UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION In the Matter of: FEDERAL AVIATION ADMINISTRATION, Complainant, vs. MARTINAIRE AVIATION,

LLC, Respondent. Room 591 FAA Case No. 2011SW711089 Civil PenaltyAction FDMS No. FAA-2013-0040

Federal Building 207 S. Houston Dallas, Texas Wednesday, June 18, 2014 The above-entitled matter came on for hearing, pursuant to notice, at 9:00 a.m. BEFORE: HON. RICHARD C. GOODWIN, Administrative Law Judge 1



# RECEIVED

(202) 234-4433 

### JUL 102014 

## HEARING DOCKET

NEALR. GROSS COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE., N.W. WASHINGTON, D.C. 20005-3701 www.nealrgross.comAPPEARANCES: On behalf of the Complainant JAMES ARCHIER, ESQ. Federal Aviation Administration Office of the Regional Counsel General Litigation Branch 2601 Meacham Boulevard Fort Worth, Texas 76137 817-222-5074 On behalf of the Respondent MICHAEL L. DWORKIN, ESQ. Michael L. Dworkin and Associates 465 California Street, Suite 210 San Francisco, California 94104 415-421-2500

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(202) 234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE., N.W. WASHINGTON, D.C. 20005·3701 www.nealrgross.comTABLE OF CONTENTS WITNESS Bryan Buchanan Paul Klimas DIRECT CROSS REDIRECT RECROSS 25 74 44 93 65 70 Alan Rusinowitz 115 EXHIBITS MARKED/RECEIVED ALJ: ALJ-1 8/8 Government: Ex. 100.01 26/29 Respondent: Ex. R-1 38/46

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(202) 234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE.• N.W. WASHINGTON. D.C. 20005-3701 www.nealrgross.com4 1 P R 0 C E E D I N G S 2 JUDGE GOODWIN: This is the case 3 of MartinaireAviation, DMS DocketNumber FAA4 2013-0040. Counsel, you will identify 5 yourself for the record, please. 6 MR. ARCHIER: For the Federal 7 Aviation Administration, it's James Archier, 8 A-R-C-H-I-E-R. 9 MR. DWORKIN: For Respondent 10 Martinaire Aviation, LLC, it's Michael L. 11 Dworkin, D-W-0-R-K-I-N. 12 JUDGE GOODWIN: Just a couple 13 preliminarymatters. We normallytake a break 14 about 10:30; break for lunch around 12:00, 15 depending upon how close there are eateries 16 from here; take anotherbreak around 2:3 0; and 17 we'll finish at 6:30, so that we can be out of 18 the building by five o'clock. 19 As I do with all the court 20 reporters, if you get to a word you don't 21 understand, raise your hand. That'll be the 22 signal to all of us to try to spell it. That

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### 1 way at midnight tonight, you're not beating 2 your head against the wall, trying to figure 3 out what it is we said. 4 Counsel should be aware, I take a 5 fairly liberal view on sealing the record to 6 protect confidential business and personal 7 

### identifying information. I'll seal it as 8 necessary, and I'll it as a precaution. 9 Consistent with my past practices, try to 10 reviewyour exhibits to make sure that there's 11 no personal identifyinginformation, dates of 12 birth, home addresses, home phone numbers, 13 cell numbers. 14 I always go through the exhibits 15 and redact. As both of you know, everything 16 we do goes in the public record, goes on the 17 Internet, which is one of the reasons I try to 18 keep that information out, out of the record. 19 

### Having said that, I have to tell 20 both sides, I can't ensure the integrity or 21 confidentiality of information put into the 22 record, as the Chief Judge unilaterally

NEALR. GROSS (202) 234-4433 COURT REPORTERSAND TRANSCRIBERS 1323 RHODE ISLANDAVE., NW. WASHINGTON, D.C. 20005-3701 www.nealrgross.com6 1 disclosedinformation, contraryto language in 2 my prior court orders and instructions to 3 staff, so be aware of that. 4 I've got a hearing disability. If 5 I ask you to repeat something, don't take it 6 personally. I really can't hear you. If you 7 have any questions, call my wife. She'll back 8 it up. I can't hear her in a restaurant half 9 the time, which can be good, which can be bad. 10 As to the transcript 11 MR. DWORKIN: We call that 12 selective hearing. 13 JUDGE GOODWIN: Well, that's what 14 she says. I only need a digital copy of the 15 transcript. If either counsel, you know, 16 wants a written copy, just let the court 17 reporter know. I think the contract probably 18 provides for everything. I've gotten to the 19 point, I don't even read the printed one. I 20 use the digital. 21 I would like it if you can do 22 it

-- I may be uslng the wrong language-- ln

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### 1 ASCII format or Word format or something. The 2 one I did in Chicago, I think she said it was 3 ASCII. All I want to be able to do is copy 4 

### and paste. If it's PDF, I'll figure out 5 something. 6 And as to exhibits, I don't care 7 how you number them, as long as you both don't 8 

### use the same numbers. And I will keep the 9 original copies, and get them into the record. 10 If the two of you want to brief 11 this once we're done, you two work out the 12 schedule. I'm open. I'm scheduling into 13 September. I know both of you have busy trial 14 schedules. You know, my normal format is once 15 the transcript is available, if you two will 16 talk, work out some sort of a briefing 17 schedule, typically the FAA is two to four 18 weeks, and then two weeks for the Respondent, 19 and then a week for rebuttal. 20 

### If you want to do something 21 different, that's fine. As Mr. Archier --you 22 know Mr. Leibowitz retired in September, and

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1 to say that I'm backed up would be an 2 understatement. Just ask your colleaguethere 3 on the other bench. He's sitting here, 4 anxiously waiting for some decisions. I'm 5 getting to them as fast as I can, but as you 6 know, Ira was a 30-year institution and 7 probably not going to be replaced. But we 8 will do what we can. 9 Any - - I 've got I know that 10 there's a motion in limine I haven't ruled on. 11 I'm probably going to rule on that in the 12 context of writing the decision. 13 Both of you have filed motions to 14 take judicial notice. I take a literal view 15 of judicial notice. If it meets the 16 parameters of the rule, I '11 take judicial 17 notice. What I try to do, like with the

-- 18 similar to regulations, I try to make a point 19 of looking at the regulation that was in 20 effect at the time of the incident. 21 One of the reasons I started doing 22 that is it keeps me from having to lug around

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1 

### two or three or four three-ringbinders after 2 the hearing, as both of you very gleefullyget 3 

### rid of your exhibits and hand them to me. 4 

### Any other preliminary matters, 5 

### gentlemen? 6 

### MR. ARCHIER: Your Honor, the

-- 7 

### JUDGE GOODWIN: Yes, sir. 8 

### MR. ARCHIER:

-- Federal Aviation 9 

### Administrationdid file a motion to introduce 10 

### an exhibit, and that particular exhibit was 11 

### the-- a statement by the agent, Paul Klimas, 12 and there was some objection to that. But I 13 

### don't know whether you want to handle that 14 

### during

-- when we put the witness on. We 15 intend 16 

### JUDGE GOODWIN: Why don't we just 17 

### do that. Let's handle it as an evidentiary 18 

### matter. As I jokingly say, these are 19 

### administrative proceedings. The rules are 20 fairly liberal. 21 MR. ARCHIER: Okay. 22 JUDGE GOODWIN: I have told

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### 10 1 counsel in the past, if you can get the truck 2 in the door, I'll put an exhibit label on it 3 and we'll put it in evidence. 4 

### MR. ARCHIER: Thank you. 5 

### JUDGE GOODWIN: So but it goes 6 to weight. It certainly goes to weight, and 7 if you read my opinion in D&D International, 8 you know, it gives you some ideas. Anything 9 else, Mr. Archier? 10 MR. ARCHIER: I'm ready when you 11 are, Your Honor. 12 JUDGE GOODWIN: Well, I'm ready 13 when you are, so 14 

### MR. ARCHIER: Okay. 15 

### MR. DWORKIN: Before Mr. Archier 16 starts -- 17 

### JUDGE GOODWIN: You gave him a 18 

### break, Mr. Archier. You got to watch that. 19 

### MR. ARCHIER: Okay. 20 

### MR. DWORKIN: I'd like the record 21 to reflect that we've submitted a trial brief 22 this morning.

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### 11

1 

### JUDGE GOODWIN: Yes. 2 MR. DWORKIN: And there are 3 actually 4 

### JUDGE GOODWIN: Do you want me to 5 

### mark that? I don't think that needs to be 6 

### marked as an exhibit, does it? 7 

### MR. DWORKIN: It's your call, 8 Judge. Some Judges mark it as Exhibit ALJ-1. 9 

### JUDGE GOODWIN: Let's do that. 10 That'll give the Court something to do. 11 

### (The document referred to was 12 marked for identification as ALJ 13 

### Exhibit 1.) 14 

### MR. DWORKIN: And there are 15 actually three in limine motions that are 16 pending from Martinaire, and also on June 11, 17 we also filed a second request for judicial 18 notice. 19 

### JUDGE GOODWIN: I may or may not 20 have seen that one. Okay. ALJ-1 for 21 identification is received into evidence. 22 It's Martinaire Aviation's trial brief.

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### 12

1 

### (The document referred to, 2 

### having been previously marked for 3 

### identification as ALJ Exhibit 1, 4 

### was received in evidence.) 5 

### JUDGE GOODWIN: If the FAA wants 6 

### to file a trial brief, that's fine. If they 7 

### don't, that's also fine. 8 

### MR. DWORKIN: Okay. Thank you. 9 

### JUDGE GOODWIN: Counsel. 10 

### OPENING STATEMENT ON BEHALF OF THE 11 

### COMPLAINANT 12 MR. ARCHIER: Good morning, Your 13 

### Honor. My name is James Archier. I represent 14 

### the Federal Aviation Administration. We're 15 

### here to seek a civil penalty against 16 Martinaire Aviation, LLC, for an amount of 17 $206,550 for violating the hazardous material 18 

### regulations for the shipment for the 19 transportation of 17 shipments of hazardous 20 materials that were reflected on notice to 21 pilot-in-command forms. 22 Your Honor, these particular

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.. N.W WASHINGTON, D.C. 20005-3701 wvvw.nealrgross.com13 1 notice to pilot-in-command forms had varlous 2 kinds of problems with them. The types of 3 problems that were evident during

-- that 4 you'll see will be evident during the 5 testimony is they included the

-- some of the 6 noticetopilot-in-command3 included incorrect 7 proper shipping name. Some of them had no 8 shipping name. Some of them had a fabricated 9 shipping name. 10 In most of them, the correct basic 11 hazardous material description did not match 12 the hazardous class, the packinggroup, or the 13 UN identification number for the hazardous 14 material in issue. 15 Your Honor, Martinaire is a U.S. 16 cargo airline. It operates feeder flights for 17 overnight package delivery services for UPS 18 and DHL. The Federal Aviation Administration 19 treated it has a group 2 air carrier. It 2

### o treated it as a group 2 air carrierbecause it 21 has revenues of less than a hundred million. 22 It has 50 or below pilots, and it has over 25

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### 14

1 

### aircraft. 2 

### Your Honor, the Federal Aviation 3 

### Administration filed a motion for judicial 4 

### notice, which you ruled on, and it indicated 5 

### in that judicial notice there was an order 6 

### assessing civil penalty that began ln 2009, 7 

### that was issued in 2009. 8 

### The Federal Aviation 9 

### Administrationcontends that the problem with 10 

### the notice of pilot-in-command forms is a 11 

### systemic problem. The problembegan in 2009. 12 

### As recently as 2013, 

### the Federal Aviation 13 

### Administration conducted an inspection of 14 Martinaire, and the problem continued to 15 

### exist. 16 

### The type of shipments that were 17 

### involved in the hazardous materials that were 18 

### transported and reflected in the NOPICs were 19 

### category A hazardous materials. Category A 20 

### hazardous materials are catastrophic to the 21 

### safe flight of an aircraft. 22 

### Some of the other kind of

NEAL R. GROSS (202)234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE., N.W. WASHINGTON, D.C. 20005-3701 www.nealrgross.com15 1 hazardous materials that were reflected in 2 NOPIC were category B. Although category B 3 hazardous materials do not pose an immediate 4 threat to the safe flight of an aircraft, the 5 release of these materials can cause death or 6 injury to the pilot or any crew members that 7 are on board the aircraft. Also, these 8 hazardous materials were also in category C, 9 Your Honor. 10 Your Honor, what's the big deal 11 with having a NOPIC that's not filled out 12 correctly? Well, the big deal is this, Your 13 Honor. The big deal is it poses a serious 14 threat to the pilot-in-command. It poses a 15 threat to their health and safety. It poses 16 a threat to their health and safety, because 17 if they can't identifythe hazardousmaterial, 18 they're not going to be able to address it 19 during a flight or during an air crash or an 20 incident. 21 It also poses a problem to the 22 pilots-in-command or to the first

NEALR. GROSS (202) 234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE., N.W. WASHINGTON, D.C. 20005-3701 www.nealrgross.com16 1 responders, because they would have no way of 2 knowing what type of hazardous material was on 3 board the aircraft. 4 Now, the Federal Aviation 5 Administration seeks a civil penalty of 6 $206,550 for 17 shipments of hazardous 7 material that were reflected on 12 8 notificationof pilot-in-commandforms. This 9 may seem like a high civil penalty, but in 10 reality, it's really not. It's not a high 11 civil penalty, Your Honor, because alr 12 carriers are obligated to perform their 13 services with the highestpossible standardof 14 care. 15 An carrier has a 16 responsibilityto assure to the maximumextent 17 possible the safety and well-being of its 18 passengers, crew, and those in the flying 19 public. We ask you respectfully, Your Honor, 20 to render a decision for the Federal Aviation 21 Administrationin this case of a civil penalty 22 of $206,550. Thank you, Your Honor.

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### 17

1 

### JUDGE GOODWIN: Thank you, Mr. 2 Archier. Mr. Dworkin, do you want to argue or 3 

### reserve? 4 

### MR. DWORKIN: I 111 

### give my opening 5 

### statement now. 6 

### OPENING STATEMENT ON BEHALF OF THE 7 

### RESPONDENT 8 

### MR. DWORKIN: Your Honor, in 9 

### addition to what we've stated in our trial 10 

### brief, there are really no uncontroverted 11 

### facts in this case. Your Honor already 12 

### granted the Complainant'smotion for decision 13 

### in part, and the only two issues to be 14 

### adjudicated are: Were there regulatory 15 

### violations of hazardous material regulation 16 

### Section 175.33, 

### and if so, what sanctions 17 should be imposed? 18 

### The order granting in part 19 Complainant's motion for decision basically 20 established the factual allegations. That's 21 

### the first thing. 22 The second thing is that as we

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### 18

1 

### stated in one of our in limine motions as to 2 the purpose that the NOPIC is supposed to 3 serve, the NOPIC exists for the benefit of the 4 pilot-in-command. It does not exist for the 5 benefit of first responders. 6 There is nothing in the regulation 7 that says that the NOPIC is geared for first 8 responders. There's nothing in any publicly 9 disseminatedinformationpublishedby the FAA 10 or authorized by the FAA that says that the 11 NOPIC is for the benefit of first responders, 12 which is why we have submitted our motion in 13 limine number 3. 14 We have taken the depositions of 15 the FAA's two witnesses who they intend to 16 call, and they've testified that, to their 17 knowledge, there is no body of evidence, no 18 body of literature, no publications, no 19 interpretations that NOPICs serve anything 20 other than to provide notification to the 21 pilot-in-commandas to what he or she has on 22 his or her aircraft.

