# Description 

BRAY, THOMAS FAA 2013-0621 

Agency Exhibits 

1 Email- Fohlmeister to Alfaro- dtd 20130211- 2 pp. 

2 Photos - dtd 20130409 - 2 pp. 

3 Photos of.Haz Mat- Security and Haz Mat- 20140409- 14 pp. 

4 Sta- Delamore, Cathering 20130212- 2 pp. 

5 MSDS- potassium hydroxide- 4 pp. 

6 LOI - dtd 20130220- to Bray- 6 pp. 

7 Ltr- dtd 20130302 - Bray to Pipping- 1 p. 

8 Email string- Bray and Pipping- 6 pp. 

9 NO EXHIBIT 

10 PHMSA sec. 172.101- 2 pp. 

11 Resume Pipping, Andrew- 7 pp. 

12 Sanctions Guidance 

13 NO EXHIBIT 

14 Complainant's Mot for Dec- dtd 20140409-

ID IN 

X X 

X X 

X X 

X X 

X X 

X X 

X X 

X X 

NO NO 

X X 

X X 

X JN 

NO NO 

X X 
Ron Fohlmeister 

From: Ron Fohlmeister 

Sent: 

To: 

Monday, February 11, 2013 1:31 PM 

Bert Alfaro; AZA_SUPERVISORS 

Subject: FW: Chandler-20130211-00062.jpg 

Attachments: Chandler-20130211-0006l.jpg; Chandler-20130211-00062.jpg; hazmat.pdf 

Bert, 

Here is the Hazardous Materials Discrepancy report. 

All, 

The local FAAoffice will be by tomorrow morning to take pictures and obtain the customer information. 

Thomas Bray· 

PNR P8VZVZ 

Returning on flight 971 April19, 2013 

Booked by Travel Agent 

Travel Masters' 

Sallyjf)! ft 

Y 5 10' 'O'iskn' s "• 'Y 

Wickenburg All·a••lll£ 

928 Iii 1 U:l. 

From: Ron Fohlmeister 

Sent: Monday, February 11, 2013 1:23PM 

To: Ron Fohlmeister 

Subject:. Chandler-20130211-00062.jpg 

This document is certified by the FAA ~be a true copy of th~.: originai lh<!t 

bas been reprodu.~:cd by mt.'Chzanic· : 

orelectrmiicm~ /~ .... Certified py; /:f:vvtf:&/ • -:::::::( 

0a1c: ~(ui'i ~ ~ 

FOR OFFICIAL USE ONLY 

Public Availability to be Dctenuincd 

Under 5 U.S.C. 552 

1 
SP.l!Jt· HAZARDOUS MATERIALS DISCREPANCY REPORT 

USE THIS FORM TO REPORT HAZARDOUS MATERIALS FOUND IN CHECKED BAGGAGE AS REQUIRED BY 49 CFR PART 175.31 

1. When HAZMAT is discovered In checked baggag!l (e.;g. by TSA or NK), enter the appropriate lnfotmatlon as described below: one line per discrepancy. 

INSlRUCTIONS 2. Fax this report to the appropriate FAA Regional or Field Security Office at the end of each clay (if there are discrepancies). 

3. Retain this fonn In the local stalion for liD days. 

CONTACT THE APPROPRIATE FAA REGIONAL OFFICE BELOW TO OBTAIN THE PREFERRED FAX NUMBER. 

Region Number Region Number Region Number Region Number Region Number 

Alaska 907 !;astern 718&3 db New England 781 Southeast 4041 ]I Southwestern 817-- I 

Central 816 Great lakes 847--11111 Northwest 425 Western 310 iii ••• Safety Hotline aoo• IIIII Mtn. Pacific 

Date: 2111/13 I Station: AZA I FaxedTo:310 - . Add Local FAA Contact: 602ji x274 

Person Reporting Discrepancy Aircraft Specific Location of hem Address of Customer Name of Customer What Was Found? Name Phone number Operator (Example: Baggage Office) (if known) 

r3 t~G\..o a~ 

Ron Fohlmeister 48o-•e et ... Spirit Airlines TSA baggage make up Thomas Bray d'r ?61"AS1JCIN\ unk t-H.f 'Ok> '1- tl:x. ~ lt, 02. (3&.~ 

Ron &.. Fohlmeister 48011111 ., ... Spirit Airlines TSA baggage make up Thomas Bray (J).. "i)t~~~,.o(/Jl!u.'4--4"" 

~ unk CL-~4y(... 

Ron Fohlmeister 480 995 

.,., Spirit Airlines TSA baggage make up Thomas Bray ~~~~ unk {)yi~ 5m;(l). ~ 

Ron Fohlmeister 480AII SU1 Spirit Airlines TSA baggage make up Thomas Bray 

.. j"ltrz.. 

VMt~ s~~trl unk ~ 

Spirit Airlines 

< .. Spirit Airlines <= u.-s. 

<>- -5.5 

.O·c:; 

Spirit Airlines "80 

~o:;~» 

fi:S 'o 

·' .!II~ 

0 

~ 

~ ::;., 

~ 

~ 0 

f5 

~ 

~ 

a. 

Q 

~N 

~0 cJb ·• N :::l:i>Q) 

~g. 

"l!!'~ 0. 

~ 

" . I 

N 

c 

c 

~ 

w~ 

~~, 

Spirit Airlines ~ 

~~ ..... 

Iii ~.~ ~.s; 

~~ . Spirit Airlines ":4 

.. ~s L__ __ ------ --------- - ~- ~--- '----------- -- ~ ---

HM.01 Airport Services_ Training and Procedures 0212012 
1 

J.S. DEPARTMENT OF TRANSPORT AT!... ... ~ FEDERAL AVIATION AOMIN"ISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photographs of items retrieved from Sprit Airlines, Inc. (GTIA) Passenger BRAY's 

checked bag 

Photograph # 1 

Photograph of items retrieved from passenger BRAY's checked baggage. Photo was taken by 

GTIA-IWA personnel. 

Interviewed I Reviewed On-...:.A...!Cp"-'-r"""il =9,,_,2""'0:...:1..:::3 _________ ___, 

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONLY (Public availability to be determined under 5 U.S.C. 552) 

FAA FORM 1600-32·1 (9-86) 

At 

1/ 

tv+ 

Qf"rf\ {?0 

~ 1\.0~ 

NJ' /rh 

Phoenix. Arizona 1' 

File No. 2013WP700039 

.1 lOP _____ .....__ 

Page I of t'2 

FAA-2013-0621 

Paqe 1 of 2 
( ' 

J.S. DEPARTMENT OF TRANSPORTATk ... ~ FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photographs of items retrieved from Sprit Airlines, Inc. (GTIA) Passenger BRAY's 

checked bag 

Photograph #2 

Photograph of items retrieved from passenger BRAY's checked baggage.. Photo was taken by 

GTIA-IW A personnel. 

Interviewed I Reviewed On.---!A...!lp,_,_r.!.!..il.::::.9._,, 2:.:0"-'1~3'------------" 

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONLY (Public availability to be determined under 5 U.S.C. 552) 

FAA FORM 1600·32·1 (9-86) 

At Phoenix, Arizona 

File No. 2013WP700039 

j lOP ______ _ 

Page 1-- of_.c ..... ~,.__-

FAA-2013-0621 

PaQe 2 of 2 
Js. DEPARTMENT OF TRANSPORT AT!~) FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photographic Evidence Declaration 

I, Andrew J. PIPPING, am a Special Agent of the FEDERAL AVIATION ADMINISTRATION, serving 

at the Phoenix Arizona Secul'ity Field Office, 2800 N. 44111 Street, Suite 425, Phoenix, Arizona, 85008. 

Pursuant to my duty as a Special Agent of the FEDERAL AVIATION ADMINISTRATION, I regularly 

engage in the investigation of hazardous materials incidents related to aviation, at sites which may or may 

not bed irectly associated with aviation, such as off airpo11 cargo warehouses. Pursuant to my duty, 

imposed by law, I observe and rep011 upon the facts I can discover during the investigation of hazardous 

materials incidents. Moreover, also pursuant to the authority granted to me by the Administrator of the 

FEDERAL A VlATION ADMINlSTRA TION, I make factual findings based upon my investigations of 

hazardous materials incidents. 

I am required, where possible, to record any and all images related to a hazardous materials incident by 

photographic means. These images present part of the FEDERAL A V lA TJON ADM IN I STRA TION' s 

official recorci ofthe hazardous materials incident. During the investigation, I recorded images of the 

hazardous materials incident by means of a digital camera. All such photographs represent the visual 

images of the incident scene as they appeared at the time the photographs were taken. Digital images can 

be altered subsequent to the time of the photograph; in view ofthis, it is the policy ofthe FEDERAL 

AVIATION ADMINISTRATION that such pictures be kept in a secure place, and remain unaltered. 

hereby supply the following infonnation: 

a. Type of camera and imaging medium: 

SAM SUNG SL30 10.2 Mega Pixel Digital Camera 

b. Date and location the images were taken: 

Februaty 12, 20 !2, Spirit Airlines, Inc .. 6033 S. Sossaman Road, Mesa, Arizona 85212. 

Forty-Two (42) Photographs were taken. Thirteen (13) of the Forty-Two (42) photos follow. 

c. Place of storage of the imaging medium: 

FEDERAL AVIATION ADMINISTRATION. Phoenix Security Field Office, 2800 N. 441

" 

Street, Suite 425, Phoenix, AZ 85008, Computer# 0744636100098971 

d. Enforcement Investigative Report (EIR) No.: 

2013WP700039 

I HEREBY CERTIFY that the visual images taken during the investigation leading to, and presented as 

evidence in EIR No. 20 13WP700039 are unaltered representations of the subject matter of the 

• /_. . "' I f'? April9, 2013 

tl\ <<?.:, ,c 

---------------/~ 

invzstigati at the time the im es were taken. 

~--~ 

FAA Special Agent Date 

Interviewed I Reviewed On.__,A;..:Jpo::..:r.!.l.il_,9:...., -=2~0..!..:13::_________ At Phoenix. Arizona !/)/ y 

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONLY (Public availability to be determined under 5 U.S.C. 552) 

FAA FORM 1600·32·1 (9-86) 

File No. 2013WP700039 (!_- 3 ., 1 4 FIM- Zbt3-- Of,; 4 lOP ______ _ 

Page / of •..-..:.._;_ 1'-f __ 
Js. DEPARTMENT OF TRANSPORTATh..J 

FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photographs of items retrieved by TSA from GTIA passenger Thomas BRAY's checked bag 

Photograph # l 

Photograph ofzip-loc bag containing bottles of Potassium hydroxide, solid. 

Interviewed I Reviewed On----"A'""'p:.:..ri:..:..l =9.'-"2=0:;..:1...::;3 _______ _ At Phoenix, Arizona 

By Special Agent Andrew J. PIPPING File No. 2013WP700039 

FOR OFFICIAL USE ONLY (Public availability t.o be determined under 5 U.S.C. 552) 

FAA FORM 1600-32-1 (9-86) lOP t./ 

Page 2- of 1¥ ------
J.s. DEPARTMENT OF TRANSPORTATk.J 

FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photographs of items retrieved by TSA from GTIA passenger Thomas BRAY's checked bag 

Photograph #2 

Photograph of thirteen ( 13 ), four ( 4) ounce bottles of Potassium hydroxide, solid. 

lnteNiewed I Reviewed On__,_A...:~:p:<.!.r!!..il ~9,....:2:.::0::...:1..:.:3:.--. ______ _ 

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONLY (Public availability to be determined under 5 U.S.C. 552) 

FAA FORM 1600·32·1 (9-86) 

At Phoenix, Arizona 

File No. 2013WP700039 

lOP f 

Page 3 of !4 
J.s. DEPARTMENT OF TRANSPORTAT!I. .. J 

FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

.Photographs of items retrieved by TSA from GTIA passenger Thomas BRAY's checked bag 

>l 

Photograph #3 

Side one (1) of four ( 4) ounce bottle of Potassium, hydroxide, solid. 

Interviewed I Reviewed On---'"A~o::.:..ri,_l 9""',._,2::..::0~1~3 _______ _ 

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONlY (Public availability to be determined under 5 U.S.C. 552) 

FAA FORM 1600-32·1 (9-86) 

At Phoenix, Arizona 

File No. 2013WP700039 

lOP_ tj 

Page tj of _..;__ ft/ __ 
) ) J.S. DEPARTMENT OF TRANSPORTATiv.-1 

FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photographs of items retrieved by TSA from GTIA passenger Thomas BRAY's checked bag 

Photograph #4 

Side two (2) of four (4) ounce bottle of Potassium hydroxide, solid. 

Interviewed I Reviewed On___,_A-"p=r.:..:..i1=9l....:, 2=0 ..... 1'""3'----------

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONLY {Public availability to be determined under 5 U.S.C. 552) 

FAA FORM 1600·32·1 {9·86) 

At Phoenix, Arizona 

File No. 2013WP700039 

lOP 1/ 

Page 5 of li 
Js. DEPARTMENT OF TRANSPORT A Tit.-.) 

FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photographs of items 1·etrieved by TSA from GTIA passenge1· Thomas BRAY's checked bag 

Photograph #5 

Side three (3) of tour (4) ounce bottle of Potassium hydroxide, solid. 

Interviewed I Reviewed On.--=.A..!tp::!..rl.!-il .:.:.;9,....:2::..::0~1-=:.3 _______ _ 

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONLY (Public availability to be determined under 5 U.S.C. 552) 

FAA FORM 1600·32·1 {9-86) 

At Phoenix, Arizona 

File No. 2013WP700039 

lOP t./ 

Page..,._;;;_t _o.f I tf 
) ) u.S. DEPARTMENT OF TRANSPORTATIL..4-

FEOERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photographs of items retrieved by TSA from GTIA passenger· Thomas BRAY's checked bag 

Photograph #6 

Side four ( 4) of four ( 4) ounce bottle of Potassium hydroxide, solid. 

Interviewed I Reviewed On.......!.A..!Ip::!!.r!!.il..:.:.9w, 2~0~1~3:...._ ______ _ 

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONLY (Public availability to be determined under 5 U.S. C. 552) 

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

At Phoenix, Arizona 

File No. 2013WP700039 

lOP 4 ·-----~······-

Page ___ J_ ____ of ~j__f_. __ ...... 
J.s. DEPARTMENT OF TRANSPORTATiv.J 

FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photographs of items retrieved by TSA from GTIA passenger Thomas BRAY's checked bag 

Photograph #7 

Side one (1) photograph of two (2) additional receptacles detem1ined to contain Potassium 

hydroxide, solid. 

Interviewed I Reviewed On_....A-'~'p"-'-r,.,_il """9 . ....,2::.::0 .... 1-=3--------

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONLY (Public availability to be detennined under 5 U.S.C. 552) 

FAA FORM 1600-32·1 {9·86) 

At Phoenix. Arizona 

File No. 2013WP700039 

lOP t/ 

Page_!_ __ :~---~~-----. 
) \ 

(LS. DEPARTMENT OF TRANSPORTATI'-'.J 

FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photographs of items retrieved by TSA from GTIA passenger Thomas BRAY's checked bag 

Photograph #8 

Side two (2) photograph of two (2) additional receptacles detem1ined to contain Potassium 

hydroxide, solid. 

Interviewed I Reviewed On___.!.A..::P::.:..ri:.:...l 9=-·....:2::.::0:...:1..::::3 _______ _ 

By Special Agent Andrew J. PIPPING 

FOR OFFICIAl. USe ONI. Y (Public availability to be determined under 5 U.S.C. 552) 

FAA FORM 1600-32·1 (9·86) 

At Phoenix, Arizona 

File No. 2013WP700039 

L{ lOP 

---:;1;:---·-J..}-:---

Page ___ of /1 
) . J.S. DEPARTMENT OF TRANSPORTATk .. .i 

FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photog1·aphs of items rett·ieved by TSA from GTIA passenger Thomas BRAY's checked bag 

Photograph #9 

Side three (3) photograph of two (2) additional receptacles detem1ined to contain Potassium 

hydroxide, solid. 

Interviewed I Reviewed On---'-A..!tp::.:..r!.!.-11 ~9,,_,2:..::Dw1..::;3 _______ _ 

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONLY (Public availability to be determined under 5 U.S.C. 552) 

FAA FORM 1600-32-1 (9·86) 

At Phoenix, Arizona 

File No. 2013WP700039 

lOP__!/__·-----~-···----· 

Page _ _/0 ___ of_~_i_ __ _ 
) ) 

J.S. DEPARTMENT OF TRANSPORTAT!c .. 

FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photographs of items retrieved by TSA from GTIA passenge1· Thomas BRAY's checked bag 

Photograph # 10 

Side four (4) photograph of two (2) additional receptacles determined to contain Potassium 

hydroxide, solid. 

Interviewed I Reviewed On-.!..A..!tp"-'-r!!..il.:::.9.....,, 2::.o0,_,1c.::3~-------· 

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONLY (Public availability to be determined under 5 U.S.C. 552} 

FAA FORM 1600-32-1 {9-86) 

At Phoenix, Arizona 

File No. 2013WP700039 

lOP if. 

Pag~~{T=~~--~lf=~= 
' J.s. DEPARTMENT OF TRANSPORTATI\..) 

FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photogranbs of items retrieved by TSA from GTIA passenger Thomas BRAY's checked bag 

Photograph #11 

Tap photograph of two (2) additional receptacles determined to contain Potassium hydroxide, 

solid. 

Interviewed I Reviewed On-..:..A..,..p'"'"ri:..:..l =9,'-"2"""0:...:.1=3 _______ _ 

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONLY {Public availability to be determined under 5 U.S.C. 552) 

FAA FORM 1600·32·1 (9-85) 

At Phoenix, Arizona 

File No. 2013WP700039 

lOP 4 

Pag:.~.~~:=~~:~Jf·--·--·· 
' 'l ) 

u.S. DEPARTMENT OF TRANSPORTATh. ... 4 

FEDERAL AVIATlON ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Photographs of items retrieved by TSA from GTIA passenger Thomas BRAY's checked bag 

Photograph # 12 

Bottom photograph oftwo(2) additional receptacles determined to contain Potassium hydroxide, 

solid. 

Interviewed I Reviewed On---=-A_,.p:.:..n:.:..'l ,..9,._,2=0:..:1=3 _______ _ 

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONLY (Public availability to be determined under 5 U.S.C. 552) 

FAA FORM 1600·32-1 (9-86} 

At Phoenix, Arizona 

File No. 2013WP700039 

lOP t/ -·-----·-·---

Page_!Lof_{1 -·--.. -
' \ 

J.s. DEPARTMENT OF TRANSPORTATf...__:1 

FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

· Photographs of items •·etrieved by TSA from GTlA passenger Thomas BRAY's checked bag 

Photograph # 13 

Photograph indicating total weight (in pounds) of product determined to be Potassium hydroxide, 

solid. 

Interviewed I Reviewed On,---:.A...!l:p::.:.r:..:...il ~9 ...:2::..::0:..!1.:::::.3 _______ _ 

By Special Agent Andrew J. PIPPING 

FOR OFFICIAL USE ONLY (Public availability to be determined under 5 U.S. C. 552) 

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

At Phoenix. Arizona 

File No. 2013WP700039 

lOP lj 

Page __ )_f_of !¥ ____ _ 
0 

U.S. Department of Transportation Federal Aviation Administration STATEMENT 

I'S~/2-

Location oflnterview .s{lf~l-1' #I~IJII£~>643;'J J9sJct.nf<£1f fJ, tfesa. #e Date h,&,.loW,.Y IZ, zct-s 

I, dlhlf~t~ I, /)EL//Ho~& , make the following statement freely and. voluntarily to, 

(Print Name of Interviewee) 

....;!IJ:..;,M,.....;;'P...,...'£_41!..,...iJ/..,.........,...:...f,;..:.~.:...~A:..:..v/6-=---- , who has identifie~erselfto me as a Special Agent ofthe Federal 

(Print Agent's Name) . 

Aviation Administration. No promises or threats have been made to me and no pressure or coercion of any kind 

has been used against me. I make this statement with full knowledge that it may be used in any administrative or 

criminal proceedings. 

{),_ hh,..,,.,7 i/1 1Dt3 ;;;: 6J4S' 11t2d¥/v/ O'f -/i.e. _,;.a~rW'f:1-. 

,t&cdlrat &.uldr~~~ d .fcJg,~t'ol)~ t:k.s d~d61.~'~;, A. 

/hff~'s- L., IJfh"- l'e~p,..J·""? I d'-4-~"'' •,..J ~ ;::&ss--e~e- !s 

k,~ kb~ -6., I!L /(s-d-"Fr /Itt~ fi.6JU.s ~· 

FAA Fonn 1600:60 !1.SO) 

PaQe 1 of 2 
0 

U.S. Department ofTransportation Federal Aviation Administration LAST PAGE OF STATEMENT 

I have read this entire statement consisting of 2-- pages. I have been given the opportunity to make 

any additions, deletions, or ~rrections. I have initialed each page and all corrections. This statement is the 

1ruth to the best of my knowledge and recollections. 4W-p?...,~o::....-----.._-

Subscribed and sworn before me a person autho~'ed ~ ·by l~w''to administer oaths this 1¢' 

f.J~"-"'"1 , 20 I' , at /:3 3 0 '--'.v , ~, 1{2- -z._ ~ 

(Signature of Witness) 

FAA Fonn 1600-66 (1.s0) 

FOR OFflCIAL USE ONLY 

Public Availability to be Detennined 

Under S U.S.C. 552 

IOP_ ..... b"'-----

Page 

day of 

FM-2013-0621 

P::~nA? of 2 
Material Safety Data Sheet 

Potassium Hydroxide 

section .1· ~ Chenii~{~~u·ci: a riC! ·~~~~·~y identification .·. . .... -:•· . . .. . . . 

-... - . -· ----· ------.. ·-·-·· .. ----·-~-----_,;__- ~ . ----.. ·------.... ..;....... ____ ---....o .. -----·····----·------·--·- ....... -·-·-·-.··· -·. . -- . .... . .... 

MSDS Name: Potassium Hydroxide 

Catalog Numbers: KOH-4, KOH-8, KOH-40, KOH-BULK 

Synonyms: Caustic potash, Lye, Potassium hydrate 

c;:ompany Identification: 

Essential Depot, Inc. 4210 Lafayette Ave, Sebring, FL 33875 

For information, call: 863-658-4230 

. For CHEMTREC assistance, call 800-424-9300 

For International CHEMTREC assistance, call: 703-527-3887 

- ~: ~ ·:-:~---- ••.• ' .... _ ............ ~--:-:.:...,.c .• :-.. ~ ... -· .. -~-- .'--·-=-· ..... -:-•"'•',".' ...... ··- ~ .. : ........... ~~:--·· .. . 

.. :L sestion 2 .-~~~~~:~i~;.~~~~;·~?o ~n .I~gr~ie.ntS .·· 

.. -__________ ., ____ ........ ----~- .. - --· -· -- ....•.... ~ ·--······· .... --·-.... '. -· --: 

CAS# 

1310-58-3 

EINECS/ELINCS 

215-181-3 

Appearance: white or yellow. Danger! Corrosive. Water-Reactive. Harmful if swallowed. Causes severe eye and skin burns. Causes severe 

digestive and respiratory tract burns. 

Target Organs: None. 

Potential Health Effects 

Eye: Causes severe eye burns. May cause irreversible eye injury. Contact may cause ulceration of the conjunctiva and cornea. Eye damage 

may be delayed. · 

Skin: Causes skin burns. May cause deep, ~netrating ulcers of the skin. 

Ingestion: Harmful if swallowed. May cause circulatory system failure. May cause perforation of the digestive tract. Causes severe digestive 

tract burns.with abdominal pain, vomiting, and possible death. 

Inhalation: Harmful if inhaled. Irritation may lead to chemical pneumonitis and pulmonary edema. causes severe irritation of upper 

respiratory tract with coughing, burns, breathing difficulty, and possible coma. 

Chronic: Prolonged or repeated skin contact may cause dermatitis. Prolonged or repeated eye contact may cause conjunctivitis • 

. . ~- . . ~~~~~ . ~ :' 

•'.. ~~tAIJ '·: 

:~~~~~ ..... ' ~ . . . . . . ~ . . . . . . . . . . . . , ,.,, ,, , ,.,.,,, ~-.... .,, , ., , ''""•·•·•-'•·· .. ~., •• , ..._8.,.,.,._,.,.,.v.,...., .. _ '~'--• ,._ ...................... _,.._,-,,., .. .,..,_ .. _ .. .,,_.. ... ,.o.,,. .. ,, ............. ,....,,...,., .... _......,.1.. __ -·•• •·-·~ ' • .,... ..... ~ .. ...-. .. _, .• _,_._ -••~· ••·' .. ,,, 

Eyes: Immediately flush eyes with plenty of water for at least 15 minutes, occasionally lifting the upper and lower eyelids. Get medical aid 

immediately. · 

Skin: Get medical aid immediately. Immediately flush skin with plenty of soap and water for at least 15 minutes while removing 

contaminated clothing and shoes. Discard contaminated clothing in a manner which limitS further exposure. 

Ingestion: Do NOT .induce vomiting. If victim is conscious and alert, give 2-4 cupfuls of milk or water. Never give anything by mouth to an 

unconscious person. Get medical aid immediately. 

