# Description BRAY, THOMAS FAA 2013-0621 Agency Exhibits
1 Email- Fohlmeisterto 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 Iii1 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 OFFICIALUSE ONLY Public Availability to be Dctenuincd Under 5U.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. byTSA 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 ofeach clay (ifthere are discrepancies). 3. Retain this fonn Inthe local stalion forliD days. CONTACTTHE APPROPRIATE FAA REGIONAL OFFICE BELOWTO 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 

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### AZA 

# I FaxedTo:310

- . Add Local FAAContact:602ji 

### x274 Person Reporting Discrepancy Aircraft Specific Location of hem Address ofCustomer Name ofCustomer WhatWas Found? Name Phone number Operator (Example: Baggage Office) (if known) 

### r3**t~G\..o a~**  Ron Fohlmeister 

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### TSA baggage make up Thomas Bray 

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HM.01 Airport Services_Training and Procedures 02120121 J.S. DEPARTMENT OF TRANSPORTAT!...

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## ~ FEDERAL AVIATION AOMIN"ISTRATION SECURITY &HAZARDOUS MATERIALS 

### Photographs ofitems retrieved from SpritAirlines, Inc. (GTIA) Passenger BRAY's checked bag

Photograph # 1 Photograph ofitems 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 

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# 1' Phoenix. Arizona File No. 2013WP700039 

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### I of t'2 FAA-2013-0621 Paqe 1 of 2( ' J.S. DEPARTMENT OF TRANSPORTATk

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FEDERAL AVIATION ADMINISTRATION SECURITY & HAZARDOUS MATERIALS 

### Photographs ofitems retrieved from SpritAirlines, Inc. (GTIA) Passenger BRAY's checked bag

Photograph #2 Photograph ofitems 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 FOROFFICIAL 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 

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### ~,.__- 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 ofthe 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 ofthe FEDERAL AVIATION ADMINISTRATION, I 

### regularly engage in the investigation ofhazardous materials incidents related to aviation, at sites which may or may not bedirectly associated with 

### aviation, such as offairpo11 cargo warehouses. Pursuant to my duty, imposed by law, I 

### observe and rep011 upon the facts Ican discover during the investigation ofhazardous materials incidents. Moreover, also pursuant to the 

### authority granted to me 

### by the Administrator ofthe FEDERAL AVlATION ADMINlSTRATION, 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 ofthe FEDERAL A VlATJON ADMINI STRATION's official recorci ofthe hazardous materials incident. During the investigation, Irecorded images ofthe hazardous materials incident by 

### means ofa digital camera. All such 

### photographs represent the 

### visual images ofthe incident scene as they appeared atthe time the photographs were taken. Digital images can be altered subsequent to the time ofthe 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 ofcamera and imaging medium: SAMSUNG 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) ofthe 

### Forty-Two (42) 

### photos follow.
c. Place ofstorage ofthe 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 ofthe subject matter of

### the

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# 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 

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# Js. DEPARTMENT OF TRANSPORTATh..J FEDERAL AVIATION ADMINISTRATION SECURITY & HAZARDOUS MATERIALS Photographs ofitems retrieved byTSA from GTIA passengerThomas BRAY's checked bag



### Photograph #l Photograph ofzip-loc bag containing bottles ofPotassium 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 

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# J.s. DEPARTMENT OF TRANSPORTATk.J FEDERAL AVIATION ADMINISTRATION SECURITY & HAZARDOUS MATERIALS 

### Photographs ofitems retrieved by TSA from GTIA passengerThomas BRAY's checked bag



### Photograph #2 Photograph ofthirteen ( 13), four (4) ounce bottles ofPotassium 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 

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# J FEDERAL AVIATION ADMINISTRATION SECURITY & HAZARDOUS MATERIALS 

### .Photographs ofitems retrieved by 

### TSA from GTIA passenger ThomasBRAY's checked bag



# >l

Photograph #3 Side one (1) 

### offour (

### 4) ounce bottle ofPotassium, 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_ 

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# __) ) J.S. DEPARTMENT OF TRANSPORTATiv.-1

FEDERAL AVIATION ADMINISTRATION SECURITY & HAZARDOUS MATERIALS 

### Photographs ofitems retrieved by TSA from GTIA passenger Thomas BRAY's checked bag



### Photograph #4 Side two (2) offour (4) ounce bottle ofPotassium 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 

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# Js. DEPARTMENT OF TRANSPORTA Tit.-.) FEDERAL AVIATION ADMINISTRATION SECURITY & HAZARDOUS MATERIALS 

### Photographs ofitems 1·etrieved by 

### TSA from GTIA passenge1· Thomas BRAY's checked bag



### Photograph #5 Side three (3) oftour (4) ounce bottle ofPotassium 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 

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## ) ) u.S. DEPARTMENT OF TRANSPORTATIL..4-

FEOERAL AVIATION ADMINISTRATION SECURITY & HAZARDOUS MATERIALS 

### Photographs ofitems retrieved by 

### TSAfrom GTIA passenger· Thomas BRAY's checked bag



### Photograph #6 Side four (4) offour (4) ounce bottle ofPotassium 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 

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# J.s. DEPARTMENT OF TRANSPORTATiv.J FEDERAL AVIATION ADMINISTRATION SECURITY & HAZARDOUS MATERIALS 

### Photographs ofitems retrieved by 

### TSA from GTIA passengerThomas BRAY's checked bag



### Photograph #7 Side one (1) 

### photograph oftwo (2) additional receptacles detem1ined to contain Potassium hydroxide, solid.

Interviewed I Reviewed**On_....A-'~'p"-'-r,.,_il**"""9

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### 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 

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FEDERAL AVIATION ADMINISTRATION SECURITY & HAZARDOUS MATERIALS 

### Photographs ofitems retrieved by 

### TSA from GTIA passengerThomas BRAY's checked bag



### Photograph #8 Side two (2) photograph oftwo (2) additional receptacles detem1ined to contain Potassium hydroxide, solid.

Interviewed I Reviewed On___.!.A..::P::.:..ri:.:...l9=-·....: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 

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FEDERAL AVIATION ADMINISTRATION SECURITY & HAZARDOUS MATERIALS Photog1·aphs ofitems rett·ieved by TSA from GTIA passengerThomas BRAY's checked bag



### Photograph#9 Side three (3) photograph oftwo (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

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FEDERAL AVIATION ADMINISTRATION SECURITY & HAZARDOUS MATERIALS 

### Photographs ofitems retrieved by 

### TSA from GTIA passenge1· Thomas BRAY's checked bag



### Photograph #10 Side four (4) 

### photograph oftwo (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 

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# J.s. DEPARTMENT OF TRANSPORTATI\..)

FEDERAL AVIATION ADMINISTRATION SECURITY & HAZARDOUS MATERIALS 

### Photogranbs ofitems retrieved by 

### TSA from GTIA passengerThomasBRAY's checked bag



### Photograph #11 

### Tap photograph oftwo 

### (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 

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FEDERAL AVIATlON ADMINISTRATION SECURITY & HAZARDOUS MATERIALS 

### Photographs ofitems retrieved by 

### TSA from GTIA passengerThomas 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 

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### FEDERAL AVIATION ADMINISTRATION SECURITY & HAZARDOUS MATERIALS

· Photographs ofitems •·etrieved by TSA from GTlA passengerThomas BRAY's checked bag



### Photograph # 13 Photograph indicating total weight (in pounds) ofproduct 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 

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### STATEMENT**I'S~/2-** 

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### Aviation Administration. No promises orthreats have been made to me and no pressure or coercion ofany kind has been used against me. I make this statementwith full knowledge that it may be used in any administrative or criminal proceedings. 

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### 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 eachpage and all corrections. This statement is the 

### 1ruth tothe 

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### FOROFflCIALUSE ONLY PublicAvailability to be Detennined UnderSU.S.C. 552 IOP_

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### Material Safety Data Sheet Potassium Hydroxide section.1·

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### ·~~~~·~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

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### --·- .... '.-· --: 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 ifswallowed. 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•

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..,,, 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 ofsoap 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. Ifvictim 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'**

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· · ... . .. · ·**se~qrf**

### (f**.7~bC:ciC!enta!::~~-ie~~~ Me~sures** 

.... -···-···---· ........---..................._ ..-:..__;,,.._ _..•..; ...::;........**-.:.~**.**.'~~-..i.:-~_:~_;:~.:.:-.**..**L...:_~~**

### ...:....**~**

### .........,_,,_,...,.._.,.....;._..-·······-

# /~ • • Use proper personal protective equipment as indicated in Section 8.**Piflft/~Ni~o:sweep** up material and place into a suitable disposal container. Avoid generating dusty conditions. to be alrUCcopy ofthe origi "'"'**~been** by mc;:h · n:... or m FOROFFICTAL USE m.:LY Public Availability to b.: Determin'ed UnderS U.S.C. 552 

# f IOP

____ ---.--

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

__ FAA-2013-0621 PaQe 1 of4Section 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. Thisdocumentis certified h•,
. toboalrue(ll)pyofthe mig·:>:.• hasflcco.rcprodu by

## mcciozlll" or means. •**Certified~** 

### .**~** Date:

### ft~

# -2.e.l} 

# -.! FOROFFICIALUSE 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 ofthe 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 bythe Fi\A to be a truecopy ofthe original that FOR OFFICIALUSE ONLy !lasbeen:!i3rodu.by

### m~·**~·** 1 : Public Availability to be Oetcmtined or**pc~** • Undcr5U.S.C.552 Ccrti&cdby; 

### 'AI:V(.,

-**~** 

# ......._i/_,,. --:7r..f2 -/ IMO Canada TOG POTASSIUM HYDROXIDE 8(9.2) UN1813 II



## (**IOP_~---r---**

# ~.._.3__.,_.of 

# 4 C-5- FAA-2013-0621None of the chemicals are listed underTSCJ. .: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 ifyou 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 ofmerchantability orany other warranty, express orImplied, with respect to such information, and we assume no liability resulting from its use. Users should make their own investigations to determine the suitability ofthe information for theirparticularpurposes. In no eventshall Essential Depot, Inc. be /lable forany claims, losses, or damages ofany thirdparty or for lostprofits orany special, indirect, incidenta consequential or exemplary damages, howsoeverarising, even ifEssential Depot, Inc. has been advised ofthe possibility ofsuch damages.

FOROFFICIALUSE ONLy PublicAvailability to b.: Dctenniued Under5 U.S.C. 552 

# 0 IOP_---:-----,.-- Page._4....__of 

# t/ C-5 FAA-2013-0621 P::u1A 4 nf4

## u.s. Department ofTronsportoflon Federal Aviation Administration 

### February 20, 20 13 Joint Security and 

### Hazardous Materials Safety Office, West



### CERTIFIED MAIL-RETURNRECEIPTREQUESTED

DearMr. Bray: Letterofliwesti.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 surroundingyouralleged violation(s) ofTitle49, Code ofFederal Regulations (49 CFR) known as the known asthe Hazardous Materials Regulations. Specifically, on February 11, 2013, you offered undeclared hazardous materials described as Potassium hydroxide, solid, hazard 

### class 8, UN 1813 in yourchecked baggage to Spirit Airlines, Inc. at PhoenixMesa Gateway Airport, MesaAZ. The purpose ofthis investigation is to detennine ifyou violated49 CFR •Parts 171-173 in that the hazardous material was notproperly declared, marked, labeled packaged·orprepared for transportation in aircommerce. Underprovisions ofTitle 49, United States CodeS 123(a)(I), you may be subject to civil penalties foreach violation. You are encouraged to provide aresponseto this incident. Yourresponse should include a detailed account ofboth the extenuating and mitigating circumstances that resulted in this incidentwhich you feel have a bearing on this investigation. Yourresponse, ifany, should be received in this office within ten (10) calendar days from yourreceipt of this letter. Ifno response is received atthattime, ourreport will be 

### processed without benefit ofyour infonnation. Pleasecontact Special Agent Andrew Pipping at 602-6 

### 5 

## T or andrew.p;pp· 

## I with any questions you may have.

# s~-~ Carl Mosby,

# ~'#/" Manager, FAA Security aniHazardous Materials
Enclosure: Privacy ActNotice**FORO~aALUSBONLY** PublicA vallability tobe Dctcnnim:d UnderSU.S.C. 552 lOP // 

### Page 

## I of·/

# FAA-2013~ Paqe 1 of 6U.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 ifspace 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~~~~~~~~~~~ (Transferfrom seNice**/abe~** hydroxide. solic

,I G , . . : PS Form 3811, February 2004 iv esa lOtc\vD} .·... ,. __________ . ·-· Domestic Return Receipt The purpose ofthis 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 ofTitle 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 ofboth the extenuating and mitigating circumstances that resulted in this incidem which you feel have a bearing on this investigation. Your response. i

# rany, should be received in this office within ten (I 0) calendar days**l'rl~m** your**r~ccipt** 

# or this letter. lfno response is received at that time. our report will be processed without benefit ofyour information. Please contact Special Agent Andrew Pipping at 602-667-6077 or andre\\ .pippinujjlaa.l.!o\·

. I

. I t .**~** " \\ tt 1any questions you may wvc. • · -

# s~-~ Carl Mosbv.

# ~Y/ i\lanagcr. FAA 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_--'-----,.-- / of 

# I Fage



## ---- 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, 5U.S.C. Section 552a(e)(3}, and concerns the infonnation requested in the letteror form with which this Notice is enclosed. (A) Authority: This information is solicitedpursuantto 49 U.S.C. §40 113(a) and the regulations issued underthat statutory provision codified in 14 C.F.R. part 13. Submission ofinformation is voluntary. 

