 0 7,500-32,50 0 7,500-32,50 0 7,500-32,50 0 CONSUL T C . Busines s Entit y

tha t use s o r handle s hazma t i n th e cours e o f busines s 500-2,20 0 500-2,20 0 500-2,20 0 500-2,20 0 500-2,20 0 500-2,20 0 500-2,20 0 500-2,20 0
2,500-11,00 0 2,500-11,00 0 2,500-11,00 0 2,500-11,00 0 2,500-11,00 0 2,500-11,00 0 2,500-11,00 0 2,500-11,00 0

7,500-22,00 0 7,500-22,00 0 7,500-22,00 0 7,500-22,00 0 7,500-22,00 0 7,500-22,00 0 7,500-22,00 0 7,500-22,00 0

10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 CONSUL T D . Busines s Entit y tha t regularl y offers , accepts , o r transport s hazma t 1,000-5,50 0 1,000-5,50 0 1,000-5,50 0 1,000-5,50 0 1,000-5,50 0 1,000-5,50 0 1,000-5,50 0 1,000-5,50 0
5,000-13,00 0 5,000-13,00 0 5,000-13,00 0 5,000-13,00 0 5,000-13,00 0 5,000-13,00 0 5,000-13,00 0 5,000-13,00 0

10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0

15,000-32,50 0 15,000-32,50 0 15,000-32,50 0 15,000-32,50 0 15,000-32,50 0 15,000-32,50 0 15,000-32,50 0 15,000-32,50 0 CONSUL T C-1 210/01/0 7 2150.3 8

Deliberat e Violation , o r othe r sienifican t aggravatio n VI . Violatio nresult s i n death , seriou s illness . sever e iniurv . o r substantia l destructio n o f oroDert v LEGA L- U p t o 50,00 0 pe r

offens e categor y ma y b e assesse d CONSUL T LEGA L- U p t o 100,00 0 pe r offens e categor y ma y b e assesse d LEGA L- U p t o

50,00 0 pe r

offens e categor y ma y b e assesse d CONSUL T LEGAL-U p t o 100,00 0 pe r offens e categor y may b e assesse d LEGA L- U p t o

50,00 0 pe r

offens e categor y ma y b e assesse d CONSUL T LEGA L- U p t o 100,00 0 pe r

offens e categor y ma y b e assesse d LEGA L- U p t o

50,00 0 pe r

offens e categor y may b e assesse d CONSUL T LEGAL-U p t o 100,00 0 may b e assesse d h . ^Sanction s applicabl e t o ai r carrie r an dcommercia l operato r passenger s an d crewmembers . Th e rang e for th e tota l civi l penalt y t o b e assessed , absen t mitigatin g o r aggravatin g factors , i s $25 0 (th e statutor y minimum ) t o $1,000 . 

### AI RCARRIE RAN D OTHE RAIRCRAF T OPERATO RVIOLATION S Failur e t o compl y withPart s 171 , 172 , o r 17 3 requirement s o f

th e HM Ra s anoffero r

o f hazmat . Imprope r acceptanc e o f

hazma t for ai r transportation , (i.e. , quantity , labeling , marking , packaging , an d shippin g papers ) Se e 4 9 C.F.R . § § 175.30(a)(1 ) ~ (4 ) Failur e t o inspec t

hazma t shipmen t

properly . Se e 4 9 C.F.R . §§175.30(b) , (c),(d),(e ) Imprope r storage/securin g o f

hazma t aboar daircraft . Failur e t o provid e hazma t training , maintai nrecord s o f training , o r

mee t minimu mrequirement s for hazuia t trainin g (4 9 C.F.R.) . Usin g untrained/improperl y traine dhazma t personnel , failure t o retai nhazma t

trainin g record s (4 9 C.F.R. ) Failur e t o notif

y FA A properl y o f

incident/discrepancie s inhazma t shipment . Failur e t o provid e notic e t o th e pilot-in-command . Othe r Part 17 5 violations . Intentional , deliberate , o r othe r significantl y aggravate d violation .
Violatio nresult s indeath , seriou s illness , sever e injury , o r substantia l destructio no f property . E . Grou p I & I I Ai r Carrier s an d Othe r Aircraft Operator s Us e mai nMatrix . 5,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 5,000-16,20 0 5,000-16,20 0 5,000-16,20 0 CONSUL T LEGA L- U p t o 50,00 0 pe r offens e categor y ma y b e assesse d CONSUL T LEGA L- U p t o 100,00 0 pe r offens e categor y ma y b e assesse d F . Grou p II I & I V

Ai r Carrier s an d Othe r Aircraf t Operator s Us e mai nMatrix . 2,500-16,20 0 5,000-16,20 0 5,000-16,20 0 5,000-16,20 0 5,000-16,20 0 1,000-5,50 0 1,000-5,50 0 1,000-5,50 0 CONSUL T LEGA L