Inhalation: Get medical aid immediately. Remove from exposure to fresh air imm~diately. If breathing is difficult, give oxygen. If breathing 

has ceased apply artificial respiration using oxygen and a suitable mechanical device such as a bag and a mask. 

Notes to Physician: Treat symptomatically and supportiveiy. 

~c;m' 5 .~ Fi~ Fighting Me~~Urj!S •. . . ~ ,. . ·.· ;·: . :· . . .. ., ' . . . . . . . .. O' '''• 

0 

·-·· .. -•,Moo ·····--···· .. ~--•• ,.-.:....:, ... .;.,,,,._,_....,_ ...... _· • __ •___ __.,.,,_..._.,_.~-·· -··....:.:.. .. .-_._ .. ___ __..!..,...__ .._.~·· -··· .. -··~·~····-: ... N .. ,..,.,,_;..._,,4 _,.,., 0, Oo •- ,_,_ ooo ....... , o •o oO ''' 

General Information: As in any fire, wear a self-contained breathing apparatus in pressure-demand, MSHA/NIOSH (approved or 

equivalent), and full protective gear. Use water with caution and in flooding amounts. Contact with moisture or water may generate SJJfficient 

heat to ignite nearby combustible materials. / 

Extinguishing Media: For small fires, use dry chemical, carbon dioxide, water spray or alcohol-resistant foam. _.....\- ? ,.. """;/) 

.. )\_ . '7 rJ~ . \v\D ) · -

1/~.vL ... , .. ., .. .. . 'rP'/ 

~-·· ··.······· ............ - .. ~ ... ~-~...:.:-.-:--:· ,l- :··-..... ;·:·:·:- ·:·..:7'':·· ·:::·.· 

· · . . . . .. · · se~qrf (f .7~bC:ciC!enta!::~~-ie~~~ Me~sures .... -···-···---· ........ ---. .................. _ .. -: .. _ _;,,.. _ _.. •.. ; ... ::;.. ...... -.:.~ . .'~~-..i.:-~_:~_;:~.:.:-. .. L...:_~~ ...:. ... ~ ......... ,_,,_,...,.._.,.....;._ .. -····· ··-

Piflft/~Ni~o:sweep 

• • Use proper 

up 

personal 

material 

protective 

and place 

equipment 

into a suitable 

as indicated 

disposal container. 

in Section 8. 

Avoid generating dusty conditions. /~ to be alrUC copy of the origi "'"' ~been by mc;:h · n: ... or m FOROFFICTAL USE m.:LY 

Public Availability to b.: Determin'ed 

Under S U.S.C. 552 

f IOP ____ ---.--

Page.--...:/_~_1) __ 

FAA-2013-0621 

PaQe 1 of 4 
Section 7 -Handling a~d Storage 

Handling: wash thoroughly after handling. Use with adequate ventilation. Do not allow water to get into the container because of violent 

reaction. Do not get in eyes, on skin, or on clothing. Do.not ingest or inhale. 

Storage: Store in a tightly closed container. Store in a cool, dry, well-ventilated area away from Incompatible substances. Keep away from 

strong acids. Keep away from water. Keep away from metals. Keep away from flammable liquids. Keep away from organic halogens. 

Section 8 - Exposure Controls, Personal Protection 

.... '#~---·· ... ~ .... ·-···- .•..... ~. ~~._ .............. · .. ,~· ... -~ '·. 

Engineering Controls: Use adequate general or local exhaust ventilation to keep airborne concentrations below the permissible exposure 

limits. 

Exposure Limits 

Cheri'lical Name ACGIH •·. 

Potassium hydroxide (KOH) 

OSHA Vacated PELs: Potassium hydroxide (KOH): C 2 mg/m3 

Personal Protective Equipment 

. . : 

. ",_· 

Eyes: Wear safety glasses and chemical goggles or face shield if handling liquids. 

Skin: Wear appropriate gloves to prevent skin exposure. 

Clothing: Wear appropriate protective clothing to prevent skin exposure • 

· •. NIOSH OSHA • Final PELs 

none listed none listed 

. Respirators: Follow the OSHA respirator regulations found in 29CFR 1910.134 or European Standard EN 149. Always use a NIOSH or 

European Standard EN 149 approved· respirator when necess~ry • 

. • ~ ....... .....;. ........... -----..... ~ ... ..,-......... -. '• .,, .•.. , ......... ~.~.- .............. ~ ........ .,........--. ...... .v .••• ···----....... ,.,. __ ,_.,..,,,., ... --·.::. ···~- ..• , .................. ~··. ~ -, .•.. , .• ' ....... -· 

Physical State: Solid 

Appearance: white or yellow 

Odor: odorless 

pH: 13.5 (0.1M solution) 

Vapor Pressure: Not available. 

Vapor Density: Not available. . 

Evaporation Rate:Not available. 

Viscosity: Not available. 

Boiling Point: 2408 deg F 

Freezing/Melting Point:680 deg F 

Autoignition Temperature: Not applicable. 

Flash Point: Not applicable. 

Decomposition Temperature:Not available. 

NFPA Rating: (estimated) Health: 3; Flammability: O; Reactivity: 1 

Explosion Umits, Lower:Not available. 

Upper: Not available. 

SolubiUty: Soluble in water 

Specific Gravity /Density:2.04 

Molecular Formula:KOH 

Molecular Weight:56.1047 

SeCtion 10.- ~tability,and Reactivity .... ' .· ... ·'. . '' ' ' "''' '•' ''• '"'"-•·•· ''•• ··•- ... ,,,,,... ''••••••<,•• .. ...::,..,, ·~···-.. -·••-·•;,,, •••o~<••••--.n-.~-··~¥"0:....:.:_~ .... -• .:,, o\,>o:.:.. •. _ ...... ...:...;.__;_,M_ ,.,:.~ .. , ••••-••·,__,:,.,,~·~ ••• ~-"~••• 

Che"!i~al Stability: Stable. Readily absorbs carbon dioxide and moisture from the air and deliquesces. 

Cond1t1ons to Avoid: Incompatible materials, moisture, contact with water acids metals. 

I~compa~ibili~ie~ wit~ Other Materi~Js: Generates large amounts of heat when' in contact with water and may steam and splatter. Reacts 

wrth chlor~ne droxrde, mtrobenzene, nitromethane, nitrogen trichloride, peroxidized tetrahydrofuran, 2,4,6-trinitrotoluene, bromoform+ crown 

ethers, acrds alcohols, sugars, germanium cyclopentadiene, maleic dicarbide. Corrosive to metals such as aluminum, tin, and zinc to cause 

formation of flammable hydrogen gas. 

Hazardous Decomposition Products: Oxides of potassium. 

H • 'on: Has not been reported. 

This document is certified h•, . to boa lrue(ll)py of the mig·:>:.• 

hasflcco.rcprodu by mcciozlll" 

or means. • 

Certified~ . ~ 

Date: ft~ -2.e.l} -.! 

FOR OFFICIAL USE ONLY 

Public Availability to be Detennined 

Under 5 U.S.C. 552 

! 

IOP_-::-----r---

Page '), eJ?f,_;;~­ FAA-2013-0621 

Paqe 2 of4 
· Section 11 - Toxlccilogical Information 

... . -·~··· ........ -~-·- -~.-..-... ~ •. , , ... ·~-·-··•w..:-:.> .......... - ...... ~. ,_,--i.' .. ,,.. .... ..,. .,.;,>~>..-••f""'-""'"""" .......... .~- ............ ·······"· . ~ .. ---·-..- . ' 

RTECS#: 

CAS# 1310-58-3: 112100000 

LDSO/LCSO: 

CAS# 1310-58-3: 

Oraize test, rabbit, skin: 50 mg/24H Severe; 

Oral, rat: LDSO = 273 mg/kg;<BR. 

carcinogenicity: 

CAS# 1310-58-3: Not listed by ACGIH, IARC, NIOSH, NTP, or OSHA. 

Epidemiology: No data available. 

Teratogenicity: No information reported. 

Reproductive Effects: No data available. 

Neurotoxicity: No data available. 

Mutagenicity: No data available. 

Other' Studies: No data available. 

,, ',._.,,.,,_, _____ o•O -·¥O ,.., ... _,, ... 0 .,,, OOO~oo ., ______ --.. ··:•-::•-•ooOO:MMO•o• ~-····· 0 0 ''' --·•' ''' 0 

Section 12- Ecological Information . . . . '• . . . . . . . . 

. . . . . . . ..... , .... ~- ............. .,., ___ ....... _ ... _ ...................... _ .. ,.,, ...... __ ~----~·- ............... _____ .;..,......,........:....--·------· ... --...... --.,~ .... ~-- ... ,....._.. .. ,.-...... ..;---- •... _._ .. ·'"-

Ecotoxicity: Fish: Mosquito Fish: LCSO-= 80.0 mg/L; 24 Hr.; Unspecified No data available. 

Environmental: No information found. 

Physical: No information found. 

Other: No information available. 

. .· : · . , ··. · Sectlon· 13 ,. Olsposai .considerations :··' ,:_ ...... ·-.·-.: ·~·. ~ .·.~ ....... · · .. ; + .... ·. ···-·~·_,;, ... ,'•!'" "·; •. ,:_ -.: •• ~ .......... :; 

Chemical waste generators must determine Whether a discarded chemical is classified as a hazardous waste. US EPA guidelines for the 

classification determination are listed in 40 CFR Parts 261.3. Additionally, waste generators must consult state and local hazardous waste 

regulations to ensure complete and accurate classification. 

RCRA P-Series: None listed. 

RCRA U-Series: None listed. 

. , . . Section 14 - Transportlnfcim'latlon . ; . . .. . . . ' .: .. . . :•'; .. ~ '. t \, :-,. ; • . ., . ' . . . . 

··- .. ..:._ .. -- ····-·-···--·- __ : __ ,~ ~ ........ --:-.. l..o,.o.:.._~_:.:.~---...:...-·· _,:..__ _____ , __ ..... ·----------· ...... --

... us·ooT: : i:ATA·:: . ' . . ~ . .. • RID/ADR ··' .......... 

Shipping Name: POTASSIUM 

HYDROXIDE, SCUD 

Hazard Class: 8 

UN Number: UN1813 

Packing Group: II 

. s~o~ fs .- Rf!g~;~ram.rv Information . . .. . . . . . . . . . . ' 

,,,o, .. ,•••••o!<o o - ~ .... , ,,_ ................ - ... oo ,,..... o'" N'l'oi .... .,,,· ................. A .... ..., .. •\-....... --...~ .... , •.• :-. .......... ,,.,..,,,,,.,,,,,_ 

US FEDERAL 

TSCA 

CAS# 1310-58-3 is listed on the TSCA inventory. 

Health &. Safety Reporting List 

None of the chemicals are on t~e Health & Safety Reporting List. 

Chemical Test Rules 

None of the chel'i'l~mll'n"Pm~"''"'T1T!Mr-.n=""'""~o.--.. Chemical Test Rule. 

Section 12b This doc:ument is certified by the Fi\A 

to be a true copy of the original that FOR OFFICIAL USE ONLy 

!las been :!i3rodu. by m~· ~· 

1

: Public Availability to be Oetcmtined or pc~ • Undcr5U.S.C.552 

Ccrti&cdby; 

......._ i/_,,. --:7r..f2 

'AI:V(., - -/ ~ 

IMO Canada TOG 

POTASSIUM 

HYDROXIDE 

8(9.2) 

UN1813 

II 

( IOP_~---r---

~.._.3__.,_.of 4 

C-5-

FAA-2013-0621 
None of the chemicals are listed under TSCJ. .:tion 12b. 

TSCA Significant New Use Rule 

None of the chemicals in this material have a SNUR under TSCA. 

SARA 

·section 302 (RQ) 

CAS# 1310-58-3: final RQ = 1000 pounds (454 kg) 

Section 302 (TPQ) 

None of the chemicals in this product have a TPQ. 

SARA Codes 

CAS # 1310-58-3: acute, reactive. 