### (B) 

### Principal Purposes: (I) The request for information is intendedto provideyou with an opportunity to Participate inthe investigation. (2) The requested information 

### will be used

### to help detennine whether ornot there has been a violation ofthe Federal Hazardous Materials Regulations. and ifso, what,·if any, enforcement**actio~** shouldbetaken. $ (C) Routine Uses: Records fromthis systemofrecords may.be disclosed in accordance with the following routine uses that appear inthe SystemofRecords No. DOT IFAA 847, General AirTransportation Records on Individuals, DOT IF

AA: (1) To provide basic airman certificateand qualification information to the public upon request. (2) To disclose infonnationto 

### the NationalTransportation Safety Board (NTSB) in connectionwith its investigation

### responsibilities. (3) Toprovide iufonnation aboutainnen to Federal, state, and local law enforcementagencies whenengaged in the investigation and apprehension ofdrug law violators. (4) To provide infonnation aboutenforcement actions arising out ofviolations ofthe Federal Hazardous Materials Regulations to governmentagencies, the aviation industry, andthe public upon

### request · (5) "To disclose informationto anotherFederal agency, orto acourtor an administrative

### tribunal, when the 

### Governmentorone

### ofits 

### agencies is a 

### party to a judicialproceeding before the courtorinvolved inadministrative proceedingsbefore the tribunal. · (D) EffectOfFailureToRe§ROnd: The FAAcannotimpose anypenalties upon**yo~**

### ifyou fail to respond

### to this letter ofinvestigation. If you fail to supplythe requested infonnation, however, theFAAwill·makedetenuinations aboutpossible enforcementaction for

### this matterwithoutthebenefitofyourcommentsonthis matter.**FORO~OALUSEONLY** Public Availubility !O bll Dcaennincd Unde,rSU.S.C. SS2 

## IOP_I:..:..I--.--- Page.._z,_-Jof 

# b C-6 FAA-2013-0621 Paqe 3 of61!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 mailpiece.

oron the front ii space permits. l. Article Addresssd to:

2. Art1Cte N:;mber (i:--ansferfrom servtce /a!:Jelj A. Signature OAg211t 1-X--------------,.-- n

### !o\ddr~ss~:E

B. Received by (Printed Name}
D. Is ce:ivery adoross**differ.?~:** fro":"! item 1'

UYES, enter delivery address**~eio·.-.:**

3. Ser;iceType

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 of6UNITED 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 •

FAAJointSecurity and Hazardous Materials-West PHX SECFO-Attn: Andrew Pipping 2800 N. 44111Street, Suite425 Phoenix, AZBSOOtHSS6



### FOROFFICTALUSE.ONL y PublicAvailability to beDetennined Under

### s

### u.s.c. 5S2 · IOP_!J 7



# 1_-r-- Page 

## 5' of 

# 6

·----
C-6 FAA-2013-0621 Paqe 5 of6U.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} FM Joint Security .Jnd**Haz:udou~** Matl!riills-**We!~**I JlllX SECFO- Alln: Andrew PiJ>pinll 2800N. 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**

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### g> 

### Q a.

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### 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 atimely manner. Page 1 of 1

Please let me explain the circumstances concerning the potassium Hydroxide issue as well as.I**.ca~** this email' I am currently in Columbia South America and I have someone picking up my ma1l

# m-forme. She was also away In Seattle and California visiting her daughter so I do not know when 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 Ifthey 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 smallerjars 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 getthe 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 ofthis my first unintentional violation of a FAA code I knew nothing about. You may contact me ifthere 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.**~** 

## IPotassium dithionite or Potassium 4.2 UN1929 II 4.2

..... A8, A19, 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::: -) \) 

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(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

orSelenites. 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 ofcrystallization. Potassium sulfide, hydrated with not

less than 30 percent water ofcrystallization. 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

..... A1, 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**~~R o~li~~**  aircrafVrail (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 pZ6ZAndrew J. Pipping Resume Department of Transportation, Federal Aviation Administration Special Agent, Hazardous Materials 2800 N. 44th Street Phoenix, AZ 85008 United States 10/2011 - 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 ofthe 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 monitorthe 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 ofthe 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 underTitle 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 oftransportation assets /.Z1l across the nation to prevent instances ofterrorism 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** FAA-**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 oftraditional 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 staffto 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 ofcontact and representative ofTSA in important security matters. I represented the agency atvarious 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 ofvarious 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 ofsecurity 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 ofthe 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 Staffto transfer and be assigned to the position of Chief ofAirfield Management/Operations Group Chief to change the climate ofthe organization and rectify major deficiencies identified in a recent Air Traffic System Evaluation (ATSE) Inspection. I was responsible for the management offacilities, 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 ofthe Commander, providing a forum for internal and external stakeholders to discuss, update, and track progress ofvarious 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 ofa Canadian Pacific (CP) railway line into a wetland, a county highway, a creek and sections ofthe 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 ofTransportation 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 ofthe 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 ofover 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 ofa 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 oftravel claims for DoD military and civilian personnel in accordance with JointTravel Regulations. I was the subject matter expert for all civilian permanent change ofstation 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 ofsuch requirements. The order is used at all levels by agency personnel who are engaged in the investigation, reporting, and processing ofenforcement actions. It 

### applies to all offices with regulatory responsibilities. This revision ofthe 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 ofAviation 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 ofthe agency order on its compliance and enforcementprogram.

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 ofhazardous materials constitutes a threatto public safety in all forms oftransportation. Congress addressed that threat in 1.974 by enacting the Hazardous Ma,terials Transportation Act (HMTA). By 1990, Congress determined that effective enforcement ofthe HMT A required more severe action, and enacted the Hazardous Materials Transportation Uniform Safety Act of 1990, Public LawNo. 101-615, 1990 U.S. Code Congress. & 

### Admin. News 104 Stat. 4605. The primary effect ofthis 1990 revision ofthe HMTA was to raise the maximum civil penalty for violation ofany regulation enactedunderthe HMTA to $25,000, and, for the first time, to require a $250 minimum penalty forany such violation. The HMTAwas recodified in 1994 and is nowreferred 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 thatthe recodification created no substantive changeto the earlier form ofthe statute. In 2005, the Congress enacted andthe President signedthe Safe, Accountable, Flexible, EfficientTransportation 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 ofthe hazardous materials statute andregulations. 

### b. Civil Penalties. The Federal Civil Penalties Inflation Adjustment Act of 1990, 28 U.S.C. § 2461 (note), as amended by the Debt Collection ImprovementActof 1996, Public Law 104-134, April26, 1996, provides a mechanism for adjustments for monetary civil penalties for inflation inorderto maintain the deterrent effect ofmonetary civil penalties and promote compliance with the law. Underthe statute, the adjusted civil penalty maximums cannot be applied unless they are implementedby regulation. The adjusted civil penalties are listed inpart 13 ofTitle 14 ofthe CFR, subpart H. Pursuantto SAFETEA- LU, the maximum civil penalty thatmay be assessed for a violation ofthe Federal hazardous material law or a hazardous material regulation is now $50,000; the minimum civil penalty is now $250. There are two exceptions to those limits. A maximum civil penalty of$100,000 may be assessed ifthe violationresults in death, serious illness, or severe injury to anyperson, or substantial destruction ofproperty. The minimum civil penaltythatmay be assessed for a training violation is $450.


### c. Enforcement Responsibility. Within the Department ofTransportation, 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 ofhazardous materials (hazmat). The FAA, under delegated authority, enforces the Federal hazardous material transportation law and the HMR, with particular emphasis on shipment ofhazmatby air. 49 C.F.R. 

### § 1.47(j).

C-1

### 10/01/07 2150.38


### d. Violation ofthe HMRs. The HMR set forth regulations for the transportation ofhazmat. A knowing violation ofthe statute or ofthe HMR can supportthe assessment ofa civil penalty between $250 and $100,000. A person acts knowingly when the person has actual knowledge of the facts giving rise to the violation; or 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 ofany regulation set forth in the HMR; they also applyto the violation ofan order, special permit, or approval issued by the Department. Moreover, under the statute, each continuing violation ofthe HMRcan constitute a separate violation for each day a violation continues. In section 5124 ofthe statute, Congress prescribed criminal penalties for a willful violation ofthe Federal hazardousmaterial transportation law orthe"HMR; willful violations require evidence ofboth knowledge ofthe laws andregulations and intentto violate them;


### e.**Inv~stigative** 

### and Enforcement Procedures. Part 13 ofthe Federal Aviation Regulations- Investigative and Enforcement Procedures (14 C.P.R. part 13) governs the procedures applicable to enforcement oftheHMRbythe FAA. Hazmat violations occurring on or afterAugust 2, 1990, may be dismissed by an administrative**l~:J,w**

### judge (ALJ) ifa notice of proposed civil penalty has not been issued within 2 years ofthe violation, unless good cause for delay has been shown. 14 C.P.R.§ 13.208(d). 

### 2. Consideration ofStatutory Criteria. As a general matter, a sanction should be imposed that is sufficiently deterrent butnot 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 ofthe violation; the degree ofculpability ofthe violator; the history ofpastviolations (ifany); the ability to pay; the effect on the ability to continue to do business; and other matters asjustice requires. Some ofthese considerations already are factored to some extent intothe categories in the HazardousMaterial Sanction Guidance Matrix. The statutory factors are further considered under the weighting analysisthat is performed to indicate the amount ofthe civil penalty within the appropriate range, 

### i.e., at the minimum, moderate, or maximum portion ofthe sanction.range. The Matrix recognizes that an even higherpenalty couldbe 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 ofPenalty Sanctions. The Hazardous Materials Sanction Guidance is designed to promote better consistency so that similarpenalties are imposed in similar cases. The specified Matrix ranges (e.g., $250-$550, or $15,000-$32,500) are intended to reflectthe nature, circumstances, extent, and gravity ofthe case as compared with other types ofcases. Each case, however, mustbe evaluated on its own facts. A sanction may differ from the specified Matrix ranges when the facts and circumstances ofa case support either a greater or lesserpenalty. When a special agent believes that a penalty should exceedthe specified Matrix ranges, the agent should consult with legal counsel before further processing ofthe Enforcement Investigative Report (EIR). This consultation is not necessary in the case 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 ofpart 175 ofthe HMR, which establish particular requirements for air carriers and other aircraft operators, are contained in a separate matrix. However, such operators often offer hazardous materials for air transportation, as well as accept and transport them. For this reason, such operators may be liable for violations both as a business entity withinthe Hazardous Materials Sanction Guidance Matrix, as well as for specific air carrier violations.

5. Violation Committed by Small Business Entity. To meet statistics-gatheringrequirements, the investigating special agent must determine whether the alleged violatorqualifies as a small business concern underthe Small Business Regulatory Enforcement Fairness Act of 1996 (SBREFA). For an extensive discussion ofhow to makethat determination, see Part OneAbbreviations and Definitions, in Appendix B ofthis order. Ifinvestigating special agents are unable to obtain independently informationto determine whether an allegedviolator is a small business concern, they request such inforrpation in the letter ofinvestigation. See sample letter ofinvestigation in Figure A-1 ofAppendix A. Because violations ofTitle 49 ofthe U.S. Code and the HMRmay be committed by entities in addition to those normally regulated by the FAA, the investigating agent may needto refer to the SBA's complete table of**si~e** 

### standards to find the correct size limit for an alleged violator. 

# a. EnforcementPolicy under SBREFA. Chapter 7, Paragraph 10, ofthis order generally outlines the FAA's enforcementpolicy under SBREFA. In determining whether and howto provide for the reduction or waiver ofcivil penalties for statutory or regulatory violations by small entities, the FAA'spolicy may contain certain conditions. Those conditions may allow for excluding from sucha 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 notbeen a good faith attemptto comply with the requirements, and a violation thatposes a serious health, safety orenvironmental threat. With respect to air carriers. and other aircraft operators, the FAA takes into consideration company size in determining the appropriate amount ofcivil penalty. See 

### the Matrix, Figure C-1, below. b. Information Sheetfor Complaints by Small Business Concerns. Each FAA employee who conducts an inspection ofa small business concern that is regulated by the FAAprovides the small business concern with an information sheet. The information sheet informs that entity that it may submit complaints or comments regarding unfair FAA regulatory enforcement to the National Ombudsman. FAA special agents may obtain a copy ofthe information sheet for hazardous materials inspections and additional guidance for distributing itfrom the ASH regional offices.
c. Reduction orWaiver ofPenalty. The FAA does not reduce or waive the penalty ofan alleged violator solely because it is a small business entity. This is because a violation ofthe hazmat statutes or HMRtypically poses a serious health, safety, or environmental threat (and may involve one ofthe otherreasons for exclusion). Accordingly, the FAA will usually reduce

C-3

### 10/01/07 2150.38

orwaive a penalty only ifthe small business entity provides evidence to demonstrate its inability to pay orthatthe 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 orto others, and will be announced as Compliance and Enforcement Bulletins in this order. 

