In The Matter Of: 

U.S. DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, DC 

Docket No. FAA-2011-1005 

COASTAL AIR 

TRANSPORT, INC. 

) 

) 

) 

) 

) 

) 

Case No. 2010-S0-700037 

Respondent 

RESPONDENT HEARING EXHIBIT COVER SHEET 

Ex. R-1 

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U.S. DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

FEDERAL AVIATION ADMINISTRATION 

FEDERAL AVIATION ADMINISTRATION, 

Complainant, 

vs. 

Coastal Air Transport Inc. 

Respondent. 

JUDGE NOT YET ASSIGNED 

FAA Docket No. 

Judge 

COMPLAINT 

The Federal Aviation Administration (FAA), by counsel, hereby files its Complaint, 

pursuant to Rule208 of the Rules ofPractice (14 C.F.R. 13.208), and states as follows: 

I. 

I. On August 19, 2011, Respondent, Coastal Air Transport Inc. was advised through 

a Final Notice ofProposed Civil Penalty that the FAA proposed to assess a civil penalty in the 

amount of$59,600. On August 30, 2011, the Agency Attorney received a written request for a 

hearing from the Respondent. 

II. 

2. On or about October 21, 2009, Coastal Air Transport, Inc. (hereinafter Coastal 

Air) knowingly accepted for transportation by air and transported aboard an aircraft a one-piece 

shipment consisting of a non-specification fiberboard box containing hazardous materials on 

flight number 413 arriving at the Alexander Hamilton Airport (STX), Saint Croix, U.S. Virgin 

Islands. 

3. The above-mentioned shipment was unmanifested on Coastal Air Flight #413. 

4. On or about October 21, 2009, a U.S. Customs and Border Protection Officer .. 

discovered the above--describedhox on board Flight 413'-'atSTX in Saint Croix,'U.S. Virgin 

Islands. 

(f) 
14. Coastal Air accepted the above-described shipment ofhazardous materials for 

transportation by air when: 

15. \Coastal Air carried the above shipment of hazardous materials aboard an aircraft 

1and failed to provide written notification of the hazmat to the pilot-in::command:,as early as 

practicable prior to departure. 

16. Coastal Air carried the above shipment ofhazardous materials aboard an aircraft 

and failed to have emergency response information, including an emergency response telephone 

number, immediately available to the pilot-in-command during flight. 

17. Coastal Air accepted for transportation or transported aboard an aircraft the above 

shipment of hazardous materials when it failed to ensure that each of its hazmat employees was 

trained in accordance with the prescribed requirements as set forth in Section 175.20. 

III. 

. 18. . By re~on of the above Coastal Air Transport Inc. violated the following 

DepartmentofTransporta#on H~ardous Materials Regulations (Title 49 of the Code of Federal 

Regulations): 

1. ·Section 171.2( a) in that Coastal Air accepted hazardous material for 

transportation aboard an aircraft in commerce when the material was not properly classed, 

described, packaged, marked, labeled, and in condition for shipment as required or authorized by 

applicable requirements of this subchapter. 

2. Section 171.2(b) in that Coastal Air transported a hazardous material in commerce 

when the hazardous material was not handled and transported in accordance with applicable 

requirements of this subchapter, or an exemption, approval or registration issued under this 

subchapter or subchapter A of this subchapter. 
13. Section 175.33(a) in that Coastal Air carried a hazardous material subject to the 

provision of this subchapter in an aircraft and failed to provide the pilot-in-command at least the 

following information setforth in this paragraph in writing as early as possible prior to departure. · .. ,, 

14. Section 175.33(b) in that Coastal Air failed to have a copy of the written 

notification to pilot"'in-command readily available to the pilot-in-command during flight and 

failed to maintain emergency response information required by subpart G of part 172 of this 

subchapter inthe same manner as the written notification to pilot-in-command during transport 

of the hazardous material aboard the aircraft. 

15. . Section 175.3S(a) in that Coastal Air failed to ensure a copy of the shipping 

papers required by §175.30(a)(2) accompanied the shipment it covered during transportation 

' aboard an aircraft. 

16. Section 175 .85( a) in that Coastal Air carried a hazardous material subject to thes· 

tequirements of this subchapter in the cabin of a passenger-carrying aircraft or on the flight deck: 

of any aircraft.i' 

17 Pursuant to 49 U .S.C. Section 5123( a), Coastal Air Transport Inc. is subjecU0·a"' 

'~l:penaltynot lower than $250 ($450 for training-related violations), 'nor greater,·thanr$5.Q~O@f}," ... 

($100,000 if death, serious illness, severe injury, or substantial property damage results)r"·ftr:l!"each., 

violation ef the Department of Transportation Hazardous Materials Regulations. 

18. Under the facts and circumstances of this case, a civil penalty of $59, 600 is 

appropriate. 

• WHEREFORE, the Agency, by counsel respectfully requests that the Administrative Law Judge 

enter an order that Respondent be assessed a civil penalty in the amount of $59,600. 

Respectfully submitted this ?J' day of September, 2011. 

Atto ey 

Office of the Regional Counsel 

PLEASE NOTE: 

Pursuant to Title 14 CFR Section 13.209(a), you are required to file a written answer to this 

Complaint, or a written Motion to Dismiss if appropriate, not later than 30 days after the date 

shown on the Certificate of Service which follows. 

(!;> 
I .S DI:P:\RI'fVtLN I' 01 TRANSI'OI( IAI'lON 

Fl-:J:HJ{.\1 \\'I;\ fi()".; AD\1!~~1-; I'R .\'J'IO\.' 

1.·1\"~: \VI:\Ijf,,~: l..;.i·('i ·;~ITY 

Photograph provided by l"uh:in PR!-:Sn)N.CBP Supervisory Orticcr. l!E\/RY t-:. ROIILSL~ 

AIRPORT (STXi. Suint Croix. USYL Photograph shows the fiberboard bo:x which \.'('ll1Wind the 

shipment of Gas OiL CJas-; :~. \.''\1~02. PO-III. Ohscrvc the lack ofh,tzm:ll marking." cmd 

communicatiPn label~. 

l_OP}-J:. 

lnterviewcdiRt:\'iciH:d on A.pril 1,.8~2010 __ , ____________ , ___ At SJU-SECFU 

By Special Aucnl_)llan BUL·IJ~l2----·--·--------· File No. 201_95070Q_Q}_}_, __________ .. _______ .. 

------·--.. ----"'·--··----·--·---·---------------

FAA Form 16011-32-li.'J.Il!ll FOR OFFICL-'\L L.'SE ONI.Y 

U!l0(;'1 5 L.<;;,C. :'132) 
L.:-:;. DEPARTMENT OF TRANSPOHTAJ ION 

l'LDFHAL ..\VIA 110~ .\D;\·IlNISTRATICI.\! 

\.Wii. ·\ V!ATIU\ Sf:Ct:IU!Y 

Photograph provided by Tutein PRESTON. CBP Supervisory Officer. .Hf:NR Y t:. ROIILSEN 

A{RPORT (STX). Saint Croix. USVI. Photograph shO\VS a plastic bHg. \vhich contained 

One bottle containing Gas OiL Class 3. UN 1202. PG-Ill. 

IOP 5-F 

lnlerviewed·Revie..,.,·cd on .:..A.:J;p~r.:.:.il'-'l'--'8,_,_ • ..:2:..:::0...:..1.::.0 _________ At SJU:SECF~L _____ _ 

By 8pecial Agent Juan BULTED -----·----·File No. 201 OS0700C~J 7 ----------·--

FAA Form 1600-32-1 (9-86l FOR OfFICIAL USE ONL 't' 

tPuhlic a\ailabilitv to he dc:tcni1in~ 

under 5·U.S:C. 532) · 
In The Matter Of: 

U.S. DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, DC 

Docket No. FAA-2011-1005 

COASTAL AIR 

TRANSPORT, INC. 

) 

) 

) 

) 

) 

Respondent ) 

Ex. C-1 

Ex. C-2 

Ex. C-3 

Ex. C-5 

Ex. C-7 

Ex. C-8 

Ex. C-9 

Ex. C-13 

Ex. C-14 

Ex. C-15 

Ex. C-17 

Ex. C-18 

Ex. C-19 

Case No. 2010-S0-700037 

FAA HEARING EXHIBITS COVER SHEET 
FEDERAL AVIATION ADMfNISTRATrON 

A vi at ion Security and Hazardous Materials 

P 0 Box 38092 Airport Station 

San Juan. PR. 00937-1092 

December II, 2009 

Registered Mail Return-Receipt Requested 

File Number: 2010S0700037 

Mr. Michael W. Foster 

President, Coastal Air Transport, Incorporated 

P 0 Box 3985 

Christiartsted, Saint Croix 

usvr oo822 

Dear Sir: 

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The Federal Aviation Administration (FAA) is conducting an investigation concerning 

the apparent failure of Coastal Air Transport, Incorporated to comply with the provisions 

ofTitle 49, Code of Federal Regulations (49 CFR) 

On October 2 I, 2009, at approximately 1535 hours. at the Alexander Hamilton Airport 

(STX), Saint Croix, U.S. Virgin Islands, an Inspector of the U.S. Customs and Border 

Protection inspected the Coastal Air Transport aircraft servicing flight number #4 I 3. The 

inspection revealed that you were the pilot in command. The inspection also revealed 

that you accepted and transported in air commerce an un-marked and un-manifested box 

which contained two plastic bags marked 1-!azmatpac, each containing two bottles. Each 

bottle was labeled Fuel Oil, UN I 993 and contained approximately 750 mi. The shipper 

was identified as SGS Saint Eustatius. 

The hazardous materials were not declared. described, packaged, marked, labeled. and in 

condition for air transportation as required by the hazardous materials regulation. 

Additionally; Coastal Air Transport, Incorporated is not a certified hazardous material 

earner. 

The FAA would like to provide you with an opportunity to furnish any information 

concerning this matter which may reflect mitigating circumstances. 

As a part of our investigation, we are requesting the following related information: 

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J- A copy of the appropriate material safety data sheet(s) (MSDS) for dangerous goods 

offered in this shipment. The MSDS must show the proper shipping name. Class 

number. UN Number. Packing Group. and packing instructions for the item described 

above. 

2- Copies of the air waybill(s). shipper's pick up record and other relevant documents 

associated With the shipment in question. 

3- A copy of the hazardous materials training records for each individual involved in the 

transportation of this shipment. 

4- A copy of your hazardous materials training curriculum. 

5- A description of actions implemented to prevent further incidents of this type from 

occumng. 

6- Any additional documentation or information you feel to be pertinent to this 

investigation 

Please be advised that the allegations contained herein do not necessarily include all the 

deficiencies that may be subsequently discovered during the course of this investigation 

This office should receive your response, if any, within ten (I 0) business days from your 

receipt of this letter. If no response is received at that time, our report will be processed 

without the benefit of your information. Your reply may be sent email to 

Juan.Bulted@faa.gov. 

Sincerely. 

~'Butted 

Juan Bulted 

Special Agent 
SENDER: COMPLETE THIS St;CTION 

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

Item 4 tf 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 mallplece. 

or on the front If space permits. 

I. Article Addressed to: It YES', 'enter delivery address below: 0 No 

r..rr•....+u;""" Mall 

0Reg!s1ared 

0 lnsu!OO Mall 

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0 Return Receipt to<- Merchandise 

oc.o.o. 

4. Restrlcted Oellve~y? iExtTB Fee) 0 Yes 

7008 1830 DODO 5608 4635 

PS Form 3811, February 2004 Domestic Return Rece{pt I 02595--02 -M-1540 

U.S. Postal Service,... · 

CERTIFIED MAIL,., 'RECEIPT . (Domestic Mail Only; No Insurance Coverage ProVIded) L11 

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~uanBulted South Florida FSD0-19 

San Juan Security Field Unit 

525 FD Roosevelt Ave, Suite 901 

San Juan, Puerto Rico 00918-1198 

File Number: 2010S0700037 

January 14, 2010 

Dear Sir, 

In response to your letter received January 4, 2010, we offer the following as requested· 

1. A copy of the Material Safety Data Sheet(MSDS) for low sulfur diesel fuel (7 pages). 

2 Copies of the Bill of Lading from the shipper. Copies of our Cargo Manifest were held by u.s. 

Customs in St Croix. These items were correctly listed as oil samples. 

3. Copies of the hazardous materials training records for those involved in shipping these samples. 

4. We were advised years ago by our Principal Operations Inspector (POl), that a hazardous 

material program was not recommended and would not be required to transport small 

quantities of properly packaged flammable materials. These materials inclu~e butane lighters, 

matches, six packs of spirits, mouthwash, aftershave, etc. The material and quantities in this 

shipment fall into this category. 

5. The shipper has offered us the use of their lATA Training Program. We have agreed to have all 

appropriate personnel complete this course. 

6. Samples were shipped in Limited Quantity(less than lOL for Diesel Fuel) as per lATA DG Regs 

2.8.2.1(b) and packaged in a suitable box and materials for shipment. Shipment was placed in a 

cargo compartment not accessible to passengers. Included are labels attached to these samples 

describing their content. These were apparently not noticed during the customs inspection 

Coastal Air has operated for almost 30 years, accident, incident, and violation free. We have agreed to 

add additional training in the future and request that this investigation be closed with no further action 

being taken. 

~Jk Michael W. Foster 

President 

I GOVERNMENT 

j EXHIBIT 

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EXHIBIT __ 3 __ _ 

FAA/South Florid:~ FSD0-19 

San iuan fadlily 

P.O. BOX 3985 • CHRfSTIANSTED. U.S.V.I. 00822 • TELEPHONE (340) 773-6862 7 0 p 7 
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IF NON-HAZARDOUS AND HAZARDOUS M."'TERIALS ARE l.IST£0 ON THE SAME Bfi..L OF t.AOING. THE HAZARDOUS ; 

MATER1ALS MUST Sf liSTED FIRST OR WRITTEN IN A CLEARLY CONTRASTING COLOR 

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EMERGENCY [SPILL, LEAK. FIRE, EXPOSUR.E OR ACCIDENT] --·--·-·-ll 

24 HOUR TELEPHONE- CALL CHEMTREC 

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This Is to certify that the above named materials are properly ci.assified, desc; ibed, packaged. I 

marked, and labeled and arc in proper condition for transportation according to the applicab!(; , 

regulations of the Department of Transportation !I 

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CONSUL f SGS ~Aft::fY PHOGt:V.\.M 

SAMPLE LABELING ·Section e.4 .. 2 & 9.3.$ 

SA.MPLE PACK:NG 

SAMPLE 'TR~NSPOf-<'T 

SAMPLE SHIPPING 

Section 6 4.4 & 9 3 8 

: Se.cticn S.4.4 & 'L3 S 

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Henry E. Rohlsen Airport. RR #2-9922 

Kingshi/1, St. Croix. VI 00850-9702 

Date: November 02, 2009 

MEMORANDUM FOR: Hazmat Materials 

FROM: CBPO Renael Steele 

TO: FAA Hazmat Coordinator Juan Boulted 

CC: SCBPO Preston Tutein 

SUBJECT: Detention of Fuel Oil 

On October 21, 2009 at 1535, while inspecting cargo from Coastal Air flight #413, an onmanifested box was found with no identifying markings. After checking with the four passengers 

that arrived on the same flight, it was determined that it was cargo. Upon opening the box, two 

plastic bags were found labeled "Hazmatpac". Upon opening the bags, two bottles approximately 

750ml each were found labeled fuel oil UN# 1993 that contained a liquid substance. The 

contents appeared to be h~ardous materials. There was no MSDS, no packing slips or any 

hazardous markings or warnings labeled on box. Unaware ofthe actual contents, CBPO Steele 

and CBPAS Arroyo questioned Michael Foster, pilot of Coastal Air about the box and its 

contents. Mr. Foster stated that it was fuel oil and he brought it in for SGS, a company in St. 

Croix, USVI. Mr. Foster was asked why the box was not manifested and stated that he forgot to 

put it on the manifest. Mr. Foster then amended the manifest and added the box with the 

description as samples. SCBPO Tutein was contacted and advised of the contents found. As per 

SCBPO Tutein, the box was detained for further advisement on contents and shipping 

requirements. The items were detained by CBPO Steele on form 6051 D #617246. 

The following day, October 22, 2009, SGS faxed CBP a certificate of analysis and a bill of 

lading stating that the samples are diesel fuel UN# 1202. 

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1\1ANUAL FORTI-IE ---NON-ACCEPTANCE AND . 

NON-TRANSPORT OF DANGEH.OUS GOODS IN 

AIR TRANSPORT/\ TION 

Coastal Air Transport 

(Air Cmier Name) 

AT 761-109 

(Certificate Number). 

227 Roseq~_Box 3985 --····------------·------

(Physic:ll Address) 

C h r i s t i a n s t e d , __ $_t_ C r o i ~-.Y LGI.~--I s ..L~_n d s 0 0 R 2 2 

(City) , . (State) (Zip Code) 

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Corporate Officer 

(340)773-6862 - -~---------

(fax) 

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l~esponsible Hazardous Materials 

Officer · 

Statement of Intent: Air CarTier \\'ILL NOT ACCEPT Dangcrolls Goods (DG) 

for Air Transport 

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Will Transport Own DG Company f\·1aterial (CO MAT)? gJ N 0 

/:r:;;dL d? vi~ --~ Vjo.-_JZ~_~ -- Recorrunend Acceptance/ Approval Ac~~p~-\ ed 

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FAA APPROVAL 

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~S. DEPARTMENT OF TRANSPORTATtoO 

FEDERAL AVIATION ADMINIS'I'RA TION 

CIVIL 1\ VI/\TION SECURITY 

STATEMENT OF SPECIAL AGENT 

L Juan BUL TED, am a Special Agent and Hazardous Materials (hazmat) Specialist of the FEDERAL 

AVIATION ADMINISTRATION (FAA), assigned to the SAN JUAN SECURITY FIELD UNIT 

(SJU-SECFU), San Juan, Puerto Rico. 

On October 22, 2009, at approximately 0900 hours, Inspector Manuel PEREZ, FEDERAL AVIATION 

ADMINISTRATION (FAA)/South Florida-19, FIGHT STANDARDS DISTRICT OFFICE (FSDO), San 

.Juan Facility, mentioned to Special Agent Juan BULTED, SAN JUAN SECURITY FIELD UNIT (SJUSECFU), a conversation that PEREZ had with a CBP officer at HENRY E. ROHLSEN AIRPORT (STX). 

Saint Croix, USVI. PEREZ indicated that the CBP officer talked about a hazmat incident involving FHGA. 

PEREZ was not able to provide additional information as to the date, time, and CBP officer involved. 

On October 23, 2009, I called Tutein PRESTON, Supervisory Officer, U.S. CUSTOMS BORDER 

PROTECTION (CBP), STX Airport, and obtained additional information concerning this incident. 

PRESTON stated that on October 21, 2009, at approximately 1535 hours, Renael STEELE, CBP officer, 

and Omar ARROYO, Agriculture Specialist, U.S. DEPARTMENT of AGRICULTURE (USDA), were 

inspecting an FHGA aircraft servicing flight number 413. PRESTON stated that STEELE observed an unmanifested box with no identifying markings. PRESTON stated that STEELE interviewed four passengers 

on board the aircraft and none of them claimed ownership of the box; therefore, it was concluded that the 

box was transported as cargo. PRESTON stated that a physical search of the box revealed two plastic bags 

labeled "Hazmatpac". PRESTON also stated that each bottle was labeled Fuel Oil, UN#l993, and 

contained approximately 750ml of a liquid substance. PRESTON stated that there was no a Materials 

Safety Data Sheet (MSDS), packing slips, or any hazmat markings or warnings labels on the box which 

could alert to the presence of hazmat within the shipment. PRESTON stated that STEELE seized the 

bottles for further investigation. PRESTON further stated that STEELE would prepare a memorandum and 

forward it to the FAA. 

On October 27, 2009, BULTED received a fax from Floyd BROWN, CBP officer, STX Airport, which 

contained copy of a bill of lading signed by FOSTER, copy of a receipt dated 10/21109, and four copies of 

laboratory analysis reports which identified the diesel samples as Gas Oil (Diesel) which according to the 

· Hazardous Materials Table is described as Gas Oil, Class 3, UN1202, PG III. 

On October 28, 2009, PRESTON sent an Email which contained photographs of the shipment and a 

memorandum from STEELE, dated November 02, 2009. 

On February 8, 2010, I interviewed Inspector Joaquin PUNTONET, POI for FHGA, SJUFSDO, concerning 

FOSTER's allegation that the POI recommended that a hazmat program was not required to transport small 

quantities of properly package flammable materials. PUNTONET stated that FOSTER's allegation was 

false. 

Interviewed/Reviewed on '-'AOJ;:p=ri~l-=-l8=,L...:2::..o:Oc.:.l..:::..O _______ At SJU-SECFU 

By Special Agent Juan BUL TED 

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

. File No. 20 l OS070003 7 

~ GOVERNMENT 

i EXHIBIT 

jC~---\~2 __ 

FOR OFFICIAL USE ONLY 

(Public availability to be determine 

under 5 U.S.C. 532) 
.S. DEPARTMENT OF TRANSPORTATIO 

FEDERAL AVIATION ADMINISTRATION 

CIVIL AVIATION SECURITY 

STATEMENT OF SPECIAL AGENT (Con't.) 