Section 313 

No chemicals are reportable under Section 313. 

~~~:~~~r~fdoes not contain any hazardous air pollutants. This material does not contain any Class 1 Ozone depletors. This material does 

not contain any Class 2 Ozone depletors. 

Clean Water Act: 1

· t d p · ·ty p 11 t t CAS# 1310-58-3 is listed as a Hazardous Substance under the CWA. None of the chemicals in this product are IS e as non ° u an s 

under the CWA. None of the chemicals in this product are listed as Toxic Pollutants under the CWA. 

OSHA: 

None of the chemicals. in this product are considered highly hazardous by OSHA. 

STATE . I · M" t CAS# 1310-58-3 can be found on the following state right to know lists: California, New Jersey, Florida, Pennsy vama, mneso a, 

Massachusetts. • _ california No Significant Risk Level: None of the chemicals in this product are listed. European/International Regulations 

European Labeling in Accordance witl:t EC Directives 

Hazard Symbols: 

c 

Risk Phrases: 

R 22 Harmful if swallowed. 

R 35 Causes severe burns. 

Safety Phrases: 

S 26 In case of contact with eyes, rinse immediately 

with plenty of water and seek medical advice. 

S 36/37/39 Wear suitable protective clothing, gloves 

and eye/face protection. 

S 45 In case of accident or if you feel unwell, seek 

medical advice immediately {show the label where 

possible). 

WGK (Water Danger/Protection) 

CAS# 1310-58·3: 1 

Canada 

CAS# 1310-58-3 is listed on Canada's DSL List. CAS# 1310-58-3 is listed on Canada's DSL List. 

This product has a WHMIS classification of DlB, E. 

CAS# 1310-5!3-3 is listed on Canada's Ingredient Disclosure Ust. 

Exposure Limits 

CAS# 1310-58-3: OEL-AUSTRAUA:TWA 2 mg/m3 OEL-BELGIUM:STEL 2 mg/m3 

OEL-DENMARK:TWA 2 mg/m3 OEL-FINLAND:TWA 2 mg/m3 OEL-FRANCE:STEL 2m 

g/m3 OEL-JAPAN:STEL 2 mg/m3 OEL-THE NETHERLANDS:TWA 2 mg/m3 OEL-SWI 

TZERLAND:TWA 2 mg/m3 DEL-UNITED KINGDOM:TWA 2 mg/m3;STEL 2 mg/m3 OEL 

IN BULGARIA, COLOMBIA, JORDAN, KOREA check ACGIH TLV OEL IN NEW ZEAL 

AND, SINGAPORE, VIETNAM check ACGI TLV 

oo• ;...,.,,: o •0-M~o .. •o---~·•••o .. •O•"o o:ooo'o,, o¥0 Oo ooo-oo 

.. . . 

·.Section 16 .: A~~l.ti~nar $n~orm~tion: . 

······-·' -~ ·-·-·-·-~------~ .. ·---··--... ··---·-·----~- -·-------~~--~:..~:.:.i~ ... ~-.. ~-~--·~·· __ ·_._·:.~- ~ . .._ ...... ,...N-'0 .. -• --·---~ -·-··-·· · ........... . 

MSDS Creation Date: 6/21/1999 

Revision #3 Date: 10/06/2000 

The information above is believed to be accurate and represents the best information currently available to us. However, we make no 

warranty of merchantability or any other warranty, express or Implied, with respect to such information, and we assume no liability resulting 

from its use. Users should make their own investigations to determine the suitability of the information for their particular purposes. In no 

event shall Essential Depot, Inc. be /lable for any claims, losses, or damages of any third party or for lost profits or any special, indirect, incidenta 

consequential or exemplary damages, howsoever arising, even if Essential Depot, Inc. has been advised of the possibility of such damages. 

FOR OFFICIAL USE ONLy 

Public Availability to b.: Dctenniued 

Under 5 U.S.C. 552 

0 

IOP_---:-----,.--

Page._4....__of t/ 

C-5 

FAA-2013-0621 

P::u1A 4 nf 4 
u.s. Department 

of Tronsportoflon 

Federal Aviation 

Administration 

February 20, 20 13 

Joint Security and Hazardous Materials 

Safety Office, West 

CERTIFIED MAIL-RETURN RECEIPT REQUESTED 

Dear Mr. Bray: 

Letter of liwesti.gation 

File Number: 2013WP700039 

2800 N. 44tn Street, Suite 425 

Phoenix, AZ 85008 

The Federal Aviation Administration (FAA) has initiated an investigation into the circumstances 

surrounding your alleged violation(s) of Title 49, Code of Federal Regulations ( 49 CFR) known as the 

known as the Hazardous Materials Regulations. 

Specifically, on February 11, 2013, you offered undeclared hazardous materials described as Potassium 

hydroxide, solid, hazard class 8, UN 1813 in your checked baggage to Spirit Airlines, Inc. at PhoenixMesa Gateway Airport, Mesa AZ. 

The purpose of this investigation is to detennine if you violated 49 CFR • Parts 171-173 in that the 

hazardous material was not properly declared, marked, labeled packaged· or prepared for transportation in 

air commerce. Under provisions of Title 49, United States CodeS 123(a)( I), you may be subject to civil 

penalties for each violation. 

You are encouraged to provide a response to this incident. Your response should include a detailed 

account of both the extenuating and mitigating circumstances that resulted in this incident which you feel 

have a bearing on this investigation. 

Your response, if any, should be received in this office within ten (10) calendar days from your receipt of 

this letter. If no response is received at that time, our report will be processed without benefit of your 

infonnation. Please contact Special Agent Andrew Pipping at 602-6 5 T or andrew.p;pp· I 

with any questions you may have. 

s~-~ Carl 

Manager, 

Mosby, 

FAA 

~'#/" Security aniHazardous Materials 

Enclosure: Privacy Act Notice 

FORO~aALUSBONLY 

Public A vall ability to be Dctcnnim:d 

Under S U.S.C. 552 

lOP // 

Page I of·/ 

FAA-2013~ Paqe 1 of 6 
U.S. Deportmenl 

of Trc:"lsponotion 

Federal Aviation 

Administration 

February 20. 2(. 

Joint Security and Hazardous Materials 

Safety Office, West 

SENDER:co · THtSSEet/oN· ·: 

CERTIFIED l\ '1\i J 1111 Complete item,-1, 2, and 3. Also complete 

> • • ~ 

item 4 if Restricted Delivery is desired. 

11 Print your name and address on the reverse 

so that we can return the card to you. 

2800 N. 441n Street. Suite 425 

Phoenix, AZ 35008 

Deliver/ 

2.. •\3 111 Attach this card to the back of the mailpiece, 

or on the front if space permits. 

1. Article Addressed to: D. Is de!ivery addrnss different from item -1-?-l:) Yes 

If YES, enter delivery address below: 0 ·No 

' ~ 

Dear l\:!r. Bray: 

The federal Av 

surrounding yot 

known as the H. 

~\~ 

't .. :~ 

D Express Mall 

0 Return Receipt for Merchandise 

oc.o.D. 

Specincally. on -~L~A~rt;~;~~N~um;b~c;r~~~~~~~~7~0~1~1~1~5~7~0~0~0~0~1~~~~~~~~~~~ (Transfer from seNice /abe~ hydroxide. solic 

,I G , . . : PS Form 3811, February 2004 iv esa lOtc\vD} .· ... ,. __________ . ·-· Domestic Return Receipt 

The purpose of this investigation is to determine ifyou violated 49 CFR. Pans 171-173 in that the 

hazardous material was not properly declared, marked, labeled packaged or prepared for transportation in 

air commerce. Under provisions of Title 49, United States Code 5123(n)( I). you may be subject to civil 

penalties for each violation. 

You are encouraged to provide a response to this incident. Your response should include a detailed 

account of both the extenuating and mitigating circumstances that resulted in this incidem which you feel 

have a bearing on this investigation. 

Your response. i r any, should be received in this office within ten (I 0) calendar days l'rl~m your r~ccipt or 

this letter. lf no response is received at that time. our report will be processed without benefit of your 

information. Please contact Special Agent Andrew Pipping at 602-667-6077 or andre\\ .pippinujjlaa.l.!o\· . I . I t . ~ " \\ tt 1 any questions you may wvc. • · -

s~-~ Carl 

i\lanagcr. 

Mosbv. 

FAA 

~Y/ Sccunty anlrlazardous l\latermls 

Enclosure: Privacy Act Notice 

FOR OFFICIAL USE 0>.7:_\' 

Public :\l·~il:!;,i!::y ta be n.'!c;-;::!::;;,; 

UnJ~r 5 U.$.C. 5.5:2 

I( lOP_--'-----,.--

Fage / of I ----

C-6 

FAA-2013-0621 

Paqe 2 of6 
u.s. Department 

or Transportation 

Federal Aviation 

Administration 

Privacy Act Notice 

This Notice is provided in accordance with Section (e}(3) oflhc Privacy Act, 5 U.S. C. Section 

552a(e)(3}, and concerns the infonnation requested in the letter or form with which this Notice is 

enclosed. 

(A) Authority: This information is solicited pursuant to 49 U.S.C. § 40 113(a) and the 

regulations issued under that statutory provision codified in 14 C.F.R. part 13. Submission 

of information is voluntary. 

(B) Principal Purposes: 

(I) The request for information is intended to provide you with an opportunity to 

Participate in the investigation. 

(2) The requested information will be used to help detennine whether or not there has 

been a violation of the Federal Hazardous Materials Regulations. and if so, what,· if 

any, enforcement actio~ should be taken. $ 

(C) Routine Uses: Records from this system of records may. be disclosed in accordance with 

the following routine uses that appear in the System of Records No. DOT IF AA 847, 

General Air Transportation Records on Individuals, DOT IF AA: 

(1) To provide basic airman certificate and qualification information to the 

public upon request. 

(2) To disclose infonnation to the National Transportation Safety Board (NTSB) in 

connection with its investigation responsibilities. 

(3) To provide iufonnation about ainnen to Federal, state, and local law 

enforcement agencies when engaged in the investigation and apprehension 

of drug law violators. 

(4) To provide infonnation about enforcement actions arising out of violations 

of the Federal Hazardous Materials Regulations to government agencies, the aviation 

industry, and the public upon request · 

(5) "To disclose information to another Federal agency, or to a court or an 

administrative tribunal, when the Government or one of its agencies is a party to a 

judicial proceeding before the court or involved in administrative proceedings before 

the tribunal. · 

(D) Effect Of Failure To Re§ROnd: The FAA cannot impose any penalties upon yo~ if you fail 

to respond to this letter of investigation. If you fail to supply the requested infonnation, 

however, the FAA will ·make detenuinations about possible enforcement action for this 

matter without the benefit of your comments on this matter. 

FORO~OALUSEONLY 

Public Availubility !O bll Dcaennincd 

Unde,r S U.S.C. SS2 

IOP_I:..:..I--.---

Page.._z,_-Jof b 

C-6 

FAA-2013-0621 

Paqe 3 of6 
1!1 Complete items 1, e:., and 3. Also complete 

item 4 if Restricted Delivery is desired. 

I!! Print your name and address on the reverse 

so that we can return the card to you. 

Ill Attach this card to the back of the mail piece. 

or on the front ii space permits. 

l. Article Addresssd to: 

2. Art1Cte N:;mber 

(i:--ansfer from servtce /a!:Jelj 

A. Signature 

OAg211t 

1-X--------------,.-- n !o\ddr~ss~:E B. Received by (Printed Name} 

D. Is ce:ivery ado ross differ.?~: fro":"! item 1' 

U YES, enter delivery address ~eio·.-.: 

3. Ser;ice Type 

0 Certiiied Ma:t D Express Mail 

Yes 

0 N~ 

PS Form 3811 , February 2004 Domestic Return P.ecei:,t 

j(;;:::_ll_~_ 

F 1ge_J _ __;Of {.y C-6 

FM-2013-0621 

Paqe 4 of6 
UNITED STATES t· .:iTAL SERVICE IIIII · First-Class Mall Pos~e & Fees Pald 

USPS 

Permit No. G-10 

• Sender: Please print your name, address, and ZIP+4 In this box • 

FAA Joint Security and Hazardous Materials-West 

PHX SECFO- Attn: Andrew Pipping 

2800 N. 44111 Street, Suite 425 

Phoenix, AZ BSOOtHSS6 

FOR OFFICTAL USE.ONL y 

Public Availability to be Detennined 

Under s u.s.c. 5S2 · 

IOP_!J71_-r--

Page 5' of 6 

·----

C-6 

FAA-2013-0621 

Paqe 5 of6 
U.S. Department 

llf Transportation 

!Federal Aviation 

Admiinistration 

Oflir:ial Ku:;inn~>s 

Prm:1llv fo1 P1ivaiiJ ll:a' $:100 

r·AA l~onn 1360-(i(lHI!I} 

F M Joint Security .Jnd Haz:udou~ Matl!riills- We!~ I 

JlllX SECFO- Alln: Andrew PiJ>pinll 

2800 N. 44'" Street, Suite •125 

l'ho.,ntx, AZ 115008·1556 

if.~~ifz[~E;~ · :-i~rt1.D11t.D.li~t'.tt:~;~~~}~_,:TI:,:~·f:~~hi 

I Ill IIIII 

7011 1570 0001 7877 n~Aq 

~I I }:; 

~H £.1. g> Q a. 

?-<il 

1:?. -~ if:- E 

0" •• , >; .... 00 Q :~ 

~2:.i 

,...J!'lvi 

<o:;., 

~Ev• ....,. .C> lj t:: ,g '":1 f.J... r. tl 

0~~ 

~~' 

Ofi 

t.:.,.;.l.( 

co~co 

'N'+-- ()coo 

9co 

C"0Q) 

c;o: 

N C1l ,a.. 

~ 
{In Archive} Fw: 

tom bray 

to: 

Andrew Pipping 

03/02/2013 11:20 PM 

Hide Details 

From: "tom bray., 

To: Andrew Pipping/AWP/FAA@FAA, 

History: This message has been replied to. 

Archive: This message is being viewed in an archive. 

Sent Saturday, March 02,20131:16 AM 

I hope this arrives to you in a timely manner. 

Page 1 of 1 

Please let me explain the circumstances concerning the potassium Hydroxide issue as well as.I .ca~ 

-for 

this email' 

me. 

I am 

She 

currently 

was also 

in Columbia 

away In Seattle 

South 

and 

America 

California 

and I 

visiting 

have someone 

her daughter 

picking 

so 

up 

I do 

my 

not 

ma1l 

know 

mwhen 

the letter was received In but today she scanned it and at 12:48 AM I am writing you 

hoping you understand the complete situation. It is very difficult for me to control the mail and timing issue 

you set forth but I am doing the best I can from this distance. 

I never have nor has it ever been my intention to violate and FFA regulations knowingly. My partner and I 

. are attempting to help a business associate in Columbia establish a new hydrogen production system here 

and not speaking the language it was very difficult to know If they had Potassium Hydroxide in 

Columbia. Not knowing that I very carefully wrapped, I think 2 large jars of Potassium Hydroxide in bubble 

wrap and there were 6·8 smaller jars in the well protected box. I did not know it was illegal to transport 

. the material in a very well protected container. The only danger it might have created would be if 

something penetrated the entire box which was surrounded with bubble wrap and then punctured the 

heavy duty plastic and then wet I down. I apologize for my error and will next time hire some company to 

export it properly. For the hydrogen units to work properly there must be potassium hydroxide added to 

water .... so really after hearing from the ticket lady .. .I forget her name .... who was very apologetic ... over 

the whole issue and came onto the plane to explain it to me ..... at the last minute to tell me all of 

the essential stuff I needed to even get the unit to work had been confiscated by you guys the whole trip to 

Columbia is really a bust. I was almost in tears at that point as the plane was delayed and all kinds of other 

issue were compiling .... then this was the worst news yet. 

The carefully taped and well roped boxes I took hours to prepare when I got to Columbia were a disaster 

compared to how they looked when I handed them over to spirit Air. Rope was missing completely on one 

box, the other one was loosely wrapped and not holding anything together. I also noticed that you 

confiscated some 4-6 bottles of diesel and car: fuel additive which is very expensive. When I return I would 

like to pick it all up as I can use it in my car there in Arizona. 

Please understand that there was no intentional violation on my part nor has there ever been to my 

knowledge. I repeat ... I will hire a proper shipping company to ship the essential chemicals for our product 

next time I require them. 

Thank you for your understand and tolerance of this my first unintentional violation of a FAA code I knew 

nothing about. 

You may contact me if there are any other questiions you have for me 

Sincerely ............................................. thomas h. bray 

FORO~~LUSEONLY 

Public Availability to be Determined 

Under5 U.S.C. 552 

J~ 

~~;:\: ~~() :._e-.!....:~~:;.;.·_of_/ __ #_ ~~\Y 

file://C:\Users\andrewpipping\AppData\Local\Temp\l\notesFFF692\-web3145.htm 4~013 FAA-2013-0621 

Pam'! 1 of 1 
A,tN~~9 

;Vo t~~,\., ,-
Potassium chlorate, aqueous solution I 5.1 I UN2427 I II 5.1 ..... A2, IB2, T4, TP1 

Ill 5.1 ..... A2, IB2, T4, TP1 

Potassium chlorate mixed with minera/ oil, see Explosive, blasting, 

type C. 

Potassium cuprocyanide ................... 6.1 UN1679 II 6.1 ..... IB8, IP2, IP4, T3, TP33 

Potassium cyanide, solid ................... 6.1 UN1680 I 6.1 ..... B69, B77, IB7, IP1, N74, 

N75, T6, TP33 

Potassium cyanide solution ............... 6.1 UN3413 I 6.1 ..... B69, B77, N74, N75, 

T14, TP2, TP13 

6.1 ..... B69, B77, IB2, N74, 

N75, T11, TP2, TP13, 

TP27 

Ill 16.1 ..... I B69, 677, 163, N74, 

N75, T7, TP2, TP13, 

TP28 

Potassium dichloro isocyanurate or 

Potassium dichloro-s-triazinetrione, 

see Dichloroisocyanuric acid, dry 

or Dichloroisocyanuric acid salts 

etc. 

~ I Potassium dithionite or Potassium 4.2 UN1929 II 4.2 ..... A8, A 19, A20, IB6, IP2, 

01 hydrosulfite. T3, TP33 co Potassium fluoride, solid ................... 6.1 UN1812 Ill 6.1 ..... 168, IP3, T1, TP33 

Potassium fluoride solution ............... 6.1 UN3422 Ill 6.1 ..... 163, T4, TP1 

Potassium fluoroacetate .................... 6.1 UN2628 I 6.1 ..... 187, IP1, T6, TP33 

Potassium fluorosilicate ..................... 6.1 UN2655 Ill 6.1 ..... 168, IP3, T1, TP33 

Potassium hydrate, see Potassium 

hydroxide, solid. 

Potassium hydrogen fluoride, see 

Potassium hydrogen difluoride. 

Potassium hydrogen fluoride solution, 

see Corrosive liquid, n.o.s .. 

Potassium hydrogen sulfate .............. 8 UN2509 II 8 ········ A7, 168, IP2, IP4, N34, 

T3, TP33 

Potassium hydrogendifluoride solid ... 8 UN1811 II 8, 6.1 168, IP2, IP4, N3, N34, 

T3, TP33 

Potassium hydrogendifluoride solu- 8 UN3421 II 8, 6.1 162, N3, N34, T7, TP2 

tion. 

......................................................... Ill 8, 6.1 163, N3, N34, T4, TP1 

Potassium hydrosulfite, see Potassium dithionite. 

Potassium hydroxide, liquid, see Potassium hydroxide solution. 

Potassium hydroxide, solid ................ 8 UN1813 II 8 ........ 168, IP2, IP4, T3, TP33 

Potassium hydroxide, solution ........... 8 UN1814 II 8 ........ B2, IB2, T7, TP2 

Ill 8 ........ IB3, T4, TP1 

152 ...... 202 .... 241 .... 1 L 5L B 

152 ······ 203 .... 241 .... 2.5 L 30 L B 

153 ...... 212 .... 242 .... 25 kg 100 kg A 

None ... 211 .... 242 .... 5 kg 50 kg B 

None ... 201 .... 243 .... 1 L 30 L B 

153 ...... 202 .... 243 .... 5L 60 L B 

153 ...... 203 .... 241 .... 60 L 220 L A 

None ... 212 .... 241 .... 15 kg 50 kg E 

153 ...... 213 .... 240 .... 100 kg 200 kg A 

153 ...... 203 .... 241 .... 60 L 220 L A 

None ... 211 .... 242 .... 5 kg 50 kg E 

153 ...... 213 .... 240 .... 100 kg 200 kg A 

154 ...... 212 .... 240 .... 15 kg 50 kg A 

154 ...... 212 .... 240 .... 15 kg 50 kg A 

154 ...... 202 .... 243 .... 1 L 30 L A 

154 ...... 203 .... 241 .... 5L 60 L A 

154 ...... 212 .... 240 .... 15 kg 50 kg A 

154 ...... 202 .... 242 .... 1 L 30 L A 

154 ...... 203 .... 241 .... 5L 60 L A 

56, 58, , 133 -c· 

56, 58, ~ 69, 133 5' 

(I) 

Q 

:I 

52 Q. 

52 :I: 

Q 

52 N 

Q 

a 52 0 

c 

en 

52 s:: 

~ ~. 

Q 

iii 

(I) 

Q 

13 iD 

-< 52 )> 

52 Q. 

3 52 5' 

~ 

0 

0 

-f 

25, 40, 

52 

25, 40, 

52 

40,52 

WI 

~ 

'I 

52. !'l 52. 0 52. ~ 

J::: 

-) 

\) 

1'\ 

M 

/'<';0 

~t> 1 ..-

10' ,---. . 

b 01 

/ 

c- /0 

FM- z_ot3- 062-l 

!' I IJ "2-
~ 

0) 

0 

Symbois 

(1) 

Hazardous materials descriptions and proper shipping names 

(2) 

Potassium hypochlorite, solution, see 

Hypochlorite solutions, etc. 

Potassium, metal alloys, liquid .......... 

Potassium, metal alloys, solid ........... 

Potassium metavanadate .................. 

Potassium monoxide ......................... 

Potassium nitrate ............................... 

Potassium nitrate and sodium nitrite 

mixtures. 

Potassium nitrite ................................ 

Potassium perchlorate ....................... 

Potassium permanganate .................. 

Potassium peroxide ........................... 

Potassium persulfate ......................... 

Potassium phosphide ........................ 

Potassium selenate, see Selenates 

or Selenites. 

Potassium selenite, see Selenates or 

Selenites. 

Potassium sodium alloys, liquid ........ 

Potassium sodium alloys, solid ......... 

Potassium sulfide, anhydrous or Potassium sulfide with less than 30 

percent water of crystallization. 

Potassium sulfide, hydrated with not 

less than 30 percent water of crystallization. 

Potassium superoxide ....................... 

Hazard 

class or Division 

(3) 

4.3 

4.3 

6.1 

8 

5.1 

5.1 

5.1 

5.1 

5.1 

5.1 

5.1 

4.3 

4.3 

4.3 

4.2 

8 

5.1 

§ 172.101 HAZARDOUS MATERIALS TABLE-Continued 

(8) 

ldenti- Special provisions 

Packaging 

fication PG Label (§173 .... ) 

Numbers Codes (§ 172.102) 

Excep- Nontions bulk 

(4) (5) (6) (7) · (BA) (BB) 

UN1420 4.3 ..... A?, A19, A20, B27 None ... 201 .... 

UN3403 4.3 ..... A19, A20, 827, 184, IP1, None ... 211 .... 

T9, TP7, TP33 

UN2864 6.1 ..... IBB, IP2, IP4, T3, TP33 153 ······ 212 .... 

UN2033 8 ........ IBB, IP2, IP4, T3, TP33 154 ...... 212 .... 

UN1486 5.1 ..... At, A29, 8120188, IP3, 152 ...... 213 .... 

T1, TP33, WI 

UN1487 5.1 ..... 878, 188, IP2, IP4, T3, 152 ...... 212 .... 

TP33 

UN1488 5.1 ..... 188, IP2, IP4, T3, TP33 152 ...... 212 .... 

UN1489 5.1 ..... IB6, IP2, T3, TP33 152 ...... 212 .... 

UN1490 5.1 ····· 188, IP2, IP4, T3, TP33 152 ...... 212 .... 

UN1491 I 5.1 ..... A20, IB6, IP1, N34 None ... 211 .... 

UN1492 Ill 5.1 ..... A 1, A29, 188, IP3, T1, 152 ...... 213 .... 

TP33 

UN2012 I 4.3, A19, N40 None ... 211 .... 

6.1. 

UN1422 I 4.3 ..... A?, A19, B27, N34, N40, None ... 201 .... 

T9, TP3, TP7, TP31 

UN3404 I 4.3 ..... A19, B27, N34, N40, T9, None ... 211 .... 

TP7, TP33 

UN1382 II 4.2 ..... A19, A20, 816, 186, IP2, None ... 212 .... 

N34, T3, TP33 

UN1847 II 8 ........ 188, IP2, IP4, T3, TP33 154 ...... 212 .... 

UN2466 I 5.1 ..... A20, 196, IP1 None ... 211 .... 

(9) 

Quantity limitations 

(see§§ 173.27 and 

175.75) 

Bulk Passenger 

aircrafVrail ~~R o~li~~ 

(8C) (9A) (98) 

244 .... Forbidden 1 L 

244 .... Forbidden 15 kg 

242 .... 25 kg 100 kg 

240 .... 15 kg 50 kg 

240 .... 25 kg 100 kg 

240 .... 5 kg 25 kg 

242 .... 5 kg 25 kg 

242 .... 5 kg 25 kg 

240 .... 5 kg 25 kg 

None Forbidden 15 kg 

240 ... 25 kg 100 kg 

None Forbidden 15 kg 

244 .... Forbidden 1 L 

244 .... Forbidden 15 kg 

241 .... 15 kg 50 kg 

240 .... 15 kg 50 kg 

None Forbidden 15 kg 

(10) 

Vessel 

stowage 

Loca- Other tion 

(lOA) (108) 

E 40,52 

D 

A 

A 29, 52. 

A 

A 56, 58 

A 56,58 

A 56,58 

D 56, 58, 

138 

B 13, 52, 

66, 75 

A 58, 145 

E 40, 52, 

85 

E 40,52 

D 52 

A 52 

A 52 

B 13, 52, 

66,75 

(0) 

..... 

!'J 

_, 

0 

~ 

0 

"TT 

:;o 

0 

?" 

? 

I 

_, 

(,.) 

m 

g. 

o· 

z. 

C- ,a 

pZ6Z 
Andrew J. Pipping 

Resume 

Department of Transportation, Federal Aviation Administration 

Special Agent, Hazardous Materials 

2800 N. 44th Street 

Phoenix, AZ 85008 United States 1 0/2011 - Present 

I currently serve as a Federal Aviation Administration (FAA) credentialed Special Agent for Hazardous Materials 

Security. I perform investigations, receive evidence, examine witnesses, and administer oaths or affirmations at any 

place within my jurisdiction of the United States. I perform other duties imposed by law and regulations and have full 

access to records and information. I utilize various inspection and investigative techniques and philosophies to 

include performing surveillance, interviewing witnesses, obtain witness statements, collect evidence and items of 

proof, document review and retain records to apply corrective or legal enforcement action in addressing 

noncompliance with statutory and regulatory requirements. I provide technical advice and expertise to industry, Civil 

Authorities and other Federal Agencies supporting FAA's Hazardous Materials Safety and Security Programs. I 

utilize, interpret and apply various United States Code(s), Federal Regulations, FAA Policies and Programs to 

perform a wide range of routine or complex projects and assignments based on the objectives of strategic and 

localized plans and programs. I coordinate, review, track and recommend for approval various Speci~ll Permits, 

Competent Authority Approvals, Operations and Training Manuals and Programs by air carriers, air operators and 

commercial shippers. I am responsible for identifying and making preliminary evaluations on issues and trends of 

non-compliance through inspection and investigative processes. I monitor the transition to and implementation of risk 

management principles and retrieve relevant data from internal and external data systems to accomplish my tasks. I 

conduct an extensive amount of research within and outside of the FAA to determine the level of risk associated with 

aviation industry practices and compliance with Federal Regulations. I identify practices or behaviors that can cause 

or lead to misunderstanding or misapplication of regulatory requirements. I identify data to establish factual baselines 

and provide recommendations for improvement to the customer as needed. I remain current on all existing and 

emerging program requirements; prepare documentation which details evolving program functions, business 

processes, data collection and output requirements. I assess and obtain the compliance of persons or organizations 

through the conduction of inspections surrounding hazardous materials regulatory compliance and complete written 

enforcement investigative reports as required. I prepare Enforcement Investigative Reports, comprehensive 

correspondence, inspection reports and other reports regarding sensitive issues. I am an expert in establishing 

rapport and maintaining excellent working relationships with a wide variety of individuals and use tact and patience 

when dealing with difficult situations. I have the natural ability to put a person at ease during controversial matters 

and create a cooperative atmosphere when dealing with difficult people. I possess a unique expertise in creating a 

team environment and promote camaraderie and levity in the workplace. I have a tremendous amount of experience 

in preparing and presenting briefings and outreach to the public, industry and government entities. 

Department of Homeland Security, Transportation Security Administration 

Transportation Security Inspector (TSI) ~Surface 

300 Rodgers Blvd #45 

Honolulu, Hi 96819 

Honolulu, HI 96819 United States 10/2010-10/2011 

I served as a Transportation Security lnspector(TSI)- Surface at Honolulu International Airport, HI (HNL). I was 

responsible for ensuring security compliance of persons, transportation systems and entities regulated under Title 49 

Code of Federal Regulation Part 1500 series. I applied and enforced the critical and complex compliance programs 

designed to secure transportation and protect the nation's public from terrorism, piracy, or acts of sabotage to 

transportation systems, facilities, and networks. I reviewed and analyzed current intelligence information, sensitive 

political and security related issue~, unusual trends and actions having the potential to develop into a security 

problem. I performed a full range of security compliance activities detecting and mitigating security weaknesses and 

administered security initiatives across the nation's surface transportation system. I coordinated preventative 

measures, safeguards, and rapid response initiatives to. ensure the secure and free flow of transportation assets /.Z1l 

across the nation to prevent instances of terrorism or other incidents. I was responsible for conducting, reviewing and ) ;v 

analyzing assessment reports and testing results with special attention in identifying unusual trends or actions ~ {/ 

appearing to have the potential in developing into a security problem. I developed security mitigation measures for A fH 

transportation systems, established goals and tracked progress of required inspection and assessment activities ''LJI 

within my assigned area of responsibility. My professional interpersonal skills and extrovert personality allowed me to 

communicate, in any environment, application of standards, options for consideration in applying technical security /'}/ 

requirements, best practices and recommendations for solutions. These interpersonal skills allowed the free-flow !);'~ 

. ~A 

FA A - ao13~(NJ J 

1) + 
National Incident Management Systems (NIMS), as directed by the F.ederal Security Director (FSD) or other 

appropriate authorities. lied and participated in various activities outside of traditional inspections designed to overtly 

demonstrate security strength, tested internal security and randomly inspected and tested vulnerabilities of 

transportation security. I provided guidance to lower-level staff to solve difficult issues and served as a team lead and 

mentor in assigning, overseeing, guiding and reviewing the work of other TSis on inspections and non-inspection 

activities. I was viewed by supervisors, peers, and transportation industry officials and employees as an expert in my 

field, and am sought out as a key point of contact and representative of TSA in important security matters. I 

represented the agency at various transportation security meetings and performed other assigned duties in an 

efficient manner. I was selected to serve at Transportation Security Administration Headquarters to review 

transportation security policies and procedures; ultimately resulting in the overall improvement of various security 

program guidance and procedures, to include, but not limited to, the Certified Cargo Standard Security Program, 

Security Directives and Emergency Amendments. I assisted other transportation system stakeholders in solving 

problems and addressed concerns relative to the applicable security programs as well as current and relevant TSA 

directives and regulatory requirements. Reason for Leaving: I was selected for and transferred to the Transportation 

Security Inspector- Surface program to gain multi-modal inspector training, experience and certification ultimately 

achieving the Transportation Security Administration TSI evolution initiatives. Additionally, this secondary mode 

certification provides supplemental knowledge and enhances my role as a Tran.sportation Security Inspector in 

support of incident response to protect the nation's traveling public. 

Department of Homeland Security, Transportation Security Administration 

Transportation Security Officer (TSO) 

1701 Hwy 85N 

Fort Walton Beach, FL 32547 United States 01/2008- 08/2008 

I was a dual certified check point and c;hecked baggage Transportation Security Officer implementing security and 

screening procedures central to the Transportation Security Administration objectives designed to serve and protect 

the traveling public by preventing any deadly, dangerous or hazardous material items from being transported on 

passenger aircraft, transportation systems, facilities, and networks. I conducted screening of passengers, baggage 

and cargo utilizing screening technologies and methodologies such as, but not limited to, Walk Through Metal 

Detectors (WTMD), Hand Held Metal Detectors (HHMD), Explosives Trace Detection (ETD) devices and Explosive 

Detection Systems (EDS). I monitored the flow of passengers through screening checkpoints to facilitate the orderly 

and efficient processing of passengers. I maintained close communication with management regarding any issues 

revealing weaknesses and/or vulnerabilities of security screening discovered during the course of my screening 

duties. I participated in informational briefings concerning security sensitive and classified information. I seamlessly 

applied the theories and standard operating p·rocedures relevant to the aviation screening process ultimately resulting 

in providing an authoritative and independent handling of all screening functions. I possess the natural ability to 

provide outstanding customer service with a professional sense of humor while remaining cognizant of my security 

responsibilities in providing protection of the general public and transportation infrastructure. I fostered a team driven 

work environment through my performance and maintained an excellent working relationship with my supervisors, 

peers, and transportation industry officials/employees. I effortlessly adjusted and excelled while operating in various 

work environments, working with persons ofdiverse backgrounds and effectively communicated technical and nontechnical information effectively to others. I performed various collateral duties as required and was appointed the 

Alternate Hazardous Material Program Manager, responsible for the proper storage and segregation of surrendered 

hazardous materials. Additionally, I performed Aviation Direct Access Screening Program (ADASP) and Visible 

lntermodal Prevention and Response (VIPR) activities at various locations in and around the airport operations 

environment. I assisted management in researching, interpreting and applying established and modified security 

directives and regulations. I am an expert in the protection of Sensitive Security Information (SSI), am very punctual, 

and maintain a professional appearance and image at all times. I was recognized by supervision and peers in having 

the natural ability to make effective decisions in both crisis and routine situations. Additionally, I was responsible for 

developing local hypothetical security situations to exercise, streamline and ultimately improve passenger screening 

processes and procedures. These initiatives ultimately resulted in me being afforded the opportunity to assume 

greater positions of responsibility. Reason for leaving: Was selected as a Transportation Security Inspector (TSI) -

Cargo at Honolulu International Airport, Hawaii (HNL), increasing 3 full pay bands. 
Professional Military Education graduations, Basic Training graduations and Junior Enlisted Councils. During my 

tenure, I reinvigorated the Chief Master Sergeant Council by redefining their mission and implementing a leadership 

plan based on the core values of Integrity First, Service before Self, and Excellence in all we do. Simultaneously, 

while serving as the Command Chief, I was the requested by the Wing Staff to transfer and be assigned to the 

position of Chief of Airfield Management/Operations Group Chief to change the climate of the organization and rectify 

major deficiencies identified in a recent Air Traffic System Evaluation (ATSE) Inspection. I was responsible for the 

management of facilities, construction projects, services and budget on the military owned portion of Dane County 

Regional Airport, Madison WI (MSN). My responsibilities were to provide a secure, safe and efficient airfield 

environment. Additionally, I conducted airfield inspections ensuring required airfield signage, markings, lighting and 

aircraft arresting systems were available and installed according to appropriate airfield planning/design criteria. I was 

responsible for developing an airfield safety and compliance inspection program to include a comprehensive Airfield 

Operations Instruction, airfield inspection checklists and airfield diagrams. I ensured airport design requirements, 

including architectural and infrastructure related security requirements were implemented in accordance with Air 

Force standards. I reviewed and revised established controlled access points to.airside areas and ensured security 

restricted areas were established and enforced. I was responsible for ensuring airfield/aircraft security checks were 

performed and proper reporting procedures were implemented in accordance with prescribed standards. I ensured 

proper identification systems were developed and enforced for personnel and vehicles to prevent unauthorized 

access to airside areas and security restricted areas in accordance with applicable standards. I spear-headed airfield 

construction and repair projects and chaired the Airfield Operations Board (AOB) on behalf of the Commander, 

providing a forum for internal and external stakeholders to discuss, update, and track progress of various activities 

associated with the flying mission(s). This forum proved to be invaluable during a MSN two-year, two-phase Runway 

Safety Area (RSA) improvement project necessitating relocation of a Canadian Pacific (CP) railway line into a 

wetland, a county highway, a creek and sections of the perimeter fence and road. I established liaison an'd monthly 

communication with military, federal, state/local law enforcement, emergency responders, security agencies, and 

industry partners. The AOB provided an opportunity in making law enforcement aware of Federal Railroad 

Administration and Department of Transportation security, safety and scheduling issues while fostering proactive 

community security and safety outreach. Emphasis was focused on trespasser abatement programs in areas 

adjacent to MSN non-public and public critical infrastructure enhancing the importance and awareness of reporting 

suspicious activity. Additionally, it afforded an opportunity for CP stakeholders to educate, in detail, the consequences 

of rail relocation and construction scheduling issues due to CP transportation ofToxic Inhalation Hazards (TIH) and 

hazardous materials through this area. I also supervised 16 employees, responsible for developing position 

descriptions, allocating personnel resources to accomplish work activities, promotions/demotions, performance 

appraisals, establishing schedules, approving time/attendance and providing corrective/disciplinary actions as 

required. I identified multiple program deficiencies and created management tools to accurately and timely manage 

programs. 1 was instrumental in identifying, prioritizing and purchasing high cost items in accordance with established 

standards, ultimately enhancing the security, safety and efficiency of the flying mission. I utilized motivational 

techniques, set realistic goals, provided guidance allowing considerable discretion, stressed accountability and 

utilized teamwork which created a cohesive streamlined and efficient work environment. 
United States Air Force 

Financial Services Technician 

3110 Mitchell Street 

Madison, WI 53704 United States 11/1985-08/1993 

Over 8 years experience serving in multiple capacities within an Air National Guard Financial Management Office. I 

was assigned as a military pay specialist, responsible for the accurate and timely pay of over 1000 reserve and active 

duty military members. I interpreted and applied entitlements in accordance with the Department of Defense Militar-Y 

Pay and Allowance Entitlements Manual (DODPM), Air Force and National Guard policies and standards. I performed 

quarterly Base Allowance for Housing (BAH) audits for military spouses/dependents ensuring accurate entitlements. I 

conducted a comprehensive audit of a Variable Housing Allowance (VHA) case, ultimately resulting in a GAO 

Comptroller General Decision supporting my findings. I maintained regular interaction with external stakeholder such 

as the Defense Finance and Accounting Service (DFAS), volunteered and provided assistance on temporarytours. I 

served as a travel pay entitlements expert, responsible for the timely and accurate computation of travel claims for 

DoD military and civilian personnel in accordance with Joint Travel Regulations. I was the subject matter expert for all 

civilian permanent change of station entitlements. I established budgets, certified orders and accounted for all funds 

utilizing various financial management accounting systems to comply with the various laws and satisfy various local 

management directives. I was the Commercial Services/Accounting Technician, responsible for the proper payment 

to all vendors, maintained the State Security and Operations and Maintenance Agreement, validated contracts, 

formulated budgets and identified amendments required to contracts. I performed open document list reviews, 

accounted for all funds under my scope and maintained an operational knowledge of all accounting regulations, 

practices, policies and procedures. Finally, for three years, l served as the Supervisor of Financial Entitlements and 

technical expert for military pay, travel pay and civilian pay. I directly supervised 8 personnel responsible for the 

approval of leave, training, mentoring, discipline and professional development of my subordinates. I researched, 

studied, interpreted and applied various laws, policies, standards, accounting regulations and instructions. These 

include, but are not limited to the DODPM, JTR, Federal Personnel Manuals (FPM), Office of Personnel Management 

(OPM) regulations, various Air Force Instructions, Manuals and Handbooks. I was responsible for the proper 

accounting of all military, travel, and civilian payroll funds under my control and performed numerous dual 

compensation audits. I was the technical expert and contact for all financial entitlement related inquiries/audits. I 

established a customer satisfaction policy in the workplace, based on the principles of integrity, quality, promptness 

and cooperative spirit. I promoted professional humor in the workplace, ultimately promoting a team concept and 

enhancing efficiency. 
AJ~ as,~ 

)/' ?~\., L:, -
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

National Policy 

SUBJ: FAA Compliance and Enforcement Program 

ORDER 

2150.38 

Effective Date: 

10i01/07 

This order contains policies, procedures, and guidelines for the Federal Aviation Administration's 

compliance and enforcement program. The order also articulates the FAA's philosophy for using 

various remedies, including education, corrective action, informal action, remedial training, 

administrative action, and legal enforcement action, to address noncompliance with statutory and 

regulatory requirements enforced by the FAA. It provides for the public a written statement of the 

Administrator's policy guidance for imposing sanctions for violations of such requirements. 

The order is used at all levels by agency personnel who are engaged in the investigation, reporting, 

and processing of enforcement actions. It applies to all offices with regulatory responsibilities. 

This revision of the order comprehensively updates policies, procedures, guidance, and assignments of 

responsibility. It reorganizes the order in a manner more useful for agency personnel and is available 

electronically to agency personnel and the public. The revision amends agency sanction guidance to 

conform to statutory changes resulting from Vision lOOCentury of Aviation Reauthorization Act and 

incorporates guidance into the agency's compliance and enforcement program order on policies and 

programs that have developed since the last comprehensive order revision in 1988. Those include 

policies relating to the FAA's exercise of its authority to administratively assess civil penalties and 

guidance on the agency's voluntary safety programs. 

A workgroup of agency personnel from the field and headquarters with extensive experience in 

statutory and regulatory enforcement reviewed the agency's policies and programs in this area to 

produce this comprehensive revision of the agency order on its compliance and enforcement program. 

Distribution: A-W-l;A-W (AT/PS/SM)-2;A-W (PP/AM/SF/ 

GCIFS/IAIVS)-3;A-XYZ (A T/AF/CS)-2;Z-X (AS/AM/GC/FS)-3; 

A-Y (AM/AR1GC)-3;A-Z (AM/AN/GC)-3;A-:FAC/FACIFCS-O; 

A-F AFIF A T/FIA-O(L TD);ZFS-325 

Initiated By: AGC-300 

c.- / 2. 

FAA~ d-0t3 -00~1 
10/01/07 

1. Background. 

Appendix C. Sanction Guidance 

Hazardous Materiais 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 1.974 by enacting the Hazardous Ma,terials 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 1990, 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 HMTA was recodified in 1994 and is now referred 

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

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

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

statute. 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 109-59, 

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

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

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

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

104-134, April26, 1996, provides a mechanism for adjustments for monetary civil penalties for 

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

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

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

13 of Title 14 of the CFR, subpart H. 

Pursuant to 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 $100,000 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 ~pecial 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. § 1.47(j). 

C-1 
10/01/07 2150.38 

d. Violation of the HMRs. The HMR set forth regulations for the transportation of hazmat. 

A knowing violation of the statute or of the HMR can support the assessment of a civil penalty 

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

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

exercising reasonable care would have that knowledge. 49 U.S.C. § 5123(a)(1)(A). The civil 

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

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

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

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

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

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

laws and regulations and intent to violate them; 

e. Inv~stigative and Enforcement Procedures. Part 13 of the Federal Aviation 