### 6. Use ofthe Sanction Guidance. This guidance provides agency personnel with a systematic way to evaluate a case and arrive at an appropriate penalty, considering all the relevant statutory criteria including mitigating and aggravating circumstances, ifany. Statutory considerations have been factored into the various ranges within the Sanction Guidance Matrix. Determination ofwhere a sanction lies within these ranges is aided by a series ofweighting questions that probe the various aggravating and mitigating factors that may exist in a case.


### a. Weight Analysis. First, theweighting analysis is performed. Agency personnelrespond to a series ofquestions to determine the aggregate weight ofthe case. The aggregate weight of the case helps determine the sanction amount for each violation group within the established ranges ofthe Matrix. 

### b. Determination ofSanction. It

### is importantto note that determination ofwhere the sanction lies within the Matrix is notthe result ofa mathematical computation. Evaluation ofthe case is based on the totality ofthe facts and circumstances. Generally, ifthe answer to a particular question represents a more significant aspect ofa case, greater consideration shouldbe given to that answer. For example, violations involving an extremely dangerous substance, even in minute quantities, might warrant a penalty at the maximum end ofthe range or even a penalty exceeding the Matrix ranges (ifnot already atthe statutory maximum).


### c. Determination ofCategory. Under the Sanction Guidance Matrix, agency personnel determine the category ofviolatorthe personfalls 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 ofthe violator. Similarly, the offense categories address the nature,**circumstan~es,** 

### and gravity ofthe particular offense. After determining the appropriate categories and intersecting box ofthe Matrix, agency personnel then determine which subcategories ofoffenses (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 ofthe 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 otherrelevant factors, including evidence ofcorrective action. A recommended sanction may be reduced priorto the issuance ofa notice ofproposed civil penalty when there is adequate reliable information concerning the corrective actions taken by a respondent. Corrective actions thatjustify reduction ofthe 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, ifany, should be explained to, and discussed with, the investigating special agent. Final determin,ation ofthe sanction amountproposed in the notice ofproposed civil penalty is ordinarily a product of joint decisionmaking and approval ofthe investigating agent and the legal office.


### 8. Federal Aviation Administration Hazardous Materials Sanction Guidance. This Sanction Guidance is divided into three sections: case analysis; utilization ofthe Sanction Guidance Matrix (Matrix); and consideration ofother statutory factors. The Sanction Guidance Matrix is contained in Figure**C~l** 

### and the Risk Categories are contained in Figure C-2.


### a. Case Analysis (Evaluation ofStatutory Assessment Factors). (1) This section contains a series ofquestions to assist a special agent in evaluating a case and recommending a sanction. It

### also assists an attorney in evaluating a case file priorto initiation, and after additional information is received in response to a notice ofproposed civil penalty. The questions review factors involving the nature, circumstances, extent and gravity of the violation, the violator's degree ofculpability, and the violator's history ofprior violations. Some ofthese factors are already considered to some extent within the various categories ofthe Sanction Guidance Matrix. The questions in this section provide additional consideration ofthe statutory factors and examine the existence ofaggravating andmitigating factors in a case. (2) The agent answers each question in Section I 

### and determines ifa relative weight of minimum, moderate, or maximum should be assigned based on the response to the question. With the exception ofQuestion (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 ayes 

### response. Questions receiving a no 

### response do not affect the weighting ofthe case and are not considered. For example, that the violation did notresult in injury or damage is not 

### a mitigating factor, and should notresult in penalty mitigation. In many instances, the answers to most or all ofthe questions will be no 

### and the only relevant weighting factor iri this section will be the risk category ofthe material identified in Question (l)(a). 

### (3) In determining the final aggregate weight ofthe case, the responses to each ofthe questions do not have to be equally considered. Determination ofwhether the overall case should have a minimum, moderate, or ma.Ximum weight cannot be determined with mathematical certainty. Generally, ifthe answer to a question demonstrates that the factor atissue represents a more significant aspect ofthe case, greater consideration is given to that factor. The final aggregate weight is based on the totality ofthe facts and circumstances ofthe case. Once


### C-5

### 10/01/07 2150.38 determined, the final aggregate weight is then utilized to arrive atthe recommended sanction for each appHcable violation group on the Sanction Guidance Matrix (See, Figure C-1). b. The Nature, Circumstances, Extent, and Gravity ofthe Violation (Factors Concerning the Shipment):· (1) What material(s) was offered, transported, or accepted for air transportation? Figure C-2 divides hazardous materials ofparticular 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.

-
• Ifthe material(s) is in CategoryA, assign aMaximum**wei~ht.** 

### • Ifthe material(s) is in CategoryB, assign aModerate weight. • Ifthe material(s) is in Category C, assign aMinimum weight. Guidance Note: The categories in Figure C-2 represent the inherent riskof danger to air transportationposedby the material. 

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

• Didthe package(s) exceed the authorized quantity limitations by a significant amount? If yes, consider aModerate orMaximum weight depending on the degree to which the limitation was exceeded. Guidance Example: The quantity limitation for gasoline on apassengerplane is 5 litersper package. 

## Jf a violator offers 30 liters in a singlepackage on apassengerplane, assign a maximum weight for this factor.

• Didthe package contain a forbidden material? If yes, assign aMaximum weight.

• Were there multiple packages in the shipment? If yes, consider aModerate or Maximum weight, depending on the number ofpackages and total amount ofhazardous material being transported in violation. GuidanceNote: A package means apackagingplus its contents. There may be multiple packages in one shipmentor overpack. Multiplepackages often represent multiple violations. Under the Sanction Guidance, this fact is consideredan aggravating circumstance rather than a direct multiplier of the sanction for each violation. Each case, however, must be evaluatedon its particular facts. A very large number of packages may result in such an egregious case that the overallweightof the case is so high that apenalty beyondthe maximumpoint in the range is warranted. An investigation will occasionally reveal sufficient evidence of severalshipments from the same offeror over aperiodof several days, all of which involve violations of the HMR. These. independent acts of offeringusually are consolidated into one EIR andaddressed in one notice


### C-6

### 10/01/07 2150.38 of

proposedcivilpenalty. However,forpurposes of determining the appropriate sanction, each separate shipmentwith separate air waybill orshippingpapers, separate destination, and/or other evidence establishing it as a separate shipment, is ordinarily consideredas a separate incident forpurposes of applying the sanction guidance analysis. It is suggestedthat the separate shipments be treatedas individual counts in the EIR andthe notice of proposedcivil penalty, with each count having its own sanction derivedfrom application of this guidance. 

### (3) Did the shipment cause some damage orharm to persons or property or interfere with commerce? Ifyes, 

### consider aModerate 

### orMaximum 

### weight. GuidanceNote: Thefact thatno damage occurredas a result of the shipment is nota mitigating factor. However, damage or harm may aggravate the nature, circumstances, extent, andgravity of the violation. Dependingon the degree of damage causedby the shipment and/or the existence of other aggravating factors, departurefrom the ranges may bejustified. It is important to note that death, serious illness, orsevere injury to anyperson, orsubstantial destruction of property, warrants additional consideration of aggravation of the totalpenalty. 

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

### consider a Maximum 

### weight. Guidance Note: A manufacturer of a hazardous material is expectedto have complete knowledge of the nature of the hazardous material itmanufactures or uses; thus, a high degree of culpability will ordinarily be imputedto it. 

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

### consider aMinimum 

### orModerate 

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

## if the reshipper unpacks and/or repackages the shipment, the reshipper remains as culpable as the originalshipper and generally is notaccordedmitigation under this weightingfactor. (Forpurposes ofthis section, a "reshipper" refers to aperson, 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 aMinimum 

### weight.

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### 10/01/07 2150.38
GuidanceNote: Detrimental, reasonable reliance on anotherpartymay be a mitigating factor when considering the violator's degree of culpability. For example, reliance on an inaccurate Material SafetyData Sheet (MSDS) wouldbe mitigating. · (4) Does the violator have a history ofprevious HMRviolations? If

### yes, consider a 

### Moderate or

### Maximum weight. 

### GuidanceNote: To establish a violation history, aprior violation mustbe an actual finding of violationpursuant to a legal enforcementaction. Special agents shouldattempt to determine the corporate structure of the violator andwhether other business entities or names are or have been usedby the entity in order to obtain a complete violation history. The number andage of violations shouldbe considered. Ordinarily,findings of violation more than 5years oldcarry less weight, unless a continuingpattern of violation exists.


### d. Other Factors. (1) Each case must be evaluated on its particular facts. As such, many cases maypresent unique scenarios and aggravating ormitigating factors that are notroutinely seen. Ifan aggravating or mitigating circumstance exists that is not adequately addressed elsewhere in the sanction guidance, itmay be included and assigned a weight under this section. The factor shouldbe clearly identified and explained in the analysis portion ofthe EIR and.carefully scrutinized by legal counsel. 

### GuidanceNote: For example, a shipmentof a singlepackage containingseveral different hazardous materials maypresentan aggravating factor. The degree of seriousness of this factor will increase if the hazardous materials are incompatible with each other and, therefore, create an increasedrisk. Mitigating factors mayalso exist thathave not been adequately considered. For example, a shipmentcontaininga de minimis quantity of materialoran amount thatwouldhave qualified under the small quantity exception of 49 C.F.R. § 173.4 maypresenta mitigating factor if as a result there was a reducedriskto sqfety in transportation. That the material couldhave been shippedas a consumer commodity can also be a mitigatingfactor.


### e. Determine the Final Aggregate Weight ofthe Case. (1) All the responses/weights are evaluated to determine a final aggregate weight for the case 

### (Minimum, Moderate, andMaximum.). Questions receiving a 

### no response will notbe included in this evaluation. To determine the final aggregate weight, the agent or attorney must exercise his orher discretion in light ofthe statutory factors and knowledge ofthe particular facts ofthe case. The facts ofthe particular case will dictate the relative importance ofeach of the weighting factors in reaching the final aggregate weight. The final aggregate weight should be decided as a result ofcareful analysis, not a mathematical averaging. 

### Itis 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 evaluatedto have a maximum weight because of the large quantity shippedor the damage resultingfrom the shipment. f. 

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

### (1) The sanction ranges under the offeror and offense categories ofthe Sanction Guidance Matrixreflect the relative culpability ofthe violator and the nature, circumstances, extent, and gravity ofcases for the majority ofviolations. Consideration ofthese 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 ofthe case under subparagraphs 8.a.-e., that weight is applied to the appropriate Matrix range to identify the recommended sanction amount for each ofthe relevant violation groups and for the case as a whole. Although the notice ofproposed civil penalty may cite numerous violations ofa particular part or subpart ofthe HMR, unless upward departure isjustified, a single penalty amount for each Violation group is ordinarily used to reach the full sanction. (2) Instructions.