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### 19

1 

### The other thing to keep in 2 perspective here is that unlike other alr 3 

### carriers and there will be evidence of 4 this

-- with most air carriers

-- most cargo 5 alr carriers are a lot larger than Martinaire 6 

### and a lot more sophisticated. The NOPIC is 7 prepared by someone other than the pilot-in8 command, and the NOPIC is delivered to the 9 crew in command of the aircraft before the 10 aircraft departs with the load of hazardous 11 materials. 12 In Martinaire's case, it is the 13 pilot who is preparing the NOPIC. The pilot 14 is preparing essentiallya note to self as to 15 what he has on the aircraft. Now, where does 16 

### the pilot get that information? The pilot 17 gets the information from a coupon which is 18 given to him by UPS or DHL, which has all the 19 information that the NOPIC is required to 20 have. 21 So essentially the NOPIC is a 22 redundant form, because the pilot already has

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### 20

1 

### the notificationas to what is on the airplane 2 

### and what he is carrying. The we will 3 admit, there were difficulties and there were 4 

### errors in the 90-day file which is maintained 5 

### by Martinaire. These are the dispatch copies 6 

### of the NOPICs. But to say that the pilot did 7 

### not have notification of what he or she were 8 

### carryingon these flights, there is absolutely 9 

### no evidence. 10 

### In terms of high sanction and 11 

### systemic errors, yes, there was a 2009 civil 12 

### penalty dealing with a NOPIC case that was 13 

### settled, and the record will show and the 14 

### evidence will show that Martinaire settled 15 

### that without its admission of liability or 16 

### wrongdoing, and it was a relatively minor 17 

### civil penalty. 18 

### However, if, as the record 19 reflects-- and I'm referring to the matters 20 for whichthe Court has alreadytakenjudicial 21 

### notice there have been repeated civil 22 penalties that have been assessed by the FAA

NEAL R. GROSS (202) 234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE., N.W WASHINGTON, D.C. 20005-3701 www.nealrgross.com21 1 and specifically Southwest Region against 2 SouthwestAirlines, specificallytwo of them; 3 there have been four of them assessed against 4 AmericanAirlines, again by Southwest Region, 5 and these civil penalties have paled in 6 comparison to the $206,550 that the FAA is 7 asking for. Thank you, Your Honor. 8 MR. ARCHIER: May I have rebuttal, 9 Your Honor? 10 JUDGE GOODWIN: Sure. 11 MR. ARCHIER: Okay. 12 FURTHER OPENING STATEMENT ON BEHALF OF THE 13 COMPLAINANT 14 MR. ARCHIER: Your Honor, Mr. 15 Dworkin says that there are two issues before 16 the Court here today, and one of the issues is 17 the civil penalty sanction. We agree with 18 that. The civil penalty sanction is before 19 the Court. 20 He also indicated, however, that 21 before the Court that a determination of the 22 regulatory violations has to be determined,

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1 and we disagree with that. We disagree with 2 that, because the motion for summary judgment 3 and your order and the order granting in part 4 and denying in part Complainant's motion for 5 decision indicates that, "In Vlew of the 6 foregoing, it is hereby found and concluded 7 that Respondent Martinaire Aviation, LLC, 8 violated 49 C.F.R. Sections 175.33(a) (1), 9 175.33 (a) (1) (I), and 175.33(a) (7), assertedin 10 Complainant's complaint." 11 Now, in addition that, Your Honor, 12 Mr. Dworkin talks about numerous civil 13 penalties that do not -- aren't ln the same 14 ballpark as far as numbers that he sees his 15 civil penalty as. And, Your Honor, Judge 16 Kolko ruled some time ago in Envirosolve that 17 the hazardous material cases are viewed with 18 the totalityof circumstances, and that's what 19 you have to look at each case with, the 20 totality of circumstances, and they can be 21 viewed differently. 22 So there's not going to be a

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.. N.W. WASHINGTON, D.C. 20005-3701 www.nealrgross.com23 1 number that's going to be consistent that Mr. 2 Dworkin's going to be happy with, because we 3 look at the facts of each particularcase with 4 regard to those particular cases. 5 With regard to the testimony, Your 6 Honor, certainlywith regard to the motions in 7 limine as we bring our witnesses in, you know, 8 we can make rulings with regard to the 9 evidentiarymaterial that those witnesses are 10 going to testify to, but Mr. Buchanan and Mr. 11 Klimas will testify to facts which are within 12 the purview of Rule 602 of the Federal Rules 13 of Evidence, and those particular issues will 14 go to the fact issues that are set forth in 49 15 U.S.C. 5123 (c) (1), (2), and (3), only four 16 points of those, Your Honor. 17 And we're prepared to bring our 18 first witness, Your Honor. 19 JUDGE GOODWIN: Sure. Okay. 20 MR. ARCHIER: May I? 21 JUDGE GOODWIN: Yes. 22 MR. ARCHIER: Okay.

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### 24

1 

### JUDGE GOODWIN: Do you want a rule 2 on witnesses, or does it make any difference? 3 In Maryland, we call it a rule on witness 4 sequestration. Does it make any differenceto 5 either one of 6 

### MR. DWORKIN: It doesn't make any 7 difference, Your Honor. 8 

### JUDGE GOODWIN: Okay. 9 

### MR. ARCHIER: So you don't have a 10 problem if the

-- 11 

### JUDGE GOODWIN: We don't have a 12 problem. 13 

### MR. ARCHIER: Yes. Okay. But

-- 14 thank you, Your Honor. 15 (Pause.) 16 

### JUDGE GOODWIN: Sir, raise your 17 right hand. 18 Whereupon, 19 BRYAN EDWARD BUCHANAN 20 having been first duly sworn, was called as a 21 witness herein and was examined and testified 22 as follows:

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### 1 JUDGE GOODWIN: Please be seated. 2 Stateyour name for the record, and spell your 3 first and last name. 4 

### THE WITNESS: Bryan Edward 5 Buchanan. First name, B-R-Y-A-N, last name, 6 Buchanan, B-U-C-H-A-N-A-N. 7 

### JUDGE GOODWIN: Counsel. 8 

### DIRECT EXAMINATION 9 

### BY MR. ARCHIER: 10 Q 

### Good morning, Mr. Buchanan. How 11 are you today? 12 A 

### Fine. Thank you. 13 Q 

### Would you please tell the Court 14 where you work at? 15 A 

### I work for the FAA. 16 Q 

### And what are your duties? 17 A 

### I am a manager in the hazardous 18 materials safetybranch in Fort Worth, Texas. 19 Q 

### Okay. Tell me a little bit about 20 what you do on a day-to-day basis. 21 A 

### I supervise eight special agents 22 who work in three different states that

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### 26 1 conduct inspections and investig3.tions of 2 

### violations of the hazardous material 3 regulations. 4 Q 

### And how long have you worked with 5 the Federal Aviation Administration? 6 A 

### About 17 years. 7 Q 

### Okay. Where did you work prior to 8 comingto the FederalAviationAdministration? 9 A 

### I worked for the Federal Highway 10 Administration, Office of Motor Carriers, 11 which is currently the Federal Motor Carrier 12 Safety Administration. 13 Q 

### Okay. And how long did you work 14 there? 15 A 

### Seven years. 16 Q 

### Seven years. And what capacity 17 did you work? 18 A 

### I was a special agent with that 19 organization as well. 20 Q 

### Okay. So totallyyou've worked in 21 the hazardous material arena for about how 22 many years?

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### 27 1 A 

### Close to 25. 2 Q 

### Okay. Now, Mr. Buchanan, are you 3 

### familiar with the Martinaire Aviation, LLC, 4 

### inspection and investigation? 5 A 

### Yes. 6 Q 

### Okay. What kind of operations is 7 Martinaire? 8 A 

### They are a Part 135 on-demand 9 cargo carrier. 10 Q 

### Okay. Can you describe in a 11 little bit more detail what the company does? 12 A 

### They currently have a contract 13 with United Parcel Service and, I believe, 14 DHL. 

### And they are a feeder operation, and 15 they take freight from small markets to larger 16 markets, and then back from larger markets to 17 small markets on a contract basis. 18 Q 

### Okay. Tell the Court how you were 19 involved in the Martinaire comprehensive 20 hazardous material inspection. 21 A 

### I supervise the agent who was the 22 lead agent, Mr. Paul Klimas, who conducted

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### 1 that inspection with other special agents. 2 Q 

### How was the inspection conducted? 3 A 

### It was conducted at the corporate 4 

### office in Addison, as well as some ramp 5 

### inspection activity at Dallas-Fort Worth 6 

### International Airport. 7 Q 

### Okay. Mr. Buchanan, can you 8 

### describe for the Court what Martinaire's 9 

### process is for creating or before I go 10 

### that, let me back up. Can you tell the Court 11 

### what a notification of pilot-in-command form 12 

### is? 13 A 

### A notificationof pilot-in-command 14 

### is a document that details the hazardous 15 

### materialsthat are acceptedand transportedon 16 

### an aircraft, and their location and other 17 

### information that could be used by emergency 18 

### responders or the pilot in charge. 19 Q 

### Okay. Are you familiar with the 20 

### process that Martinaire uses to create its 21 

### notification for pilot-in-command forms? 22 A I 

### am.

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### 1 Q 

### Can you tell the Court that 2 process, please. 3 A 

### At the smaller stations, the 4 

### remote locations, the UPS or the DHL truck 5 

### will back up to the Martinaire aircraft. The 6 

### pilot will then go through an inspection, an 7 

### acceptance process of those hazardous 8 

### materials. He will fill out the notice to 9 pilot-in-command. He will place the materials 10 on the aircraft in specific locations and 11 notate that on the NOPIC. 12 And then at that point, before he 13 takes off, he will contact his dispatch 14 

### office. he will provide the information on 15 that NOPIC form to a dispatcherwho will write 16 it down verbatim, and then a record is at the 17 dispatch office, as well as the pilot has a 18 

### record in his possession. And then at that 19 point, the pilot will start his journey to the 20 larger station. 21 Q 

### Okay. 22 MR. ARCHIER: Your Honor, is the

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### 30 1 tone okay for you? 2 

### JUDGE GOODWIN: Sure. Thank you. 3 

### BY MR. ARCHIER: 4 Q 

### How many shipments were involved 5 

### ln the comprehensive inspection that was 6 conducted on July 8, 

### 2011? 7 A 

### There were multiple shipments 8 inspected. As far as the investigation, there 9 were 17 documented. 10 Q 

### Okay. Can you tell the Court a 11 

### little bit about the type of what 12 specificallyyou did with regard to the-- any 13 documents that were created as a result of 14 this inspection? 15 A 

### Can you restate the question, 16 please? 17 Q 

### Yes. What was your role 18 specifically in reviewing any investigative 19 reports? Can you tell the Court that. 20 A 

### My role as a 

### manager or a 

### 21 supervisor is to review the work that was 22 

### created by the special agents of the

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### 31

1 

### inspection, as well as the subsequent 2 investigation and the report that documented 3 that. 4 Q 

### Okay. And did you review that 5 

### particular work for this particular 6 inspection? 7 A 

### Yes, I did. 8 Q 

### Okay. And what specifically did 9 you review? 10 A 

### I reviewed the inspection report. 11 I reviewed the enforcement investigative 12 report, which is the documentation of the 13 investigation. 14 Q 

### Would that inspection report have 15 a statement from the special agent who 16 conducted the investigation? 17 A 

### Yes, it would. 18 Q 

### Okay. Did you revlew that report 19 also? 20 A 

### I did. 21 Q 

### Now, can you tell the Court a 22 little bit about the noncompliance that you

NEALR. GROSS (202) 234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE ,N.W. WASHINGTON, D.C. 20005·3701 www.nealrgross.com32 1 witnessed. 2 A Early ln the inspection process, 3 Special Agent Klimas contacted me by 4 telephone, and he explained to me what he was 5 discovering during the inspectionprocess. I 6 had him provide me informationover the phone 7 of what exactlywas deficient in those NOPICs, 8 and they were missing many things, like the 9 proper shipping name, the hazard class, the 10 packing group, the UN number, some or in part 11 or the entire the shipping description 12 would be missing, and there would be a trade 13 name for the material in some cases. 14 Q What categories of hazardous 15 material did those notification to pilot-in16 command forms reflect? 17 A All different categories, 18 categories A, B, and C. 19 Q And what's the significance of 20 category -- the risk category A? 21 A Category A is a material that 22 would present a catastrophic risk to a pilot

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### 33

1 

### and to an aircraft. 2 Q 

### And as far as category B, can you 3 describe for the Court what

-- just generally 4 

### what that type of risk that poses. 5 

### A I believe it states that it would 6 

### pose an immediate risk to pilot and aircraft. 7 Q 

### Okay. And you're saying it poses 8 

### an immediate risk if that hazardous material 9 

### were released inside the confines of an 10 

### aircraft? 11 A 

### That's correct. 12 Q 

### Okay. And do you know whether the 13 

### notification to pilot-in-command forms also 14 

### had category C risk category hazardous 15 

### materials? 16 A 

### That's correct. 17 Q 

### Now, in your position, Mr. 

### 18 Buchanan, you're familiarandyou work closely 19 withthe FederalAviationAdministrativeOrder 20 2150.38. 

### Is that correct? 21 A 

### That is correct. 22 Q 

### Okay. And you're familiar with

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### 1 the

-- how Martinaire is classified. Can you 2 tell the Court how Martinaire is classified? 3 A 

### In accordance with the 2150.3B, 4 they are considered a group 2 air carrier. 5 Q 

### Okay. What does a group 2 alr 6 carrier mean? 7 A 

### That is an air carrier that has a 8 gross revenue less than $100 millionannually. 9 It has 50 or more pilots, and it has 25 or 10 more aircraft. 11 Q 

### Okay. And I believe possibly you 12 misstated. It has 50 or less pilots. Is that 13 what you meant? 14 A 

### That is correct. Fifty or less. 15 Q 

### Okay. Now, what kind of standard, 16 Mr. Buchanan, is an airline that transports 17 hazardous material held to? 18 A 

### It's held to a high standard. 19 Q 

### Okay. And why is that? 20 A 

### When hauling hazardous materials, 21 if there is an incident, if there's no way to 22 communicate what exactly is going on or the

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### 1 hazardpresented, it wouldpresent a danger to 2 emergency responders, transportation crew, 3 even the pilot and copilot in some situations. 4 Q 

### Okay. Now, Mr. Buchanan, I want 5 to shift ground here, and I want to talk a 6 

### little bit about Martinaire's violation 7 history. Okay? All right. You're familiar 8 withMartinaire'sviolationhistory. Correct? 9 A 

### Yes, I am. 10 Q 

### All right. Tell the Court what 11 you knowaboutMartinaire'sviolationhistory. 12 A 

### Prior to July 2011, the day of the 13 inspection, Martinaire had a closed civil 14 penalty case for NOPIC violations that was 15 paid ln March of 2011, I believe, and they 16 also had a closed civil penalty case for 17 failing to inspect a misdeclared hazardous 18 material, I believe. 19 Q 

### Okay. Now, Mr. Buchanan, I want 20 to talk about Martinaire's corrective action. 21 You're familiar with Martinaire's corrective 22 action. Correct?

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### Yes. 2 Q 

### All right. When was the late

-- 3 when was the date of the last inspection that 4 was conducted at Martinaire by one of your 5 special agents? 6 

### A That would be December of 2013. 7 Q 

### Okay. And can you tell the Court 8 

### what that inspection showed. 9 

### A We found the same or similar type 10 

### violations at Martinaire. 11 Q 

### Okay. And when you say, the same 12 or similar type violations, can you just 13 elaborate on that? 14 A 

### Sure. They were NOPIC violations, 15 very similar to the case that was written in 16 July of 2011. 17 Q 

### Now, Mr.

-- 18 

### MR. ARCHIER: Your Honor, if I 19 may, I'd like to approach the witness. I have 20 an exhibit that we would like to move to -- 21 into evidence, and I will

-- may I approach 22 the bench or --

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1 

### JUDGE GOODWIN: Sure. Thank you. 2 MR. ARCHIER: (Handing document.) 3 Your Honor, we're showing you what is marked 4 

### as Government Exhibit 100.01. 

### Here's for a 5 

### copy for the court reporter, and here's a copy 6 

### for the witness. 7 

### (The document referred to was 8 

### marked for identification as 9 

### Government Exhibit 100.01.) 10 

### BY MR. ARCHIER: 11 Q 

### Mr. Buchanan, would you please 12 take a look at Government Exhibit 100.01, 

### 13 please. 14 

### MR. DWORKIN: Objection, Your 15 Honor. 16 

### JUDGE GOODWIN: It's the first 17 

### exhibit. Go ahead. 18 

### MR. DWORKIN: Objection. Number 19 one, this is Mr. Klimas's statement, not Mr. 20 

### Buchanan's. Number two, again, the 21 allegations of NOPIC irregularities to which 22 this statement pertains have already been

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1 

### established. They're uncontroverted. 2 

### JUDGE GOODWIN: I 

### think the 3 

### objection's premature at this point. 4 Objection's overruled. 5 

### MR. ARCHIER: Thank you, Your 6 Honor. 7 BY MR. ARCHIER: 8 Q 

### Mr. Buchanan, take a moment and 9 look at the Government Exhibit 100.01. 10 A 

### (Perusing document.) Okay. 11 Q 

### Do you recognize it? 12 A 

### Yes, I do. 13 Q 

### What is it? 14 A 

### It is the statement of Special 15 Agent Paul Klimas in the investigation of 16 

### Martinaire for violations of the NOPIC 17 standard. 18 Q 

### And when was this statementby Mr. 19 Klimas conducted? 20 A 

### At or about the same time as the 21 inspection in July of 2011. 22 Q 

### Okay. Now, Mr. Buchanan, is this

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1 

### document, this statement by special agent, is 2 this a record of the inspection of July 8, 3 2011, 

### that was conducted by Mr. Paul Klimas? 4 A It 

### is a 

### record of the 5 

### investigation of Special Agent Paul Klimas. 6 Q 

### Was this document made at or near 7 

### the time of the inspection? 8 A 

### Yes, it was. 9 Q 

### Mr. Buchanan, was this document 10 

### made by Mr. Klimas who conducted the 11 

### inspection? 12 A 

### Yes, it was. 13 Q 

### Is this statement part of the 14 

### record that is kept in the regular course of 15 

### business conducted by the Federal Aviation 16 

### Administration? 17 A 

### Yes, it is. 18 Q 

### Mr. Buchanan, is it a regular 19 

### practice of the Federal Aviation 20 Administration to keep this kind of record? 21 A 

### Yes, it is. 22 Q 

### Okay. Mr. Buchanan, was this

NEAL R. GROSS (202) 234-4433 COURT REPORTERSAND TRANSCRIBERS 1323 RHODE ISLANDAVE., N.W. WASHINGTON, D.C. 20005-3701 www.nealrgross.com40 1 particular record created by a computer and a 2 program? Was it generated by a computer and 3 a program? 4 A Yes, it was. 5 Q Was the computer and program which 6 generatedthis record in good working order at 7 all relevant times? 8 A Yes, it was. 9 Q Now, Mr. Buchanan, did Paul Klimas 10 possess the knowledge and training to 11 correctlyoperate the computer that generated 12 this report? 13 A Yes, he was. 14 MR. ARCHIER: Your Honor, the 15 Federal Aviation Administratim moves for 16 admission of Government Exhibit 100.01 as a 17 business record which Mr. Buchanan had the 18 opportunity to review, and it reflects the 19 thoughts of Mr. Paul Klimas who will also 20 testify here today, and it reflects the fact 21 that Mr. Buchanan reviewed this document as a 22 part of his work.