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

procedures applicable to enforcement ofthe HMR by the FAA. Hazmat violations occurring on 

or after August 2, 1990, may be dismissed by an administrative l~:J,w judge (ALJ) if a notice of 

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

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

2. Consideration of Statutory Criteria. As a general matter, a sanction should be imposed 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

property. 

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

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

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

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

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

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

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

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

Report (EIR). This consultation is not necessary in the case 6f a recommended penalty that is 

C-2 
10/01/07 2150.38 

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

the ranges should be explained in detail. 

4. Part 175 Violations. Violations of part 175 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 

(SBREFA). 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 information to determine whether an alleged violator is a small 

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

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

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

the investigating agent may need to refer to the SBA's complete table of si~e standards to find 

the correct size limit for an alleged violator. 

a. Enforcement Policy under SBREFA. Chapter 7, Paragraph 10, 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 
10/01/07 2150.38 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

ranges of the Matrix. 

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

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

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

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

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

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 

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

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

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

categories address the nature, circumstan~es, and gravity of the particular offense. After 

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

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

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

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

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

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

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

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

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

Corrective actions that justify reduction of the recommended penalty must exceed the· minimum 

C-4 
10/01/07 2150.38 

legal requirements. The special agent also attempts to provide information 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 determinations 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 determin,ation 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~l and the Risk Categories are contained in Figure C-2. 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

factors addressed in the other questions only apply to the case when the question receives 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 iri this section will be the risk 

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

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

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

should have a minimum, moderate, or ma.Ximum 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 
10/01/07 2150.38 

determined, the final aggregate weight is then utilized to arrive at the recommended sanction for 

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

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

Concerning the Shipment):· 

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

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

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

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

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

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

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

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

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

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

(2) What quantity of the material(s) was offered, transported, or accepted for air 

transportation? 

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

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

limitation was exceeded. 

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

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

maximum weight for this factor. 

• Did the package contain a forbidden material? If yes, assign a Maximum weight. 

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

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

being transported in violation. 

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

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

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

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

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

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

warranted. 

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

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

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

C-6 
10/01/07 2150.38 

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

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

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

incident 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 derivedfrom application of this guidance. 

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

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

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

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

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

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

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

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

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

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

of the violator. 

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

Maximum weight. 

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

knowledge 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 weightingfactor. (For purposes ofthis section, a 

"reshipper" refers to a person, other than the original offeror, who offers a shipment Qf 

hazardous material for transportation.) 

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

yes, consider a Minimum weight. 

C-7 
10/01/07 2150.38 

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

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

Material Safety Data Sheet (MSDS) would be mitigating. · 

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

Moderate or Maximum weight. 

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

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

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

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

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

less weight, unless a continuing pattern of violation exists. 

d. Other Factors. 

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

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

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

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

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

scrutinized by legal counsel. 

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

hazardous materials may present an aggravating factor. The degree of seriousness of this factor 

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

an increased risk. 

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

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

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

result there was a reduced risk to sqfety in transportation. That the material could have been 

shipped as a consumer commodity can also be a mitigatingfactor. 

e. Determine the Final Aggregate Weight of the Case. 

(1) 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 

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

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

the weighting 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 

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

be explained in this regard. 

C-8 
10/01/07 2150.38 

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 

resultingfrom the shipment. 

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

(1) 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 ofthe statutory factors is required to determine the appropriate sanction within 

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

After determining the final aggregate weight 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 

G-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 tq 

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 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

C-9 


10/01/07 

OFFENSE 

CATEGORIES 

I. Declared Shi[!ment 

1. Shipping Papers 

2. Labels 

3. Markings 

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other 

II. Undeclared Shi(!ment. 

Within Hazmat 

Quantitv Limitations 

1. Shipping Papers 

2. Labels 

3. Markings 

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other 

III. Undeclared 

Shi(!ment 

Hazmat Forbidden on2 

or exceeds g:tl:: limits for2 

Passenger Aircraft 

1. Shipping Papers 

2. Labels 

3. Markings 

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other 

IV. Undeclared 

Shi(!ment 

Forbidden on2 or 

exceeds g:tl:: limits for2 

All Aircraft 

1. Shipping Papers 

2. Labels 

3. Markings 

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other 

V. Intentional or 

MATRIX & DEFINITIONS 

·(Figure C-1) 

C. Business Entity 

that uses or handles 

A. Individual* B. Business Entity hazmat in the 

course of business 

250-550 250-1,100 500-2,200 

250-550 250-1,100 500-2,200 

250-550 250-1,100 500-2,200 

250-550 250-1,100 500-2,200 

... ........................... 450-1,100 500-2,200 

250-550 250-1,100 500-2,200 

250-550 250-1,100 500-2,200 

250-550 250-1,100 500-2,200 

250-1,100 1,500-8,200 2,500-11,000 

250-1,100 1,500-8,200 2,500-11,000 

250-1,100 1,500-8,200 2,500-11,000 

250-1,100 1,500-8,200 2,500-11,000 

------------- 1,500-8,200 2,500-11,000 

250-1,100 . 1,500-8,200 2,500-11,000 

250-1,100 1,500-8,200 2,500-11,000 

250-1,100 1,500-8,200 2,500-11,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

---------- 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-32,500 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

---------- 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

CONSULT CONSULT CONSULT 

C-12 

2150.38 

D. Business Entity 

that regularly 

offers, accepts, or 

transports hazmat 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

10,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15;000-32,500 

15,000-32,500 

CONSULT 
10/01/07 2150.38 

Deliberate Violation2 or LEGAL- Up to LEGAL- Up to LEGAL- Up to LEGAL- Up to 

other significant 50,000 per offense 50,000 per offense 50,000 per offense 50,000 per offense 

aggravation category may be category may be category may be category may be 

assessed assessed assessed assessed 

VI. Violation results in CONSULT CONSULT CONSULT CONSULT 

death2 serious illness2 LEGAL- Up to LEGAL- Up to LEGAL- Up to LEGAL- Up to 

severe injun:2 or 100,000 per 100,000 per 100,000 per offense 100,000 may be 

substantial destruction offense category offense category category may be assessed · 

oforonertv 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 III & IV 

AIR CARRIER AND OTHER AIRCRAFT Air Carriers and Air Carriers and 

OPERATOR VIOLATIONS Other Aircraft Other Aircraft 

Operators O_Qerators 

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 ofhazmat for air transportation. 

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

shipping papers) 

See 49 C.F.R. §§ 175.30(a)(l)- (4) 

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

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

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

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

training, or meet minimum requirements for hazmat 

training (49 C.F.R.). 

Using untrained/improperly trained hazmat personnel, 10,000-32,500 5,000-16,200 

failure to retain hazmat training records (49 C.F.R.) 

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

in hazmat shipment. 

Failure to provide notice to the pilot-in-command. 5,000-16,200 1,000-5,500 

Other Part 175 violations. 5,000-16,200 1,000-5,500 

Intentional, deliberate, or other significantly aggravated CONSULT CONSULT LEGAL 

violation. LEGAL- Upto -Up to 50,000 per 

50,000 per offense category 

offense category may be assessed 

m'!}' 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 

m'!}' be assessed 

C-13 
10/01/07 2150.38 

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

guidance in this appendix. 

a. Air Carrier and Other Aircraft Operator Groups (1, II, III, IV) -Air carriers and 

other aircraft 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 order. For purposes ofhazmat sanction guidance, the FAA also includes other aircraft 

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

125 Operators, and part 91 Operators. 

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

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

included in Group I for hazmat sanction guidance purposes. 

(2) Group II is comprised of air carriers and other commercial operators that have an 

annual operating revenue of less than $100,000,000, and have 50 or more pilots and operate 25 

or more aircraft. Other aircraft operators of the same size are included in Group II for hazmat 

sanction guidance purposes. 

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

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

operators of the same size are included in Group III for hazmat sanction guidance purposes. 

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

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

Group IV for hazmat sanction guidance purposes. 

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

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

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

category. It includes a non-profit organization and all other entities defined under the HMR's 

definition ofperson (49 C.P.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 

manufacturer or distributor ofhazmat and a freight forwarder. 

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

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

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

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

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

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

C-14 
10/01/07 2150.38 

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

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

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

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

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

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

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

category. For purposes of this 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.P.R.§ 171.8, includes and is 

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

Organization (ICAO) Technical Instructions. 

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

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

h. Intentional or Deliberate 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 All Aircraft- An 

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

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

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

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

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

and the quantity of hazardous material 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 All Aircraft- An undeclared shipment 

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

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

C-15 
10/01/07 2150.38 

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

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

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

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

n. Undeclared Shipment Within Hazmat Quantity Limitations. 

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

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

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

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

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

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

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

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

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

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

Exceeds Quantity Limitsfor .. :Aircraft, or Undeclared Shipment Hazmat Forbidden 

on ... Aircraft, see above. 

C-16 
10/01/07 

CATEGORY "A" 

RISK CATEGORIES 

(Figure C-2) 

{Maximum Weight} . 

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 

Class 2 

Class 3 

Class4 

Explosives: Division 1.1, 1.2, 1.3, 

Compressed Gases All2.1, 2.2 with Subsidiary Risk 5.1 and All2.3 PIH Zones A-D 

Flammable Liquids PG I, II, and (PIH) 

Division 4.1 Flammable Solids PG I, & (Matches) 

Division 4.2 Spontaneously Combustible Materials PG I (Pyrophoric) 

Division 4.3 Dangerous When Wet PG I 

Class 5 Division 5.1 Oxidizing Liquids and Solids PG I, II, e.g., "Chemical Oxygen Generators" 

Division 5.2 Organic Peroxides PG II (Type A,B,C,D) 

Class 6 Division 6.1 Toxic/Poisonous Materials PG I (PIH) 

Class 7 Cargo Aircraft Only Quantities on Passenger Aircraft 

Class 8 Corrosive Material Liquid PG I and (PIH) 

Forbidden Materials (See 49 C.F.R. § 173.21 & ICAO Technical Instructions) 

Forbidden Hazmat listed in Dangerous Goods Table 49 C.F.R. § 172.101 

CATEGORY "8" 

{Moderate Weight} 

The materials listed in Category "B" 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 

Class4 

Class 5 

Class 6 

Class 7 

Class 8 

Division 1.4, 1.5, 1.6, All Compatibility Groups 

PG Ill Flammable Liquids 

Division 4.1 Flammable Solids PG II, Ill 

Division 4.2 Spontaneously Combustible Materials PG II, Ill 

Division 4.3 Dangerous When Wet PG II, Ill 

Division 5.1 Oxidizing Liquids or Solids PG Ill 

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

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

Division 6.2 Infectious Substances 

Radioactive Materials, yellow label II, white Iabeii 

Liquids PG II, Ill Solids PG I, II, Ill 

Category "C" 

{Minimum Weight} 

The materials listed in Category "C" are materials that 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-D and Consumer Commodity} 

.!::!..Q!5i 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 
U.S. DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, DC 

***************************** 

In the Matter of: 

THOMAS BRAY 

* 

* 

* 

* 

* 

* 

***************************** 

FAA Docket No. [To Be Assigned] 

FDMS NO. FAA-2013-0621 

ALJ-GOODWIN 

Hearing: 05/30/2014, Phoenix, AZ 

TO: Honorable Richard C. Goodwin, Administrative Law Judge, and Respondent 

COMPLAINANT'S MOTION FOR DECISION 

Complainant, Federal Aviation Administration (FAA), Western-Pacific Region, by 

counsel files this Motion for Decision pursuant to sections 13.218(a) and (f)(5) of Title 14 of the 

Code of Federal Regulations. Complainant hereby moves the Court for an Order granting a 

Motion for Decision in favor of the Complainant, because there are no genuine issues as to 

material facts and the Complainant is entitled to a Motion for Decision as a matter of law. In 

support of this Motion, the Complainant states the following: 

STATEMENT OF THE CASE. 

The Complaint alleged, and the Respondent answered1 (in bold italics): 

1. On or about February 11, 2013, Respondent offered hazardous materials in checked 

baggage to Spirit Airlines, for transportation from Phoenix-Mesa Gateway Airport, Mesa, 

Arizona, to Fort Lauderdale, Florida, then to Medellin, Columbia. "Unknowingly and 

did not consider it hazardous materials as it was well contained and wrapped.,, /~t) 

0 

2. The hazardous materials were thirteen (13) four (4) ounce plastic bottles of Potassium \v\b 

hydroxide, solid, at total approximate weight of 3.25 pounds and two (2) unlabeled plastic /ffJ · 

receptacles of Potassium hydroxide, solid, at total approximate weight of 10.0 pounds. 

"The only danger to anyone would be created by the puncturing of the conta;;z{ilters and 

the plane soaking the luggage with water." 

[ 

Cl~vf\ \ ~ '2---- 1 Exhibit A, Respondent's Answer to the Complaint. 
2 

3. Potassium hydroxide, solid is a hazardous material, in accordance with the Hazardous 

Materials Table in Title 49 ofthe Code ofFederal Regulations (49 C.F.R.), Section 

172.101. Itis "Potassium hydroxide, solid," Hazard Class 8, UN1813, Packing Group II. 

"Yes - it was Potassium Hydroxide." 

4. Respondent offered his baggage for air transportation in commerce when it was not 

properly classed, described, packaged, marked, labeled, and/or in condition for 

transportation as required or authorized by applicable requirements in Subchapter C of 

Chapter I of 49 C.F .R., or an exemption or special permit, approval, or registration issued 

under Subchapter Cor Subchapter A of Chapter I. To wit: 

a. The hazardous material was not declared; 

b. Respondent's baggage was not properly marked; and 

c. Respondent's baggage was not properly labeled. 

"It was well packaged and had been shipped to my address from manufactor [sic]." 

5. Respondent offered his baggage for transportation in commerce without providing the 

required emergency response information immediately available for use at all times. 

"Did not know about the requirement to supply emergency response info. " 

By reason of the foregoing facts and circumstances, Respondent violated the following 

Department of Transportation Hazardous Materials Regulations (Title 49, Part 171 et seq., Code 

of Federal Regulations: 

a. Section 171.2(e), which states that no person may offer or accept a hazardous material 

for transportation in commerce unless the hazardous material is properly classed, 

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

authorized by applicable requirements of this subchapter or an exemption or special 

permit, approval, or registration issued under this subchapter or subchapter A of this 

chapter; "My apologies, my partner had previously taken 3-4 small containers four 

our associates in Columbia and had had no problems before." 

b. Section 172.200(a), which states that no person may offer hazardous material for 

transportation unless the material is properly described on the shipping papers; 

"Ignorant again of requirements." 

c. Section 172.300(a), which states that each person who offers hazardous material for 

transportation shall mark each package containing the hazardous material in the 

manner required by HMR subpart D (Marking). "I am sure there are volumes of 

restrictions and rules and regulations that no one has ever read. Sorry." 

d. Section 172.400(a), which generally states that each person who offers hazardous 

material for transportation shall label the package or containment device with labels 

specified for the material in section 172.101 (49 C.F.R. § 172.1 01) and as required by 

HMR subpart E; and "Just a repeat of the above. Your system of checking worked 

very well and there was no injury to anyone. I won't transport it again." 
e. Section 172.600(c), which states that no person to whom this subpart applies may 

offer for transportation, accept for transportation, transfer, store or otherwise handle 

during transportation a hazardous material unless emergency response information 

conforming to this subpart is immediately available for use at all times the hazardous 

material is present; and emergency response information, including the emergency 

response telephone number, required by this subpart is immediately available to any 

person who, as a representative qf a Federal, State or local government agency, 

responds to an incident involving a hazardous material, or is conducting an 

investigation which involves a hazardous material. "Repeat of same issue again." 

In accordance with Section 5123 (a) of Title 49 of the United States Code 

(Transportation) [(49 U.S.C. Section 5123 (a)], Respondent is liable for a civil penalty 

of not less than $250.00 ($450 for training violations), nor greater than $50,000 (or 

$100,000 for violations resulting in death, serious illness, or severe injury to any person, 

or substantial destruction of property) for each violation of the Department of 

3 

Transportation Hazardous Materials Regulations. "There was no injury, death or serious illness 

so we all learned something." . 

Under the facts and circumstances of this case, a civil penalty of $1,000.00 is appropriate. 

"I don't see how $1,000 penalty is 'appropriate.' How and who deems this to be appropriate? 

Was that person there and actually saw the containers or how well they were wrapped or 

protected in the middle ofthe box. An object at least 16" long would have had to puncture the 

box and then penetrated the hard plastic jar and then water would have had to be applied to 

have caused any harm. I think no financial penalty is appropriate as I have already spent 

untold hours defending myself and the situation and the 1,000 is excessive considering no 

harm was done." 

On January 31, 2014, Complainant served discovery upon Respondent. Exhibit B, 

Complainant's. discovery requests. On February 21, 2014, Respondent served his responses to 

discovery. Exhibit C, Respondent's responses to discovery~ In response to requests for 

admission, Respondent admitted to all ofthe factual allegations in the Complaint, and admitted 

that Exhibits A and B, attached to the discovery requests, were true and correct copies of 

Respondent's March 2, 2013, and March 28,2013, e-mails to Andrew Pipping, FAA. As to any 

affirmative defenses, Respondent identified "mistake." Also in response to the discovery, 

Respondent indicated that he contends that he lacks the ability to pay the proposed civil penalty, 

but will not prove his inability to pay: "No matter what I place in that form [US DOJ 

Financial Statement of Debtor] you will somehow find me capable of paying it whether in a 

3\L.'--
4 

lump some {sic] or in installments so I chose not to waste my time in attempting to prove my 

inability to pay. My finances are my business and no one else's. The government pries into 

our persona/lives way to{o] much as it is already. Sorry, I am rambling again ... however it is 

the truth." (Emphasis added.) 

ARGUMENT 

Motion For Decision Standard 

Pursuant to sections 13.218(a) and (f)(5) of Title 14 ofthe Code of Federal Regulations, 

"[t]he administrative law judge shall grant a party's motion for decision if the pleadings, 

depositions, answers to interrogatories, admissions, matters that the administrative law judge has 

officially noticed, or evidence introduced during the hearing show that there is no genuine issue 

of material fact and that the party making the motion is entitled to a decision as a matter oflaw." 

Here, since Respondent admitted to all of the allegations in the Complaint, no genuine issue as to 

a material fact remains in the case. 

$1,000.00 Liability Assessment 

The hazardous materials transportation statute provides that a person who knowingly 

violates the statute or regulations pertaining to the transportation of hazardous material "is liable 

to the United States Government for a civil penalty of not more than $75,000 for each violation." 

(The Complaint erroneously identified the former maximum, $50,000.) 49 U.S.C. § 5123. The 

statute provides that a person acts knowingly when: 

(A) The person has actual knowledge of the facts giving rise to the violation; or 

(B) A reasonable person acting in the circumstance and exercising reasonable care would 

have that knowledge. 

Respondent acted knowingly; he had specific planned uses for the ,hazardous materials he 

offered for shipment: "My partner and I are attempting to help a business associate in Columbia 

'\\le 2--
5 

establish a new hydrogen production system here and not speaking the language it was very 

difficult to know if they had Potassium Hydroxide in Columbia." Exhibit B, Complainant's 

Request for Discovery, at Exhibit A: Respondent's March 2,' 2013 e-mail to Special Agent 

Pipping (Respondent's Letter of Response "LOR"). Further, the thirteen (13), four (4) ounce 

plastic bottles were clearly marked "Potassium Hydroxide" and labeled with the hazard class 8, 

corrosive label. Exhibit D, Special Agent Statement. Respondent knew that his hazardous 

materials shipment posed a hazard: "I did not know it was illegal to transport the material in a 

very well protected container. The only danger it might have created would be if something 

penetrated the entire box which was surrounded with bubble wrap and then punctured the heavy 

duty plastic and then wet I [sic] it down." ld. 

He affirmatively asserts that he was ignorant of the requirements for shipping his 

hazardous materials and thus unknowingly violated the Hazardous Materials Regulations. 

Exhibit A, page 3. Respondent is liable even if he did not know that he was breaking the law. 

Riverdale Mills Corp., FAA Order No. 2003-10 at 2, 2003 WL 22480437 (F.A.A.) (September 

12, 2003). He intended to ship the hazardous materials, Potassium Hydroxide, in his checked 

baggage for transportation on passenger-carrying aircraft from Phoenix, Arizona to Fort 

Lauderdale, Florida, then to Medellin, Columbia. 

Sanction Guidance 

To guide the FAA's prosecutorial discretion, the Agency developed Hazardous Materials 

penalty guidelines to aid the application ofthe statutorily defined penalty considerations and "to 

promote better consistency so that similar penalties are imposed in similar cases." Exhibit E, 

Appendix C of FAA Order 2150.3B (hereafter Sanction Guidance). FAA's use of the sanction 

guidance table to determine the appropriate civil penalty normally should not be disturbed unless~ 

~?...-- . ') 
6 

other factors justify the reduction of an otherwise reasonable assessment. Trans World Airlines, 

Inc., FAA Order No. 98-11 (June 16, 1998). Under the penalty guidelines, shippers are divided 

into subcategories that correspond with subparts ofthe Department of Transportation Hazardous 

Materials Regulations ("HMR"). 

Because Respondent is an individual, he is considered a Category A Offender for sanction 

purposes. Exhibit E, Figure C-1, at page C-12. This case involves an undeclared shipment that 

was within quantity limitations and therefore is considered an Offense Category II for sanction 

purposes. Id Therefore, the sanction range for each non-multiplicious violation is $250.00 

$1,100.00. Respondent has committed at least four non-multiplicious violations: no shipping 

papers, labeling, marking, and emergency response information. 

However, because Respondent was an air carrier passenger, the sanction range for the 

total civil penalty to be assessed, absent mitigating or aggravating factors, is $250 - $1,000. 

Exhibit E, paragraph h, at page C-13. 

A civil penalty of $1,000.00 is appropriate for the facts and circumstances of this case. 

"In determining the amount of the penalty, the Secretary [decisionmaker] shall consider-(1) the 

nature, circumstances, extent, and gravity of the violation; (2) with respect to the violator, the 

degree of culpability, any history of prior violations, the ability to pay, and any effect on the 

ability to continue to do business; and (3) other matters that justice requires." (49 U.S.C. § 

5123(c)). 

Respondent packed, in the middle of a box, thirteen (13), four ( 4) ounce plastic 

containers, weighing 3.25 pounds, and two (2) larger plastic containers (one a plastic milk style 

container, the other a general storage container), weighing 10.0 pounds, containing the hazardous 

material Potassium Hydroxide, solid, Hazard Class 8, Packing Group II. Exhibit A, Answer, at 6 
7 

of7. Respondent packed, for inclusion in his shipment, three (3), sixteen (16) ounce bottles of 

diesel additive and two (2) sixteen (16) ounce bottles of gasoline additive. Exhibit D and Exhibit 

B, Complainant's Request for Discovery, at Exhibit A, Respondent's March 2, 2013 e-mail to 

Special Agent Pipping. 

Respondent offered to Spirit Airlines, Inc. the hazardous materials as checked baggage 

for air transportation from Phoenix-Mesa Airport, Mesa, Arizona, to Fort Lauderdale, Florida, 

then to Medellin, Columbia. Respondent failed to declare the hazardous material, failed to 

properly mark and label his checked baggage, and failed to provide to Spirit Airlines, Inc. the 

required emergency response information. 

Safety Risks Posed 

Potassium Hydroxide, solid, Hazard Class 8, Packing Group II, is a corrosive that is 

water-reactive. The Material Safety Data Sheet (MSDS) states that if Potassium Hydroxide were 

to be in contact with moisture or water, it may generate sufficient heat to ignite nearby 

combustible materials. Attachment to Exhibit D. The MSDS indicates if Potassium Hydroxide 

were to be in contact with water, it may st~am and splatter. In addition, materials incompatible 

with Potassium Hydroxide include chlorine dioxide, a chemical known to be found in toothpaste 

and mouthwash products, and sugars. !d. Potassium Hydroxide is corrosive to metals such as 

aluminum (a common metal in aircraft structures), tin, and zinc and may cause the formation of 

flammable hydrogen gas if moisture were to be introduced to it and subsequent contact made 

with these metals. !d. 

FAA Hazardous·Materials Security Specialist Andrew Pipping, the investigating and 

reporting agent, opines that several factors increased the safeo/ risks posed by Respondent's 

undeclared shipment of hazardous materials. Exhibit D. Non-hazardous material items were 
8 

discovered in Respondent's checked baggage: three (3), sixteen (16) ounce bottles of diesel 

additive and two (2), sixteen (16) ounce bottles of gasoline additive. Respondent thus introduced 

·moisture - a condition that is to be avoided in shipping Potassium Hydroxide. Exhibit D. 

Potassium Hydroxide is incompatible with chlorine dioxide, a chemical found in 

toothpaste and mouthwash. Also, Potassium Hydroxide is incompatible with sugars, a common 

chemical existing in many personal use products. Because Respondent did not declare to Spirit 

Airlines, Inc. his shipment ofhazardous materials; his shipment was not sequestered in a 

protected area, rather destined to be comingled with passenger cargo containing materials 

incompatible with Potassium Hydroxide. Exhibit D. This increased the potential of igniting 

combustible materials, the formation of flammable hydrogen gas, or both. !d. Respondent did 

not provide shipping papers nor did he provide emergency response information to Spirit 

Airlines, Inc. In the event of a release, Spirit Airlines, Inc. would have been at a complete loss as 

to cause and remediation measures. !d. 

Hazard risks posed by Respondent's shipment of undeclared Potassium Hydroxide in his 

checked baggage were increased by the nature of the subject air shipment. Specifically, 

departing on February 11, 2013 from Phoenix-Mesa Airport, Mesa, Arizona Spirit Airlines Flight 

972, landed in Dallas-Fort Worth, Texas, took off from Dallas-Fort Worth and landed in Fort 

Lauderdale, Florida. The checked baggage was offloaded and thence loaded on to Spirit Airlines 

Flight 23 7. The following day, February 12, 2013, Spirit Airlines Flight 23 7 departed Fort 

Lauderdale, Florida and landed in Medellin, Columbia. Exhibit D. There were three takeoffs, 

three landings, one change of aircraft, and one overnight; each circumstance increased the hazard 

risk posed by the shipment of the Potassium Hydroxide in checked baggage. !d. "The shifting of 

baggage and their contents increases the risk in the release of Potassium Hydroxide and the 
potential of this substance coming into contact with incompatible materials." ld., at 2. 

Mitigating Factors 

9 

The single mitigating factor Respondent identifies is his asserted inability to pay the 

$1,000.00 civil penalty. The ability to pay the penalty is an affirmative defense. It is wellestablished that the burden of coming forward with such evidence rests upon the Respondent. 14 

CFR 13.224(c). Giuffrida, FAA Order No. 1992-72 (December 21, 1992). It is equally wellestablished that the Respondent cannot rest upon mere generalizations, rather the Respondent 

must come forward with audited financial statements and other data showing its financial 

position in detail. Mole-Master, FAA Order No. 2010-11 (June 16, 2010). Respondent cannot 

meet his burden ofproofbecause he is unwilling to demonstrate his inability to pay. 

Other Matters That Justice Requires 

Respondent states that for future shipments regarding his hydrogen production unit, as he 

has business dealings in Columbia, he will hire a.proper shipping company. Exhibit B, 

Complainant's Request for Discovery, at Exhibit A, Respondent's March 2, 2013 e-mail to 

Special Agent Pipping (LOR). Respondent's offer to comply with the HMR for his future 

shipments does not constitute the swift, comprehensive, and positive corrective action warranting 

a reduction in an otherwise reasonable civil penalty. Mole-Master at 6. 

CONCLUSION 

Complainant respectfully moves this Court for decision as there are no material facts in 

genuine dispute. Respondent violated the HMR pertaining to shipping, labeling, marking, and 

emergency response. These actions pose a serious threat to the air transportation system in 

America. In weighing the totality of facts and circumstances, a civil penalty of no less than 

$1,000.00 is warranted. This amount will promote compliance and deter future violations by 
10 

Respondent and others. Deference should be given to the Administrator's proposed sanction. 

"[A ]n administrative agency is entitled to substantial deference in assessing the civil penalty 

appropriate for a violation of its regulations. The agency's choice of a sanction is not to be 

overturned unless it is unwarranted in law or without justification in fact." NL Industries Ins., v. 

Dept. a/Transportation, 901 F.2d 141, 144 (D.C. Cir. 1990). 

Respectfully submitted, 

Federal Aviation Administration 

Western-Pacific Region 

Lawndale, California 

NAOMI TSUDA 

Regional Counsel 

By: 

Lisa 

~.~ J. Toscatf 

Attorney 

DATED: April9, 2014 
FAA Docket No. [To Be Assigned] 

FDMS No. FAA-2013-0621 

CERTIFICATE OF SERVICE 

11 

I hereby certify that on this date I have placed in the United States mail, postage prepaid, 

the COMPLAINANT'S MOTION FOR DECISION with Exhibit A (Respondent's Answer to 

Complaint), Exhibit B (Complainant's discovery requests), Exhibit C (Respondent's responses to 

discovery), Exhibit D (Special Agent Statement), and Exhibit E (Appendix C of FAA Order 

2150.3B), addressed as follows: 

The Honorable Richard C. Goodwin, Administrative Law Judge 

Office ofHearings, M-20 

U.S. Department of Transportation 

1200 New Jersey Avenue, S.E. (Ell-310) 

Washington, DC 20590 

Also by electronic mail to: Richard.Goodwin@dot.gov 

Thomas H. Bray, Respondent 

JJJ I £21!2) ;;::n 

'ltiistceia sg, Jlfl DJBJJO 

Also by electronic mail to: multigrainscpt@msn.com 

Dated: April 9, 2014 

Legal Technician 

Federal Aviation Administration 

800 Independence Avenue, S.W. 

Washington, DC 20591 

Attention: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building-Suite 2Wl 000 

Office ofthe Regional Counsel 

Federal Aviation Administration 

Lawndale, California 
~. ·' 

/' 

,./. 

v·· . 

. _)) t/J.L 

_ __...,...---

I&JC'ct~O 

I f).· v\- Avl1 C]'vG 
Exhibit A 

Page 2 of7 

(j_ __ ) 
U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

In the Matter of: 

FAA DOCKET 

Thomas Bray 

FAA CASE NO. 2013WP700039 

Respondent 

JUDGE NOT ASSIGNED 

COMPLAINT 

The Complainant files its Complaint, pursuant to Rule 208 of the Rules ofPractice (14 

C.F.R. 13.208). and states as follows: 

I. 

Respondent, Mr. Thomas Bray, was advised through a Notice of Proposed Civil Penalty 

dated June 7, 2013, and through a Final Notice ofProposed Civil Penalty dated July 25, 2013, 

that the FAA proposed to assess a civil penalty in the amount of$1,000.00. On July 28,2013, 

Respondent submitted a written request for a hearing. 

II. 

1. On or about February 11, 2013, Respondent offered hazardous materials in checked 

baggage to Spirit Airlines, for transportation from Phoenix-Mesa Gateway Airport, Mesa, 

.Arizona, to Fort Lauderdale, Florida, then to Medellin, Columbia. 

. u,d~.J !y tvu-d_ tLt £' ,wf ~ I 

{;o-rt s ,£.u 1-f A~~ /""'--~ ~ (L<./ .-£/1 ~· 

~ coJ--~ ~ CAY'c-~. Exhibit A 

Page 3 of? 
' The hazardous materials were thirteen (13) four (4) ounce plastic bottles of Potassium 

hydroxide, so lid, at total approximate weight of 3.25 pounds and two (2) unlabeled 

Materials Table in Title 49 ofthe Code ofFederal Regulations (49 C.P.R.), Section 

172.101. it is "Potassjum hydroxi~ solid," Hazard Class 8, UN1813, Packing Group II. 

-~-~~~ rof(l44A_·~ /~Aox/t£.e.. 

4. Respondent offered his baggage for air transportation in commerce when it was not 

properly classed, described, packaged, marked, labeled, and/or in condition for 

transportation as required or authorized by applicable requirements in Subchapter C of 

Chapter 1 of 49 C.P.R., or an exemption or special permit, approval, or registration issued 

under Subchapter Cor Subchapter A of Chapter I. To wit: 

a. The hazardous material was not deciDe~~ wd.£, 

a£~ /11 b. Respondent's baggage was not properly markedr· 

c. Respondent's bagg~ not properly labeled. 

:.. Respondent offered his baggage for transportation in commerce without providing the 

required emergency response information immediately available for use at all times. 

~ 

c{;;! ~t ~~~ Jou:i ~ ._ ~~ I 

~y-r-; ~·~ 4 . ' v 

Exhibit A 

Page 4 of7 
v· -~-

III. 

By reason of the foregoing facts and circumstances, Respondent violated the follo\ving 

Department of Transportation Hazardous Material Regulations (Title 49, Part 171 et seq., Code 

of Federal Regulations): 

a. Section 171.2( e), which states that no person may offer or accept a hazardous 

material for transportation in commerce unless the hazardous material is properly 

classed, described, packaged, marked, labeled, and in condition for shipment as 

required or authorized by applicable requirements of this subchapter or an exemption 

or special permit, approval, or registration issued under this subchapter or subchapter 

);J:cba]te~ ft i!:fb:::tJ~ J::::;:;; 

b. 

tu 

Section 

~-'"'-I~~ 172.200(a), which states that no A£~~~. person may offer.{_azardous material for ~ 

transportation unless the material is prop~_, described on the shipping papers; 

J2;rv}z;~ cA-J~ -,- ~~ . 

c. Section 172.300(a), which states that each person who offers hazardous material for 

transportation shall mark each package containing the hazardous material in the 

manner required by HMR subp')'l D (Marking); c9. ch-u. IJU<---! ~ ::::: 

tt~ 1 ~ert~ ~~ v- ~~ 

~t~utr~k~~~ ~~- . d. Section 172.400(a), which generally states that each person wl{o offers hazardous 

material for transportation shall label the package or containment device with labels 

specified for the material in section 172.101 ( 49 C.F .R. § 172.101) and as required by 

HMRsubpartE;and H "- ;.J-'41-(Le ,..k~ · , 

I ~ ~~cf2 -~ 

~ (p--!~ i ch-c:~l p-V ~~ ~ VS/Jlli2 + ~-~ ~ . ~ ~ 

~=+~~.~ I cr 

l: 

Exhibit A 

Page 5 of7 
-4-

e. Section 172.600(c), which states that no person to who!J1 this subpart applies may 

offer for transportation, accept for transportation, transfer, store or otherwise handie 

during transportation a hazardous material unless emergency response information 

conforming to this subpart is immediately available for use at all times the hazardous 

material is present; and emergency response information, including the emergency 

response telephone number, required by this subpart is immediately available to any 

person who, as a representative of a Federal, State or local government agency, 

responds to an incident involving a hazardous material, or is conducting an 

inv~gation which in~olves a hazardous material. ~;d ~ 