On April l, 2010, I called ARROYO and asked him for a copy of the laboratory analysis addressed in the 

memorandum prepared by STEELE to clarify conflictive information concerning the proper shipping name, 

classification, and UN number shown in a Material Safety Data Sheet (MSDS) received from FHGA and 

the information containedin STEELE's Memorandum. I told ARROYO that I had received a copy of a 

laboratory analysis from STEELE, however, I wanted to make sure I had the correct document. I further 

told ARROYO that the MSDS described the hazmat as Diesel Fuel, Class 3, NA1993 and that STEELE's 

memorandum mentioned a laboratory analysis which described the hazmat as Diesel Fuel UN# 1202. 

ARROYO replied that he would email a copy of the laboratory analysis. 

On April 1, 2010, I received I received from ARROYO (through Email) a copy of the laboratory analysis 

report. The report was a copy of the report which on October 27,2009 BULTED received (through the 

fax) from BROWN. Based on the laboratory analysis prepared by SGS, company which offered the diesel 

fuel samples for air transportation, the diesel fuel is best described as Gas Oil (Diesel), Class 3, UN1202, 

PO III. 

IA~efvieweli/Reviewe on ~A~;]~r¥ill...21~~"-7J~2~0r..:O~------- At SJU-SECFU 

By S ecial A ent ~13UL TED . File No. 201 OS070003 7 

FAA Form 1600-32-1 (9-86) FOR OFFICIAL USE ONLY 

(Public availability to be determine 

under 5 U.S.C. 532) 
(AIR CARRIER NAME) 

WILL-NOT CARRY 

HAZARDOUS MATERIALS 

OPERATIONS MANUAL and 

TRAINING PROGRAM 

April2006 

(Change 1) 
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Record of Changes 

WILL-NOT CARRY HAZARDOUS MATERIALS 

OPERATIONS MANUAL AND TRAINING PROGRAM 

Page i: Added (Change!) 

Page ii: Modified/updated 

May 15,2006 

Change 1 

May 15, 2006 Page GENERAL-I: Added manual availability regulation, 

added 175.25 notice clarification, & changed page number 

Page 1-4: Removed 175.9 citation in Section V 

2-2: added in Table 

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April2006 

WILL-NOT CARRY HAZARDOUS MATERIALS 

OPERATIONS MANUAL AND TRAINING PROGRAM 

(City) 

(Telephone) 

(Signature Block) 

Corporate Officer 

Date 

(Certificate Holder Name) 

(Certificate Number) 

(Physical Address) 

(State) (Zip Code) 

(Fax) 

(Signature Block) 

Responsible Hazardous Materials 

Officer 

Date 

Statement of Intent: 

(certificate holder name) will not accept and/or knowingly transport hazardous materials as 

defined by 49 CFR onboard our aircraft. This Hazardous Materials (HM) Operations Manual 

and Training Program is intended to ensure that our employees, agents, and contract employees 

are prepared and knowledgeable regarding our policies and procedures as a Will-NOT carry 

certificate holder. This manual/program will be continually review~d to ensure compliance with 

14 CFR and 49 CFR. 

Training Program Approved and Manual Accepted 

Recommend Manual Acceptance 

Hazardous Materials Branch Manager 

FSDO Principal Operations Inspector 

Date Date 

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April2006 

H1ZARDOUS MATERIALS OPERATIONS MANUAL AND TRAINING PROGRAM 

TABLE OF CONTENTS 

GENEML 

I 

PART ONE: HAZARDOUS MATERIALS OPERATIONS MANUAL 

Section 

I 

II 

III 

IV 

v 

VI 

VII 

Contents 

Responsibilities 

Company Materials (COMA T) 

A. Shipping I Transporting of COMA T 

B. HM COMAT Exceptions 

Pre-Board Inspection 

Hazardous Materials Exceptions for Passenger and Crew Members 

A. HM Carried by Passenger or Crew Members 

B. Acceptance of Wheelchair I Mobility Aids 

C. Lithium Batteries 

Prohibited Operations as a Will-NOT Carry 

Repair Station Notification 

Notification of HM Incidents, Discrepancies and Required Reports 

A. Reporting of Incidents 

B. Reporting of Discrepancies 

PART TWO: HAZARDOUS MATERIALS TRAINING PROGRAM 

Section 

I 

II 

III 

Contents 

Requirements 

Training Curriculum & Reference Table 

Aspects of Hazardous Materials Air Transportation 

APPENDI IES 

Appendix 

A 

B 

c 

D 

E 

Description 

Hidden Shipment Indicators 

DOT Chart - Hazardous Materials Marking, Labeling & Placarding Guide 

Hazardous Materials Onboard Aircraft 

·Hazardous Materials Incident Report: DOT Form F 5800.1 (01-2004) 

Notification to Repair Stations of HM Policies and Operation Specifications 

IV 
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May 15, 2006 

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GENERAL 

WILL-NOT CARRY HAZARDOUS MATERIALS 

OPERATIONS MANUAL AND TRAINING PROGRAM 

Notwithstanding the contents of this manual, we are responsible for compliance with all 

provisions of the Hazardous Material Regulations (HMR), Title 49, Code of Federal Regulations 

(49 CFR) and the Federal Aviation Regulations, Title 14 CFR. 

A current copy of this manual or appropriate portions thereof shall be made available to ground 

personnel, maintenance personnel, and crewmembers when performing any Hazardous Materials 

(HM) duties (14 CFR 121.137 and 135.21). 

This Hazardous Materials Operations and Training Program shall be followed by each 

crewmember and person performing or directly supervising any ofthe following job functions 

involving any item for transport on board, attached to, or suspended from an aircraft: 

Acceptance, Rejection, Handling, Storage incidental to transport, Packaging of company 

material, or Loading. No employee, agent, or contract employee may prepare HM for shipment, 

including Company Material (COMA T), unless trained in this function. 

The terms Dangerous Goods and Hazardous Materials (HM) are synonymous and may be 

used interchangeably. Dangerous goods and hazardous materials are sometimes also referred to 

as regulated materials, restricted articles, and dangerous materials. Definitions of common terms 

applicable to HM are found in 49 CFR 171.8, Definitions and Abbreviations. 

We shall not use or allow any crewmember or person to perform or directly supervise any job 

function in the Training Reference Table (Part Two), unless that person has satisfactorily completed 

our FAA-approved initial or recurrent hazardous materials program within the past 24 months. 

Exceptions for new hires, persons performing a new job function, and persons who work for more 

than one certificate holder are specified in 14 CFR 121.1005(b) and (c) or 135.505(b) and (c). An 

exception for operations in foreign locations is specified in 14 CFR 121.1005(f) or 135.505(f). 

The notice required by 49 CFR 175.25 shall be prominently displayed at all facility locations 

where passengers are ticketed, boarded, and/or baggage is checked. The notice required by 49 

CFR 175.26 shall be prominently displayed at each facility locations where cargo is accepted. 

At passenger terminals where both passenger and cargo notices would be required, the use of 

only the 49 CFR 175.25 notice is allowed. 

Each repair station performing work for or on our behalf shall be notified in writing of our 

policies pertaining to hazardous materials (14 CFR 121.1005(e) or 135.505(e)). This notification 

requirement only applies to repair stations that are regulated by 49 CFR Parts 171-180. (See 

Appendix E) 

All HM Company Material (COMAT) will be offered to a different mode of transportation (e.g., 

ground) and/or a certificate holder that is authorized to transport HM. 

GENERAL-I 
I 

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I 

I PART ONE 

I 

I 

I HAZARDOUS MATERIALS OPERATIONS MANUAL 

I. RESPONSIBILITIES 

I 

April 2006 

The genen:\.1 transportation requirements of 49 CFR state that shippers of HM must properly 

declare any such material at the time it is offered for transportation to the carrier. The 

certification and information provided by the shipper may be relied upon to determine if the 

shipment ik authorized for air transportation. Therefore, it is acceptable practice to assume that a 

HM packa~e may be recognized by its conspicuous markings and label(s), which are required to 

be displayJd on the outside of the package, and by the shipping document(s) which must be a 

part of the ~offering and must accompany the shipment during transportation. 

Shippers/Passengers may be unaware of the requirements for offering and transporting 

HM. Wheb accepting cargo or baggage, it may be necessary to question persons offering these 

items to ddtermine the exact contents and thereby prevent the inadvertent acceptance and 

transport or HM. All cargo or baggage and any documents tendered with the shipment will be 

reviewed for an indication that the item(s) is HM. All employees, agents, and contract 

employees\ shall be provided a trigger list of indicators of undeclared HM to assist them in their 

review. (See Appendix A, Hidden Shipment Indicators) 

Any packake that displays a HM marking or label, as shown in the latest DOT labeling chart, or 

otherwise i

1

s known or suspected of containing HM, will not be accepted for air transportation or 

loaded abo~rd an aircraft. (See Appendix B, DOT Chart) 

II. COMPkNY MATERIALS (COMAT) I 

COMA T iJ an industry term developed and used by certificate holders and is generally used to 

describe a ~ide array of company materials including replacement items for installed equipment 

and consumable materials. (See Appendix C, Hazardous Materials Onboard Aircraft) 

A. Shipping I Transporting of CO MAT 

All COMA T will be evaluated and identified by its hazardous or non-hazardous 

classification. All HM Company Material (COMAT) will be offered to a different mode 

of t!ransportation (e.g., ground) and/or a certificate holder in full compliance with all I 

provisions of the Hazardous Materials Regulations. Employees, agents, and contractors 

whb prepare and/or offer HM shipments for transportation must receive additional function specific 

traihing to satisfy all of the requirements for shippers under 49 CFR Part 172, I 

Su~part H. 

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B. HM COMAT Exceptions (49 CFR 175.8) 

April2006 

, ............................................................................................................................................................................................................................................................... .. 

1 HM COMA T will not be transported on our aircraft. The ONLY exception is: 1 

1 A tire assembly with a serviceable tire is not subject to the provisions of this subchapter 1 

i provided the tire is not inflated to a gauge pressure exceeding the maximum rated pressure l 

l for that tire and the tire (including valve assemblies) is protected from damage during l ~ transport. A tire or tire assembly which is unserviceable or damaged is forbidden from air ~ 

1 transport unless deflated to where it no longer meets the definition of hazardous material. 1 

[..(~.:.: .. ~~ .. S:~.~ ... ~.?..?.:.~~?.>..(~).L ........................................................................................................................................................................................ J 

All COMA T received from Repair Stations and Parts Suppliers shall be scrutinized to determine 

if the material is HM before introducing it into the transportation system. 

III. PRE-BOARD INSPECTION 

No employee, agent, or contract employee shall load any carg9 or baggage containing indicators 

ofHM aboard an aircraft, onto an aircraft pallet, or into a Unit Load Device (ULD) unless it can 

be verified that the contents are not HM. 

IV. HM EXCEPTIONS FOR PASSENGER AND CREW MEMBERS 

Certain materials that are normally regulated as HM are excepted from the HMR. A summary of 

commonly utilized exceptions of this regulation are provided in this section. All available 

exceptions are listed in 175.10 to include matches/lighters, implanted medical devices and 

radiopharmaceuticals, alcoholic beverages, butane powered curling irons, small thermometers, 

small arms ammunition, dry ice, self inflating life jacket, compressed gas for medical limbs, and 

electrically powered heat producing articles. A current copy of Title 49 CFR Part 175 or a 

printout of the applicable sections from the internet will be maintained for reference. 

http://ecfr.gpoaccess.gov or http://hazmat.dot.gov 

A. HM Carried by Passenger or Crew Members 

Personal use items carried by passenger or crew members are allowed under the following 

conditions: 

1) Non-radioactive medicinal or toiletry articles (including aerosols) may be carried in 

checked or carry-on baggage. 

2) Any Division 2.2 aerosol with no subsidiary risk and a protective cap (checked 

baggage only). 

3) The aggregate quantity of all HM items carried by each person allowed in 1-2 above 

may not exceed 70 oz. (2 kg) by mass or 68 fl. oz. (2 L) by volume. Each individual 

container cannot exceed 18 oz. (0.5 kg) by mass or 17 fl. oz. (500 ml) by volume. 

4) One self-defense spray not exceeding 4 fl. oz. that incorporates a positive means to 

prevent accidental discharge (checked baggage only). 

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B.lcceptance of Wheelchair I Mobility Aids 

BatJery-powered wheelchairs/mobility aids can be accepted as baggage. 

Wh~elchairs/mobility aids will NOT be transported if it exhibits evidence of previous 

leak~ge or damage. Wheelchair batteries are either "spillable" or "non-spillable". 

1) ~on-Spillable Batteries in a Wheelchair I Mobility Aid 

Nod-Spillable batteries may be accepted for transport with the battery attached when 

pro~erly prepared for shipment. 

• The battery must be disconnected and terminal and end cables are insulated to 

prevent short circuits. 

• The battery must be securely attached to the wheelchair/mobility aid. 

• A visual inspection must not reveal any obvious defects. 

• Batteries manufactured after September 30, 1995, must be marked on the 

outside of the battery case, "NON-SPILLABLE" or "NON-SPILLABLE I BATTERY." 

If th'e wheelchair/mobility aid cannot be loaded/stowed in an upright position, it is 

advisable that the battery be removed and terminals are insulated to prevent short 

circuits. 

I 

2) 1pillable Batteries in a Wheelchair I Mobility Aid 

Spil able batteries may be accepted for transport with the battery attached when 

pro, erly prepared for shipment. 

• The battery must be disconnected and terminal and end cables are insulated to 

prevent short circuits. 

• The battery must be securely attached to the wheelchair/mobility aid. 

• A visual inspection must not reveal any obvious defects. 

• The wheelchair/mobility aid must be loaded, stowed, secured, and unloaded in 

an upright position (If this cannot be accomplished the battery must be removed). 

• The Pilot-in-Command must be advised either orally or in writing prior to I departure as to the location of the spillable battery aboard the aircraft. 

3) Battery Removal 

If a ~attery is removed from the wheelchair/mobility aid, the removal must be 

performed by qualified airline personnel only. The battery must be transported in 

strohg, rigid packaging under the following conditions: 

• The packaging must be leak-tight and impervious to battery fluid. An inner liner 

may be used to satisfy this requirement if there is absorbent material placed inside 

of the liner and the liner has a leakproof closure; 

• The battery must be protected against short circuits, secured upright in the 

packaging, and be packaged with enough compatible absorbent material to 

completely absorb liquid contents in the event or rupture of the battery; and 

• The packaging must be labeled with a CORROSIVE label, marked to indicate 

proper orientation, and marked with the words "Battery, wet, with wheelchair;" 

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C. Lithium Batteries 

Personal use consumer electronic and medical devices (watches, calculators, cameras, 

cellular phones, lap-top computers, camcorders, hearing aids, etc.) containing lithium 

cells or batteries, and spare lithium batteries and cells for these devices, are allowed in 

checked or carry-on baggage. Each installed or spare lithium battery must confirm to the 

following: 

May 15,2006 

Change 1 

• The lithium content of the anode of each cell, when fully charged, is not be more than 

5g;and 

• The aggregate lithium content of the anodes of each battery, when fully charged, is 

not more than 25g. 

V. PROHIBITED OPERATIONS AS A WILL-NOT CARRY 

All regulations listed below are prohibited from being utilized due to our WILL-NOT Carry 

policy. Any interest in utilizing the below regulations requires coordination and update of our 

HM Operations Manual and Training Program to a WILL Carry with our FAA Principal 

Operations Inspector (POI). 

175.8(a)(3) Exceptions for operator equipment and items ofreplacement dealing with COMAT. 

175.310 Transportation offlammable liquid fuel; aircraft only means oftransportation. 

175.501 Special requirements for oxidizers and compressed oxygen. 

VI. REP AIR STATION NOTIFICATION 

Each repair station regulated under 49 CFR Parts 171-180 performing work for or on our behalf 

must be notified in writing of our policies and operation specifications pertaining to its "WillNOT Carry" HM status in accordance with 49 CFR 121.1005(e) or 135.505(e).lt is acceptable 

to notify all repair stations our HM policies and operation specifications. 

Each repair station must acknowledge receipt ofthe above notification. A record of the 

acknowledgement receipt should be kept together with the notification. (See Appendix E, 

Repair Station Notification) 

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VII. NOTiFICATION OF HM INCIDENTS, DISCREPANCIES AND REQUIRED REPORTS 

A. Redorting of Incidents (See 49 CFR 171.15) 

I) lA HM incident shall be reported, as soon as practical but no later than 12 hours after the 

bccurrence the incident, by telephone to the National Response Center (NRC) at 800-424-

ls802 (toll free) or 202-267-2675 or electronically at http://hazmat.dot.gov/spills.htm. Notice 

rnvolving an infectious substance may be given to the Director, Centers for Disease Control 

rand Prevention at 800-232-0124 (toll free) in place of the notice to the NRC. This includes 

· nciaents that occur during the course of transportation (including loading, unloading, or 

emporary storage) in which: 

a) A person is killed; or 

b) A person receives injuries requiring hospitalization; or 

c) An evacuation of the general public occurs lasting one or more hours; or 

d) One or more major transportation arteries or facilities are closed or shut down for one 

hour or more; or 

e) The operational flight pattern or routine of an aircraft is altered; or 

f) Fire, breakage, spillage, or suspected radioactive contamination occurs involving 

shipment of RAM; or 

g) Fire, breakage, spillage, or suspected contamination occurs involving shipment of 

infectious substances (etiologic agents); or 

h) A situation exists of such a nature (e.g., a continuing danger to life exists at the scene of 

the incident that, in the judgment of the carrier, it should be reported to the NRC even 

though it does not meet the criteria of paragraph 1 )(a) thru (g) of this section. 

2) Radioactive Materials (RAM) - In addition to the notification to the NRC, a notification 

must be made at the earliest practicable moment to the shipper of the RAM involved in 

the incident. 

3) Filing an Incident Report (See 49 CFR 171.16) A report shall be submitted on DOT 

Form F 5800.1 (01-2004), within 30 days of the date of discovery, for each incident that 

occurs during the course of transportation (including loading, unloading, or storage, 

incidental thereto) in which any of the circumstances set forth in 49 CFR 171.15(b) 

occurs, there has been an unintentional release of hazardous materials from a package or 

quantity of hazardous waste has been discharged during transportation, or undeclared 

hazardous materials are found in cargo or baggage. 

Exception: Undeclared hazardous materials discovered in baggage during the airport 

screening process are not subject to filing a DOT F5800.1. Such items in baggage 

must be reported as a discrepancy per 49 CFR 175.31. (See Section VIJ.B) 

A copy of DOT Form F 5800.1 (01-2004) will be forwarded to: 

a) Information Systems Manager, PHH-63 

Pipeline and Hazardous Materials Safety Administration 

Department of Transportation 

Washington, DC 20590-0001, and 

b) The nearest FAA Security Office in the region of discovery. 

In tructions for completing DOT Form F 5800.1 (01-2004) are included in Appendix D. 

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B. Reporting of Discrepancies (See 49 CFR 175.31) 

April2006 

1) In the event of a discrepancy relative to the shipment of hazardous material following its 

acceptance for transportation aboard an aircraft, notification to the nearest FAA Security 

Office, by telephone or electronically, shall be made as soon as practicable, and shall 

provide the following information: 

a. Name and Telephone number of the person reporting the discrepancy. 

b. Name of the aircraft operator. 

c. Specific location of the shipment concerned. 

d. Name ofthe shipper. 

e. Nature of discrepancy. 

f. Address of the shipper or person responsible for the discrepancy, if known. 

2) Packages or baggage which are found to contain hazardous materials subsequent to their 

being offered and accepted as other than hazardous materials (undeclared) must be 

reported. 

3) Discrepancies involving hazardous materials which are improperly described, certified, 

labeled, marked, or packaged, in a manner not ascertainable when accepted under 

175.30(a), must be reported. 

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EMERGENCY RESPONSE CONTACT LISTS 

National Incident Response Contacts 

CONTACT PHONE NUMBER 

Center for/Disease Control (800) 232-0124 

National Response Center (NRC) (See Section VILA) I 

(800) 424-8802 

For Radidactive Materials: 

Departme1t of Energy (DOE) (202) 586-8100 

Nuclear Rfgulatory Commission (30 1) 816-5100 

I 

In addition to the contacts listed above, current local listing of emergency contacts at each 

station whbre operations are conducted will be maintained. At a minimum, the list will contain 

the following telephonic contact information: 

I ! Local Incident Response Contacts 

I 

CONTAIT 

Local FAt Security & Hazardous Materials Field Office 

FAA Regi/onal Operations Center (24-hour contact) 

FAA Fligfut Standards District Office (FSDO) 

(Holding} AA Certificate) I 

Airport P~lice I 

Fire Depahment I 

Ambulande/Hospital l 

State Dep~rtment of Emergency Services I 

Disposal M Hazardous Materials 

! 