• Identify the appropriate category for the type ofentity and the nature ofthe offense involved in the case. Refer to the Definitions Section thatfollows 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 ofthe sanction range for each relevant violation group. The recommended civil penalty atthis stage is the sum ofthe sanctions for each ofthe applicable violation groups. A sanction should not be assessed for a violation group ifthere have been no violations ofthatpart or subpart ofthe HMR. The sanction amount for eachviolation group need not be identical but ordinarily is within the portion ofthe particular sanction range that represents the overall weight ofthe case. (3) Departure from the Matrix ranges. The ranges ofpenalties specified in the Matrix (e.g., $250-$550) are intended to cover the majority ofcases involving violations ofthe HMR. The facts and circumstances ofa particular case, however, mayjustify either an upward or downward departure from the specified Matrix ranges. This sanction guidance anticipates departure from the specified Matrix ranges whenjustified. A case involving violations in which the nature, circumstances, extent, and gravity ofthe incident are particularly severe or egregious, mayjustify upward departure from the specified ranges. Ifthe investigating agent believes, based upon the facts ofa case, that a penalty should exceed the specified Matrix ranges, the agent should consult with legal counsel before further processing ofthe EIR. (However, in no case may the civil penalty per violation exceed the maximum allowed by law.) Conversely, the investigating agent may believe that mitigating factorsjustify a downward departure from the C-9

### 10/01/07

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. ShippingPapers 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 PassengerAircraft 1. ShippingPapers 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 orhandles A. Individual* B. Business Entity hazmat in the course ofbusiness 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
DeliberateViolation2 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 applicableto air carrier and commercial operator passengers and crewmembers. The range for the total civil penalty to be assessed, absentmitigating or aggravating factors, is $250 (the statutory minimum) to $1,000.
E. Group 

### I & 

### II F. Group 

### III & 

### IV 

## AIR CARRIERAND OTHER

## AIRCRAFT Air Carriers and Air Carriers and 

### OPERATOR

## VIOLATIONS OtherAircraft OtherAircraft Operators O_Qerators Failure to comply with Parts 171, 172, or 173 Use main Matrix. Use main Matrix. requirements ofthe HMR as an offeror ofhazmat. Improper acceptance ofhazmatfor 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 shipmentproperly. 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 hazmatpersonnel, 10,000-32,500 5,000-16,200 failure to retain hazmattraining records (49 C.F.R.) Failure to notify FAAproperly ofincident/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 ofproperty. 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 thatthese definitions are only for the purpose ofapplying the sanction guidance in this appendix.

a. Air Carrier and OtherAircraft Operator Groups (1, 

### II, III, IV) -Aircarriers and other aircraft operators are divided into two categories for purposes ofdetermining an · appropriate sanction. These categories trackthe air carrier groups established in AppendixB this order. Forpurposes ofhazmat sanction guidance, the FAA also includes other aircraft operators operating 

### in commerce that are ofsimilar size, 

### e.g., part 129 Foreign Air Carriers, part 125 Operators, and part 91 Operators. (1) Group I is comprised ofair 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 ofair carriers and other commercial operators that have an annual operating revenue ofless than $100,000,000, and have 50 ormore pilots and operate 25 or more aircraft. Other aircraft operators ofthe same size are included in Group II for hazmat sanction guidance purposes. (3) Group III is comprised ofair 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 ofthe same size are included in Group III for hazmat sanction guidance purposes. ( 4) Group IV is comprised ofall other air carriers and commercial operators notmeeting the criteria for Groups I, II, or III. Other aircraft operators ofthe 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 ofcommercial entity. An individual who offers a hazmat shipment in air transportation in the course ofhis or her self-owned business falls into this category. It

### includes a non-profit organization and all other entities defined underthe HMR's definition 

### ofperson (49 C.P.R.§ 171.8), withthe exception ofan individual (as defined below).
c. BusinessEntity thatRegularly Offers, Accepts, orTransports Hazardous Materials in the Course ofIts Business. A business entity that offers hazmat with some anticipated frequency, orpurports 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 ortransportation ofthe hazmat is infrequent or limited. This category includes manufacturer or distributor ofhazmat and a freight forwarder. d. Business Entity that Uses, Handles Hazinatin the Course ofIts Business. This category encompasses the business that utilizes hazmat in its business but does 

### not offer it for transportation on a regularbasis, as described above. For example, a manufacturer ofa nonhazmatproductthat 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 ofthe hazardous nature of the material and the regulatory requirements to which the hazmat is subject.

e. Declared Shipment. Forpurposes ofthis sanction guidance, a declared shipmenthas at least one ofthe following communicative indicia---markings, labels, and/or shipping papers that meet the communicative requirements ofthe HMR. A package that has shipping papers that declare the contents as hazardous material, but is otherwise notmarked or labeled, falls into this category. Forpurposes ofthis definition, a shipping paper is any documentto which handlers refer in the normal course oftransportation and that complies with one or more ofthe communicative requirements in the HMR for shippingpapers. Similarly, a properly marked and labeled package that lacks shipping papers also falls into this category. An example ofa shipmentthat would not meetthis definition is one where the offeror states that the shipment contains hazmat, but only in paperworkto which the handlers do not refer in the normal course oftransportation. 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 ofhazardous material in his orherpersonal capacity, without any business purpose and not as part ofa commercial enterprise. h. Intentional orDeliberateViolation- A violation falls into this category whenthe offeror, acceptor, air carrier, or aircraft operator has knowledge ofthe requirements ofthe 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 asprintedmaterial, has committed an intentional or deliberate violation. i. Undeclared Shipment- Ifa shipment does not meet the definition ofdeclaredshipment, it is anundeclared shipment. j. 

### Undeclared ShipmentHazmatExceeds QuantityLimits for All Aircraft- An undeclared shipment that is offered for transportation on or transported on any aircraft and the quantity ofhazardous·material exceeds the limit, perpackage, for transportation on cargo aircraft, as established inthe 49 C.P.R.§ 172.101 Table. k. Undeclared ShipmentHazmatExceeds Quantity Limits for Passenger Aircraft- An undeclared shipmentthat is offered for transportation on ortransported on a passenger aircraft, and the quantity ofhazardous 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 ShipmentHazmatForbidden on All Aircraft- An undeclared shipment that is offered fortransportation 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 PassengerAircraft 

### -An undeclared shipmentthat 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) Ifthe undeclared shipment is offered for transportation on 

### or transported on a 

### passenger aircraft, the quantity ofhazardous material mustbe within the limitation, perpackage, for transportation on 

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

### § 172.101 Table. (2) Ifthe undeclared shipment is offered for transportation on a 

### cargo aircraft, 

### but not transported, the quantity ofhazardous material must be within the limitation, perpackage, for transportation on 

### passenger aircraft, as established in the 49 C.F.R. § 172.101 Table. (3) Ifthe undeclared shipment is offered for transportation on 

### and transported on a 

### cargo aircraft, the quantity ofhazardous material must be withinthe limitation, perpackage, 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 

### UndeclaredShipmentHazmat Exceeds QuantityLimitsfor
..:Aircraft, or UndeclaredShipmentHazmat 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 safeflight, resulting in a crash oremergency 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 threatto the safety of a flight, but can cause death or injuryto persons dueto unintended releases in aircraft cabin areas, and potential damage to aircraft structures over a longer period oftime due to undiscovered releases on aircraft structural components. Class 1 Class 3 Class4
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 ofan 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 

## ***************************** Inthe 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 LawJudge, and Respondent COMPLAINANT'S MOTION FORDECISION Complainant, Federal Aviation Administration (FAA), Western-Pacific Region, by counsel files this Motion for Decision pursuantto sections 13.218(a) and (f)(5) ofTitle 14 ofthe Code ofFederal Regulations. Complainant hereby moves the Court for an Order granting a Motion for Decision in favor ofthe Complainant, because there are no genuine issues as to material facts andthe Complainant is entitled to a Motion for Decision as a matter oflaw. In support ofthis 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 notconsider ithazardous materials as itwas well containedandwrapped.,,

## /~t) 0 

### 2. The hazardous materials were thirteen (13) four (4) ounce plastic bottles ofPotassium 

### \v\b hydroxide, solid, at total approximate weight of3.25 pounds and two (2) unlabeled plastic

# /ffJ · receptacles ofPotassium hydroxide, solid, at total approximate weight of 10.0 pounds. 

### "The only danger to anyone wouldbe createdby thepuncturing of the conta;;z{ilters and theplanesoakingthe luggage with water." [

# Cl~vf\\

# ~ '2---- 1Exhibit A, Respondent's Answer to the Complaint.

### 2 

### 3. Potassium hydroxide, solid is a hazardous material, in accordance withthe Hazardous Materials Table in Title 49 ofthe Code ofFederal Regulations (49 C.F.R.), Section 172.101. Itis "Potassiumhydroxide, solid," Hazard Class 8, UN1813, Packing Group II. 

### "Yes

- itwasPotassiumHydroxide." 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 of49 C.F.R., or an exemption or special permit, approval, or registration issued under Subchapter Cor Subchapter A ofChapter 

### 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. 

### "Itwas wellpackagedandhadbeen shipped to my address from manufactor[sic]." 5. Respondent offeredhis baggage for transportation in commerce without providing the required emergency response information immediately available for use at all times. 

### "Didnotknow aboutthe requirement to supply emergency response info. " By reason ofthe foregoing facts and circumstances, Respondent violated the following Department ofTransportation Hazardous Materials Regulations (Title 49, Part 171 et seq., Code ofFederal Regulations:

a. Section 171.2(e), which states that no personmay offer or accept a hazardous material for transportation in commerce unless the hazardous material is properly classed, described, packaged, marked, labeled, and incondition for shipment as required or authorized by applicable requirements ofthis subchapter or an exemption or special permit, approval, orregistration issuedunder this subchapter or subchapter A ofthis chapter; 

### "Myapologies, mypartner hadpreviously taken 3-4 smallcontainers four ourassociates in Columbia andhad hadnoproblems before." b. Section 172.200(a), which states that no person may offer hazardous material for transportationunless the material is properly described onthe shipping papers; 

### "Ignorant again of requirements."

c. Section 172.300(a), which states that eachperson who offers hazardous material for transportation shall mark eachpackage containing the hazardous material in the manner required by HMR subpart D (Marking). 

### "Iamsure there are volumes of restrictions and rules andregulations 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. § 172.101) and as required by HMR subpart E; and 

### "Justa repeat of the above. Your system of checking worked very wellandthere was no injury to anyone. I won'ttransport itagain."

### e. Section 172.600(c), which states that no personto 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 qfa 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) ofTitle 49 ofthe United States Code (Transportation) [(49 U.S.C. Section 5123 (a)], Respondent is liable for a civil penalty ofnot 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 ofproperty) for each violation ofthe Department of 3

Transportation Hazardous Materials Regulations. 

### "There was no injury, death orserious illness so we alllearnedsomething."
. Under the facts and circumstances ofthis case, a civil penalty of$1,000.00 is appropriate. 

### "Idon'tsee how $1,000penalty is 'appropriate.' How andwho deems this to be appropriate? Was thatperson there andactually saw the containers orhow wellthey were wrappedor protectedin the middle ofthe box. An objectat least 16"long wouldhave hadtopuncture the boxandthenpenetratedthe hardplasticjarandthen water wouldhave hadto be appliedto have causedany harm. I thinkno financialpenalty is appropriate as I have already spent untoldhours defending myself andthesituation andthe 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~** 

### Inresponse 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 inresponse to the discovery, Respondent indicated that he contends that he lacks the ability to paythe proposed civil penalty, but

### will not prove his inability to pay: 

### "No matter whatIplace in that form [USDOJ FinancialStatementof Debtor]you willsomehow findme capable of paying 

### it whether in a

# 3\L.'--4 

### lump some {sic] or in installments so I chose notto waste mytime in attempting toprove my inability topay. My finances are my business andno one else's. The governmentpries into

ourpersona/lives way to{o] much as itis 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) ofTitle 14 ofthe Code ofFederal Regulations, "[t]he administrative lawjudge shall grant a party's motion for decision ifthe pleadings, depositions, answers to interrogatories, admissions, matters that the administrative lawjudge has officially noticed, or evidence introduced during the hearing showthat there is no genuine issue ofmaterial fact and that the party making the motion is entitled to a decision as a matter oflaw." Here, since Respondent admitted to all ofthe allegations in the Complaint, no genuine issue as to
a material fact remains inthe 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 ofhazardous material "is liable to the United States Government for a civil penalty ofnot 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 ofthe 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 ifthey 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 ofResponse "LOR"). Further, the thirteen (13), four (4) ounce plastic bottles were clearly marked "Potassium Hydroxide" and labeled with the hazard class 8, corrosive label. ExhibitD, 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 wouldbe ifsomething penetrated the entire box which was surrounded with bubble wrap and thenpunctured the heavy duty plastic and then wet I [sic] it 

### down." 

### ld. He affirmatively asserts that he was ignorant ofthe requirements for shipping his hazardous materials and thus unknowingly violated the Hazardous Materials Regulations. Exhibit A, page 3. Respondent is liable even ifhe did not know that he was breaking the law. 

### Riverdale Mills Corp., FAA OrderNo. 2003-10 at 2, 2003 WL 22480437 (F.A.A.) (September 12, 2003). He intended to ship the hazardous materials, Potassium Hydroxide, inhis checked baggage for transportation onpassenger-carrying aircraft from Phoenix, Arizonato Fort Lauderdale, Florida, thento 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 ofFAA Order 2150.3B (hereafter Sanction Guidance). FAA'suse ofthe sanction guidance table to determine the appropriate civil penalty normally should not be disturbed**unless~ ~?...--** 

. 