- U p t o 50,00 0 per offens e category ma y b e assesse d CONSUL T LEGA L

- U p t o 100,00 0 pe r offens e category may b e assesse d C-1 310/01/0 7 2150.3 8

9 . Deflnitions : Not e tha t thes e definition s ar e onl y for th e purpos e o f

applyin g th e sanctio n guidanc e i nthi s appendix . a . Ai r Carrie r an dOthe r

Aircraft Operato r

Group s (I , II , III , IV ) - Ai r carrier s an d othe r aircraf t operator s ar e divide dint o tw o categorie s for purpose s o f

determinin g an appropriat e sanction . Thes e categorie s trac k th e ai r carrie r group s establishe di nAppendi x B thi s order . Fo r

purpose s o f

hazma t sanctio nguidance , th e FA A als o include s othe r aircraf t operator s operatin g incommerc e tha t ar e o f similar size , e.g. , par t

12 9 Foreig nAi r

Carriers , part 12 5 Operators , an dpar t

9 1 Operators . (1 ) Grou p I i s comprise do f ai r carrier s wit hannua l operatin g revenu e o f $100,000,00 0 o r more . Othe r

aircraf t operator s withannua l operatin g revenu e o f $100,000,00 0 o r

mor e ar e include dinGrou p I for

hazma t sanctio nguidanc e purposes . (2 ) Grou p II i s comprise do f ai r carrier s an dothe r

commercia l operator s that hav e a n annua l operatin g revenu e o f les s tha n$100,000,000 , an dhav e 5 0 o r mor e pilot s an doperat e 2 5 o r mor e aircraft . Othe r

aircraf t operator s o f

th e sam e siz e ar e include dinGrou p I I for hazma t sanctio nguidanc e purposes . (3 ) Grou p II I i s comprise do f ai r carrier s an dothe r

aircraf t operator s tha t

d o no t mee t th e criteri afor

Grou p II , tha t

is , the y hav e onl y 6 t o 4 9 pilots , o r onl y 6 t o 2 4 aircraft . Othe r aircraf t operator s o f

th e sam e siz e ar e include di nGrou p II I for hazma t sanctio nguidanc e purposes . (4 ) Grou p I V i s comprise do f al l othe r ai r carrier s an dcommercia l operator s no t meetin g th e criteri afor

Group s I , II , o r

III . Othe r

aircraf t operator s o f

th e sam e siz e ar e include di n Grou p I V for

ha2mia t sanctio nguidanc e purposes . b . Busines s Entity . A business , corporation , partnership , Sub- S Corporation , sol e proprietor , association , o r an y typ e o f

commercia l entity . A nindividua l wh o offer s ahazma t shipmen t inai r transportatio ni nth e cours e o f hi s o r he r self-owne dbusines s fall s int o thi s category . It

include s anon-profi t

organizatio nan dal l othe r entitie s define dunde r

th e HMR' s definitio no f

perso n(4 9 C.F.R . § 171.8) , withth e exceptio no f anindividua l (a s define dbelow) . c . Busines s Entit y tha t Regularl y Offers , Accepts , o r Transport s Hazardou s Material s i nth e Cours e o f

It s Business . A busines s entit y that offer s hazma t

withsom e anticipate d fi-equency, o r

purport s t o d o so , regularl y offer s hazmat . Fo r example , acatalogu e compan y that offer s hazardou s materia l t o it s customer s woul dfall int o thi s category , eve nthoug hit s actua l sal e o r transportatio no f

th e hazma t

i s infrequen t

o r limited . Thi s categor y include s manufacture r

o r distributo r

o f hazma t an dafi^eight

forwarder . d . Busines s Entit y tha t Uses , Handle s Hazma t i nth e Cours e o f

It s Business . Thi s categor y encompasse s th e busines s tha t utilize s hazma t

init s busines s bu t

doe s no t offer i t for transportatio no naregula r basis , a s describe dabove . Fo r example , amanufacture r o f anon hazma t produc t tha t use s hazma t

i nth e manufacturin g proces s coul dfall int o thi s category . I t mus t b e establishe dtha t

th e compan y ordinaril y doe s no t offer th e hazma t

i t utilize s for transportation , an dth e shipmen t inthi s instanc e represent s anisolate dincident . Thi s type o f busines s i s hel dt o ahighe r standar dtha nth e busines s entit y that ha s n o regula r

involvemen t C-1 410/01/0 7 2150.3 8

withhazmat . Th e describe dbusines s entity receive s th e subjec t hazardou s materia l in transportatio nan duse s i t i nit s business ; thus , i t

i s clearl y o nnotic e o f

th e hazardou s natur e o f th e materia l an dth e regulator y requirement s t o whic hth e hazma t i s subject . e . Declare dShipment . Fo r purpose s o f

