### UNITE D STATE S DEPARTMEN T O FTRANSPORTATIO N OFFIC E O FHEARING S WASHINGTON , D.C . 

# RECEIVE D I n th e Matte r

of : Willia mA . Luker , Jr . 

### CP09SW00 8 JA N - 5 20 » 

# '^'^""'•"""^^"i^ARIN G DOCKE T FDM S No . 2009-104 4

cr ^ ADMINISTRATIV E LA WJUDG E NO T ASSIGNE D '

COMPLAINANT' S MOTIO N FO RSUMMAR Y JUDGMEN T S Th e Federa l Aviatio n Administratio n (hereinafter "FAA " o r

"Complainant") , throu ^ th e Agenc y Attorne y fromth e Regiona l Counsel' s offic e for th e Southwes t

Region , files thi s Motio n for

Decisio n pursuan t

t o th e Rule s o f

Practic e i n FA A Civi l Penalty Actions , 1 4 C.F.R . § 13.218(f)(5) . A s support for thi s motion , Complainan t submit s that

a s aresul t

o f th e Respondent' s admission s an dth e documentary evidenc e submitte dwith thi s motion , ther e remain s n o genuin e issu e o f amateria l fact

that require s ahearing , an dComplainan t i s entitle d t o aMotion for

Summary Judgmen t

a s amatte r

o f law . In suppor t o f it s motion . Complainan t

woul dsho w th e Court

a s follows : FAA' s Complain t 1 . O n Novembe r

5 , 2009 , th e FA A filed acomplain t i n whic h it

allege dthat

o n o r abou t Apri l 19 , 2009 , a

t Dallas/Fort

Worth Intemationa l Airport (DFW) , TX , Responden t Willia m Luker , Jr. , a

n individual , knowingl y offere dAmerica n Airlines , Inc . ("American Airlines" ) checke dbaggag e that

containe dundeclare dhazardou s material s for transportatio n b y ai r

i n commerc e o n American Airline s flight no . 240 4 fromDFWt o Baltimor e MD , an dthat durin g th e screenin g proces s o f

Respondent' s checke dbaggage , th e Transportatio n Security Administratio n (TSA ) foun don e (1 ) 16.4-oz . caniste r o f Colema n propan e fuel marke d Extremel y Flammable ; on e (1 ) caniste r o f Butan e fuel ; an don e (1 ) torc h lighter . Th e FA A als o allege dtha t

Responden t

faile dt o mark

th e shipmen t

with al l applicabl e identificatio n marking s an dlabel s that

woul dindicat e th e presenc e o f th e hazardou s material s inside ; that th e shipmen t

### wa s not accompanie db y aShipper' s Certificatio n o r Declaratio n o f

Dangerou s Goods ; that

th e shipmen t was no t accompanie db y shippin g paper s that describe dth e hazardou s materia l an d provide demergenc y respons e information , includin g a24-hou r emergenc y respons e telephon e number ; an dthat

some o f th e hazardou s material s wer e forbidde n fro mbein g offere dfo r transportatio n aboar dpassenger-carryin g aircraft . 2 . Th e FA A als o allege dthat thes e action s violate dth e Departmen t o f Transportatio n Hazardou s Material s Regulation s ("HMR" ) [Titl e 4 9 Cod e o f Federa l Regulation s (C.F.R. ) 171. 1 etseq.] , specifically , 4 9 C.F.R . § 171.2(e) . 3 . Th e FA A als o allege dthat unde r 4 9 U.S.C . § 5123(a) , Responden t Willia mA . Luker , Jr . wa s liabl e for

acivi l penalty o f

no t les s tha n $25 0 [$45 0 fo

r trainin g violations] , no r

greate r than $50,00 0 [$100,00 0 i f death , seriou s illness , severe injury , o r substantia l property damag e results ] for

eac h violatio n o f

th e Federa l hazardou s material s transportatio n law [4 9 U.S.C . § 510 1 e t seq.] , an dfor

eac h violatio n o f

th e Departmen t

o f Transportatio n Hazardou s Material s Regulation s [4 9 C.F.R . §§171. 1 etseq.] . 4 . Th e FA A als o allege dthat unde r th e fact s an dcircumstance s o f thi s case , acivi l penalty o f $500.0 0 i s appropriat e an dreasonable . Respondent' s Answe r Responden t

faile dt o file a

n Answe r t o th e FAA' s Complaint . Th e FA A serve d Responden t

with acop y o f

th e Complain t

vi acertifie dmail , retur n receip t requested , o n Novembe r

5 , 2009 . Se e Certificat e o f Servic e attache dt o FAA' s Complaint ; se e als o postmark on unclaime denvelope , attache da s Exhibi t 1 at 1 . Responden t

wa s notifie db y th e U.S . Posta l Servic e o n Novembe r

9 , 14 , an d24 , 2009 , that h e ha dcertifie dmail . Id . However , Responden t refuse dt o clai mth e Complain t an di t was returne dt o Complainan t o n Novembe r

30 , 2009 . Id . ' A respondent' s writte n answe r t o th e complain t

i s du e not

late r tha n 3 0 day s after servic e o f th e complaint . 1 4 C.F.R . § 13.209(a) . Th e dat e o f servic e i s th e dat e show n o n th e certificat e o f

service , whic hi n thi s cas e i s th e sam e a s th e dat e show n o n th e postmark , Novembe r

5 , 2009 . 1 4 C.F.R . § 13.211(d) . Becaus e Respondent' s answe r was du e withi n a prescribe dperio dafte

r servic e b y mail , 5 day s are adde dt o th e postmark/certificat e o f servic e dat e a s additiona l tim e adde dt o th e prescribe dperio dafte r servic e b y mail . 1 4 C.F.R . § A properl y addresse ddocumen t sen t b y certifie dmai l that

i s no t claime di s deeme dt o hav e bee n serve di n accordanc e wit

h th e FA A Rule s o f

Practic e i

n Civi l Penalty Cases . 1 4 C.F.R . § 13.211(g) .

### 13.211(e) . Accordingly , Respondent' s answe r wa s du e n o late r

than Decembe r

10 , 2009 . Responden t

faile dt o file awritte n respons e b y that date . Becaus e Responden t faile dt o file a

n answe r withou t goo dcause , h e i s deeme dt o hav e admitte dth e truth o f eac h allegatio n containe di n th e FAA' s Complaint . 1 4 C.F.R . § 13.209(f) . Accordingly , th e violation s i n thi s matte r ar e deeme dprovedb y Respondent' s failure t o file a n answe r t o th e FAA' s complaint . Th e sol e issu e remainin g i s whethe r th e sanctio n impose db y th e agency' s complain t i s reasonabl e an dappropriat e unde r th e totality o f

th e circumstance s an di s als o in accordanc e wit h precedent . Thi s issu e i s addresse dbelow . Argumen t Eve n assuming , arguendo , that th e Administrativ e La w Judg e grante dadditiona l tim e fo r Responden t

t o answer , h e ha s already admitte dt o th e fact s that gav e ris e t o th e violation , an dth e sanctio n i s appropriat e an dreasonabl e an di n accordanc e with precedent , a s show n below : / . Responden t

knowingl y offere dundeclare dhazardou s material s fo r transportatio n b

y ai r i n commerce , thu s incurrin g liability unde r th e Federa l hazardou s materia l transportatio n law an dth e HM

R T o establis h z

, prim afaci e cas e unde r

th e Federa l hazardou s materia l transportatio n law , th e Complainan t

mus t sho w that

th e Responden t

knowingl y offere dundeclare dhazardou s material s fo

r transportatio n b y ai r

i n commerc e i n violatio n o f th e Federa l hazardou s material s la w and/o r th e HMR . "Undeclared " mean s that th e shipmen t

containe dnon e o f

th e safeguard s tha t th e HM Rmandate s for

th e shipmen t

b y ai r o f inherentl y dangerou s goods . Thes e safeguard s includ e specification s fo r labelin g an dpackagin g an demergenc y respons e information . Complainan t ha s establishe dth e require delements , a s show n below . Whe n Responden t

checke dhi s baggag e fo

r America n Airline s flight no . 240 4 from DFWto BWI , it

was assigne dBa g Ta g BWI/64-01-98 . Exhibi t 2 . A n airlin e passenge r

offer s hazardou s material s i n checke dbaggag e t o a n ai r carrie r for ai r transportatio n in commerc e a t th e poin t th e passenge r

present s th e baggag e for acceptanc e b y th e carrier . Se e Hazar d Materials : Forma l Interpretatio n o f Regulations , 6 8 F R973 6 (February 28 , 2003) . Thi s offe r ca n occu r a t curbsid e check-in , a

t th e ticke t counte r i n th e airport , o r

whe n th e passenge r

### present s th e ba g to screenin g persorme l for explosiv e detectio n screenin g a s aprerequisit e to presentatio n t o th e carrier . Id . Accordingly , i f apassenger' s checke dbaggag e contain s hazardou s material s tha

t d o no t compl y with Federal hazardou s material s transportatio n law o r th e HMR , an dth e passenge r ha s offere di t

t o th e ai r carrier , th e passenge r

may b e subjec t

t o civi l o r crimina l penaltie s unde r

Federa l hazardou s material s transportatio n law o r th e HMR . Id . Th e undeclare dhazardou s material s wer e discovere db y Transportatio n Security Administratio n ("TSA" ) personne l whe n the y screene dRespondent' s checke dbaggage . TS A reporte dth e discovery o f th e hazardou s material s t o America n Airlines , whic h create da n Undeclare dDangerou s Good s Discrepanc y Report that wa s sen t t o th e FAA . Exhibi t

2 . Responden t

therefor e offere dhi s checke dbaggag e t o th e airlin e for transportatio n b y ai r

i n commerce . Responden t

i s liabl e for

th e civi l penalt y propose db y Complainan t unde r th e HM Rif

h e "knowingly " offere dhi s checke dbaggag e that containe dundeclare dhazardou s material s t o America n Airlines . Knowledg e i s a n elemen t o f th e violatio n o f

th e hazardou s material s statut e an dregulations . Bot

h provid e that

aperso n wh o knowingl y commit s aviolatio n i s liabl e fo r a civi l penalty . 4 9 U.S.C . § 5123(a)(1) ; 4 9 C.F.R . § 171.1(c) . Knowledg e may b e eithe r actual o r constructive. ^ A s fo

r th e typ e o f

knowledg e that

i s required , th e statut e provide s that th e allege dviolato r

mus t hav e know n th e "fact s givin g ris e t o th e violation. " 4 9 U.S.C . § 5123(a)(1)(A) . Knowledg e o f th e la w itsel f

i s no t necessary , an dperson s can b e liabl e eve n i f the y d o not

kno w the y are breakin g th e law . I n th e Matte r of : Riverdal e Mill s Corporation , FA A Orde r

No . 2003-1 0 at

5 (Septembe r

12 , 2003) . Congres s intende dt o preven t individual s fromrelyin g o n ignoranc e o f th e law a s a

n excus e i n civi l hazardou s material s cases. ^ I n th e Smallin g case , FA A Orde r No . 1994-3 1 at

7 n . 9 (Octobe r

5 , 1994) , th e Administrato r

rejecte dSmalling' s argumen t that h e di dnot

violat e th e HM R"knowingly "

^ Th e statut e provides : A perso n act s knowingl y whe n - (A ) th e perso n ha s actual knowledg e o f th e fact s givin g ris e t o th e violation ; o r (B ) areasonabl e perso n actin g in th e circumstance s an dexercisin g reasonabl e car e woul dhav e that

knowledge . 4 9 U.S.C . § 5123(a)(1) . ^ Th e legislativ e history o f th e Hazardou s Materia l Transportatio n Ac t confirm s tha t

Congres s intende dt o impos e civi l penaltie s o n person s wh o kne w abou t th e ac t constitutin g th e violatio n bu t di dno t kno w abou t

th e law . Th e conferenc e substitut e explain s tha t " acivi l penalt y may b e impose donl y upo n proo f tha t th e defendan t

knowingl y committe dth e ac t

whic hconstitute s th e violatio n (i t i s no t necessar y t o sho w tha t

h e knew th e ac t

constitute da violation ) .. . (emphasi s supplied). " S . Con f Rep . No . 1347 , 93" * Cong. , 2"' ^ Sess. , reprinte din 197 4 U.S . Cod e Cong . & Ad . New s 7669 , 7686 ; se e als o TC/Corporation , FAA Orde r No . 92-7 7 at

8- 9 n . 1 3 (Decembe r

22 , 1992) .