### ')

### 6 other factorsjustify the reduction ofan otherwise reasonable assessment. 

### Trans WorldAirlines, 

### Inc., FAA Order No. 98-11 (June 16, 1998). Under the penalty guidelines, shippers are divided into subcategories that correspond with subparts ofthe Department ofTransportation 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 shipmentthat

was within quantity limitations and therefore is consideredan Offense Category 

### IIfor 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 carrierpassenger, the sanction range for the total civil penalty to be assessed, absent mitigating or aggravating factors, is $250

- $1,000. Exhibit E, paragraph h, atpage C-13. A civil penalty of$1,000.00 is appropriate for the facts and circumstances ofthis case. "Indetermining the amount ofthepenalty, the Secretary [decisionmaker] shall consider-(1) the nature, circumstances, extent, and gravity ofthe violation; (2) withrespect to the violator, the degree ofculpability, any history ofprior violations, the ability to pay, and any effect on the ability to continue to do business; and (3) other matters thatjustice requires." (49 U.S.C. § 5123(c)). Respondent packed, in the middle ofa 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 ofgasoline 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 FortLauderdale, Florida, then to Medellin, Columbia. Respondent failed to declare the hazardous material, failed to properly mark and label his checked baggage, and failed to provideto 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 ifPotassium Hydroxide were to be in contact withmoisture or water, it may generate sufficientheat to ignite nearby combustible materials. Attachment to Exhibit D. The MSDS indicates ifPotassium 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 intoothpaste 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 ifmoisture 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 posedby Respondent's undeclared shipment ofhazardous materials. Exhibit D. Non-hazardous material items were

### 8 

### discovered in Respondent's checked baggage: three (3), sixteen (16) ounce bottles ofdiesel additive and two (2), sixteen (16) ounce bottles ofgasoline 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 withpassenger cargo containing materials incompatible with Potassium Hydroxide. Exhibit D. This increased the potential ofigniting combustible materials, the formation offlammable hydrogen gas, or both. 

### !d. Respondent did not provide shipping papers nor did he provide emergency response informationto Spirit Airlines, Inc. In the event ofa release, Spirit Airlines, Inc. would have been at a completeloss as to cause and remediation measures. 

### !d. Hazard risks posed by Respondent's shipment ofundeclared Potassium Hydroxide inhis checked baggage were increased by the nature ofthe subject air shipment. Specifically, departing onFebruary 11, 2013 from Phoenix-Mesa Airport, Mesa, Arizona Spirit Airlines Flight 972, landed in Dallas-Fort Worth, Texas, took offfrom Dallas-Fort Worth and landed in Fort Lauderdale, Florida. The checked baggage was offloaded and thence loaded onto Spirit Airlines Flight 237. The following day, February 12, 2013, Spirit Airlines Flight

### 237 departed Fort Lauderdale, Florida and landed in Medellin, Columbia. Exhibit D. There were three takeoffs, three landings, one change ofaircraft, and one overnight; each circumstance increased the hazard risk posed by the shipment ofthe Potassium Hydroxide in checked baggage. 

### !d. "The shifting of baggage and their contents increases the risk in the release ofPotassium Hydroxide and the

### potential ofthis 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 ofcoming forward with such evidence rests uponthe Respondent. 14 CFR 13.224(c). 

### Giuffrida, FAA OrderNo. 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 withthe 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 HMRpertaining to shipping, labeling, marking, and emergency response. These actions pose a serious threat to the air transportation system in America. In weighing the totality offacts and circumstances, a civil penalty ofno less than $1,000.00 is warranted. This amount will promote compliance and deter future violations by

### 10 Respondent and others. Deference shouldbe givento the Administrator's proposed sanction. "[A ]n administrative agency is entitledto substantial deference in assessing the civil penalty appropriate for a violation ofits regulations. The agency's choice ofa sanction is not to be overturned unless it is unwarranted in law or withoutjustificationin 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 DocketNo. [To Be Assigned] FDMS No. FAA-2013-0621 CERTIFICATE OF SERVICE 11

I hereby certify that onthis date I have placed in the United States mail, postage prepaid, the COMPLAINANT'S MOTION FORDECISIONwith 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 ofFAA Order 2150.3B), addressed as follows: The Honorable Richard C. Goodwin, Administrative Law Judge Office ofHearings, M-20 U.S. Department ofTransportation 1200 NewJersey 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 'ltiistceiasg, 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 2Wl000

Office ofthe Regional Counsel Federal Aviation Administration Lawndale, California**~.** ·' /' ,./. v·· .



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# v\- Avl1 C]'vGExhibit A Page 2 of7

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### U.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION



### In the Matter of: FAADOCKET 

### Thomas Bray FAA CASE NO. 2013WP700039 

### Respondent
JUDGE NOT ASSIGNED
COMPLAINT


### The Complainant files its Complaint, pursuant to Rule 208 ofthe Rules ofPractice (14 C.F.R. 13.208). and states as follows:

I. 

### Respondent, Mr. Thomas Bray, was advised through a Notice ofProposed 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. OnJuly 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.



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### ' The hazardous materials were thirteen (13) four (4) ounce plastic bottles ofPotassium hydroxide, solid, at total approximate weight of3.25 pounds and two (2) unlabeled

Materials Table in Title 49 ofthe Code ofFederal Regulations (49 C.P.R.), Section 172.101. 

### itis "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

### of49 C.P.R., oran exemption or special permit, approval, or registration issued under Subchapter CorSubchapter A ofChapter I. 

### To wit:

a. 

### The hazardous material was not

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# /11 b. Respondent's baggage was notproperly markedr·
c. Respondent's

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:.. Respondent offered his baggage for transportation in commercewithout providing the required emergency response information immediately available for use at all times. 

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### III. By reason ofthe foregoing facts and circumstances, Respondent violated the follo\ving Department ofTransportation Hazardous Material Regulations (Title 49, 

### Part 171 et seq., Code ofFederal 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 conditionfor shipment as required or authorized by applicable requirements ofthis subchapter or an exemption
or special permit, approval, orregistration issued underthis subchapter or subchapter

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c. Section 172.300(a), which states that each person who offers hazardous material for transportation shall mark each package containing thehazardous material in the


### manner required by HMR

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# . d. Section 172.400(a), which generally states that eachperson 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 

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### e. Section 172.600(c), which states that no personto 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 ofa Federal, State or local government agency, responds to an incident involving a hazardous material, or is conducting an

# inv~gation which

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# -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 ofnot 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 ofproperty) for each**viol~** 

### the Department of Transportation Hazardous Materials Regulations. (

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### Under the facts and circumstances ofthis case, a civil penalty of$1,000.00 is**~** . - I 

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### -5- WHEREFORE, the Complainant, respectfully requests that the Administrative Law Judge enter an orderthat Respondent be assessed a civil penalty 

### inthe amount of$1 ,000.00. 

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# I112. ·**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, andhereby requests, pursuant to Section 13.220(a) ofthe Rules ofPractice 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 ofDocuments, separately and fully under oathforreceipt 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 ofPractice 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 ofpersons having knowledge ofdiscoverable matters, and the identity ofeach 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 

### ifhe obtains infom1ation upon the basis ofwhich 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 ofthe request, is deemed an admission ofthe truth ofthe statement or statements contained in the request for admission." 

### DEFINITIONS 

### 1. "Documents" means, regardless oforigin 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 ofsubject 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, andjob description or title, and telephone number. 3. "Identify all documents" means state the date and authorunless 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 172. The hazardous materials were thirteen (13) four (4) ounce plastic bottles ofPotassium hydroxide, solid, at total approximate \Veight of3.25 pounds and nvo (2) unlabeled plastic receptacles ofPotassium 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 ofFederal Regulations (49 C.F.R.), Section 172.10I. 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 ofChapterI of49 C.F.R., or an exemption or special permit, approval, or registration issued under Subchapter C or Subchapter A ofChapter 

### 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 ofyour March 2, 2013 e-mail to Andrew Pipping, FAA. 7. Attached Exhibit B is a true_and accurate copy ofyourMarch 28, 2013 e-mail to Andrew Pipping, FAA.
INTERROGATORIES AND REQUESTS FOR PRODUCTION 1. For each ofthe 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 ofeach and e\"ery statement made by that person in \Vhich the facts and circumstances ofmatters at issue in this case are referenced or discussed.

Exhibit B Page 3 of 174. Do you intend to present any expert witness testimony at the hearing ofthis matter? If so, then proYide 

### a synopsis ofeach 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? 

### Ifso, then state every fact upon \\'hich you intend to rely at the hearing in support ofthis contention, and produce a copy ofeach and every documentyou intend to introduce at the hearing in this matter in support ofthis contention. 6. Produce the U.S. Department ofJustice Financial Statement ofDebtor form, completed and signed. This form was providedto 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 ofthe foregoing items, identify and produce all documents upon which you expectto rely at the hearing or introduce as evidence in support ofyour 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 ofthe facts and arguments whichyou anticipate presenting 

### in the course ofthe hearing in this matterpertaining to mitigation ofthe sanction sought by Complainant in this case. Requested this 31 111 day ofJanuary 2014. Respectfully submitted, Federal Aviation Administration Western-Pacific Region Lawndale, California 

### NAOMI TSUDA Regional Counsel



### By:

# ~.y~ Lisa 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 DISCOVERYwith 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 ofthe Regional Counsel Federal Aviation Administration Lawndale, California 

### 5

Exhibit B Page 5 of 17

### FAA DocketNo. [To Be Assigned] FDMS No. FAA-2013-0621 CERTIFICATE OF SERVICE 5



### Ihereby certify that on this date 

### Ihave placed inthe United States 

### mail, postage prepaid, the COMPLAINANf'S FIRST REQUEST FORDISCOVERY 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 ofthe 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 :\Users\andre\.v pipping\AppData\Local\Temp\ 1 \notesFFF692\-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 atimely 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 smallerjars 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 spiritAir. 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 Iacel'1ifiedbythe FAA

## ~:~copyofth~~ or Qlila1ll!.

. •**~)lr,** <' Dam: 

# r-tbW**FORO~aALUSEONLY** Public**Av~ilability** to be Determined Under5U.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'"'· ::· _ , 10P 

### /$ to ea 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"Ly Page of 0 Certified9Y;. _..:::.-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 of3

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 tis**ceni!i~J** ":l•· ..•

## ~~**r~,,~·-·: •** **~xpected** time offdue to a death in the family. or means. FOROFFICIAL 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 17LS. 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** oflast 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. 30I. 90 J tseo Note. Exccuti' c Order b!6h. June I0. !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 !0I. .:t mr: :s·CFI{ 11.160. 0 171 nnJ**:\pp~ndix** w Subpnrt Y. fc<.l.I\.Cil".!'- 33t**~).** 28 USC !651.**3~01** cts.: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 orjudgment 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-00I at**pa~c** I5}47: Ju;ticc.'US:\-005 at pages 53406-5}.\07. Justicc "lS.-\·007 :11 pages 5J40B-5 }4 I0. Justice:Ci<.l:>.!-0 I6at page 122i4. DJsdosuro CJ!"**th~** inl(>rmation is voluntary. If Ihe req11e:<tcu inl<mnation is not fumbhd.**th~** U.S D"partmcnl ofJusti.:" bas the right to such disclosure ofthe 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) Ia. Home Telephone: (
__)

------- l3est Time to Call a.m. ___ p.m. Street AdJres' Ib. Cellular Number:(
__)
______ _ 2. tvlariltll St:.llus: OMnrried OSt:parat<.:J City_--::-::--:-:-------Statc
___Zip
___ _ Coumy ofRc: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 ofBinh (mm/dtllyy)
______ _ 4a. Spous.:·s D::tte ofBirth (mm\id.iyyJ.
_____ _

5. 0 Own Ilome 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
.. ifdtht.:r upplit:s) 0 :--;o 0 Yt.:s Ii") es. pro,·ide the: l(illowing information: Docs thIS p..:rsor.**li...-~** wi[h you·' DNo**DY~s** CJSo DYt:s

7a.**0!::~mc** orBusin..::;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 Iryes, 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 Ycs 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, I0. 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@fA 

# :.r

ACHME!'.TS REQUIRED: Please provide proofofpension!sO<:ial security/other income for the past 3months from each payor, including any statements showing deductions. Ifyear-to-dati: information is available, send only I statementas long as 3months is represented.
II. CHECKING ACCOUNTS. List all checking accounts. (Ifyou need additional space, attach a separate sheet.) Full name ofBank, Credit Union or Institution Bank Account No. Current Account Balance Cash, Credit IIa. 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. OTHERACCOUNTS. List all accounts, including brokerage, savings and money market, not listed in 11. Type of Full name ofBank, 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 $.

____ __

### ~ATr ACHMENTS REQUIRED: Please includeyour current bank statements (checking, savings, money martet and brokerage

### ac~unts} for the past 3 months for all accounts. 13. INVESTMENTS. List all investmentassets below. Include stocks, bonds, mutual funds, stock options, certificates ofdeposits and retirement assets such as IRAs, Keogh and 401(k) plans. Number of Current Loan Used as collateral !3a. !3b. 13c. Name ofCompany 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 (ifanvj on loan? $ DNa DYes $ DNo DYes $ DNa DYesNrune.
______________________________ __ SSN
_______ __ Page 3
Section 5 continued

Section 6 Other 15. AVAILABLE CREDIT. List all lines ofcredit, including credit cards. (Ifyou need additional space, attach a separate sheet.)
!Sa.