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### MR. DWORKIN: Your Honor, the same 2 objection and additionally objecting on the 3 

### grounds of lack of foundation. There's no 4 evidence as to what type of computer, what 5 

### type of program. You know, did they use 6 

### Windows. Did they use Safari? Did they use 7 

### Google Earth? Who knows? 8 

### JUDGE GOODWIN: Objection's 9 

### overruled. However, it's not going to 10 

### preclude you when the witness is called to 11 

### make inquiry. Your objection goes to the 12 

### weight that the Court will give the document. 13 

### So Agency 100.01 

### for identification is 14 

### received into evidence as 100.01. 15 

### (The document referred to, 16 

### having been previously marked for 17 

### identification as Government 18 

### Exhibit 100.01, 

### was received in 19 

### evidence.) 20 

### BY MR. ARCHIER: 21 Q 

### Mr. 22 JUDGE GOODWIN: Go ahead.

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### 42

1 

### MR. ARCHIER: Okay. 2 

### BY MR. ARCHIER: 3 Q 

### Mr. Buchanan, I want to talk a 4 little bit about the purpose of the notice of 5 

### pilot-in-command forms. 6 A 

### Okay. 7 Q 

### Tell the Court the purpose of the 8 

### notice of pilot-in-command forms. 9 A 

### The notice of pilot-in-command 10 

### form provides a pilot the information on 11 

### exactly what is loaded on his aircraft, where 12 it is located, and other emergency 13 information. 14 Q 

### Okay. If the notice of pilot-in15 command form is not completed properly, does 16 it pose a threat to anyone? 17 A 

### It does. It poses a threat to the 18 pilot who may not know what he's got on his 19 

### aircraft. It also poses a threat to the 20 emergencyresponderswho wouldhave no idea on 21 how to react to a situation with a hazardous 22 material.

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1 Q 

### Can you give the Court an example 2 of how an emergency responder would have to 3 deal with a situation involving a hazardous 4 material that it didn't know-- it didn't have 5 

### any knowledge of what

-- of. 6 A 

### If an aircraft was on fire or 7 

### there was some other incident that occurredon 8 an aircraft, a fire department would not have 9 access to information on the aircraft if the 10 information had not been properly filled out 11 

### on the NOPIC. 12 Q 

### Is there anything else? 13 A 

### (No response.) 14 Q 

### How would it affect the pilot-in15 command? 16 A If the pilot-in-commandwas having 17 an issue, if there was a fire on the aircraft 18 or some other type of incident, the pilot 19 could possibly make

-- take action to remove 20 the hazard from an area that was on fire or 21 causing an issue. 22 Q 

### Okay. So my understandingis that

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### 1 the pilot

-- the notice for pilot-in-command 2 

### is not just a piece of paper. Is that 3 

### correct? 4 A 

### That is correct. 5 Q 

### Okay. 6 

### MR. ARCHIER: Your Honor, I have 7 

### no further questions. Thank you. 8 

### JUDGE GOODWIN: Mr. Dworkin. 9 

### CROSS-EXAMINATION 10 

### BY MR. DWORKIN: 11 Q 

### Good morning, Mr. Buchanan. 12 A 

### Good morning, sir. 13 Q 

### I'm Mike Dworkin. We've met 14 

### previously. 15 A 

### Yes, sir. 16 Q 

### In most cases involving the 17 carrlage of hazardous material, it is someone 18 other

-- or in most situations involving the 19 air carriage of hazardous materials by most 20 alr carriers, the procedurethat's followed is 21 different than the procedure that Martinaire 22 follows with respect to the preparationof the

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### NOPICs. Is that correct? 2 

### MR. ARCHIER: Your Honor, I 

### 3 object. That's a compound question, and it's 4 

### ambiguous. 5 

### JUDGE GOODWIN: Well, it's

-- if 6 

### you can answer it, overruled. 7 

### MR. DWORKIN: Let me ask

-- let me 8 

### withdraw the question. Let me rephrase it. 9 

### BY MR. DWORKIN: 10 Q 

### In terms of the preparation of 11 

### NOPICs, is Martinaire's procedure any 12 different than AmericanAirlines' procedures? 13 A 

### Yes, it is different. 14 Q 

### How is it different? 15 A 

### With American Airlines, 16 transportationworkers or a computer program 17 generates a NOPIC for the pilot. In the case 18 of Martinaire, the pilot generates the NOPIC 19 after he conducts the acceptance and stowage 20 of the hazardous material. 21 Q 

### Okay. And with respect to most of 22 the cargo carriers and most of the air

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### 1 carriers that you have had experience with, 2 the procedure utilizedby American where some 3 

### prepares the NOPIC and gives it to the pilot 4 

### or gives it to the crew, that's pretty much 5 

### the standard of the industry. Is that 6 

### correct? 7 A 

### For the larger cargo carrlers, 8 

### correct. 9 Q 

### Whereas in Martinaire's case, it 10 

### is the pilot who prepares the NOPIC, so 11 

### basically the pilot is doing a notice to 12 

### himself. 13 A 

### That is correct. 14 Q 

### Okay. Now, where does the pilot 15 

### get this information from? 16 A 

### In the case of Martinaire? 17 Q 

### Yes. In the case of Martinaire. 18 A 

### In the case of Martinaire, the 19 pilot is conducting the inspection and 20 acceptanceof the hazardousmaterial, so he is 21 

### filling out the NOPIC at the same time. 22 Q 

### Okay. Now, with respect to the

NEALR. GROSS (202) 234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE., N.W. WASHINGTON, D.C. 20005-3701 www.nealrgross.com47 1 feeder flights that Martinaire conducts for 2 DHL and UPS, is there not a coupon that DHL 3 and UPS give the pilot which shows the 4 hazardous material, the UN number, the 5 quantity, the commonname, the technicalname, 6 and all that other good stuff? 7 A There is a coupon generatedby UPS 8 that is provided to the pilot. 9 Q So the and this coupon has 10 pretty much the same information that the 11 Martinaire NOPIC form has. Correct? 12 A Basic

-- yes. 13 Q Okay. So basicallywhat the pilot 14 is doing when he prepares or she prepares the 15 NOPIC for Martinaire is they're taking the 16 information from the DHL coupon or the UPS 17 coupon and basically transcribing it onto 18 another form. 19 A Onto a single document. Yes, sir. 20 Q And then they fax that or call it 21 in to dispatch. 22 A That is correct.

NEALR. GROSS (202) 234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE., N.W WASHINGTON, D.C. 20005-3701 www.nealrgross.com48 1 Q So the pilot-in-command,by virtue 2 of his or her receipt of the DHL coupon, 3 already knows what's on that airplane. 4 A Yes. 5 Q And with respect to the NOPIC 6 irregularities

-- and I think you testified 7 there were 17 of them that Mr. Klimas 8 observed-- those were the dispatch copies of 9 the NOPICs. Is that correct? 10 A That is correct. 11 Q So

-- and what dispatch does is 12 they have to maintain a 90-day file. Is that 13 correct? 14 A That is correct. 15 Q So there is a binder, and it has 16 all the HAZMAT shipments for the previous 90 17 days. Is that correct? 18 A That's correct. 19 Q And in that 90-day period in July 20 of 2011, how many HAZMAT shipments and how 21 many NOPICs were in that 90-day file? 22 A I'm not sure. I'd have to go back

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### 1 and look at documentation. 2 Q 

### Would it have been several 3 

### hundred? 4 A 

### Yes. 5 Q 

### Okay. So in other words, we're 6 

### talking about 17 

### out of several hundred that 7 

### had errors. 8 A 

### Yes. 9 Q 

### Now, you indicatedthat this was a 10 

### comprehensive HAZMAT audit of Martinaire 11 

### conducted by Mr. Klimas. Is that correct? 12 A 

### That's correct. 13 Q 

### And it actually started that day 14 

### at DFW. Is that correct? 15 A 

### I believe that's correct. 16 Q 

### And there were no discrepancies 17 

### found. 18 A 

### On the ramp inspection, no. 19 Q 

### Okay. And then it went to 20 Martinaire'sheadquartersat Addison. Is that 21 correct? 22 A 

### That's correct.

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### And with the exception of the 2 NOPICs

-- I mean, there were other things that 3 

### were looked at, other than NOPICs. Is that 4 correct? 5 A 

### That is correct. 6 Q 

### And Martinaire passed muster on 7 

### all those other things, other than these 17 8 

### NOPICs. 9 A 

### To the best of my knowledge, 10 

### that's correct. 11 Q 

### Now, you indicated that or 12 

### testified that Martinaire is a group 2 13 

### carrier, because its revenues are less than a 14 100 

### million a year. It has less than 50 15 

### pilots but more than 25 

### aircraft. 16 A 

### Correct. 17 Q 

### Okay. Now, for purposes of 18 

### establishinggroup 2 

### status, does it make any 19 

### difference whether the airplanes are owned or 20 

### leased or borrowed? 21 A 

### No. 22 Q 

### It doesn't. So ln other words, if

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### 51 1 they have 25 or more aircraft on their op 2 specs, they are a group 2 

### carrier. 3 A 

### Yes. 4 Q 

### Okay. Does it make any difference 5 what size the airplanes are? 6 A No. 7 Q 

### Okay. So ln other words, a B 

### company-- and the civilpenalties for a group 9 2 carrier are higher than they are for a group 10 

### 3 or group 4 carrier. Is that correct? 11 A 

### That is correct. 12 Q 

### Okay. So 

### ln other words, if 

### 13 Martinaire and Martinaire operates small 14 aircraft. Is that correct? 15 A That is correct. 16 Q 

### They have Cessna 208 Caravans, and 17 

### they have a couple of Twin Beeches. Is that 18 correct? 19 A 

### To the best of my knowledge, yes, 20 sir. 21 Q 

### Okay. So if instead of operating 22 more than 25 light aircraft, if Martinairegot

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### 52 1 rid of all the small airplanes and, let's say, 2 acquired 24 757 freighters, provided it had 3 less than 50 pilots, provided that its 4 revenues were less than 100 million, it would 5 be treated as a group 3 or a group 4 carrier. 6 Is that correct? 7 A 

### That is correct. 8 Q 

### So they could haul a lot more 9 freight and be exposed to a lot less civil 10 penalties if they had bigger airplanes but 11 fewer of them. 12 A 

### That is correct. 13 Q 

### Does that make sense? 14 

### MR. ARCHIER: Objection, Your 15 

### Honor. It's a hypothetical. It calls for 16 speculation. 17 JUDGE GOODWIN: Well, sustained as 18 to whether it makes sense. I understandyour 19 argument, Counsel. 20 

### BY MR. DWORKIN: 21 Q 

### Now, did you review Martinaire's 22 response to the FAA investigation that Mr.

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### 1 Klimas had initiated? 2 A 

### I did. 3 

### MR. DWORKIN: May I approach, Your 4 Honor? 5 

### JUDGE GOODWIN: Yes. 6 

### BY MR. DWORKIN: 7 Q 

### Mr. Buchanan, I'm showingyou what 8 

### has been marked for identificationas Exhibit 9 

### R-1. 10 

### (The document referred to was 11 marked for identificatim as 12 

### Respondent's Exhibit R-1.) 13 

### BY MR. DWORKIN: 14 Q 

### Can you tell me what that is? 15 A 

### It appears to be the letter of 16 response and associateddocuments in response 17 to the investigation. 18 Q 

### Okay. And when

-- and you had 19 

### reviewed that previously. Is that correct? 20 A 

### Yes, sir. 21 Q 

### Okay. And were you satisfiedwith 22 Martinaire's response?

NEAL R. GROSS (202) 234-4433 COURT REPORTERSAND TRANSCRIBERS 1323 RHODE ISLANDAVE., N.W. WASHINGTON, D.C. 20005-3701 www.nealrgross.com54 1 A I took it into consideration, and 2 I was satisfied with it. 3 Q Okay. And did Martinaire take 4 corrective action? 5 A Martinaire promised corrective 6 action. Yes. 7 Q Did it take corrective action? 8 A I had no way to verify that. 9 Q Doesn't the

-- don't the exhibits 10 indicate certain corrective actions that were 11 taken? 12 A There is some. That is correct. 13 But as far as I would not know without 14 conducting an additional inspection. 15 Q Okay. Was there anything that 16 Martinaire should have done that it didn't do 17 ln responding to Mr. Klimas's investigation? 18 A Nothing in addition to what was 19 stated there. 20 Q Now, let's talk about the purpose 21 of HMR Section 175.33. As I read 175.33, it 22 basically says that the operator of the

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### 55

1 

### aircraft has to provide the pilot-in-command 2 with accurate written information concerning 3 

### the shipping name, hazard class, 4 identificationnumberof the materials, so the 5 pilot knows what he or she has on board the 6 airplane. Is that correct? 7 A That is correct. 8 Q 

### And that's the regulatory purpose 9 of the HMR. Correct? 10 A Yes. 11 

### MR. ARCHIER: Your Honor, the FAA 12 objects to this line of questioningbecause it 13 

### calls for legal conclusions. It's already 14 been establishedthat the Martinaireviolated 15 these regulations. 16 

### MR. DWORKIN: This is cross17 examination, Your Honor. 18 

### JUDGE GOODWIN: Well, but 19 

### objection's overruled. Certainly I'm not 2

### o going to take any witness 's opinion as to what 21 the law says, but in terms of helping the 22 Court in evaluating the facts, it's helpful.