For Radibactive Materials: 

I 

State Radiation Control 

I 

I 

NOTES: i 

PHONE NUMBER 

l-305-716-3340 

1-404-305-5180 

1-813-287-4900 

91111-727-582-6200 

91111-727-562-4334 

91111-727-462-4922 

1-800-467-4922 

1-727-462-663 3 

1-850-245-4266 

• The No~h American Emergency Response Guidebook is a valuable resource to have for handling 

HM incidents. http://hazmat.dot.gov/pubs/erg/gydebook.htm 

• The Emdrgency Response Telephone number provided on the Dangerous Goods Declaration 

(shipping papers) should be utilized as a resource in a HM incident. I 1-7 
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PART TWO 

HAZARDOUS MATERIALS TRAINING PROGRAM 

I. REQUIREMENTS 

April2006 

No crewmember or person shall perform or directly supervise any hazardous material (HM) job 

function to include acceptance, rejection, handling, storage incidental to transport, packaging of 

company material (COMAT), or loading of cargo and baggage, unless that person has satisfactorily 

completed our FAA-approved initial or recurrent hazardous materials program within the past 24 

months. 

A record of the satisfactory completion of the initial and recurrent hazmat training for each 

individual within the preceding 3 years shall be maintained. These records will be available at the 

location where the personnel perform such duties, and will be maintained for as long a~ the 

employee is performing HM duties, and for 90 days thereafter. Training records for all direct 

employees, independent contractors, subcontractors, and any other person who performs or directly 

supervises a HM function must be available upon request. Records may be maintained 

electronically and provided on location electronically. 

The content of the HM Training Records must include: 

1. The individuals name, 

2. The most recent training completion date, 

3. A description, copy or reference to training materials used to meet the training requirement, 

4. The name and address of the organization providing the training, and 

5. A copy of the certification issued when the individual was trained, which shows that a test 

has been completed satisfactorily. 

If a person is utilized under an exception (new hire or new job function) in 14 CFR 121.1 005(b) or 

135.505(b), a record must be maintained in accordance with 14 CFR 121.1007(d) or 14 CFR 

135.507(d). Exceptions for persons who work for more than one certificate holder are specified in 

14 CFR 121.1005(c) or 135.505(c). An exception for operating at foreign locations is specified in 

14 CFR 121.1005(f) or 135.505(£). 

II. TRAINING CURRICULUM & REFERENCE TABLE 

All materials and regulations used in our training curriculum must be current and valid at the 

time of the training. Part 121 and 13 5 hazardous material training requirements can be found 

online at: http://ecfr.gpoaccess.gov 

Our training program will satisfy the requirements in the Training Reference Table and 49 CFR 

Parts 171 through 180. The training required is based on the functions being performed. Each 

trained person will be able to recognize items that contain or may contain regulated hazardous 

materials. A method to answer all questions prior to testing regardless of the method of instruction 

will be provided. We will certify that each trainee has been satisfactorily tested and verify 

understanding of the HM regulations and our policies. 

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of transport of 

aterials by air with 

be familiar, as a 

(See Note 1) 

X 

X 

X 

X 

X X X 

X X X 

extent of training varies for each person depending on the job function they 

The material shall be covered in such scope and depth as to provide all persons with 

knowledge of applicable HM regulations and procedures to safely accomplish their 

X 

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III. ASPECTS OF HAZARDOUS MATERIALS AIR TRANSPORTATION 

April2006 

At a minimum, our hazardous materials training programs will include the following information 

for each aspect of hazardous materials air transportation. 

General Philosophy 

• Certificate Holder's Will-NOT Carry Policies and Procedures 

• HM Training Program ~ 14 CFR Subpart Z 

• Applicable Regulatory Materials 

• Overview of 49 CFR Parts 1 00-185 

• Definitions Used in Air Transportation of Hazardous Materials~ 49 CFR 171.8 

• General Transportation Requirements ~ 49 CFR 171.2 

• Transport by Aircraft~ 49 CFR Part 175 

• Training Requirements and Recordkeeping ~ 49 CFR 172.700 

• Enforcement 

• Hazardous Materials Security 

Limitations 

• Hidden Hazardous Materials 

• Hazardous Materials Carried by Passenger or Crew 

General Requirements For Shippers 

• Shippers Specific Responsibilities and Compliance to Regulations 

• Identify and Recognize HM COMA T 

- Hazardous Materials Onboard Aircraft ~ Appendix C 

- Replacement Components 

- Consumable Materials 

• Specific HM COMA T Exceptions~ 49 CFR 175.8 

• Facility Storage, Safe Movement and Handling Requirements for HM COMAT 

Classification 

• Hazardous Materials Classification~ 49 CFR 172.101, 173.2, and 173.2(a) 

• Unacceptable Hazardous Materials~ 49 CFR 172.101, 173.21, and 175.3 

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List of Hlzardous Materials 

• ~urpose and Use ofthe Hazardous Materials Tables~ 49 CFR 172.101 

• ~i!oper Shipping Names~ 49 CFR 172.101 and 172.202 

• tjlazard Class (Definitions)~ 49 CFR 172.101 and 173.50- 173.144 

• UJN/ID Numbers~ 49 CFR 172.101 and 172.202 

·1acking Group~ 49 CFR 172.101 and 172.202 

General Hacking Requirements 

• ~hippers Responsibilities~ 49 CFR 171.2(e) and 171.12 

• dJeneral Packing Requirements~ 49 CFR 173.24, 173.24(a), and 173.27 

• ~acking Instructions and Assignments~ 49 CFR 172.101 and Part 173 

• Small Quantity Exceptions ~ 49 CFR 173.4 

• rlimited Quantity Exceptions ~ 49 CFR 173.150- 173.156 

Labeling land Marking . 

• ~arkings Required on Packages Containing Hazardous Materials ~ 49 CFR Subpart D 

• rLabels Required on Packages Containing Hazardous Materials ~ 49 CFR Subpart E 

Hazardols Materials Transport Document and Other Relevant Documentation 

• Jhipper's Certification Requirements for Hazardous Materials~ 49 CFR 172.204 

• Shipping Paper Requirements ~ 49 CFR 172.200 and 172.201 I 

• rpescription of Hazardous Materials Required on Shipping Papers~ 49 CFR 172.202 and 

17Q.203 . I 

• Shipping Papers for Hazardous Materials aboard Aircraft~ 49 CFR 175.35 

I . I 

Recognition of Undeclared Hazardous Materials 

• *idden Shipment Indicators~ Appendix A 

• Suspicious Cargo and Baggage Awareness 

• ~azardous Materials Discrepancy/Incident Reporting~ 49 CFR 171.15, 171.16, 175.31, 

.. ani(} Appendix D 

ProvisiOns for Passenger and Crew 

• fazardous Material Exceptions~ 49 CFR 175.10 

Emergenkv Procedures 

I 

• lLJse of North American Emergency Response Guidebook (Cargo Facility I Ground 

Hkdling) 

• Use of ICAO Red Book or similar reference (On board Aircraft) 

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April2006 

APPENDIX A 

HIDDEN SHIPMENT INDICATORS 

Cargo and b'aggage that are offered under a general description might have hazards that are not 

apparent. The Hazardous Materials Table in 49 CFR Part 172 is not complete, and shippers and 

passengers may not be aware of this. Some ofthese consignments have caused incidents that 

could have seriously endangered the safety of the aircraft and/or its passengers. 

Please be alert to these possible hazards. Items found containing a hazardous material need to be 

shipped in accordance with the 49 CFR/ICAO Technical Instructions. 

NAME REMARKS 

Aircraft Parts/COMAT May indicate the presence of chemical oxygen 

generators, flammable liquids/solids, corrosives, 

compressed gases, radioactive materials in aircraft 

. parts and accessories, or general company materials. 

Automobile Parts (car, motor, May contain cellulose paints, wet batteries, 

motorcycle) shocks/struts with nitrogen, air bag inflators/air bag 

modules, etc. 

Breathing Apparatus/SCUBA May indicate compressed air or oxygen cylinders 

Bull (or other animal) Semen May involve use of refrigerant (e.g., Liquid Nitrogen) 

Camping Equipment May contain flammable liquids, gas, or solids 

Chemicals Often found to be hazardous 

Cryogenic (Liquid) Indicates low temperature, low pressure, or 

nonpressurized 

gas such as Argon, Helium, Neon, and 

Nitrogen 

Cylinders May indicate compressed gas 

Dental Apparatus May contain hazardous chemicals such as resins or 

solvents 

Electrical Equipment May contain magnetized materials or mercury in 

switch gear and electron tubes 

Electrically Powered May contain wet batteries apparatus (wheelchairs, 

lawn mowers, g_olf carts, etcl 

Frozen Fruits, Vegetables May be packed in Dry Ice (Solid Carbon Dioxide) 

Household Goods May contain hazardous materials such as paint, 

aerosols, bleaching powder, etc. 

Instruments May conceal barometers, manometers, mercury 

switches, rectifier tubes, thermometers containing 

mercury 

Laboratory IT esting May contain various hazardous chemicals 

Machinery Parts May include hazardous chemicals (adhesives, paints, 

sealants, solvents, etc.) 

Medical Supplies/Equipment (Test Kits) May contain various hazardous chemicals 

Pharmaceuticals May contain various hazardous chemicals 

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April2006 

Photo Sup plies May contain various hazardous chemicals 

Refrigerat9rs May contain various hazardous chemicals 

Repair Kitr May contain various hazardous materials (adhesives, 

solvents, cellulose paints, organic peroxides, etc.) 

Samples ftr Testing May contain various hazardous materials (including 

infectious substances) 

Swimming Pool Supplies May contain acid, chlorine 

Switches ih Electrical Equipment or May contain mercury I Instrument 

Tear Gas fispensers Contains irritating material or pepper gas which is 

forbidden on passenger aircraft 

Toys I May be made of celluloid or other flammable material 

Tool Box1s May contain Flammable gases, liquids, adhesives, 

Cleaners, Corrosives, Oxidizers, etc. 

Vaccines I May be packed in Dry Ice (Solid Carbon Dioxide) 

Note 1: A :iicles which do not fall within the hazardous materials definitions of 49 CFR and 

which, in the event of leakage, may cause serious cleanup problems or corrosion to aluminum on 

a long tenh basis, must be checked by the shipper to at least ensure that the packaging is 

adequate t~ prevent leakage during transportation. These may include brine, powered or liquid 

dyes, pickJed foodstuffs, etc. 

Note 2: Jagnetized material, as defined in 49 CFR, with a gauss reading of more than 0.00525 

is forbidd~n for air transportation and a package with a reading of 0.00525 or less is not 

regulated.,The ICAO and IA TA Regulations regulate magnetized material with a reading 

between 0.002 gauss and 0.00525 gauss, thus requiring a magnetized material label. 

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April2006 

APPENDIXB 

DOT CHART 

Hazardous Materials Marking, Labeling & Placarding Guide 

SEE ATTACHED 

This DOT CHART is produced by the Pipeline and Hazardous Materials 

Safety Administration (PHMSA). It can be purchased individually or 

obtained for Free in their Outreach Training Folder labeled, "HAZARDOUS 

MATERIALS SAFETY PACK A." 

The DOT CHARTs and HAZMAT Pack A's can be ordered on-line at: 

https://hazmatonline.phmsa.dot.gov/services/pub default.aspx 

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APPENDIXC 

Hazardous Materials Onboard Aircraft 

/ Delete this box and utilize this space to add a 

pieture(s) of representative aircraft for your fleet and 

~nnotate where the various items listed below are 

located on the aircraft. 

Spaces 18-20 in the list below can be utilized for 

a(]lditional HM items applicable to your aircraft that 

are not already listed. 

I. BatterJ, Aircraft 

I 

2. Engine Oil (as hazardous waste) 

3. Escape ~lides/Life Rafts 

4. Fire BJtles (Af>U, engines, lower cargo 

compartmdnt, and lavatory waste containers) 

5. Fire Exlinguishers (attendant stations, I 

closets, galleys, etc.) 

6. Fuel 

7. Hydrau'lic Fluid, Reservoirs (as hazardous 

waste) I 

8. Uraniu~ (depleted, counter-balance weights) 

9. OrdnaJce Devices (off-wing escape) 

10. OxygL Bottles, Portable, Gaseous 

11. Oxygen Bottles, Crew System, Gaseous 

12. Oxygen Bottles, Passenger System, 

Gaseous (Standard) 

13. Oxygen Generators (optional: each PSU 

standard: each attendant station and lavatory) 

14. Rain Repellant 

15. Refrigerant (located in each galley) 

16. Smoke Hoods 

17. Tritium Radioactive Signs (aisle and 

emergency exit doors) 

18. 

19. 

20. 

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April2006 

APPENDIXD 

Hazardous Materials Incident Report: DOT Form F 5800.1 (01-2004) 

Includes Guide for Preparing Hazardous Materials Incidents Reports 

SEE ATTACHED 

DOT Form F 5800.1 can now be reported on-line to the DOT. The form can 

then be printed out and faxed, mailed, or emailed to your local FAA HM 

Field Office meeting the requirements of air incidents in 49 CFR 1 71.16. 

For assistance in completing the Incident Report Form 5800.1 or any 

questions regarding the incident reporting requirements, please call the 

Hazardous Materials Information Center at 800-467-4922. You may also send 

your question in by email (hmis@dot.gov). 

http://hazmat.dot.gov/enforce/spills/spills.htm 

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I 

April2006 

APPENDIXE 

Notification of Hazardous Material Policies and Operation Specifications 

Date: 

To: 

From: 

----+------is hereby notifying you of our policies and operation specifications 

concerning jthe transport of hazardous materials. This notification is conducted in accordance 

with the requirements of 14 CFR, Parts 121.1005(e) or 135.505(e). In accordance with 14 CFR 

· 145.206(a), you are required to acknowledge receipt of this notification back to us. 

----+-----has an FAA approved Will-NOT Carry Hazardous Materials 

Program. 

E-1 
(Certificate Name and Number :XXXX:XXX (if desired) April 2006 Change 1) 

(insert your name here) 

WILL-CARRY 

HAZARDOUS MATERIALS 

OPERATIONS MANUAL and 

TRAINING PROGRAM 

April2006 

(Change 1) 

May 15,2006 

Change 1 

~ GOVERNMENT 

~ EXHIBIT 

i '~ LC 5 ~ 
Change I 

Record of Changes 

WILL-CARRY HAZARDOUS MATERIALS 

OPERATIONS MANUAL AND TRAINING PROGRAM 

Page i: Added (Change I) 

Page ii: Modified/updated 

Page GENERAL-I: Added manual availability regulation, 

added 175.25 notice clarification, & changed page number 

Page 1-8: Corrected table 

Page 2-2: Regulation update added in Table 
(Certificate Name and Number :XXXXX:XX (if desired) April 2006 Change 1) 

WILL-CARRY HAZARDOUS MATERIALS 

OPERATIONS MANUAL AND TRAINING PROGRAM 

(Certificate Holder Name) 

(Certificate Number) 

(Physical Address) 

(City) (State) (Zip Code) 

Statement of Intent 

This Hazardous Materials (HM) Operations Manual and Training Program shall be followed by 

all employees, agents, and contract employees of (name of certificate holder). This 

manual/program will be continually reviewed to ensure compliance with 14 CFR and 49 CFR. 

Will Transport Commercial Hazardous Materials? YES NO 

Will Transport Own HM Company Material (COMA T)? YES NO 

Training Program Approved and 

Recommend Manual Acceptance 

Hazardous Materials Branch Manager 

Date 

Manual Accepted 

FSDO Principal Ops Inspector 

Date 

11 

iii 
(Certificate lame and Number XXXXXXX (if desired) April 2006 Change 1) 

HAZA!RDOUS MATERIALS OPERATIONS MANUAL AND TRAINING PROGRAM 

I TABLE OF CONTENTS 

GENERAL 

PART ONE: HAZARDOUS MATERIALS OPERATIONS MANUAL 

Section Contents 

I Acceptance Procedures 

A. Shipping Documents and Certification 

B. Marking 

C. Labeling 

D. Placards 

E. Rejection ofNon-Compliant HM 

II Company Materials (COMA T) 

A. Shipping I Transporting of COMA T 

B. HM COMA T Exceptions 

III Loading I Stowage I Handling Procedures 

A. Storage Incidental to Transport/Movement 

B. Segregation Table 

C. Pre-Board Inspection 

D. Emergency Response Information 

IV Pilot-In-Command Notification 

v Special Flights I Special Permits (Exemptions) 

VI Hazardous Materials Exceptions for Passenger and Crew Members 

A. HM Carried by Passenger or Crew Members 

B. Acceptance of Wheelchair I Mobility Aids 

C. Lithium Batteries 

VII Repair Station Notification 

VIII Notification ofHM Incidents, Discrepancies and Required Reports 

A. Reporting of Incidents 

B. Reporting of Discrepancies 

lV 
(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

PART TWO: HAZARDOUS MATERIALS TRAINING PROGRAM 

Section 

I 

II 

III 

Contents 

Requirements 

Training Curriculum & Reference Table 

Aspects of Hazardous Materials Air Transportation 

APPENDICES 

Appendix 

A 

B 

c 

D 

E 

F 

Description 

Hidden Shipment Indicators 

DOT Chart - Hazardous Materials Marking, Labeling & Placarding Guide 

Hazardous Materials Onboard Aircraft 

Hazardous Materials Incident Report: DOT Form F 5800.1 (01-2004) 

Notification to Repair Stations of HM Policies and Operation Specifications 

Acceptance Checklists 

v 
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GENERAL 

WILL-CARRY HAZARDOUS MATERIALS 

OPERATIONS MANUAL AND TRAINING PROGRAM 

Notwithstan, ing the contents of this manual, we are responsible for compliance with all 

provisions ofthe Hazardous Material Regulations (HMR), Title 49, Code of Federal Regulations 

(49 CFR) an~ the Federal Aviation Regulations, Title 14 CFR. 

A current co~y of this manual or appropriate portions thereof shall be made available to ground 

personnel, maintenance personnel, and crewmembers when performing any Hazardous Materials 

(HM) duties! ( 14 CFR 121.13 7 and 13 5.21 ). A current copy of the HM regulations found in 49 

CFR Parts lp7-185 (or a current copy of: the International Civil Aviation Organization (ICAO) 

Technical Instructions for the Safe Transport of Dangerous Goods by Air or the International Air 

Transport Absociation (lATA) Dangerous Goods Regulations) shall be available at each station . 

This HazarJous Materials Operations and Training Program shall be followed by each 

crewmemb9~ and person performing or directly supervising any of the following job functions 

involving any item for transport on board, attached to, or suspended from an aircraft: acceptance, 

rejection, hclndling, storage incidental to transport, packaging of company material, or loading. 

No employcle, agent, or contract employee may prepare HM for shipment, including Company 

Material (CFMAT), unless trained in this function. 

The terms Dangerous Goods and Hazardous Materials are synonymous and may be used 

interchange~bly. Dangerous goods and hazardous materials are sometimes also referred to as 

regulated mlaterials, restricted articles, and dangerous materials. Definitions of common terms 

app li cable tr HM are found in 49 CFR I 71.8, Definitions and Abbreviations. 

We shall not use or allow any crewmember or person to perform or directly supervise any job 

function in fhe Trai~i~~ Reference Table (Part Two), u~less that perso_n ~as satisfactorily completed 

our F AA-awproved Initial or recurrent hazardous matenals program w1thm the past 24 months. 

Exceptionsjfor new hires, persons performing a new job function, and persons who work for more 

than one certificate holder are specified in 14 CFR 121.1005(b) and (c) or 135.505(b) and (c). An 

I exception fbr operations in foreign locations is specified in 14 CFR 121.1005(£) or 135.505(£). 

The notice lequired by 49 CFR 175.25 shall be prominently displayed at all facility locations 

where passfngers are ticketed, boarded, and/or baggage is checked. The notice required by 49 

CFR 175.2p shall be prominently displayed at each facility locations where cargo is accepted. 

At passengrr terminals where both passenger and cargo notices would be required, the use of 

only the 49!CFR 175.25 notice is allowed. 

Each repai station performing work for or on our behalf shall be notified in writing of our 

policies pehaining to hazardous materials (14 CFR 121.1005(e) or 135.505(e)). This notification 

requiremeJt only applies to repair stations that are regulated by 49 CFR Parts 171-180. (See 

Appendix E) 

GENERAL-1 
(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

PART ONE 

HAZARDOUS MATERIALS OPERATIONS MANUAL 

I. ACCEPTANCE PROCEDURES 

Persons (shippers) offering Hazardous Materials (HM) for air transportation are responsible for 

properly identifying, describing, classifying, packaging, marking, and labeling the materials as 

required by either 49 CFR or ICAO. They are also responsible for properly completing the 

communications and packaging requirements prior to offering the shipment for transportation. 

Employees, agents, and contract employees may rely on the certification and information 

provided by the shipper to determine if the HM shipment is authorized for air transportation. All 

employees, agents, and contract employees responsible for the acceptance of cargo or baggage 

shall be provided a trigger list of indicators of undeclared HM to assist them in their review. (See 

Appendix A, Hidden Shipment Indicators) 

Domestic shipments may be offered in compliance with either 49 CFR or ICAO requirements. 

