Federal Aviation Administration

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• Federal Aviation Administration

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Anthony R. TepedinoSpecial AgentHonolulu
Security FieldOffice
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Background

• 22 years in the Air Force as a crewmember and a
  staff officer.
• 18 years with the FAA as an Air Marshall,
  Principal Security Inspector for several airlines
  and a Special Agent.

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Todays Discussion

• How civil penalties are determined by the FAA

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First, how do we get to your building

• Report of a violation
• Report of an incident
• Documentation obtained during an inspection

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Report of a violation

• This information could come from an air carrier,
  freight forwarder or another government agency.

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Report of an incident

• This information could come from anybody,
  including first responders, determining or
  suspecting that there is a hazardous materials
  problem, associated with transport by air, in
  your facility.

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Documentation obtained during an inspection

• Information and documentation obtained from the
  files of an air carrier or freight forwarder
  during an inspection of their facilities.

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What We Do At Your Facility

• Review your HM shipping files
• Look at your HM storage areas
• Check the dates on your HM reference regulations

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What We Do At Your Facility

• Review your HM training records.
• Interview your employees

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If a Violation is Alleged

• We obtain copies of documents
• We take pictures
• We request statements from employees, customers
  or contractors

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If a Violation is Alleged

• We request an MSDS for any shipment or substance
  involved.
• We will send you a Letter of Investigation
  describing our findings and giving you an
  opportunity to respond.

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If a Violation is Alleged

• Depending on the circumstances the result could
  be a
• No Action letter
• Letter of Correction
• Letter of Warning
• Notice of Civil Penalty

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Sanction Guidance History

• 1988 Nine different FAAs
• Everybody doing their own thing
• Early 90s Figure sanction against major
  paragraphs and subparagraphs
• 172.200, 172.200(a)

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Sanction Guidance History

• Mid 90s Figure sanction against all paragraphs,
  subparagraphs and subsubparagraphs.
• 172.200, 172.200(a),
• 172.200(a)(i),(ii),(iii)

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Current Sanction Guidance

• Late 90s Sanction guidance based on
• an individual vs a business
• one with experience vs no experience at all
• shipment allowed on pax aircraft
• shipment allowed on pax aircraft but over limit
• shipment cargo aircraft only
• shipment exceeds cargo aircraft limits
• shipment not declared

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Current Sanction Guidance

• Each block has a separate range of sanction for
  shipping papers, marking, labeling, etc.
• Agent responsible for looking at all the facts in
  the situation, determining where the individual
  or business falls on the chart and the type of
  shipment made and coming up with a recommended
  sanction within the penalty range provided on the
  chart.

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Current Sanction Guidance
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Current Sanction Guidance
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Additional Guidance

• Continuing effort to standardize sanctions, FAA
  has provided an additional matrix to determine if
  administrative or civil penalty action is
  required.

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Additional Guidance

• Individual intentional, careless or reckless
• Business intentional or not systemic or not
• Series of determinations as to severity and worst
  case situation if damage or injury would result.

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Third Party Shippers

• We recommend a very specific contract identifying
  what you are responsible for and what they are
  responsible for.
• Identify who is responsible for classifying the
  shipment, selecting the packaging, performing the
  functions of packing, marking, labeling,
  completing the documentation and transporting.

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The End (Finally)

• Questions?