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### 1 Certainly I'm not going to take anyone's

-- 2 otherwise I wouldn't have anything to do, Mr. 3 Archier, nor wouldMr. Dworkin. He couldmail 4 in his response. 5 

### MR. DWORKIN: That wouldn't be as 6 much fun. 7 BY MR. DWORKIN: 8 Q 

### Is there anything in FAA publicly 9 available documentation, opinions, anything 10 out there which says that the NOPIC is to be 11 used for assisting emergency responders? 12 A 

### The there was a National 13 Transportation Safety Board recommendation, 14 and that's why the NOPIC was created. I can't 15 quote exactly what that was. As a result of 16 the Newburgh, New York, FedEx crash. 17 Q 

### But from the FAA, is there any FAA 18 publicly available documents that says the 19 NOPIC is to be used for emergency response 20 purposes? 21 A 

### Nothing from the FAA. No, sir. 22 Q 

### So your testimony that the NOPIC

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1 lS to be used to assist emergency responders, 2 that's just your personal opinion? 3 A That section of the regulations 4 came out as an NTSB recommendation. 5 Q Well, we're not talking about NTSB 6 recommendations. I'm talking about FAA 7 policy. Is there FAA policy which says that 8 NOPICs are to be used for emergency 9 responders? 10 A Nothing from the FAA. No, sir. 11 Q Okay. And the NTSB, that which 12 you have stated, is simply a recommendation. 13 A That is correct. 14 Q It's not the law. 15 A That is correct. 16 Q Over the past ten years and 17 actually you've been in Southwest Region for 18 17 years. Is that correct? 19 A That's correct. 20 Q In the past 17 years, from your 21 experience, what has been the average dollar 22 amount of civil penalties for NOPIC

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### 1 violations? 2 

### A It would be hard to give you an 3 

### average, just based upon each case's

-- the 4 

### circumstances of each case are different. 5 Q 

### Okay. Do you recall your 6 deposition that I took last May? 7 A 

### Yes, sir, I do. 8 Q 

### Okay. You indicated that the 9 average civil penalty that was sought by the 10 FAA in NOPIC cases was somewhere between 30- 11 

### and $50,000. Do you recall that testimony? 12 A 

### I do recall it. Yes, sir. 13 Q 

### Would that be your testimony 14 today, that the average for NOPIC violations 15 is 30- to $50,000? 16 A 

### I would

-- yes, sir. 17 Q 

### And as a matter of fact, in your 18 deposition, you testified that the FAA has 19 never, ever sought civil penalties for NOPIC 20 

### violatiorrs in excess of $200,000. Is that 21 correct? 22 A 

### To my knowledge, no, sir. That's

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### 1 correct. 2 Q 

### And with respect to Martinaire's 3 response, Exhibit R-1, the FAA was generally 4 satisfied with Martinaire stepping up to the 5 plate and implementing these corrective 6 

### actions. Is that correct? 7 A 

### That is correct. 8 Q 

### Now, with respect to 2013, you 9 mentionedthat there was an inspectionor some 10 discovery in December of 2013. 11 A 

### Yes, sir. 12 Q 

### And they found some NOPIC 13 violations on the dispatch copies in the 90- 14 day file. 15 A 

### Yes, sir. 16 Q 

### Incidentally, the dispatch copies 17 that you found in the 90-day file, were these 18 identical to the pilot copies of the NOPICs, 19 or were they simply the result of the 20 dispatcherstakingdown notes from a telephone 21 call? 22 A 

### The dispatch record is created by

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1 

### the dispatcher, based upon either a 

### 2 conversation or a fax from the pilot. 3 Q 

### Okay. So with respect to this 4 instant case and the December 13 matter, as 5 

### you sit here today, were you able to determine 6 

### whether these NOPIC irregularities contained 7 

### in the 90-day file were the results of the 8 

### dispatcher writing down, you know, the 9 

### filling in the blocks, or whether they were 10 

### the result of the pilot not filling in the 11 

### blocks? 12 A 

### We could not determine that, only 13 

### that the NOPIC that we were inspectingwas in 14 

### violation. 15 Q 

### Okay. So you don't know who 16 

### actually wrote the form, who filled out the 17 

### form, whether it was the pilot or whether it 18 

### was dispatch. 19 A 

### No. It shouldhave been dispatch. 20 Q 

### Oh, okay. So it was the 21 

### dispatcherwho filled out the NOPIC forms that 22 you observed.

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### 61

1 A 

### That is correct. 2 Q 

### So as you sit here today, you 3 don't know what the pilot had on his or her 4 NOPIC forms. 5 A 

### That is correct. 6 Q 

### So although you may have seen 7 irregularities with respect to the dispatch 8 copies of the NOPIC forms, you don't know what 9 the pilot's NOPIC form said or whether or not 10 it was complete or incomplete. 11 A 

### That's correct. 12 Q 

### Now, with respect to December 13 13 of 2013, you noticed that there were some 14 problems with incomplete entries ln the 15 dispatchcopies of the NOPICs containedin the 16 90-day file. 17 A 

### Yes, sir. 18 Q 

### And, again, Martinaire stepped up 19 to the plate, didn't they? 20 A 

### Yes, they did. 21 Q 

### And what did they do? 22 A 

### My understanding is that they did

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.. N.W. WASHINGTON, D.C. 20005-3701 www.nealrgross.com62 1 some retraining. They submitted a letter of 2 response, very similarto the one that we have 3 here, and it's my understandingthat they are 4 addressing that problem. 5 Q And how were they addressing that 6 problem? Do you know? 7 A I don't know exactly. 8 Q Aren't they developing a computer 9 program to make this essentially foolproof? 10 A I have heard that, but I have not 11 inspected or seen that. 12 Q Okay. Were

-- with respect to the 13 computer program that Martinaire has 14 developed, were you in vited to come and 15 inspect it and see how it works? 16 A I was. 17 Q And did you decline that 18 invitation? 19 A I did. 20 Q And why did you decline the 21 invitation? 22 A Our

-- because we weren't ln the

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-- at some point in 2 the future, we should conduct an inspectionto 3 determine if the carrier is in compliance. To 4 go and to look at a program outside of those 5 parameters would not be correct. 6 Q Did you basically tell Martinaire 7 that you weren't going to come and inspect it 8 until after this hearing? 9 A I did not say that. No, sir. 10 Q Did anybody from the FAA say that? 11 A It's possible, but I do not know. 12 Q With respect to Mr. Klimas's 13 statement, Government Exhibit 100.01, you say 14 this was done on a computer? 15 A Yes, sir. 16 Q What type of computer was this 17 statement prepared on? 18 A I believe it's a Dell computer. 19 Q Okay. And you also testifiedthat 20 there was some sort of programthat Mr. Klimas 21 had utilized. What program was that? 22 A The standard Windows Office type

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### 1 program. 2 Q 

### Okay. So there's no magic FAA 3 

### proprietaryprogram in preparingone of these 4 

### statements. Is that correct? 5 A 

### No, Slr. 

### Not at all. 6 

### MR. DWORKIN: I have no further 7 

### questions. Thank you. And, Your Honor, ask 8 that R-1 be received. 9 

### JUDGE GOODWIN: Mr. Archier? 10 

### MR. ARCHIER: Your Honor, we have 11 no objections to R-1. 12 

### JUDGE GOODWIN: Okay. 13 Respondent's 1 for identification will be 14 received as Respondent's 1. 15 (The document referred to, 16 having been previously marked for 17 

### identification as Respondent's 18 

### Exhibit R-1, was received in 19 

### evidence.) 20 

### MR. ARCHIER: We have a -- 21 

### JUDGE GOODWIN: Yes. 22 

### MR. ARCHIER:

-- few questions.

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### 1 REDIRECT EXAMINATION 2 

### BY MR. ARCHIER: 3 Q 

### Mr. Buchanan, there was some 4 testimony about the purpose of the NOPIC, 5 the notification of pilot-in-command form, 6 

### as to its use by the dispatch. Can you 7 explain to the Court how that notice of 8 pilot-in-command form is prepared for the 9 dispatch again, please. 10 A 

### Okay. The pilot will contact the 11 dispatcher. At that point, the pilot will 12 read off what is on the NOPIC. The 13 dispatcher will take that information down. 14 At that point, that becomes the record in 15 the dispatch office, and in a case where 16 there was a crash or an incident and the 17 pilot could not -- they could not find the 18 NOPIC during this incident, they could 19 contact the dispatch office, and the 20 dispatcher could tell them exactly what 21 hazardous materials are on that plane. 22 Q 

### The pilot-in-command also

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### 66

1 

### completes a notice to pilot-in-command form. 2 Correct? 3 A 

### That is correct. 4 Q 

### What happens to the notice to 5 

### pilot-in-command form that the pilot 6 completes? 7 A 

### It's usually discarded. 8 Q 

### Okay. When you say, discarded, 9 

### what do you mean? 10 A 

### Thrown away. 11 Q 

### Okay. So the only record that is 12 

### maintained of the notice of pilot-in-command 13 

### form is the records that are maintained by 14 

### the dispatch office. Is that correct? 15 A 

### That is correct. 16 Q 

### Okay. Now, we also talked about 17 

### on your direct

-- or on your cross18 

### examination, we talked about the variation 19 

### of civil penalties. Are you familiar with 20 

### the term "totality of circumstances"? 21 A I 

### am. 22 Q 

### What does that mean, Mr.

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### 1 Buchanan? 2 A 

### It is taking all of the situation 3 found during the investigation into 4 consideration when determining the 5 appropriate civil penalty. 6 Q 

### Okay. So does that concept 7 basically explain how civil penalties from 8 one case to another could differ? 9 A 

### Yes. 10 Q 

### Okay. Now, Mr. Buchanan, I want 11 to draw your attention to the Government's 12 Exhibit 100.01. If you take a look at 13 page -- if you take a look at the first 14 notification to pilot-in-command form there, 15 do you see that? 16 A 

### Yes, sir. 17 Q 

### Now, at the bottom of that page, 18 

### there's a signature. That signature says, 19 

### Captain or dispatcher's signature. Correct? 20 A 

### Correct. 21 Q 

### Okay. From that particular 22 signature, do you know whose signature that

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### 1 is? 2 A 

### I do not. 3 Q 

### Okay. Now, this particular 4 notification to pilot-in-command form is 5 

### dated June 22, 2011. Is that correct? 6 A 

### Yes, sir. 7 Q 

### How many hazardous material 8 shipments are reflected on this notification 9 of pilot-in-command? 10 A 

### It appears there are three on 11 this specific document. 12 Q 

### Okay. Now, for the moment, I 13 would just like to take a look at the first 14 shipment that ends in 4105. Do you see 15 that? 16 A 

### Yes, sir. 17 Q 

### Okay. Now, what is the proper 18 shipping name that's listed there? 19 A 

### There is

-- 20 MR. DWORKIN: Objection. This is 21 beyond the scope of cross-examination. 22 

### JUDGE GOODWIN: It is beyond the

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### scope. Just for the record, the witness is 2 referring to page 6 of 25 of Agency Exhibit 3 100.01. 

### Mr. Archier? 4 

### MR. ARCHIER: Your ruling on 5 that, Your Honor? 6 

### JUDGE GOODWIN: Well, it's 7 

### sustained. It is beyond the scope. 8 

### MR. ARCHIER: I have one -- I 9 only have limited question on this matter, 10 Your Honor. 11 

### JUDGE GOODWIN: Well, I'11 

### 12 allow

-- it will go to weight, Mr. Dworkin. 13 Your point's well taken, and it's well 14 

### beyond the scope. I also will allow you 15 inquiry

-- 16 

### MR. DWORKIN: Thank you, Your 17 Honor. 18 

### JUDGE GOODWIN:

-- with respect 19 to this. 20 

### MR. ARCHIER: Okay. 21 JUDGE GOODWIN: Go ahead and 22 repeat the question, Mr. Archier.

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### 1 BY MR. ARCHIER: 2 Q 

### Yes. Mr. Buchanan, with regard 3 to any of these shipments, is there a proper 4 shipping name listed? 5 A 

### There is no proper shipping name 6 for any one of the three listed there. 7 

### MR. ARCHIER: Okay. I have no 8 further questions, Your Honor. 9 

### JUDGE GOODWIN: Mr. Dworkin, do 10 you want to make any inquiry? 11 RECROSS-EXAMINATION 12 BY MR. DWORKIN: 13 Q 

### Just to kind of recap here, the 14 NOPICs that you reviewed were the dispatch 15 copies of the NOPICs. 16 A 

### Correct. 17 Q 

### And this was based upon 18 information that the pilot had called in to 19 dispatch. 20 A 

### Correct. 21 Q 

### Okay. Now, to the extent that 22 there were gaps or errors in the dispatch

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### 71 1 copies of the NOPICs, as you sit here today, 2 you have no idea what the pilot's own copy 3 

### of the NOPIC said. Is that correct? 4 A 

### That is correct. 5 Q 

### And with respect to the gaps or 6 the errors, the discrepancies in the 7 dispatch copies of the NOPICs, as you sit 8 here today, you don't know whether the pilot 9 simply didn't mention that stuff, or whether 10 the dispatcher forgot to write it, or 11 whether the dispatcher misunderstood or 12 

### misheard the pilot. Correct? 13 A 

### Correct. 14 

### MR. DWORKIN: No further 15 questions. 16 

### MR. ARCHIER: I have one 17 question, Your Honor. 18 

### JUDGE GOODWIN: Okay. But he'll 19 get half a question. 20 

### MR. ARCHIER: Okay. 21 

### JUDGE GOODWIN: Go ahead. 22 FURTHER REDIRECT EXAMINATION

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### 72 1 BY MR. ARCHIER: 2 Q 

### Mr. Buchanan, shouldn't the 3 notification of pilot-in-command form that 4 the pilot completes, shouldn't that be 5 almost identical with the notification of 6 pilot-in-command form that's in the dispatch 7 office? 8 A 

### It should be. Correct. 9 Q 

### Thank you. 10 

### MR. DWORKIN: I'll spare you, 11 Your Honor. 12 

### JUDGE GOODWIN: You'll pass on 13 your half? 14 

### MR. DWORKIN: Yes. 15 

### JUDGE GOODWIN: Anything further 16 from this witness, Mr. Archier? 17 

### MR. ARCHIER: No, Your Honor. 18 

### JUDGE GOODWIN: Sir, I'm going to 19 instruct you not to discuss your testimony 20 with anybody prlor to the conclusion of the 21 

### hearing. There is no rule on witnesses. 22 It's up to Mr. Archier whether you remain in

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### 1 the courtroom, remain ln the courthouse, or 2 whether you're excused. 3 (Whereupon, the witness was 4 excused.) 5 

### JUDGE GOODWIN: We'll use this 6 

### opportunity to take a break. The Court will 7 

### go off the record. It's 10:20. We actually 8 

### have working clocks, Mr. Dworkin. The last 9 couple times I've been in court, not only 10 were there not working, we didn't have any 11 two remotely close to the real time. 12 So it's 10:20. We'll go off the 13 record until about 25 minutes of. 14 (Whereupon, a short recess was 15 taken.) 16 

### JUDGE GOODWIN: We're on the 17 record. 18 Whereupon, 19 PAUL DANIEL KLIMAS 20 having been first duly sworn, was called as 21 a witness herein and was examined and 22 testified as follows:

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### JUDGE GOODWIN: Please be seated. 2 State your full name for the record, and 3 spell your first and last name. 4 

### THE WITNESS: Paul Daniel Klimas, 5 

### P-A-U-L, spelling of the last name is K-L-I6 

### M-A-S. 7 

### JUDGE GOODWIN: You may be B 

### seated. 9 

### THE WITNESS: Thank you, Your 10 

### Honor. 11 

### DIRECT EXAMINATION 12 

### BY MR. ARCHIER: 13 Q 

### Good morning, Mr. Klimas. How 14 

### are you? 15 A 

### Good morning. I'm fine today. 16 

### Thank you. 17 Q 

### Now, Mr. Klimas, I'm going to ask 18 

### you to talk really loudly because the Judge 19 

### has indicated that he sometimes has 20 

### selective

-- or that he doesn't hear 21 

### everything 22 JUDGE GOODWIN: No. That's

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### 1 Dworkin's comment. 2 MR. ARCHIER: Oh, okay. That was 3 Mr. Dworkin. 4 BY MR. ARCHIER: 5 Q 

### that he sometimes doesn't hear 6 as well, so I'd appreciate it if you'd speak 7 loudly. 8 A 

### I'll concentrate on that. Thank 9 you. 10 Q 

### Okay. Thank you. Mr. Klimas, 11 where do you work at? 12 A 

### The Federal Aviation 13 Administration. 14 Q 

### Okay. And what is your title? 15 A 

### Special agent, hazardous 16 materials. 17 Q 

### Okay. What do you do ln that 18 job? 19 A 

### I'm responsible for the 20 inspection of air carriers, hazardous 21 materials shippers, hazardous materials 22 freight-forwarding companies, FAA-certified

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### 1 repair stations as it pertains to their 2 hazardous materials program and the 3 application of their program. 4 Q 

### Okay. How long have you worked 5 in that job? 6 A 

### Almost 15 years. 7 Q 

### Okay. Was that your first job ln 8 the hazardous material arena? 9 A 

### No, it isn't. I was a hazardous 10 materials specialist with the Federal 11 Railroad Administration prior to that. 12 Q 

### What type of work did you do 13 there? 14 A 

### Very similar to the work that 15 I've done for the last 15 years with the 16 FAA, yet substitute the railroad industry 17 for the aviation industry. A lot of the 18 same shippers, though. 19 Q 

### Okay. And how long were you 20 there? 21 A 

### Seven years. 22 Q 

### Did you do any other hazardous

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### 77 1 material work prior to coming

-- or prior to 2 working with the Railroad

-- 3 A 

### Yes. As a -- on active duty in 4 

### the Department of Army and as a civilian in 5 the Army. 6 Q 

### So how long have you worked in 7 the hazardous material field? 8 A 

### Twenty-five years. 9 Q 

### Okay. Now, Mr. Klimas, you 10 conducted the Martinaire comprehensive 11 inspection that occurred on July 8, 

### 2011. 12 Is that correct? 13 A 

### Yes, I did. 14 Q 

### Okay. Tell the

-- what is your 15 understanding of the kind of operation that 16 Martinaire is? 17 A 

### Martinaire operates feeder 18 aircraft for

-- primarily in this area, for 19 DHL and United Parcel Service airlines. 20 Q 

### All right. Can you describe the 21 purpose of the inspection that you conducted 22 on July 8, 2011?

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### 1 A 

### Routine comprehensive inspection 2 of Martinaire. We started off monitoring 3 in- and outbound flights at DFW early that 4 

### morning. I believe we started at around 5 3:30. 

### That's myself and another colleague, 6 

### Jay Sarah, S-0-R-A-H. Once we were done 7 looking at the final outbound flight that 8 morning, we proceeded to Addison, which is 9 where the

-- their headquarters is and where 10 

### their records are maintained. There is no 11 repository or storage location or ability to 12 view the DFW-oriented records at DFW for 13 Martinaire. 14 There we joined another

-- the 15 other FAA inspector in the area, Dennis 16 Juenemann, and we completed that the 17 portion, the records inspection, at Addison 18 that afternoon. 19 Q 

### Okay. What specific documents 20 

### did you look at when you were at the Addison 21 facility? 22 A 

### At the Addison facility, we

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### 1 looked at the hazardous materials training 2 records for their employees, dispatchers, 3 crew members specifically; their stores 4 