thi s sanctio nguidance , adeclare dshipmen t ha s at leas t on e o f th e followin g communicativ e indicia—markings , labels , and/o r shippin g paper s tha t mee t th e communicativ e requirement s o f th e HMR . A packag e tha t ha s shippin g paper s tha t declare th e content s a s hazardou s material , bu t i s otherwis e no t

marke do r

labeled , fall s int o thi s category . Fo r

purpose s o f

thi s definition , ashippin g pape r i s an y documen t

t o whic hhandler s refer inth e norma l cours e o f

transportatio nan dthat

complie s wit hon e o r

mor e o f th e communicativ e requirement s i nth e HM Rfor shippin g papers . Similarly , aproperl y marke dan d labele dpackag e tha t

lack s shippin g paper s als o fall s int o thi s category . A nexampl e o f a shipmen t that woul dno t

mee t thi s definitio ni s on e wher e th e offero r state s tha t

th e shipmen t contain s hazmat , bu t

onl y i npaperwor k

t o whic hth e handler s d o no t refe r i nth e norma l cours e o f transportation . f . Hazma t

- A hazardou s material , a s define din4 9 C.F.R . § 171.8 , include s an di s interchangeabl e withth e ter mdangerou s goods , a s use di nth e Internationa l Civi l Aviatio n Organizatio n(ICAO ) Technica l Instructions . g . Individua l - A huma nwh o offer s ashipmen t o f hazardou s materia l i nhi s o r he r persona l capacity , withou t

an y busines s purpos e an dno t a s part o f acommercia l enterprise . h . Intentiona l o r

Deliberat e Violatio n- A violatio nfall s int o thi s categor y whe nth e offeror , acceptor , ai r

carrier , o r

aircraf t operato r ha s knowledg e o f

th e requirement s o f

th e HMR , an dwillfull y circumvent s o r attempt s t o circumven t

thos e requirements . Fo r example , a

noffero r wh o place s aproperl y marke dan dlabele dhazma t shipmen t

alon g withproperl y complete d shippin g papers , int o a noverpac k marke da s printe dmaterial , ha s committe danintentiona l or deliberat e violation . i . Undeclare dShipmen t - I f ashipmen t

doe s no t mee t th e definitio no f

declare dshipment , it i s a nundeclare dshipment . j . Undeclare dShipmen t Hazma t Exceed s Quantit y Limit s fo r Al l Aircraft

- An undeclare dshipmen t

tha t i s offere dfor

transportatio no no r

transporte do nan y aircraf t an dth e quantity o f

hazardou s materia l exceed s th e limit , pe r package , for

transportatio no ncarg o aircraft , a s establishe di nth e 4 9 C.F.R . § 172.10 1 Table . k . Undeclare dShipmen t Hazma t Exceed s Quantit y Limit s fo f Passenge r

Aircraf t - An undeclare dshipmen t

tha t i s offere dfo

r transportatio no no r

transporte do napassenge r aircraft , an dth e quantity o f

hazardou s materia l exceed s th e limitation , pe r package , for

transportatio no n passenge r aircraf t (bu t no t for transportatio no ncarg o aircraft) , a s establishe di nth e 4 9 C.F.R . § 172.10 1 Table . I . Undeclare dShipmen t Hazma t Forbidde no nAi l Aircraft - A nundeclare dshipmen t that i s offere dfor

transportatio no no r

transporte do nan y aircraf t an dth e hazardou s materia l i s forbidde ninai r

transportatio no ncarg o aircraft , a s establishe dinth e 4 9 C.F.R . § 172.10 1 Table . C-1 510/01/0 7 2150.3 8

m . Undeclare dShipmen t Hazma t Forbidde no nPassenge r Aircraft - A nundeclare d shipmen t tha t i s offere dfor

transportatio no no r

transporte do napassenge r aircraft , an dth e hazardou s materia l i s forbidde ni nai r transportatio no npassenge r aircraf t (bu t no t inai r transportatio no ncarg o aircraft) , a s establishe di nth e 4 9 C.F.R . § 172.10 1 Table . n . Undeclare dShipmen t Withi nHazma t

Quantit y Limitations . (1 ) I f th e undeclare dshipmen t i s offere dfor

transportatio no no r

transporte do napassenge r aircraft , th e quantit y o f

hazardou s materia l mus t b e withi nth e limitation , pe r package , for transportatio no npassenge r aircraft , a s establishe dinth e 4 9 C.F.R . § 172.10 1 Table . (2 ) I f th e undeclare dshipmen t i s offere dfor

transportatio no nacarg o aircraft , bu t no t transported , th e quantit y o f hazardou s materia l mus t b e withi nth e limitation , pe r package , for transportatio no npassenge r aircraft , a s establishe din,th e 4 9 C.F.R . § 172.10 1 Table . (3 ) I f th e undeclare dshipmen t i s offere dfo

r transportatio no nan dtransporte do nacarg o aircraft , th e quantit y o f

hazardou s materia l mus t b e withi nth e limitation , pe r package , for transportatio no ncarg o aircraft , a s establishe dinth e 4 9 C.F.R . § 172.10 1 Table . Al l othe r undeclare dshipment s fit withi nth e definition s for Undeclare dShipmen t

Hazma t Exceed s Quantit y Limit s for.. . Ai r craft , o r Undeclare dShipmen t

Hazma t Forbidde n on...Aircraft , se e above .