~~~- -o 

IV. 

1. In accordance with Section 5123 (a) ofTitle 49 ofthe United States Code 

(Transportation) [(49 US.C. Section 5123 (a)], Respondent is liable for a civil penalty 

of not less than $250.00 ($450 for training violations), nor greater than $50,000 (or 

$100,000 for violations resulting in death, serious illness, or severe injury to any person, 

or substantial destruction of property) for each viol~ the Department of 

Transportation Hazardous Materials Regulations. ( ~ (A..j) ~~ 't; 1 fod{_ J\_ 

~;;t~4tJw~~~- r· · 

2. Under the facts and circumstances of this case, a civil penalty of $1,000.00 is ~ 

. - I ;J tf +: . \' "'~ appropnate. -1- ~flU..~ ~-OoCJ ~~~ -~ · 

1-h<u t w-£o ~ '--/L,_ -fr A · ~' '?t!k-fb-t., ,~ ~ ~ «-C :;J} f£.-e C6-n---f~ o"l~ ~~ ~ ~ . ct{_~V~;._'Ke~d~ 

Jflfo. /h;xc.~ ~~_eJa:(~ //;~ ~ 

~-~-/-o ~c~~ bo;x:~·~ ~.f-z~+£1 

~ ~ Acu~ ~·c ~MonJL~~~-z ~--IJ~ 'f1~7t;~ ~ifA( . 
-5-

WHEREFORE, the Complainant, respectfully requests that the Administrative Law 

Judge enter an order that Respondent be assessed a civil penalty in the amount of $1 ,000.00. 

dk 7-t~ ~~~j.1J/OrvQ~ &spectllill=,~-A~l~ .~:J:c~~,K " ~s;~ ~v<J~ ~ ~- ~~· t ~~ '\" I 112. · LisaJ.~Toscano ~~(a-; 

Attorney 1 

Office ofthe Regional Counsel / 

Federal Aviation Administration 

Western-Pacific Region 

DATED: August 7, 2013 

Exhibit A 

Page 7 of? 
U.S. DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, DC 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

In the Matter of: * 

* 

THOMAS BRAY * 

* 

FAA Docket No. [To Be Assigned} 

FDMS NO. FAA-2013-0621 

* ALJ - GOOD\VIN 

* 

* 

* ***********~***************** 

TO: Respondent 

COMPLAINANrS 

REQUEST FOR DISCOVERY 

COMES NOW, Complainant, by her counsel, and hereby requests, pursuant to Section 

13.220(a) ofthe Rules of Practice in FAA Civil Penalty Actions (14, C.F.R., 13.220(a)), that 

Respondent respond to the following Requests for Admissions, Intenogatories, and Requests for 

Production of Documents, separately and fully under oath forreceipt by Complainant no later 

than February 28, 2014. 

These requests are deemed continuing, and any information secured after answering 

and/or supplying the requested answers or documents is to be supplied by supplemental 

production pursuantto Section 13.220(i) ofthe Rules of Practice in FAA Civil Penalty Actions. 

Respondent is under the duty to supplement his response with respect to any question directly 

addressed to the identity and location of persons having knowledge of discoverable matters, and 

the identity of each person expected to be called as an expert v-ritness at trial, the subject n1atter 

on \vhich the person is expected to testify, and the substance ofthe person's testimony. 

Respondent is under the duty to amend a prior response if he obtains infom1ation upon the basis 

of which he knO\vs that the response was incorrect when made, or he knows that the response 

though correct when made is no longer true. 

Exhibit B 

Page 1 of 17 
;.!. 

2 

BE ADVISED that Section 13.220(!)(1) of the Rules of Practice in FAA Civil Penalty 

Actions states, ''A party's failure to respond to a request for admission, in \\Titing and signed by 

the attorney or the party, not later than 30 days after service of the request, is deemed an 

admission ofthe truth of the statement or statements contained in the request for admission." 

DEFINITIONS 

1. "Documents" means, regardless of origin or location, any handwritjng, note, letter, 

manual, memorandum, record, report, statement, study, drawing, sketch, photograph, telegram, 

telex, or message, whether reported, transcribed, punched, taped, filmed or graphically 

represented in any manner, or material of any kind in the possession of subject to the control of, 

or within the knowledge of, Respondent and/or his employees, agents, partners, consultants, or 

experts. 

2. Identify" and/or "state the identity of' with reference to individuals means state the 

name, current or last known address, employer, and job description or title, and telephone 

number. 

3. "Identify all documents" means state the date and author unless apparent from the 

document. 

4. As listed herein, singular pronouns also include the plural. 

5. "You," "your," and "Respondent," as used herein refers to Thomas Bray. 

REQUESTS FOR ADMISSIONS 

Complainant requests that the Respondent make the followin£ admissions: 

1. On or about February 11, 2013, you offered hazardous materials in checked baggage to 

Spirit Airlines, for transportation from Phoenix-Mesa Gate\:vay Airport, tv1esa, Arizona, to 

Fort Lauderdale, Florida, then to Mede!Jin, Columbia. · 

Exhibit B 

Page 2 of 17 
2. The hazardous materials were thirteen (13) four (4) ounce plastic bottles of Potassium 

hydroxide, solid, at total approximate \Veight of 3.25 pounds and nvo (2) unlabeled plastic 

receptacles of Potassium hydroxide, solid, at total approximate \:veight of 10.0 pounds. 

3. Potassium hydroxide, solid is a hazardous material, in accordance \Vith the Hazardous 

Materials Table in Title 49 ofthe Code of Federal Regulations (49 C.F.R.), Section 

172.10 I. It is "Potassium hydroxide, solid," Hazard Class 8, UN! 813, Packing Group II. 

4. You offered your baggage for air transportation in commerce when it was not properly 

classed, described, packaged, marked, labeled, and/or in condition for transportation as 

required or authorized by applicable requirements in Subchapter C of Chapter I of 49 

C.F.R., or an exemption or special permit, approval, or registration issued under 

Subchapter C or Subchapter A of Chapter I. To wit: 

a. The hazardous material was not declared; 

b. Your baggage was not properly marked; and 

c. Your baggage was not properly labeled. 

5. You offered your baggage for transportation in commerce without providing the required 

emergency response information immediately available for use at all times. 

6. Attached Exhibit A is a tme and accurate copy of your March 2, 2013 e-mail to Andrew 

Pipping, FAA. 

7. Attached Exhibit B is a true_and accurate copy of your March 28, 2013 e-mail to Andrew 

Pipping, FAA. 

INTERROGATORIES AND REQUESTS FOR PRODUCTION 

1. For each of the above requests for admission that you do not admit, explain what specific 

facts or contentions in each statement you believe are not true, state all facts that support 

your beliefs in this regard, and produce all documents that support these beliefs. 

2. Identify each person whom you intend to call as a vv·itness at the hearing in this matter, 

and for each such \Vitness, provide a summary ofthe expected testimony. 

3. For each person identified in response to Interrogatory No. 2, produce a copy of each and 

e\"ery statement made by that person in \Vhich the facts and circumstances of matters at 

issue in this case are referenced or discussed. 

Exhibit B 

Page 3 of 17 
4. Do you intend to present any expert witness testimony at the hearing of this matter? If 

so, then proYide a synopsis of each expert witness' testimony, state the grounds for each 

expert opinion, and produce a curriculum vitae for each expert witness. 

4 

5. Do you contend that you lack the ability to pay the proposed civil penalty? If so, then 

state every fact upon \\'hich you intend to rely at the hearing in support of this contention, 

and produce a copy of each and every document you intend to introduce at the hearing in 

this matter in support of this contention. 

6. Produce the U.S. Department of Justice Financial Statement of Debtor form, completed 

and signed. This form was provided to you in a letter to you dated June 25, 2013, in 

response to your assetiion that you were financially unable to pay the $1,000.00 proposed 

civil penalty. Another form is attached as Exhibit C, for your convenience. 

7. To the extent not encompassed in your response to any of the foregoing items, identify 

and produce all documents upon which you expect to rely at the hearing or introduce as 

evidence in support of your position at the hearing in this matter. 

8. Describe with specificity and in detail any and all affirmative defenses you intend to 

assert at the DOT administrative hearing in this matter. 

9. Describe with specificity and in detail all of the facts and arguments which you anticipate 

presenting in the course of the hearing in this matter pertaining to mitigation of the 

sanction sought by Complainant in this case. 

Requested this 31 111 day of January 2014. 

Respectfully submitted, 

Federal Aviation Administration 

Western-Pacific Region 

Lawndale, California 

NAOMI TSUDA 

Regional Counsel 

By: 

Lisa 

~.y~ J. T scano 

Attorney . 

Exhibit B 

Page 4 of 17 
FAA Docket No. [To Be Assigned] 

FDMS No. FAA-2013-0621 

CERTIFICATE OF SERVICE 

I hereby certify that on this date I have placed in the United States mail, postage prepaid, 

the COMPLAINANT'S FIRST REQUEST FOR DISCOVERY with Exhibit A (Respondent's 

03/02113 e-mail), Exhibit B (Respondent's 03/28/13 e-mail), and Exhibit C (OBD-500), 

addressed as follows: 

Also by electronic mail: 

Dated: January 31, 2014 

Legal Technician 

Office of the Regional Counsel 

Federal Aviation Administration 

Lawndale, California 

5 

Exhibit B 

Page 5 of 17 
FAA Docket No. [To Be Assigned] 

FDMS No. FAA-2013-0621 

CERTIFICATE OF SERVICE 

5 

I hereby certify that on this date I have placed in the United States mail, postage prepaid, 

the COMPLAINANf'S FIRST REQUEST FOR DISCOVERY with Exhibit A (Respondent's 

03/02113 e-mail), Exhibit B (Respondent's 03/28/13 e-mail), and Exhibit C (OBD-500), 

addressed as follows: 

Also by electronic mail: 

Dated: January 31, 2014 

Agnes Ebilane 

Legal Technician 

Office of the Regional Counsel 

Federal Aviation Administration 

Lawndale, California 

Exhibit B 

Page 6 of 17 
;:·~· 

{In Archive} Fw: 

tom bray 

to: 

Andrew Pipping 

03/02/2013 11:20 PM 

Hide Details 

From: "tom bray" <multigrainscpt@msn.com> 

To: Andrew Pipping/AWP/FAA@FAA, 

History: This message has been replied to. 

Archive: This message is being viewed in an archive. 

Sent: Saturday, March 02, 2013 1:16AM 

I hope this arrives to you in a timely manner. 