### operation. The stores operation could 5 possibly have some hazardous materials 6 

### shipper applications. That's shipping out 7 parts that might contain hazardous 8 materials, batteries, fire extinguishers. 9 We also took a look at the 90-day or the 10 NOPIC file. 11 Q 

### Okay. And when you say, the 12 NOPIC file, the

-- what do you mean by 13 NOPIC? 14 A Notice to pilot-in-command or N15 0-P-C. There's three or four different 16 acronyms that are commonly used. 17 Martinaire, I believe, calls them an N-0-P18 

### c. 19 Q 

### Okay. And what is an NOPC used 20 for? 21 A 

### It's a summary to -- let me step 22 back. It's, in essence, a summary of the

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1 hazardous materials that are on board that 2 flight, a brief description as well as the 3 location where those items are loaded 4 upon you know, on their aircraft. 5 Q Now, I want to talk a little bit 6 about the findings that you made at -- in 7 your investigation. 8 A Yes. 9 Q Describe to the Court what you 10 discovered during your inspection. 11 A We

-- 12 Q Regarding the NOPICs. 13 A Regarding the NOPICs? Many 14 conflicting NOPICs regarding UN proper -- UN 15 identification numbers, which each hazardous 16 material has a definitive identification 17 number; conflicting with proper shipping 18 names, hazard class, missing special permit 19 numbers, which are also required. 20 Q Okay. Now, how many shipments 21 did you look at during that inspection, or 22 how many shipments did your inspection

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### 81

1 

### record? 2 A 

### How many -- would you please 3 rephrase your question? 4 Q 

### Hazardous material shipments did 5 

### your 6 A 

### How many notices to pilot

-- 7 

### NOPICs did we look at? 8 Q 

### Yes. 9 A 

### Approximately 400. 10 Q 

### Okay. And of the 400, how many 11 notice of pilot-in-command forms did you 12 find discrepancies with? 13 A 

### Twelve. 14 Q 

### Okay. And of those 12 15 notification of pilot-in-command forms, how 16 many shipments were reflected in those 17 notice of pilot-in-command forms? 18 A 

### Seventeen. 19 Q 

### Okay. Did you discover any other 20 issues during your inspection that day? 21 A 

### No, I don't believe so. 22 Everything else was in order.

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### 82 1 Q 

### Okay. Now, after that

-- 2 subsequent to that inspection, you created 3 

### an investigative report. Correct? 4 A 

### Yes. 5 Q 

### Okay. And part of that 6 investigative report is your -- was a 7 

### statement that you prepared. Correct? 8 A 

### Yes. 9 Q 

### All right. 10 

### MR. ARCHIER: And, Your Honor, 11 with your permission, I'd like to show Mr. 12 Klimas a copy of his special agent statement 13 that he prepared, that Mr. Buchanan 14 testified to. 15 

### JUDGE GOODWIN: Sure. Thank you. 16 

### BY MR. ARCHIER: 17 Q 

### (Handing document.) 18 A 

### Thank you. 19 Q 

### Mr. Klimas, I'm showing you what 20 is marked as Government Exhibit 100.01. 21 Take a moment and look at it, will you 22 please.

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### A (Perusing document.) 2 Q 

### Do you recognize it? 3 

### A Yes, I do. 4 Q 

### Okay. What is it? 5 

### A This is a -- 

### my statement 6 regarding this inspection. 7 Q 

### Okay. Now, during your 8 inspection, you looked at various NOPICs. 9 Correct? 10 A 

### Yes. 11 Q 

### And are those NOPICs attached to 12 this statement? 13 A 

### Yes, they are. 14 Q 

### Okay. How would you describe the 15 condition of the NOPICs that you found? 16 A 

### Really poor condition, horrible. 17 

### THE REPORTER: Sir, excuse me. I 

### 18 need for you to get by the mike. 19 

### MR. ARCHIER: Sorry. 20 

### THE REPORTER: Thank you. 21 BY MR. ARCHIER: 22 Q 

### How would you describe those

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### NOPICs that you found? 2 A 

### Not in compliance with the 3 

### regulations. They were -- in my 4 consideration, they were in horrible 5 

### condition. 6 Q 

### Okay. And why do you -- can you 7 

### be specific with regard to horrible 8 

### condition? 9 A 

### Conflicting information. The UN 10 

### number, the identification number, not 11 

### matching the proper shipping name. 12 Q 

### Okay. Mr. Klimas, I'd like to 13 

### take a look at the notification of pilot-in14 

### command, the first one that you that is a 15 

### part of your statement. Would you go there 16 

### and take a look at it. I believe it's page 17 6 

### of this document. 18 

### JUDGE GOODWIN: The first

-- 19 

### MR. ARCHIER: Notice to pilot 20 

### JUDGE GOODWIN: Yes. The first 21 NOPIC is

-- I've paginated as page 6 of 25. 22 BY MR. ARCHIER:

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### Okay. Are you there, Mr. Klimas? 2 A 

### Yes. 3 Q 

### Okay. Are there

-- this 4 

### particular notification of pilot-in-command 5 

### is dated 6/22/11. Can you describe to the 6 Court what type of discrepancies exist on 7 this particular document? 8 A 

### Yes, I can. There were three 9 shipments containing hazardous materials on 10 

### this flight. The first one was missing a 11 

### proper shipping name. The second one -- the 12 second line on that first shipment, the UN 13 number indicates it's 19

-- UN number 1956, 14 compressed gas NOS, but yet they list a 15 hazard class as class I which is an 16 explosive item. 17 Q 

### So those two are incompatible. 18 A 

### They're not correct. Nothing 19 matches up. A UN number 1956 is a gas, not 20 an explosive. 21 Q 

### Okay. Can you move to the next 22 tracking number.

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### 1 A 

### Yes. 2 Q 

### What's the shipping name there? 3 A 

### It's listed as Boehringer. 4 Q 

### What kind of hazard material is 5 Boehringer? 6 A 

### There isn't a hazardous material 7 

### under the name Boehringer. 8 Q 

### Okay. So what you're telling me, 9 if I go to the hazardous material 10 regulations, I'm not going to be able to 11 find a hazardous material by the name of 12 Boehringer. 13 A 

### No, you're not. 14 Q 

### Okay. Are there any other 15 discrepancies with regard to that particular 16 shipment? 17 A 

### Other than missing a packing 18 group, no. 19 Q 

### Okay. What about the third 20 tracking number? 21 A 

### Much like the second one, proper 22 shipping name being JCAH, there isn't a

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### proper shipping name for JCAH. 2 Q 

### Okay. Now, if you look at the 3 

### signatory box down at the bottom, are you 4 

### able to determine who completed this? 5 

### A No. 6 Q 

### Okay. 7 

### A And that's not uncommon. It's a 8 signature. 9 Q 

### Right. Did you obtain this 10 

### particular notification of pilot-in-command 11 

### form from the dispatch office? 12 A 

### It was in the 90-day file at the 13 

### Martinaire headquarters. 14 Q 

### At the Martinaire headquarters. 15 A 

### Yes. 16 Q 

### Okay. Do you know whether 17 someone at the dispatch office completed 18 this form, or the pilot-in-command? 19 A I'm assuming that someone at the 20 

### dispatch office completed this form. That's 21 

### just an assumption. 22 Q 

### Why are you making that

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### 1 assumption? 2 A 

### Because that's how Martinaire 3 maintains their records. 4 Q 

### Okay. Should the notification of 5 the pilot-in-command form that the pilot 6 fills out and the notification of the pilot7 in-command form that the dispatch office 8 

### complete, should that be have the same 9 kind of information on it? 10 A 

### It should. 11 Q 

### Now, can you go in a little bit 12 more detail with regard to when you did your 13 inspection, how were you able to determine 14 what the hazardous material was if it had no 15 shipping name? What type of determination 16 did you make? Did you go to any other 17 documents? 18 A 

### I had to go to the United Parcel 19 Service and ask them via their tracking 20 number or DHL for those documents, and in 21 some cases, the air waybill numbers were 22 incorrectly transcribed by

-- or provided by

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1 

### more? 2 A 

### We could have. 3 Q 

### Okay. And what are you basing 4 that statement on? 5 A 

### There were others with 6 deficiencies on them. 7 Q 

### Okay. Now, Mr. Klimas, I want to 8 talk to you a moment about corrective 9 action. 10 A 

### Yes. 11 Q 

### And are you familiar with 12 Martinaire's corrective action? 13 A 

### Yes. 14 Q 

### Okay. When was the last time you 15 conducted an inspection at Martinaire? 16 A 

### December 2013. 17 Q 

### And when you conducted that 18 inspection, did you investigate the 19 notification to pilot-in-command forms? 20 A 

### Yes, we did. 21 Q 

### Okay. What was your finding 22 about those notification to pilot-in-command

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### 91 1 forms? 2 A 

### We still

-- we found many 3 

### deficiencies. 4 Q 

### Okay. I 

### want to talk for a 5 

### moment about the violation history. Are you 6 

### familiar with Martinaire's violation 7 

### history? 8 A 

### Yes, I 

### am. 9 Q 

### Tell me what you know

-- tell the 10 Court what you know about Martinaire's 11 violation history? 12 A 

### I know that there was a previous 13 violation out of Northwest Mountain for 14 pilot notification records similar to what 15 we came across during this inspection, and 16 it was approximately the same time or 17 shortly after this inspection, there was 18 another hazardous materials-related case 19 involving a shipment out of the Great Lakes 20 Region, out of the Chicago area. 21 Q 

### Okay. Mr. Klimas, is it 22 important that the notification of pilot-inNEALR. GROSS (202) 234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE., N.W WASHINGTON, D.C. 20005-3701 www.nealrgross.com92 

### 1 command forms be filled out correctly? 2 A 

### Yes. 3 Q 

### Why? 4 A 

### For emergency response 5 

### procedures. For example, if there is an 6 incident or an accident involving items 7 classified as hazardous material, emergency 8 responders need to know what's on board that 9 aircraft and where it's located. 10 Q 

### Are you aware of any examples 11 where that's come up in the aviation 12 industry? 13 A 

### 1999, FedEx had an incident in 14 

### Upstate New York excuse me -- Newburgh, 15 New York, involving hazardous materials on 16 board an aircraft, and emergency responders 17 

### would not weren't able to complete trying 18 to rescue or save that aircraft. 19 Q 

### And what happened to the 20 aircraft? 21 A 

### It burned. 22 Q 

### Okay.

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### 1 A 

### No longer useable. 2 Q 

### So who does the notification of 3 the pilot-in-command form, who does it 4 

### protect? 5 A 

### It protects the crew member and 6 those if the incident were to take place in 7 a populated area, you know, those 8 individuals and that property. 9 Q 

### Okay. So it also, in addition to 10 the crew member, it protects the public at 11 large. 12 A Anybody around that potential 13 incident. Yes. 14 Q 

### Okay. And you also say it does 15 

### protect first responders. Is that correct? 16 A 

### Certainly. 17 Q 

### Okay. 18 

### MR. ARCHIER: Your Honor, I have 19 no further questions. 20 

### JUDGE GOODWIN: Mr. Dworkin. 21 MR. DWORKIN: Yes. Thank you. 22 

### CROSS-EXAMINATION

NEALR. GROSS (202) 234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE., N.W. WASHINGTON, D.C. 20005-3701 www.nealrgross.com94 1 BY MR. DWORKIN: 2 Q Good morning, Mr. Klimas. How 3 are you? 4 A Good morning, Mr. Dworkin. 5 Q Okay. So in July 2011, you did a 6 routine comprehensive HAZMAT inspection of 7 Martinaire. 8 A Yes, sir. 9 Q You started at DFW to observe 10 their operations there. You found no 11 discrepancies. 12 A None at DFW whatsoever. 13 Q And then you went to Addison. 14 You reviewed their training records for 15 dispatchers and pilots. 16 A Yes. 17 Q And no discrepancies. 18 A None. 19 Q You reviewed their stores 20 operations. No discrepancies. 21 A That's correct. 22 Q As a matter of fact, would it be

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### 1 fair to say that until you got to the 2 NOPICs, Martinaire was passing with flying 3 colors? 4 A 

### That's fair to say. 5 Q 

### And by the way, speaking of 6 training, the regulations require that the 7 training be done once every 24 months. 8 A 

### That's correct. 9 Q 

### Is that correct? 10 A 

### Yes, sir. 11 Q 

### But Martinaire trains once every 12 12 months. 13 A They have an annual training 14 program. Yes. 15 Q 

### So in other words, they exceed 16 regulatory requirements. 17 A 

### They do. 18 Q 

### Okay. And with respect to the 19 

### NOPICs, these this was the 90-day file 20 maintained by dispatch. 21 A 

### That's the carrier 90-day file. 22 Yes.

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### 1 Q 

### All right. And as you sit here 2 today, with respect to the 12 forms that 3 there were discrepancies in, you don't know 4 who authored those forms, whether it was 5 actually the pilot or whether it was the 6 dispatcher transcribing certain information 7 given by the pilot. 8 A 

### For 100 percent certainty, no, 9 other than their program and we're told 10 these are radioed in from the crew members 11 or telephoned in and transcribed by the 12 dispatchers. 13 Q 

### Okay. And with respect to the 14 errors or the blank spaces or whatever, you 15 don't know whether that was a transcription 16 error on the part of the dispatcher or 17 whether they didn't hear it, or whatever. 18 A 

### There's no way of knowing. 19 Q 

### Okay. So as you sit here today, 20 you don't know what, if any, information the 21 pilot actually called in to dispatch. 22 A 

### The assumption is this is the

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### 1 official record, and that the dispatcher 2 will record precisely what the captain 3 relays aboard-- what's on board that 4 flight. 5 Q 

### Now, the

-- and this form is 6 called a notification to pilot-in-command. 7 A 

### Yes, it is. 8 Q 

### And it basically notifies the 9 pilot as to what he or she has on board. 10 A 

### That's one of its

-- that's the 11 purpose. 12 Q 

### Okay. Now, ln Martinaire's case, 13 the pilot, when he or she accepts the 14 hazardous materials shipment from DHL or 15 

### UPS, gets a little coupon. Correct? 16 A 

### The hazardous material shipping 17 paper is often referred to as a coupon. 18 Q 

### Right. And so the pilot gets a 19 

### coupon which basically prepared by DHL or 20 UPS, which basically has the very same 21 information that would go in the Martinaire 22 NOPIC form.

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### Outside of the location of the 2 material on board the aircraft, it's the 3 same form-- it's the same information. 4 Q 

### It's the same information. And 5 

### ostensibly, it's the pilot who loads the 6 

### airplane. Is that correct? 7 A 

### They do they assist, and they 8 

### monitor the loading. 9 Q 

### So the pilot would know where 10 

### things are on his or her airplane. 11 A 

### Hopefully. 12 Q 

### These are single-pilot aircraft. 13 A 

### Yes. 14 Q 

### Correct? Where in HMR 175.33 15 does it state that the NOPIC is to be used 16 for emergency response procedures or should 17 be available for emergency responders? 18 A 

### It does not state that. 19 Q 

### Are there any FAA written 20 opinions or publicly available information 21 

### which states that the NOPIC is to be used 22 for emergency response purposes?

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### There is a PHMSA letter of 2 interpretation that alludes to -- it states 3 specifically, emergency responders, and 4 

### being able to have that information in event 5 

### of an incident 6 Q 

### And this is a PHMSA

-- 7 A 

### Pipeline and Hazardous Materials 8 

### Safety Administration. 9 Q 

### Okay. But that's not an FAA 10 document. 11 A 

### It is still

-- it's not an FAA 12 document. 13 Q 

### Are pilots supposed to be 14 familiar with PHMSA letters of 15 interpretation? 16 A 

### I wouldn't expect them to be 17 necessarily. 18 Q 

### Would you expect an air carrier 19 to be familiar PHMSA interpretations? 20 A 

### I would. 21 Q 

### Is there anything in FAR 119 or 22 FAR 135 that requires a carrier be familiar

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### 100 1 with PHMSA interpretations? 2 A 

### I don't believe so. Not ln my 3 experience. 4 Q 

### Is there anything in Martinaire's 5 general operating manual or GOM that 6 requires they be familiar with PHMSA 7 interpretations? 8 A 

### I don't believe so. 9 Q 

### Are there any FAA handbooks or 10 orders that state that the NOPIC, ln 11 addition to serving as a notice to the 12 pilot-in-command, is also to be used for 13 emergency response procedures? 14 A 

### I haven't read any. 15 Q 

### So aside from Martinaire, Slnce 16 you're at the Dallas FSDO

-- is that 17 correct? 18 A 

### I'm headquartered out of the 19 regional office. 20 Q 

### At the regional office in Fort 21 Worth. 22 A 

### But I am a field inspector.

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### Okay. So as a field inspector, 2 you would have jurisdiction over not only 3 Martinaire, but for instance, American 4 

### Airlines. 5 A 

### I'm the primary HAZMAT inspector 6 

### for American Airlines here. Yes. 7 Q 

### Okay. So when American Airlines 8 prepares a notice to pilot-in-command, 9 basically that's being done by somebody in 10 