C-1 610/01/0 7 2150.3 8 

### RIS KCATEGORIE S (Figur e C-2 ) CATEGOR Y"A " {Maximu m Weight } Category"A " material s ar e material s tha t whe n release d i n th e confine s o f a n aircraf t ca n potentiall yhav e a catastrophi c effec t o n a n aircraft' s abilit yt o continu e saf e flight , resultin g i n a cras h o remergenc ylandin g causin g injur yo rdeat h t o passenger s an d flightcrew , a s wel l a s person s o n th e ground . Clas s 1 Explosives : Divisio n 1.1 , 1.2,1.3 , Clas s 2 Compresse d Gase s Al l 2.1 , 2. 2 wit h Subsidiar yRis k 5. 1 an d Al l 2. 3 PI H Zone s A- D Clas s 3 Flammabl e Liquid s P G I , II , an d (PIH ) Clas s 4 Divisio n 4. 1 Flammabl e Solid s P G I , & (Matches )

Divisio n 4. 2 Spontaneousl yCombustibl e Material s P G I (Pyrophoric ) Divisio n 4. 3 Dangerou s Whe n We t P G I Clas s 5 Divisio n 5. 1 Oxidizin g Liquid s an d Solid s P G I , II , e.g. , "Chemica l Oxyge n Generators "

Divisio n 5. 2 Organi cPeroxide s P G I I (Typ e A,B,C,D ) Clas s 6 Divisio n 6. 1 Toxic/Poisonou s Material s P G I (PIH ) Clas s 7 Carg o Aircraf t Onl yQuantitie s o n Passenge rAircraf t Clas s 8 Corrosiv e Materia l Liqui d P G I an d (PIH ) Forbidde n Material s (Se e 4 9 C.F.R
. § 173.2 1 & ICA O Technica l Instructions ) Forbidde n Hazma t liste d i n Dangerou s Good s Tabl e 4 9 C.F.R
. § 172.10 1 

### CATEGOR Y"B " {Moderat e Weight } Th e material s liste d i n Category"B " ar e material s tha t mayno t pos e a n immediat e threa t t o th e safet yo f a flight , bu t ca n caus e deat h o rinjur yt o person s du e t o unintende d release s i n aircraf t cabi n areas , an d potentia l damag e t o aircraf t structure s ove ra longe rperio d o f tim e du e t o undiscovere d release s o n aircraf t structura l components . Clas s 1 Divisio n 1.4,1.5,1.6 , Al l Compatibilit yGroup s Clas s 3 P G II I Flammabl e Liquid s Clas s 4 Divisio n 4. 1 Flammabl e Solid s P G II , II I

Divisio n 4. 2 Spontaneousl yCombustibl e Material s P G II , II I Divisio n 4. 3 Dangerou s Whe n We t P G II , II I Clas s 5 Divisio n 5. 1 Oxidizin g Liquid s o rSolid s P G II I

Divisio n 5. 2 Organi cPeroxide s (Typ e E,F,G ) Clas s 6 Divisio n 6. 1 Toxic/Poisonou s Material s P G I , I I ( NON - PI H )

Divisio n 6. 2 Infectiou s Substance s Clas s 7 Radioactiv e Materials , yello wlabe l II , whit e labe l I Clas s 8 Liquid s P G II , II I Solid s P G 1,11 , II I 

### Categor y"C " {Minimu m Weight } Th e material s liste d I n Categor y"C " ar e material s tha t presen t th e leas t amoun t o f ris k t o th e transportatio n system . Clas s 2 2. 2 Nonflammabl e Ga s Clas s 6 Divisio n 6. 1 Toxic/Poisonou s Material s P G II I Clas s 7 Al l othe rRA M (LSA , LT D QTY , Instruments , an d Articles ) Clas s 9 Miscellaneou s Dangerou s Good s {ORM- D an d Consume rCommodity } NOTE : Thi s guidanc e i s no t Intende d t o replac e th e experience d Judgmen t o f a specia l agen t wh o i s convinced , base d o n th e evidenc e an d fact s o f a case , tha t th e failur e o f a n ai rcarrier , shipper , freigh t forwarder , o rpassenge rt o follo w establishe d regulation s ha s pose d a ris k t o aviatio n safety
.