The shipper chooses which regulations to use and the chosen regulations must be complied in 

their entirety. Shipments following ICAO must also comply with 49 CFR 171.11. 

If the shipment is offered in accordance with ICAO, the accepting employee, agent, or contract 

employee must also ensure that the shipper has complied with all applicable US Variations to the 

ICAO Dangerous Goods Table. 

A checklist (See Appendix F, Acceptance Checklist) will be used and will include all 

reasonable steps to ensure that: 

• any package containing HM which is damaged or leaking shall be refused without any 

further processing; 

• the material is properly described on the shipping papers; 

• the required certification is on the shipping papers; 

• the authorized package is marked and labeled as required; 

• the shipment is authorized to be transported by aircraft in the condition offered; and 

• emergency response information accompanies the shipment. 

A. Shipping Documents and Certification 

1. If Offered Under Title 49 CFR: The proper shipping name for each HM is found in 

49 CFR 172.101, the Hazardous Materials Table (HMT). The basic description must 

include the proper shipping name (supplemented with the technical name(s), if required) 

found in Column 2, the hazard class or division prescribed in Column 3 along with any 

subsidiary hazard class or division as in Column 6, the identification number prescribed ' 

in Column 4, and the packing group in roman numerals prescribed in Column 5. This 

basic description must be in proper sequence. "Cyclobutyl chloroformate, 6.1, (8, 3), 

UN2744, PG II" 

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Alterlatively, the basic description may be shown with the identification number listed 

first. t'UN2744, Cyclobutyl chloroforrnate, 6.1, (8, 3), PG II" 

Liste~ next is the total quantity of the material by weight or volume and type of 

pacdging. The emergency response telephone number and additional entry requirements 

folio~ the basic description and quantity when required. The shipper's certification must 

appeJr on the shipping document and be signed by a representative of the shipper. 

2. If hrrered Under ICAO: HM must.be accurately described on the dangerous goods 

transport document by its proper shipping name (supplemented with the technical 

namd(s) if required), class or when assigned- division, any assigned subsidiary hazard 

classl~r division nu~ber(s), UN number, an~ t~e appropriate pa?kin~ group. These four 

elemfnts of the basic dangerous goods descnpt10n must be provided m the proper 

sequ~nce. In addition to the basic dangerous goods description, the following 

information must be included on the dangerous goods document: total quantity of HM 

coveted by the description of each item of HM bearing a different proper shipping name, 

UN dumber or packing group, the number and type of packaging, and packing . 

instr~ctions. The emergency response telephone number and additional entry I 

requ1rements follow the basic description and quantity. "Acetyl chloride, 3 (8), 

UN*17, II" 

Alte~atively, the basic description may be shown with the identification number listed 

first. "UN1717, Acetyl chloride, 3 (8), II" 

3. If Offered Under 49 CFR or ICAO: Two copies of the shipping papers must be 

prov1ided with the shipment. One copy must accompany each shipment, and one copy 

must be retained for one (1) year after the shipment is accepted. Shipping papers must be 

madf available to an authorized official upon request. For a hazardous waste, each 

shipping paper copy must be retained for three years after the material is accepted. Each 

shipping paper copy must include the date of acceptance. 

I 

B. 1\ilarking 

Thejproper shipping name and identification number appearing on the shipping paper shall 

also be marked on the outside of the package, outside container, or overpack. The name and 

add ess of either the consignee or consignor must also be marked on each package. Packages 

containing liquid hazardous materials must be legibly marked/labeled on two opposite 

vertfcal sides of the package with the orientation arrows pointing in the correct upright 

dire

1

ction, unless otherwise excepted. Any additional marking requirements specified in 49 

CF!f. required for the package or material being shipped must be met (e.g., specification 

package marking, overpack marking, limited quantity, etc.). (See 49 CFR Part 172, Subpart D) 

C. Labeling 

PriJr to offering HM for shipment, the package must be properly labeled. Labels are a 

prirlted hazard warning. Labels will identify primary and subsidiary hazards specific to the 

material. They also identify handling instructions. 

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(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

The labeling requirements are found in 49 CFR Part 172, Subpart E. Acceptance personnel 

shall verify that the outside of the package is labeled with the appropriate label(s) from 

Column 6 of the HMT. Additional handling labels may be required. The "Cargo Aircraft 

Only" label will be affixed to packages containing a quantity of HM that may be shipped 

only on cargo aircraft or are forbidden for transport on passenger aircraft but are permitted 

for transport on cargo only aircraft per Columns 9A and 9B of the HMT in Part 172. 

The hazard classes are: 

Class 1- Explosives (See 49 CFR 173.50) 

Class 2- Flammable Gas (See 49 CFR 173 .115) 

Class 3- Flammable Liquids (See 49 CFR 173 .120) 

Class 4- Flammable Solids (See 49 CFR 173.124) 

Class 5- Oxidizers and Organic Peroxides (See 49 CFR 173.127 and 173 .128) 

Class 6- Toxic and Infectious Substances (See 49 CFR 173.132 and 173 .134) 

Class 7- Radioactive Materials (See 49 CFR 173.403) 

Class 8- Corrosive Materials (See 49 CFR 173.136) 

Class 9- Miscellaneous (See 49 CFR 173.140) 

ORM-D- Other Regulated Materials (See 49 CFR 173, 144) 

Markings and labels identifying handling instructions are: 

"Cargo Aircraft Only" label (See 49 CFR 172.402) 

"Magnetized Material" label (See 49 CFR 173.2l(d) CJ.nd the ICAO Dangerous Goods List 

for magnetized materials) 

Unless excepted, orientation markings/labels are required on packages containing liquids 

(ji) (See 49 CFR 172.312). 

These markings and labels are depicted on the Hazardous Materials Marking, Labeling & 

Placarding Guide. (See Appendix B, DOT Chart) 

D. Placards 

Unit Loading Devices (ULD's)/freight containers over 640 cubic feet capacity containing 

HM, must be placarded in accordance with 49 CFR 172.512(a). ULD's/freight containers 

less than 640 cubic feet capacity containing HM must either be placarded or labeled in 

accordance with 4 9 CFR 1 72. 512(b). 

E. Rejection of Non-Compliant HM 

Non-compliant HM shipments shall be rejected and segregated from all other cargo 

shipments to prevent accidental introduction into the transportation system. A record of' 

rejected shipments should be maintained. Any shipment not in compliance must be properly 

disposed of or corrected in accordance with the HMR for further transportation. 

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I 

II. COMPA~Y MATERIALS (COMAT) 

COMA T is art industry term developed and used by certificate holders and is generally used to 

I 

describe a wide array of company materials including replacement items for installed equipment 

and consumalhle materials. (See Appendix C, Hazardous Materials Onboard Aircraft) I - A. Shipping I Transporting of CO MAT 

All COMA T ~hall be evaluated and identified by its hazardous or non-hazardous classification. 

All necessary/measures to ensure that the HM COMAT is transported in full compliance ofthe 

Hazardous M/aterial Regulations (HMRs) shall be taken. The offering ofHM COMAT is a 

shipper function under the HMRs. Shipper's responsibilities include classifying, documenting, 

declaring, m~king, labeling, and packaging a HM shipment. These responsibilities apply to all 

HM COMA 1j' shipments for any mode of transportation. Anyone who accepts or carries its own 

HM COMA 1i' is considered a transporter under the HMRs. The offering and acceptance functions 

should be acdomplished by separate employees. Employees, agents, and contractors who 

prepare and/Jr offer HM shipments for transportation must receive additional function-specific 

training to sa~isfy all of the requirements for shippers under 49 CFR Part 172, Subpart H. 

B. HM CO+AT Exceptions (49 CFR 175.8) 

There are tiujee exceptions to the transport ofHM COMAT. 

• When an operator transports its own replacement items (spares, COMAT), they can utilize 

packagings Specifically designed for the transport of the aircraft spares and supplies provided 

that such padkagings have at least an equivalent level of protection as required by the HMRs. 

• When an o~erator transports its own replacement items (spares, COMA T), aircraft batteries 

are not subjdct to the quantity limitations such as those in 49 CFR 172.101 and 175.8(a)(3). 

• Tires that ~re inflated to a pressure not greater than their rated inflation pressure, are not 

subject to tt requirements of the HMRs. (See 49 CFR 172.307) 

All COMA T received from Repair Stations and Parts Suppliers shall be scrutinized to determine 

if the material is HM before introducing it into the transportation system. 

I 

III. LOADING I STOW AGE I HANDLING PROCEDURES 

No employ~e, agent, or contract employee, unless trained in this function, may load or transport 

aboard an aircraft any HM unless the shipment has met acceptance and packaging requirements, 

and the Pildt-In-Command notification has been completed (See 49 CFR 175.30 and 175.33). 

A. Storage/Incidental to Transport/Movement 

Title 49 C~R Part 171.1 contains information designed to clarify and define the applicability of 

the HMRs regarding persons and functions. Included in this section under Transportation 

Functions qnL1(c)(4)), is further information on the Storage Incidental to Transport/Movement. 

It defines the term and clarifies that Storage Incidental to Transport/Movement does not include 

storage of~ HM once it has arrived at its final destination as shown on the transport document. 

1-4 
(Certificate Name and Number X:XXXX:XX (if desired) April 2006 Change 1) 

B. Stowage and Segregation 

For stowage on an aircraft, in a cargo facility, or at any other area at an airport designated for the 

stowage of HM, packages containing HM which might react dangerously with one another may 

not be placed next to each other or in a position that would allow a dangerous interaction in the 

event of leakage. At a minimum, the segregation instructions prescribed in the Segregation 

Table below must be followed to maintain acceptable segregation between packages containing 

HM with different hazards. The Segregation Table instructions apply whether or not the class or 

division is the primary or subsidiary risk. (See 49 CFR 175.78) 

Section 175.78(c) Instructions for using the Segregation Table are as follows: 

(1) The dashes at the intersection of a row and column indicate that no restrictions apply. 

(2) The letter "X" at the intersection of a row and column indicates that packages containing 

these classes of hazardous materials may not be stowed next to or in contact with each 

other, or in a position which would allow interaction in the event of leakage of the 

contents. 

(3) Note 1. "Note 1" at the intersection of a row and column means the following: 

(i) For explosives in compatibility groups A through K and N-

(A) Packages bearing the same compatibility group letter and the same division 

number may be stowed together. 

(B) Explosives of the same compatibility group, but different divisions may be 

stowed together provided the whole shipment is treated as belonging to the 

division having the smaller number. However, when explosives of Division 

1.5 Compatibility Group D, are stowed together with explosives of Division 

1.2 Compatibility Group D, the whole shipment must be treated as Division 

1.1, Compatibility Group D. 

(C) Packages bearing different compatibility group letters may not be stowed 

together whether or not they belong to the same division, except as provided 

in paragraphs (c)(3)(ii) and (iii) ofthis section. 

(ii) Explosives in Compatibility Group L may not be stowed with explosives in other 

compatibility groups. They may only be stowed with the same type of explosives in 

Compatibility Group L. 

(iii) Explosives of Division 1.4, Compatibility Group S, may be stowed with explosives 

of all compatibility groups except for Compatibility Groups A and L. 

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(Certificate lame and Number XXXXXXX (if desired) April 2006 Change I) 

(iv) Othe} than explosives of Division 1.4, Compatibility GroupS (see paragraph I 

(c)(3)(iii) of this section), and Compatibility Groups C, D and E that may be stowed 

toget~er, explosives that do not belong in the same compatibility group may not be 

stowed together. 

(A)jAny combination of substances in Compatibility Groups C and D must be 

assigned to the most appropriate compatibility group shown in Sec. 172.10 I 

Tab1le ofthis subchapter. 

(B) /Explosives in Compatibility Group N may be stowed together with explosives 

in Gompatibility Groups C, D or E when the combination is assigned 

Cmhpatibility Group D. 

( 4) Note 2. "lNote 2" at the intersection of a row and column means that other than 

explosives of Division 1.4, Compatibility Group S, explosives may not be stowed 

together jwith that class. 

(5) Package~ containing hazardous materials with multiple hazards in the class or divisions, 

which re~uire segregation in accordance with the Segregation Table need not be 

segregated from other packages bearing the same UN number. 

(6) A packate labeled "BLASTING AGENT" may not be stowed next to or in a position that 

will allot contact with a package of special fireworks or railway torpedoes. 

Poisons: Packages bearing the Poisonffoxic or Infectious substance label may not be stowed 

in a ground facility or transported in the same compartment of an aircraft with material 

known to bd foodstuffs, feed, or any other edible material intended for consumption by 

humans or timals unless loaded in separate ULD's which are not adjacent to each other. 

Radioactiv. Materials (RAM): While in transport or storage, no more than 50.0 Transport 

Index (TI) o!f RAM may be stored in any one group of packages. Any group of packages 

containing ~0.0 TI must be separated from any other package or group of packages 

containing RAM by a distance of 20 feet. No package or group of packages may be placed 

in a positiorl that is closer to that position which may be continuously occupied by people or 

animals or 16 undeveloped film than the distances allowed in 49 CFR Parts 175.701, 175.702, 

and 175.70t:>. 

C: Pre-Boa,rd Inspection 

General In~pection- No employee, agent, or contract employee shall load any package, 

outside container, or overpack containing HM aboard an aircraft, into a freight container, or 

onto a palle~ prior to loading it aboard an aircraft unless immediately before doing so that 

person has rnspected the exterior of the package, outside container, or overpack and 

determined jthat it has no holes, leakage, or other obvious indications that its integrity has 

been comprpmised. The pre-board inspection is not required for shipments of dry ice (C02 

solid), magnetized materials, or freight containers of ORM-D-AIR materials packaged by, 

and offered,by, a single shipper. (See 49 CFR 175.30) 

Unit Load IDevices (ULDs) containing HM must be inspected for damage or leakage prior to 

being loade~ on the aircraft. (See 49 CFR 175.88) Packages, overpacks, or ULDs containing 

HM must be inspected after being unloaded from the aircraft. Any evidence of leakage or 

damage requires further inspection of the aircraft and the ULD (if applicable) where the HM 

was stowe~. (See 49 CFR 175.90) 

1.6 
(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

Radioactive Materials (RAM) 

Radioactive Contamination -Aircraft used routinely for the transport of Class 7 

(radioactive) materials shall be periodically checked for radioactive contamination. If the 

level of contamination exceeds 0.5 millirem per hour the aircraft must be taken out of service 

and may not again be placed in service or routinely occupied until the radiation dose rate at 

any accessible surface is less than 0.5 millirem per hour and there is no significant removable 

radioactive surface contamination. ( 49 CFR 175. 705) 

Separation Distances for Animals- The separation distance between the surfaces of all 

Radioactive Yellow II and Yellow-III packages, overpacks, or freight containers must be 

separated from live animals by a distance of at least 0.5 meters(20 inches) for journeys not 

exceeding 24 hours and at least 1.0 meters (39 inches) for journeys longer than 24 hours. ( 49 

CFR 175.701-702) 

Passenger Aircraft - In addition to any other requirement, packages requiring a radioactive 

Yell ow II or III label must meet the following loading requirements: 

1) The RAM must be intended for use in, or incident to, research or medical diagnosis or 

treatment as indicated by the shipper's certification required by 49 CFR 172.204©( 4). 

2) No single package carried by a passenger carrying aircraft may exceed a transport 

index (TI) of 3.0. The combined TI and combined critical index of all the packages on 

the aircraft may not exceed 50. 

3) Each package must be loaded and carried on the ajrcraft in accordance with the 

separation distance or approved pre-designated area system specified in 49 CFR 175.701 

and be secured so as to prevent any movement in flight which would damage or change 

the orientation of the package. 

Cargo-Only Aircraft - In addition to any other requirement, packages requiring a 

radioactive Yellow II or III label must meet the following loading requirements: 

1) No single package carried on a cargo-only aircraft may exceed a TI of I 0.0. The 

combined TI of all the packages on the aircraft may not exceed 200. The combined 

critical index of all the packages on the aircraft may not exceed 50 on non-exclusive use 

cargo aircraft, or I 00 on exclusive use cargo aircraft of fissile material (additional 

instructions must be developed by both shipper and carrier) 

2) The total TI of all of the packages loaded on the aircraft does not exceed 200.00 and 

each package is loaded and carried on the aircraft in accordance with the separation 

distance of 49 CFR 175.702 and be secured so as to prevent any movement in flight 

which would damage or change the orientation of the package. 

3) The TI for any group of packages cannot exceed 50.0 and each group must be 

separated by at least 20 feet from any other as measured from the outer surface of each 

group. For purposes of this paragraph, the term "group of packages" means packages 

that are separated from each other in aircraft by a distance of 20 feet or less. 

1-7 
I 

I 

(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

Quantity antl Loading Table 

I PASSENGER AIRCRAFT 

Packages Authorized for Transport Onboard a Passenger Aircraft 

In an accessible cargo compartment 

If packages are accessible 

I 

If packages are inaccessible If packages are in a freight container 

No lim'it. .......................... 25 kg per compartment plus an additional 75 kg of Division 2.2 material 

I r packages are not in a freight container If packages are in a freight container 

25 kg per container plus an additional 75 25 kg per compartment plus an additional 75 kg of Division 2.2 

kg of Divisionl2.2 material material 

I 

CARGO ONLY AIRCRAFT 

Packages Authorized for Transport On board a Passenger Aircraft 

I In an accessible cargo compartment 

If padkages are accessible 

I 

If packages are inaccessible If packages are in a freight container 

No liTt. .......................... 25 kg per compartment plus an additional 25 kg per container plus an additional 75 

75 kg of Division 2.2 material kg of Division 2.2 material 

I In an inaccessible cargo compartment 

I If packages are not in a freight container If packages are in a freight container 

25 kg per compartment plus an additional 75 kg of Division 2.2 25 kg per compartment plus an additional 75 kg of Division 2.2 

Material 

Material 

Packages Only Authorized for Transport Aboard a Cargo Aircraft 

I In an accessible cargo compartment 

If package!s are If packages are inaccessible If packages are in a If packages are in a freight container and 

accessible freight container are inaccessible 

and are accessible 

No limit... ... ·········· Forbidden ..................................... . .... No limit. ........... Forbidden ........................................... 

Except the following materials are not Except the following materials are not 

subject to this restriction: subject to this restriction: 

a. Class 3, PG Ill (unless the hazardous a. Class 3, PG Ill (unless the hazardous 

material meets the definition of material meets the definition of another 

another hazard class) hazard class) 

b. Class 6, (unless also labeled as a b. Class 6, (unless also labeled as a 

flammable liquid) flammable liquid) 

c. Class 7, (unless the hazardous c. Class 7, (unless the hazardous 

material meets the definition of material meets the definition of another 

another hazard class) hazard class) 

I In an inaccessible cargo compartment 

If packages are not in a freight container If packages are in a freight container 

Forbidden .. ~ ...... ··' ............................................................ Forbidden ... ............................................................. ..... 

Except the following materials are not subject to this restriction: Except the following materials are not subject to this restriction: 

a. Class 3, PG Ill (unless the hazardous material meets the a. Class 3, PG Ill (unless the hazardous material meets the 

definition o~ another hazard class) definition of another hazard class) 

b. Class 6, (unless also labeled as a flammable liquid) b. Class 6, (unless also labeled as a flammable liquid) 

c. Class 7, (unless the hazardous material meets the definition c. Class 7, (unless the hazardous material meets the definition 

of another ~azard class) of another hazard class) 

Note: No libitations apply to Class 9 or ORM-D-AIR aboard an aircraft. 

(See 49 CFR 175. 75) 1-8 
(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

Orientation and Securing of HM Packages - A package containing HM marked or labeled 

to indicate proper orientation will be loaded and secured in accordance with such markings or 

labels. Liquid HM without such markings will be loaded and secured with closures up. HM 

packages will be secured to prevent any movement in flight that would result in damage to or 

change in orientation of the packages. (See 49 CFR 175.88) 

HM Location and Quantity Limitations Aboard Aircraft 

No HM package may be carried in the cabin of a passenger-carrying aircraft or on the flight 

deck of any aircraft. HM may be carried in a main deck cargo compartment of a passenger 

aircraft provided that the compartment is inaccessible to passengers and that it meets all 

certification requirements for a Class B aircraft cargo compartment in 14 CFR 25.857(b) or 

for a Class C aircraft cargo compartment in 14 CFR 25.857(c). 

Cargo-Only Aircraft (CAO) Packages 

Each CAO package must be loaded in such a manner that a crew member or other authorized 

person can see, handle, and when size and weight permit, separate such packages from other 

cargo during flight. See 49 CFR 175.75(e) for exceptions to this requirement. 