P~1ge l or 1 

Please let me explain the circumstances concerning th.e potassium Hydroxide issue as well as I can through 

this email' I am currently in Columbia South America and I have someone picking up my mail in North 

Dakota for me. She was also away in Seattle and California visiting her daughter sot do not know when 

the letter was received in North Dakota but today she scanned it and at 12:48 AM I am writing you 

hoping you understand the complete situation. It is very difficult for me to control the mail and timing issue 

you set forth but I am doing the best I can frorn this distance. 

I never have nor has it ever been my intention to violate and FFA regulations knowingly. My partner and I 

are attempting to help a business associate in Columbia establish a new hydrogen production system here 

and not speaking the language it was very difficult to know if they had Potassium Hydroxide in 

Columbia. Not knowing that I very carefully wrapped, I think 2 large jars of Potassium Hydroxide in bubble 

wrap and there were 6-8 smaller jars in the well protected box. I did not know it was illegal to transport 

the material in a very well protected container. The only danger it might have created would be if 

something penetrated the entire box which was surrounded with bubble wrap and then punctured the 

heavy duty plastic and then wet I down. I apologize for my error and will next time hire some company to 

export it properly. For the hydrogen units to work properly there must be potassium hydroxide added to 

water .... so really after hearing from the ticket lady ... ! forget her name .... who was very apologetic ... over 

the whole issue and came onto the plane to explain it to me ..... at the last minute to tell me all of 

the essential stuff I needed to even get the unit to work had been confiscated by you guys the whole trip to 

Columbia is really a bust. I was almost in tears at that point as the plane was delayed and all kinds of other 

issue were compiling .... then this was the worst news yet. 

The carefully taped and well roped boxes I took hours to prepare when I got to Columbia were a disaster 

compared to how they looked when I handed them over to spirit Air. Rope was missing completely on one 

box, the other one was loosely wrapped and not holding anything together. I also noticed that you 

confiscated some 4-6 bottles of diesel and car fuel additive which is very expensive. When I return I would 

like to pick it all up as I can use it in my car there in Arizona. 

Please understand that there was no intention'al violation on my part nor has there ever been to my 

knowledge. I repeat ... I will hire a proper shipping company to ship the essential chemicals for our product 

next time I require them. 

Thank you for your understand and tolerance of this my first unintentional violation of a FA/\ code I knew 

nothing about. 

You may contact me if there are any other questiions you have for me at niult-iGi"?.;r-,sc::t;f.,,c .. s·; c·:,;'' 

FOR OFFICIAL USE ONLY 

Public A\·oibbiiity to be Determined 

Under 5 U.S.C. 552 

IOP_...:.../.;_r__ _ 

Page___,_/ __ o.f I 

ti le://C :\U sers\andre\.v pi pping\AppData\Local\ Temp\ 1 \notesFFF 692\-web3 145 .htm 

~II_, "l-·· Ei§ffiW A ;)':> 

Page 7 4fW:?. () 1 3 
{In Archive} Fw: 

tom bray 

to: 

Andrew Pipping 

03/02/2013 11:20 PM 

Hide Details 

From: "tom bray" 

To: Andrew Pippin , 

History: This message has been replied to. 

Archive: This message is being viewed in an archive. 

Sent: Saturday, March 02, 2013 1:16AM 

I hope this arrives to you in a timely manner. 

Page l of 1 

Please let me explain the circumstances concerning the potassium Hydroxide issue as well as I can through 

this email' I am currently In Columbia South America and I have someone picking up my mail in North 

Dakota for me. She was also away in Seattle and California visiting her daughter so I do not know when 

the letter was received in North Dakota but today she scanned it and at 12:48 AM I am writing you 

hoping you understand the complete situation. It is very difficult for me to control the mail and timing issue 

you set forth but I am doing the best I can from this distance. 

I never have nor has it ever been my intention to violate and FFA regulations knowingly. My partner and I 

are attempting to help a business associate in Columbia establish a new hydrogen production system here 

and not speaking the language it was very difficult to know if they had Potassium Hydroxide in 

Columbia. Not knowing that I very carefully wrapped, I think 2 large jars of Potassium Hydroxide in bubble 

wrap and there were 6-8 smaller jars in the well protected box. 1 did not know it was illegal to transport 

the material In a very weH protected container. The only danger it might have created would be if 

something penetrated the entire box which was surrounded with bubble wrap and theri punctured the 

heavy duty plastic and then wet I down. I apologize for my error and will next time hire some company to 

export it properly. For the hydrogen units to work properly there must be potassium hydroxide added to 

water .... so really after hearing from the.ticket lady .. .I forget her name ... : who was very apologetic ... over 

the whole issue and came onto the plane to explain it to me ..... at the last minute to tell me all of 

the essential stuff I needed to even get the unit to work had been confiscated by you guys the whole trip to 

Columbia is really a bust. I was almost in tears at that point as the plane was delayed and all kinds of other 

issue were compiling .... then this was the worst news yet. 

The carefully taped and well roped boxes I took hours to prepare when I got to Columbia were a disaster 

compared to how they looked when I handed them over to spirit Air. Rope was missing completely on one 

box, the other one was loosely wrapped and not holding anyth.fng together. I also noticed that you 

confiscated some 4-6 bottles of diesel and car fuel additive which is very expensive. When I return I would 

like to pick it all up as I can use it in my car there in Arizona. 

Please understand that there was no intentional violation on my part nor has there ever been to my 

knowledge. I repeat ... I will hire a proper shipping company to ship the essential chemicals for our product 

next time I require them. 

Thank you for your understand and tolerance of this my first unintentional violation of a FAA code I knew 

nothing about. 

You may contact me if there are any other questiions you have for me at 

Sincerely ............................................. thomas h. bray 

This document Ia cel'1ified by the FAA 

~:~copyofth~~ or Qlila1ll!. . • 

~)lr, <' 

Dam: r-tbW 

FORO~aALUSEONLY 

Public Av~ilability to be Determined 

Under 5 U.S.C. 552 

lOP /$/ 

Page I 

file://C:\Users\andrew pipping\AppData\Local\Temp\ 1 \notesFFF692\-web3145.htm 

ot I 

Exhibit A \ 

4/9/20 13 -z,.-.IP ~ z 

Exhibit B 

Page 8 of 17 
Re: Fw: 

tom bray 

·-7 to: 

Andrew Pipping 

03/28/2013 03:03PM 

Hide Details 

From: "tom bray" <multigrainscpt@msn.com> 

To: Andrew Pipping/AWP/FAA@FAA, 

History: This message has been forwarded. 

Page l ()f:. 

Thank you for your response. I did not receive any other Potassium Hydroxide. Fortunately we 

have been able to locate some in Columbia. Several issue I have however. 

Your system required me to immediately respond to you otherwise a possible civil court case 

could have been the out come. However it has been weeks since I answered your very severe 

demands on my time yet Your system can take unlimited time to respond. Seems like there are 

two different sets of rules. One for the supposed criminal and another for the "system". I do not 

appreciate those two different rules. Further more It is not acceptable just to sweep the issue of 

the missing 6-8 bottles of expensive fuel additive ·under the rug. I either want to be compensated 

for it as I will bill you for it or an easier way for this to be solved is for you to find it and have it 

ready for pickup when I return. 

I am sorry for the death in your family but I am sure that being as big a corporation as FAA is 

someone else could have replaced your position for 3 weeks. This is another example of 

Governmental mismanagement and total irresponsibility for an individuals and their property. 

Secondly, what right do you have to dispose of property that is not yours.? The proper and 

ethical manner to take care of what you call hazardous material is to return it to it's rightful 

owner. The owner should be notified by registered letter and given 60-90 days to pick it up. The 

fuel additive is no hazardous material. 

I very much perturbed and disappointed in another government agency that rides roughshod over 

the rights and privileges of Americans who pay your wages. You are public servants. That word 

has much been forgotten with most government employees. They tend to lord over the so ca lied 

stupid, ignorant, sheep. 

I thank you for your untimely response. 

thomas h bray. 

essage -----

From: Andrew.Pioomo@faa oov 

To: tcm brav 

Cc: ,:>,ndrew Pioo1:l-:::rCi:'fa3 aov 

Sent: Thursday, March 28.2013 4:40PM 

Subject: Re: Fw: 

Mr. BraySorry it has taken so long for me to respond. I appreciate you sending your Letter of Response electronically 

r----r.ln-n-:sar:l;;:y;meTy manner. 

Thisbdocu ent is t:t.:E<\1'"'· : :· _ ,

1

0P /$ to e a tn. copy ol ;:,1~ s:c· .. :' , . '/ 

bas been ~F~Z·:. H: . .ak,_e:s?;2·. · 'e.ufl~xpected time off due to a·death in the family. / / 

ore!ec "nJ(!;J.~.~ // FOR OFFICIAL USE O'N"L y Page of 0 

Certified 9Y;. _..:::.-fiv1. _, --~--<--/ Public A\·;~ilabi!ity to be D~termind A"-' 

Date: Cf-/?J -2<- fj _ / Under5 U.S.C.552 Exhibiifxh~itB , 

!1 e:/il':\ Users\andrew pipping\/\.ppData\Local\Temp\ 1 \notesFFF692\-\wb3898.htm Page 9 o:t: t-7 _() 1.1 
Re: Fw: 

'~._&_,. tom bray ~;r to: ·~· Andrew Pipping 

03/28/2013 03:03 PM 

Hide Details 

From: "tom bray" 

To: Andrew Pipping , 

History: This message has been forwarded. 

Page I of 3 

Thank you for your response. I did not receive any other Potassium Hydroxide. Fortunately we 

have been able to locate some In Columbia. Several issue I have however. 

Your system required me to immediately respond to you otherwise a possible civil court case 

could have been the out come. However it has been weeks since I answered your very severe 

demands on my time yet Your system can take unlimited time to respo'nd. Seems like there are 

two different sets of rules. One for the supposed criminal and another for the "system". I do not 

appreciate those two different rules. Further more It is not acceptable just to sweep the issue of 

the missing 6.:.8 bottles of expensive fuel additive under the rug. I either want to be compensated 

for it as I will bill you for it or an easier way for this to be solved is for you to find it and have it 

ready for pickup when I return. 

I atn sorry for the death in your family but I am sure that being as big a corporation as FAA is 

someone else could have replaced your position for 3 weeks. This is another example of 

Governmental mismanagement and total irresponsibility for an individuals and their property. 

Secondly, what right do you have to dispose of property that is not yours.? The proper and 

ethical manner to take care of what you call hazardous material is to return it to it's rightful 

owner. The owner should be notified by registered letter and given 60-90 days to pick it up. The 

fuel additive is no hazardous material. 

I very much perturbed and disappointed in another government agency that rides roughshod over 

the rights and privileges of Americans who pay your wages. You are public servants. That word 

has much been forgotten with most government employees. They tend to lord over the so called 

stupid, ignorant, sheep. 

I thank you for your untimely response. 

thomas h bray. 

essage --

From: Andrew.Piopinq@faa.aov 

To: tom bray 

Cc: Andrew.Pipping@faa.gov 

Sent: Thursday, March 28, 2013 4:40PM 

Subject: Re: Fw: 

Mr. BraySorry it has taken so long for me to respond. I appreciate you sending your Letter of Response electronically 

..-----1~-:-,~-rn,m,.;·ety manner. 

This t is ceni!i~J ":l• · ..• 

~~ r~,,~·-·:• ~xpected time off due to a death in the family. 

or means. FOR OFFICIAL USE ONLy 

lOP /.:J 

Page I of 6 

Ccrtifialm "' < ~ Public Availability to be Determined 

Dllte: (/-((},...2t!f} / Uwier5U.S.C.552 Exhibit B ~ 

t..::==;::;;~~se:::rs\an-drew pipping\AppData\Local\Temp\ 1 \notesFFF692\-web3898.htm 4/9/20 J 3 '~ "l 

Exhibit B 

Page 10 of 17 
LS. Dcrmm..:nltl!" Justice 

Financial Sw.t<.:m..:mol" D..:btor 

rSubmirtcci.Ji>r Ciot·crmnelll.·lcrhm 011 

Claims Dui! rlw L "nired Swlr::s) 

:\OTE: Usc aJJitional sheets \\"here space on this !l1rn1 

is insurticknt t'l" continu~: on b::~ck of last pugc. 

Fl:\A\"CI.·\LSTATD!Ei'iT OF DEBTOR 

.-\uthnrit)· for the soliciwtion of th~ requested inrMmatiPn is one N more 11fthc J"ollo11 ing· 5 l.I.S.C. 30 I. 90 J tseo Note. Exccuti' c Order b !6h. June I 0. !9}3 ): 

2S li.S.C 501. .:t s.:q.: 31 L' S.C '1.:'1. t'l S<'if ·. ·l·l t.: S C 310 I: 4 CFR !0 I. .:t mr: :s·CFI{ 11.160. 0 171 nnJ :\pp~ndix w Subpnrt Y. fc<.l.I\.Cil".!'- 33t ~). 28 

USC !651. 3~01 ct s.:q. 

The princip:1l purpnsc I(H g~tkrmg tiHs inl\,rm:Jtion is to c1·:1[uatc your :tbil!t) It> p:1y the G\wcmmcm"s cbim or judgment ngnin;t )"U R~utin:: 

u;c; oi"tiH! mformation arc cstabl~>hed in the i\>lltllling l.:.s. Dcpartm::nt ut"Ju>tkc Case file S)Stcms published tn \'ol·12 nfthe l't.:<.lcral Rcgis;cr. 

.lu,licc·Cl\" ·00 l at puge .5332; Ju;ticc."T :\X-00 I at pa~c I 5 }4 7: Ju;ticc.'US:\-005 at pages 53406-5 }.\07. J usticc "lS.-\·007 :11 pages 5J40B-5 }4 I 0. 

Justice:Ci<.l:>.!-0 I 6 at page 122i4. DJsdosuro CJ!" th~ inl(>rmation is voluntary. If I he req11e:<tcu inl<mnation is not fumbhd. th~ U.S D"partmcnl of Justi.:" bas 

the right to such disclosure of the ini<Hmati<>n by legal mcthrds. 

Section 1 

Personal 

lnformalion 

Section 2 

Ynur 

Bu:;inc~s 

lnt(mnation 

Section 3 

Emp!,,ymt:nt 

lni0rmation 

I. Full Namu(s) I a. Home Telephone: ( __ ) -------

l3est Time to Call a.m. ___ p.m. 

Street AdJres' I b. Cellular Number:( __ ) ______ _ 

2. tvlariltll St:.llus: 

OMnrried OSt:parat<.:J 

City_--::-::--:-:-------Statc ___ Zip ___ _ Coumy of Rc:siJc:nct: ______ _.._ ________ _ 

Ho\\" long at this n.:siJent:c'.' OUnmarried (single. di\"orced. \'• idowcd) 

3. '{our Social Security No. iSS?\) ---------

4. Spouse·s Soci::ll St:curity Nti. 

3a. Your Date of Binh (mm/dtllyy ) ______ _ 

4a. Spous.:·s D::tte of Birth (mm\id.iyyJ. _____ _ 

5. 0 Own I lome DRent DOth<!r (sped!)". i.e. shat·e n.:nt. li\·c with rdath·e) ________________ _ 

6. List the dcpcnJunts you can claim on your tax return: (:\!tach sh~cl ii"more sp::~cc is nc.:J.:u} 

Rt!latumship Docs ibis p~rson 

lh:e with )-Oli'J 

Dso DYes 

D:-;o DYes 

First Name Rcl:!lit)nship 

7 . .-\n.::: ou or your spuusc: sdi~..:mploycd or opcmlc a businc:~s·: (Check ·')'es .. if dtht.:r upplit:s) 

0 :--;o 0 Yt.:s I i") es. pro,·ide the: l(illowing information: 

Docs thIS p..:rsor. 

li...-~ wi[h you·' 

DNo DY~s 

CJSo DYt:s 

7a. 0!::~mc or Busin..::;s 7c. Employer ldentitic~\lit~n ~n: _______ _ 

7b. Street t\JJr..:ss 7J. Do you ha,·c employees·~ C ?\o D \".::s 

City State ___ Zip 7c. Do you haH: nt.:counts r<:t:ei,·:tbk? 0 Nn D Y .::s 

I ryes, pl<.:nsc complt:le St.:Clion s on page 5. 

~.-\ TTAC:ID!E:>;TS !~EQl"lRED. Please provide proufofsdf·cmploymcnt income for the prior 3 months 

(;::.g. inYok~s. ·cnmmissinns. saks n:cnn!s. income st~n!.!m::nt) 

8. YotJr employer 9. Spouse's Empl,1ycr ____________ _ 

St;cct AJJrcss Strc..:t Address -----------·-------

CitY,.--.....,.--,,.----·------State ___ Zip _____ Cit) State ___ Zip ____ _ 

\\'ork tdcphom: no.( ____ ) \\"ork telephone no.! __ ! __________ _ 

!\by we conuct: uu at work'.' 0 No t...: Yes !\ b; \Ve cont:.lct you <!L work"? C :\o 0 Y cs 

8:1. Ho\\" long 11 ith this cm[Jltlycr": -----------'Ja. l-!O\\ long. \lith this ~rnplt,y<.:r".'_· --------

8b. Occup<ltiun <lb. Occuputi0n _______________ _ 

~ .-\TTAC! I\ !E:>;T:; ltEQllHED· l'k~'~ provide prt>ui" of gros~ cJflllilgS ~nt.l .Jeductwns for the past J mo11tlr< frorn c:u·h employer i~ g 

p:!y stubs. t::tr:ting~ sl~HI..':n:..:nts) ! ( )"l!~1r·w-d:l!t: inf'orm::tin~l l."i :lv:ntab\1.!. s~mJ Pnly 1 !'lH.:h St.:!t::J71·.!nl as lt1t!k). ;o.~ :1 minimum of' 3 months :s 

i~'pr:!.s:.!'r~t:.:J 
Nrune. ____________________________ _ SSN ______________ _ Page 2 

Section 4 

Other 

Income 

Information 

Section 5 

Banking, 

Investment, 

I 0. Do you receive income from sources other than your own business or your employer? (Check all that apply.) 

0 Pension D Social Security 0 Other (specify, e.g. child support, alimony, rental) ________ _ 

IJ@f A :.r ACHME!'.TS REQUIRED: Please provide proof ofpension!sO<:ial security/other income for the past 3 months from each payor, 

including any statements showing deductions. If year-to-dati: information is available, send only I statement as long as 3 months is represented. 

II. CHECKING ACCOUNTS. List all checking accounts. (If you need additional space, attach a separate sheet.) 

Full name of Bank, Credit 

Union or Institution Bank Account No. 

Current Account 

Balance 

Cash, Credit II a. 

Type of 

Account 

Checking Name. ________________ _ $. _____ _ 

and Life 

insurance Information 

Address. ____________ _ 

City/State/Zip. ______ _ 

lib. Checking Name. _______________ __ $. ____ _ 

Address. _____________ _ 

City/State/Zip. _____ _ 

lie. Total Checking Accounts Balances $. ____ _ 

12. OTHER ACCOUNTS. List all accounts, including brokerage, savings and money market, not listed in 11. 

Type of Full name of Bank, Credit Current Account 

Account Union or lnstitution Bank Account No. .,B:::al,a!,Cnc"'e~---

12a. --- Name $. ________ _ 

Address.__,=-------- City/State!Zip. ________ _ 

!2b. Name. ________________ _ $. ____ _ 

Address. __________ _ 

City/State/Zip. _____ _ 

12c. Total Other Account Balances $. ____ __ 

~A Tr ACHMENTS REQUIRED: Please include your current bank statements (checking, savings, money martet and brokerage ac~unts} for the past 3 months for all accounts. 

13. INVESTMENTS. List all investment assets below. Include stocks, bonds, mutual funds, stock options, 

certificates of deposits and retirement assets such as IRAs, Keogh and 401 (k) plans. 

Number of Current Loan Used as collateral 

!3a. 

!3b. 

13c. 

Name of Company Shares/Units 

!3d. Total Investments $. __________ _ 

Value 

$ 

$ 

$ 

14. CASH ON HAND. Include any money that you have that is not in the bank. 

14a. Total Cash on Hand $ _____ __ 

Amount (if anvj on loan? 

$ DNa DYes 

$ DNo DYes 

$ DNa DYes 
Nrune. ______________________________ __ SSN _______ __ Page 3 

Section 5 

continued 

Section 6 

Other 

15. AVAILABLE CREDIT. List all lines of credit, including credit cards. (If you need additional space, attach a 

separate sheet.) 

!Sa. 

IS b. 

Full Name of 

Credit Institution 

Name Addre-ss _________ _ 

City/State/Zip. _______ _ 

Name. _____________________ _ 

Address.__,~--------

City/State/Zip ____ --,---__ _ 

Credit Limit 

15c. Total Minimum Payments $'---------

Amount Owed 

16. LIFE INSURANCE. Do you have life insurance with a cash value? 0 No 0 Yes 

(Term Life Insurance does not have a cash value.) 

16a. Name oflnsurance Company ___________________________________ _ 

16b. Policy Number(s) ______________________ _ 

Minimum 

Pavment 

$ ____ _ 

$ ___ _ 

16c. Owner ofPolicy-:--~---------...,----...,---:----:-"'""::"'---:---- l6d. Current Cash Value$ 16e. Outstanding Loan Balance$. _______ _ 

Subtract "Outstanding Loan Balance: line 16e from "Current Cash Value" line 16d = 16£$. ____ _ 

~ ATIACHMENTS REQUIRED: Please include a stalt:menl from the life insurance companies that includes type and cash/loan 

value amounts. If currently borrowed against, include loan amount and date of loan. 

17. OTHER INFORMATION. Respond to the following questions related to your financial condition: 

(Attach a separate sheet if you need more space.)lnformation 

17a. Do you have a safe deposit box? 0 No DYes 

If yes, please include the name and address of location of box, the box number and the contents below: 

17b. Do you have a will? 0 No 0 Yes; ifyes, where is it kept? _____________________ _ 

17c. Are there any garnishments against your wages? 0 No 0 Yes 

If yes, who is the creditor? Date of Judgment Amount of debt$ __ _ 

17d. Are there any judgments against you? 0 No 0 Yes 

If yes, who is the creditor? Date of Judgment Amount of debt$ ___ _ 

17e. Are you a party to a lawsuit? 0 No 0 Yes 

If yes, runount of suit $ Possible completion date Court ________ _ 

Subject matter of suit'-----=----::=------------------------------

17f. Did you ever file bankruptcy? 0 No 0 Yes 

If yes, date filed Date discharged ,--,---..,..--:--:-----:-

17g. In the past I 0 years did you transfer any assets out of your nrune for less than their actual value? 

ONo 0 Yes 

If yes, what asset?::---:-::---------::-----:- Value of asset at time of transfer$ _______ _ 

When was it transferred? To whom was it transferred?-----=----------

17h. Do you anticipate any increase in household income in the next 2 years? 0 No 0 Yes 

If yes, why will the income increase? (Attach sheet if you need more space.) 

How much will it increase?---------....,-,=-:-:----:=:-:-:----

17i. Are you a beneficiary of a trust or an estate? D No 0 Yes 

If yes, nrune of the trust or estate Anticipated runount to be received$ ____ _ 

When will the runount be received?-:--:---::-;=-:--:----:= 

l7j. Are you a participant in a profit sharing plan? 0 No 0 Yes 

Ifyes, nrune of plan Value in plan$ ___________ _ 
Nrune ______________________________ __ SSN ______________ __ Page 4 

Section 7 

Assets and 

Liabilities 

*Current 

Value is 

the amount 

you could 

sell the 

18. PURCHASED AUTOMOBILES, TRUCKS AND OTHER LICENSED ASSETS. Include boats, RV's, 

motorcycles, trailers, etc. (If you need additional space, attach a separate sheet.) 

Description 

(year. make. model) 

18a. 

*Current 

Value 

$. ___ _ 

Current 

Loan 

Balance 

$ ___ _ 

Name of 

Lender 

Purchase 

Date 

Monthly 

Payment 

$ __ 

asset for today 18b. $. __ _ $. __ _ $ __ 

LEASED AUTOMOB£LES, TRUCKS AND OTHER LICENSED ASSETS. Include boats, RV's, 

motorcycles, trailers, etc. (If you need additional space, attach a separate sheet.) 

Name and 

Description Lease 

(year. make. model) 

Address of 

Lessor 

Lease Monthly 

Payment 

18c. $. __ _ $, __ _ 

18d. $. __ _ $. __ _ 

~A TI ACHMENTS REQUIRED: Please include your current statement from lender with monthly car payment and cum:nt 

balance of the loan for each vehicle purchased or leased. 