### becaus e h e di dno t kno w that

th e firecracker s in hi s checke dbaggag e wer e hazardou s materials . Smallin g "readil y admitte dthat h e ha dactual knowledg e o f th e fact s givin g ris e t o th e violation ; i.e. , that

h e place dfirework s in hi s suitcase , an dtha t h e checke dth e ba g wit

h th e airline. " Id . ' A s i n Smalling , th e Responden t admitte dtha t

h e ha dactual knowledg e o f th e fact s givin g ris e t o th e violatio n - that h e place dth e hazardou s material s i n hi s baggag e an dchecke d that baggag e with America n Airlines . In a n emai l t o th e FA A Special Agen t date dMa

y 15 , 2009 , th e Responden t

admitted : "Becaus e o f

th e natur e o f

th e trip , I brough t

tw o backpackin g stove s an dtw o backpackin g lanterns , a s wel l a s backpackin g tent s an dbackpacks . I n m y hast e t o catc h th e plane , I thre w th e propan e an dbutan e cylinder s in my duffl e bag , completel y forgettin g a

t th e moment

that the y wer e substance s tha t coul dno t

b e transporte do n aplane . Afte r I wa s i n th e security line , on e o f th e baggag e inspector s approache dm e an dpointe dout that h e ha dfoun dthos e item s i n m y duffle , an dwoul dhav e t o confiscat e them , unles s there wa s someon e at

th e airport

wh o coul dtak e the mbac k t o my home . I sai dno , apologize dfo r th e MISTAKE, mad e i n HASTE , an dwen t o n abou t my business. " Exhibi t

3 . Becaus e Responden t

admitte dthat

h e ha dactua l knowledg e o f th e fact s givin g ris e to th e violation , h e committe daknowin g violatio n whe n h e offere dthos e hazardou s material s t o American Airlines . Additionally , eve n thoug h it i s no t necessary t o sho w tha t

th e Responden t kne w thos e acts constitute daviolation , it i s clear th e Responden t

di dhav e tha t

knowledge , a s h e admitte dh e kne w tha t the y were substance s that coul dno t

b e transporte do n aplane . Id . Th e Responden t

admitte di n hi s lette r

o f respons e that

th e item s i n hi s checke dbaggag e include dapropan e cylinde r an dabutan e cylinder . Id . Th e American Airline s Discrepanc y Report als o list s butan e fuel , propan e fuel , an don e torc h lighte r o n it s discrepanc y repor

t a s item s o f undeclare ddangerou s good s confiscated . Exhibi t 2 . Th e Propan e Fue l cylinde r bear s th e warning , "DANGE RExtremel y Flammable , Fir e Explosio n Hazard , Content s Under Pressure. " Exhibi t

4 . I t i s reasonabl e t o believ e that Responden t

actuall y knew , fromth e warning s o n th e label , that th e propan e cylinde r

was hazardous . Moreover , th e Responden t admit s that

h e kne w tha t

the y wer e "substance s that coul dno t

b e transporte do n aplane. " Exhibi t 3 . Th e Materia l Safety Dat aShee t ("MSDS" ) for

Th e Coleman Co . 16.4-o z Propan e Cylinde r als o show s tha t

th e propan e fue

l i s ahazardou s material . Exhibi t 5 . Sectio n 2 o f

th e

### MSD S list s th e Hazardou s Component s Information . Id . a t 1 . Th e produc t

contain s Propan e - odorized , in th e chemical famil y o f Liquefie dPetroleu mGas . Id . Hazardou s component s includ e propane , CA S Numbe r 74-98-6 , i n th e amoun t

o f 85-100% . Id . Propan e i s classifie da s ahazardou s materia l unde r th e HMR . [4 9 C.F.R . § 171. 1 etseq.] . Th e prope r shippin g nam e i s Propan e o r

Petroleu mgases , liquefied . It i s i n Hazar dClas s 2. 1 (flammabl e gas , flashpoin t i s liste di n th e MSD S a s minu s 156 ° F , Exhibi t 5 a t 3 ) a t an dha s an assigne didentificatio n numbe r o f UN 1978 . Th e prope r

labe l i s flammable gas . Propan e i s forbidde n from transportatio n aboar dpassenger-carryin g aircraf t an dth e packagin g require daCARG O AIRCRAF T ONL Y label . Se e Hazardou s Material s Table , 4 9 C.F.R . § 172.101 , unde r "Propane. " Likewise , th e Butan e fiiel cylinde r i s als o ahazardou s material . Th e Materia l Safet y Dat a Shee t ("MSDS" ) fo

r th e butan e fuel , als o aliquefie dpetroleu mga s a s i s th e propane , show s that th e propan e fiiel i s ahazardou s material . Exhibi t 6 . Sectio n 2 o f

th e MSD S list s th e Components . Id . a

t 1 . Hazardou s component s are Isobutan e (78-83 % b y volume ) an dn-butan e (18-22 % b y volume) . Id . a t 1 . Butan e i s classifie da s ahazardou s materia l unde r th e HMR . [4 9 C.F.R . § 171. 1 e t

seq.] . Th e prope r

shippin g nam e i s Butan e o r Petroleu mgases , liquefled . I t i s i n Hazar dClas s 2. 1 (flammabl e gas , flash poin t i s liste di n th e MSD S a s Les s than minu s 117 ° F , Exhibi t

6 a t 2 ) an dha s a

n assigne didentificatio n numbe r o f U N 1011 . Th e prope r labe l i s flammable gas . Butan e i s forbidde n fromtransportatio n aboar dpassenger carryin g aircraf

t an dth e packagin g require daCARG O AIRCRAF T ONL Y label . Se e Hazardou s Material s Table , 4 9 C.F.R . § 172.101 , unde r "Butane. " Th e Respondent' s checke dbaggag e als o containe don e torc h lighte r that use dth e propan e fue l and/o r butan e fuel . Lighter s containin g flammable ga s ar e classifie da s ahazardou s materia l unde r

th e Departmen t

o f Transportatio n Hazardou s Material s Regulation s (HMR ) [4 9 C.F.R . § 171. 1 e t

seq.] . Th e prope r

shippin g nam e i s Lighters . Thi s materia l i s i n Hazar d Clas s 2. 1 (flammabl e gas ) an dha s an assigne didentificatio n numbe r o f UN 1057 . Th e prope r labe l i s flammable gas . Se e Hazardou s Material s Table , 4 9 C.F.R . § 172.101 , unde r "Lighter s containin g flammable gas. " Th e MSD S for th e butan e lighte r

als o show s tha t

i t i s ahazardou s material . Exhibi t

7 a t 1 an d3 . Al l thre e o f

th e material s describe dabov e that wer e containe di n th e Respondent' s checke dbaggag e wer e "hazardou s material " b y operatio n o f th e HM Ra s follows :

### [A ] substanc e o r materia l that

th e Secretary o f

Transportatio n ha s determine di s capabl e o f posin g an unreasonabl e ris k t o health , safety , an dproperty whe n transporte di n commerce , an dha s designate da s hazardou s unde r sectio n 510 3 o f

Federa l hazardou s material s transportatio n law [4 9 U.S.C . 5103] . Th e terminclude s hazardou s substances , hazardou s wastes , marin e pollutants , elevate dtemperatur e materials , material s designate da s hazardou s i n th e Hazardou s Material s Tabl e 4 9 C.F.R . § 172.101 , an dmaterial s tha t meet th e definin g criteri afor

hazar dclasse s an ddivision s i n part 17 3 o f subchapte r

C o f thi s chapter . 4 9 C.F.R . § 171.8 . Becaus e Responden t

offere dhazardou s material s t o th e ai r carrie r o n whic h h e wa s a tickete dpassenger , h e offere dth e undeclare dhazardou s material s for ai r transportatio n i n commerce . Th e America n Airline s discrepanc y repor t list s WilliamLuker , 1190 7 Winterthur L n APT PH3 , Reston , V A 20191-193 7 a s th e passenge r fromwho mth e hazardou s material s were confiscate dafter

th e Responden t

offere dhi s checke dbaggag e t o tha t ai r carrier . Exhibi t 2 . Whe n h e offere dhi s checke dbaggag e t o America n Airlines , Responden t faile dt o identif

y th e content s a s hazardou s materials . Responden t admit s that

h e "thre w th e propan e an dbutan e cylinders " in hi s "duffl e bag " an d"completel y forgettin g a t that momen t tha t the y wer e substance s that

coul dno t

b e transporte do n aplane. " Exhibi t 3 . Th e item s wer e no t

identifie d b y Respondent , bu t

wer e discovere db y TS A durin g it s screenin g procedure s o f th e Respondent' s checke dbaggag e afte r Responden t

offere di t

t o America n Airlines . American Airline s filed adiscrepanc y report becaus e th e hazardou s material s wer e discovere db y TS A afte r Responden t

offere dhi s checke dbaggag e t o America n Airlines . Therefore , Responden t knowingl y offere dundeclare dhazardou s material s for transportatio n b y ai r

i n commerce , thu s incurrin g liability unde r

th e HMR . Responden t

ha s admitte dth e fact s tha t gav e ris e t o th e violation . Complainan t

request s th e Administrativ e La w Judg e t o gran t summar y judgment

fo r th e FA A o n th e issu e o f

liability an dfindthat

Responden t

violate d4 9 C.F.R . § 171.2(e) . 2 . Th e propose dcivi l penalt y i s reasonabl e an dappropriat e unde r th e totalit y o f

th e circumstance s an di s in accordanc e wit h preceden t B y hi s conduct , th e Responden t violate dFedera l hazardou s material s la w an dth e HMR . Becaus e th e Responden t offere da n undeclare dshipment , h e violate dhazardou s material s regulation s pertainin g t o shippin g papers , labeling , marking , packaging , an d emergenc y response , a s summarize di n § 171.2(e) . A s hidde n shipments , the y constitut e a

### safety threat whos e magnitud e i s unknown . Th e FA A consider s the mparticularl y worrisome . Undeclare dshipment s o f

hazardou s material s "pos e aspecia l risk " Se e Envirosolve , Inc. , FA A Orde r No . 2006- 2 at

1 4 (Februar y 7 , 2006) ; ToyotaMoto r Sales , USA, Inc. , FA A Orde r No . 94

- 2 8 at 1 3 (Septembe r

30 , 1994 ; Interstat e Chemical Company , Inc. , FA A Orde r No . 2002-2 9 at 8 (Decembe r

2 , 2002) . Th e Responden t

i s liabl e fo

r acivi l penalty o f

no t les s tha n $25 0 [$45 0 fo

r trainin g violations] , no r

greate r tha n $50,00 0 [$100,00 0 i f death , seriou s illness , sever e injury , o r substantia l property damag e results ] for eac h violatio n o f

th e Federa l hazardou s material s transportatio n la

w [4 9 U.S.C . § 510 1 e t

seq. ] andfo

r eac h violatio n o f

th e Departmen t

o f Transportatio n Hazardou s Material s Regulation s [4 9 C.F.R . § § 171. 1 e t seq.] . Unde r th e Rule s o f

Practic e in FA A Civi l Penalty Actions , Complainan t mus t sho w that th e propose dcivi l penalt y i s appropriate . Se e In th e Matte r o f Stout , FA A Orde r

No . 1998-1 2 at 1 2 (Jun e 16 , 1998) ; 4 9 C.F.R . § 13.224(a) . Complainan t therefor e ha s th e burde n o f establishin g no t

onl y th e violations , bu t

als o th e appropriat e sanctio n amount . Se e I n th e Matte r o f ToyotaMoto r

Sales , USA , FA A Orde r

No . 1994-2 8 at

6- 7 (Septembe r

30 , 1994) . Th e FAA' s Sanctio n Guidanc e Tabl e tha t pertain s t o hazardou s material s case s i s foun d i n th e FAA' s Complianc e an dEnforcemen t Manual , Orde r

2150.3B , a

t Appendi x C , attache d a s Exhibi t

8 . Th e Sanctio n Guidanc e i s use dt o asses s civi l penalt y amount s for hazardou s material s cases . FA A Hazardou s Material s Special Agen t Pau l Klima s conducte dth e investigatio n whe n America n Airline s reporte dth e discrepanc y t o th e FAA . Se e Declaratio n o f Pau l Klimas , attache da s Exhibi t 9 an dincorporate db y referenc e int o thi s motion . Mr . Klima s als o recommende dth e $50 0 civi l penalt y that wa s propose di n th e Notic e o f Propose dCivi l Penalty . Id . Whe n th e cas e wa s initiated , th e Notic e o f Propose dCivi l Penalty that was issue d propose dacivi l penalty amoun t o f $500.00 . Mr . Klima s followe dth e FA A Sanctio n Guidanc e whe n h e recommende da$50 0 civi l penalty . Responden t

wa s atickete dpassenge r on America n Airlines ; therefore , h e i s a n individual , whic h i s aCategory A offender , base do n th e FA A Sanctio n Guidanc e Matrix . Se e Exhibi t 8 a t C-12 ; Exhibi t

9 a t 1 . Th e torc h lighte r

foun di n th e Respondent' s checke d baggag e was a

n undeclare dhazardou s material that was withi n th e hazma t

quantity limitations .

Accesse da

t http://rgl.faa.go v b y selectin g "Orders/Notices, " the n "Curren t Orders ; B y Number. " Appendi x C wa s als o publishe din th e Federal Register : 6 4 Fed.Reg . 1944 3 (Apri l 21 , 1999) .

### whic h i s aCategory I I offens e in th e FA A Sanctio n Guidanc e Matrix . Exhibi t 8 a t C-12 ; Exhibi t 9 at 1 . Th e butan e fue

l an dth e propan e fue

l cylinder s wer e forbidde n fro mcarriag e o n passenger-carryin g aircraft , whic h i s aCategory II I offens e i n th e FA A Sanctio n Guidanc e Matrix . Exhibi t

8 a t C-12 ; Exhibi t

9 a t 1 . Becaus e o f

th e presenc e o f

th e torc h lighter , th e aggregat e cas e was treate da s aCategory I I offens e for th e purpose s o f

assessin g acivi l penalty . Exhibi t 9 a t 1 . Therefore , th e Category I I penalty rang e wa s considered , whic h i s $25 0 - $1,10 0 for

an individual . Id . On e genera l violation , 4 9 C.F.R . § 171.2(e) , was use dt o encompas s al l violation s becaus e th e Responden t i s an individual . Id . Th e penalt y assessmen t

too k int o consideratio n th e fact s o f th e case , whic h include dth e type s an dquantitie s o f

th e hazardou s material s involved . Id . a t 2 . Al l thre e item s wer e i n hazar dclass/division 2.1 , flammable gas . Id . Al l 2. 1 flammable gasse s ar e i n Risk Categor y A . Exhibi t 8 a t C-17 . Material s are assigne dt o Ris k Category A becaus e thos e ar e material s whic h pos e th e highes t

ris k t o ai r transportation : i f

release di n th e confine s o f an aircraft , the y can potentiall y hav e acatastrophic effec t o n th e ability o f

th e aircraf

t t o continu e saf

e flight, resultin g i n death o r

injur y t o th e flight

crew , passengers , an deve n person s o n th e ground . Exhibi t 8 at C-17 ; Exhibi t