D: Emergency Response Information 

A HM shipment shall not be accepted without emergency response information immediately 

available. Emergency response information means information that can be used in the 

mitigation of an incident involving HM. This information may come in the form of a North 

American Emergency Response Guidebook (ERG), Material Safety Data Sheet (MSDS), the 

ICAO "Emergency Response Guidance for Aircraft Incidents Involving Dangerous Goods" 

(ICAO Redbook), or equivalent information as provided by the shipper. Emergency 

response information must be immediately available where the HM is received, stored, or 

handled during transportation. Emergency response information must also be immediately 

available onboard the aircraft while HM is being transported. (See 49 CFR 172.600(c) for 

Exceptions) 

An emergency response telephone number shall be provided on the shipping document 

offered with HM packages. See 49 CFR 172.604(c) for additional information on when an 

emergency response telephone number is not required. The ERG can be ordered or 

downloaded at: http://hazmat.dot.gov/pubs/erg/gydebook.htm. 

IV. PILOT-IN-COMMAND NOTIFICATION 

The Pilot-In-Command (PIC) must be given accurate and legibly written information as early as 

practicable before departure regarding the HM proper shipping name, hazard class, identification 

number, packing group, total packages, and net quantity or gross weight for each HM, location 

aboard the aircraft, confirmation that no damage or leaking packages have been loaded. For 

RAM, the number of packages, overpacks, or ULD's/freight containers, category, transport index 

(if applicable), and their location aboard the aircraft are required. (See 49 CFR 175.33) 

The date of the flight must be listed and the telephone number of a person not aboard the aircraft 

from whom the information contained in the notification of the PIC can be obtained must be 

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(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

included on tL notification unless the number is in a location in the cockpit that is available and 

known to thejflight crew. (See 49 CFR 175.33(a)(7-8)) 

A copy of ea<i:h notification of pilot-in-command must be retained at the airport of departure or 

the operator'J principal place of business for 90 days. This information must be readily 

accessible at the airport of departure and the intended airport of arrival for the duration of the 

flight leg and make this information immediately available to any representative of a Federal, 

State or local government agency who is responding to an incident involving the flight. (See 49 

CFR 175.33(f)) 

If the PIC loads the aircraft, that individual must perform the pre-board inspection required. If 

someone othbr than the PIC loads the aircraft and conducts the pre-board inspection, that person 

shall providejthe PIC with written notification. A copy of the PIC notification must be readily 

available to the PIC during flight. Emergency response information concerning HM on board I 

must be available to the PIC. (See 49 CFR 172.602 (c)(1)) 

v. SPECIAL FLIGHTS I SPECIAL PERMITS (EXEMPTIONS) 

Specific reqJirements for the transport of flammable liquid fuel when other means of 

transportatioh are impracticable, on small passenger-carrying aircraft operating within the State 

of Alaska or/into a remote area, in other than scheduled passenger operations, and on a cargo 

aircraft, is authorized only when the provisions of 49 CFR 175.310 are met. Operations covered 

by 175.310 ~equire additional conditions and limitations to be accepted by our FAA POI with· 

coordination! from the FAA Hazardous Materials Office (49 CFR 175.31 O(e)). 

Flights madJ under the provisions of a DOT Special Permit (Exemption) or approval must 

comply witH the conditions specified in the Special Permit or approval. 

Any approvJd Special Permit or approval shall be retained as an Appendix to this manual. 

InformatioTregarding the exception for aerial dispensing or expending of HM may be obtained 

from the F POI with coordination from the FAA Hazardous Materials Office. (See 49 CFR 

175.9) 

VI. HM E~CEPTIONS FOR PASS ENGER AND CREW MEMBERS 

Certain mat~rials that are normally regulated as HM are excepted from the HMR. A summary of 

commonly Jtilized exceptions of this regulation are provided in this section. All available 

exceptions Jre listed in 175.10 to include matches/lighters, implanted medical devices and 

radiopharmlceuticals, alcoholic beverages, butane powered curling irons, small thermometers, 

small arms ~mmunition, dry ice, self inflating life jacket, compressed gas for medical limbs, and 

electrically powered heat producing articles. A current copy of Title 49 CFR Part 175 or a 

printout ofthe applicable sections from the internet will be maintained for reference. 

http://ecfr.gpoaccess.gov or http://hazmat.dot.gov 

1-10 
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A. HM Carried by Passenger or Crew Members 

Personal use items carried by passenger or crew members are allowed under the following 

conditions: 

1) Non-radioactive medicinal or toiletry articles (including aerosols) may be carried in 

checked or carry-on baggage. 

2) Any Division 2.2 aerosol with no subsidiary risk and a protective cap (checked 

baggage only). 

3) The aggregate quantity of all HM items carried by each person allowed in 1-2 above 

may not exceed 70 oz. (2 kg) by mass or 68 fl. oz. (2 L) by volume. Each individual 

container cannot exceed 18 oz. (0.5 kg) by mass or 17 fl. oz. (500 ml) by volume. 

4) One self-defense spray not exceeding 4 fl. oz. that incorporates a positive means to 

prevent accidental discharge (checked baggage only). 

B. Acceptance of Wheelchair I Mobility Aids 

Battery-powered wheelchairs/mobility aids can be accepted as baggage. 

Wheelchairs/mobility aids will NOT be transported if it exhibits evidence of previous 

leakage or damage. Wheelchair batteries are either "spillable" or "non-spillable". 

1) Non-Spillable Batteries in a Wheelchair I Mobility Aid 

Non-Spillable batteries may be accepted for transport with the battery attached when 

properly prepared for shipment. 

• The battery must be disconnected and terminal and end cables are insulated to 

prevent short circuits. 

• The battery must be securely attached to the wheelchair/mobility aid. 

• A visual inspection must not reveal any obvious defects. 

• Batteries manufactured after September 30, 1995, must be marked on the 

outside of the battery case, "NON-SPILLABLE" or "NON-SPILLABLE 

BATTERY." 

If the wheelchair/mobility aid cannot be loaded/stowed in an upright position, it is 

advisable that the battery be removed and terminals are insulated to prevent short 

circuits. 

2) Spillable Batteries in a Wheelchair I Mobility Aid 

Spillable batteries may be accepted for transport with the battery attached when 

properly prepared for shipment. 

• The battery must be disconnected and terminal and end cables are insulated to 

prevent short circuits. 

• The battery must be securely attached to the wheelchair/mobility aid. 

• A visual inspection must not reveal any obvious defects. 

• The wheelchair/mobility aid must be loaded, stowed, secured, and unloaded in 

an upright position (If this cannot be accomplished the battery must be removed). 

• The Pilot-in-Command must be advised either orally or in writing prior to 

departure as to the location ofthe spillable battery aboard the aircraft. 

1-11 
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3) Batt . ry Removal · 

If a b~ttery is removed from the wheelchair/mobility aid, the removal must be 

performed by qualified airline personnel only. The battery must be transported in 

strong, rigid packaging under the following conditions: 

• The packaging must be leak-tight and·impervious to battery fluid. An inner liner I 

may be used to satisfy this requirement if there is absorbent material placed inside 

ofth~ liner and the liner has a leakproof closure; 

• Thcl battery must be protected against short circuits, secured upright in the 

pack~ging, and be packaged with enough compatible absorbent material to 

comJ,letely absorb liquid contents in the event or rupture of the battery; and 

• ThJ packaging must be labeled with a CORROSIVE label, marked to indicate 

prop6r orientation, and marked with the words "Battery, wet, with wheelchair;" 

I 

C. Lithium Batteries 

P~rsonal use consumer electronic and medical devices (watches, calculators, cameras, 

cellular phones, lap-top computers, camcorders, hearing aids, etc.) containing lithium 

cells or batteries, and spare lithium batteries and cells for these devices, are allowed in 

ch1

ecked or carry-on baggage. Each installed or spare lithium battery must confirm to the I 

following: 

• 'irhe lithium content of the anode of each cell, when fully charged, is not be more than 

5d;and 

• fhe aggregate lithium content of the anodes of each battery, when fully charged, is 

not more than 25g. 

VII. REP AIR STATION NOTIFICATION 

Each repair Jstation regulated under 49 CFR Parts 171-180 performing work for or on our behalf 

must be notified in writing of our policies and operation specifications pertaining to its "Will 

Carry" HM !status in accordance with 49 CFR 121.1 005(e) or 135.505(e). It is acceptable to 

notify all repair stations our HM policies and operation specifications. 

Each repair !station must acknowledge receipt of the above notification. A record of the 

acknowledgement receipt should be kept together with the notification. (See Appendix E, 

Repair Stahon Notification) 

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(Certificate Name and Number XXXXXXX (if desired) April 2006 Change I) 

VIII. NOTIFICATION OF HM INCIDENTS, DISCREPANCIES AND REQUIRED REPORTS 

A. Reporting of Incidents (See 49 CFR 171.15) 

1) A HM incident shall be reported, as soon as practical but no later than 12 hours after the 

occurrence the incident, by telephone to the National Response Center (NRC) at 800-424-

8802 (toll free) or 202-267-2675 or electronically at http://hazmat.dot.gov/spills.htm. Notice 

involving an infectious substance may be given to the Director, Centers for Disease Control 

and Prevention at 800-232-0124 (toll free) in place of the notice to the NRC. This includes 

incidents that occur during the course of transportation (including loading, unloading, or 

temporary storage) in which: 

a) A person is killed; or 

b) A person receives injuries requiring hospitalization; or 

c) An evacuation of the general public occurs lasting one or more hours; or 

d) One or more major transportation arteries or facilities are closed or shut down for one hour 

or more; or 

e) The operational flight pattern or routine of an aircraft is altered; or 

f) Fire, breakage, spillage, or suspected radioactive contamination occurs involving shipment 

of RAM; or 

g) Fire, breakage, spillage, or suspected contamination occurs involving shipment of 

infectious substances (etiologic agents); or 

h) A situation exists of such a nature (e.g., a continuing danger to life exists at the scene of the 

incident that, in the judgment of the carrier, it should be reported to the NRC even though it 

does not meet the criteria of paragraph l)(a) thru (g) ofthis section. 

2) Radioactive Materials (RAM) - In addition to the notification to the NRC, a notification 

must be made at the earliest practicable moment to the shipper of the RAM involved in 

the incident. 

3) Filing an Incident Report (See 49 CFR 171.16) A report shall be submitted on DOT 

Form F 5800.1 (01-2004), within 30 days of the date of discovery, for each incident that 

occurs during the course of transportation (including loading, unloading, or storage, 

incidental thereto) in which any of the circumstances set forth in 49 CFR 171.15(b) 

occurs, there has been an unintentional release of hazardous materials from a package or 

quantity of hazardous waste has been discharged during transportation, or undeclared 

hazardous materials are found in cargo or baggage. 

Exception: Undeclared hazardous materials discovered in baggage during the airport 

screening process are not subject to filing a DOT F5800.1. Such items in baggage 

must be reported as a discrepancy per 49 CFR 175.31. (See Section VIII.B) 

A copy ofDOT Form F 5800.1 (01-2004) will be forwarded to: 

a) Information Systems Manager, PHH-63 

Pipeline and Hazardous Materials Safety Administration 

Department of Transportation 

Washington, DC 20590-0001, and 

b) The nearest FAA Security Office in the region of discovery. 

Instructions for completing DOT Form F 5800.1 (01-2004) are included in Appendix D. 

1-13 
(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

B. Reporting of Discrepancies (See 49 CFR 175.31) 

1) In /the event of a discrepancy relative to the shipment of hazardous material following its 

acceptance for transportation aboard an aircraft, notification to the nearest FAA Security 

Offi1e, by telephone or electronically, shall be made as soon as practicable, and shall 

provide the following information: 

a. Ncirne and Telephone number of the person reporting the discrepancy. 

b. Nke of the aircraft operator. 

c. Spfcific location ofthe shipment concerned. 

d. Name ofthe shipper. 

e. Ndture of discrepancy. 

f. Address of the shipper or person responsible for the discrepancy, if known 

2) Pdckages or baggage which are found to contain hazardous materials subsequent to their 

beini offered and accepted as other than hazardous materials (undeclared) must be 

repotted. · 

3) Discrepancies involving hazardous materials which are improperly described, certified, 

label~d, marked, or packaged, in a manner not ascertainable when accepted under 

175.JW(a), must be reported. 

1-14 
(Certificate Name and Number :XXXXX:XX (if desired) April 2006 Change 1) 

EMERGENCY RESPONSE CONTACT LISTS 

National Incident Response Contacts 

NOTES: 

• The North American Emergency Response Guidebook is a valuable. resource to have for handling ' 

HM incidents. http://hazmat.dot.gov/pubs/erg/gydebook.htm · 

• The Emergency Response Telephone number provided on the Dangerous Goods Declaration 

(shipping papers) should be utilized as a resource in a HM incident. 

1-15 
• I 

(Certificate Name and Number XXXXXXX (if desired) I . April 2006 Change I) 

PART TWO 

HAZARDOUS MATERIALS TRAINING PROGRAM 

I. REQUIJMENTS 

No crewmember or person shall perform or directly supervise any hazardous material (HM) job 

function to inblude acceptance, rejection, handling, storage incidental to transport, packaging of 

company ma~erial (CO MAT), or loading of cargo and baggage, unless that person has satisfactorily 

completed oJr FAA-approved initial or recurrent hazardous materials program within the past 24 

months. 

A record of the satisfactory completion of the initial and recurrent hazmat training for each 

individual wilthin the preceding 3 years shall be maintained. These records will be available at the 

location whete the personnel perform such duties, and will be maintained for as long as the 

employee is performing HM duties, and for 90 days thereafter. Training records for all direct 

employees, ipdependent contractors, subcontractors, and any other person who performs or directly 

supervises a HM function must be available upon request. Records may be maintained 

electronicall~ and provided on location electronically. 

The content bfthe HM Training Records must include: 

1. Th1e individuals name, 

2. THe most recent training completion date, 

3. A tlescription, copy or reference to training materials used to meet the training requirement, 

4. THe name and address of the organization providing the training, and 

5. A fOPY of the certification issued when the individual was trained, which shows that a test 

has tleen completed satisfactorily. 

If a person ii utilized under an exception (new hire or new job function) in 14 CFR 121.1 OOS(b) or 

135.505(b), Ia record must be maintained in accordance with 14 CFR 121.1007(d) or 14 CFR 

135.507(d). Exceptions for persons who work for more than one certificate holder are specified in 

14 CFR 121.1005(c) or 135.505(c). An exception for operating at foreign locations is specified in 

14 CFR 121.1005(f),or 135.505(£). 

II. TRAIN NG CURRICULUM & REFERENCE TABLE 

j 

All materials and regulations used in our training curriculum must be current and valid at the 

time of the training. Part 121 and 13 5 hazardous material training requirements can be found I 

online at: http://ecfr.gpoaccess.gov 

Our training program will satisfy the requirements in the Training Reference Table and 49 CFR 

Parts 171 tHrough 180. The training required is based on the functions being performed. Each 

trained per~on will be able to recognize items that contain or may contain regulated hazardous 

materials. t method to answer all questions prior to-testing regardless of the method of instruction 

will be provided. We will certify that each trainee has been satisfactorily tested and verify 

understandlng of the HM regulations and our policies. 

2-1 
(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

Aspects of transport of 

hazardous materials by 

air with 

which they must be 

familiar, as a 

minimum (See Note 1) 

X 

X 

X 

X 

X 

X 

X 

X 

X X X X 

X 

X X X X 

NOTE: The extent of training varies for each person depending on the job function they 

perform. The material shall be covered in such scope and depth as to provide all persons with 

sufficient knowledge of applicable HM regulations and procedures to safely accomplish their 

specific duties. 

2-2 
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III. ASPECt OF HAZARDOUS MATERIALS AIR TRANSPORTATION 

At a minimurh, our hazardous materials training programs will include the following information 

for each aspe/bt of hazardous materials air transportation. 

General Philosophy 

• H~ Training Program-J4 CFR Subpart Z 

• ApP,licable Regulatory Materials 

• Ovdrview of 49 CFR Parts 100-185 

• Use ofiCAO Technical Instructions~ 49 CFR 171.11 

• Use ofiATA Dangerous Goods Regulations 

• Definitions Used in Air Transportation of Hazardous Materials~ 49 CFR 171.8 

• Gerleral Transportation Requirements~ 49 CFR 171.2 

• Trahsport by Aircraft~ 49 CFR Part 175 I 

• TraJning Requirements and Recordkeeping ~ 49 CFR 172.700 

• Enforcement 

• HJ;rdous Materials Security . 

Limitations/ 

• HJardous Materials Forbidden on Aircraft Under any Circumstances 

• Haiardous Materials Forbidden Unless Exempted 

• Hidden Hazardous Materials 

• Ha±ardous Materials Carried by Passenger or Crew 

General Retuirements For Shippers 

• Shjbpers Specific Responsibilities and Compliance to Regulations 

• Ideptify and Recognize HM COMA T 

- Hazardous Materials Onboard Aircraft ~ Appendix C 

I - Replacement Components 

- donsumable Materials 

• SpJ:cific HM COMA T Exceptions~ 49 CFR 175.8 

• FaJility Storage, Safe Movement and Handling Requirements for HM COMA T 

Classificatibn 

• Hjzardous Materials Classification~ 49 CFR 172.101, 173.2, and 173.2(a) 

• Urlacceptable Hazardous Materials~ 49 CFR 172.101, 173.21, and 175.3 

2-3 
(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

List of Hazardous Materials 

• Purpose and Use ofthe Hazardous Materials Tables~ 49 CFR 172.101 

• Proper Shipping Names~ 49 CFR 172.101 and 172.202 

• Hazard Class (Definitions) ~ 49 CFR 172.10 I and 173.50 - 173.144 

• UN/ID Numbers ~ 49 CFR 172.101 and 172.202 

• Packing Group ~ 49 CFR 172.101 and 172.202 

General Packing Requirements 

• Shippers Responsibilities ~ 49 CFR 171.2( e) and 171.12 

• General Packing Requirements~ 49 CFR 173.24, 173.24(a), and 173.27 

• Packing Instructions and Assignments ~ 49 CFR 172.101 and Part 173 

• Small Quantity Exceptions~ 49 CFR 173.4 

• Limited Quantity Exceptions~ 49 CFR 173.150- 173.156 

Labeling and Marking 

• Markings Required on Packages Containing Hazardous Materials ~ 49 CFR Subpart D 

• Labels Required on Packages Containing Hazardous Materials ~ 49 CFR Subpart E 

Hazardous Materials Transport Document and Other Relevant Documentation 

• Shipper's Certification Requirements for Hazardous Materials~ 49 CFR 172.204 

• Shipping Paper Requirements~ 49 CFR 172.200 and 172.201 · 

• Description of Hazardous Materials Required on Shipping Papers~ 49 CFR 172.202 and 

172.203 

• Shipping Papers for Hazardous Materials aboard Aircraft~ 49 CFR 175.33 

Acceptance Procedures 

• Acceptance and Rejection Procedures and Requirements for HM ~ 49 CFR 171.2( e), 

175.3, and 175.30 

• Passenger and Cargo Information Signage Requirements~ 49 CFR 175.25 and 175.26 

• Unit Load Device and Package Inspection~ 49 CFR 175.88 

. Recognition of Undeclared Hazardous Materials 

• Hidden Shipment Indicators ~ Appendix A 

• Suspicious Cargo and Baggage Awareness 

• Hazardous Materials Discrepancy/Incident Reporting~ 49 CFR 171.15, 171.16, 175.31, 

and Appendix D · 

2.4 
Certificate jame and Number XXXXXXX 

Storage and oading Procedures 

• Unit Load Device and Package Inspection~ 49 CFR 175.88 

• Qua_ptity Limitations aboard Aircraft- 49 CFR 175.75 

• Stowage Compatibility~ 49 CFR 175.78 

• Oriebtation of Packages~ 49 CFR 175.88 

• SecJring Packages~ 49 CFR 175.88 

• Lodtion of Packages~ 49 CFR 175.75 

• Daclaged Shipments of Hazardous Materials~ 49 CFR 175.90 

Pilots' NotiJcation 

• Not}fication to Pilot-In-Command~ 49 CFR 175.33 

• Emdrgency Response Information~ 49 CFR Subpart G 

Provisions rL Passenger and Crew 

• Ha~lrdous Material Exceptions~ 49 CFR 175.10 

Emergency ~rocedures 

A ril 2006 Chan e 1 

• Use ofNorth American Emergency Response Guidebook (Cargo Facility I Ground Handling) 

• Us of ICAO Red Book or similar reference (Onboard Aircraft) 

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(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

APPENDIX A 

HIDDEN SHIPMENT INDICATORS 

Cargo and baggage that are offered under a general description might have hazards that are not 

apparent. The Hazardous Materials Table in 49 CFR Part 172 is not complete, and shippers and 

passengers may not be aware of this. Some ofthese consignments have caused incidents that 

could have seriously endangered the safety ofthe aircraft and/or its passengers. 

Please be alert to these possible hazards. Items found containing a hazardous material need to be 

shipped in accordance with the 49 CFR/ICAO Technical Instructions. 

Aircraft Parts/COMA T 

Automobile Parts (car, motor, 

motorcycle) 

Dental Apparatus 

Electrical Equipment 

Electrically Powered 

Household Goods 

Instruments 

May indicate the presence of chemical oxygen 

generators, flammable liquids/solids, corrosives, 

compressed gases, radioactive materials in aircraft 

and accessories or · materials. 