20. REAL ESTATE. List all real estate you own. (If you need additional space, attach a separate sheet.) 

Street Address, City 

State, Zip, County 

Lender/Lien Holder 

20a. __________________ _ 

20b .. _______ _ 

Date 

Purchased 

Purchase 

Price 

$ ___ _ 

$ __ _ 

*Current 

Value 

$ ___ _ 

$ ___ _ 

Loan 

Balance 

$ ____ _ 

$ __ _ 

21. PERSONAL ASSETS. List all personal assets below. (If you need additional space, nttnch a separate sheel) 

Furniture/Personal ~crs includes the total current market value of your household such as furniture ancl appliances 

Other Personal Assets includes all artwork, jewelry, collections, antiques or other assets 

Current Loan Monthly 

Descriotian Value Balance Lender Pavment 

2la. Furniture/Personal Effects $ $ $. ____ _ 

Other: (List below) 

2Ib. ArtWork $ $ $ ___ _ 

2lc. Jewelry $ $ $ __ _ 

21d. $ $ $ ___ _ 

2le. $ $ $ ___ _ 

Monthly 

Pymt 

$ ____ _ 

s __ _ 

Date of 

Final Pvmt 
Nrune. ____________________________ ___ SSN. ______________ _ Page 5 

Section 7 

continued 

Section 8 

Accounts/ 

Notes 

Receivable 

Use only if 

needed 

22. BUSINESS ASSETS. List all business assets and encumbrances below, include Uniform Commercial Code filings. (lf you n=! 

additional space, attach a separate sheet.) Tools used in Trade or Business includes the basic tools or books used to conduct your business, 

excluding automobiles. Other Business Assers includes machinery, equipment, inventory or other assets. 

22a. 

22b. 

22c. 

22d. 

22e. 

Description 

Tools used in Trade! 

Business 

Other: (List below) 

Machinery 

Equipment 

Current Loan 

Value Balance 

$ $ 

$ $ 

$ $ 

$ $ 

$ $ 

Monthly 

Payment 

$ 

$ 

$ 

$ 

$ 

Date of 

Final Pymt 

23. ACCOUNTS/NOTES RECEIVABLE. List all accounts separately, including contracts awarded, but not 

started. (If you need additional space, attach a separate sheet.) 

Description Amount Due Date Due 

23a. Name $ 

Address 

City/State/Zip 

23b. Nrune $ 

Address 

City/State/Zip 

23c. Name $ 

Address 

City/State/Zip 

23d. Name $ 

Address 

City/State/Zip 

23e. Name $ 

Address 

City/State/Zip 

23[: Name $ 

Address 

City/State/Zip 

Add "Amount Due" from lines 23a through 23f= 23g $, _______ _ 

Age of Account 

0 0-30 days 

0 30-60 days 

0 60-90 days 

090+days 

0 0-30 days 

o 30-60 days 

. 0 60-90 days 

0 90+ days 

o 0-30 days 

0 30-60 days 

0 60-90 days 

0 90+days 

0 0-30 days 

0 30-60 days 

o 60-90 days 

0 90+ days 

0 0-30 days 

D 30-60 days 

0 60-90 days 

0 90+ days 

0 0-30 days 

0 30-60 days 

0 60-90 days 

o 90+ days 

-· h·b·t C. P Exhihi!,B t:x 1 1 Pa~~N?i?Jf'17 
Name~---------------------------------- SSN ______________ __ Page 6 

Section 9 

Monthly 

Income and 

Expense 

Analysis 

If only one 

spouse has 

a debt, but 

both have 

income, list 

the total 

household 

income and 

expenses. 

Total Income 

Source 

24. Wages (yourself) 

25. Wages (spouse) 

26.lnterest ·Dividends 

27. Net Business Income 

28. Net Rental Income 

Gross monthly $ ____ _ 

29. Pension/Social Security -----

30. Pension/Social Security -----

(Spouse) 

31. Child Support 

32.Alimony 

33. Other 

34. Total Income $ _____ _ 

Total Living Expenses 

Expense Items 1 

35. Rent/l'v1ortgage 

36. Electric 

37. Natural Gas 

38. Cable TV 

39. Telephone 

40. Water 

41. Food 

42. Car Payment 

43. Gasoline 

44. Car Insurance 

45. Cell Phone/Pager 

46. Other Utilities 

47. Clothing & Misc. 

48. Health Care 

49. Court Ordered Payments 

50. Child/Dependant Care 

51. Life Insurance 

52. Other secured debt 

53. Other expenses 

54. Education Expenses 

55. Total Living Expenses 

Actual Monthly $ ___ _ 

$ ____ _ 

~ ATIACHMENTS REQUIRED: Please include; 

A copy of your last Fonn I 040 with all Schedules 

Proof of all current expenses that you paid for the last 3 months, including uti! ities, rent, insw-ance, property ta:~es. etc. 

Proof of all non-business transporcation expenses (e.g car payments, lease payments, fuel, oil, insurance, parking, registration) 

Proof of payments for health care, including health insurance premiums, co-payments and other out-of-pocket expenses 

Copies of any court order requiring payment and proof of such payments for the past 3 months 

CERTIFICATION 

I declare that I have examined the information given in this statement and, to the best of my knowledge and belief, it is true, correct, 

and complete, and I further declare that 1 have no assets, owned either directly or indirectly, or income of any nature other that as 

shown in this statement, including any attachment. 

Signature Social Security No. Date 

WARNING 

False statements are punishable up to five years imprisonment, a fme of $250,000, or both pursuant to 18 U.S.C. §lGOl. 

1

Expenses generally not allowed: We generally do not allow you to claim tuition for private schools, public 

or private college expenses, charitable donations, voluntary retirement contributions, payments on unsecured debts 

such as credit card bills and other similar expenses. However, we may allow these expenses, if you can prove that 

they are necessary for the health and welfare of you or your family. 

Exhibit C. Pag~l!fi:lfi6B Page16of17 
To: multigrainscpt@msn.com, 

Cc: Lisa M Toscano/AWP/FAA, 

Bee: 

Subject: FDMS No. FAA-2013-0621 

Dear Mr. Bray, 

Attached is the FAA's Request for Discovery issued today, January 31, 2014. The unredacted original is 

being sent to you by U.S. mail. 

Bray Camp's Request for Discovery 01 31 2014_Redacted.pdf 

Thank you, 

Agnes Ebilane 

Legal Technician 

Office of the Regional Counsel 

Western-Pacific Region 

Phone: 310-725-7114 

FAX: 310-725-6816 

/fee 

Exhibit B ~) Page 17 of 17 
IN THE MATIER OF 

THOMAS H. BRAY 

U.S DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS WASHINGTON D.C. 

FAA DOCKET NO. [TO BE ASSIGNED) 

FDMS NO. FAA-2013-0621 

AU-GOODWIN 

TO WHOM IT MAY CONERN: This case is has taken many precious hours out of my life and is costing me 

much time ... which is money and expense responding continually to these letters concerning a total of 

approximately 13 lbs of Potassium Hydroxide, which of course the government or FAA seems to see as 

an incredible danger to everyone aboard. I suggest that the FAA and Government bodies look at the 

manner in which the CIA has conducted itself in the last 20 years ... transporting arms, cocaine, other 

illegal substances and find itself first guilty of criminal charges first, imprison the culprits and judges 

before trying to fine innocent people of mistakenly transporting something that caused no harm ... and 

damaged no one. The old Biblical motto: Maybe take the log out of your own eye before trying to take 

the speck out of someone else's eye. 

Yes, I realize that what I just stated was a confession that I did, innocently attempt to transport a small 

amount of Potassium Hydroxide to Medellin Colombia but as has been so many time stated before, and 

seems to be of no value, it was a mistake and oversight on my part and was in no way intentional. Since 

this incident I have traveled quite often to Canada and Medellin again and have had my bags "randomly 

inspected" which I know is not true .... it is intentional so just admit it is don't try and hide behind some 

made up cards you slip into my luggage. Be honest and forthright as I am. Unless you and all your 

employees are 100% perfect which I know they are not once but twice now I have lost declared alcohol 

while traveling in the USA ... and reported it to the authorities with not results even though receipts have 

been provided of the duty free alcohol some FAA agent went home very happy with my booze. 

Yes, I know you really do not care about my opinions and the last 2 previous paragraphs and you will 

probably try and omit them from the case as you normally do as trivial and unrelated , however it should 

be well noted this document is my official report to you and anything deleted must be done with my full 

knowledge and consent... .. which it is not and never will be. Now to your questionsof Discovery ... 

Questions 1-7 are all yeses, but conditioned with ... as none of these actions were done with any intent 

to harm, or hide the Potassium Hydroxide. 

.. ·~· "· 

Exhibit c 

Page 1 of 4 
I. 

INTERROGATORIES AND REQUESTS FOR PRODUCTION 

#1. I willingly admit that I committed this "hennas" act ... yes that is sarcastic, sorry, I apologize 

but this whole court case is so whacked out of proportion concerning the supposed danger that 

I could not help myself slip into a little sarcasm ... again I apologize. I am sure the attorney wilt 

make a very dramatic case and story and quote what might have happened and all the tragic 

issues that could have occurred had this or that or the other happened had the FAA not done 

their job they are very good and professional at that. I am not belittling the job the FAA does 

but I am definitely in opposition to making a mountain out of a mole hill with suppositions and 

projected possibilities by an overzealous attorney to acquire another feather in her cap for a 

case which a simple notice by the FAA would have sufficed. You know many time the Police do 

not fine people but warn them and usually that is sufficient to alter their behavior or actions 

that are questionable. I move that the court take the same action. 

#2. I have no person I want to drag into this fray. 

#3. Since I have no person I have no Documents other then what you already have in your files 

which I will use. 

#4. I do not intend to supply an expert witness as this again would cost more money and more 

time on my part on an issue that resulted in a non event. 

#5. I do not wish to pay the fine as it is absurd in amount and not at all necessary to fine me to 

make me aware of my mistake (unintentional... I repeat) ..... it does however burden my 

financial situation as it would anyone's. 

#6. No matter what I place in that form you will somehow find me capable of paying it whether 

in a lump some or in installments so I chose not to waste my time in attempting to prove my 

inability to pay. My finances are my business and no one else's. The government pries into our 

personal lives way to much as it is already. Sorry, I am rambling again ... however it is the truth. 

#7. You have all my documents already in this discovery except my communication to the 

attorney and to the FAA which you already have copies of. I have really nothing more to say or 

provide other then this whole issue has been way over dramatized and blown out of 

proportion ... and I again I repeat ... this was simply an oversight on my part .. 1 have apologized 

several times but that does not seem to quench the thirst of the attorney ... she wants blood and 

she ..... like most attorneys thinks money is the knife that will stop this offence. 

#8. I think it is very simple .. my defense that is .... It was a mistake and oversight on my part and I 

have never had an offence before concerning transporting any illegal or caustic or hazardous 

Exhibit C 

Page 2 of4 
substance in my life so .... as a rational and level headed man l recommend to the court dismiss 

the case with prejudice in my favor with a warning with no fine .. Not difficult .. very simple. 

#9. Same as above other then I am simply going to ask the Complainant to use common sense 

and logic and reality and provide percentage of probability of a true catastrophe that 13 lbs 

would or could have caused had: 

#1 a forklift punctured the box. % 

.#2 the probability of the forks actually hitting the bottles ... % 

#3 the probability of them actually puncturing the containers,% 

#4 the probability of the actual Potassium Hydroxide spilling out of the box when the forks 

were withdrawn ... % 

#5 the calculated or estimated amount that would have spilled out ... % 

#6 the probability of a massive water leak in the cargo ofthe plane .... % 

#7 the probability of the water contacting the slight amount of spilled Potassium Hydroxide ... % 

#8 the probability of the disastrous affects is would or could have had on the metal of the 

plane .. % 

#9 the time it would take to effectively eat a hole through the metal of the plane or damage or 

corrode the metal. You see it is all hypothetical as to what could have, might have happened if 

all the above had happened; Which it did not as the FAA guys did their job properly. Hope she 

can come up with all those statistics ... 1 can't, the odds are in the multiple millions I am sure ...... 

However you asked what I am going to ask so you can prepare yourself well in advance. % 

#10 would the air port baggage people use a fork lift to move boxes that were under the 

required weight of I think 40 or 50 lbs. or even if over weight? 

#11. What is the possibility of the baggage handlers dropping the boxes and damaging them to 

the extent that the Potassium Hydroxide I purposely packed in the middle of the box for 

maximum protection would be damaged to the extent of harming or causing harm to anything 

or body ..... please state the probability in percentages for this and all the above probabilities. 

#12 Please also provide the number of annual violations and incidents where hazardous 

materials have been found and also have negatively affected the airplanes structure. and 

occupants. 

,\ ~v 

ExhibitC ¥\ Page 3 of4 
\. 

#13 How many commercial flights have taken place since the regulations you quote have been 

in place. Then please provide a percentage of the possibility or probability of any hazardous 

affect my materials could or would or might have had on the plane or occupants. 

#14. What is the pressure required to actually puncture the very durable plastic used to contain 

the potassium Hydroxide? 

#15 Can you please provide original, authentic and certified pictures of how the potassium 

hydroxide was packaged or any witness to the fact. 

#16, Please provide a total probability in (probably in the multi millions if not in the billions) in a 

%that all these incredibly incidents would have had to happen to make the carefully packaged 

potassium hydroxide create an incident on the trip to Colombia. 

Each and every question above is to be dealt with as a separate question with its own 

probability and percentage quoted. I know this is going to require some work on your part but 

it is very important and in fact mandatory to efficiently calculate the risk factor as it would 

appear to be very slight if even possible to calculate. 

I am requesting that all the above information be provided to me 30 days before any court date 

is set for the hearing. 

Thank you for your co-operation with these requests. Sincerely yours 

~~ I ;7 I LA;i L(-

Exhibit C 

Page 4 of4 
,. 

·' 

U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL .AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

Special Agent Statement (continued) 

The impropi.!rly packaged and un-declared hazardous m~1terials \\ t:rl:.' t:ommingkd \\ ith Jhll1-

hazardous mate-rial ite-ms discowrcd in 13R:\ Y"s checked ha!!l!l1!.!e (kscrihcd as thrL'l.' t3 ). si:--:IL'\:11 

( l 6) ounce bottks or u product lubdcd ns X[/. extra p<m t::r l~l; diesel and t '' u ( 2}. sixteen ( l (J l 

ounce bottles ora prnductlabdcd as Xp3

• extra pm\cr !"or gnsolin..:. intwducing moistun.:- n 

cLJnditil111 that is to be a\·oidcd in shipping Potassium H:droxidc . .-\dditionally. chh11·inL' di\1:xidl.' 

( t'ound intl)Othpastc and mouthwash) and sugars (existing in many personal usc prodlll:ts) (11\: 

il1l.'l1111patibk with Potassium llydrn:xid..:. BRAY did not Lkclnrc to CiT!:\ his shipment nf 

h'vardous materials. BRA Y"s shipment m1s not sequestered inn prolL'ctcd area. rather dc_sliJlL'd 

to be coming led \Yith passcngc.:r baggage and cnqj.o containing matcri•tls incompatible '' ith 

l'tll<lssium I Iydroxidi.!. increasing the pokntial of" lgtJiting Ct)mbustiblc materials. the t"i.lrtllatitm tl!. 

llammabk hydrogen gas. or both. BRAY did not pnn ick shipping papers nor did he prm id-: 

emergency response information tn GTIA. In the c\"cnt of a release. C)TI:\ ''ould ha'c been at a 

compldi.! loss as to cause and n:mcdiation mcasun.:s. 

On \!an:h 17. 20 1-L the GTIA Director of Regulatory Compliance. i\:!r. Bruce Joseph t.:nnlirmcd 

,·ia electronic mail GTI!\ !light 971. tail number l\602~K dcpartc.:J from l\\'.\. stnpped in 

Dallas-Fort Worth (DF\\") and continued tnn·d to Fort Lauderdale. Fl. (FU.). l 1pon arri\al at 

Fl.!.. the baggage \\"llS ort1ondcd. On-February 12.2013 the buggagc ''ns lnadcd on CiTJ..\ Flight 

237. aircraft tailnumhcr N603:-IK. \Vhich departed FLL to .Ins.! i\lari•t Ct"m.k1Y•1 lnternatiun~tl 

.-\irport. \kddlin. Columbia (i\!DE). As a n.:sult o!"thrc~ takcoiT~. thr~e landings. on~ ch~u1~..: ul· 

•ti rcra l"t. and on~ m ..:rnight stnp: ca.,;h ci rcumstunce increased the hazard risk rns~d hy the 

shipment ol"th..:- Potassium llydroxide in checked baggage. The shifting o!" baggag..: and tlh.:ir 

contents increases the risk in the relcasl! or Potussium I lydrnxide and the p\ltel1lia],J!" this 

substance coming into wntact \\·ith incompatible materials. 

LiN I g 13. !Iazard Class S material may not pose an immediate threat tn the sal'cty tlt" !1ight. blil 

can cause injury or death to persons due to unintended rek<lses in the- aircra!l cabin area(s). II" 

this material \\ere tnmakc contact \Vith an incompatible item. th..: risk signiticantl;. im:rc•1scs. 

This h•tzan.lous material could cause potential damage to aircrali struclLII\:s O\"t..T a ll'llg_L~r period 

nr time and generate th~ romwtion of llammabk hydrogen gas it" expns..:d tll moisture and 

subsequent <.::tlntact made \\"ith incompatibk metals. The absc.:nt.:c.: t)f C\1111pktc- and accur~tlL' 

inlimnntinn pertaining tn n llaznrdnus material shipment may limit in-!light cml.!rgcnc~ 

prucedurcs or pwhibit tht:: upplit.:atiun or segregation requi1·ements. The thirto:cn (I~). ~~~ur (.f l 

ounce honks \\ere cle•1rly lnbekd \\ith the hazard d.tss X. corrusi\1.: bbel. BR:\ Y"s I.OR 

indicated he \\as ~1\\·are the items may puse a hazard and did 11t1t pcrfMm n:search ttl determinL.' 

pn1per shipping proccdun:s. 

:-iu !'urther information is a\·ailablc. F:-ID OF STXfF\IFNl 

I nterviewe~O~evjewed 09l...L!Jf-1

_,_,A""o'--"rilc...1,_..-=2'-"0'-'-1-'-4---------' ~!<-c-4<."· {,/~ 

By Hazardous Materials Seturitv Soecialist Andrew J. PIPPING 

FOR OFFICIAL USE ONLY (Public availability to be determined under 5 U S C 5521 

FAA FORM 1600-32-1 (9·86) 

At 

File No. 

Phoenix. Arizona 

2013WP/00039 

Exhibit D 

Page 1 of6 
~ .. • 

Special Agent Statement 

U.S. DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

SECURITY & HAZARDOUS MATERIALS 

I. :\ndn;\\ J. P!PPI:\Ci. am ;t Hazardnu:;; 1\lat~.?rials Security Sp..:cialbt (11\!SS) t'ur the FLDLR.\1. 

:\ Vf:\l!O:.I .-\D:'\!1!\!STRA T!Oi': (FA:\). located at the PhoL:nix ,\riZL)Jla S..:ntrit\ Fit.:"!d ( lnicc 

(PI!\ SEC FO ). 2800 r.:orth -t..f-111 Stn:et. Suite 425. Phnt.::nix AZ 85008. telephone ;1umbcr Cl02-

h67-W77. I \\as assigned as the in\·cstigating and reporting agL'Ilt related tn !-".-\.-\ Fnt'tlrcemL'nl 

lnYcstigati\·e Report number 201 J\\'P700039- T!wmas BRi\ Y. 

This stntt.:"ment prtlYid.;s additional int~)rmmion. <malysis and opinions regarding undecbn.:d 

h~1ZJrdnus material in the l'orm ol'thirteen( 13L !(Jtlr H) ounce bL1ttks nrt 1:-JJ R I~- Potassium 

hydrnxidc. snliJ. !Iazard Class 8. PGIJ material along with two !urger recL:ptaeks (a plastic milk 

style container and a general st1)rage receptacle). containing tht: same hazardous m~1teri~1l. The 

total \\ 1..'ight 0 !'the hnzardoUS 111Hlerial \\"1\S approximately 13.:2.5 pt)LI!1ds and \\US or!\: red b; 

passenger Thomas BRAY to Spirit .c\irlincs.lnc. (GT!A) us checked baggage on h~brumy II. 

::2013. These items \\"CI\: contain.;d in a box which BR!\ '{ ol'lcred to C.iTIA intended li.1r transplll't 

l 111 CiT! t\ 11 ig.ht 97'2 departing. t'wm Phoeni.'\-1\.ksu. GatL:wny Airpo1t (I\\':\) .. "'\ rizuna \\ ith a linal 

Lkstin~llion or .los~ i'vbria C6rdm·n International Airport. [vkddlin. Columbia (i\·lfJF). 

!n BR.'\ Y's Lctier or Response (LOR) dated \larch 2. 2013. BRAY acted krHmingly as he 

indic~ttcd he had spccilic planned uses li.w tht: hazardous maLcrials \\ hich \\ere on;..·n.:d l[\1· 

shipment: ("My p~lrtner und I me attempting to help a business assm:iat.: in Cnlumbia ..::stahl ish u 

nc\\ hydmgen prndw.:tinn system here and not speaking the language it \\US 'cry dit'licult tu 

h.nm' it'thcy had Potassium llydroxiue in Columbia"). :\dJitinnally. the thirtt:ct1 ( 13). 1i.1m Hl 

Pllllcc bnttks were ckarly marked ··J>ntassium Hydroxide"' nnd labeled \\·ith tht.:" ha1.ard cLtss X. 

cnrrosi\'c label. Furthermore. BRAY inJicall:!d in his LOR he kne\\ thcst: materi~1ls presented :1 

hazard hy indicating: ("I did not kncl\\ it was ilkgalto transpnrt the nwlerial in a \W) \\ell 

pmtt:ctt.:d Clll1l<liner. The nnly danger it might hll\"1.! created \Vould be i !'something pcnt:trat<.:d the 

entir..: lw.x \\hich \\Us surroLmd.:d \\'ith bubbk wrap nnd then punctured the hea\·y dut~ plastic 

and then wet I !sic I it do\\"n··l. 

I'Lllassiumllydroxidt:. solid. !Iazard Class 8. Packing Group lL is a C\ltTosi\\~ material \\hich is 

\\•1tt:r-rcacti\ c. Attached herein to this statement is the ivlaterial Sa!~ty Data Sheet ( i\ !SDS l l\.1r 

this product. As depicted in Section 5- Fire Fighting Measures. il"this product \\ere tl1 b..: in 

cnntat:t with mnistun: or'' atcr. it may general..: surticient heat to ignite nearby co111bustihk 

mat..:rinb. Sccti(lll I 0 or the i\!SDS- Stability [md Rcacth·ity- indicates ii' this product\\ <..'re ttl 

he in cunt:tcl \\ith \\·at..:r. it may stt:am and splatter. In addition. in..:ompatible materials Lll.thi:; 

subst,mcc include chl\1rine dio:-;idc (a chemit:nl kn0\\11 to be round in tuothp,t:;h: :md nwuth\'<bh 

lll'llducls) and ::;ugars. This material is abo corrosin~ to metals such :1s aluminum (~I CL1t11l1Hll1 

111\.CWI in aircm!'t structures}. tin. and zinc and may cause the l'nrn1~llit)n nl' lbmm~1bk hydn)g..:n 

:,;as il'nwisturL: \\L're tll he introduc..:d to the Potassium I lydro:-;ide and subsequent t:lllll~lct mad<..' 

'' i th 1 h<.:SL' mct'tl s. 

Interviewed I J7eviewed O,n c Aoril1. 2014 · . 

(t:.<...-&~"C/ ,;;? ;:: . By Hazardous Matir"ials Sec&itv Specialist Andrew J. PIPPING 

FOR OFFICIAL USE ONLY !Publtc a•tatlabtltty lobe determtned under 5 U S.C 552, 

FAA FORM 1600·32-1 !9·861 

At Phoentx. Arizona 

File No. 2013WP700039 

Exhibit D 

Page 2 of6 
.· 

Materia I Safety Data Sheet 

Potassium Hydroxide 

Section 1 - Chemical Product and Company Identification 

MSDS Name: Potassium Hydroxide 

Catalog Numbers: KOH-4, KOH-8, KOH-40, KOH-BULK 

Synonyms: Caustic potash, Lye, Potassium hydrate 

Company Identification: 

Essential Depot, Inc. 4210 Lafayette Ave, Sebring, FL 33875 

For information, call: 863-658-4230 

For CHEMTREC assistance, call 800-424-9300 

For International CHEMTREC assistance, call: 703-527-3887 

Section 2 - Composition, Information oh Ingredients 

CAS# Chemical Name Percent 

1310-58-3 Potassium hydroxide (KOH} 100.0 

Section 3 - Hazards Identification 

• r'"''"'''~• ·~···~··•'' '' 

EMERGENCY OVERVIEW 

EINECS/ELINCS 

215-181-3 

Appearance: white or yellow. Danger! Corrosive. Water-Reactive. Harmful if swallowed. Causes severe eye and skin burns. Causes seve·re 

digestive and respiratory tract burns. 

Target Organs: None. 

Potential Health Effects 

Eye: Causes severe eye burns. May cause irreversible eye injury. Contact may cause ulceration of the conjunctiva and cornea. Eye damage 

may be delayed. 

Skin: Causes skin burns. May cause deep, penetrating ulcers of the skin. 

Ingestion: Harmful if swallowed.·May cause circulatory system failure. May cause perforation of the digestive tract. Causes severe digestive 

tract burns with abdominal pain, vomiting, and possible death. 

Inhalation: Harmful if inhaled. Irritation may lead to chemical pneumonitis and pulmonary edema. Causes severe irritation of upper 

respiratory tract with coughing, burns, breathing difficulty, and possible coma. 