### some office somewhere. They know what's 11 

### coming on board the airplane. They prepare 12 the notice to pilot-in-command, and they 13 give it to the flight crew, so -- 14 A 

### It's done by

-- 15 Q 

### --the flight crew knows what's 16 on the aircraft. 17 A Generally, unless there's a 18 change, a rejection of a shipment or a 19 

### change in the shipment. Those are the only 20 times a cargo planner would not complete 21 that prior to 22 Q 

### Okay. And that's the procedure

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### 102

1 

### used by most air carriers. It's prepared by 2 somebody in their

-- in some department and 3 given to the flight crew. 4 A I don't know about most air 5 carriers, but the larger air carriers. 6 That's United, American. 7 Q 

### Okay. 8 A 

### That's been my experience. Yes. 9 Q 

### Martinaire is just the opposite. 10 It's the pilot who prepares his or her own 11 NOPIC. 12 A 

### I

-- right. It's a little 13 

### different. I've run across a number of 14 others, but few and far between. 15 Q 

### A memo to self. Correct? 16 A 

### It's a little different. Yes. 17 Q 

### So you sent Martinaire a letter 18 of investigation. 19 A 

### Yes. 20 Q 

### And they 21 A 

### My office sent it. I drafted it, 22 and my supervisor signed it.

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### Okay. And did Martinaire respond 2 to the letter of investigation? 3 A 

### Yes, they did. 4 Q 

### And 5 

### MR. DWORKIN: Do we have Exhibit 6 

### R-1, Your Honor? This is a spare copy. 7 

### This is Mr. Buchanan's copy. 8 

### BY MR. DWORKIN: 9 Q 

### Let me show you a copy of R-1. 10 

### Would you take a look at that. 11 A 

### (Perusing document.) 12 Q 

### What is Exhibit R-1? 13 A 

### It's the letter of response. 14 Q 

### And is that the letter of 15 

### response that you received from Martinaire? 16 A 

### It's a copy of. Yes. 17 Q 

### Okay. And that's over whose 18 

### signature? 19 A 

### Mr. Rusinowitz. 20 Q 

### And what is his position with 21 Martinaire? 22 A 

### Executive Vlce president. He

--

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### 104 1 from my -- you know, mentally for me, he's 2 the operations manager. He's

-- he runs the 3 show there. 4 Q 

### Okay. And so when Mr. Rusinowitz 5 sends a letter, eh's speaking for the entire 6 company. 7 A 

### That's my understanding. 8 Q 

### Yes. And in that letter of 9 response, did Martinaire address the FAA's 10 concerns? 11 A 

### They did. 12 Q 

### Did Martinaire take corrective 13 action? 14 A 

### They did. 15 Q 

### Was the corrective action 16 comprehensive? 17 A 

### Would you mind restating the 18 question? 19 Q 

### Was the corrective action 20 comprehensive? 21 A 

### Yes. 22 Q 

### Was the corrective action swift?

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### 105

1 A 

### It was swift. 2 Q 

### Is there anything that Martinaire 3 should have done that they didn't do in 4 

### response to this letter of investigation? 5 A 

### They addressed the findings in 6 

### this letter. 7 Q 

### Okay. And they implemented 8 

### corrective actions. 9 A 

### Yes. 10 Q 

### Okay. Are there any corrective 11 actions that they should have implemented 12 that they did not implement? 13 A 

### I can only speak to the December 14 

### 2013 15 Q 

### We'll get to that. 16 A 

### -- inspection. 17 Q 

### We'll get to that. But up 18 through December '13 19 A 

### At this point, I was satisfied 20 with the corrective actions provided to. 21 Q 

### Did anybody from your office go 22 to Martinaire at any time prior to December

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### 106 1 13 and say, You know, we have your response 2 to the letter of investigation regarding 3 these NOPIC errors, and, you know, there's 4 

### some additional stuff we think you ought to 5 do? 6 A 

### Not that I'm aware of. 7 Q 

### Was there anything ln 8 Martinaire's response to which you or the 9 FAA disagreed? 10 A 

### In this response, no. 11 Q 

### How would you describe the 12 working relationship between your office and 13 Martinaire? 14 A 

### I like the people. I think they 15 

### work hard. I think that they've got a lot 16 on their plate, so I take that into 17 

### consideration, of course. It's good, 18 especially with Mr. Rusinowitz. 19 Q 

### Would you say it's a cooperative 20 working relationship? 21 A 

### It has been, yes, in the past 22 certainly.

NEALR. GROSS (202) 234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE., N.W. WASHINGTON, D.C. 20005-3701 www.nealrgross.com107 1 Q And when the FAA expresses its 2 concerns, Martinaire addresses them. 3 A Mr. Rusinowitz certainly does 4 address them. Yes. 5 Q To your satisfaction. 6 A He always has. 7 Q Let's talk about December '13. 8 A Yes. 9 Q You conducted another inspection 10 of Martinaire. 11 A Yes. 12 Q Was this similar to the July 13 inspection? 14 A July 2011 inspection, yes. 15 Similar process. 16 Q Okay. So in other words, you 17 looked at the operations. You then went to 18 Addison to check training records, stores. 19 Everything's fine until you get to the 20 NOPICs. 21 A Outside of an increased number of 22 flight inspections, inbound and outbound on

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### 108 1 different days leading up to, it was an 2 identical inspection. 3 Q 

### Okay. And again, the only 4 

### deficiencies were the NOPICs. 5 A 

### Yes. 6 Q 

### So when these NOPIC deficiencies 7 

### were discovered, what, if anything, did 8 Martinaire do? 9 A 

### We had a nice discussion about 10 what better that they could do to try to 11 

### solve this. Obviously, things weren't fixed 12 from the 2011 inspection, and I have not 13 

### been back up. It's my understanding that 14 they've put in an extensive program, but I 15 have yet to evaluate that. 16 Q 

### Have you been invited to come and 17 evaluate the program? 18 A 

### I have. 19 Q 

### And why have you not gone? 20 A 

### Because we were waiting for this 21 process to pass. 22 Q 

### So in other words, you didn't

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### 109 1 want to go and evaluate the program until 2 after the hearing. 3 A 

### That wasn't my -- that's

-- yes. 4 Q 

### But that wasn't your call. 5 A 

### Not necessarily. We thought it 6 wasn't prudent until this was done. 7 Q 

### Okay. Now, with respect to the 8 violation history, you referenced two 9 

### previous cases. One was a Northwest 10 Mountain case, and that was a case where the 11 pilot didn't prepare a NOPIC. Is that 12 correct? 13 A 

### That's correct. 14 Q 

### And because he had run out of 15 

### NOPIC forms. is that your understanding? 16 A 

### I believe that I remember seeing 17 that he didn't have the correct form or, you 18 know, some way of annotating it. 19 Q 

### Okay. And Martinaire settled 20 that for something like $20,000. 21 A I know it went out for one 22 amount, and there was a settlement made.

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### 1 Right. 2 Q 

### For less than what the FAA had 3 wanted. 4 A 

### Yes. 5 Q 

### Okay. And do you recall that 6 settlement was also made without admission 7 of liability? 8 A 

### I believe I remember reading that 9 somewhere ln the body or the language. 10 Q 

### Okay. And then there was the 11 Great Lakes Region case, and that's also 12 known as the Purple Power case. 13 A 

### Purple Power. I can't forget 14 that one. 15 Q 

### Okay. And that was a case where 16 the pilot on the side was washing airplanes. 17 Correct? 18 A 

### Yes. 19 Q 

### And so he went to Home Depot, 20 bought some Purple Power cleaner, and 21 without telling anybody at Martinaire, took 22 this jug of Purple Power and put it on the

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### airplane. Is that correct? 2 A 

### Okay. I don't know about where 3 

### he got it. I just know that there was 4 Purple Power undeclared as a hazardous 5 material. 6 Q 

### And unbeknownst to Martinaire. 7 Correct? 8 A 

### That I couldn't tell you, but I 9 just know that there was an undeclared 10 shipment on the flight. 11 Q 

### Okay. And that case was also 12 

### settled. Correct? 13 A 

### Yes. 14 Q 

### So Martinaire has had a lot fewer 15 HAZMAT cases than American Airlines or 16 

### Southwest Airlines. Right? 17 A 

### I can only speak to American 18 Airlines. 19 Q 

### Okay. Have they had fewer HAZMAT 20 cases than American Airlines? 21 A 

### Yes. Much larger company as 22 well.

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1 Q Okay. And has American ever been 2 confronted with a $206,550 HAZMAT civil 3 penalty? 4 A That I'm not aware of. 5 MR. DWORKIN: No further 6 questions. Thank you. 7 JUDGE GOODWIN: Redirect? 8 MR. ARCHIER: I have no further 9 questions. 10 JUDGE GOODWIN: Okay. Sir, 11 you're excused. I'm going to admonish you 12 not to discuss your testimony with anybody 13 prior to the conclusion of the hearing. 14 It's up to Mr. Archier whether you have to 15 remain or whether you're excused. 16 THE WITNESS: Thank you, Your 17 Honor. 18 (Whereupon, the witness was 19 excused.) 20 JUDGE GOODWIN: Additional 21 witnesses, Mr. Archier? 22 MR. ARCHIER: No, Your Honor.

NEAL R. GROSS (202) 234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE., N.W. WASHINGTON, D.C. 20005-3701 www.nealrgross.com113 1 JUDGE GOODWIN: You rest? 2 MR. ARCHIER: Yes. 3 JUDGE GOODWIN: You say that with 4 hesitation. 5 MR. ARCHIER: Well, Your Honor, 6 let me make this reservation, Your Honor. 7 May we call Mr. Buchanan as a rebuttal 8 witness after we hear the Respondent's 9 witness? 10 MR. DWORKIN: It's his case. I 11 have no control over who they call as a 12 rebuttal witness. 13 JUDGE GOODWIN: It doesn't matter 14 to me. 15 MR. ARCHIER: That's what we'd 16 like to reserve, because I presume you're 17 going to put on Mr. Rusinowitz

-- 18 MR. DWORKIN: Rusinowitz. 19 MR. ARCHIER: Yes. Am I correct? 20 MR. DWORKIN: Yes. 21 MR. ARCHIER: Okay. All right. 22 And then if we need to, we'll call Mr.

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### 1 Buchanan as a rebuttal. 2 JUDGE GOODWIN: Okay. How long 3 

### do you think he'll take? 4 

### MR. DWORKIN: Mr. Rusinowitz may 5 

### be on the stand for an hour, hour and a 6 

### half. 7 

### JUDGE GOODWIN: Okay. It's ten 8 

### after 11:00. Why don't we break for lunch 9 

### now. There's no cafeteria in the building, 10 

### so let's shoot for getting back about 12:30. 11 

### MR. DWORKIN: Sure. 12 

### JUDGE GOODWIN: And, you know, if 13 

### everybody gets here early, we'll go on the 14 

### record. If you get here, it's because we 15 

### couldn't find a place to eat. 16 

### MR. ARCHIER: So 12:30? 17 

### JUDGE GOODWIN: Yes. Shoot for 18 

### 12:30. So we'll go off the record. 19 (Whereupon, at 11:10 a.m., the 20 hearing in the above-entitled matter was 21 

### recessed, to reconvene at 12:30 p.m., this 22 same day, Wednesday, June 18, 2014.)

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.. N.W. WASHINGTON. D.C. 20005-3701 www.nealrgross.com116 1 Q 

### And your business address, sir? 2 A 4553 

### Glenn, G-L-E-N-N, Curtiss, 3 C-U-R-T-I-S-S, Drive, in Addison, A-D-D-I-S4 

### 0-N, Texas 75001. 5 Q 

### Are you employed, sir? 6 A 

### Excuse me? 7 Q 

### Are you employed? 8 A 

### Yes. 9 Q 

### By whom? 10 A 

### Martinaire Aviation, LLC. 11 Q 

### And your capacity with 12 Martinaire? 13 A 

### Executive vice president, chief 14 operating officer. 15 Q 

### And as executive vice president 16 and COO, what are your principal duties and 17 responsibilities? 18 A Well, reporting directly to the 19 president, I oversee all daily and ongoing 20 

### planning functions for operations, 21 maintenance, dispatch and finance. 22 Q 

### How long have you been with

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### 1 Martinaire? 2 A 

### October of 2014

-- or excuse 3 me -- October of 2000. 4 Q 

### And before your present position, 5 

### did you have a prior position with 6 

### Martinaire? 7 A No. 8 Q 

### So you've always held this 9 

### position with Martinaire. 10 A 

### Yes. 11 Q 

### And prior to Martinaire, what was 12 your employment? 13 A 

### I was with Pan Am Aviation 14 Academy, based in Orlando, Florida, from 15 March of 2000 to October of 2000. 16 Q 

### And what was your position with 17 Pan Am Aviation Academy? 18 A 

### I actually forgot my exact title. 19 I was head of Ab Initio marketing and 20 recruitment and pilot recruitment. 21 Q 

### And what sort of thing

-- what is 22 Pan Am Aviation Academy's business?

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### 1 A 

### They were in the flight training. 2 Q 

### And flight training for whom? 3 A 

### Airlines, private corporations, 4 and I was in the department that was to 5 recruit pilot, to train them to be airline 6 pilots, to get them all their licenses and 7 certifications. 8 Q 

### Prior to Pan Am Aviation Academy, 9 what was your employment? 10 A 

### I was with Business Express 11 Airlines in Portsmouth and then Dover, New 12 Hampshire. 13 Q 

### And what was Business Express 14 Airlines? 15 A 

### They were a 121 regional airline. 16 Q 

### What was your position with them? 17 A 

### Last position was director of 18 operations. 19 Q 

### And how long were you with BEX? 20 A 

### This is where it gets to be a 21 complicated answer. I was on and off with 22 Business Express Airlines for seven years,

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### 1 eight years. 2 Q 

### And prior to Business Express, 3 what was your employment? 4 A 

### During the first few years with 5 Business Express, I was either employed by 6 them or by Flight Safety International. 7 Q 

### And what was your position with 8 Flight Safety International? 9 A 

### Director of standards and Beech 10 1900 program manager. 11 Q 

### So I take it that Flight Safety 12 International and Business Express had some 13 deal whereby Flight Safety was providing the 14 training for Business Express pilots? 15 A 

### Correct. 16 Q 

### And before BEX/Flight Safety, 17 what was your employment? 18 A 

### I was a flight engineer or second 19 officer for Trump Airlines or Trump Shuttle. 20 Q 

### And that was between New York and 21 where? 22 A 

### We flew New York-Boston, New

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### 120 1 York-Washington, and charters all over the 2 country. 3 Q 

### And how long were you with Trump 4 Shuttle? 5 A 

### Two years. 6 Q 

### Before Trump Shuttle, what was 7 your employment? 8 A 

### East Hampton Air. I'm sorry. 9 I'm in 1989 now, so I'm going back a bit. 10 Q 

### And who is East Hampton Air? 11 A 

### They were a 135, both scheduled 12 and charter airline, based out of East 13 Hampton Long Island. 14 Q 

### And for how long? 15 A 

### I believe two years. 16 Q 

### For how long have you been 17 employed in the aviation industry? 18 A 

### I guess since about 17 years old, 19 so 35 years. 20 Q 

### Are you a pilot? 21 A 

### Yes, sir. 22 Q 

### What type of pilot certificate do

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### 121 1 you hold? 2 A 

### Airline transport pilot. 3 Q 

### And how many hours do you have? 4 A 

### Approximately 5,500 flight hours, 5 about a thousand hours as a flight engineer, 6 and I've taught approximately 3,500 hours in 7 simulators. 8 Q 