May contain cellulose paints, wet batteries, 

shocks/struts with nitrogen, air bag inflators/air bag 

lHL,UUlv~. etc. 

May contain hazardous chemicals such as resins or 

solvents 

May contain magnetized materials or mercury in 

switch and electron tubes 

May contain wet batteries apparatus (wheelchairs, 

lawn mowers, etc. 

May contain hazardous materials such as paint, 

aero · etc. 

May conceal barometers, manometers, mercury 

switches, rectifier tubes, thermometers containing 

A-1 
Vaccines 

1: Articles which do not fall within the hazardous materials definitions of 49 CFR and 

in the event of leakage, may cause serious cleanup problems or corrosion to aluminum on 

tenh basis, must be checked by the shipper to at least ensure that the packaging is 

to prevent leakage during transportation. These may include brine, powered or liquid 

I pickled foodstuffs, etc. 

2: Magnetized material, as defined in 49 CFR, with a gauss reading of more than 0.00525 

vn.-uvu for air transportation and a package with a reading of0.00525 or less is not 

f'.."+J"-"''"· The ICAO and IAT A Regulations regulate magnetized material with a reading 

h"'1·":"'"''"' 0.002 gauss and 0.00525 gauss, thus requiring a magnetized material label. 

A-2 
(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

APPENDIXB 

DOT CHART 

Hazardous Materials Marking, Labeling & Placarding Guide 

SEE ATTACHED 

This DOT CHART is produced by the Pipeline and Hazardous Materials 

Safety Administration (PHMSA). It can be purchased individually or 

obtained for Free in their Outreach Training Folder labeled, "HAZARDOUS 

MATERIALS SAFETY PACK A." 

The DOT CHARTs and HAZMAT Pack A's can be ordered on-line at: 

https :/ /hazmatonl ine. phmsa.dot. gov /services/pub_ default.aspx 

B-1 
I 

i 

(Certificate ~arne and Number XXXXXXX (if desired) April 2006 Change 1) 

I APPENDIXC I 

I Hazardous Materials Onboard Aircraft 

1. Ba~teries, Aircraft 

2. En~ine Oil (as hazardous waste) 

3. EsJ.pe Slides/Life Rafts 

4. Fir~ Bottles (APU, engines, lower 

cargo standard: each attendant station 

and Ikvatory) compartment, and lavatory 

wast~ containers) 

5. Fi~e Extinguishers (attendant stations, 

close~s, galleys, etc.) 

11. Oxygen Bottles, Crew System, Gaseous 

12. Oxygen Bottles, Passenger System, 

Gaseous (Standard) 

13. Oxygen Generators (optional: each PSU 

14. Rain Repellant 

15. Refrigerant (located in each galley) 

16. Smoke Hoods 

6. Fubt 17. Tritium Radioactive Signs (aisle and 

-/ emergency exit doors) 

7. H~draulic Fluid, Reservoirs (as hazardous 

waste) 18. 

8. uJrnium (depleted, counte<-ba\ance weights) 19. 

9. 01dnance Devices (off-wing escape) 20. 

10. Oxygen Bottles, Portable, Gaseous 

m 

C-1 
(Certificate Name and Number X:XXXXXX (if desired) April 2006 Change 1) 

APPENDIXD · 

Hazardous Materials Incident Report: DOT Form F 5800.1 (01-2004) 

Includes Guide for Preparing Hazardous Materials Incidents Reports 

SEE ATTACHED 

DOT Form F 5800.1 can now be reported on-line to the DOT. The form can 

then be printed out and faxed, mailed, or emailed to your local FAA HM 

Field Office meeting the requirements of air incidents in 49 CFR 171.1.6. 

For assistance in completing the Incident Report Form 5800.1 or any 

questions regarding the incident reporting requirements, please call the 

Hazardous Materials Information Center at 800-467-4922. You may also send 

your question in by email (hmis@dot.gov). 

http:/ /hazmat. dot. gov/enforce/spills/spills .htm 

D-1 
(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

APPENDIXE 

Notification of Hazardous Material Policies and Operation Specifications 

Date: 

To: 

From: 

(nje of certificate holder) is hereby notifying you of our policies and operation 

specilfications concerning the transport ofhazardous materials. This notification is conducted in 

accoLance with the requirements of 14 CFR, Parts 121.1005(e) or 135.505(e). In accordance with 

14 C R 145.206(a), you are required to acknowledge receipt of this notification back to us. 

--+---.,.------has an FAA approved Will-Carry HM Program as follows: 

(naje of certificate holder) will accept and transport all properly declared and packaged 

haza~dous materials. 

(nde of certificate holder) will accept and transport properly declared and packaged 

hazardous materials COMAT only. 

(n~Je of certificate holder) will accept and transport all properly declared and packaged 

hazJrdous materials with the following exceptions: none 

E-1 
(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

APPENDIXF 

on-Radioactive 

ACCEPTANCE CHECKLIST Non-Radioactive 

APPENDIX F APPLIES IF THE OPERATOR ELECTS TO 

ACCEPT AND TRANSPORT HAZARDOUS MATERIALS USING 

"TECHNICAL INSTRUCTIONS" IN ADDITION TO 49 CFR 

HAZARDOUS MATERIALS REGULATIONS 

F-1 
(Certificate N"ame and Number XXXXXXX (if desired) April 2006 Change 1) 

2007 

bANGEROUS GOODS CHECKLIST FOR A NON-RADIOACTIVE SHIPMENT 

The recJmmended checklist appearing on the following pages is intended to verify shipments at origin. 

Never a6cept or refuse a shipment before all items have been checked. 

Is the fdllowing information correct for each entry? I 

SHIPPE'RS DECLARATION FOR DANGEROUS GOODS (DGD) 

1. rlo copies in English and in the IAT A format [8.1.1, 8.1.2] ...................................... . 

2. FJn name and address of Shipper [8.1.6.1]... ........... ... ................. .. ................ . 

3. FJn name and address of Consignee [8.1.6.2] ........ .. 

4. If I he Air Waybill number is not shown, enter it. [8.1.6.3].... .. .......................................... .. 

5. T~e number of pages shown [8.1.6.4] .. .. .... . .. .. .. .. .... .. .. . .... .. .. .. .. .... ..... . .............. .. 

6. If full name of Airport or City of Departure or Destination IS not shown, enter it [8 1 6.6 and 8 1.6 7] .. .. 

7. T~e non-applicable Aircraft Type deleted [8 1 6.5] . . ... .. . . . . . .. . 

8. T~e word "Radioactive" deleted [8 1.6 8]. ... ... ...... .. . . ... .. . 

Identification 

9. UN or ID Number, preceded by prefix [8.1.6.9.1, Step 1] .......................................................................... .. 

10. Ptoper Shipping Name and the technical name in brackets for asterisked entries [8.1.6.9.1, Step 2] ...... . 

11. class or Division, and for Class 1, the Compatibility Group, [8.1.6.9.1, Step 3] ........................................ . 

12. sLbsidiary Risk, in parentheses, immediately following Class or Division [8.1.6.9.1, Step 4] ................... . 

13. Prcking Group [8.1.6.9.1, step SJ ............. ..................... .................. .. ....................... .. 

YES 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

No· 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

Quanti~ and Type of Packing 

14. Number and Type of Packages [8.1.6.9.2, Step 6]..... . . ................ .. . ... ................... ... 0 0 

15. duanlity and unit of measure (net or gross, as applicable) per package [8.1.6.9.2, Step 6] . ... .... .... .... ...... . 0 0 

16. +en different dangerous goods are packed in one outer packag1ng, the following rules are complied w1th 

-j Compatible according to Table 9 3.A. (note excepl!On for chemical kits/first aid kits See Packing 

~ Instructions 915 and Y915) .. : . .... ... .. ..... ... . ... ... .. .. ..... .... .. .. ..... .. 

- UN packages conta1mng DIVISion 6.2 [5 0 2 11 (c)] . ... . . . ... . .. . . ... .. . 

- "All packed in one (type of packaging)" [8.1.6.9 2, Step 6(1)].. ... . .. ..... . .. .. . .. .. 

- Calculation of "Q" value must not exceed 1 [5 0.2 11: 5.0 3.2, 8 1 6 9.2, Step 6(g)] 

17. verpack 

-/ Indication "Overpack Used" [8.1.6.9.2, Step 7] ...... 

-, Compatible accordmg to Table 9.3.A. [5.0.1.5.1 and 5.0.1.5.3] ... 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

Packing Instructions 

18. 1acking Instruction Number [8.1.6.9.3, Step 8]................. ......................... ................. ....................................... 0 0 

Authofizations 

19. l~dication of "Limited Quantity" or "Ltd. Qty." if ·y• packing instruction used [8.1.6.9.4, Step 9] ............ . 

20. ljhe Special Provision Number if A 1, A2, A51, A81 or A109 [8.1.6.9.4, Step 9]........... .. ................... . 

21. lrdication that governmental authorization is attached, including a copy in English [B. 1.6. 9.4, Step 9] .. 

22. 1dditional approvals for other items under [8.1.6.9.4, Step 9] ........................................................... . 

Additional Handling Information 

23. The mandatory statement shown for self-reactive and related substances of Division 4.1 and organic 

deroxides of Division 5.2, or samples thereof [8.1.6.11.1 and 8.1.6.11.2] ......... : ...................................... .. 

0 

0 

0 

0 

0 

24. ~ame and Telephone Number of a responsible person for Division 6.2 Infectious Substance shipment 

[~.1.6.11A] ................................................................................................................................... 0 

25. The air transport statement included [8.1.6.12]........................................................... ....................... 0 

~~. t~:o:~:~: :i~~i;:::~;~~;~~l~-~.~-c~.~.n~-~.at·e-·i~~~~t~d .. [~·1···6···~-~··a·n·d·B··1 .. 6 ... ~.4-].::::::::::::.:::::::::::::::::::: g 

28. Amendment or alteration signed by Shipper [8.1.2.6] ................................................... :...................................... 0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

N/A 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

F-2 
(Certificate Name and Number XXXXXXX (if desired) April 2006 Change I) 

YES NO* N/A 

AIR WAYBILL 

29. The Handling Information box shows: "Dangerous goods as per attached Shipper's Declaration" or 

"Dangerous Goods as per attached DGD" (8.2.1 (a)] ...................................................................... . 0 0 

30. "Cargo Aircraft Only" or "CAO", if applicable [8.2.1(b)) .......................................................... . 0 0 0 

31. Where non-dangerous goods are included, the number of pieces of dangerous goods shown [8.2.2] ......... 0 0 0 

PACKAGE(S) AND OVERPACKS 

32. Packaging conforms with packing instruction and is free from damage or leakage (9. 1.1 .3] .............................. .. 0 0 

33. Same number and type of packagings and overpacks delivered as shown on DGD [9.1.1.3] ............................ .. 0 0 

Markings 

34. UN Specification Packaging, marked according to 6.0.4 and 6.0.5: 

Symbol and Specification Code .................................................. .. 0 0 0 

X, Y or Z, agreed with Packing Group/Packing Instruction ....................................................................... . 0 0 0 

Gross Weight within limits (Solids or Inner Packagings) ...... . 0 0 0 

Infectious substance package marking [6.0.6] ........................................................................................... . 0 0 0 

35. The Proper Shipping Name(s) including technical name where required, and the UN or ID Number(s) [7.1.5.1 (a)] .......... . 0 0 

36. The full name(s) and Address(es) of Shipper and Consignee [7.1.5.1 (b)) ........................................................ .. 0 0 

37. The Net Quantity of Explosives and Gross Weight of the package for Class 1 items [7.1.5.1 (c)] ........................ . 0 0 0 

38 Classes 2 to 6, 8 & Carbon Dioxide, Solid (Dry Ice), lhe net quantity or gross weight as applicable marked on 

the packages [7.1.5.1 (d) and (e)] ..... ... .......... . .............. .. 0 0 0 

39. The Name and Telephone Number of a responsible person for Division 62 Infectious Substances shipment [7.1.5.1 (f)) ... 0 0 0 

40. The Special Marking requirements shown for Packing Instruction 202 [7.1.5.1(g)] .................. .. 0 0 0 

41. Limited Quantity packagings marked: "LIMITED QUANTITY" or "LTD. QTY." [7.1.5.3] .................................... .. 0 0 0 

42. Salvage Packagings marked: "Salvage" [7.1.5.4] ....................................................................................... .. 0 0 0 

Labelling 

43. The label(s) identifying the Primary risk, affixed to each package, as per 4.2, Column E [7.2.3.2; 7.2.3.3(b)] ... 0 0 

44. The label(s) identifying the Subsidiary risk next to Primary risk label(s), as per 4.2, Column E (7.2.3.2; 

7.2.6.2.3] ............................................................................................................................................................. 0 0 0 

45. Cargo Aircraft Only label, on the same surface near the Hazard label(s) [7.2.4.2; 7.2.6.3] .......... 0 0 0 

46. "Orientation" labels affixed [7.2.4.4).......... ........................................................................... . 0 0 0 

47. "Magnetized Material" label affixed [4.2, Column E, 7.2.3.10 and 7.2.4.1]... ........................ ................ 0 CJ 0 

48. "Cryogenic Liquid" labels affixed [7.2.4.3] .............................. ........ ............. ........................ ................. 0 0 0 

49. "Keep Away From Heat" label affixed [7.2.4.5] ................ ................. ................ 0 0 0 

50. All above labels correctly affixed (7.2.6] and all irrelevant marks and labels removed (7.1.1; 7.2.1]........ 0 0 

For Overpacks 

51. Packaging Use markings as required must be clearly visible or reproduced on.the outside of the overpack 

(7.1.4.1] . .. ....... . ...... ........... ... . .. ......................... .... ... . ............ . 

52. If all markings and labels are not visible, the word "Overpack" marked [7.1.4.2] ................ .. 

53. "Cargo Aircraft Only" restrictions (5.0.1.5.3].. . ............... ........................ .. ........... .. 

0 0 0 

0 0 0 

0 0 0 

GENERAL 

54. State and Operator variations complied with [2.9]........ ......................................................... ............................. 0 

55. Cargo Aircraft Only shipments, a cargo aircraft operates on all sectors. 0 

0 

0 

Comments: ______________________________________________________________________________ ___ 

Checked by: _________________________________________________________________________ __ 

Place: --------------------------------- Signature:---------------------------------------

Date:---------------------------------- Time: --------------------------------------------

*IF ANY BOX IS CHECKED "NO", DO NOT ACCEPT THE SHIPMENT AND GIVE A DUPLICATE COPY OF THIS COMPLETED 

FORM TO THE SHIPPER. 

0 

0 

F-3 
i 

(Certificate ~arne and Number XXXXXXX (if desired) April 2006 Change 1) 

I 

I 

l 

I 

I ACCEPTANCE CHECKLIST Radioactive 

APPENDIX F APPLIES IF THE OPERATOR ELECTS TO 

ACCEPT AND TRANSPORT HAZARDOUS MATERIALS USING 

THE !INTERNATIONAL CIVIL AVIATION ORGANIZATION'S 

"TECHNICAL INSTRUCTIONS" IN ADDITION TO 49 CFR I HAZARDOUS MATERIALS REGULATIONS 

F-4 
(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

2007 

DANGEROUS GOODS CHECKLIST FOR A RADIOACTIVE SHIPMENT 

The recommended checklist appearing on the following pages is intended to verify shipments at origin. 

Never accept or refuse a shipment before all items have been checked. 

Is the following information correct for each entry? 

SHIPPERS DECLARATION FOR DANGEROUS GOODS (DGD) 

1. 

2. 

Two copies in English and in the lATA format [10.8.1.2; 10.8.1.4] ............................................................... . 

Full name and address of Shipper [10.8.3.1] .................................................................... .. 

3. Full name and address of Consignee [10.8.3.2] .......................................................................... .. 

4. If the Air Waybill number is not shown, enter it. [10.8.3.3] ............................................................. . 

5. The number of pages shown [10.8.3.4] ........................................................................................... . 

6 The non-applicable Aircraft Type deleted [10.8.3.5) 

7. lffull name of Airport or City of Departure or Destination is not shown, enter it. [10.8.3.6 and 10.8.3.7] 

8. The word "Non-Radioactive" deleted [10.8.3.8) ........................................................................................ .. 

Identification 

9. UN Number, preceded by prefix "UN" [10.8.3.9.1, Step 1] ............................................ .. 

10. Proper Shipping Name [1 0.8.3.9.1, Step 2] .................................................................. .. 

11. Class 7 [10.8.3.9.1, Step 3] ....... . 

12. Subsidiary Risk, in parentheses, immediately following Class [10.8.3.9.1, Step 4} ......................... .. 

13. Packing Group if required for Subsidiary Risk [1 0.8.3.9.1, Step 5] ............................................................ .. 

Quantity and Type of Packing 

14. Name or Symbol of Radionuclide(s) [10.8.3.9.2, Step 6 (a)] ....................................................................... . 

15. A desaiption of the physical and chemical form, Spedal Form, or low dispersible material [1 0.8.3.9.2, Step 6 (b)] ... 

16. The number and type of packages and the activity in becquerel or multiples thereof in each package. For 

Fissile Material the total weight in grams or kilograms of fissile material may be shown in place of activity 

(10.8.3.9.2, Step 7] .................................................................................................................................... . 

17. For different individual radionuclides, the activity of each radio nuclide and the words "All packed in one" 

[10.8.3.9.2, Step 7]. .. ............................................................................................ .. 

18. Activity within limits for Type A packages [Table 1 0.4.A], Type 8, or Type C (see attached competent 

authority certificate) ......................................................................................... . 

19. Words "Overpack Used" shown on the DGD [10.8.3.9.2, Step 8) ................ . 

Packing Instructions 

20. Category of package(s) or overpack [10.8.3.9.3, Step 9] .................................................. .. 

21. Transport Index and dimensions for Category II and Category Ill only (1 0.8.3.9.3, Step 9) .. 

22. For Fissile Material the Criticality Safety Index [1 0.8.3.9.3, Step 9) .................................... . 

23. "Fissile Excepted" [10.8.3.9.3, Step 9] ...................................................................................... .. .................. 

Authorizations 

24. Identification marks shown and a copy of the document in English attached to DGD for the following 

[10.8.3.9.4, Step 10; 10.10.3.1]: 

Special Form approval certificate................ . ............................................................. .. 

Low dispersible material approval certificate ... .. ... .. .. .. .... ...... .. ............................... . 

Type 8 package design approval certificate ........................................................................ . 

Type B (M) package shipment approval certificate ...................................................... .. 

Type C package design and shipment approval ......................................................................... . 

Fissile material package design and shipment approval certificate ...................................... . 

Special Arrangement shipment approval certificate .................................................................. .. 

25. Additional Handling Information (10.8.3.11) ............................................................................................ .. 

26. The air transport statement included (1 0.8.3.12) .............................................................................. . 

27. Name and Title of Signatory, Place and Date indicated [10.8.3.13 and 10.8.3.14). 

YES NO* N/A 

0 0 

0 0 

0 0 

0 

0 0 

0 0 

0 

0 0 

0 0 

0 0 

0 0 

0 0 0 

0 0 0 

0 0 

0 0 

0 0 

0 0 0 

0 0 0 

0 0 0 

0 0 

0 0 0 

0 0 0 

0 0 0 

0 0 0 

0 0 0 

0 0 0 

0 0 0 

0 0 0 

0 0 0 

0 0 0 

0 0 0 

0 0 

0 0 

F-5 
\ 

I 

(Certificate Name and Number XXXXXXX (if desired) April 2006 Change 1) 

28. kignature of Shipper [10.8.3.15] .................................................................................................................. . 

29. rmendment or alteration signed by Shipper [10.8. 1 .?] ............................................................................. . 

YES NO• 

0 0 

0 0 

AIR WAYBILL 

30. rhe Handling Information box shows: "Dangerous goods as per attached Shipper's Declaration· or 

1 Dangerous Goods as per attached DGD" [10.8.8.1(a)] ............................................................................ . 

31. Cargo Aircraft Only or CAO, if applicable [10.8.8.1(b)] ............................................................................. .. 

32. Fere non-dangerous goods are included, the number of pieces of dangerous goods shown [10.8.8.2] .. 

PAC~GE(S) AND OVERPACKS 

33. Number and type of packagings and overpacks delivered as shown on DGD .............................................. . 

34. ~nbroken transportation seal [10.6.2.1.1.2; 1 0.6.2.2.1] and package in proper condition for carriage (9. 1.1.3; 

9.1.1.4] ....................................................................................................................................................... . 

Marki~gs 

35. Industrial packages, marked as per 10.7.1.3.3 ................ .. .. ............................................ .. 

36. ~ype A packages, marked as per 10.7.1 .3.4 ................... ................... .. .......................................... .. 

37. ~ype 8 packages, marked as per 10.7.1.3.5.. ... . .. . . .. ................................................................. . 

38. jType C packages, marked as per 10 7.1 3 6. .... .... . ..................................................... , .................... . 

39 fackages containing Fissile material, marked as per 10.7.1 .3.7 ................................................................. .. 