ISb. 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 "CurrentCash Value" line 16d

### = 16£$.

____ _

### ~ATIACHMENTS REQUIRED: Please includea stalt:menl from the life insurance companies that includes type and cash/loan value amounts. Ifcurrently borrowed against, include loan amount and date ofloan.
17. OTHER INFORMATION. Respond to the following questions related to your financial condition: (Attach a separate sheet ifyou need more space.)lnformation 17a. Do you have a safe deposit box? 0 No DYes Ifyes, please include the name and address oflocation ofbox, 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 againstyour wages? 0 No 0 Yes Ifyes, who is the creditor? Date ofJudgment Amount ofdebt$

__ _ 17d. Are there anyjudgments against you? 0 No 0 Yes Ifyes, who is the creditor? Date ofJudgment Amount ofdebt$

___ _ 17e. Are you a party to a lawsuit? 0 No 0 Yes Ifyes, runount ofsuit $ Possible completion date Court
________ _ Subject matter ofsuit'-----=----::=------------------------------ 17f. Did you ever file bankruptcy? 0 No 0 Yes Ifyes, date filed Date discharged ,--,---..,..--:--:-----:- 17g. In the past I0 years did you transfer any assets out ofyour nrune for less than their actual value? ONo 0 Yes Ifyes, what asset?::---:-::---------::-----:- Value ofasset at time oftransfer$

_______ _ When was it transferred? To whom was ittransferred?-----=---------- 17h. Do you anticipate any increase in household income in the next 2 years? 0 No 0 Yes Ifyes, why will the income increase? (Attach sheet ifyou need more space.) How much will it increase?---------....,-,=-:-:----:=:-:-:---- 17i. Are you a beneficiary ofa trust or an estate? D No 0 Yes Ifyes, nrune ofthe 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 ofplan 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. (Ifyou 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. Includeboats, RV's, motorcycles, trailers, etc. (Ifyou need additional space, attach a separate sheet.) Name and Description Lease (year. make. model) Address of Lessor Lease Monthly Payment 18c. $.

__ _ $,

__ _

18d. $.

__ _ $.

__ _

### ~ATI ACHMENTS REQUIRED: Please includeyour current statement from lender with monthly car paymentand cum:nt balance ofthe loan for each vehicle purchased orleased. 20. REALESTATE. List all real estateyou own. (Ifyou need additional space, attach a separate sheet.) StreetAddress, 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. (Ifyou need additional space, nttnch aseparate sheel) Furniture/Personal**~crs** includes the total current market value ofyour household such as furniture ancl appliances OtherPersonalAssets 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 PvmtNrune.
____________________________ ___ 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. (lfyou n=! additional space, attach aseparate sheet.) Tools usedin Trade orBusiness includes the basic tools or books used toconductyour business, excluding automobiles. OtherBusinessAssers includes machinery, equipment, inventory or otherassets.

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. (Ifyou 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 $,

_______ _ AgeofAccount 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 Ifonly 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 I040 with all Schedules Proofofall current expenses thatyou paid for the last 3months, including uti!ities, rent, insw-ance, property**ta:~es.** etc. Proofofall non-business transporcation expenses (e.g carpayments, lease payments, fuel, oil, insurance, parking, registration) Proofofpayments for health care, including health insurance premiums, co-payments and other out-of-pocket expenses Copies ofany courtorder requiring payment and proofofsuch payments for the past 3 months

CERTIFICATION Ideclare that Ihave examined the information given in this statement and, to the best ofmy knowledge and belief, it is true, correct, and complete, and I further declare that 1have no assets, owned either directly or indirectly, or income ofany nature other that as shown in this statement, including any attachment. Signature Social Security No. Date

WARNING False statements arepunishable up to five years imprisonment, a fme of$250,000, orboth pursuant to 18 U.S.C. §lGOl.

1Expenses 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, ifyou can prove that they are necessary for the health and welfare ofyou or your family.

Exhibit C.**Pag~l!fi:lfi6B** Page16of17To: multigrainscpt@msn.com, Cc: Lisa MToscano/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 ofthe Regional Counsel Western-Pacific Region Phone: 310-725-7114 FAX: 310-725-6816



## /fee Exhibit B

## ~) Page 17 of 17IN 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 ofyour own eye before trying to take the speck out ofsomeone else's eye. Yes, I realize that what Ijust 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 itto the authorities with not results even though receipts have been provided ofthe 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 notand 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 4I.


### 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 itwould 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 ofthe 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 of4substance in my life so.... as a rational and level headed man l recommend to the court dismiss the case with prejudice in myfavor 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 ofthe forks actually hittingthe bottles

... 

### % #3 the probability ofthem 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 ofthe 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

...1can't, the odds are in the multiple millions I am sure...... However you asked what I am goingto ask so you can prepare yourselfwell 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 ifover weight? #11. What is the possibility ofthe 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 atotal 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

# ILA;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 ( l6) ounce bottks

# oru product lubdcd ns X[/.extra p<mt::r

### l~l; diesel and t''u (2}. sixteen (l (Jl 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. BRAY"s shipment m1s not sequestered inn prolL'ctcd area. rather dc_sliJlL'd to be comingled \Yith passcngc.:r baggage and cnqj.o containing matcri•tls incompatible ''ith l'tll<lssium IIydroxidi.!. increasing the pokntial of" lgtJiting Ct)mbustiblc materials. the t"i.lrtllatitm tl!. llammabk hydrogen gas. or both. BRAY did not pnnick shipping papers nor did he prmid-: emergency response information tn GTIA. In the c\"cnt ofa release. C)TI:\ ''ould ha'c been at a compldi.! loss as to cause and n:mcdiation mcasun.:s. On \!an:h 17. 201-L the GTIA Director ofRegulatory 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 rcral"t. and**on~** m ..:rnight stnp: ca.,;h circumstunce 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 Ilydrnxide and the p\ltel1lia],J!" this substance coming into wntact \\·ith incompatible materials. LiN Ig13. !Iazard Class Smaterial 

### 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 ofllammabk hydrogen gas 

### it" expns..:d tll moisture and subsequent <.::tlntact made \\"ith incompatibk metals. The absc.:nt.:c.: t)fC\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!\!STRAT!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 l111 CiT! t\ 11ig.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

# orResponse (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 ..::stahlish 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 

### Iit 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 I0 

### orthe 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 Ilydro:-;ide and subsequent**t:lllll~lct** mad<..' '' ith 1 h<.:SL' mct'tls.

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

# .· MateriaI 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 of6Section 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 6RTECS#: 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 ofmerchantability 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 ofthe information for theirparticularpurposes. In no event shall Essential Depot, Inc. be liable for any claims, losses, ordamages ofany third party or for lostprofits or any special, indirect, incidental consequential or exemplary damages, howsoeverarising, even ifEssential Depot, Inc. has been advised ofthe possibility ofsuch damages.

Exhibit D Page 6 of6I. 

### 10/01/07

1. Background. Appendix C. Sanction Guidance Hazardous Materials Enforcement 

### 2150.38

a. Legislation. Congress determined that the unregulated transportation ofhazardous materials constitutes a threat to public safety in all forms oftransportation. Congress addressed that threat in 1974 by enacting the Hazardous Materials Transportation Act (HMTA). By 1990, Congress determined that effective enforcement ofthe HMTA required more severe action, and enacted the Hazardous Materials Transportation Uniform Safety Act of 1990, Public LawNo. 101-615, 1990**U.~.** Code Congress. 

### &Admin.News 104 Stat. 4605. The primary effectofthis 1990 revision ofthe HMTA was to raise the maximum civil penalty for violation ofany regulation enacted underthe HMTA to $25,000, and, for the first time, to require a $250 minimum penalty for any such violation. The HMTA wasrecodified in 1994 and is nowreferred to as the "Federal hazardous material transportation law," 1994 U.S. Code Congress. 

### & Admin. News 108 Stat. 759, codified at49 U.S.C. 

### §§ 5101-5127. In the 1994 recodification, Congress specifically stated that the recodification created no substantive change to the earlier form ofthe statute. In 2005, the Congress enacted and the President signed the Safe, Accountable, Flexible, EfficientTransportation 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 ofthe hazardous materials statute andregulations. b. CivilPenalties. The Federal Civil Penalties Inflation AdjustmentActof 1990, 28 U.S.C. 

### §2461 (note), as amended bythe DebtCollection 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 effectofmonetary civil penalties and promote compliancewith the law. Underthe statute, the adjusted civil penalty maximums cannotbe applied unless they are implemented by regulation. The adjusted civil penalties are listed inpart 13 ofTitle 14 ofthe CPR, subpart H. Pursuantto SAFETEA- LU, the maximum civil penalty thatmay be assessed for a violation ofthe Federal hazardous material law ora 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 ofproperty. The minimum civil penalty that may be assessed for a training violation is $450.

c. EnforcementResponsibility. Within the Department ofTransportation, 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 ofhazardous materials (hazmat). The FAA, under delegated authority, enforces the Federal hazardous material transportation law and the HMR, with particular emphasis on shipment ofhazmatby air. 49 C.F.R. 

### § 1.47(j).



### C-1 Exhibit E Page 1 of 17\ 

### 10/01/07 2150.38 d. Violation oftbe 

### BMRs. The HMR set forth regulations for the transportation ofhazmat. A knowing violation ofthe statute orofthe HMR can supportthe assessment ofa civil penalty between $250 and $100,000. A person acts knowingly whenthe person has actual knowledge of the facts giving rise to the violation; ora reasonable person acting in the circumstances and · exercising reasonable care would have thatknowledge. 49U.S.C. 

### § 5123(a)(1)(A). Thecivil penalties authorized underthe statute apply to each violation ofany regulation setforth inthe HMR; they also apply to the violation ofan order, specialpermit, orapproval issued by the Department. Moreover, underthe statute, each continuing violation ofthe HMRcan constitute a separate violation for each day a violation continues. In section 5124 ofthe statute, Congress prescribed criminal penalties for a willful violation ofthe Federal hazardous material transportation law ortheHMR; willful violations require evidence ofboth knowledge ofthe laws and regulations and intent to violate them.

e. Investigative and EnforcementProcedures. Part 13 ofthe Federal Aviation Regulations- Investigative and Enforcement Procedures (14 C.F.R. part 13) governsthe procedures applicable to enforcementofthe HMRby the FAA. Hazmatviolations occurririg on or afterAugust2, 1990, may be dismissed by an administrative lawjudge (ALJ) 

### ifa notice of proposed civil penalty has notbeen issued within 2years ofthe violation, unless good cause for delay has been shown. 14 C.F.R. 

### § 13.208(d). 2. Consideration ofStatutory Criteria. As a general matter, a sanction should be imposed that is sufficiently deterrentbutnotexcessive, in order to comply with the underlyingpurposes ofthe Federal hazardous material transportation law and HMR. In determiningthe sanctionto be assessed, penalty criteria setforth in 49 U.S.C. 