C-1 7Respondent' s Exhibi t Lis t 10^^/^ ^ # Descriptio n I D I N 1 Lt rdt d 2 8 Ju l 200 8 A G t o De p Garriso n Cmd rxx 2 Lt rdt d 1 0 Ju n 200 9 AG t o De p Garriso n Cmd rxx 3 4 5 6 7 8 9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 1 8 1 9 2 0

## 700^^/6 ^ Adjutant General' s Departmen t

o f Texa s Mai l Distributio nCente r JFT X - GA R- MD C 220 0 Wes t

35'hStree t

# : 64- A Austin , Texa s 78703-221 0 [512 ] 782-144 8 [Fax] 782-556 7

2 8 July 200 8
REPL Y T O ATTENTIO NO F CatUemVrsuC

agrueUner

LT C Davi d W . Madde n Deput yGarriso n Commande r Camp Mabry-Austi n 220 0 Wes t 35" " Stree t #:6 4 Austin , Texa s 78703-221 0 512-782-682 2 Sir , O n th e mornin g o f 2 Jul y2008 , I receive d a telephon e cal l fro ma Louisville

K Y UP S representativ e tha t a hazardou s materia l irregularit yha d occurre d wit h a shipmen t sen t fro mE l Paso-T X an d tha t furthe r informatio n wil l follow . Informatio n wa s a s follows : UP S Han d Airwa yBil l numbe r 1ZRF2560231032144 0 wa s attache d t o a cardboar d bo x an d sealed . Bo x weight a t 10 0 pounds . Content s package d insid e th e bo x wer e 2 separat e boxe s tha t containe d 4 aluminu mcan s eac h o f Duraple x 80 0 Exterio r Alky d Fla t remova l paint . Severa l o f th e can s hav e broke n thei r seal s an d spille d th e content s insid e th e boxes . Th e spillage s overflowe d t o th e secon d box causin g th e tape d restraint s t o deteriorate . Th e spillag e continue d outwar d thu s makin g contact wit h othe r package s lyin g clos e t o th e damag e E l Pas o package . Louisville-K Y UP S warehous e attendan t opene d th e damag e packag e t o se e wha t th e proble mwa s an d havin g identifyin g th e source , telephone d th e HazMa t tea m fro m thei r are a t o contai n th e problem . I t wa s requeste d fro mth e Louisville-K Y representativ e tha t I com e t o th e UP S locatio n an d physicall yse e th e damage ; I decline d sinc e th e damag e wa s i n Kentuck yan d I wa s i n Texas . I requeste d photo s t o b e sen t t o myUP S * ^ Representativ e s o th e prope r procedure s ca n b e met . I as k th e Louisville-K Y UP S representativ e i f an yinjur yo r los s o f othe r package s ha d occurre d durin g thi s unfortunat e misha p an d wa s relieve d t o learne d th e answe r wa s no . Th e content s woul d b e properl ydispose d an d tha t HazMa t Louisvill e wil l forwar d a repor t t o UPS . - ^ ^ 

### nJ i 

## ^V^l^ lUpo n investigation , i t wa s foun d tha t SS G Anthon yJackso n - 1836'^' '

Transportatio n Company , Ft . Bliss-T X ha d intende d fo r th e packag e t o arriv e a t th e Killee n Armor yi n car e o f SS G Lynell e Patterson . Whe n aske d wh yth e prope r paperwor k o r packagin g o f thi s materia l wa s no t followe d b yth e regulation s se t b yUPS , th e respons e wa s " I di d no t know" . I sen t th e followin g e-mai l t o SS G Jackso n jus t prio r t o mymeetin g wit h ou r UP S representativ e Mr . Jo e Boudreau . From : Gruetzner , Cathlee n U . CI V AGDT X Sent : Tuesday , Jul y22 , 200 8 12:4 2 P M To : Patterson , Lynell e M . SS G NGT X Cc : Jackson , Anthon yE . SS G TXARN G Subject : FW : Photo s o f undeclare d repor t 57 2 goocfjlftemoo nSS ^ Jac^on , 'EncCosedi s th e photo s o f

th e materia l tha t

wa s d^amagecTi

nth e transport

fro m'E[(Pas o t o Louisville . (Du e t o th e contents , bein

g o f acorrosive natur e th e l^lIazDAa t tea mwa s calle dinan daforma l investigatio ni s lur w underway . I a

msendin g yo u wha t

informatio nI hav e s o yo u wiUS e abl e t o understan dwha t i s happenin g an d I sugges t tha t yo u prin t and^e p thi s informatio ni nyou r file s fo r aperio do f