40. jThe Proper Shipping Name and UN Number [10.7.1._3.1] ........................................................................... .. 

41. ~he full Name and Address of the Sh1pper and Cons1gnee [10.7.1.3.1] ....................................................... . 

42. phe permissible gross weight if it exceeds 50 kg (10.7.1.3.1] ....................................................................... . 

Labeling 

43 ~wo correctly completed Radioactive Hazard labels on opposite sides [10.7.3.3; 10.7.4.3.1] ...................... . 

44. ~~~~~~~~-~~~~l(~).ld.~n.ti~i~~-t~~-~-u~~~~i.a:..~i.s·k·~~~~-~~-~~~-~a.di~~~i~-~--~~~~r~.l~-~~l.s·[·1~.7:~:~~--~~:~:~:~l 

::. ~~~~fi:~;~~~;!i!:~!:-:z~s~i;:r:~:~~~~:nc~~:~:::es:~::~-:z:~-~:~>·~Z:i~~~:~::-~:::·:.:rt:-~-~~-ihe 4 7. ~~~::::~~~!:~: ~~~;; :~: ~;;~:~~~; ;;;~;~~ -~~d·l~b~i~ ;~;;;~~~~-i~-~-·;_·~--~·;· -~·0_·;··~·.·;·: ·; 0·.·;·_4j··:::::: ::: 

For oJerpacks 

48. !Packaging markings as required must be clearly visible or reproduced on the outside of the overpack /r1o. 7.1.4.1] ................................................................................................................................................. . 

0 0 

0 0 

0 0 

0 0 

0 0 

0 0 

0 0 

0 0 

o. 0 

0 0 

0 0 

0 0 

0 0 

0 0 

0 0 

0 0 

0 0 

0 0 

0 0 

~~. ~~=~d7t~~~n~; n~-~:e~~~~i:~~~~bl~:.th~-~~r~-~~-v·e·r~ac.k" .. ~.a.rke~-~-~~--~--~--~2~.:::: 0 0 

0 0 

GENERAL 

51. State and Operator variations complied with (2.9] ...... .. ........................................ .. 0 0 

52. Cargo Aircraft Only shipments, a cargo aircraft operates on all sectors....... .. ...................................... . 0 0 

53. Packages containing Carbon dioxide solid (dry ice), the marking, labelling and documentary requirements 

complied with [Packing Instruction 904; 7.1 5.1 (e); 7.2.3.10] ........................................................... .. 0 0 

Commelts:-------------------------------------

Checke by: ______________________________________________________________________ ___ 

Place: -+------------------Signature: ______________________ _ 

Date:_t----------------------- Time: -------------------------

•1F AN) BOX IS CHECKED "NO", DO NOT ACCEPT THE SHIPMENT AND GIVE A DUPLICATE COPY OF THIS COMPLETED 

FORM Q.O THE SHIPPER. 

NIA 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

F-6 
10/01/07 

I. Background. 

Appendix C. Sanction Guidance 

Hazardous Materials Enforcement 

2150.38 

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

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

that threat in I 974 by enacting the Hazardous Materials Transportation Act (HMTA). By 1990, 

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

enacted the Hazardous Materials Transportation Uniform Safety Act of I 990, Public Law No. 

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

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

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

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

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

News I 08 Stat. 759, codified at 49 U.S. C. §§ 5101-5127. In the 1994 recodification, Congress 

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

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

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

August I 0, 2005. That legislation, among other things, modified the limitations on civil 

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

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

§ 2461 (note), as amended by the Debt Collection Improvement Act of I 996, Public Law 

I 04- I 34, April 26, I 996, provides a mechanism for adjustments for monetary civil penalties for 

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

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

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

13 of Title 14 of the CFR, subpart H. 

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

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

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

penalty of$ I 00,000 may be assessed if the violation results in death, serious illness, or severe 

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

be assessed for a training violation is $450. 

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

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

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

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

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

and the HMR, with particular emphasis on shipment ofhazmat by air. 49 C.F.R. § I.47(j). 

C-1 

i GOVERNMENT 

j EXHIBIT j c.,,,_ 
i 

i 

1 0/0~/07 2150.38 

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

I 

A kn<Dwing violation of the statute or of the HMR can support the assessment of a civil penalty 

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

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

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

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

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

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

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

presc+bed criminal penalties for a willful violation of the Federal hazardous material 

trans9ortation law or the HMR; willful violations require evidence of both knowledge of the 

laws and regulations and intent to violate them. I . e.JI nvestigative and Enforcement Procedures. Part 13 of the Federal Aviation 

Regulptions - Investigative and Enforcement Procedures ( 14 C.F.R. part 13) govems the 

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

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

propo~ed civil penalty has not been issued within 2 years of the violation, unless good cause for I 

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

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

that is lsuffic.iently deterrent but not excessive, in order to comply with the underlying purposes 

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

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

the na~ure, circumstances, extent, and gravity of the violation; the degree of culpability of the 

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

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

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

Guida~ce Matrix. The statutory factors are further considered under the weighting analysis that 

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

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

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

increas1ed maximum penalty of$50,000 imposed by SAFETEA-LU. In addition, the Matrix 

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

result1~ death, serious illness, or severe injury to any person, or substantial destruction of 

prope·r· 

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

to pr~?}ote bet~er consistency so that similar penalties are imposed _in similar cases. The 

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

circum~tances, extent, and gravity of the case as compared with other types of cases. Each case; 

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

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

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

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

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

C-2 
10/01/07 2150.38 

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

the ranges should be explained in detail. 

4. Part 175 Violations. Violations 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. For this reason, such operators may be liable for violations both as a 

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

air carrier violations. 

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

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

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

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

unable to obtain independently infom1ation to determine whether an alleged violator is a small 

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

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

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

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

the correct size limit for an alleged violator. 

a. Enforcement Policy under SBREF A. Chapter 7, Paragraph I 0, of this order generally 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

regional offices. 

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

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

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

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

C-3 
10/0~/07 2150.38 

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

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

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

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

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

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

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

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

criteri1

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

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

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

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

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

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

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

range! of the Matrix. 

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

sancti ·. n lies within the Matnx is not the result of a mathematical computation. Evaluation of the 

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

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

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

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

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

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

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

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

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

catego}ies take into account the relative culpability of the violator. Similarly, the offense 

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

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

determ~ne which subcategories of offenses (for example, shipping papers) are alleged to have I 

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

approp~iate penalty is assigned for each of the applicable violation groups. The penalty amount I 

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

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

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

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

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

Correc~ive actions that justify reduction of the recommended penalty must exceed the minimum 

C-4 
10/01/07 2150.38 

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

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

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

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

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

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

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

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

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

8. Federal Aviation Administration Hazardous Materials Sanction Guidance. This 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

C-5 
1o1o1ro7 21so.3s 

dete~ined, the final aggregate weight is then utilized to arrive at the recommended sanction for 

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

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

Conclrning the Shipment): · 

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

C-2 di1 ides hazardous materials of particular classes, divisions, and packing groups into three 

risk ca'tegories: Category A, Category B, and Category C. Find the material offered, transported, 

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

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

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

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

Guida 1ce Note: The categories in Figure C-2 represent the inherent risk of danger to air 

trans)ortation posed by the material. If there is more than one type of hazardous material 

involvkd in the shipment. use the hazardous material in the highest risk category. 

1

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

transp rtation? 

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

amoun1t? If yes, consider a Moderate or Maximum weight depending on the degree to which the 

limitation was exceeded. 

Guidaice Example. The quantUy limitation for gasoline on a passenger plane is 5/iters P" 

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

maxim~m weight for this factor. 

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

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

Maxim~m weight, depending on the number of packages and total amount of hazardous material 

being t~ansported in violation. 

I 

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

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

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

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

particul1

1ar .(acts. A very la~ge nu':'ber of packages may result in su~h an e~eg~ous case th~t the 

overall werght of the case rs so hrgh that a penalty beyond the maxrmum pomt m the range rs 

warranted 

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

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

indepe~dent acts of offering usually are consolidated into one EIR and addressed in one notice 

C-6 
10/01/07 2150.38 

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

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

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

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

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

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

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

commerce? lfyes, consider a Moderate or Maximum weight. 

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

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

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

existence of other aggravatingfactors. departure from the ranges may be justified. It is 

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

destruction o/property, warrants additional consideration ofaggravation of the total penalty. 

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

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

of the violator. 

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

Maximum weight. 

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

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

of culpability will ordinarily be imputed to it. 

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

consider a Minimum or Moderate weight. 

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

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

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

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

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

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

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

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

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

hazardous material for transportation.) 

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

yes, consider a Minimum weight. 

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I 

I 

10/01/07 2150.38 

I 

Guidqnce Note: Detrimental, reasonable reliance on another par(y may be a mitigating factor 

when [considering the violator's degree ofculpabiliry. For example. reliance on an inaccurate 

Mate!l[wl Safery Data Sheet (MSDS) would be mttigating. 

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

Mode 1 ate or Maximum weight. 

i 

Guidance Note: To establish a violation history, a prior violation must he an actualfinding of 

violat~on pursuant to a legal enforcement action. Special agents should attempt to determine the 

corpoljate structure o_lthe violator and whether other business entities or names are or have 

been used by the entity in order to obtain a complete violation history. The number and agt> o{ 

violauions should be considered Ordinarily .. findings of violation more than 5 vears old carry 

less wright, unless a continuing pattern of violation exists. 

I 

I 

d. II Other Factors. 

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

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

aggra~ating or mitigating circumstance exists that is not adequately addressed elsewhere in the 

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

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

scrutinlized by legal counsel. 

Guidarrce Note: For example. a shipment of a single package containing several different 

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

will in rease ((the hazardous materials are incompatible with each other and. therefore, create 

an inc),Jeased risk. 

Mitiga :ingfactors may also exist that have not been adequately considered. For example, a 

shipme~t containing a de minimis quanti(Y of material or an amount that would have qualified 

under t~e small quanti(Y exception of 49 C.F.R. § 173.4 may present a mitigating factor if as a 

resuli there was a reduced risk to safe(Y in transportation. That the material could have been 

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

e. r.etermine tbe Final Aggregate Weight of the Case. . 

. _ fI) All the responses/weights are evaluated to determine a final aggregate weight for the 

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

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

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

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

the wei~hting factors in reaching the final aggregate weight. The final aggregate weight should 

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

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

be expl<iined in this regard. I 

I 

C-8 
10/01/07 2150.38 

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

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

resulting from the shipment. 

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

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

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

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

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

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

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

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

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

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

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

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

to reach the full sanction. · 

(2) Instructions. 

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

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

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

violation group. 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

C-9 
10/011/07 2150.38 

I 

I Matri~ range. Consultation with legal counsel is not necessary in the case of a recommended 

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

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

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

I 

: ( 4) Violations of part 17 5 regulations, which establish particular requirements for air 

carrie~s and other aircraft operators, are contained in a separate matrix. However, such operators 

often 6Jler 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 I ~5 violations. 

I 

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

also ref:luires consideration of a violator's ability to pay a civil penalty, the impact of the civil 

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

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

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

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

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

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

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

I 

.

1

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

factors after the issuance of the notice of proposed civil penalty due to the absence of reliable 

financi~l information on which to base a reduction prior to the issuance of a notice. This 

Sancti9n Guida.nce recon~mends that th~ specia~ ~gent mak~ effo~s to obtai.n reliable inform.ation 

regarding the vwlator's size and financial conditiOn for review pnor to the Issuance of a notice. 

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

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

inform~tion on a particular respondent, that financial circumstances change, and that information 

may beiprovided after the issuance of the notice that may warrant further consideration of a 

respondent's ability to pay. . ! 

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

in the BIR. It is anticipated that this information, if available, will be obtained from reliable 

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

inform~tion concerning the violator's corporate structure, business address, officers, number of 

employees, and gross revenues. 

I T . . . "d . h . h 1 • he mvestigatmg agent prov1 es a statement or comment Wit respect to t e 

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

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

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

businesJ of the violator. I 

I 

1 • FAA legal counsel reviews the financial information provided in the EIR and 

evaluate:s its sufficiency and relevance to the recommended civil penalty. Legal counsel may 

I 

I 

I 

I 

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10/01/07 2150.38 

determine if more current information exists concerning the financial condition of a respondent 

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

preparation of the El R. If there is a basis for determining that the recommended sanction is 

inappropriate based upon the financial information provided in the EIR, the recommended 

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

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

recommended civil penalty does not preclude further consideration of a respondent's financial 

claims after issuance of the notice. 

(2) Corrective Action. 

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

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

legal requirements. The primary factors in detcm1ining the appropriate amount of penalty 

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

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

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

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

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

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

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

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

already has been given for such action. 

(2) Status of violator as a small husiness entity or concern. See subparagraphs 5.a.-b. 

above. 

C-11 
I 

10/0!1/07 2150.38 

MATRIX & DEFINITIONS 

(Figure C-1) 

C. Business Entity D. Business Entity j OFFENSE that uses or handles that regularly 

~·A TEGORIES A. Individual• B. Business Entity hazmat in the offers. accepts, or 

course of business transports hazmat 

I. Dediared Shi(!ment 

I. SHipping Papers 250-550 250-1' 100 500-2,200 I ,000-5,500 

2. dbels 250-550 250-1, I 00 500-2,200 I ,000-5,500 

3. Mrrkings 250-550 250-1,100 500-2.200 I ,000-5.500 

4. Packaging 250-550 250-1, I 00 500-2,200 I ,000-5,500 

5. Tl ·. 0 450-1,100 500-2,200 1,000-5,500 Jammg ----------

6. E 1erg. Response 250-550 250-1' 100 500-2,200 ' I ,000-5,500 

7. RJieasc into Environ. 250-550 250-1,100 500-2,200 I ,000-5,500 

R. Ot1

hcr 250-550 250-1,100 500-2,200 1,000-5,500 

II. Unheclared Shi(!ment 

Withirt Hazmat 

Quantln: Limitations I 

I. SHipping Papers 250-1' 100 I ,500-8,200 2,500-11 ,ooo: 5,000-13,000 

2. dbels 250-1,100 I ,500-8,200 2,500-11.000 5,000-13,000 

3. M1rkings 250-1' 100 I ,500-8,200 2,500- I I ,000. 5,000-13,000 

4. Pafkaging 250-1,100 I ,500-8,200 2,500-11 ,000 5,000-13,000 

5. Training ___ ..... ________ I ,500-8,200 2,500-11,000 5,000-13,000 

6. E~erg. Response 250-1, I 00 I ,500-8,200 2,500-11,000' 5,000-13,000 

7. Re~ease into Environ. 250-1,100 1,500-8,200 2,500-11 ,000 5,000-13,000 

8. Ot er 250-1,100 I ,500-8,200 2,500-11 ,000; 5,000-13,000 

III. Un1declared I 

Shipm~nt i 

Hazmdt Forbidden on~ 

or exc~eds atv limits for 

Passen~er Aircraft 500-5,500 5,000-16,200 7,500-22,000 I 0,000-32,500 

I. Shl!:ing Papers 500-5,500 5,000-16,200 7,500-22,000 I 0,000-32,500 

2. La Is 500-5,500 5,000-16,200 7,500-22,000 I 0,000-32,500 

3. MJrkings 500-5,500 5;000-16,200 7,500-22,000 I 0,000-32,500 

4. Pa~kaging ---------- 5,000-16,200 7,500-22,000 I 0,000-32,500 

5. Tdining 500-5,500 5,000-16,200 7,500-22,000 I 0,000-32,500 

6. Errlerg. Response 500-5,500 5,000-16,200 7,500-22,000 I 0,000-32,500 I 500-5,500 7,500-22,000 i 7. Release into Environ. 5,000-16,200 I 0,000-32,500 

8. Ot~er 

IV. UoJieclar~d 

Shipm~ot 

ForbidJien on; or 

exceed~ gU: limits for~ 500-32,500 7,500-32,500 I 0,000-32,50d I5,000-32,500 

All Air~raft 500-32,500 7,500-32,500 I 0,000-32,500 15,000-32,500 

I. Shipping Papers 500-32,500 7,500-32,500 I 0,000-32,500 I5,000-32,500 

2. Latkls 500-32,500 7,500-32,500 I 0,000-32,500. 15,000-32,500 

3. MJ.k.ings ---------- 7,500-32,500 I 0,000-32,500 15,000-32,500 

4. Padtaging 500-32,500 7,500-32,500 I 0,000-32,500 15,000-32,500 

5. Training 500-32,500 7,500-32,500 10,000-32,500 15,000-32,500 

6. Embrg. Response 500-32,500 7,500-32,500 10,000-32,500 15,000-32,500 

7. Relfase into Environ. 

8. Oth:er ! 

lotehtional or 

: 

v. CONSULT CONSULT CONSULT \ CONSULT 

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10/01/07 2150.38 

Deliberate Violation1 or LEGAL- Up to LEGAL- Up to LEGAL- Up to LEGAL- Up to 

other si"nificant 50,000 per offense 50,000 per offense 50,000 per offense 50,000 per offense 

aggravation category may be category may be category may be category may be 

assessed assessed assessed assessed 

VI. Violation results in CONSULT CONSULT CONSULT CONSULT 

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

severe injury1 or 100,000 per 100,000 per I 00,000 per offense 100,000 may be 

substantial destruction offense category offense category category may be assessed 

ofpropertv 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 Ill & IV 

AIR CARRIER AND OTHER AIRCRAFT Air Carriers and Air Carriers and 

OPERA TOR VIOLATIONS Other Aircraft Other Aircraft 

Operators Operators 

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

requirements of the HMR as an offeror of hazmat. 

Improper acceptance of hazmat for air transportation. 

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

shipping papers) 

See49C.F.R. §§ l75.30(a)(l)-(4) 

Failure to inspect hazmat shipment properly. I 0,000-32,500 5,000-I6,200 

See 49 C.F.R. §§ l75.30(b), (c), (d), (e) 

Improper storage/securing of hazmat aboard aircraft. I 0,000-32,500 5,000-16,200 

Failure to provide hazmat training, maintain records of I 0,000-32,500 5,000-I6,200 

training, or meet minimum requirements for hazmat 

training ( 49 C.F.R.). 

Using untrained/improperly trained hazmat personnel, I 0,000-32,500 5,000-16,200 

failure to retain hazmat training records (49 C.F.R.) 

Failure to notify FAA properly of incident/discrepancies 5,000-I6,200 1,000-5,500 

in hazmat shipment. 

Failure to provide notice to the pilot-in-command. 5,000-16,200 I ,000-5,500 

Other Part 175 violations. 5,000-16,200 I ,000-5,500 

Intentional, deliberate, or other significantly aggravated CONSULT CONSULT LEGAL 

violation. LEGAL- Up to - Up to 50,000 per 

50,000 per offense category 

offense category may be assessed 

may be assessed 

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

substantial destruction of property. LEGAL- Up to - Up to 100,000 per 

100,000 per offense category 

offense category may be assessed 

may be assessed 

C-13 
' I 

1 0/01r07 2150.38 

9. D~finitions: Note that these definitions are only for the purpose of applying the sanction 

guida~ce in this appendix. 

I 

I 

a. I Air Carrier and Other Aircraft Operator Groups (1, II, III, IV)- Air carriers and 

other Jircraft operators are divided into two categories for purposes of determining an 

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

this or~er. For purposes of hazmat sanction guidance, the FAA also includes other aircraft 

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

125 Operators, and part 91 Operators. 

i (I) Group I is comprised of air carriers with annual operating revenue of $1 00,000,000 

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

includbd in Group I for hazmat sanction guidance purposes. 

I 

i (2) Group II is comprised of air carriers and other commercial operators that have an 

annual! operating revenue of less than $100,000,000, and have 50 or more pilots and operate 25 

or morp aircraft. Other aircraft operators of the same size are included in Group II for hazmat 

sanctidn guidance purposes. 

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

criteri~ for Group II, that is, they have only 6 to 49 pilots, or only 6 to 24 aircraft. Other aircraft 

operat~rs of the same size are included in Group Ill for hazmat sanction guidance purposes. 

I 

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

the crit~ria for Groups I, II, or Ill. Other aircraft operators of the same size are included in 

Group IV for hazmat sanction guidance purposes. I 

i 

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

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

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

categorjy. It includes a non-profit organization and all other entities defined under the HMR's 

definiti~n of person ( 49 C.F.R. § 171.8), with the exception of an individual (as defined below). 

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

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

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

offers Hazardous material to its customers would fall into this category, even though its actual 

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

manufatturer or distributor of hazmat and a freight forwarder. 

- I 

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

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

transpottation on a regular basis, as described above. For example, a manufacturer of a nonhazmat ~roduct that uses hazmat in the manufacturing process could fall into this category. It 

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

transpo~tion, and the shipment in this instance represents an isolated incident. This type of 

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

C-14 
10/01/07 2150.38 

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

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

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

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

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

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

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

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

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

communicative requirements in the HMR for shipping papers. Similarly, a properly marked and 

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

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

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

of transportation. 