### §5123 mustbe considered. These criteria are the nature, circumstances, extent, and gravity ofthe violation; the degree ofculpability ofthe violator; thehistory ofpastviolations (ifany); the ability to pay; the effect on the ability to continue to dobusiness; and other matters asjustice requires. Some oftheseconsiderations already are factored to some extent into the categories inthe Hazardous Material Sanction Guidance Matrix. The statutory factors are further consideredunder the weighting analysis that is performed to indicate the amount ofthe civil penalty within the appropriate range, 

### i.e., atthe minimum, moderate, or maximum portion ofthe sanction range. The Matrix recognizes thatan even higherpenalty could be warranted for a significantly aggravated case, consistentwith the increased maximumpenalty 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 ofPenalty Sanctions. The Hazardous Materials Sanction Guidance is designed to promote better consistency so that similarpenalties are imposed in similar cases. The specified Matrix ranges (e.g., $250-$550, or $15,000-$32,500) are intended to reflectthe nature, circumstances, extent, and gravity ofthe case as compared with other types ofcases..Each case, however, mustbe evaluated on its own facts. A sanction may differ from the specifiedMatrix ranges whenthe facts and circumstances ofa case support either a greater or lesserpenalty. When a special agent believes that a penalty should exceed the specified Matrix ranges, the agent should consultwith legal counsel before further processing ofthe Enforcement Investigative Report (EIR). This consultation is not necessary in the case ofa 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 decisionto go outside the ranges should be explained in detail. 4. Part 175 Violations. Violations ofpart 

### 175 ofthe HMR, which establish particular requirements for aircarriers and other aircraft operators, are contained in a separate matrix. However, such operators often offer hazardous materials for airtransportation, 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 carrierviolations. S. Violation Committed by 

### SmallBusiness Entity. To meet statistics-gathering requirements, the. investigating special agent must determine whether the alleged violator qualifies as a small business concern underthe Small Business Regulatory EnforcementFairness Actof 

### 1996 (SBREFA). For an extensive discussion ofhow to make that determination, see Part OneAbbreviations and Definitions, in Appendix B ofthis order. Ifinvestigating special agents are unable to obtain independently information to determine whether an alleged violator is a small business concern, they request such information in the letter ofinvestigation. See sample letter ofinvestigation in Figure A-I ofAppendix A. Because violations ofTitle 49 ofthe U.S. Code and the HMRmay be committed by entities in addition to those normally regulatedby the FAA, the investigating agent may need to referto the SBA's completetable ofsize standards to find the correct size limitfor an alleged violator.
a. EnforcementPolicy under

### SBREF A. Chapter 7, Paragraph 

### 10, ofthis ordergenerally outlines the FAA's enforcementpolicyunder SBREFA. In determining whether and how to provide for the reduction orwaiver ofcivil penalties for statutory orregulatory violations by small entities, the FAA's policy may contain certain conditions. Those conditions may allow for excluding from such a reduction or waiver: a**s~all** 

### entity thathas 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 attemptto comply withthe requirements, and a violation that poses a serious health, safety orenvironmental threat. With respect to air carriers and otheraircraft operators, the FAAtakes into consideration company size in determining the appropriate amount ofcivil penalty. See 

### the Matrix, Figure C-

## J, below. b. Information Sheet for Complaints by 

### SmallBusiness Concerns. Each FAA employee who conducts an inspection ofa small business concern that is regulated by the FAA provides the small business concern with an information sheet. The information sheetinforms that entity that it may submit complaints orcomments regarding unfair FAAregulatory enforcementto the National Ombudsman. FAA special agents may obtain a copy ofthe information sheet for hazardous materials inspections and additional guidance for distributing itfrom the ASH regional offices.
c. Reduction orWaiver ofPenalty. The FAA does not reduce orwaive the penalty ofan alleged violator solely because 

### it is a small business entity. This is because a violation ofthe hazmat statutes orHMRtypically poses a serious health, safety, orenvironmental threat (and may involve one ofthe otherreasons for exclusion). Accordingly, the FAA will usually reduce

C-3 Exhibit E Page 3 of 17

### 10/01/07 2150.38



### or waive apenalty only ifthe small business entity provides evidence to demonstrate its inability to pay orthat the proposed penalty would preventthe entity from continuing in business. d. EnforcementActions Otherthan Civil Penalties. The FAA may, in limited circumstances, announce policies to provide for hazmat enforcement actions less onerous than civil penalties, that is, 

### administrative actions. Such policies may apply to small business entities orto others, and will be announced as Compliance and Enforcement Bulletins in this order. 6. Use ofthe Sanction Guidance. This guidance provides agency personnel with.a systematic way to evaluate a case and arrive at an appropriate penalty, considering all the relevant statutory criteria including mitigating and aggravating circumstances, ifany. Statutory considerations have been factored into the various ranges within the Sanction Guidance Matrix. Determination ofwhere a sanction lies within these ranges is aided by.a series ofweighting questions that probe the various aggravating and mitigating factors thatmay exist in a case.
a. WeightAnalysis. First, the weighting analysis isperformed. Agency personnel respond to a series ofquestions to determine the aggregate weight ofthe case. The aggregate weight of the case helps determine the sanction amountfor each violation group within the established ranges ofthe Matrix. b. Determination ofSanction. It is importantto note that determination ofwhere the sanction lies within the Matrix is notthe result ofamathematical computation. Evaluation ofthe case is based on the totality ofthe facts and circumstances. Generally, if

### the answer to a particular question represents a more significantaspect ofacase, greater consideration should be 

### given to that answer. For example, violations involving an extremely dangerous substance, even in minute quantities, might warrant apenalty atthe maximum end ofthe range or even apenalty exceeding the Matrix ranges (ifnot already atthe statutory maximum).
c. Determination ofCategory. Underthe Sanction Guidance Matrix, agency personnel determine the category ofviolatorthe person falls within iforexample, 

### business entity that regularly offers, accepts, ortransports hazmat) and the offense category iforexample, 

### undeclared shipment within hazmat quantity limitations). The sanction ranges underthe various violator categories take into accountthe relative culpability ofthe violator. Similarly, the offense categories address the nature, circumstances, and gravity ofthe particular offense. After determining the appropriate categories and intersecting box ofthe Matrix, agency personnel then determine which subcategories ofoffenses iforexample, 

### 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 ofthe applicable violation groups. The penalty amount for each relevant violation group is added together to reach the recommended sanction. d. OtherRelevant Sanction Factors. Under subparagraph 8.g., the special agent then considers other relevant factors, including evidence ofcorrective action. A recommended sanction may be reduced priorto the issuance ofa notice ofproposed civil penalty when there is adequate reliable information concerning the corrective actions taken by arespondent. Corrective actions thatjustify reduction ofthe 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 concerningthe alleged violator's size, financial condition, and ability to pay a recommended sanction. 7. FAALegal CounselReview. When an EIR is forwarded to legal counsel for enforcement action, counsel will give appropriate considerationto the recommended sanction. FAA legal counsel will also review the factors, analysis, and determinations underthe Hazardous Materials Sanction Guidance. The basis for deviating from the recommended sanction, ifany, should be explained to, and discussed with, the investigating special agent. Final determination ofthe sanction amount proposed 

### in the notice ofproposed civil penalty is ordinarily a product of joint decisionmaking and approval ofthe investigating agent and the legal office.
8. FederalAviation Administration HazardousMaterials Sanction Guidance. This Sanction Guidance is divided into three sections: case analysis; utilization ofthe Sanction Guidance Matrix (Matrix); and consideration ofother statutory factors. The Sanction Guidance Matrix is contained 

### in Figure C-1 andthe Risk Categories are contained in Figure C-2.

a. CaseAnalysis (Evaluation ofStatutoryAssessment Factors). 

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

### Section I and determines ifa relative weight of minimum, moderate, ormaximum 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 ofthe hazardous material(s) involved, and the evidence will indicate the risk category and, therefore, the weight. The aggravating ormitigating 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 ofthe case and are not considered. Forexample, thatthe violation did not result in injury ordamage is 

### nota mitigating factor, and should not result in penalty mitigation. In many instances, the answers to mostor all ofthe questions 

### will be 

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

### Question (J)(a). (3) In determining the final aggregate weight ofthe case, the responses to each ofthe questions do not have to be equally considered. Determination ofwhether the overall case should have a minimum, moderate, ormaximum weight cannot be determined with mathematical certainty. Generally, ifthe answerto a question demonstrates thatthe factor at issue represents a more significant aspect ofthe case, greater consideration is given to that factor. The final aggregate weight is based on the totality ofthe facts and circumstances ofthe 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. TheNature, Circumstances,Extent, and Gravity oftheViolation (Factors· Concerning the Shipment): 

### (1) What material(s) was offered, transported, or accepted for airtransportation? Figure C-2 divides hazardous materials ofparticularclasses, 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 answerthe questions below.
• Ifthe material(s) is in 

### CategoryA, assign a

### Maximum weight. • Ifthe material(s) is in 

### CategoryB, assign a

### Moderate weight. • Ifthe material(s) is in 

### Category C, assign a

### Minimum weight. 

### Guidance Note: The categories in Figure C-2 representthe inherent riskof danger to air transportationposedby the material. lfthere is more than one type of hazardous material involvedin the shipment, use the hazardous mater-ial in the highestriskcategory. (2) What quantity ofthe 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 forgasoline on apassengerplane is 5 litersper package. 

## Jf a violator offors 30 liters in asinglepackage on apassengerplane, 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 onthe number ofpackages and total amount ofhazardous material being transported in violation. 

### Guidance Note: Apackage means apackaging plus its contents. 

### There may be multiple packages in one shipmentor overpack. Multiplepackages often represent multiple violations. Under the Sanction Guidance, this fact is consideredan aggravating circumstance rather than a directmultiplierof the sanction for each violation. Each case, however, mustbe evaluatedon its· particular facts. A very large numberof packages may result in such an egregious case thatthe overallweight of the case is so high thatapenalty beyondthe maximumpoint in the range is warranted. · An investigation will occasionally revealsufficientevidence of severalshipments from the same offerorove'l"aperiodof severaldays, all of which involve violations of the HMR. These independentacts of offering usuallyare consolidatedinto one EIR andaddressedin one notice C-6 Exhibit E Page 6 of 17

## ·. 10/01/07 2150.38 

### of

proposedcivilpenalty. However,forpurposes of determining the appropriate sanction, each separate shipmentwith separate airwaybill orshippingpapers, separate destination, and/or otherevidence establishing it as aseparate shipment, is ordinarily consideredas a separate incident forpurposes of applying the sanction guidance analysis. It is suggestedthatthe separate shipments be treatedas individual counts in the 

### EIR andthe notice of proposedcivil penalty, with each counthaving its own sanction derived from application of this guidance. (3) Did the shipment cause some damage orharm to persons orproperty or interfere with commerce? If 

### yes, considera 

### Moderate or

### Maximum weight. 

### GuidanceNote: Thefact thatno damage occurredas a result oftheshipment is nota mitigating factor. l!owever, damage orharm mayaggravate the nature, circumstances, extent, andgravity of the violation. Depending on the degree of damage causedby the shipmentand/or the existence of otheraggravating factors, departurefrom the ranges may bejustified. It is importantto note thatdeath, serious illness, orsevere injury to anyperson, orsubstantial destruction of property, warrants additionalconsideration of aggravation of the totalpenalty.
c. Violator's Degree ofCulpability. The Matrix, Figure 

### C-1, considersthe relative culpability ofthe violator. This section ofthe analysis further evaluates the degree ofculpability ofthe violator. (1) 

### Is the violatorthe manufacturer ofthe hazardous material? If 

### yes, consider a 

### Maximum weight. 

### GuidanceNote: A 

### manufacturerof a hazardous material is expectedto have complete knowledge ofthe nature of the hazardous material itmanufactures or uses; thus, a high degree of culpability will ordinarily be imputedto it. (2) Did someone otherthan the violatorprepare the shipment for transportation? If 

### yes, consider a

### Minimum or

### Moderate weight. 

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

## if the reshipper unpacks and/or repackages the shipment, the reshipperremains as culpable as the originalshipperand generally is notaccordedmitigation under this weighting/actor. (Forpurposes of this section, a "reshipper" refors to aperson, other than the originalofferor, who offers a shipmentof 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 

### GuidanceNote: Detrimental, reasonable reliance on anotherpartymay be a mitigating/actor when considering the violator's degree of culpability. Forexample, reliance on an inaccurate Material Safety Data Sheet (MSDS) wouldbe mitigating. (4) Does the violator have a history ofprevious HMR violations? If 

### yes, consider a 

### Moderate or

### Maximum weight. 

### Guidance Note: To establish a violation history, apriorviolation mustbe an actual finding of violationpursuantto a legal enforcementaction. Specialagents shouldattempt to determine the corporate structure ofthe violatorandwhetherotherbusiness entities ornames are orhave been usedbythe entity in orderto obtain a complete violation history. The numberandage of violations shouldbe considered. Ordinarily,findings of violation more than 5years oldcarry less weight, unless acontinuingpattern of violation exists.
d. OtherFactors. (1) Each case must be evaluated on its particularfacts. As such, many cases may present unique scenarios and aggravatingormitigating factors that are not routinely seen. Ifan aggravating ormitigating circumstance exists that is notadequately addressed elsewhere in the sanction guidance, it may be included and assigned a weightunderthis section. The factor should be clearly identified and explained in the analysisportion ofthe EIRand carefully scrutinized by legal counsel. 

### Guidance Note: For example, ashipmentof asinglepackage containingseveraldifferent hazardous materials maypresentan aggravatingfactor. The degree of seriousness of this factor will 

### increase 

## if the hazardous materials are incompatible with each otherand, therefore, create an increasedrisk. Mitigating factors may also existthathave not been adequately considered. For example, a shipmentcontaininga de minimis quantity of materialoran amountthatwouldhave qualified under the smallquantity exception of 49 C.F.R. § 

### 17 3.4 maypresentamitigating factor 

## if as a result there was a reducedriskto safety in transportation. That the material couldhave been shippedas a consumer commodity can also be a mitigating factor.·
e. Determine theFinal Aggregate Weight ofthe Case. (1) All the responses/weights are evaluatedto determine a final aggregate weightfor the case 

### (Minimum, Moderate, andMaximum.). Questions receiving a 

### no response will notbe included inthis evaluation. To determine the final aggregate weight, the agent or attorney must exercise his orher discretion in light ofthe statutory factors and knowledge ofthe particular facts ofthe case. The facts ofthe particular case will dictate the relative importance ofeach of the weighting factors in reaching the final aggregate weight. The final aggregate weight should be decided as a result ofcareful analysis, not a mathematical averaging
..It is possible that a single weighting factor may outweigh all others. The agent orattorney's analysis should always be explained in this regard.
C-8 Exhibit E Page 8 of 1710/01/07 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 shippedor the damage resulting from the ship1j1ent. f. 