7 years . Jisyo u canse

e i t explode dinside th e boxian dspillag e lea^dont o th e floo r contaminatin g severa l othe r pac^ge s inth e sam

e area . I wil l b e meeting wit hth e V'P S 'Rfpresentativefro mthejiusti noffice 'Wednesda y afternoo ns o w e ca

ndiscus s thi s matte r

an dwha t procedure s th e Tex ^ 9^ational(^uard'Mai l (Distributio nCenter wil l nee dt o do nex$ . I a mals o requestin g tha t

aJlazMa t

representativ e B

e sen t t o you r locatio nfo r

arefreshe

r cours e inth e handlin g andpac^gin g o f dangerou s materials . I wonde r i f they wi H refreshm

y tea mtoo ? SS( j Jac^o npleas e hav e you r tea mma ^ contac t

t o th e closes t

'V(P S Stor e andleam s th e prope r way t o fil l ou t th e Jlaz9Aatform . ^membe r the rul e o f

thumb : I f i t cang o 5i^C3<P

- (JSjiCKD Eor(BOO ^ the ni t i s a Haz!Mat matte r an dth e paperwor^mus t

b e done . T a ^ Care , Cathlee n Ursul a Gruetzne r Mailroo m

Superviso r [512 ] 782-519 5 O n 2 4 Jul y200 8 a t 2:1 0 i n th e afternoon , I met wit h ou r UP S Representativ e Mr . Jo e Boudrea u abou t thi s matter . I wa s informe d tha t thi s wa s jus t ou r firs t violatio n wit h UP S an d th e transportatio n o f Hazardou s Material s an d i f w e shoul d hav e tw o mor e violation s the n th e Texa s Nationa l Guar d wil l los s th e UP S contract . H e requeste d a lette r b e sen t t o hi mabout what procedure s w e wil l d o t o correc t thi s matte r an d preven t another . N o charge s wil l b e brough t agains t th e Texa s Nationa l Guard , SS G Jackso n o r I . Th e package s tha t wer e tainte d b yth e content s o f th e paint wer e repackage d an d delivere d t o thei r assigne d locations . I woul d lik e t o reques t th e followin g option s t o occu r i f possible .1 . T o hav e al l Texa s Nationa l Guar d Mai l Managers/Clerk s an d Campu s Shi p operator s g o t o th e UP S websit e an d tex t i n Hazardou s Material . I t i s a t thi s sit e the ywil l fin d th e followin g information . 

### Welcom e t o th e UP S Hazardou s Material s Onlin e Guid e Thi s onlin e guid e wa s develope d a s a replacemen t fo r th e publication , "UP S Guid e fo r Shippin g Groun d an d Ai r Hazardou s Materials. " A s ne whazardou s material s shippin g informatio n develops , UP S wil l kee p yo u informe d by providin g th e lates t informatio n i n thi s onlin e guide . Visit thi s sit e routinel yt o obtai n curren t information . Thi s guid e i s mean t t o accomplis h th e following : Replac e th e publicatio n UP S Guid e fo r Shippin g Groun d an d Ai r Hazardou s Material s - - al l informatio n formerl yinclude d i n th e printe d version s wil l no wb e maintaine d online . Infor myo u o f chemica l additions , deletions , an d change s i n classification . Allo wyo u t o downloa d th e entir e hazardou s material s chemica l table . Presen t informatio n regardin g UPS' s contract-onl y hazardou s material s service . Provid e th e lates t contrac t update s require d o f al l shipper s wh o sen d hazardou s material s throug h UPS . Provid e informatio n abou t UP S hazardou s material s regulation s fo r shippers , auditors , an d UP S personnel . Provid e a n informatio n sourc e fo r UPS-approve d third-part y vendors . Refe r t o th e UP S Guid e fo r Shippin g Groun d an d Ai r Hazardou s Material s fo r th e informatio n yo u wil l nee d t o properl yprepar e you r shipmen t fo r transportatio n withi n th e UP S system . I f yo u hav e an yquestion s abou t shippin g hazardou s material s wit h UPS , pleas e cal l th e UP S Hazardou s Material s Suppor t Cente r a t 1-800-554-9964 . UP S Guid e fo r Shippin g Groun d an d Ai r Hazardou s Material s 

### Abou t thi s Guid e UP S i s committe d t o safel ytransportin g you r 4 9 CF R an d lAT Acomplian t hazardou s materia l shipments . W e offe r state-of-the-ar t technology , personalize d custome r support , an d a comprehensiv e portfoli o o f services . Th e informatio n belo wi s designe d t o hel p guid e yo u throug h th e proces s o f properl ypreparin g you r hazardou s materia l shipmen t fo r transpor t withi n th e UP S system . I f yo u nee d additiona l information , pleas e contac t th e UP S Hazardou s Material s Suppor t Cente r a t 1-800-554-9964 .

### UP S Carrie r Variation s an d Guideline s

Du e t o heightene d securit yconcerns , eve n greate r scrutin yi s bein g give n t o shipmen t content . Base d o n regulator ychanges , UP S procedure s fo r shippin g ai r hazardou s material s hav e bee n modified . Therefore , al l hazardou s material s shipper s must proces s thei r shipment s usin g a UP S complian t shippin g solutio n i n conjunctio n wit h hazardou s material s shipmen t preparatio n software . Yo u ma yutiliz e UP S provide d WorldShip ®200 8 versio n 10. 0 (o r higher) , purchas e approve d third-part ysoftwar e o r us e a comparabl e system , whic h wil l provid e UP S wit h th e necessar yelectroni c information . 