Chronic: Prolonged or repeated skin contact may cause dermatitis. Prolonged or repeated eye contact may cause conjunctivitis. 

Section 4 - First Aid Measures 

Eyes: Immediately flush eyes with plenty of water for at least 15 minutes, occasionally liftfng the upper and lower eyelids. Get medical aid 

immediately. 

Skin: Get medical aid immediately. Immediately flush skin with plenty of soap and water for at least 15 minutes while removing 

contaminated clothing and shOes. Discard contaminated clothing in a manner which limits further exposure. 

Ingestion: Do NOT induce vomiting, If viCtim is conscious and alert, give 2-4 cupfuls of milk or water. Never give anything by mouth to an 

unconscious person. Get medical aid immediately. 

Inhalation: Get medical aid immediately. Remove from exposure to fresh air immediately. If breathing is difficult, give oxygen. If breathing 

has ceased apply artificial respiration using oxygen and a suitable mechanical device such as a bag and a mask. 

Notes to Physician: Treat symptomatically and supportively. 

Section 5 -Fire Fighting Measures 

General Information: As in any fire, wear a self-contained breathing apparatus in pressure-demand, MSHA/NIOSH (approved or 

equivalent), and full protective gear. Use water with caution and in flooding amounts. Contact with moisture or water may generate sufficient 

heat to ignite nearby combustible materials. 

Extinguishing Media: For small fires, use dry chemical, carbon dioxide, water spray or alcohol-resistant foam. 

Section 6 -Accidental Release Measures 

General Information: Use proper personal protective equipment as indicated in Section 8. 

Spills/Leaks: Vacuum or sweep up material and place into a suitable disposal container. Avoid generating dusty conditions. 

Exhibit D 

Page 3 of6 
Section 7 • Handling and Storage 

Handling: Wash thoroughly after handling. Use with adequate ventilation. Do not allow water to get into the container because of violent 

reaction. Do not get in eyes, on skin, or on clothing. Do not ingest or inhale. 

Storage: Store in a tightly closed container. Store in a cool, dry, well-ventilated area away from incompatible substances. Keep away from 

strong acids. Keep away from water. Keep away from metals. ·Keep away from flammable liquids. Keep away from organic halogens. 

Section 8 - Exposure Controls, Personal Protection 

Engineering Controls: Use adequate general or local exhaust ventilation to keep airborne concentrations below the permissible exposure 

limits. 

Exposure Limits 

ChemiCal Name ACGIH 

Potassium hydroxide (KOH) C 2 mg/m3 

OSHA Vacated PELs: Potassium hydroxide (KOH): C 2 mg/m3 

Personal Protective Equipment 

Eyes: Wear safety glasses and chemical goggles or face shield if handling liquids. 

Skin·: Wear appropriate gloves to prevent skin exposure. 

Clothing: Wear appropriate protective clothing to prevent skin exposure. 

NIOSH OSHA • Final PELs 

none listed none listed 

Respirators: Follow the OSHA respirator regulations found in 29CFR 1910.134 or European Standard EN 149. Always use a NIOSH or 

European Standard EN 149 approved respirator when necessary. 

Physical State: Solid 

Appearance: white or yellow 

Odor: odorless 

pH: 13.5 (0.1M solution) 

Vapor Pressure: Not available. 

Vapor Density: Not available. 

Evaporation Rate:Not available. 

Viscosity: Not available. 

Boiling Point: 2408 deg F 

Freezing/Melting Point:680 deg F 

Autoignition Temperature: Not applicable. 

Flash Point: Not applicable. 

Decomposition Temperature: Not available. 

Section 9 - Physical and Chemical Properties 

NFPA Rating: (estimated) Health: 3; Flammability: 0; Reactivity: 1 

Explosion Limits, Lower:Not available. 

Upper: Not available. 

Solubility: Soluble in water 

Specific Gravity /Density:2.04 

Molecular Formula:KOH 

Molecular Weight:56.1047 

Section 10 • Stability and Reactivity 

Chemical Stability: Stable. Readily absorbs carbon dioxide and moisture from the air and deliquesces. 

Conditions to Avoid: Incompatible materials, moisture, contact with water, acids, metals. 

Incompatibilities with Other Materials: Generates large amounts of heat when in contact witl1 water and may steam and splatter. Reacts 

with chlorine dioxide, nitrobenz.ene, nitromethane, nitrogen trichloride, peroxidized tetrahydrofuran, 2,4,6-trinitrotoluene, bromoform+ crown 

ethers, acids alcohols, sugars, germanium cyclopentadiene, maleic dicarbide. Corrosive to metals such as aluminum, tin, and zinc to cause 

formation of flammable hydrogen gas. 

Hazardous Decomposition Products: Oxides of potassium. 

Hazardous Polymerization: Has not been reported. 

Exhibit D 

Page 4 of 6 
RTECS#: 

CAS# 1310-58-3: TT2100000 

LDSO/LCSO: 

CAS# 1310-58-3: 

Draize test, rabbit, skin: 50 mg/24H Severe; 

Oral, rat: LDSO = 273 mg/kg;<BR. 

Carcinogenicity: 

Section 11 -Toxicological Information 

CAS# 1310-58-3: Not listed by ACGIH, IARC, NIOSH, NTP, or OSHA. 

Epidemiology: No data available. 

Teratogenicity: No information reported. 

Reproductive Effects: No data available. 

Neurotoxicity: No data available. 

Mutagenicity: No data available. 

Other Studies: No data available. 

Section 12- Ecological Information 

Ecotoxicity: Fish: Mosquito Fish: LCSO = 80.0 mg/L; 24 Hr.; Unspecified No data available. 

Environmental: No information found. 

Physical: No information found. 

Other: No information available. 

:. ·. ~ -·- ._..::,_.·~··-. ·- __ ; ·- ·-·· _:..__:.::.:..... . ;,.·, __ _;_ __ .:·_ ---~-- ··- ··-· 

-·---- ______ -·--···---·-------··--·--•--· ----···-·--·-··- -----··-- ........... :.__ .Se.ctio.o_l3 . .::. Oisppsa.I.Coosiderations . 

Chemical waste generators must determine whether a discarded chemical is classified as a hazardous waste. US EPA guidelines for the 

classification determination are listed in 40 CFR Parts 261.3. Additionally, waste generators must consult state and local hazardous waste 

regulations to ensure complete and accurate classification. 

RCRA P-Series: None listed. 

RCRA U-Series: None listed. 

Section 14 -Transport Information 

US DOT lATA RID/ADR 

Shipping Name: POTASSIUM 

HYDROXIDE, SOUD 

Hazard Class: 8 

UN Number: UN1813 

Packing Group: II 

Section 15 - Regulatory Information 

US FEDERAL 

TSCA 

CAS# 1310-58-3 is listed on the TSCA inventory. 

Health & Safety Reporting List 

None of the chemicals are on the Health & Safety Reporting List. 

Chemical Test Rules 

None of the chemicals in this product are under a Chemical Test Rule. 

Section 12b 

IMO Canada TOG 

POTASSIUM 

HYDROXIDE 

8(9.2) 

UN1813 

Exhibit D 

Page 5 of6 

II 
,. 

None of the chemicals are listed under TSCA Section 12b. 

TSCA Significant New Use Rule 

None of the chemicals in this material have a SNUR under TSCA. 

SARA 

Section 302 (RQ) 

CAS# 1310-58-3: final RQ = 1000 pounds (454 kg) 

Section 302 (TPQ} 

None of the chemicals in this product have a TPQ. 

SARA Codes 

CAS # 1310-58-3: acute, reactive. 

Section 313 

No chemicals are reportable under Section 313. 

Clean Air Act: 

This material does not contain any hazardous air pollutants. This material does not contain any Class 1 Ozone depletors. This. material does 

not contain any Class 2 Ozone depletors. 

Clean Water Act: 

CAS# 1310-58-3 is listed as a Hazardous Substance under the CWA. None of the chemicals in this product are listed as Priority Pollutants 

under the CWA. None of the chemicals in this product are listed as Toxic Pollutants under the CWA. 

OSHA: 

None of the chemicals in this product are considered highly hazardous by OSHA. 

STATE 

CAS"# 1310-58-3 can be found on the following state right to know lists: California, New Jersey, Florida, Pennsylvania, fVlinnesota, 

Massachusetts. 

California No Significant Risk Level: None of the chemicals in this product are listed. European/International Regulations 

European Labeling in Accordance with EC Directives 

Hazard Symbols: 

c 

Risk Phrases: 

R 22 Harmful if swallowed. 

R 35 Causes severe burns .. 

Safety Phrases: 

S 26 In case of contact with eyes, rinse immediately 

with plenty of water and seek medical advice. 

S 36/37/39 Wear suitable protective clothing, gloves 

and eye/face protection. 

S 45 In case of accident or if you feel unwell, seek 

medical advice immediately (show the label where 

possible). 

WGK {Water Danger/Protection) 

CAS# 1310-58-3: 1 

Canada 

CAS# 1310-58-3 is listed on Canada's DSL List, CAS# 1310-58-3 is listed on Canada's DSL List. 

This product has a WHMIS classification of D1B, E. 

CAS# 1310-58-3 is listed on Canada's Ingredient Disclosure List. 

Exposure Limits 

CAS# 1310-58-3: OEL-AUSTRALIA:TWA 2 mg/m3 OEL-BELGIUM:STEL 2 mg/m3 

OEL-DENMARK:TWA 2 mg/m3 OEL-FINLAND:TWA 2 mg/m3 OEL-FRANCE:STEL 2m 

g/m3 DEL-JAPAN :STEL 2 mg/m3 OEL-THE NETHERLANDS:TWA 2 mg/m3 OEL-SWI 

TZERLAND:TWA 2 mg/m3 OEL-UNITED KINGDOM:TWA 2 mg/m3;STEL 2 mg/m3 OEL 

IN BULGARIA, COLOMBIA, JORDAN, KOREA check ACGIH TLV OEL IN NEW ZEAL 

AND, SINGAPORE, VIETNAM check ACGI TLV 

MSDS Creation Date: 6/21/199g 

Revision #3 Date: 10/06/2000 

Section 16 -Additional Information 

The information above is believed to be accurate and represents the best information currently available to us. However, we make no 

warranty of merchantability or any other warranty, express or implied, with respect to such information, and we assume no liability resulting 

from its use. Users should make their own investigations to determine the suitability of the information for their particular purposes. In no 

event shall Essential Depot, Inc. be liable for any claims, losses, or damages of any third party or for lost profits or any special, indirect, incidental 

consequential or exemplary damages, howsoever arising, even if Essential Depot, Inc. has been advised of the possibility of such damages. 

Exhibit D 

Page 6 of6 
I. 

10/01/07 

1. 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 1974 by enacting the Hazardous Materials Transportation Act (HMTA). By 1990, 

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

enacted the Hazardous Materials Transportation Uniform Safety Act of 1990, Public Law No. 

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

1990 revision ofthe 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 HMTA was recodified in 1994 and is now referred 

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

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

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

statute. 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 109-59, 

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

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

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

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

1 04-134, April 26, 1996, provides a mechanism for adjustments for monetary civil penalties for 

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

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

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

13 ofTitle 14 ofthe CPR, 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$100,000 may be assessed ifthe violation results in death, serious illness, or severe 

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

be assessed for a training violation is $450. 

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

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

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

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

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

and the HMR, with particular emphasis on shipment ofhazmat by air. 49 C.F.R. § 1.47(j). 

C-1 

Exhibit E 

Page 1 of 17 
\ 

10/01/07 2150.38 

d. Violation of tbe BMRs. The HMR set forth regulations for the transportation of hazmat. 

A knowing violation of the statute or of the HMR can support the assessment of a civil penalty 

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

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

exercising reasonable care would have that knowledge. 49 U.S.C. § 5123(a)(1)(A). The civil 

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

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

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

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

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

transportation law ortheHMR; willful violations require evidence of both knowledge ofthe 

laws and regulations and intent to violate them. 

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

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

procedures applicable to enforcement of the HMR by the FAA. Hazmat violations occurririg on 

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

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

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

2. Consideration of Statutory Criteria. As a general matter, a sanction should be imposed 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

property. 

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

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

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

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

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

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

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

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

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

C-2 

Exhibit E 

Page 2 of 17 
10/01/07 2150.38 

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

the ranges should be explained in detail. 

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

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

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

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

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

air carrier violations. 

S. 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 

(SBREFA). 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 information to determine whether an alleged violator is a small 

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

of investigation in Figure A-I of Appendix A. Because violations of Title 49 ofthe 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 10, of this order generally 

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

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

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

excluding from such a reduction or waiver: a s~all 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-J, 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 

Exhibit E 

Page 3 of 17 
10/01/07 2150.38 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

ranges ofthe Matrix. 

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

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

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

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

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

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

determine the category of violator the person falls within ifor example, business entity that 

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

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

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

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

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

determine which subcategories of offenses ifor example, shipping papers) are alleged to have 

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

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

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

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

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

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

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

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

C-4 

Exhibit E 

Page 4 of 17 
10/01/07 2150.38 

legal requirements. The special agent also attempts to provide information 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 determinations 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 determination 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). 

(1) 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 information is received in response to a notice of proposed civil 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

(3) In determining the final aggregate weight ofthe 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 of the facts and circumstances of the case. Once 

C-5 

Exhibit E 

Page 5 of 17 
·. 

10/01/07 2150.38 

determined, 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-1 ). · 

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

Concerning the Shipment): 

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

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

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

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

• Ifthe material(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. 

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

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

involved in the shipment, use the hazardous mater-ial in the highest risk category. 

(2) What quantity of the material(s) was offered, transported, or accepted for air 

transportation? 

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

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

limitation was exceeded. 

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

package. Jf a violator offors 30 liters in a single package on a passenger plane, assign a 

maximum weight for this factor. 

• Did the package contain a forbidden material? If yes, assign a Maximum weight. 

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

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

being transported in violation. 

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

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

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

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

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

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

warranted. · 

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

offeror ove'l" a period of several days, all of which involve violations of the HMR. These 

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

C-6 

Exhibit E 

Page 6 of 17 
·. 

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? If yes, consider a Moderate or Maximum weight. 

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

factor. l!owever, 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 aggravating factors, departure from the ranges may be justified. It is 

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

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

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

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

of the violator. 

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

Maximum weight. 

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

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

of culpability will ordinarily be imputed to it. 

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

consider a Minimum or Moderate weight. 

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

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

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

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

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

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

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

generally is not accorded mitigation under this weighting/actor. (For purposes of this section, a 

"reshipper" refors 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. 

C-7 

Exhibit E 

Page 7 of 17 
10/01/07 2150.38 

Guidance Note: Detrimental, reasonable reliance on another party may be a mitigating/actor 

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

Material Safety Data Sheet (MSDS) would be mitigating. 

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

Moderate or Maximum weight. 

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

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

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

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

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

less weight, unless a continuing pattern of violation exists. 

d. Other Factors. 

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

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

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

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

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

scrutinized by legal counsel. 

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

hazardous materials may present an aggravatingfactor. The degree of seriousness of this factor 

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

an increased risk. 

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

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

under the small quantity exception of 49 C.F.R. § 17 3.4 may present a mitigating factor if as a 

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

shipped as a consumer commodity can also be a mitigating factor.· 

e. Determine the Final Aggregate Weight of the Case. 

( 1) 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 

exercise 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 weighting 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 

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

be explained in this regard. 

C-8 

Exhibit E 

Page 8 of 17 
10/01/07 2150.38 

Guidance Example: A case involving a hazardous material in the lo.west risk category may be 

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

resulting from the ship1j1ent. 

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 

dvil 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 

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

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

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

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

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

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

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

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

departure from the specified iv-latrix 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 allovved by lavv.) Conversely, the 

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

C-9 

Exhibit E 

Page 9 of 17 
10/01/07 2150.38 

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

penalty that is Jess than that prov·ided in the Matrix. (However, in no case may the civil penalty 

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

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

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

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

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

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

part 175 violations. 

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

also requires consideration of a violator's ability to pay a civil penalty, the impact ofthe 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 i.s in possession 

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

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

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

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

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

factors after the issuance ofthe notice of proposed civil penalty due to the absence of reliable 

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

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

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

This infonnation 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 attomey to obtain reliable financial 

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

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

respondent's ability to pay. 

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

in the EIR. It is anticipated that this information, if available, will be obtained from reliable 

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

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

employees, and gross revenues. 

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

financial infonnation obtained but ordinarily does not evaluate the financial condition of a 

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

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

business of the violator. 

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

evaluates its sufficien~y and relevance to the recommended civil penalty. Legal counsel may 

C-10 

Exhibit E 

Page 10 of 17 

10/01/07 

OFFENSE 

CATEGORIES 

I. Declared Shinment 

1. Shipping Papers 

2. Labels 

3. Markings 

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other 

II. Undeclared Shi(!ment 

Within Hazmat 

Quanti!! Limitations 

1. Shipping Papers 

2. Labels· 

3. Markings 

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other 

III. Undeclared 

Shipment 

Hazmat Forbidden on: 

or exceeds gtt limits for2 

Passen~:;er Aircraft 

I. Shipping Papers 

2. Labels 

3. Markings 

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other 

IV. Undeclared 

Shipment 

Forbidden on2 or 

~ g!I limits for: 

All Aircraft 

1. Shipping Papers 

2. Labels 

3. Markings 

4. Packaging 

5. Training 

6. Emerg. Response 

7. Release into Environ. 

8. Other 

V. Intentional or 

MATRIX & DEFINITIONS 

(Figure C-1) 

C. Business Entity 

that uses or handles 

A. Individual* B. Business Entity hazmat in the 

course of business 

250-550 250-1,100 500•2,200 

250-550 250-1,100 500-2,200 

250-550 250-1,100 500-2,200 

250-550 250-1,100 500-2,200 

----.. -- 450-1,100 500-2,200 

250-550 250-1,100 500-2,200 

250-550 250-1,100 500-2,200 

250-550 250-1,100 500-2,200 

250-1,100 I ,500-8,200 2,500-11 ,000 

250-1,100 1 ,500-8,200 2,500-11 ,000 

250-1,100 1,500-8,200 2,500-11,000 

250-1,100 1,500-8,200 2,500-11 ,000 

------ 1,500~8,200 2,500-11 ,000 

250-1,100 1,500-8,200 2,500-11,000 

250-1,100 1,500-8,200 2,500-11 ,000 

250-1,100 1,500-8,200 2,500-11,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

------ 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200 7,500-22,000 

500-5,500 5,000-16,200. 7,500-22,000 

500-32,500 7,500-32,500 l 0,000-32,500 

500-32,500 7,500-32,500 l 0,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 l 0,000-32,500 

------ 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 10,000-32,500 

500-32,500 7,500-32,500 l 0,000-32,500 

500-32,500 7,500-32,500 l 0,000-32,500 

CONSULT CONSULT CONSULT 

C-12 

2150.38 

D. Business Entity 

that regularly 

offers, accepts, or 

transports hazmat 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

1,000-5,500 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5,000-13,000 

5, 000-13,000 

10,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

15,000-32,500 

15,000-32,500 

15,000-32,500 

15;ooo-32,5oo 

15,000-32,500 

15,000-32,500 

15,000-32,500 

I 5,000-32,500 

CONSULT 

Exhibit E 

Page 12 of 17 
10/01/07 2150.38 

Qelibe[!lte Violation: or LEGAL- Up to LEGAL -Up to LEGAL· Up to LEGAL- Up to 

other siggiticant 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 §erious illness1 LEGAL- Up to LEGAL- Up to LEGAL- Up to LEGAL· Up to 

severe injU!J::1 or 100,000 per 100,000 per 1 00,000 per offense 100,000 may be 

§!!b§!iDtial destruction offense category offense category category may be assessed 

ofnronertv may be assessed may be assessed assessed 

b. *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. 

AIR. CARRIER AND OTHER AIRCRAFT 

OPERATOR VIOLATIONS 

Failure to comply with Parts 171, 172, or 173 

requirements of the HMR as an offeror of hazmat. 

Improper acceptance of hazmat for air transportation. 

(i.e., quantity, .labeling, marking, packaging, and 

shipping papers) 

See 49 C.F.R. §§ 175.30(a)(l)- (4) 

Failure to inspect hazmat shipment properly. 

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

Improper storage/securing of hazmat aboard aircraft. 

Failure to provide hazmat training, maintain records of 

training, or meet minimum requirements for hazmat 

trainin~ ( 49 C.F .R. ). 

Using untrained/improperly trained hazmat personnel, 

failure to retain hazmat training records (49 C.F.R.) 

Failure to notify FAA properly of incident/discrepancies 

in hazmat shipment. 

Failure to provide notice to the pilot-in-command. 

Other Part 175 violations. 

Intentional, deliberate, or other significantly aggravated 

violation. 

Violation results in death, serious illness, severe injury, or 

substantial destruction of property. 

C-13 

E. Group I & II 

Air Carriers and 

Other Aircraft 

Operators 

Use main Matrix. 

5,000-32,500 

10,000-32,500 

10,000-32,500 

10,000-32,500 

1 0,000~32,500 

5,000-16,200 

5,000-16,200 

5,000-16,200 

CONSULT 

LEGAL- Up to 

50,000 per 

offense category 

may be assessed 

CONSULT 

LEGAL- Up to 

100,000 per 

offense category 

may be assessed 

F. Group Ill & IV 

Air Carriers and 

Other Aircraft 

Operators 

Use main Matrix. 

2,500-16,200 

5,000-16,200 

5,000-16,200 

5,000-16,200 

5,000-16,200 

1,000-5,500 

1,000-5,500 

1 ,000-5,500 

CONSULT LEGAL 

- Up to 50,000 per 

offense category 

may be assessed 

CONSULT LEGAL 

- Up to 100,000 per 

offense category 

may be assessed 

Exhibit E 

Page 13 of 17 
10/01/07 2150.38 

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

guidance in this appendix. 

a. Air Carrier and Other Aircraft Operator Groups (1, II, m, IV)- Air carriers and 

other aircraft 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 order. For purposes of hazmat sanction guidance, the FAA also includes other aircraft 

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

125 Operators, and part 91 Operators. 

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

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

included in Group I for hazmat sanction guidance purposes. 

(2) Group II is comprised of air carriers and other commercial operators that have an 

annual operating revenue of less than $100,000,000, and have 50 or more pilots and operate 25 

or more aircraft. Other aircraft operators of the same size are included in Group II for hazmat 

sanction guidance purposes. 

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

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

operators of the same size are included in Group III for hazinat sanction guidance purposes. 

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

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

Group IV for hazmat sanction guidance purposes. 

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

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

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

category. It includes a non-profit organization and all other entities defined under the HMR's 

definition 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 

manufacturer or distributor of hazmat and a freight forwarder. 

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

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

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

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

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

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

C-14 

Exhibit E 

Page 14 of 17 
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 or 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 All Aircraft- An 

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

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

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

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

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

and the quantity of hazardous material 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. § 

172.10 I Table. 

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

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

forbidden in air transportation on cargo aircraft, as established in the 49 C.F .R. § 172.1 01 Table. 

C-15 

Exhibit E 

Page 15 of 17 
10/01/07 2150.38 

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

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

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

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

n. Undeclared Shipment Within Hazmat Quantity Limitations. 

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

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

transportation on passenger aircraft, as established in the 49 C.F .R. § 172; 101 Table. 

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

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

transportation on passenger aircraft, as established in the 49 C.F .R. § 172.1 01 Table. 

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

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

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

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

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

on ... Aircraft, see above. 

C-16 

Exhibit E 

Page 16 of 17 
i 

! 

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 fllghtcrew, as well as persons on the ground. 

Class 1 Explosives: Division 1.1, 1.2, 1.3, 

Class 2 

Class3 

Class4 

Compressed Gases All 2.1, 2.2 with Subsidiary Risk 5;1 and All 2.3 PIH Zones A-D 

Flammable Liquids PG I, II, and (PIH) 

Divlsion4.1 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 1,11, e.g., "Chemical Oxygen Generators" 

Division 5.2 Organic Peroxides PG II (Type A,B,C,D) 

Class 6 Division 6.1 Toxic/Poisonous Materials PG I (PIH) 

Class 7 Cargo Aircraft Only Quantities on Passenger Aircraft 

Class 8 Corrosive Material Liquid PG I and (PIH) 

Forbidden Materials (See 49 C.F.R. § 173.21 & ICAO Technical instructions) 

Forbidden Hazmat listed in Dangerous Goods Table 49 C.F.R. § 172.101 

CATEGORY "8" 

{Moderate Weight} 

The materials-listed In Category "8" are materials that may not pose an Immediate threat to the safety 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 poriod of time due to undiscovered releas9S on aircraft structural components. 

Class 1 

Class3 

Class4 

Class 5 

Class& 

Class 7 

Class 8 

Division 1.4,1.5,1.6, All Compatibility Groups 

PG Ill Flammable Liquids 

Division 4.1 Flammable Solids PG 11, Ill 

Division 4.2 Spontaneously Combustible Materials PG II, 1!1 

Division 4.3 Dangerous When Wet PG 11, 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 1,11 (NON- PIH) 

Division 6.2 Infectious Substances · 

Radioactive Materials, yellow label II, white Iabeii 

Liquids PG II, Ill Solids PG 1,11, 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-D and Consumer Commodity} 

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

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

established regulations has posed a risk to aviation safety. 

C-17 

Exhibit E 

Page 17 of 17