### Utilize the Matrix (Figure C-1). (I) The sanction ranges under the offeror and offense categories ofthe Sanction Guidance Matrix reflect the relative culpability ofthe violator and the nature, circumstances, extent, and gravity ofcases for the majority ofviolations. Consideration ofthese 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 ofthe case under subparagraphs 8.a.-e., that weight is applied to the appropriate Matrix range to identify the recommended sanction amount for .each ofthe relevant violation groups and for the case as a whole. Although the notice ofproposed dvil penalty may cite numerous violations ofa particularpart or subpart ofthe HMR, unless upward departure isjustified, a single penalty amount for each violation group is ordinarily used to reach the full sanction. (2) Instructions.

• Identify the appropriate category for the type ofentity and the nature ofthe offense involved in the case. Referto the Definitions Section that follows the Matrix 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 ofthe sanction range for each relevant violation group. The recommended civil penalty at this stage is the sum ofthe sanctions for each ofthe applicable violation groups. A sanction should not be assessed for a violation group ifthere have been no violations ofthat part or subpart ofthe HMR. The sanction amount for each violation group need not be identical but ordinarily is within the portion ofthe particular sanction range that represents the overall weight ofthe case. (3) Departure from the Matrix ranges. The ranges ofpenalties specified in the Matrix (e.g., $250-$550) are intended to coverthe majority ofcases involving violations ofthe HMR. The facts and circumstances ofa particular case, however, mayjustify either an upward or downward departure from the specified Matrix ranges. This sanction guidance anticipates departure from the specified iv-latrix ranges whenjustified. A case involving violations in which the nature, circumstances, extent and gravity ofthe incident are particularly severe or egregious, mayjustify upward departure from the specified ranges. Ifthe investigating agent believes, based upon the facts ofa case, that a penalty should exceed the specified Matrix ranges, the agent should consult with legal counsel before further processing ofthe EIR. (However, in no case may the civil penalty per violation exceed the maximum 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 1710/01/07 2150.38


### Matrix range. Consultation with legal counsel is not necessary in the case ofa 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 ofthe basis for the decision to go outside the ranges. (4) Violations ofpart 175 regulations, which establish particular requirements for air carriers and other aircraft operators, are contained in a separate matrix. However, such operators often 

### 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 ofOther Statutory Factors. The Federal hazardous material transportation law also requires consideration ofa violator's ability to pay a civil penalty, the impact ofthe civil penalty on the violator's ability to continue to do business, and other matters thatjustice requires. Consideration ofthese factors may result in adjustment ofthe recommended civil penalty calculated in subparagraph 8.f. In situations where the agent or attorney i.s in possession ofmitigating information, such an inability to pay the recommended civil penalty or corrective action taken, reduction ofthe recommended penalty may be appropriate. Mitigating information should be sufficiently reliable, uncontroverted, and documented in order to support reduction of the recommended civil penalty prior to issuing the notice ofproposed civil penalty. (1) 

### Ability to pay or continue in business. Historically, the FAA has considered these factors after the issuance ofthe notice ofproposed civil penalty due to the absence ofreliable financial information on 'vvhich to base a reduction prior to the issuance ofa 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 ofanotice. 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 ofthe notice that may warrant futiher consideration ofa 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, ifavailable, 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 ofa respondent with respect to its ability to pay a proposed civil penalty. The investigating agent's statement should encompass areas like the number ofemployees, gross revenues. and nature of business ofthe violator.
• FAA legal 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: orexceeds gttlimits 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 on2or**~** g!Ilimits 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 orhandles A. Individual* B. Business Entity hazmat

# in the course ofbusiness 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 l0,000-32,500 500-32,500 7,500-32,500 l0,000-32,500 500-32,500 7,500-32,500 10,000-32,500 500-32,500 7,500-32,500 l0,000-32,500



# ------ 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 l0,000-32,500 500-32,500 7,500-32,500 l0,000-32,500
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 I5,000-32,500
CONSULT

Exhibit E Page 12 of 17

### 10/01/07 2150.38 Qelibe[!lteViolation: or LEGAL- Up to LEGAL -Upto LEGAL· Up to LEGAL- Up to other siggiticant 50,000 peroffense 50,000 peroffense 50,000 peroffense 50,000 peroffense 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 death 1 §erious illness 1 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 peroffense 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 carrierand commercial operatorpassengers 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.CARRIERAND OTHERAIRCRAFT OPERATORVIOLATIONS Failure to comply with Parts 171, 172, or 173 requirements ofthe HMR as an offeror ofhazmat. Improper acceptance ofhazmat for airtransportation. (i.e., quantity,.labeling, marking, packaging, and shipping papers)

See 49 C.F.R. §§ 

### 175.30(a)(l)- (4) Failure to inspect hazmat shipmentproperly.

See 49 C.F.R. §§ 

### 175.30(b), (c), (d), (e) Improper storage/securing ofhazmat aboard aircraft. Failure to provide hazmattraining, maintain records of training, or meetminimum 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 ofincident/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 ofproperty.

C-13 E. Group I & 

### II AirCarriers and OtherAircraft 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 OtherAircraft 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 thatthese definitions are only for the purpose ofapplying the sanction guidance in this appendix.

a. AirCarrierand OtherAircraft Operator Groups (1, 

### II,

# m, IV)- 

### Air carriers and other aircraft operators are divided into two categories for purposes ofdetermining an appropriate sanction. These categories trackthe air carrier groups established in Appendix B this order. Forpurposes ofhazmat sanction guidance, the FAA also includes other aircraft operators operating 

### in commerce that are ofsimilar size, 

### e.g., part 129 Foreign Air Carriers, part 125 Operators, and part 91 Operators. (I) 

### Group I is comprised ofair 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 ofair carriers and othercommercial operators that have an annual operating revenue ofless than $100,000,000, and have 50 or more pilots and operate 25 ormore aircraft. Other aircraft operators ofthe same size are included in Group II

### for hazmat sanction guidance purposes. (3). Group III is comprised ofair carriers and other aircraft operators that do not meet the criteriafor Group II,

### that is, they have only 6to 49 pilots, or only 6 to 24 aircraft. Other aircraft operators ofthe same size are included in Group III for hazinat sanction guidance purposes. ( 4) Group IV is comprised ofall otherair carriers and commercial operators not meeting the criteriafor Groups I, II, or III. Other aircraft operators ofthe same size are included in Group IV for hazmat sanction guidance purposes. b. Business Entity. Abusiness, corporation, partnership, Sub-S Corporation; sole proprietor, association, or any type ofcommercial entity. An individual who offers a hazmat shipment in air transportation in the course ofhis orher self-owned business falls into this category. It includes a non-profit organization and all other entities defined underthe HMR's definition of 

### person (49 C.F.R. § 

### 171.8), with the exception ofan individual (as defined below).
c. Business Entity thatRegularly Offers, Accepts, orTransports Hazardous Materials in the CourseofIts Business. A business entity that offers hazmatwith some anticipated frequency, orpurports 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 ofthe hazmat is infrequent or limited. This category includes manufacturer ordistributorofhazmat and afreight forwarder. d. Business Entity thatUses, Handles Hazmat in the CourseofIts Business. This category encompasses the business that utilizes hazmat in its business but does 

### notoffer it for transportation on a regular basis, as described above. For example, a manufacturer ofa nonhazmat productthat uses hazmat in the manufacturing process could fall into this category. It must be established that the company ordinarily does not offerthe 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 1710/01/07 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 ofthe hazardous nature of the material and the regulatory requirements·to which the hazmat is subject.

e. Declared Shipment. Forpurposes ofthis sanction guidance, a declared shipment has at least one ofthe following communicative indicia---markings, labels, and/or shipping papers that meet the communicative requirements ofthe HMR. A package that has shippingpapers that declare the contents as hazardous material, but is otherwise not marked or labeled, falls into this category. Forpurposes ofthis definition, a shipping paper is any documentto which handlers refer in the normal course oftransportation and that complies with one ormore ofthe 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 ofa shipment that would not meet this definition is one where the offeror statesthatthe shipment contains hazmat, but only in paperwork to which the handlers do not refer in the normal course oftransportation. 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 herpersonal capacity, without any business purpose and not as part ofa commercial enterprise. h. Intentional orDeliberateViolation- A violation falls into this category when the offeror, acceptor, air carrier, or aircraft operator has knowledge ofthe requirements ofthe 

### HMR, and willfully circumvents orattempts to circumvent those requirements. Forexample, an offeror who places a properly marked and labeled hazmat shipment along with properly completed shipping papers, into an overpack marked asprintedmaterial, has committed an intentional or deliberate violation. 

### i. Undeclared Shipment- Ifa shipment does not meetthe definition ofdeclaredshipment, it is an undeclared shipment. 

### j. Undeclared Shipment HazmatExceeds Quantity Limits for All Aircraft- An undeclared shipment that is offered for transportation on or transported on any aircraft and the quantity ofhazardous material exceeds the limit, per package, for transportation on cargo aircraft, as established in the 49 C.F.R. 

### § 172.101 Table. k. Undeclared Shipment HazmatExceeds Quantity Limits for PassengerAircraft- An undeclared shipment that is offered for transportation on ortransported on a passenger aircraft, and the quantity ofhazardous material exceeds the limitation, perpackage, for transportation on passenger aircraft (but notfor transportation on cargo aircraft), as established in the 49 C.F.R. 

### § 172.10I Table. I. Undeclared Shipment HazmatForbidden on All Aircraft- An undeclared shipment that is offered for transportation on or transported on any aircraft and the hazardous material is forbidden in airtransportation on cargo aircraft, as established in the 49 C.F.R. 

### § 172.101 Table. C-15 Exhibit E Page 15 of 17

### 10/01/07 2150.38

m. Undeclared ShipmentHazmatForbidden on PassengerAircraft- 

### An undeclared shipment that is offered for transportation on ortransported on a passengeraircraft, andthe hazardous material is forbidden in airtransportation on passengeraircraft (butnot in air transportation on cargo aircraft), as established in the 49 C.F.R. 

### § 172.101 Table.

n. Undeclared ShipmentWithin Hazmat Quantity Limitations. (1) Ifthe undeclared shipment is offered for transportation on ortransported on a passenger aircraft, the quantity ofhazardous material must be within the limitation, perpackage, for transportation onpassenger aircraft, as established in the 49 C.F.R. 

### § 172;101 Table. (2) Ifthe undeclared shipment is offered for transportation on a cargo aircraft, but not transported, the quantity ofhazardous material must be within the limitation, perpackage, for transportation on passengeraircraft, as established in the 49 C.F.R. 

### § 172.101 Table. (3) Ifthe undeclared shipment is offered for transportation on and transported on a cargo aircraft, the quantity ofhazardous material must be within the limitation, perpackage, for · transportation on cargo aircraft, as established in the 49 C.F.R. 

### § 172.101 Table. All other undeclared shipments fit within the definitions for 

### UndeclaredShipmentHazmat Exceeds QuantityLimitsfor
...Aircraft, or UndeclaredShipmentHazmat Forbidden on...Aircraft, see above.



### C-16 Exhibit E Page 16 of 17i ! 

### 10/01/07



### CATEGORY 

## "A" {Maximum Weight} RISK CATEGORIES 

### (Figure C-2) 2150.38

Category "A" materials are materials thatwhen released In the confines ofan aircraft can potentially have a catastrophic effecton an aircraft's ability to continue safe flight, resulting In a crash oremergency landing causing Injury ordeathto passengers and fllghtcrew, as well as persons on the ground. Explosives: Division 1.1, 1.2, 1.3, Class 1 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 PassengerAircraft 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 GoodsTable 49 C.F.R. § 172.101 

## CATEGORY "8" {ModerateWeight} The materials-listed In Category "8"are materialsthat may not pose an Immediate threatto the safety ofa flight, but can cause death or Injury to persons dueto unintended releases In aircraft cabin areas, and potential damage to aircraft structures overa longer poriod oftime due to undiscovered releas9S on aircraftstructural 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 leastamount 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 otherRAM (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 ofa special agentwho Is convinced, based on the evidence andfacts ofa case, thatthe failure ofan air carrier, shipper, freight forwarder, or passenger to follow established regulations has posed a riskto aviation safety. 

### C-17 Exhibit E Page 17 of 17