9 a t 2 . Th e fac t

that amateria l i s i n Ris k

Category A tend s t o giv e a maximu mweigh t

t o th e case . Exhibi t

9 a t 2 . Als o factore dint o th e penalty determinatio n was th e fac t that th e quantit y o f

hazardou s material s involve dwas small , whic h woul dten dt o giv e aminimu mweigh t t o th e case . Se e Exhibi t 9 at 2 . Ther e was n o injur

y t o persons o r

damag e t o propert y involve dbecaus e th e undeclare dmaterial s wer e discovere db y TS A prio r t o bein g plac e o n th e aircraft ; accordingly , ther e wa s n o elevatio n o f th e weight

o f th e cas e bac k

u p toward s th e maximu mpenalt y range . Id . Accordingly , th e cas e warrante dalo w moderat e weightin g with aresultan t $50 0 civi l penalty . Id . Th e $50 0 civi l penalty amoun t i s als o appropriat e for

th e forbidde n material s becaus e $50 0 i s th e minimu mamoun t that can b e assesse dfor

thos e material s tha t

are forbidde n o n passenge r

aircraft . Id . at

2 ; se e als o Exhibi t

8 a t C-12 . Additionally , th e requeste dcivi l penalty i s no t unwarrante db y precedent . Individual s wh o offere dhazardou s material s t o a n ai r carrie r i n checke dbaggag e wer e assesse dcivi l penaltie s that

exceede dth e on e requeste di n th e cas e a t bar . Se e I n th e Matte r

ofRain e Smith , Docke t No . CP07EA0012 , DM S No . FAA-2007-2871 8 (May 29 , 2008 ) [ acivi l penalty o f $3,12 5 assesse dfor

five violations] ; FA

A v . ToddKaden, . FA A Docke t No . CP05NM0024 ,

### DM S No . FAA-2005-2208 1 (Jun e 22 , 2006 ) [ acivi l penalt y o f $3,00 0 assesse dfo

r eleve n violations] ; FA

A v . Rand y Raggon , FA A Docke t No . CP06NM0011 , DM S No . FAA-2006

- 2651 2 (Octobe r

18 , 2007 ) [ acivi l penalt y o f $2,50 0 assesse dfor

tw o violations] . Standar do f

Decisio n Rul e 218(f)(5) , Motio n for Decision , o f

th e Rule s o f

Practic e i n FA A Civi l Penalty Action s provide s that

aparty i s enfitle dt o aMotio n for Decisio n "i f

th e pleadings , depositions , answer s t o interrogatories , admissions , matter s tha t th e administrativ e law judg e ha s officiall y noticed , o r

evidenc e introduce ddurin g th e hearin g sho w tha t ther e i s n o genuin e issu e o f materia l fac t

an dthat th e party makin g th e motio n i s entitle dt o adecisio n a s amatte r o f law. " 1 4 C.F.R . § 13.218(f)(5) . Th e movin g party ha s th e burde n o f showin g tha

t ther e i s n o genuin e issu e o f materia l fact

dispute db y th e parties . Id . Se e als o Pennsylvani av . Riley , 8 4 F.3 d125 , 13 0 (3'^' ^ Cir . 1996) . Becaus e th e FA A i s offerin g additiona l material s t o support it s motion , th e motio n i s title da s on e fo

r summary judgment , rathe r than amotio n fo

r adecisio n o n th e pleadings . A motio n fo

r summary judgmen t

unde r Federal Rul e o f

Civi l Procedur e 56(e ) ma y b e supporte db y affidavit s a s wel l a s b y othe r evidence . A n evidentiar y hearing before an administrativ e law judg e nee dno t b e conducte di f

al l materia l issue s o f

fact ca n b e adequatel y resolve do n th e basi s o f

th e writte n record . Se e Knot t v . FERC , 38 6 F.3 d(1' ' Cir . 2004) ; Delt a Ai r Line s v . Departmen t

o f Transportation , 5 1 F.3 d106 5 (D.C . Ci r 1995) . IV . Conclusio n Responden t

faile dt o file a

n Answer , therefore th e Complainant' s allegation s are al l deeme dt o b e admitte da s true . Additionally , Responden t acknowledge dth e fact s constitutin g th e violations , an dha s therefore admitte dliability unde r th e HMR . Ther e bein g n o dispute . Complainan t

i s entitle dto judgmen t

o n th e violation s a s amatte r o f law . Additionally , Complainan t

ha s articulate dth e reasonabl e basi s upo n whic h a n appropriat e civi l penalty amoun t o f $50 0 i s requested . Base do n th e foregoing . Complainan t move s that

th e Administrativ e La w Judg e gran t th e FA A summar

y judgmen t

i n it s favo r

i n th e above

reference dcaus e numbe r

o n th e violations ; findthat a$500.0 0 civi l penalty i s a n appropriat e

1 0

### amount ; an dtherefor e issu e a n Orde r findin g th e violation s a s allege dan dassessin g acivi l penalty i n th e amoun t

o f $500.00 . it h 

### Date dthi s 4' " day o f

Januar y 2010 . Respectfiill y submitted ,

LYNETT E WOR D Regiona l Counse l Federa l Aviatio n Administratio n Southwes t

Regio n

>nto n Attorne y >22-508 9 (817 ) 222-509 2 (FAX ) CERTIFICAT E O FSERVIC E I hereb y certif

y that o n thi s dat e th e original an don e cop y o f th e foregoin g Motion for Summary Judgmen t

for Civi l Penalty Actio n CP09SW008 , FDM S No . 2009-104 4 was filedb y Federa l Expres s Priorit y Overnigh t Trackin g No . 869 6 796 3 609 0 wit h th e Hearin g Docke t

Clerk , AGC-430 , at : Hearin g Docke t Federal Aviatio n Administratio n 60 0 Independenc e Avenue , S W Wilbu r Wrigh t Buildin g - Suit e 2W100 0 Washingto n D C 2059 1 Attention : Hearin g Docke t Clerk , AGC-43 0 Telephone : (202 ) 385-822 9 o r 823 0

I hereb y als o certif

y that o n thi s dat e atru e an dcorrec t cop y o f th e foregoin g Complainant' s Motio n Fo r

Summary Judgmen t

for Civi l Penalty Actio n CP09SW008 , FDM S No . 2009-104 4 wa s filedb y Federa l Expres s Priorit y Overnigh t Trackin g No . 869 6 796 3 606 8 wit h th e ALJ , wh o wa s no t

assigne da

t th e tim e thi s motio n wa s filed: Administrativ e La w Judg e Offic e o f Hearings , M-2 0 U.S . Departmen t

o f Transportatio n 40 0 Sevent

h Street , S.W. , Roo m541 1 Washington , D.C . 2059 0 Telephone:(202 ) 366-213 2

1 1

### I hereb y als o certif y that o n thi s dat e atru e an dcorrec t cop y o f th e foregoin g Complainant' s Motio n for

Summar y Judgmen t

for Civi l Penalty Actio n No . CP09SW008 , FDM S No . 2009

- 104 4 wa s serve db y Federa l Expres s Priorit y Overnigh t Trackin g No . 869 6 796 3 608 0 o n th e Responden t a t th e addres s provide db y th e Respondent : ... . Dr . Willia mA . Luker , Jr . 1190 7 Winterthu r

Lane , Apt . PH 3 Reston , V A 20191-193 7 Marqi^t aRobinso n Dat e Paralega l Specialis t

1 2

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### l^ag e 1 of \ Bil l Luke rJ r<billjLiker<g)comcast,net > Pau l Klimas/ASW/FAA@FA A Date : Friday , Ma y 15 , 200 9 02:26P M Subject : EI R2009SW70O19 1

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i " i rm.'eivo dare.'^i.i!l.*>re dlotte r fro mr.h e FA

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. o f .'\i:S!.in . Bf:i.-:aLise o f LhH ? n<-Tf.jr c o f th e trip , r

brough t

tw o b^ickpack i n

qstovn s an u Lw

o backpackin g laiii.ern? , a s wel l a s backpackin g ten:.S i an d•nijc:!<pa(.-ks . T n rti V hast e t o caLc hr.h e pjsne: , 1 thrti TM th e propan e am i butan e vyiiroftr? ; i n m y duffe L bag , campletsi y forqeLtin g n z thai , momenr . tha t t]:f: y vif.i o subst.ar.ce s t'na t

ootjl dno t

b e transporte dcn i ap];.inrr . Afty r

I Wri.s i n Lh e securit y line , on e o i th e baggay e inspector s approache dm e ar: d pointe dou t

tha t h e ha dfoun dthos e item s ir . n y duffel , dn dvm-.il dhav e r. o i:onfisua". e Lheir. , unles s ther e wa s sotneon c a t th e Airpor t

wh o c-Oijil

d tak e LJ'!e:r

i b<3c k t o m y hoHie , I sai dro , apologize dfo r th e MTflTAKL

, mad e i n HAST?; , an diMt::' . o n .ibou L m

y business , SinooroLy , Dt" . Wi^liarr . A I.uke r J r 1190 7 Winterthu r

Lan e Ap t PH: i Pesr.o n V

A 2019 1



### hltps://aiiwmam.t'aa.gov/[nail0/pkJimas.nsr/($lnbox)/7724jE8B5F.AF97F,F852575B7006.. . 5/26/2009

# EXHIBI T 4U.S . Departmen t o f Transportatio n FEDERA L AVIATIO N ADMINISTRATIO N Hazardou s Material s Branch , ASW-74 0 

### PHOTOGRAP H # 1

Photograp h # 1 :

Photographer' s Name : Dat e o f Photograph : Location : '"Xlamera : Filro Brand/Speed : ShuttetSpeed : Len s Opening : Document s th e 16. 4 oz . propan e fue l caniste roffere d b y America n Airline s passenge rWillia m LUCKE R a t DF W Internationa l Airport , Texa s fo rai rtransportatio n t o Baltimore-Washingto n Thurgoo d Marshal l Internationa l Airpor t (BWI) , Marylan d o n Apri l 19 , 2009 . Photograph s o f th e butan e an d th e lighte rwer e no t available . Charle s Fishe r Apri l 30 , 2009 DF W - Hange r1 complex , America n Airlines Unknow n Digita l Camer a Digita l Unknow n Unknow n

Interviewed/Reviewe do n ,A t 

### B yM M Specialis t Pau l D . KLIMA S FAA For m1600-32- 1 (9-86 ) 

### Fil e No . 2009SW70019 1 FO ROFFICIA L US E ONL Y (Publi c availability t o b e determine d

under 5 U.S.C . 552 )

# EXHIBI T 527465 4 ^ ParW 5103A164 T PROPANE , 16.4-OZ . CYLINDE R 92 8 TH E COLEMA N CO . • 13 P Buyer . Lind a J . Kosakowsk i 

### Ferrellga s Materia l Safet yDat a Shee t - Propan e Ferrellga s On e LibertyPlaz a Liberty , M O 6406 8 Sectio n 1 : Emergenc yInformatio n 2 4 Hou r Emergenc y Numbe r Warning !

NFP A hazar d ratin g Call 1-800-424-9300 (Chemtrec ) i n cas e o f emergencie s involvin g propane . Extremely flammable compresse dgas . • Asphyxiant

i n hig hconcentrations . • Skin contac t

wit hliqui dcause s bum s similar t o frostbite . • Ethy l mercaptan use da s awarnin g agent ma y no t b e entirel y effectiv e i n al l situations . Rea dth e warning s i n sectio n 9 . Hazar drating s ar

e in th e followin g tabl e Healt hhazard= 1 Fir e hazard" . 4 Reactivit y = 0 Where : 0 = Leas t 1 = Slight 2 = Moderat

e 3 = High 4 = Extreme Genera l MSD S Call 816-792-691 6 fo r genera l assistanc e wit

h question s about

thi s MSDS . assistanc e 

### Sectio n 2 : Hazardou s Components/Identit yinformatio n Produc t Propan e - odorize d Chemica l nam e Propan e Chemica l family Liquefie dPetroleumGa s (Paraflini c Hydrocarbons ) Hazardou s component s Propan e ma y contai n variou s percentage s o f thes e hazardou s components , dq>endin g on th e sourc e o f simply . Componen t Propan e Propylen e Butan e andheavier Ethan e Ethyl Mercapta

n (Odorant) CA S Numbe r 74-98- 6 115-107- 1 106-97- 8 74-84- 0 75-08- 1 Percentas e 8S-10 0 O-I O 0-2. 5 0 - 5 <0. 1

Materia l Dat aSafety Shee t Pag e 1

### Sectio n 3 : Healt h informatio n Purpos e Ey e contac t Ski n contac t Inhalatio n

Ingestio n Sign s an d symptom s Aggravate d medica l conditioR s Acut e toxicity dat a The healt heffects are consistent

wit h requirement s o f

th e OSHA Hazar

dCommunicatio n Standar d(2 9 CF R1910.1200) . Direc t contac t wit h liqui dpropan e ca

n result i n ey e bums . Direc t contac t wit hliqui dpropan e ca

n result i n ski n burr ^ (frostbite) . Thi s produc t

i s classifie da s asimpl e asphyxiant . Highvapor

concentration s ma

y produc e areversibl e central nervou s syste mdepressio n (anesthesia) . Highe r concentration s ma

y produc e asphyxiation . Ingestio n i s no t

likely . Ey e or skin bum s (frostbite ) a s notedpreviously . Early t o modeiate centra

l nervou s syste

mdepression ma

y b e evidence dby giddiness , headache , dizzines s andnausea . I n extreme cases , unconsciousnes s ma y occur . Asphyxiatio n ma

y b e note db

y asudde n los s o f consciousness . Deat

h ma y quickly follow . Cautio n i s recommende dfo r personne l wit

h pre-existin g centra

l nervou s systemor

chroni c respirator y diseases . Acut e toxicit y datai s not

applicabl e to thi s product . Carcinogenicit y Thi s produc t i s no t classifie da s acarcinogen . Occupationa l exposur e limit s Us e thi s tabl e to detemiin e th e allowabl e exposur e limit s fo r persoimel . OSH A PEL/TW A PEL/Ceilin g Propane : 1,00

0 PP M Butane : 80 0 PP

M Not

establishe d ACGI H TLV/TWA TLV/STE L Butane : 80 0 PP

M No t

establishe d Cardia c effect s Whil e there i s n o evidenc e tha t exposur e t o industrially acceptabl e level s o f hydrocarbon s hav e produce dcardia c effect s i n humans , anima

l studie s hav e show n tha

t inhalatio n o f

hig h vapor level s of th e component s o f

thi s produc t

hav e produce dcardia c sensitization . Suc h sensitizatio n ma

y caus e fata

l change s i

n hear t rhythms . Thi s latter

effec t wa s shown t o b e

_ , enhance db y hypoxi aor th e injection o f

adrenaline-lik

e agents . Effect s o f Laborator

y animal s expose dt o highlevel s o f propylen e for

prolonge dperiod s o f

time propylen e showedevidenc e o f effect s i n th e liver , kidnejrs , andnasa l cavity .Sectio n 4 : Emergenc yan d Firs t Ai d Procedure s Purpos e Follo w thes e procedure s i n cas e o f persona l injurie s resultin g fro

mus e o f thi s product . Ey e contac t

wit hFlus h eye s wit

hwater . Ge t

medica l attention . liqui d Ski n contac t

wit hFlus hwit

hwater . I f

frostbit e o r bu moccurs , ge t

medica l attention . liqui d Inhalatio n Ingestio n Remov e victi mto fresh air an dprovid e oxygen i f

breathin g i s difficult . See k immediat e medica l attentio n if

victi mi s no t

breathing . Giv e artificia

l respiration . No t applicabl e t o thi s product . Sectio n 5 : Physica l Dat a Physica l propertie s Refe r t o thi s tabl e fo

r th e physica

l propeitie s o f

thi s produc t Propert y Appearanc e andodo r Boilin g point Evaporatio n rate (Buty l Acetate = 1 ) Flas hpoint Liqui dt o vapor

expansio n rati o Molecula r weight Solubilit y i n water Specific };ravit

y (liquid ) Specific gravit

y (vapor) Vapo r pressure (maximum) Valu e Colorles s gas , liqui dunder pressure . Mercapta n "rotte n tBK$ " odo r -4 4 degree s F . < 1 (diffuse s readily ) -15 6 degree s F . 1:27 0 44.09 6 Slight 0.500-0.51 0 (Water

=1 ) l.S2(Air=l ) 20 8 PSIG( ^ 10

0 degree s F . Sectio n 6 : Fir e an d Explosio n Hazard s Flammabilit y limit e Ignitio n

. " temperatur e Extinguishin g medi a Flammabilit y limit s b y volume i n air . • Lowe r 2.1 5 percent • Uppe r 9. 6 percent Aut o Ignitio n temperature i s 94 0 degrees , F . Allo w produc t

to bu mif soiuc e canno t

b e shut of f safely . • Clas s B- C o r

A-B- C dr y chemica l or halo n extinguisher s ca

n b e use do n smal l fires . • Apply water

fro masaf e distanc e t o coo l containers , surroundin g equipment , an d structures . ConUiuui do n nex t pag e

Materia l Dat aSafety Shee t Pag e 3Sectio n 6 : Fir e an d Explosio n Hazards , Continued Specia l fir e fightin g procedure s an d precaution s Extremely flammable . Container s ma y explode if

no t sufficiently coole dwit

h water spray . Evacuate surroundin g are ao f unprotecte dpersonne l an

disolate . D o no t

enter confinedfir

e spac e withou t

fiii l bunker gea r (helmet wit h fac e shield , bunker

coats , gloves , andrubbe

r boots ) an dapositiv e pressur

e NIOS H approve dsel f

containe dbreathin g apparatus . 