### Now, let's talk about Martinaire. 9 

### Martinaire is a 135 cargo carrier. Is that 10 correct? 11 A 

### Yes, sir. 12 Q 

### Are they what one would consider 13 to be a small business? 14 A 

### Yes. 15 Q 

### How many employees does 16 Martinaire have? 17 A 

### Currently less than 90. 18 Q 

### And how many airplanes does 19 Martinaire operate? 20 A 

### Thirty-four. 21 Q 

### Are all these aircraft owned? 22 A 

### No, sir.

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### 122

1 Q 

### How many of the 34 aircraft does 2 

### Martinaire own? 3 A 

### Twenty-one. 4 Q 

### And the others are leased? 5 A 

### Yes. 6 Q 

### Now, Martinaire Aviation is a 7 

### limited liability company. Is that correct? 8 A 

### Correct. 9 Q 

### How many members are there of the 10 

### LLC? 11 A 

### Three. 12 Q 

### In 2011, did Martinaire earn a 13 

### profit? 14 A 

### Yes. 15 Q 

### Do you recall roughly how much 16 

### that profit was? 17 A 

### No. 18 Q 

### In my trial brief, I indicated 19 that in 2011 Martinaire's net profit was 20 

### $197,169. Is that number more or less 21 ballpark? 22 A 

### Yes. I think it was in the 200-

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### 123

1 

### neighborhood. Yes. 2 Q 

### Okay. And how many flights per 3 month did Martinaire operate in the period 4 of 2011 through 2013? 5 A 

### Averaged about 1,500 flights per 6 month or flight hours. 7 Q 

### And how many flights does that 8 translate into? 9 A 

### Roughly about the same. 1,500 10 hours could equate to about 16- to 1,700 11 actual legs or flights. 12 Q 

### And I take it that most of these 13 flights are relatively short. 14 A 

### Yes. 15 Q 

### And it's carrying cargo as a 16 feeder for UPS and DHL? 17 A 

### Yes. 18 Q 

### In 2012, did Martinaire earn a 19 profit? 20 A 

### No, sir. 21 Q 

### And in 2013, did Martinaire earn 22 a profit?

NEAL R. GROSS (202) 234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE., N.W. WASHINGTON, D.C. 20005-3701 www.nealrgross.com124 1 A No. 2 Q And how about year-to-date in 3 2014? Has Martinaire earned a profit? 4 A We're still operating at a loss. 5 Q Over the past three years, has 6 the number of employees gone up or down at 7 Martinaire? 8 A Down. 9 Q And over the past three years, 10 has the number of aircraft gone up or down? 11 A Down. 12 Q And to what do you attribute the 13 downward trend in employment and numbers of 14 aircraft operated? 15 A Result of the economy itself, 16 less shipping, and if the carrier we're 17 contracted with doesn't need the 3,000-pound 18 load that we carry and could go to a smaller 19 aircraft, they'll either bid it for a 20 smaller aircraft or do away with the route 21 and just plan on trucking the freight. 22 Q And the bulk of the Martinaire

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### 125 1 fleet consists of what type aircraft? 2 A 

### Cessna 208 Caravan. 3 Q 

### And could you describe the 4 Caravan for us? 5 A 

### Looks like a box and flies like a 6 

### box. It's a single-engine airplane. It 

### 7 holds approximately 3,000 pounds of cargo, 8 based on the average volume of a UPS or a 9 DHL shipment, about 450 cubic feet of cargo. 10 Q 

### And are these flown by one pilot? 11 A 

### It's one pilot, and there's one 12 engine on the airplane. 13 Q 

### Of the 34 aircraft that 14 Martinaire operates, how many are Cessna 15 Caravans? 16 A 

### Thirty-one. 17 Q 

### What are the other three? 18 A 

### The other are Beech 1900 twin19 engine turboprop aircraft that are flown by 20 one pilot and can hold approximately 4,500 21 pounds of cargo. 22 Q 

### And these are all operated under

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### 126 1 FAR 135? 2 A 

### Correct. 3 Q 

### Are you familiar with the NOPIC 4 

### requirement set forth in the hazardous 5 

### materials regulations, Section 175.33? 6 A 

### Yes. 7 Q 

### What is the purpose for a NOPIC? 8 A 

### It's to provide the pilot-in9 command the information of what he is 10 carrying that may be a hazard or potential 11 danger. 12 Q 

### And have you just dealt with the 13 hazardous materials regulations in your 14 employment with Martinaire, or have you 15 dealt with them ln your employment with 16 other air carriers and other entities ln the 17 aviation business? 18 A 

### With other air carriers also. 19 Q 

### Have you ever known of a 20 requirement in the HMRs that specify that 21 NOPICs are to be used for first responders? 22 A 

### No, sir.

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1 Q Could you -- when Martinaire 2 picks up a parcel for one of its feeder 3 flights, could you describe for us the 4 procedure that's followed by the Martinaire 5 pilot in picking up this parcel? 6 A Okay. First, to correct you, we 7 do not pick up the parcels. They are 8 brought to us at an outstation. They're 9 either brought to us by a UPS or DHL 10 vehicle, or at the main hub or a gateway, 11 they're brought out from the sort facility 12 to the airplane. 13 The pilot who we 14 Q And is that true whether it's an 15 outbound or an inbound shipment? 16 A Yes. 17 Q Okay. 18 A The pilot is notified

-- well, 19 the pilot inspects every package that would 20 go on the airplane. He's there to supervise 21 and, if needed, assist ln the loading of the 22 aircraft. So he looks at the packages. We

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### 128 1 have a good relationship, and DHL and UPS 2 are very well trained, in that they'll also 3 put aside and make sure that the pilot 4 personally inspects, you know, six-side 5 inspection on the packages, make sure 6 they're not leaking, broken, et cetera, as 7 required by the regs, properly labeled, and 8 then we'll --that it has the proper 9 information if a NOPIC is needed to be 10 filled out. 11 Q 

### And when UPS or DHL bring you a 12 HAZMAT parcel or a HAZMAT shipment, is there 13 some paperwork that goes along with that? 14 A 

### Yes. Typically there's what 15 we've referred to as the coupon that is with 16 the package. 17 Q 

### And what does the coupon do? 18 A 

### Well, the coupon informs the 19 pilot of what is in the package, so it will 20 have the UN ID number, proper shipping name, 21 packing class, group, restrictions, weight. 22 You know, is it pounds or kilograms or

NEAL R. GROSS (202) 234-4433 COURT REPORTERSAND TRANSCRIBERS 1323 RHODE ISLANDAVE., N.W WASHINGTON, D.C. 20005-3701 wvvvv.nealrgross.com129 1 ounces; is it liters or milliliters; you 2 know, the type of quantity and how it's 3 defined. 4 Q Okay. And the pilot uses that 5 coupon to prepare the NOPIC form, the 6 Martinaire NOPIC form. Is that correct? 7 A Correct. The pilot completes the 8 initial form. 9 Q So would it be fair to say that 10 the information on the DHL or UPS coupon may 11 be in a different format, but it contains 12 the same information that is in the 13 Martinaire NOPIC form? 14 A As it refers to what is in the 15 package, yes. The additional information 16 put on the NOPIC is day, date, pilot, 17 aircraft, where it is on the airplane, 18 because that can't be on the coupon, because 19 the shipper has no idea, of course, where 20 it's going to be put on the airplane. So 21 the remainder of that is filled out by the 22 pilot.

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### 130

1 

### And so he recopies the coupon 2 info, which is actually redundant, because 3 he has the coupon with the information, and 4 

### then he

-- you know, the date, everything, 5 and where it is, and then calls that in to 6 dispatch. 7 Q 

### Okay. The stuff that is in the 8 Martinaire 90-day file that's maintained at 9 Martinaire's offices in Addison, those are 10 the dispatch copies of the NOPICs? 11 A 

### Correct. 12 Q 

### And those represent the 13 information that has been called in to 14 dispatch by the pilot. 15 A 

### Correct. 16 Q 

### So if there are some blanks or 17 some errors in the dispatch form, as you sit 18 here today, can you state that is the 19 pilot's error in preparing the form or 20 whether there was a transcription error? Do 21 you know why there are gaps? 22 A 

### I would have to say that the

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### 1 pilot had all the correct info, and dispatch 2 either transcribed it wrong or left it out 3 

### due to rushing. 4 Q 

### So let's go to the base 5 

### inspection of January 8, 

### 2011. Now, with 6 

### respect to the NOPIC errors that had been 7 

### alleged in the complaint, insofar as those 8 

### errors were found in the 90-day file during 9 

### a base inspection at Martinaire, there's no 10 

### dispute, those 12 forms did have errors. 11 

### Correct? 12 A 

### Yes. The dispatch copy did have 13 errors. 14 Q 

### Okay. But nobody had saved the 15 pilot's copy of the NOPIC form, so we don't 16 know as we sit here today whether the 17 pilot's forms were correct or incorrect. 18 A 

### Correct. But I would have to say 19 that they were -- the pilot had the correct 20 

### information, because he had the coupon. The 21 coupon has the correct, proper shipping 22 name, the correct packing group, and

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### 1 everything, so as I sit here today, the 2 pilot had the correct information. 3 Q 

### Okay. So presumably the pilot 4 

### knew what was on his or her airplane. 5 

### A He had to have, if he has the 6 

### coupon. Yes. 7 Q 

### So we have the July 2011 8 inspection, and you were present when Mr. 9 Buchanan and Mr. Klimas testified as to the 10 Dallas inspection and the Addison 11 inspection. 12 A 

### Yes. 13 Q 

### And I take it these inspections, 14 until they got to the NOPICs and the 15 dispatch 90-day file, everything was clear 16 

### sailing. Is that 17 A 

### Yes. 18 Q 

### And then they found some NOPIC 19 

### irregularities in the 90-day file. Is that 20 correct? 21 A 

### Yes. 22 Q 

### Okay. What happened?

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### 133

1 A 

### We proceeded to sit in our 2 conference room, and this was, you know, 3 during their debrief. We talked through how 4 something like this could happen and how we 5 

### could improve it. We even sat there with 6 

### the training box. You know, how could a 7 pilot make a mistake like this? B And actually identified

-- it was 9 very cooperative, and talking more 10 Inspector Klimas talked a lot amongst 11 ourselves there, too, and, you know, well, 12 if we do this and this, and basically 13 outlined a plan, and put it in motion, and 14 that plan was put in our response. 15 Q 

### Okay. So what was the plan that 16 you had outlined with Mr. Klimas? 17 A 

### Update and retrain. Update the 18 training program, retrain the pilots, and 19 more so the dispatchers, continue with our 20 every year training, revise the form so it's 21 more in compliance with the current 22 regulatory requirements at the time, audit

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### 1 procedures, revise the GOM or general 2 operations manual as necessary, and move 3 forth to comply. 4 Q 

### And did Martinaire do all that? 5 A 

### Yes, sir. 6 Q 

### Okay. So right in front of you 7 

### is Exhibit R-l. Was this Exhibit R-1 your 8 response to the FAA letter of investigation? 9 A 

### Yes, sir. 10 Q 

### And the follow-up to the July 11 2001 outbriefing? 12 A 

### Yes. 13 Q 

### And this is over your signature. 14 Is that correct? 15 A 

### Yes. 16 Q 

### Okay. And this letter attached 17 

### several attachments. What is attachment A? 18 A 

### This was our -- the portion of 19 hazardous materials from our general 20 operations manual. 21 Q 

### And you attached that basically 22 for what purpose?

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### 1 A 

### To identify what our current 2 procedures are. 3 Q 

### Okay. And those procedures 4 require that the NOPICs be completely filled 5 

### out. Is that correct? 6 A 

### Correct. 7 Q 

### Exhibit B is what? Or attachment 8 B. 9 A 

### (Perusing document.) It's 10 portions of the dangerous goods manual that 11 Martinaire gives its pilots. 12 Q 

### Okay. Now, speaking of training, 13 the regulations require that Martinaire 14 train its pilots and dispatchers once every 15 24 months. Is that correct? 16 A Correct. 17 Q 

### What is Martinaire's actual 18 practice? 19 A 20 Q 21 A 

### 22 training.

(202) 234·4433 

### We do it every 12 months

-- Why?

-- with their annual recurrent

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### 1 Q 

### Why? 2 A 

### Reinforcement. 3 Q 

### So a conscious decision has been 4 made to surpass the regulatory requirements. 5 

### Is that correct? 6 A 

### Yes. 7 Q 

### What is attachment C to Exhibit 8 

### R-1? 9 A 

### Oh, it's all part of the

-- I'm 10 

### trying to find that other page. It's all 11 part of our training program that we give to 12 the pilots and dispatchers. 13 Q 

### Likewise Exhibit D? 14 A 

### Yes. 15 Q 

### And Exhibit E is what, sir? 16 A 

### This is out of our approved 17 training program also. 18 Q 

### And then you attached an Exhibit 19 F which was -- what?

-- the old HAZMAT 20 training program. 21 A 

### Correct. This is what they use 22 

### in the ground schools. It's a PowerPoint

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### 137 1 program. 2 Q 

### And Exhibit H 

### was, correct me if 3 

### I'm wrong, but the prior NOPIC form. Is 4 

### that correct? 5 A 

### Correct. 6 Q 

### And attachment I is what? 7 A 

### The form that was designed after B our outbriefing on July of 2011 inspection. 9 Q 

### What was the purpose of changing 10 the NOPIC form? 11 A 

### To make areas for the required 12 information, to make it more obvious and to 13 highlight the areas that are required. 14 Q 

### Okay. So I notice that in 15 attachment H to Exhibit R-1, there are some 16 areas with boundaries that are cross17 hatched. What does that signify? 18 A 

### The cross-hatch areas, that 19 information contained in that hatched box is 20 exactly what is on the coupon that the pilot 21 has in his possession from the box. 22 Q 

### Then I notice that you have

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### 1 referred to a email from the chief pilot to 2 the pilots and flight followers as 3 

### Exhibit or I'm sorry-- as attachment I 4 to your letter. 5 A 

### Yes. 6 Q 

### What was the purpose of that 7 email? 8 A 

### That was the notice sent out to 9 the pilots and flight followers immediately 10 or right after our outbriefing to -- 11 Q 

### Okay. And 12 A 

### -- enhance the seriousness of 13 what was found. 14 Q 

### Okay. Now, we talked about 15 

### flight followers and dispatchers. Do you 16 use those terms interchangeably? 17 A 

### Yes. By regulatory requirement, 18 135 

### only requires flight followers. 19 Dispatcher, the term ''dispatcher,'' the 20 licensed dispatcher, the name "dispatcher" 21 

### is actually a 121 

### requirement. Martinaire 22 has always hired the most experienced flight

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### 1 followers that we can, and we call the 2 department "dispatch," but in our operation, 3 

### they're synonymous. 4 Q 

### So the email from your chief 5 

### pilot

-- and that was Michael Bates. Is 6 that correct? 7 A 

### Correct. 8 Q 

### That was basically to advise, 9 

### Hey, we've had a recent audit. We found 10 some discrepancies. We need to eliminate 11 these discrepancies. We've come up with a 12 cleaner, more user-friendly NOPIC form, and 13 we're going to retrain everybody. 14 A 

### Yes. 15 Q 

### And did Martinaire retrain 16 everybody? 17 A 

### Yes. 18 Q 

### Okay. Did they revise the HAZMAT 19 training syllabus? 20 A 

### Yes. 21 Q 

### Okay. Is that what is attached 22 as attachments J 

### and K?

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### 140

1 A 

### Yes. 2 Q 

### And one was training syllabus for 3 pilots; the other was for flight followers. 4 A 

### Correct. 5 Q 

### Okay. And then did Martinaire 6 retrain everybody? 7 A 

### Yes. 8 Q 

### And I'd like you to turn to 9 

### attachment L. What is that? 10 A 

### These were the training records 11 of the dispatchers at the time and flight 12 coordinators that were all trained in it, 13 anyone who handled it, nonpilots who handled 14 the paperwork. 15 Q 

### Okay. And how about, how did 16 they retrain the pilots? 17 A 

### Both as they came up through 18 their recurrent training, as well as 19 packages that were sent out to them. 20 Q 

### Okay. And then there is a 21 follow-up email from Mr. Bates, attachment 22 M. 

### What is that?

NEAL R. GROSS (202) 234-4433 COURT REPORTERSANDTRANSCRIBERS 1323 RHODE ISLANDAVE., N.W. WASHINGTON, D.C. 20005-3701 www.nealrgross.com141 1 A That was a more comprehensive 2 message, based on the first one that was 3 sent out. This one better explained the new 4 forms and what to do, and had examples 5 attached to it. He sent it out as a package 6 to them, and this is what they trained with, 7 that they had to -- that they reviewed it, 8 and had to acknowledge that they had it. 9 Q Okay. Now, with respect to.all 10 these corrective actions that Martinaire 11 agreed to take or promised to take, did they 12 take them all? 13 A Yes, sir. 14 Q Was the FAA satisfied? 15 A Yes. 16 Q Did the FAA say, Martinaire, 17 you're not doing enough; you can do more? 18 A No. 19 Q Did you maintain a dialogue with 20 the FAA during this process? 21 A To this day, we have a good 22 dialogue with Inspector Klimas and Inspector

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### 142 1 Buchanan. 2 Q 

### Okay. So it's not just the

-- 3 they're not just the policemen that you're 4 trying to avoid; you have an ongoing working 5 relationship with them? 6 A 

### I feel very comfortable I 7 could

-- if I had a question today during 8 this court proceeding, I could pick up the 9 phone and ask Mr. Klimas. 10 Q 

### Has the FAA at any time, prior to 11 December 13, advised Martinaire, You're not 12 doing enough with respect to HAZMAT 13 compliance? 14 A 

### No, sir. 15 Q 

### Let's talk about Martinaire's 16 

### prior FAA cases. There was a reference to a 17 prior NOPIC case from FAA's Northwest 18 Mountain Region. 19 A 

### Okay. 20 Q 

### That was a case in which a pilot 21 didn't have the form on his person. Is that 22 correct?

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### 143

1 A 

### Yes. 2 Q 

### Okay. Could you describe what 3 happened in that case? 4 A 

### We found out as a result of the 5 phone calls from the FAA and the 6 investigation that evidently the pilot who 7 was assigned the route, flew it all the 8 time, it was his assigned route, landed 9 destination, got inspected, and didn't have 10 a NOPIC for his package or a HAZMAT package 11 that was on board. 12 He had the coupon, but he didn't 13 

### have the NOPIC itself filled out. He had 14 called in the information but didn't have 15 his copy, because he had used the last one, 16 and this is where you get into what I 17 consider the human factor of stupidity. 18 Rather than call and say, Hey, fax me one, a 19 blank, or take the sample out of his manual 20 and ask UPS, Hey, can you burn me a few 21 copies, he figured he had, you know, the 22 coupon.