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

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

Organization (ICAO) Technical Instructions. 

g. Individual_!_ A human who offers a shipment of hazardous material in his or her personal 

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

h. Intentional o.r Deliberate Violation- A violation falls into this category when the 

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

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

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

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

deliberate violation. · 

i. Undeclared Shipment- If a shipment does not meet the definition of declared shipment, 

it is an undeclared shipment. 

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

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

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

aircraft, as established in the 49 C.F.R. § 172.10 I Table. 

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

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

and the quantity of hazardous material exceeds the limitation, per package, for transportation on 

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

172.101 Table. 

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

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

forbidden in air transportation on cargo aircraft, as established in the 49 C.F.R. § 172.10 I Table. 

C-15 
2150.38 

n;.. Undeclared Shipment Hazmat Forbidden on Passeng~r Aircraft- An undeclared 

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

hazal[dous 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. § 172.10 I Table. 

nl Undeclared Shipment Within Hazmat Quantity Limitations. 

I 

o\) If the undeclared shipment is offered for transportation on or transported on a passenger 

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

transJ,ortation on passenger aircraft, as established in the 49 C.F.R. § 172 .I 0 I Table. 

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

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

trans~ortation on passenger aircraft, as established in the 49 C.F.R. § 172.10 I Table. 

j 

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

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

transpprtation on cargo aircraft, as established in the 49 C.F.R. § 172.10 I Table. 

All ot~er undeclared shipments fit within the definitions for Undeclared Shipment Hazmat 

ExceeJts Quantity Limitsfor ... Aircraft, or Undeclared Shipment Hazmat Forbidden 

on ... A!rcraft, see above. 

I 

I 

I 

C-16 
10/01/07 

CATEGORY "A" 

{Maximum Weight} 

RISK CATEGORIES 

(Figure C-2) 

2150.38 

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

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

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

Class 1 Explosives: Division 1.1, 1.2, 1.3, 

Class 2 Compressed Gases All 2.1, 2.2 with Subsidiary Risk 5.1 and All 2.3 PIH Zones A-D 

Class 3 Flammable Liquids PG I, II, and (PIH) 

Class 4 Division 4.1 Flammable Solids PG I, & (Matches) 

Division 4.2 Spontaneously Combustible Materials PG I (Pyrophoric) 

Division 4.3 Dangerous When Wet PG I 

Class 5 Division 5.1 Oxidizing Liquids and Solids PG I, II, e.g., "Chemical Oxygen Generators" 

Division 5.2 Organic Peroxides PG II (Type A,B,C,D) 

Class 6 Division 6.1 Toxic/Poisonous Materials PG I (PIH) 

Class 7 Cargo Aircraft Only Quantities on Passenger Aircraft 

Class 8 Corrosive Material Liquid PG I and (PIH) 

Forbidden Materials (See 49 C.F.R. § 173.21 & ICAO Technical Instructions) 

Forbidden Hazmat listed in Dangerous Goods Table 49 C.F.R. § 172.101 

CATEGORY "B" 

{Moderate Weight} 

The materials listed In Category "8" are materials that may not pose an immediate threat to the safety of a flight, but can 

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

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

Class 1 

Class 3 

Class 4 

Class 5 

Class 6 

Class 7 

Class 8 

Division 1.4, 1.5, 1.6, All Compatibility Groups 

PG Ill Flammable Liquids 

Division 4.1 Flammable Solids PG II, Ill 

. Division 4.2 Spontaneously Combustible Materials PG II, Ill 

Division 4.3 "Dangerous When Wet PG II, Ill 

Division 5.1 Oxidizing Liquids or Solids PG Ill 

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

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

Division 6.2 Infectious Substances 

Radioactive Materials, yellow label II, white label I 

liquids PG II, Ill Solids PG I, II, Ill 

Category "C" 

{Minimum Weight} 

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

Class 2 

Class 6 

Class 7 

Class 9 

2.2 Nonflammable Gas 

Division 6.1 Toxic/Poisonous Materials PG Ill 

All other RAM (LSA, LTD QTY, Instruments, and Articles) 

Miscellaneous Dangerous Goods {ORM-0 and Consumer Commodity} 

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

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

established regulations has posed a risk to aviation safety. 

C-17 

Availability: 

Desired locations: 

Work Experience: 

Job Type: Permanent 

Work Schedule: Full-Time 

United States- GA- Atlanta 

Federal Aviation Administration 

I 70 I Columbia Ave 

College Park, GA United States 

Pershameron Cartice Dye 

Day Phone: 404-305-l\ll40 

Evening Phone: · 

Mobile: 404-427-2725 

Email: cartice.dye@faa.gov 

Supervisory Hazardous Materials Specialist (This is a federal job) 

Supervisor: Deborah Kennedy (404-305-6831) 

Okay to contact this Supervisor: Yes 

Overseeing and managing hazardous materials compliance and on-site 

inspections for air carriers, shippers, and repair stations: evaluations of air 

carrier training programs; and investigation of incident discrepancies and 

regulatory compliance violations. 

Manager subordiante staff in performing observations, surveillance, records 

review, and interviews to assess and prepare inspection and hazardous 

materials precedures reports; and in obtaining information, conducting 

investigations, and preparing Enforcement Investigative Reports on 

hazardous materials incidents. Provides advice, guidance, assistance, and 

outreach efforts as a technical expert on Hazmat issues to subordinate staff, 

other FAA organizations such as Flight Standards, and air carriers, shippers, 

repair stations, and the flying public. Coordinates and collaborates with legal 

staff and other Federal agencies on enforcement investigations and penalties 

in order to ensure compliance with legal requirements and standards. 

Participate in ASH and FAA working groups on various hazardous materials 

policies and issues, and applies experience and expert technical knowledge 

when serving as the principal advisor on hazardous materials issues and 

activities. Coordinates with Joint Office, ASH, and FAA Officials in 

accomplishing responsibilities and ensuring effective management and 

administration of the hazardous materials program. 

Federal Aviation Administration 

I701 ColumbiaAvenue 

0112002-07/2012 

Hours per week: 40 

07/2012- Present 

Hours per week: 40 

ntgt:: 1 01:) 

College Park, GA United States Series: I80I Pay Plan: FV Grade: I 

Security Specialist (This is a federal job) 

Supervisor: Deborah Kennedy (404-305-6830) 

Okay to contact this Supervisor: Yes 

Conduct on-site air carrier and shipper inspections to ensure compliance with 

the federal hazardous materials regulations. 

Enforce regulatory. compliance b writing enforcement investigative reports 

(EIRs) or counseling. 

Review air carrier and shipper training records and hazardous materials 

programs to ensure compliance with the federal hazardous materials 

regulations. 

Evaluate regulated entities standard operating procedures to ensure 

. compliance and identify weakness in their hazardous materials programs. 

Enforce the federal rules and regulations as they apply to regulated parties 

such as air carriers, repair stations, shippers, indirect air carriers, and stores. 

Prepare and provide presentations (outreach) to educate the public, carriers, 

shippers, repair stations, businesses, individuals (regulated parties) on the 

safe transportation of hazardous materials in commerce. 

Provide advice, guidance, and assistance to air carriers, shippers, repair 

stations, businesses, passengers and individuals on the federal regulations. 

https ://my. usaj o bs. gov I Applicant/Resume/W orkExperience/O?Iast=Saved 

; GOVERNMENT i EXHIBIT 

i C--11 

12/6/2012 
U.;)l"\.JVD,:)- ~C::SWHC: DUHUC:l - VVUl~ .Cll.pC:HC:U\,;1;; 

Participate in special emphasis and focus inspections that requires the record 

review, surveillance and evaluation of an air carrier's (passenger and cargo) 

standard operating procedures for hazardous materials. 

Provide expert technical assistance to Legal (Regional Counsel) on 

hazardous materials enforcement investigative reports. 

Attend and participate in all informal conferences with Regional Counsel and 

regulated parties to provide expert technical assistance, review corrective 

action and represent the Security and Hazardous Materials Compliance and 

Enforcement Section. 

Routinely coordinate and collaborate with Regional Counsel on mitigating 

enforcement investigative reports. 

Review all Atlanta and Miami Hazardous Materials Agents civil penalty 

enforcement investigative reports to ensure hazardous materials allegations 

are substantiated through report writing and evidence. 

Assist hazardous materials agents in writing and gathering evidence for 

enforcement investigative reports. 

Review, evaluate, and disseminate discrepancy reports to hazardous 

materials agents. 

Respond and investigate incidents and discrepancy reports. 

Conduct interviews with regulated parties to ensure compliance with the 

regulation and or substantiate a violation. 

During inspections observe regulated parties performing hazardous materials 

functions and evaluate those functions for compliance of the regulations. 

Respond to external government agency request for Freedom of Information 

and Congressional requests. 

Frequently designated as Acting Branch Manager where I am responsible for 

attending weekly manager's meeting, respond to employee's needs, and 

provide a cohesive working environment by honestly communicating the 

responsibilities of the employee and the employer to meet the goals of the 

Office and Agency. 

Detailed to Atlanta Field Office Manager where I was responsible for 

ensuring time and attendance was completed in a timely manner. Approved 

telework for subordinates, assigned work to employees, oversaw incidents 

responses at the UPS, MEM, and FEDEX facilities. 

Provided assistance during the UPS Dubai crash, gathered information from 

UPS representatives and Flight Standards Office. Coordinated and 

disseminated crash information between the Director of Joint Security and 

Hazardous Materials Office, East and the Washington Office. 

As the Duty Officer, I respond to incidents related to hazardous materials 

and FAA government building security and FAA employees. 

Participate in Aviation Education Program - prepare and present 

presentations to high school, middle and elementary school students on 

careers in aviation. Communicate with local schools and assist with specials 

projects, i.e. Teacher of the Year, Science and Social Studies Fairs, etc. 

FA Club President - Armually coordinate with all LOBs and coworkers to 

host annual picnic for all FAA employees in the metropolitan area Solicit 

ideas and suggestions to improve picnic. Solicit volunteers to assist in the 

cooking and coordination of the annual picnic. Collaborate with Regional 

Counsel on guidelines for employee activities in a government facility. 

Organize meetings with local venders to participate in annual picnic. 

During my detail to Disaster Response Program, I assisted the Program 

https ://my. usajobs.gov/ Applicant/Resume/WorkExperience/O?last=Saved 

rage Lor J 

12/6/2012 
USAJUHS - Kesume Hmld.er- Work hxpenence 

Manager with planning and implementing activities relat~d to the emergency 

preparedness and DOT disaster response. Reviewed and edited plans, 

participated and coordinated with all transportation stakeholders and 

attended training and exercises. 

Reviewed and evaluated Woodward Academy's leadership program. 

Detailed to Civil Rights Office where I assisted in educating the Air Traffic 

Managers on Bullying in the Workplace and reviewed the EEO regulations. 

Federal Aviation Administration 

1701 ColumbiaAvenue 

College Park, GA United States 

Special Assistant 

Advise on critical, complex organizational planning and resource utilization 

issues that improve organization structure, manage policies, and work 

distribution. 

Formulate national management policies and systems, and ensures proper 

and timely implementation. 

Analyze high-visible national database such as EXIS, EIS, WebDG. 

Develop baseline performance measurements for these databases and 

compares performance. 

Incorporate analyses into project and program plans. 

Evaluate complex, national programs and policies and programs (hazmat, 

personnel, security, investigations, and facility security). 

In conjunction with ASH-50, conducts formal and ad hoc technical and 

administrative evaluations. 

Assist in development, review and approval of the business and annual work 

plans. 

Represent the organization in dealings with officials of the FAA 

organizations, DOT, and other private sector. 

Review and analyze various reports generated by field organizations. 

Federal Aviation Administration 07/2000-01/2002 

1701 ColumbiaA'venue Hours per week: 40 

09/2007 - 1112007 

Hours per week: 40 

College Park, GA United States Series: 1801 Pay Plan: FV Grade: H 

Freedom of Information Act (FOIA) Coordinator (This is a federal job) 

Supervisor: Deborah Kennedy (404-305-6830) 

Okay to contact this Supervisor: Yes 

Reviewed and responded to external security request for information (FOIA, 

HOTLINES, Congressional and internal FAA agency requests) .. 

Acting National FOIA Coordinator for Security and Hazardous Materials 

Office (ACS-1). 

Reviewed all FOIA request for ACS-1 signature. 

Provided guidance to Regional FOIA Coordinators and ACS on applicable 

exemptions. 

Assisted in responding to ACS's FOIA requests 

Federal Aviation Administration 

1701 Columbia Avenue 

College Park, GA United States 

Program Analyst (This is a federal job) 

Supervisor: Deborah Kennedy ( 404-305-6840) 

Okay to contact this Supervisor: Yes 

Updated, extracted, compiled and analyzed data from databases for various 

activity reports (EIS, AAIRS). 

Participated in workgroups to study regulations, standards, manuals, and 

publications. 

Utilized and developed new administrative procedures to track daily activity 

(Budget and equipment). 

Assisted in the preparation and application of targeted activities; to include 

hazardous materials strike, dangerous goods and cargo security meetings. 

Processed training requests for Dangerous Goods and Cargo Security agents. 

Established and maintained liaison with special agents and internal/external 

government agencies. 

Establish and maintained an efficient system to track reorts, incoming 

https:/ /my~ usajobs. gov I Applicant!Resume/WorkExperience/O?last=Saved 

08/1997-07/2000 

Hours per week: 40 

Series: 0343 Pay Plan: FG 

Page 3 of5 

12/6/2012 
USAJOBS -Resume Builder- Work Experience 

Education: 

requests and outgoing correspondence (incidents, Congressional, FOIA, 

HOTLINES, etc.) 

Generated and evaluated financial reports from Lexis-Nexis and Dunn and 

Bradstreet. 

Prepared outgoing correspondence to external government officials. 

Interpreted, reviewed, approved, and issued Indirect Air Carrier Standard 

Security Program (IACSSP) for Indirect Air Carrier (lAC). 

Trained new employees are various national and local databases. 

Assisted in the development and implementation of the DG/CS Work Aids 

Manual to assit agent in understanding and accurately completing EIRs. 

Duty Officer- responded to security incidents in a timely and effective 

manner. 

Conducted assessments ofiACs. 

Assisted the Cargo Program Manager in the review of air carriers hazardous 

materials programs. 

Provided daily guidance and supervision to Student Aid employee. 

Represented the FAA in conducting Outreach presentations to private 

industry. 

Participated in the Aviation Education Program - participated in Career Day 

and special projects and local schools. 

Georgia State University Atlanta, GA United States 

Bachelor's Degree 06/1996 

Major: Criminal Justice 

Atlanta Metropolitan College Atlanta, GA United States 

Associate's Degree 06/1991 

Job Related Training: 2012 

Program Emerging Leader (PEL) graduate 

Safety Performance Analysis System 

Interactive Training for Aviation Safety Inspectors 

Safety Management 

Regulatory Hearings 

2011 

Aviation Hazmat Portals 

Hazmat Investigations Course 

2010 

Managerial Workforce Planning Policy 

Frontline Managers Course 

Transitioning into Management 

Tools for Talking Things Out 

Emotionally Intelligent Leadership 

Team Building Workshop 

Managing Performance in the FAA 

Accountability Board Training for FAA Managers 

EEO Preventing Discrimination 

Introduction to Labor Management Relations 

Conduct and Discipline: The Basics of Ethical Behavior 

Worklife Solutions 

Managing Leave 

Employement Issues 

Office of Workers Compensation Program 

Fundamentals of Frontline Management . 

Financial Management Responsibilities 

2008 

Interpersonal Skills for the Leadership Role 

2007 

Interpersonal Communication Skills for Business 

Principles of Plain Language 

Handling Conflict with Others 

Air Transportation of Hazardous Materials 

Dealing with Conflict in the Workplace 

https ://my. usaj o bs.gov I Applicant!Resume/W orkExperience/O?last=Saved 

Page 4 of5 

12/6/2012 
USAJUHS- Kesume Hmlder- worK hxpenence 

References: 

Additional 

Information: 

2006 

Situational Leadership for Employees 

Air Transportation of Hazardous Materials Training 

Name 

Deborah Kennedy (*) 

Employer 

FAA 

Title 

Manager Hazardous 

Materials Branch 

Phone 

404-305-6830 

Robbin Holmes (*) 

Lisa Evans (*) 

Stephanie Rubin 

Cynthia Turner(*) 

FAA 

FAA 

CDC 

Administrative Services 404-305-5544 

Security Specialist 404-305-6875 

Dekalb County School 

System 

(*) Indicates professional reference 

Equal Employment Opportunity Early Resolution Team Award 

Letter of Appreciation from A TL ACE Camp Director 

770-482-6699 

404-402-1605 

https:/ /my. usaj o bs.gov I Applicant!Resume/WorkExperience/O?last=Saved 

Page::> ot ::> 

Email 

deborah.kennedy@faa.gov 

robbin.holmes@faa.gov 

lisaevans~faa.gov 

12/6/2012 
eCFR- Code of Federal Regulations Page 1 of2 

ELECTRONIC CODE OF FEDERAL REGULATIONS 

e-CFR Data is current as of January 28, 2013 

Title 49: Transportation 

PART 173-SHIPPERS-GENERAL REQUIREMENTS FOR SHIPMENTS AND PACKAGINGS 

Subpart A-General 

§ 173.4 Small quantities for highway and rail. 

(a) When transported domestically by highway or rail in conformance with this section, quantities 

of Division 2.2 (except aerosols with no subsidiary hazard), Class 3, Division 4.1, Division 4.2 (PG II 

and Ill), Division 4.3 (PG II and Ill), Division 5.1, Division 5.2, Division 6.1, Class 7, Class 8, and Class 

9 materials are not subject to any other requirements when-

(1) The maximum quantity of material per inner receptacle or article is limited to-

(i) Thirty (30) ml (1 ounce) for authorized liquids, other than Division 6.1, Packing Group I, Hazard 

Zone A or B materials; 

(ii) Thirty (30) g (1 ounce) for authorized solid materials; 

(iii) One (1) g (0.04 ounce) for authorized materials meeting the definition of a Division 6.1, 

Packing Group I, Hazard Zone A orB material; and 

(iv) An activity level not exceeding that specified in§§ 173.421, 173.424, 173.425 or 173.426, as 

appropriate, for a package containing a Class 7 (radioactive) material. 

(v) Thirty (30) ml water capacity (1.8 cubic inches) for authorized Division 2.2 materials. 

(2) With the exception of temperature sensing devices, each inner receptacle: 

(i) Is not liquid-full at 55 oc (131 °F), and 

(ii) Is constructed of plastic having a minimum thickness of no less than 0.2 mm (0.008 inch), or 

earthenware, glass, or metal; 

(3) Each inner receptacle with a removable closure has its closure held securely in place with 

wire, tape, or other positive means; 

(4) Unless equivalent cushioning and absorbent material surrounds the inside packaging, each 

inner receptacle is securely packed in an inside packaging with cushioning and absorbent material 

that: 

(i) Will not react chemically with the material, and 

(ii) Is capable of absorbing the entire contents (if a liquid) of the receptacle; 

(5) The inside packaging is securely packed in a strong outer packaging; 

(6) The completed package, as demonstrated by prototype testing, is capable of sustaininghttp://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=dadfc6el 071789 

i GOVERNMENT 

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~ fla\" 

.._ 5 ___ ....... 1/30/2013 
eCFR- Code of Federal Regulations Page2 of2 

(i) Each of the following free drops made from a height of 1.8 m (5.9 feet) directly onto a solid 

unyielding surface without breakage or leakage from any inner receptacle and without a substantial 

reduction in the effectiveness of the package: 

(A) One drop flat on bottom; 

(B) One drop flat on top; 

(C) One drop flat on the long side; 

(D) One drop flat on the short side; and 

(E) One drop on a corner at the junction of three intersecting edges; and 

(ii) A compressive load as specified in § 178.606(c) of this subchapter. 

NOTE TO PARAGRAPH (a )(6): Each of the tests in paragraph (a)(6) of this section may be performed on a 

different but identical package; i.e. , all tests need not be performed on the same package. 

(7) Placement of the material in the package or packing different materials in the package does 

not result in a violation of§ 173.21; 

(8) The gross mass of the completed package does not exceed 29 kg (64 pounds); 

(9) The package is not opened or otherwise altered until it is no longer in commerce; and 

(1 0) The shipper certifies conformance with this section by marking the outside 6f the package 

with the statement "This package conforms to 49 CFR 173.4 for domestic highway or rail transport 

only." 

(b) A package containing a Class 7 (radioactive) material also must conform to the requirements 

of§ 173.421(a)(1) through (a}(5) or§ 173.424(a) through (g), as appropriate. 

(c) Packages which contain a Class 2 (other than those authorized in paragraph (a) of this 

section), Division 4.2 (PG 1), or Division 4.3 (PG I) material conforming to paragraphs (a)(1) through 

( 1 0) of this section may be offered for transportation or transported if approved by the Associate 

Administrator. 

(d) Lithium batteries and cells are not eligible for the exceptions provided in this section. 

[74 FR 2253, Jan. 14, 2009, as amended at 75 FR 5393, Feb. 2, 201 0; 76 FR 3368, Jan. 19, 2011] 

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