### Section? : Reactivit y Stabilit y anf

) hazardou s polymerizatio n Condition s an d material s t o avoi d Hazardou s decompositio n product s Thi s produc t i s stable . Hazardou s polymerizatio n wil l not occin: . Avoi dheat , sparks , flam

e an dcontac t witli stron g oxidizin g agents . Avoi dbuildup s o f stati c electricity . • Prevent vapor accumulation . Carbo n monoxide andunidentifiedorgani c product s ma y b e formeddurin g combustion . Sectio n 8 : Employe e Protectio n Respirator y protectio n Protectiv e clothin g Additiona l protectiv e measure s Us e aNIOS H approve drespirator a s require dwhe

n airfoo mexposur

e limit s are exceeded . • I n accordwit

h2 9 CF R1910.134 , us e eithe r

an atmosphere supplyin g respirato r or a n ai r purifyin g respirato r

fo r organi c vapors . Avoi dliqui dcontac t

wit heye s o r skin . • Wea r safet y glasse s o

r goggle s a s appropriate . • Wea r protectiv e clothin g a s appropriate . L's e explosion-proo f

ventilatio n a s require dt

o contro l vapor

concentrations . Sectio n 9 : Precaution s Fo rSaf e Handlin g an d Us e Release , spil l o r lea k procedure s Warning ! Extremely flammable .

• Eliminate source s o f

ignition . • Isolate hazardare aan

ddeny entr

y t o unnecessar

y or unprotecte dpersonnel . • Sta y upwin dandkee

p ou t o f lo w areas . • Notif y loca l fir e departmen t • Dispers e vapo r

cloud s wit

h water spray . • Shut of f sourc e o f fea k only if i t ca n b e done safely . Continue do n next pag eSectio n 9 : Precaution s Fo rSaf e Handlin g an d Use , Continued Trainin g Handlin g an d storin g

DO T cylinder s

Specia l precaution s Propan e odorizatio n Trai n al l personnel involve di n handlin g propan e in proper handlin g an doperatin g procedures . • Document

al l training . Handl e an dstor e propane in accordanc e wit h NFP A 5 8 andlocal fir

e codes . • Keep container s awa

y firo mheat source s o r temperature s exceedin g 13 0 degree s F . • D o no t dro p or roll an y container . • Stor e an dtranspor t container s wit

hrelie f valve s i n vapor

space . • Kee p all containe

r valve s close dwhen no t

i n use . • Keep protectiv e cap s (i f

applicable ) on container s whe n no t i n use . Take thes e precaution s when usin g DO T cylinders . • Periodically inspect

an drequalif y DO T cylinder s i

n accordanc e wit

h DO T an dNFP A 5 8 codes . • Stor e an dus e cylinder s wit

hvalve s of

f an dth e relief

valve s in th e container

vapor space . • Shu t all valve s an

dfollow recommende dprocedure s befor e exchangin g cylinders . Containers , eve

n thos e tha

t hav e been emptied , ca

n contain explosiv e vapors . • D o no t cut , drill , grind , wel do r

perfor msimila r operation s o n o r

near containers . Warning ! An

y smell o f odorant , even afain

t one , ma y indicate adangerou s situation . Ethyl mercapta

n i s th e preferre dwarnin g agent fo r propane . Althoug h ethy l mercapta n ha s excellent

warnin g properties , "I t

i s recognize dtha

t n o odorant

wil l b e completely effectiv e a s awarning agent i n ever y circumstance " (NFP

A 5 8 A-1-4.1,199 2 edition) . Instance s i n whic hodorant s ma y los e their

effectiveites s include , bu t are not limitedto : • Odo r ma y fad e du e to chemical oxidatio n i n improperly prepare dne w tank s an dcyhnder s or fh> mlust , air . an

dwater i n use dcontainer s tha

t hav e bee n allowe dt o standopen to th e atmosphere . • Odo r ma y b e absorbe dandadsorbe dby th e wall s o f container s anddistributio n systems . • Odor i n th e ga s escapin g fromundergroun dleak s ma y b e absorbe db y certai n type s o f soils . " Effectivenes s o

f the odorant

ma y b e reducedb y coldtemperatures . • Other odors , suc ha s fro

mcookin g or

fro mamust y basement , nuiy mas k

o r cove r u p th e mercapta n odo r i n propane . • Exposur

e t o the mercapta

n odo r o f propane fo

r extende dperiod s o f

tim e ma y affec t a person' s abilit

y to detec t th e odoran t • Physica l disabilitie s o

r th e us e o f

alcohol , tobacco , o

r dmg s ma y decreas e aperson' s abilit y to detec t th e odorant . Sectio n 10 : Transportatio n Requirement s DO T shippin g nam e DO T classificatio n Othe r DO T requirement s LiquefiedPetroleumGa s

Divisio n 2. 1 (Flammabl e Gas ) U N 1075 , Hazardou s Material s Guide Numbe r 115 .

Materia l Dat aSafet y Shee t Pag e 5

### Sectio n 11 : Othe rRegulator yControl s EPA/TSC A EP A Hazar d Classificatio n Ozon e depletin g substance s RCR A Informatio n

Stat e regulator y informatio n Th e component s of thi s produc t

are liste do n th e EPA/TSCA inventor y o f chemical substances . Thi s produc t

i s classifiedb y 4 0 CF

R37 2 (SAR

A Sectio n 313 ) as : Acnt e Hazar d XXX Chroni c Hazar d Fir e Hazar d XX X Pressur e Hazar d

XX X Reactiv e Hazar d Thi s produc t

doe s no t contain , no

r wa s i t directl y manufacturedwith ; an y clas s I o r

clas s II ozon e depletin g substances . Thi s produc t

i s no t subject to 40CF R268.3 0 ba

n o n th e disposa

l o f hazardou s wastes . I f thi s produc t

become s awast

e material , it

woul db e a

n ignitabl e hazardou s waste , havin g awaste cod e numbe

r DOOOl . Refe r t o lates t EP A o r state regulation s regardin g proper disposal . Under

EPA-RCRA , container s ar e considere dhazardou s tmles s depressurize dto a pressure approachin g atmospheric . Depressuriz e container s a t acontrolle drat e to aflare . Th e ingredient s i n thi s produc t are specifically liste db y individua l states ; other

produc t specifi c healt

h an dsafet y datai n other section s o f

th e MSD S ma

y als o b e applicabl e fo

r state requirements . • Contac t th e appropriate agenc y i

n you r state fo r detail s on your

regulator y requirements . 

### Sectio n 12 : Supplementa l Informatio n Disclaime r

o f Th e informatio n i

n thi s MSD S wa s obtaine dfro msource s whic

h we believ e are reliable . liabilit y However , th e informatio n i s provide dwithou t an y warranty , expres s o r Implied , regardin g it s correctness . Th e condition s o r

method s of

handling , storage , us e anddisposa l o f thi s produc t

ar e beyond our contro l andma

y b e beyon

dou r knowledge . Fo r

thi s an dothe r

reasons , w e d o no t assum e responsibility an dexpressl y diaclai mliability for loss , damage , o r

expense arisin g ou t

o f o r i n an y wa

y connecte dwit

hth e handling , storage , use , o r disposa l o

f thi s product . Issu e inforir>atio n Thi s MSD S supersede s all previou s editions .

• Issue dNovember , 199 9 • Issue dby ; C.C . Slisz , Manage r o f Safet y Ferrellga s On e Libert

y Plaz a Liberty , M

O 6406 8

# EXHIBI T 6?*;irr^4'*''*^'*y#^**^'*^-> V • ' 

# MSD S

Revise d 07 Au g 200

6 Printe d 0 9 Ap r200 7 

## BUTAN E FUE L 09701-712 C MATERIA L IDENTIFICATIO N Markete r Phon e Numbe r Transportatio n Emergency : Chemica l Trad e Name , synonyms : ChemJca f Family ; Chemica l Formula : 

### COMPONENT S Materia l isobutan e (volume ) n-butan e (volume ) Colema n Co. , Inc . 2111-RE . 37 * Stree t Wichita . KS 6721 9 316-832-254 6 CHEMTRE C 800-424-930 0 A-2 8 Petroleu m Hydrocarbon , mixtur e CA S Numbe r 75-28- 5 106-97- 8 Alkan e 

### HMI S Hazar d Class : Healt h = 1 Flammabilit

y= 4 Reactivit y= 0 '

PEL/TLV , Sourc e Percen t No t Establishe d 78-8 3 80 0 ppm , OSH A18-2 2 

### PHYSICA L DAT A Boilin g Poin t Pressure i n ca n a t 70'' F appox . ICQ^ F Approx . 2 8 psj g Vapo rDensit

y(Air=1 ) SSIlibilit yi n wate r Specifi cGravit

y(Water^l ) Percen t Volatil e b

yweigh t Evaporatio n Rat e (BuAce=1 ) Greate rtha n 1. 0 Les s tha n 0.1 % B

yWeigh t @ 70 F Les s tha n 1. 0 100 % Flas h evaporate s Appearanc e an d odo r Liquefie d compresse d gas , flash evaporate s at roo m temperature whe n release d fro m can , cobrles s ga s wit h stron g mercapta n (skunk-like ) odo rdu e t o stenchin g agen t adde d t o ga s fo rlea k detectio n purposes .

## HAZARDOU S REACTIVIT Y Stabilit y Condition s t o avoi d Stabl e Contac t wit h sparks , ope n flam e o ran ysourc e o f ignition . Hazardou s Polymerizatio n Wil l no t occu r Hazardou s Decompositk> n Product s Ma yproduc e cartx) n monoxid e whe n oxidize d wK h a deficienc yo f oxygen . 

## FIR E AN D EXPLOSIO N DAT A Flammabilit yCategory Flas h Poin t Extremel yFlammabl e (Referenc e - Consume rProduc t Commission , flam e projectio n tes t fo raeroso l produces , pe r1 6 C W 1500.45 ) Les s than-117"' F Flammabl e Limit s LEL%1. 8 UEL % 8. 4 Extinguishin g Medi a

Unusua l Fir e an d Explosio n Hazard s Specia l Fir e Fightin g Procedure s I f feasible , sto p fk> wo f gas . Us e wate rt o coo l fire-expose d cans , sun-ounding s an d t o protec t personne l workin g o n shu t off . Wate rspray , dr ypowde ro r cartxs n dioxki e ca n b e directe d a t flame area , i f ga s flowcanno t b e stopped , t o reduc e fire intensity . D O NO T COMPLETEL Y EXTINGUIS H FLAM E UNLES S GA S FLO W I S SHU T OFF ! Avoi d possibl e burstin g o f aeroso l can . D o no t stor e wher e temperatur e ma y excee d 120''F . D o no t punctur e o rincinerate . Avoi d possibl e accumulation s o f vapor s a t floorlevel , a s vapo ri s heavie rtha n air . Self-containe d breathin g apparatu s an d protectiv e clothin g shoul d b e wor n i n fightin g fires involvin g chemicals . Thi s produc t i s extremel yflammable a t al l times . Kee p awa yfro m an ysource s o f inadverten t ignition , includin g heat , fire, sparks , o rflame. 

## HEALT H HAZAR D INFORMATIO N Suggeste d Exposur e Guidelin e Primar yRout e o f Exposur e Inhalatio n

Ski n Contac t Ey e Contac t Carcinogenicit y 80 0 pp m Inhalation , ski n contac t Thi s produc t i s a n asphyxiat e an d ma yexhibi t anestheti c propertie s a t ver yhig h concentratkHis . Initia l symptom s o f exposur e a t thes e concentration s ar e disorientatbn , lac k o f coordination , rapk l respiration , headache , an d nausea . Continue d exposur e ma yresul t i n unconsciousness , coma , an d an d possibl e death . Contac t wit h liquefie d ga s o rga s unde rpressur e ma ycaus e ski n bum s an d frostbite . Th e ga s phas e i s no t expecte d t o caus e ey e irritation . However , th e liqui d ca n caus e frostbit e an d burns . Thi s hazar d evaluatio n i s base d o n th e dat a fro m simila rmaterials . Non e o f th e component s i n thi s materia l ar e liste d bylARC , NTP , OSHA . o r ACGI H a s a carcinogen . 