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### 144 1 I'm guessing that he figured he 2 had the coupon which has all the safety3 related information. he knew where he put 4 it on the airplane. As far as, you know, 5 date, time, flight number and pilot, well, 6 he has all that in that flight logbook 7 anyway, so he figured he was okay to go. 8 Q 

### Okay. So the information was 9 called in to dispatch. 10 A 

### I believe so. 11 Q 

### And the information was contained 12 in the 90-day file, but the pilot didn't 13 have the NOPIC on his person at the time of 14 the flight. 15 A 

### Correct. 16 Q 

### Okay. And then there was also a 17 

### Great Lakes Region case. What was that 18 about? 19 A 

### Are you referring to Purple 20 Power? 21 Q 

### The Purple Power case. What was 22 that about?

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1 A The pilot, I believe, was flying 2 Cadillac for the day, and he also washed 3 airplanes on the weekend, and decided to go 4 to Walmart or one of those joints and picked 5 up Purple Power, which is like a Simple 6 Green degreaser, cleanser. And just

-- you 7 know, this came out in talking with him. He 8 put it on the airplane in the front 9 compartment where he sticks his bag, and 10 flew down to Lansing. 11 Q And this was solely his personal 12 activity. 13 A Yes. He figured and it came 14 out after that. He figured it was his 15 personal

-- you know, personal carriage of 16 the stuff, and it didn't even have to be 17 declared. He didn't tell anyone. 18 Q Did Martinaire tell him to go out 19 and buy the Purple Power? 20 A No. 21 Q Did Martinaire tell him to put 22 the Purple Power on the airplane?

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1 A No. 2 Q Did Martinaire know that the 3 Purple Power had even been put on the 4 airplane? 5 A No. 6 Q And both of those cases were 7 settled. Is that correct? 8 A Yes. That one was a little 9 harder to settle, but

-- especially during 10 which they declassified Purple Power as a 11 hazardous material in the middle of the back 12 and forth with the FAA attorneys on the 13 case. 14 Q When Martinaire settled these 15 cases, was it without admission of 16 liability? 17 A Yes. 18 Q Let's go to December '13. What 19 happened? 20 A Inspector Klimas and another 21 inspector

-- I don't recall his name -- they 22 were conducting their annual

-- you know,

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### 147 1 well, their two-plus-year audit of 2 

### Martinaire. They evidently went out to DFW 3 again, you know, and started there by 4 

### observing the outbound aircraft, then came 5 over to our headquarters at Addison, and 6 proceeded to do what they usually do at the 7 

### facility, which is pilot training records, 8 the

-- what he referred to as stores, but we 9 refer to it parts and shipping, making sure 10 we were good there, and then the review of 11 the 90-day file. 12 Q 

### Okay. And I take it everything 13 except for the 90-day file went swimmingly. 14 A 

### Yes, sir. 15 Q 

### And what did they find in the 90- 16 day file? 17 A 

### Discrepancies ln the dispatch 18 copy of the NOPIC. 19 Q 

### Okay. So what, if anything, did 20 Martinaire do in response to these observed 21 discrepancies? 22 A 

### Again, you know, during debrief,

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### 148

1 

### you know, Inspector Klimas and I were 2 talking, and I was at -- basically came down 3 to, how do you take the human factor out of 4 it, because these were just human editorial 5 errors. 6 It goes back to there's no doubt 7 ln my mind that the pilot had every piece of 8 required information he was supposed to have 9 when he flew the flights, but how do we get 10 

### a good copy of it that matches, and 11 especially with anything like a transposed 12 number, 9119, you know, 2332, which any -- 13 the way that we're inspected, any editorial 14 mistake is a violation. 15 

### If you write down 66 instead of 16 666, because people don't want to write down 17 triple-6 as a flight number, you know, for 18 obvious Biblical reasons, et cetera, that's 19 

### a violation. If you leave out the year and 20 just put June 1, 6/1, you're in the 90-day 21 file, that's a potential violation. How do 22 you take out anything human with the form?

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### 149 1 And what we came up with was to 2 develop

-- well, first it was to obtain a 3 computer-based program to do this. Now, 4 

### there isn't any that exists. We only needed 5 

### one function. See, we're not an accepter. 6 We don't

-- you can't bring to us a 7 hazardous shipment, you know, and say, Hey, 8 I want to ship this box of

-- or bag or 9 container of anything. 10 We get everything predone, and we 11 only carry, you know, that. for UPS, DHL, et 12 

### cetera. So in going through the few 13 computer programs that are out there for 14 hazardous material, that will just give us a 15 

### NOPIC. There does not exist

-- there are 16 two computers that are astronomical in price 17 that. a piece of it could do this, but it's 18 not really functional. 19 I mean, remember, our guys are 20 out there in the morning or the evening. 21 

### They have to depart. They get the boxes. 22 They have the required NOPIC information.

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1 

### They have everything. They have to get it 2 

### to the dispatcher. The dispatcher has to 3 

### copy it by the letter. You could have a 4 proper shipping name with a word that's 45 5 

### letters long that no one in this room will 6 

### ever pronounce, but if you don't have every 7 

### letter correct, it's a violation. 8 

### How do we get down to that? And 9 

### so we contracted with a company to develop a 10 

### computer-based application that will perform 11 

### this function, basically an electronic NOPIC 12 

### that the dispatcher can use, and we're beta 13 

### testing now, and it's phenomenal, expensive 14 

### but phenomenal. 15 Q 

### How much? 16 A 

### We've spent over 10,000 

### already. 17 

### We know that upon completion of beta and 18 

### final sign-off, it will run us another 10- 19 

### to $15,000. 20 Q 

### Okay. And aside from the 21 software development costs, how many man 22 hours has Martinaire spent in working with

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### 151 1 the vendor to develop this software program? 2 A 

### Personally, I probably have over 3 a hundred man hours into it, and I know our 4 dispatch office has probably spent more than 5 

### that, especially ln the beta testing phase. 6 Q 

### Okay. Now, has Martinaire 7 invited the FAA to participate in the 8 viewing and testing of this software 9 program? 10 A 

### When we got to a point where I 11 would call it functional in the beta test 12 you know, we went through

-- after our third 13 iteration of it, it's like, Okay, we're 14 

### ready to try it, you know. I did invite 15 Inspector Klimas and his group to come view 16 it, because as we've shown before, we could 17 think it's all right, but does the FAA think 18 it's all correct, and is it enough to pass 19 an inspection. 20 You know, when we get audited 21 next time or today or tomorrow or 90 days 22 from now, are the NOPICs that this generates

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### 152 1 for dispatch fully in compliance with the 2 regulations? And I could sit here and say, 3 yes, because we had said, You have to have 4 this; you have to have that; you have to 5 

### have that. But I'm more concerned of taking 6 out the human factor in it, that you can't 7 transpose numbers. 8 

### I mean, the date is the date, you 9 

### know. We have it programmed so that when 10 you put in the UN ID number, it 11 automatically fills in the proper shipping 12 name. And this is based on the live FAA 13 

### database on this. That's why it's so 14 

### expensive, too. It's not something that we 15 update. This company hosts it, and they 16 have the up-to-date databases on all 17 chemical names, shipment numbers, classes, 18 

### hazard class, special instructions, 19 

### everything. 20 So if it's not properly filled 21 out, you can't close the file. You can't 22 forget the date. You can't forget, where is

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### 153

1 

### it on the airplane. You can't forget a 2 proper shipping name or UN ID number. You 3 can't forget a packing group or class. It 4 

### automatically comes up, and, say, a compound 5 could be a class II or III. You have to 6 select one of them. 7 I mean, it's a cool program. 8 Nothing exists like it, but, you know, I can 9 say it's the greatest thing in the world, 10 but, again, if it's not going to pass muster 11 during an inspection, it's worthless. 12 Q 

### So did the FAA take you up on 13 your offer to come and

-- 14 A 

### No, they did not. 15 Q 

### -- take a look? 16 A 

### They were -- I was told that they 17 could not come out and see it until after 18 this trial was done. 19 Q 

### Did they give a reason for that? 20 A 

### They couldn't talk about it, and 21 that surprised me, because, you know, I 22 always thought it's supposed

-- it's about

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.. N.W WASHINGTON. D.C. 20005-3701 www.nealrgross.com154 1 safety, compliance, cooperation. And the 2 guy pulled over to the side of the road one 3 day. You know, I called Paul one day to ask 4 him a question on 5 Q Mr. Klimas. 6 A Inspector Klimas. He pulled over 7 to the side of the road to call me back, to 8 answer the-- I mean, that's the cooperation 9 we have. Yet they were -- my -- it's my 10 opinion that they were restricted from 11 coming and seeing the program until after 12 I was told, after this is all over. So I 13 don't mean the if it meant just the trial 14 or if it meant getting to the final outcome. 15 Q What is Martinaire's philosophy 16 regarding regulatory compliance? 17 A It's much easier to comply. 18 MR. DWORKIN: I have no further 19 questions. Thank you. 20 MR. ARCHIER: I have no 21 questions, Your Honor. 22 MR. DWORKIN: No redirect.

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### JUDGE GOODWIN: Any redirect on 2 

### the failure to cross-examine? Okay. Sir, 3 

### you can step down. It's up to Mr. 4 Dworkin 5 

### THE WITNESS: Thank you, sir. 6 

### (Whereupon, the witness was 7 

### excused.) 8 

### MR. DWORKIN: And according to my 9 

### notes, Exhibit R-1 is already in. And, Your 10 

### Honor, I need about five minutes to just 11 

### talk to my witness. 12 

### JUDGE GOODWIN: Yes. Let's take 13 

### a break till 1:30. 14 

### MR. DWORKIN: Okay. Can I 15 confirm R-1 is in? 16 

### JUDGE GOODWIN: That's what I'm 17 

### going to do during the break. I'm going to 18 check my notes. 19 

### (Whereupon, a short recess was 20 taken.) 21 

### JUDGE GOODWIN: Be seated. 22 

### Respondent's 1 for

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### 1 identification, we believe, was introduced 2 into evidence, but just to play safe, 3 Respondent's 1 for identification is 4 received into evidence as Respondent's 1. 5 Agency 100.01 was received into evidence. 6 And then the trial brief of Respondent is 7 marked as Court Exhibit. 8 

### Yes, sir, Mr. Archier. 9 

### MR. ARCHIER: We'd like 10 permission to release Mr. Buchanan. 11 

### JUDGE GOODWIN: Sure. 12 MR. ARCHIER: We're not going to 13 call him as a rebuttal witness. 14 

### JUDGE GOODWIN: Okay. Sure. 15 

### MR. ARCHIER: I'll just tell him. 16 

### (Pause.) 17 

### JUDGE GOODWIN: Let's go off the 18 record while he's out. 19 (Off the record.) 20 

### JUDGE GOODWIN: Back on the 21 record. 22 I know you had discussions when

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### 157 1 we were off the record about the briefing 2 

### schedule. I advised counsel when we were 3 off the record, once they agree on a 4 schedule, just send me email confirmation, 5 

### as much for diary purposes as anything. 6 If either one of you run into a 7 problem with that schedule and you want to 8 bump it, talk, shoot me an email and tell me 9 what the new dates are. 10 

### MR. DWORKIN: Very well. 11 JUDGE GOODWIN: Don't bother 12 filing a motion. 13 

### MR. ARCHIER: If we can just put 14 something on the record now, would you mind, 15 Your Honor, a tentative agreement? 16 

### JUDGE GOODWIN: Okay. 17 MR. ARCHIER: My understanding, 18 Mr. Dworkin, is that the Agency will submit 19 its brief by August 15, 2014. 20 

### MR. DWORKIN: Assuming that the 21 transcript comes out -- 22 

### MR. ARCHIER: Assuming that the

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### 158 1 transcript comes out -- what was that date? 2 

### MR. DWORKIN: By July 15. 3 

### JUDGE GOODWIN: It's normally 4 Barbara, do you know? What's your 5 turnaround? 6 

### THE REPORTER: I don't know for 7 

### this. Maybe ten working days. 8 

### JUDGE GOODWIN: I think it's 9 

### about two weeks. Call Pat. Pat knows what 10 it is. 11 

### MR. ARCHIER: Okay. Pat 12 Matthews? 13 

### JUDGE GOODWIN: Yes. And she'll 14 be able to -- or better yet, send her an 15 email. 16 

### MR. ARCHIER: Right. And, Your 17 Honor, just to make it clear, we'll just say 18 the Agency's brief will be due 30 days from 19 the receipt that we receive the transcript. 20 That will make it easier. 21 MR. DWORKIN: Okay. 22 

### MR. ARCHIER: And then

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### JUDGE GOODWIN: And I'll try to 2 get these exhibits in, since they're 3 

### MR. ARCHIER: Right. 4 

### JUDGE GOODWIN: You know, pretty 5 

### quickly. I haven't had a chance to get our 6 other ones, because I've been working 7 

### through two three-ring binders from this 8 

### case in April. 9 

### MR. DWORKIN: Well, in that case, 10 

### the transcript just came out last week. 11 

### JUDGE GOODWIN: Yes, yes. 12 

### MR. DWORKIN: So it was three 13 

### weeks. 14 

### JUDGE GOODWIN: Okay. Well, I 15 

### think the contract with the Department is 16 

### like two or three weeks or something like 17 

### that. We have gotten them faster, but 18 

### that's normal course of business. 19 

### All right. Well, that works for 20 

### me. Anything else, gentlemen? 21 

### MR. ARCHIER: Ready for closing. 22 JUDGE GOODWIN: You want to do an

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-- 6 JUDGE GOODWIN: Go ahead. 7 MR. ARCHIER: That doesn't 8 replace the fact that we still have to do a 9 brief. Right? 10 JUDGE GOODWIN: Right. 11 MR. ARCHIER: Okay. All right. 12 JUDGE GOODWIN: Mr. Dworkin, he's 13 under an old employment agreement. He gets 14 paid by the word. 15 (General laughter.) 16 MR. ARCHIER: I got to get back 17 at Mr. Dworkin somehow, because he sends me 18 a ream of paper every other day. 19 JUDGE GOODWIN: He just wants, 20 you know 21 CLOSING ARGUMENT ON BEHALF OF THE 22 COMPLAINANT

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### 161 1 MR. ARCHIER: Your Honor, thank 2 

### you for hearing our case today. The FAA 3 would like to indicate the following items 4 that we would like for the Court to give 5 deference to the FAA's order 2150.3B, 6 Appendix C, the sanction guidance, hazardous 7 material enforcement provisions. 8 

### In addition, Your Honor, the 9 argument -- there's been an argument put 10 forth that the sanction guidance or the 11 sanction in this amount of $206,550 is 12 outside the range, and we submit to you, you 13 know, that the civil penalty amount of 14 $206,550 is within the 2150.3B range. 15 The low amount or the floor 16 amount for the civil penalty within the 17 group 2 range for the violations for the 18 hazardous material regulations that are in 19 issue, the low point is in the-- is $5,000. 20 The high point range per violation is 21 16,200. As we had indicated during the 22 course of our argument, there were 17

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### 162 1 separate shipments. 2 And we'd like for the Court to 3 

### take deference to the fact that that 4 

### particular civil penalty range was not set 5 

### at the high end, but was within the 6 

### guidelines of the 2150.3B. 

### And, of course, 7 

### during the course, the FAA 

### did file the 

### s 2150.3B, 

### which you took judicial notice of, 9 

### which you have a copy of, which is a part of 10 

### the record, Your Honor. 11 And so we would like to make sure 12 that that becomes a part of the official 13 

### record, and we'd like for you to give 14 

### deference to the Complainant's argument with 15 

### regard to the civil penalty. 16 Thank you, Your Honor. 17 

### JUDGE GOODWIN: Mr. Dworkin, do 18 

### you want to be heard or 19 

### MR. DWORKIN: No. I'll save it 20 for the brief, Your Honor. 21 JUDGE GOODWIN: Okay. I thought 22 you were going to stand up and say he's

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### 1 wrong again. 2 

### Gentlemen, thank you very much. 3 I will certainly get through this as 4 

### expeditiously as possible. If anything 5 comes up -- both of you gentlemen have done 6 a very professional job, as I would have 7 

### expected, and thank you again. 8 We'll go off the record. 9 (Whereupon, at 1:35 

### p.m., the 10 hearing in the above-entitled matter was 11 concluded.) 12 13 14 15 16 17 18 19 20 21 22

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This is to certify that the foregoing transcript

In the matter of: FAA v. Martinaire Aviation

Before: u.s. Department of Transportation

Date: 06-18-2014

Place: Dallas,- Texas

was duly recorded and accurately transcribed under my direction; further, that said transcript is a true and accurate record of the proceedings.

(202)234-4433 Court Reporter

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