### Shippin g Groun d o r Ai r wit h UP S A s a UP S hazardou s material s contrac t customer , yo u mus t compl yno t onl ywit h 4 9 CF R an d lAT Abu t als o wit h UP S carrie r variation s fo r domesti c ai r an d groun d hazardou s material s shipments . 4 9 CF R an d UP S lAT Aan d UP S Hazardou s Material s Servic e Definitio n UP S Standar d Dangerou s Good s Servic e betwee n Canad a an d th e U.S . Shippin g Hazardou s Material s Shippin g hazardou s material s provide s informatio n tha t wil l hel p yo u understan d th e importanc e o f properl yidentifying , labeling , packagin g an d markin g you r UP S hazardou s material s packages . Shipper' s Responsibilitie s 4 9 CF R Shippin g Example s Commo n Item s tha t Ma yB e Hazardou s Ne wRequirement s Additiona l Resource s Thi s sectio n provide s valuabl e downloadabl e hazardou s material s informatio n a s wel l a s providin g yo u th e detail s o n ho wt o participat e i n UP S HazMa t seminars . Hazardou s Material s Downloa d Are a Fo r mor e information , pleas e cal l th e UP S Hazardou s Material s Suppor t Cente r a t 1-800-554-9964 . Thes e carrie r variation s an d guideline s supplemen t Titl e 4 9 o f th e Cod e o f Federa l Regulation s - Transportatio n an d th e lATADangerou s Good s Regulation s (DGR) . Us e thi s Onlin e Guid e fo r Shippin g Hazardou s Material s t o answe r you r question s regardin g shippin g hazardou s material s usin g UPS . Hazardou s Materia l shippe d t o Alaska , Hawaii , Puert o Ric o an d Catalin a Islan d usin g UP S Groun d servic e mus t compl ywit h UP S procedure s fo r shippin g Ai r Hazardou s Materials . 2 . Allowin g th e mai l handler s t o atten d a UP S Semina r withi n thei r area . A UP S representativ e wil l com e t o a n armor yprovide d tha t w e meet th e requirements . 

### In-Hous e Seminar s Availabl e Privat e in-hous e seminar s ar e no wavailable : Fo r companie s trainin g si x o r mor e employee s Seminar s ca n tak e plac e a t you r facility , eliminatin g you r ttave l expense sSam e curriculu ma s ou r publi c seminar s

Ca n b e tailore d t o you r need s an d you r product s Fo r additiona l information , cal l 800.554.996 4 

### UP S Hazardou s Materials/Dangerou s Good s Semina r UP S no woffer s seminar s fo r preparin g shipment s accordin g t o lATAo r 49C R WhyYo u Nee d th e UP S HazMa t Semina r Educatin g you r employee s o n prope r handlin g an d shippin g o f hazardou s material s ensure s th e safet yo f you r worker s an d increase s th e efficienc yo f you r business . Fo r thi s reason , th e UP S Dangerou s Good s Semina r ha s prove n t o b e a successfu l an d valuabl e servic e t o customers . Whe n yo u atten d a UP S Dangerou s Good s Seminar , you'l l receiv e th e mos t current informatio n availabl e o n saf e an d prope r shippin g an d handlin g o f hazardou s material s throug h th e UP S groun d an d ai r network , including : Ho wt o preven t th e dela yo f shipment s du e t o imprope r paperwor k Ho wth e righ t packagin g ca n assur e saf e an d promp t deliver yo f you r hazardou s material s shipment s Professiona l dangerou s good s instructor s a t th e semina r provid e yo u wit h necessar yregulator yinformatio n t o ensur e tha t you r busines s complie s wit h th e lates t government regulation s pertainin g t o shippin g procedure s an d employe e training . Th e Unite d State s Departmen t o f Transportatio n recurren t trainin g requiremen t i s ever ythre e year s fo r forwarder s an d shippers . Complianc e remain s th e responsibilit yo f th e shipper . Th e internationa l recurren t trainin g requiremen t i s ever ytw o years . Wh o Shoul d Atten d Yo u shoul d atten d i f yo u are : Amanage r directl ysupervisin g shippin g and/o r receivin g o f dangerou s good s A n employe e responsibl e fo r preparin g hazardou s material s package s fo r transportatio n Amembe r o f th e healt h an d safet yand/o r environmenta l complianc e staf f inspectin g dangerou s good s package s prepare d fo r transportatio n Fo r mor e information , date s an d locations , an d t o registe r cal l ou r reservatio n hotlin e a t 800.634.565 6 o r visi t www.seeuthere.com/upsseminar s Th e nex t HazMat Seminar s 