# z

## FIRS

T AI D Inhalatio n Remov e t o fres h air . Artificia l respiration , consul t physician . Ski n Contact . Eye Contac t Ingestio n Treat burne d o rfrostbitte n ski n b yflushing o rimmersin g affecte d areas i n lukewam i water . I f ski n i s no t burned , kee p war m an d stimulat e circulatio n wit h massage . See k

immediat e medica l attention . Flus h eye s wel l wit h runnin g wate rfo r1 5 minutes . NA , produc

t i s gaseou s a t norma l temperature an d pressure , exhibite d n o cardia c o rpulmonar yfiinctio n abnormalities . 

## SPIL L O R LEA KPROCEDURE S Step s t o b e take n i n cas e materia l i s release d o rspille d Wast e disposa l metho d Protec t fro m an yignitio n source , kee p awa yfro m heat , fire, sparks , o rflame. Ventilat e are a well . Avoi d accumulatio n o f vapo ra t lo w levels . Dispos e o f i n accordanc e wit h al l local , stat e an d federa l regulations . D o not punctur e o rincinerate . 

## SPECIA L PROTECTIO N INFORMATIO N Respiratio n Protectio n I f TL V i s exceede d wea rNIOSH-approve d self-containe d breathin g devic e o rrespirator . Ventilatio n Must b e adequat e t o maintai n vapor s a t les s tha n 80 0 ppm , particularl ya t floorleve l a s vapor s ar e heavie rtha n air . Protectiv e glove s Ey e Protectio n Non e neede d fo rnorma l use . Solvent-resistan t rubt)e rtyp e recommended i f prolonge d exposur e expected . Safet yglasse s o rgoggle s recommende d 

## HANDLIN G AN D STORAG E PRECAUTION S Precaution s t o b e take n i n handlin g an d storag e D o not store wher e temperatur e ma yexcee d 120°F . Store awa yft"om, fire, sparks , o rflame . Stor e i n suitabl e are a fo rhazardou s material s storage . 

## SPECIA L PRECAUTION S Precaution s fo rusag e D o not us e nea rheat , fire, flame o rsparks . Avoi d excessiv e breathin g o f vapor . D o no t spra yi n directio n o f body . Us e onl y i n accordanc e wit h directions . Notice : Thi s dat a represent s typica l values , no t produc t specifications . N o guarante e o f accurac yo r completenes s i s made . N o re^onsibilit yi s assume d fo ran ykin d o f los s o rdamage s arisin g fro m us e o f thi s data . 

## En d o f MSD S

# EXHIBI T 7

### MATERIA LSAFET Y DAT A SHEE T

Thi s for mma y b e use dt o comply wit

hOSHA' s Hazar

d Communication Standard , 2 9 CF R1910.1200 . To b e vali dal l information requiredb

y 1910.1200(g ) o

f the Standar

dmus t appea r o n thi s form . Consul

t th e Standar

dfo r specific requirements . Note : Blan k space s ar e no t permitted . I

f an y ite mi s no t applicable , o

r no information i s available , the spac e mus t b e markedt

o indicat e that . Quic

k Nam e Identifier/Common Name : 

### Butan e Liglite r UPC/SKU:M000 1 

### SECTIO N 1 - CHEMICA LPRODUC T AND COMPAN Y IDENTIFICATIO N ManufacturedFor : Candle Lam

p Compan y 179 9 Rusti n Avenu e Riverside , C

A 92507 2 4 Hou r Emergency Telephone Number : 1-800-255-392

4 o r 1-813-977-366 8 (Collect

Call s Accepted) Information Telephone Number : 1 -95 1 -682-9600 Dat e Prepared : 12/6/0 6 Genera l or Generi c Name : Butane , Propane 

### SECTIO N 2

- COMPOSITION/INFORMATIO N ON INGREDIENT S Trad e Name Butane (n-Butane ) Propane (n-Propane ) CAS # 106-97- 8 74-98- 6 Concentratio n

(% ) 8 0 2 0 OSHA PE L

N/ A 1,00 0 PP M ACGI H TLV

80 0 PP M 100 0 PP M Otiie r

Limit s Recommende d NIOSH-800 PP

M NIOSH-1,00 0 PP

M 

### SECTIO N 3 - HAZARD S IDENTIFICATIO N Route(s ) o f

Entr y Healt h Hazard s (Acut

e an dChronic ) Carcinogenicit

y Sign s an dSymptom s o f Exposur e Medica l Condition s Generally Aggravatedb

y Exposur e Inhalation , ski n and/or ingestion . Extrem e flammability ; vapor

cloud s easil

y ignited ; simpl e asphyxiation ; frostbit e t o ski n an deye s fromcontac t

wit h liqui dgases . None Drowsines s o

r dizzines s possibl e a

t low concentration s o f

th e gases . Personnel wit

hpre-existin g chroni c respirator y disease s shoul davoi dexposur e t o thes e gases . 

### SECTIO N 4 - FIRS T AID MEASURE S Emergency an

dFirs t Ai d Procedure s Remov e affecte dpersonne l fromcontaminate dare at o freshair . Fo

r respirator y distress , giv e air , oxygen , an

dadministe

r cardio-pulmonar

y resuscitatio n a s needed . Fo r bum s t o eye , remove contac t lense s an dimmediatel

y flush wit

hwate r fo r a t leas t 1 5 minute . Froze

n ski n shouldb e floode

dwit h war mwate r (105-115°F) . 

### SECTIO N 5 - FIR E FIGHT l Flammable Limit s (% by volume ) Flash Poin t Fir e Extinguishing Medi a "Spe^ya l fir e Fightin g Procedure s Urmsua l Fir e an dExplosio n Hazard s NFP A Rating : 0-Least , 1-Slight, 2-Moderate , 3-High , 4-Extreme HMIS Rating : 0-Least , 1-Slight, 2-Moderate , 3-High , 4-Extreme 

### N GMEASURE S LEL1. 8 UE

L8. 4 -120°F(O.C. ) Carbo n dioxide , dr

y chemical , fog or

wate r spray . Confin e fir e to immediat

e area . Dispers e liquido

r vapor if leaks occur . Wil l for mexplosiv e mixture s fro

mair . Vapor s fromliquefiedgas initially heavie r tha n ai r an dsprea dalon g ground . Vapor s ma y travel t o ignition sourc e an

dflas h back . Healt h- I , Flammabilit

y - 4 , Reactivit

y - 0 Healt h- 0 , Flammabilit

y - 4 , Reactivit

y - 0 

### SECTIO N 6 - ACCIDENTA L RELEAS E MEASURE S I n cas e o f Spil l | Remove all ignition sources . Ventilate are aof lea k t o dispers e the gas . MSD S l.D . #2009- 3 CL C - Butan e Lighte r RE V 1/02/0 9 Pag e 1 of 3

### SECTIO N 7 - HANDLIN G AN D STORAG E Handling & Storag e Stor

e i n acool , dr

y place . Kee

p awa y fro mheat , spark s an

dflame . Do no t

stor e i n temperature s exceeding 120° F or i n direc t sunlight . Othe r Precaution s Do not

stor e wid i stron g acid s (e.g . hydrochlori c acid , sulphuri c acid) , stron g base s (e.g . sodiu mhydroxide , potassiumhydroxide) , oxidizin g agent s (e.g . perchlorates , peroxides , permanganates , chlorates , nitrates , chlorine , fluorine , bromine ) an

dmixture s o f

nickel carbony l an

doxygen . 

### SECTIO N 8 - EXPOSURE CONTROL S / PERSONALPROTECTIO N Respirator y Protection Ventilatio n Protectiv e Glove s Eye Protectio n Othe r Protectiv e Clothing an

d Equipmen t Work / Hygieni c Practice s Not requiredfo

r norma l use . Fo r excessiv e ga s concentration s us e NIOSH/MSH A approvedSCBA . Loca l Exhaust : Maintain level belo w .2 5 LEL . Mechanica l (General) : Maintain leve

l belo w .2 5 LE

L Rubbe r gloves . ANS I approvedchemica

l worker s goggles . No t required . O n ski n contact wit hbutane , immediatel

y immers e th e affectedbod y par t i n war mwater . 

### SECTIO N 9 - PHYSICA LDAT A AN D CHEMICA L PROPERTIE S Boiling Poin

t Vapo r Pressur e (m mHg) Vapo r Densit y (Air = 1 ) Solubilit y i n Wate r Appearanc e an

dOdo r Specific Gravit

y (H2 O = I ) Melting Poin

t Evaporation Rat

e (Butyl Acetat

e = 1 ) I0.9° F

1823 2 @ 77°C , I7c c per

lOOOc c o f wate r Clear , Odorles s 0.5 6 N/ A > 1 

### 10 . STABILIT Y AN

D REACTIVIT Y Stabilit y Condition s to Avoid Incompatibilit

y (Material s t

o Avoid O Hazardou s Decomposition or Byproduct s Hazardou s Polymerization Stable . Heat , sparks , ope

n flame . Strong acids , alkali s an

doxidizer s Combustion ma

y produc e carbon monoxide . Wil l no t occur . 

### I L TOXICOLOGICA L INFORMATIO N - N/ A 12 . ECOLOGICA LINFORMATIO N - N/ A 13 . DISPOSA LINFORMATIO N Wast e Disposa l Method Discharg e a t moderat e rate i n wel l ventilate dare awithout ignition sources .

MSD S l.D . #2009- 3 CL C - Butane Lighte

r RE V 1/02/0 9 Pag e 2 o f 3

### 14 . TRANSPORTATIO N

WHMIS Classification Departmen

t o f Transportatio n A-CompressedGa s B- 1 -Flammable Gas

Prope r shipping name : Lighters , containin g flammable ga s Hazar dClassificatiori : DO T 2. 1 Identification Number : U

N 105 7 

### 15 . REGULATOR Y INFORMATIO N Respirato r Information I

n the absenc e of

loca l approva l authorities/standards , follo w U S NIOSH/MSHA , U

K BSI regulations . Respirator s mus t mee t either the above o

r loca l standar dfo r approve drespirators . 

### 16 . OTHE RINFORMATIO N Th e above datai s base do n test s andexperience , whic hCandl e Lam

p Compan y believe s reliabl e andi s supplie dfo r informationa

l purpose s only . The Candl e Lam p Company' s product s are intende dfo r sale t o industria l an dcommercia

l customers . Candle Lam p Compan y request s tha

t customer s inspect

an dtes t our product s befor

e us e an dsatisf y themselve s a s to content s an d suitability . Som

e information presente dan dconclusion s draw n herei n ma y b e fro msource s other

tha n direc t tes t dat ao n the substanc e itself

. Candle Lam

p Compan y disclaim s an

y liabilit y fo r daniag e o r injur y whic h result s fromth e us e o f

the above data , an dnothing containedtherei n shal l constitut e aguarantee , warrant

y (includin g warrant

y o r merchantability ) representation (including freedo

mfrompatent

liability ) b

y the Candle Lam

p Compan y wit h respec t t o data , the produc t

described , o

r thei r us e fo r an y specific purpose , eve

n i f tha t purpos e i s know

n to Candl e Lam

p Company .

MSDS l.D . #2009- 3 CL C Butan e Lighte r RE V 1/02/0 9 Page 3 of 3

# EXHIBI T 8

## U.S . DEPARTMEN T O F TRANSPORTATIO N FEDERA L AVIATIO N ADMINISTRATIO N

Nationa l Polic

y 

## ORDE R

2150.3 B Effective Date ; 10/01/0 7 SUBJ : FA

A Complianc e an d Enforcemen t Progra m Tlii s order

contain s policies , procedures , an dguideline s fo r th e Federa l Aviatio n Administration' s complianc e an denforcement program . Th e orde r

als o articulate s th e FAA' s philosoph y for usin g variou s remedies , includin g education , correctiv e action , informal action , remedial training , administrativ e action , an dlegal enforcemen t action , to addres s noncomplianc e wit h statutory an d regulatory requirement s enforce db y th e FAA . I t provide s fo

r th e publi c awritte n statemen t o f th e Administrator' s polic y guidanc e for imposin g sanction s fo

r violation s o f

suc h requirements . Th e orde r i s use da t al l level s b y agenc y personne l wh o ar e engage di n th e investigation , reporting , an dprocessin g o f

enforcement

actions . It

applie s t o al l office s wit

h regulatory responsibilities . Thi s revisio n o f

th e orde r comprehensivel y update s policies , procedures , guidance , an dassignment s o f responsibility . It

reorganize s th e orde r

in amanne r

more useful for

agenc y persoime l an di s availabl e electronicall y t o agenc y personne l an dth e public . Th e revisio n amend s agenc y sanctio n guidanc e to confor mt o statutory change s resultin g fromVisio n 1 OOCentur y o f Aviatio n Reauthorizatio n Ac t an d incorporate s guidanc e into th e agency' s complianc e an denforcemen t progra morder

o n policie s an d program s that

hav e develope dsinc e th e las t comprehensiv e orde r

revisio n in 1988 . Thos e includ e policie s relatin g to th e FAA' s exercis e o f it s authority to administrativel y asses s civi l penaltie s an d guidanc e o n th e agency' s voluntary safet y programs . A workgrou p o f

agenc y personne l fromth e fieldan dheadquarter s with extensiv e experienc e in statutory an dregulatory enforcemen t reviewe dth e agency' s policie s an dprogram s i n thi s are at o produc e thi s comprehensiv e revisio n o f th e agenc y order

on it s complianc e an denforcement program . 

# / m Rober t A . Sturg i Actin g Admin i

Distribution : A-W-1;A- W(AT/PS/SM)-2;A- W(PP/AM/SF / Initiate dBy : AGC-30 0 GCIFS/IA/VS)-3;A-XY

Z ( 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-0 ; A- FAF/FA T/FIA-0( L TD);ZFS-32 5

### 10/01/0 7 2150.3 B b . AV RSupport

Centra l 9- 7 c . Use r Comment s 9- 7 Appendixe s . Appendi x A : Sampl e Document s Appendi x B : Tabl e o f

Sanction s for

Al l Enforcemen t

Programs , Excep t

Hazardou s Material s Appendi x C : Sanctio n Guidance—Hazardou s Material s Enforcemen t Appendi x D : Selecte dStatute s Appendi x E : Example s Appendi x F : Enforcemen t Decisio n Too l Appendi x G : FA A Form2150-5 , Code s for Block s 19-2 4

X V

### 10/01/0 7 2150.3 B Appendi x C . Sanctio n Guidanc e Hazardou s Material s Enforcemen t 1 . Background . a . Legislation . Congres s determine dtha t th e unregulate dtransportatio n o f hazardou s material s constitute s athrea t t o publi c safety in al l form s o f transportation . Congres s addresse d that threat i n 197 4 b y enactin g th e Hazardou s Material s Transportatio n Ac t (HMTA) . B y 1990 , Congres s determine dtha t effectiv e enforcemen t

o f th e HMT A require dmor e sever e action , an d enacte dth e Hazardou s Material s Transportatio n Unifor mSafety Ac t o f 1990 , Publi c La w No . 101-615 , 199 0 U.S . Cod e Congress . & Admin . New s 10 4 Stat . 4605 . Th e primar y effec t o f thi s 199 0 revisio n o f

th e HMT A wa s t o rais e th e maximu mcivi l penalt y for violatio n o f

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

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

th e recodificatio n create dn o substantiv e chang e t o th e earlie r formo f th e statute . In 2005 , th e Congres s enacte dan dth e Presiden t signe dth e Safe , Accountable , Flexible , Efficient Transportatio n Equit y Act : A Legac y for User s (SAFETE A - LU) , Publi c La w 109-59 , Augus t 10 , 2005 . Tha t

legislation , amon g othe r things , modifie dth e limitation s o n civi l penaltie s that

ma y b e assesse dfor

violation s o f

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

monetar y civi l penaltie s for inflatio n i n orde r

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

th e CFR , subpar t

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

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

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

substantia l destructio n o f property . Th e minimu mcivi l penalt y tha t may b e assesse dfo r

atrainin g violatio n i s $450 . c . Enforcemen t

Responsibility . Withi n th e Departmen t o f Transportation , th e Pipelin e & Hazardou s Material s Safety Program s Administratio n (PHMSA) , create db y th e Norma n Y . Minet aResearc h an dSpecia l Program s Improvemen t Ac t i n 2004 , adopt s th e Hazardou s Material s Regulation s (HMR) , whic h gover n th e transportatio n o f hazardou s material s (hazmat) . Th e FAA , unde r

delegate dauthority , enforce s th e Federa l hazardou s materia l transportatio n law an dth e HMR , withparticula r emphasi s o n shipmen t

o f hazma t b y air . 4 9 C.F.R . § 1.47(j) .



### 0- 1

### 10/01/0 7 2150.3 B d . Violatio n o f

th e HMRs . Th e HM Rse t fort h regulation s for

th e transportatio n o f

hazmat . A knowin g violatio n o f

th e statut e o r

o f th e HM Rcan suppor t

th e assessmen t

o f acivi l penalt y betwee n $25 0 an d$100,000 . A perso n act s knowingl y whe n th e perso n ha s actua l knowledg e o f th e fact s givin g ris e t o th e violation ; o r areasonabl e perso n actin g i n th e circumstance s an d exercisin g reasonabl e car e woul dhav e that knowledge . 4 9 U.S.C . § 5123(a)(1)(A) . Th e civi l penaltie s authorize dunde r th e statut e appl y t o eac h violatio n o f an y regulatio n se t

fort h i n th e HMR ; the y als o appl y t o th e violatio n o f a n order , specia l permit , o r approva l issue db y th e Department . Moreover , unde r th e statute , eac h continuin g violatio n o f th e HM Rca n constitut e a separat e violatio n for

eac hda y aviolatio n continues . In sectio n 512 4 o f th e statute , Congres s prescribe dcrimina l penaltie s for awillfu l violatio n o f

th e Federa l hazardou s materia l transportatio n law or

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

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

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

Statutor y Criteria . A s agenera l matter , asanctio n shoul db e impose d tha t i s sufficientl y deterren t

bu t no t excessive , i n orde r

t o compl y wit h th e underlyin g purpose s o f th e Federa l hazardou s materia l transportatio n law an dHMR . I n determinin g th e sanctio n t o b e assessed , penalt y criteri ase t fort h i n 4 9 U.S.C . § 512 3 mus t b e considered . Thes e criteri aar e th e nature , circumstances , extent , an dgravit y o f th e violation ; th e degre e o f culpabilit y o f

th e violator ; th e histor y o f

pas t violation s (i f

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

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

maximu mportio n o f

th e sanctio n range . Th e Matri x recognize s tha t an eve n highe r

penalt y coul db e warrante dfor asignificantl y aggravate dcase , consisten t with th e increase dmaximu mpenalt y o f $50,00 0 impose db y SAFETEA-LU . In addition , th e Matri x reflect s th e potentia l $100,00 0 penalty , als o impose db y SAFETEA-LU , for aviolatio n tha t resuh s i n death , seriou s illness , o r sever e injury t o an y person , o r substantia l destructio n o f property . 3 . Consistenc y o f

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

consistenc y s o tha t

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

b e evaluate do n it s ow n facts . A sanctio n ma y diffe r fro mth e specifie dMatri x range s whe n th e fact s an dcircumstance s o f acas e suppor t

eithe r agreate r o r lesse r penalty . Whe n aspecia l agen t

believe s tha t

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

with lega l counse l befor e fiirther processin g o f

th e Enforcemen t

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

### 0- 2

### 10/01/0 7 2150.3 8

les s tha n tha t

provide di n th e Matrix . I n eithe r situation , th e basi s for

th e decisio n t o g o outsid e th e range s shoul db e explaine di n detail . 4 . Par t 1.7 5 Violations . Violation s o f par t 17 5 o f th e HMR , whic h establis h particula r requirement s fo r

ai r carrier s an dothe r

aircraf t operators , ar e containe di n aseparat e matrix . However , suc h operator s ofte n offe r hazardou s material s for

ai r transportation , a s wel l a s accep t an dtranspor t

them . Fo r

thi s reason , suc h operator s may b e liabl e for violation s both a s a busines s entit y withi n th e Hazardou s Material s Sanctio n Guidanc e Matrix , a s well a s for specifi c ai r carrie r violations . 5 . Violatio n Committe db y Smal l Busines s Entity . T o mee t statistics-gatherin g requirements , th e investigatin g specia l agen t mus t determin e whethe r

th e allege dviolato r

qualifie s a s asmal l busines s concer n unde r

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

o f 199 6 (SBREFA) . Fo r

a n extensiv e discussio n o f ho w t o mak e tha t

determination , se e Part

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

investigatin g specia l agent s ar e unabl e t o obtai n independentl y informatio n t o determin e whethe r a n allege dviolato r

i s asmal l busines s concern , the y reques t suc h informatio n i n th e lette r o f investigation . Se e sampl e lette r o f investigatio n i n Figur e A- 1 o f Appendi x A . Becaus e violation s o f Titl e 4 9 o f

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

ma y nee dt o refe r

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

siz e limi t

for a n allege dviolator . a . Enforcemen t

Polic y unde r

SBREFA . Chapte r

7 , Paragrap h 10 , o f

thi s orde r

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

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

th e reductio n o r

waive r o f civi l penaltie s for

statutor y o r

regulator y violation s b y smal l entities , th e FAA' s polic y may contai n certai n conditions . Thos e condition s may allo w for excludin g fro msuc h areductio n o r waiver : asmal l entit y tha t ha s bee n subjec t

t o multipl e enforcemen t

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

h attemp t t o compl y wit h th e requirements , an da violatio n tha t

pose s aseriou s health , safety o r environmenta l threat . Wit h respec t t o ai r carrier s an dothe r aircraf t operators , th e FA A take s int o consideratio n compan y siz e i n determinin g th e appropriat e amoun t

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

fo r Complaint s b y Smal l Busines s Concerns . Eac h FA A employe e wh o conduct s an inspectio n o f asmal l busines s concer n tha t i s regulate db y th e FA A provide s th e smal l busines s concer n with an informatio n sheet . Th e informatio n shee t inform s that

entit y tha t it ma y submi t

complaint s o r

comment s regardin g unfai r FA A regulator y enforcemen t t o th e Nationa l Ombudsman . FA A specia l agent s ma y obtai n acop y o f th e informatio n shee t

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

fro mth e AS H regiona l offices . c . Reductio n o r

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

waiv e th e penalt y o f

an allege dviolato r

solel y becaus e it

i s asmal l busines s entity . Thi s i s becaus e aviolatio n o f th e hazma t statute s o r

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

(an d ma y involv e on e o f

th e othe r reason s for

exclusion) . Accordingly , th e FA A wil l usuall y reduc e 

### 0- 3

### 10/01/0 7 2150.3 B

o r waiv e apenalt y onl y i f

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

Action s Othe r

tha n Civi l Penalties . Th e FA A may , i n limite d circumstances , announc e policie s t o provid e fo r hazma t enforcemen t

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

is , administrativ e actions . Suc h policie s may appl y t o smal l busines s entitie s o r t o others , an dwil l b e announce da s Complianc e an dEnforcemen t Bulletin s i n thi s order . 6 . Us e o f

th e Sanctio n Guidance . Thi s guidanc e provide s agenc y persoime l wit h asystemati c way t o evaluat e acas e an darriv e a t a n appropriat e penalty , considerin g al l th e relevan t statutory criteri aincludin g mitigatin g an daggravatin g circumstances , i f any . Statutor y consideration s hav e bee n factore dint o th e variou s range s withi n th e Sanctio n Guidanc e Matrix . Determinatio n o f wher e asanctio n lie s withi n thes e range s i s aide db y aserie s o f weightin g question s tha t prob e th e variou s aggravatin g an dmitigatin g factor s that ma y exis t

i n acase . a . Weigh t

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

question s t o determin e th e aggregat e weigh t o f th e case . Th e aggregat e weigh t o f th e cas e help s determin e th e sanctio n amoun t for eac h violatio n grou p withi n th e establishe d range s o f th e Matrix . b . Determinatio n o f

Sanction . It

i s importan t

t o not e tha t

determinatio n o f

wher e th e sanctio n lie s withi n th e Matri x i s no t th e resul t

o f amathematica l computation . Evaluatio n o f th e cas e i s base do n th e totalit y o f th e fact s an dcircumstances . Generally , i f th e answe r

t o a particula r questio n represent s amor e significan t aspec t o f acase , greate r

consideratio n shoul db e give n t o tha t

answer . Fo r

example , violation s involvin g a n extremel y dangerou s substance , eve n i n minut e quantities , migh t warran t apenalt y at

th e maximu men do f

th e rang e o r

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

th e statutor y maximum) . c . Determinatio n o f

Category . Unde r

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

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

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

r example , shippin g papers ) ar e allege dt o hav e bee n violated . Base do n th e weightin g analysi s performe di n subparagraph s 8.a.-e. , an appropriat e penalt y i s assigne dfor eac h o f th e applicabl e violatio n groups . Th e penalt y amoun t for eac h relevan t

violatio n grou p i s adde dtogethe r t o reac h th e recommende dsanction . d . Othe r Relevan t

Sanctio n Factors . Unde r subparagrap h 8.g. , th e specia l agen t the n consider s othe r

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

anotic e o f

propose dcivi l penalt y whe n ther e i s adequat e reliabl e informatio n concernin g th e correctiv e action s take n b y arespondent . Correctiv e action s tha t

justif y reductio n o f

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

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### 10/01/0 7 2150.3 B

lega l requirements . Th e specia l agen t als o attempt s t o provid e informatio n concernin g th e allege dviolator' s size , financial condition , an dabilit y t o pa y arecommende dsanction . 7 . FA A Lega l Counse l Review . Whe n a n EI Ri s forwarde dt o lega l counse l for . enforcemen t action , counse l wil l giv e appropriat e consideratio n t o th e recommende dsanction . FA A lega l counse l wil l als o revie w th e factors , analysis , an ddetermination s unde r th e Hazardou s Material s Sanctio n Guidance . Th e basi s for deviatin g fromth e recommende dsanction , i f any , shoul db e explaine dto , an ddiscusse dwith , th e investigatin g specia l agent . Fina l determinatio n o f th e sanctio n amoun t

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

an dth e lega l office . 8 . Federa l Aviatio n Administratio n Hazardou s Material s Sanctio n Guidance . Thi s Sanctio n Guidanc e i s divide dint o thre e sections : cas e analysis ; utilizatio n o f th e Sanctio n Guidanc e Matri x (Matrix) ; an dconsideratio n o f othe r statutor y factors . Th e Sanctio n Guidanc e Matri x i s containe di n Figur e C- 1 an dth e Ris k Categorie s ar e containe di n Figur e C-2 . a . Cas e Analysi s (Evaluatio n o f Statutor y Assessmen t

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

aspecia l agen t

i n evaluatin g a cas e an drecommendin g asanction . I t als o assist s a n attorne y i n evaluatin g acas e file prio r t o initiation , an dafter

additiona l informatio n i s receive di n respons e t o anotic e o f propose dcivi l penalty . Th e question s revie w factor s involvin g th e nature , circumstances , exten t an dgravit y o f th e violation , th e violator' s degre e o f culpability , an dth e violator' s histor y o f prio r violations . Som e o f thes e factor s ar e alread y considere dt o som e exten t withi n th e variou s categorie s o f th e Sanctio n Guidanc e Matrix . Th e question s i n thi s sectio n provid e additiona l consideratio n o f th e statutor y factor s an dexamin e th e existenc e o f aggravatin g an dmitigatin g factor s i n acase . (2 ) Th e agen t

answer s eac hquestio n i n Sectio n I an ddetermine s i f arelativ e weigh t

o f minimum , moderate , o r

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

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

example , tha t

th e violafio n di dno t

resul t i n injur y o r

damag e i s no t

amitigatin g factor , an dshoul dno t

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

i n thi s secfio n wil l b e th e ris k categor y o f

th e materia l identifie di n Questio n (l)(a) . (3 ) In determinin g th e final aggregat e weigh t o f th e case , th e response s t o eac h o f th e question s d o no t

hav e t o b e equall y considered . Determinatio n o f whethe r th e overal l cas e shoul dhav e aminimum , moderate , o r maximu mweigh t

canno t b e determine dwit h mathematica l certainty . Generally , i f

th e answe r

t o aquestio n demonstrate s tha t th e facto r

at issu e represent s a mor e significan t

aspec t o f th e case , greate r

consideratio n i s give n t o tha t factor . Th e final aggregat e weigh t

i s base do n th e totalit y o f th e fact s an dcircumstance s o f th e case . Onc e 

### 0- 5

### 10/01/0 7 2150.3 B

determined , th e final aggregat e weigh t i s the n utilize dt o arriv e at th e recommende dsanctio n fo r eac h applicabl e violatio n grou p o n th e Sanctio n Guidanc e Matri x (See , Figur e C-1) . b. . Th e Nature , Circumstances , Extent , an dGravit y o f th e Violatio n (Factor s Concernin g th e Shipment) : (1 ) Wha t material(s ) wa s offered , transported , o r accepte dfo r

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

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

• I f th e material(s ) i s i n Categor y A , assig n aMaximu mweight . • I f th e material(s ) i s i n Categor y B , assig n aModerat e weight . • I f th e material(s ) i s i n Categor y C , assig n aMinimu mweight . Guidanc e Note : Th e categorie s i n Figur e C- 2 represen t

th e inheren t

ris k o f dange r t o ai r transportatio n pose db

y th e material . I f

ther e i s mor e tha n on e typ e o f hazardou s materia l involve di n th e shipment , us e th e hazardou s materia l in th e highes t ris k category . (2 ) Wha t quantit y o f

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

ai r transportation ?