### 200 8 UP S Dangerou s Good s Seminar s Shipmen t

prepare dunde r

lAT A {Dalla s - Septembe r 10-11 , 2008 )3 . T o hav e traine d Texa s Nationa l Guar d HazMa t personne l fro meac h armor y atten d th e UP S Semina r an d the n trai n th e mai l handler s a s a backu p fo r al l ne wmai l handler s wh o replace d th e las t personne l a t th e las t movement . I hav e foun d tha t man yindividual s wh o hav e rea d th e Mai l Manua l an d UP S trainin g aide s ar e n o longe r wit h th e uni t o r eve n i n th e guard . 4 . Keepin g th e Pos t Master , Mai l Operatio n Supervisor , an d Armor yMai l Manager s o f th e Texa s Nationa l Guar d awar e o f ne wMai l Handle s prio r t o th e las t handle r leaving . Thi s offic e doe s no t receiv e wor d fo r severa l week s i f no t month s afte r th e remova l o f th e las t handle r ha s departed . 5 . Updatin g th e Mai l Handler s SOP . Thi s i s a n on-goin g missio n fo r th e updates , trainin g lesson s an d vita l informatio n shoul d b e place d ou t a s soo n a s possible . Thi s conclude s myreport . Respectfully , /// / signe d //// / Cathlee n Ursul a Gruetzne r Pos t Master-Texa s Nationa l Guar d Cc : Mr . Jo e Boudrea u 2 9 Jul y200 8 Afte r meetin g wit h Deput yGarriso n Commande r LT C Davi d W . Madden , i t wa s recommende d tha t a privat e UP S Hazardou s Material/Dangerou s Good s Semina r b e se t u p wit h th e E l Pas o Armorie s an d FM S shops . Contact wil l b e mad e wit h th e S r QIC' s fro meac h locatio n an d a UP S Representativ e s o tha t a se t dat e ma y b e foun d fo r suc h a class . I f thi s shoul d prov e successfu l tha n othe r classe s wil l b e schedule d throughou t th e large r armorie s i n Texas . Secon d recommendatio n wil l b e t o instal l th e UP S HazMa t materia l i n th e Mai l Handler s SO P fo r quic k reference . CubGrtz .Subject : Photo s o f undedare d report 572

### 1 0

### 1 1

### 1 2

## IdOi-JO^ ^

REPLV T O ATTENTIO N O f CatUee n"Vryut agruetzner 

## Adjutant General' s Departmen t

o f Texa s Mai l Distributio nCente r JFTX-GAR-MD C 220 0 Wes t

2,5' ^ Stree t

# : 64-. \ Austin , Texa s 78703-221 0 [512 ] 782-144 8 [Fax ] 782-556- ^

lOlun c 200 9

LT C Davi d W . Madde n Deputi yGarriso n Commande r Cam p Mabry-Austi n 220 0 Wes t 35" * Stree t # : 6 4 Austin , Texa s 78703-221 0 512-782-682 2 Sir , A t 11:0 5 thi s morning , I receive d a telephon e cal l fro mCaptai n Sergi o Tristan , wh o ha d requeste d a n updat e o n wha t trainin g an d informatio n distribute d t o th e Texa s Nationa l Guar d Mai l Handler s an d Managers . A s o f thi s dat e wit h th e assistanc e o f Ms , Sharo n K . Jone s (Environmenta l Services) , th e followin g informatio n ha d bee n sen t t o th e Texa s Armories . 1 . HazMa t Transportatio n Securit yAwarenes s trainin g Modul e 2 . HazMa t Familiarizatio n & Safet yi n Transportatio n {AMMO-67 ) 3 . Texa s Militar yForce s Hazardou s Wast e & Hazardou s Material s Managemen t Trainin g Serie s 4 . Hazma t Trainin g fo r Non-certifyin g Official s (Ma y2007 ) 5 . 10 1 Mai l Handler s v 2 (Ma y2009 ) 6 . SO P Mai l Handler s (Ma y2009 ) I t ha d bee n requeste d tha t al l personne l rea d th e materia l an d d o th e trainin g disc . Certificatio n o f completio n o f th e trainin g dis c i s t o b e submitte d t o Ms . Jone s an d entr ywil l b e place d i n th e soldier s 20 1 file . Othe r informatio n fo r Hazardou s Material s i n transportatio n vi a U S Mai l o r privat e courie r ca n b e obtaine d thr u th e we b sit e fo r eithe r th e wwv;.ups.co m o r www . usp^s_ . com/dmiTi . Respec t fully , Cathlee n Ursul a Gruetzne r Sr . Mai l Manage r - Texa s Nationa l Guar d 220 0 Wes t 35' ^ Stree t # : 64- A Austin , Texa s 7870 3 512-782-519 5 Cc : TRISTAN , Sergi o CPT-TXARN G JONES , Sharo n CI V Enviromenta l Service s 

# ^^.V^l^^ f

13 /