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

Maximu mweigh t

dependin g o n th e degre e t o whic h th e limitatio n wa s exceeded . Guidanc e Example : The quantit y limitatio n fo r gasolin e o n apassenge r plan e i s 5 liter s pe r package . I f

aviolato r

offer s 3 0 liter s i n asingl e packag e o n apassenge r plane , assig n a maximu mweigh t

fo r thi s factor .

• Di dth e packag e contai n aforbidde n material ? I f yes , assig n aMaximu mweight .

• Wer e ther e multipl e package s i n th e shipment ? I f yes , conside r

aModerat e or Maximu mweight , dependin g o n th e numbe r o f package s an dtota l amoun t o f hazardou s materia l bein g transporte di n violation . Guidanc e Note : A packag e mean s apackagin g plu s it s contents . Ther e ma y b e multipl e package s i n on e shipmen t o r overpack . Multipl e package s often represen t multipl e violations . Unde r th e Sanctio n Guidance , thi s fac t i s considere da n aggravatin g circumstanc e rathe r tha n a direc t multiplie r

o f th e sanctio n fo r

eac h violation . Eac h case , however , mus t b e evaluate don it s particula r

facts . A ver

y larg e numbe r

o f package s may resul t

i n suc h a n egregiou s cas e tha t th e overal l weigh t

o f th e cas e i s s o hig h tha t

apenalt y beyon dth e maximu mpoin t i n th e rang e i s warranted . A n investigatio n wil l occasionall y revea l sufficien t evidenc e o f

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

severa l days , al l o f

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

act s o f offerin g usuall y ar e consolidate dint o on e EIRan daddresse din on e notic e 

### 0- 6

### 10/01/0 7 2150.3 B

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

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

wit h separat e ai r

waybil l o r

shippin g papers , separat e destination , and/o r othe r evidenc e establishin g i t

a s aseparat e shipment , i s ordinaril y considere da s aseparat e inciden t fo r purpose s o f

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

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

heac h coun t

havin g it s own sanctio n derive dfro mapplicatio n o f thi s guidance . (3 ) Di dth e shipmen t

caus e som e damag e o r

har mt o person s o r

propert y o r

interfer e wit

h commerce ? I f

yes , conside r

aModerat e o r

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

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

othe r aggravatin g factors , departur e fro mth e range s ma y b e justified . I t

i s importan t t o not e tha t

death , seriou s illness , o r sever e injur y t o an y person , o r substantia l destructio n o f

property , warrant s additiona l consideratio n o f aggravatio n o f

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

th e violator . Thi s sectio n o f th e analysi s furthe r

evaluate s th e degre e o f

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

th e manufacture r

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

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

th e natur e o f

th e hazardou s materia l i t manufacture s o r

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

tha n th e violato r

prepar e th e shipmen t

fo r transportation ? I f

yes , conside r aMinimu mo r

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

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

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

complianc e o f

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

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

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

thi s section , a "reshippe r

" refer s t o aperson , othe r tha n th e origina l offeror , wh o offer s ashipmen t o f hazardou s materia l fo r

transportation. ) (3 ) Di dth e violato r

reasonabl y rel y o n incorrec t informatio n fro manothe r source ? I f yes , conside r

aMinimu mweight .



### 0- 7

### 10/01/0 7 2150.3 B

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

example , relianc e o n a n inaccurat e Materia l Safet

y Dat aShee t

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

hav e ahistor y o f

previou s HM Rviolations ? I f yes , conside r

a Moderat e o r

Maximu mweight . Guidanc e Note : T

o establis haviolatio n history , aprio r violatio n mus t

b e a n actua l finding o f violatio n pursuan t

t o alega l enforcemen t

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

th e violato r

an dwhethe r

othe r busines s entitie s o r

name s ar e o r

hav e bee n use db y th e entity in orde r t o obtai n acomplet e violatio n history . Th e numbe r an dag e o f violation s shoul db e considered . Ordinarily , finding s o f violatio n mor e tha n 5 year s ol dcarr y les s weight , unles s acontinuin g patter n o f violatio n exists . d . Othe r

Factors . (1 ) Eac hcas e mus t

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

ar e no t routinel y seen . I f

a n aggravatin g o r

mitigatin g circumstanc e exist s tha t i s no t adequatel y addresse delsewher e i n th e sanctio n guidance , it

ma y b e include dan dassigne daweigh t unde r thi s section . Th e facto r shoul db e clearl y identifie dan dexplaine di n th e analysi s portio n o f th e EI Ran dcarefull y scrutinize db y legal counsel . Guidanc e Note : Fo r

example , ashipmen t

o f asingl e packag e containin g severa l differen t hazardou s material s may presen t a n aggravatin g factor . Th e degre e o f seriousnes s o f

thi s facto r wil l increas e i f

th e hazardou s material s ar e incompatibl e wit h eac h othe r

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

a n amoun t

tha t woul dhav e qualifie d unde r th e smal l quantit y exceptio n o f 4 9 C.F.R . §173. 4 may presen t amitigatin g facto r

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

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

he r discretio n i n ligh t

o f th e statutor y factor s an dknowledg e o f th e particula r fact s o f th e case . Th e fact s o f

th e particula r

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

o f carefu l analysis , no t

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

a singl e weightin g facto r

ma y outweig h al l others . Th e agen t o r attorney' s analysi s shoul dalway s b e explaine di n thi s regard . 

### 0- 8

### 10/01/0 7 2150.3 B

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

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

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

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

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

case s for th e majority o f

violations . Consideratio n o f thes e particula r statutor y factor s unde r

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

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

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

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

part o r subpar t o f th e HMR , unles s upwar ddepartur e i s justified , asingl e penalt y amoun t for eac h violatio n grou p i s ordinaril y use d t o reac hth e full sanction . (2 ) Instructions .

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

entity an dth e natur e o f

th e offens e involve di n th e case . Refer t o th e Definition s Sectio n tha t follow s th e Matri x i n Figur e C- 1 for guidance . G o t o th e intersectin g bo x an didentif y th e applicabl e sanctio n rang e for eac h violatio n group .

• Appl y th e conclusio n reache di n th e subparagraph s 8.a.-e . weightin g analysi s t o assig n asanctio n amoun t withi n th e minimum , moderate , o r maximu mportio n o f

th e sanctio n rang e for eac h relevan t

violatio n group . Th e recommende dcivi l penalt y a t thi s stag e i s th e su m o f th e sanction s for

eac ho f th e applicabl e violatio n groups . A sanctio n shoul dno t b e assesse d for aviolatio n grou p i f

ther e hav e bee n n o violation s o f tha t par t o r subpar t o f th e HMR . Th e sanctio n amoun t

fo r eac hviolatio n grou p nee dno t b e idenfical bu t

ordinaril y i s withi n th e portio n o f

th e particula r

sanctio n rang e tha t

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

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

case , however , ma y justif y eithe r an upwar do r downwar ddepartur e fro mth e specifie dMatri x ranges . Thi s sanctio n guidanc e anticipate s departur e fro mth e specifie dMatri x range s whe n justified . A cas e involvin g violation s i n whic h th e nature , circumstances , extent , an dgravit y o f th e inciden t

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

believes , base dupo n th e fact s o f

acase , that

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

wit h lega l counse l befor e furthe r processin g o f

th e EIR . (However , i n n o cas e ma y th e civi l penalt y pe r violatio n excee dth e maximu mallowe db y law. ) Conversely , th e investigatin g agen t

ma y believ e tha t

mitigatin g factor s justif

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

Matri x range . Consultatio n with lega l counse l i s no t necessar y i n th e cas e o f arecommende d penalt y tha t

i s les s tha n tha t

provide di n th e Matrix . (However , i n n o cas e ma y th e civi l penalt y pe r violatio n b e les s tha n th e minimu mallowe db y law. ) In eithe r situation , however , th e agen t i s t o provid e adetaile dexplanatio n o f th e basi s fo

r th e decisio n t o g o outsid e th e ranges . (4 ) Violation s o f

par t 17 5 regulafions , whic h establis h particula r requirement s for

ai r carrier s an dothe r

aircraf t operators , ar e containe di n aseparat e matrix . However , suc h operator s ofte n offe r hazma t for ai r transportatio n a s wel l a s accep t an dtranspor t

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

violation s a s abusines s entit y withi n th e mai n Matri x a s wel l a s for th e specifi c par t 17 5 violations . g . Impac t

o f Othe r Statutor y Factors . Th e Federa l hazardou s materia l transportatio n law als o require s consideratio n o f aviolator' s abilit y t o pa y acivi l penalty , th e impac t o f th e civi l penalt y o n th e violator' s abilit y t o continu e t o d o business , an dothe r matter s tha t

justic e requires . Consideratio n o f thes e factor s ma y resul t

i n adjustmen t

o f th e recommende dcivi l penalt y calculate di n subparagrap h 8.f . I n situation s wher e th e agen t o r attome y i s i n possessio n o f mifigatin g information , suc h an inabilit y t o pa y th e recommende dcivi l penalt y o r correctiv e actio n taken , reductio n o f th e recommende dpenalt y ma y b e appropriate . Mifigatin g informafio n shoul db e sufficientl y reliable , uncontroverted , an ddocumente di n orde r t o suppor t

reductio n o f th e recommende dcivi l penalt y prio r t o issuin g th e notic e o f

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

continu e i n business . Historically , th e FA A ha s considere dthes e factor s afte r

th e issuanc e o f

th e notic e o f

propose dcivi l penalt y du e t o th e absenc e o f reliabl e financial informatio n o n whic h t o bas e areductio n prio r t o th e issuanc e o f

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

mak e effort s t o obtai n reliabl e informatio n regardin g th e violator' s siz e an dfinancia l conditio n for revie w prio r

t o th e issuanc e o f

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

i s recognize dtha t

i t ma y no t alway s b e possibl e fo r

th e specia l agen t

and/o r attome y t o obtai n reliabl e financia l informatio n o n aparticula r respondent , tha t

financial circumstance s change , an dtha t informatio n ma y b e provide dafter

th e issuanc e o f

th e nofic e that

ma y warran t

fiirther consideratio n o f

a respondent' s abilit y t o pay .

• Th e investigatin g agen t wil l attemp t

t o includ e financial informatio n a s an exhibi t i n th e EIR . It

i s anticipate dtha t

thi s information , i f

available , wil l b e obtaine dfro mreliabl e financia l dat abases . Financia l documentatio n shoul dinclude , bu t nee dno t b e limite dto , informatio n concemin g th e violator' s corporat e stmcture , busines s address , officers , numbe r o f employees , an dgros s revenues .

• Th e investigatin g agen t provide s astatemen t

o r commen t

with respec t

t o th e financial informafio n obtaine dbu t ordinaril y doe s no t

evaluat e th e financial conditio n o f a responden t

with respec t

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

th e violator .

• FA A lega l counse l review s th e financial informatio n provide di n th e EI Ran d evaluate s it s sufficienc y an drelevanc e t o th e recommende dcivi l penalty . Lega l counse l ma y 0-1 0

### 10/01/0 7 2150.3 B

determin e i f

mor e curren t

informatio n exist s concemin g th e financial conditio n o f aresponden t an di f tha t informatio n substantiall y differ s fro mth e informafio n availabl e a t th e tim e o f preparafio n o f

th e EIR . I f

ther e i s abasi s for

determinin g tha t

th e recommende dsanctio n i s inappropriat e base dupo n th e financial informatio n provide di n th e EIR , th e recommende d sancfio n i s adjuste dprio r t o issuanc e o f

th e notic e o f

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

considerafio n o f

arespondent' s financial claim s after

issuanc e o f

th e notice . (2 ) Correctiv e Action .

• Th e mos t

commo n othe r

matte r tha t th e FA A take s int o consideratio n i s correctiv e action . Correcfiv e actio n tha t result s i n mitigatio n i s remedia l acfio n tha t exceed s th e minimu m legal requirements . Th e primar y factor s i n determinin g th e appropriat e amoun t o f penalt y reductio n ar e th e exten t

an dtimin g o f

th e correctiv e action . In othe r words , mitigatio n i s determine do n th e basi s o f ho w muc h correcfiv e actio n wa s take n an dho w quickl y th e actio n wa s taken . Systemi c chang e intendedt o preven t fiiture violation s shoul db e give n greate r consideration . Similarly , correcfiv e actio n tha t commence s upo n th e violator' s first leamin g o f th e violation s ordinaril y i s give n greate r credi t tha n correctiv e actio n tha t commence s onl y after th e violato r

receive s th e lette r

o f invesfigatio n o r

th e notic e o f

propose dcivi l penalty . Mifigatio n o f

arecommende dcivi l penalt y base dupo n correctiv e actio n shoul db e reference di n th e Notic e o f Propose dCivi l Penalt y s o tha t th e responden t

i s o n notic e tha t

credi t alread y ha s bee n give n for suc h action . (2 ) Statu s o f

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



## 0-1 1

### 10/01/0 7 2150.3 B 

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

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

Aircraft 1 . Shippin g Paper s 2 . Label s 3 . Marking s 4 . Packagin g 5 . Trainin g 6 . Emerg . Respons e 7 . Releas e int o Environ . 8 . Othe r IV . Undeclare d Shipmen t Forbidde n on , o r exceed s at v limit s for . Al l Aircraft 1 . Shippin g Paper s 2 . Label s 3 . Marking s 4 . Packagin g 5 . Trainin g 6 . Emerg . Respons e 7 . Releas e int o Environ . 8 . Othe r V . Intentiona l o r ' A . Individual * 250-55 0 250-55 0 250-55 0 250-55 0 250-55 0 250-55 0 250-55 0 250-1,10 0 250-1,10 0 250-1,10 0 250-1,10 0 250-1,10 0 250-1,10 0 250-1,10 0

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

500-32,50 0 500-32,50 0 500-32,50 0 500-32,50 0 500-32,50 0 500-32,50 0 500-32,50 0 CONSUL T *

B . Busines s Entit y 250-1,10 0 250-1,10 0 250-1,10 0 250-1,10 0 450-1,10 0 250-1,10 0 250-1,10 0 250-1,10 0 1,500-8,20 0 1,500-8,20 0 1,500-8,20 0 1,500-8,20 0 1,500-8,20 0 1,500-8,20 0 1,500-8,20 0 1,500-8,20 0

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

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

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

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

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

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

15,000-32,50 0 15,000-32,50 0 15,000-32,50 0 15,000-32,50 0 15,000-32,50 0 15,000-32,50 0 15,000-32,50 0 15,000-32,50 0 CONSUL T 

### 0-1 2

### 10/01/0 7 2150.3 B Deliberat e Violation , o r othe r slsnifican t a^sravatio n VI . Vfolatio n result s i n death , seriou s illness . sever e iniurv . o r substantia l destructio n o f propert y LEGA L- U p t o 50,00 0 pe r

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

50,00 0 pe r

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

50,00 0 pe r

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

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

50,00 0 pe r

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

### h . ^Sanction s applicabl e t o ai r carrie r an dcommercia l operato r passenger s an d crewmembers . Th e rang e fo r th e tota l civi l penalt

y to b e assessed , absen

t mifigating or aggravatin g factors , i s $25 0 (the statutor y minimum

) t o $1,000 . AI RCARRIE RAN D OTHE RAIRCRAF T OPERATO RVIOLATION S Failur e t o compl y with Part s 171 , 172 , o r 17 3 requirement s o f

th e HM Ra s an offero r

o f hazmat . Imprope r acceptanc e o f

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

hazma t shipmen t

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

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

mee t minimu mrequirement s for hazma t trainin g (4 9 C.F.R.) . Usin g untrained/improperl y traine dhazma t personnel , failur e t o retai n hazma t

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

y FA A properl y o f

incident/discrepancie s i n hazma t shipment . Failur e t o provid e nofic e t o th e pilot-in-command . Othe r Part 17 5 violations . Intentional , deliberate , o r othe r significanfi y aggravate d violation . Violatio n result s i n death , seriou s illness , sever e injury , o r substantia l destmcfio n o f property . £ . Grou p I & I I Ai r Carrier s an d Othe r Aircraft Operator s Us e mai n Matrix . 5,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 10,000-32,50 0 5,000-16,20 0 5,000-16,20 0 5,000-16,20 0 CONSUL T LEGA L - U p t o 50,00 0 pe r offens e categor y may b e assesse d CONSUL T LEGA L - U p t o 100,00 0 pe r offens e categor y may b e assesse d F . Grou p II I & I V

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

- U p t o 50,00 0 per offens e category ma y b e assesse d CONSUL T LEGA L -U p t o 100,00 0 pe r offens e categor y ma y b e assesse d 

### 0-1 3

### 10/01/0 7 2150.3 B

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

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

Aircraft Operato r

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

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

purpose s o f

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

12 9 Foreig n Ai r

Carriers , par t 12 5 Operators , an dpar t

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

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

mor e ar e include di n Grou p I for

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

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

aircraf t operator s o f

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

aircraf t operator s tha t

d o no t mee t th e criteri afor

Grou p II , tha t

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

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

Group s I , II , o r

III . Othe r

aircraf t operator s o f

th e sam e siz e ar e include di n Grou p IV for

hazma t sanctio n guidanc e purposes . b . Busines s Entity . A business , corporation , partnership , Sub- S Corporation , sol e proprietor , associafion , o r an y typ e o f

commercia l entity . A n individua l v/h o offer s ahazma t shipmen t in ai r transportatio n i n th e cours e o f hi s o r he r self-owne dbusines s fall s int o thi s category . I t

include s anon-profi t

organizafio n an dal l othe r entitie s define dunde r

th e HMR' s definifio n o f

perso n (4 9 C.F.R . § 171.8) , with th e exceptio n o f an individua l (a s define dbelow) . c . Busines s Entit y tha t Regularl y Offers , Accepts , o r Transport s Hazardou s Material s i n th e Cours e o f

It s Business . A busines s entity tha t offer s hazma t

with som e anficipate d frequency , o r

purport s t o d o so , regularl y offer s hazmat . Fo r example , acatalogu e compan y tha t offer s hazardou s materia l t o it s customer s woul dfal l int o thi s category , eve n thoug h it s actua l sal e o r transportatio n o f

th e hazma t

i s infrequen t

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

o r distributo r

o f hazma t an dafreight

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

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

i n it s busines s bu t

doe s no t offer i t fo r transportafio n o n aregula r basis , a s describe dabove . Fo r example , amanufacture r o f anon hazma t produc t tha t use s hazma t

i n th e manufacturin g proces s coul dfal l int o thi s category . It mus t b e establishe dtha t

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

i t utilize s for transportation , an dth e shipmen t i n thi s instanc e represent s a n isolate dincident . Thi s typ e o f busines s i s hel dt o ahighe r standar dtha n th e busines s entit y tha t ha s n o regula r

involvemen t 

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### 10/01/0 7 2150.3 B

with hazmat . Th e describe dbusines s entit y receive s th e subjec t hazardou s materia l i n transportatio n an duse s it i n it s business ; thus , i t

i s clearl y o n notic e o f

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

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

marke do r

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

purpose s o f

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

t o whic h handler s refe r i n th e norma l cours e o f

transportatio n an dtha t

complie s with on e o r

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

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

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

th e shipmen t contain s hazmat , bu t

onl y i n paperwor k

t o whic h th e handler s d o no t refe r i n th e norma l cours e o f transportation . f . Hazma t

- A hazardou s material , a s define di n 4 9 C.F.R . § 171.8 , include s an di s interchangeabl e withth e ter mdangerou s goods , a s use din th e Intemationa l Civi l Aviatio n Organizatio n (ICAO ) Technica l Instructions . g . Individua l - A huma n wh o offer s ashipmen t o f hazardou s materia l i n hi s o r he r persona l capacity , withou t

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

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

carrier , o r

aircraf t operato r ha s knowledg e o f

th e requirement s o f

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

thos e requirements . Fo r example , a

n offero r wh o place s aproperl y marke dan dlabele dhazma t shipmen t alon g with properl y complete d shippin g papers , int o an overpac k marke da s printe dmaterial , ha s committe dan intentiona l o r deliberat e violation . i . Undeclare dShipmen t - I f ashipmen t

doe s no t mee t th e definifio n o f

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

- A n undeclare dshipmen t

tha t i s offere dfor

transportatio n o n o r

transporte do n an y aircraf t an dth e quanfity o f

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

transportatio n o n carg o aircraft , a s establishe di n th e 4 9 C.F.R . § 172.10 1 Table . k . Undeclare dShipmen t Hazma t Exceed s Quantit y Limit s fo r Passenge r

Aircraf t - An undeclare dshipmen t

tha t i s offere dfor

transportatio n o n o r

transporte do n apassenge r aircraft , an dth e quantit y o f

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

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

transportatio n o n o r

transporte do n an y aircraf t an dth e hazardou s materia l i s forbidde n i n ai r

transportatio n o n carg o aircraft , a s establishe di n th e 4 9 C.F.R . § 172.10 1 Table . 

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### 10/01/0 7 2150.3 B

m . Undeclare dShipmen t Hazma t Forbidde n o n Passenge r Aircraft - A n undeclare d shipmen t that i s offere dfor

transportatio n o n o r

transporte do n apassenge r aircraft , an dth e hazardou s materia l i s forbidde n i n ai r transportatio n o n passenge r aircraf t (bu t no t in.ai r transportatio n o n carg o aircraft) , a s establishe din th e 4 9 C.F.R . § 172.10 1 Table . n . Undeclare dShipmen t Withi n Hazma t

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

transportatio n o n o r

transporte do n apassenge r aircraft , th e quantit y o f

hazardou s materia l mus t b e withi n th e limitation , pe r package , for transportatio n o n passenge r aircraft , a s establishe di n th e 4 9 C.F.R . § 172.10 1 Table . (2 ) I f th e undeclare dshipmen t i s offere dfor

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

transportatio n o n an dtransporte do n acarg o aircraft , th e quantit y o f

hazardou s materia l mus t b e withi n th e limitation , pe r package , fo r transportatio n o n carg o aircraft , a s establishe di n th e 4 9 C.F.R . § 172.10 1 Table . Al l othe r undeclare dshipment s fit withi n th e definition s for Undeclare dShipmen t

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

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



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### 10/01/0 7 2150.3 B 

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

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

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

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

Divisio n 4. 2 Spontaneousl yCombustibl e Material s P G II , II I Divisio n 4. 3 Dangerou s Whe n We t P G 11 , II I Clas s 5 Divisio n 5. 1 Oxidizin g Liquid s o rSolid s P G II I

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

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

### Categor y"C " {Minimu m Weight } Th e material s liste d i n Category"C " ar e material s tha t presen t th e leas t amoun t o f ris k t o th e transportatio n system . Clas s 2 2. 2 Nonflammabl e Ga s Clas s 6 Divisio n 6. 1 Toxic/Poisonou s Material s P G 11 1 Clas s 7 Al l othe rRA M (LSA , LT D QTY , Instruments , an d Articles ) Clas s 9 Miscellaneou s Dangerou s Good s {ORM- D an d Consume rCommodity } NOTE : Thi s guidanc e I s no t Intende d t o replac e th e experience d judgmen t o f a specia l agen t wh o i s convinced , base d o n th e evidenc e an d fact s o f a case , tha t th e failur e o f a n ai rcarrier , shipper , freigh t forwarder , o rpassenge rt o follo w establishe d regulation s ha s pose d a ris k t o aviatio n safety .



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# EXHIBI T 9

### UNITE D STATE S DEPARTMEN T O FTRANSPORTATIO N OFFIC E O FHEARING S WASHINGTON , D.C . I n th e Matte r

of : WilliamA . Luker , Jr . FA A DOCKE T NO . (Civi l Penalt y Action ) DM S NO .

TH E HONORABL E ADMINISTRATIV E LA WJUDG E DECLARATIO N O FPAU LKLIMA S I , Pau l Klimas , make th e followin g declaratio n i n lie u o f a n affidavit , a s permitte dby 2 8 U.S.C . § 1746 . I a

maware tha t

thi s declaratio n i s th e legal equivalen t o f astatemen t

uitder oath . I a maHazardou s Material s Special Agen t fo r th e Federa l Aviatio n Administration . A s a Hazardou s Material s Special Agent , I conduc t investigation s an dprepar e investigativ e report s o f violation s o f

th e Hazardou s Material s Regulations . A s part o f th e investigativ e report , 1 als o recommen dacivi l penalty amoun t o n case s that

are sen t t o ou r lega l departmen t

fo r legal enforcement . I conducte dth e investigatio n i n th e matte r o f Willia mA . Luke r

under EI Rno . 2009SW700191. 1 complete dthat investigatio n i n Jun e 2009 . Becaus e th e cas e warrante dlegal action , I recommende da$50 0 civi l penalty amount , base do n ou r Hazardou s Material s Sanctio n Guidance , foundin our

Complianc e Manual , FAA Orde r 2150.33 , Appendi x C . I recommende da$50 0 civi l penalty base do n th e followin g rationale : 1 . Mr . Luke

r wa s atickete dpassenge r o n America n Airlines . H e wa s therefore a n individual , aCategory A offender , base do n th e Sanctio n Guidanc e Matrix . 2 . Th e torc h lighter

foun di n Mr . Luker' s checke dbaggag e was a n undeclare dhazardou s material withi n th e hazma t quantity limitations , whic hi s aCategor y 1 1 offens e in ou r Sanctio n Guidanc e Matrix . Th e butan e an dpropan e fuel s were forbidde n from carriag e o n passenger-carryin g aircraft , whic h i s aCategory 11 1 offense . Becaus e o f th e presenc e o f

th e torc h lighter , 1 treate dth e aggregat e cas e a s aCategor y 1 1 offens e for purpose s o f

recommendin g acivi l penalty an duse dth e Categor y II offens e penalty range , whic h i s $25 0 - $1,10 0 fo r a n individual . I use donl y th e on e violatio n cite do f § 171.2(e) , whic h w e generall y us e whe n th e violato r i s a n individual .

### 3 . I n determinin g wha

t civi l penalty t o recommend , I considere dth e fact s of th e case , whic h include dth e type s an dquantitie s o f th e hazardou s material s involved . All thre e item s were in hazardclas s 2.1 , flammabl e gas . Al l clas s 2. 1 flammabl e gase s ar e i n Ris k Categor y A . Material s i n Ris k

Categor y A pos e th e highes t

ris k t o air transportation , becaus e i f

release di n th e confine s o f a n aircraf t can potentiall y hav e a catastrophic effect

o n th e ability t o continu e saf e flight , resultin g i n deat

h o r injuiy t o th e flightcrew , passengers , an deve n person s o n th e ground . Th e fac t tha t amaterial i s i n Category A woul dten dt o giv e amaximu mweigh t t o th e case . 4 . However , I als o considere dth e quantity of th e material s foun di n Mr . Luker' s checke d baggag e t o b e small , whic h woul dten dt o make th e cas e minimu m(no t moderate o r maximum) . There wa s n o damag e t o person s o r property , s o that

wa s no t a consideratio n that

woul delevat e th e weigh t o f th e cas e bac k

u p toward s th e maximum . Therefore , I assigne dalo w moderat e weigh t t o th e cas e an d recommende da$50 0 civi l penalty . That civi l penalty amoun t

was als o appropriate , i n m y estimation , becaus e $50 0 i s th e minimu mamoun t o f th e penalty rang e fo

r a n undeclare dshipmen t

o f hazardou s material s forbidde n o n passenge r aircraft . I declar e unde r

penalty o f

perjur y unde r th e law s o f

th e Unite dState s o f

Americ athat

th e foregoin g i s tru e an dcorrect . Execute do n thi s 4t h da y o f Decembe r

2009 . Pau l Klima s FA A Hazardou s Material s Special Agen t Federal Aviatio n Administratio n Southwes t

Regio n