U.S. DEPARTMENT OF TRANSPORTATION OFFICE OF HEARINGS FEDERALAVIATIONADMINISTRATION FEDERAL AVIATION ADMINISTRATION, Complainant, FAADocketNo. 2014-0514.

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vs. Judge: Richard C. Goodwin DGW, Inc., d/b/a Melrose T-Top, Inti, Respondent.RESPONDENT'S FIRST SET OF INTERROGATORIES 

## OCT 2 9 2014 

## HEARING DOCKET

NowCOMES the Respondent, DGW, Inc., d/b/a Melrose T-Top ("Melrose"), by and through its attorneys, GRIFFIN]WILLIAMS, LLP, and propounds the following interrogatories to Complainant, Federal Aviation Administration, to be answered in writing, under oath, within twenty-eight (28) days after servicehereof: DEFINITIONS In construing these discovery requests, the following words, as well as other various forms of these words, unless otherwise indicated, shall have the following meanmgs: A The term "FAA" or "Complainant" shall refer to Complainant, Federal Aviation Administration, its officers, directors, shareholders, employees, and agents, acting individually orjointly, orjointly with any other person or entity, as well as any person acting on its behalf in any capacity, including its attorneys, or any employee, agent, investigator orrepresentative ofthe FAA. B. The term "Melrose T-Top" or "Respondent" shall referto Respondent DGW, Inc., d/b/a Melrose T-Top, Inti, its officers, directors, shareholders, employees, and agents, acting individually orjointly, orjointly with any other person or entity, as well as any person acting on its behalf in any capacity, including its attorneys, or any employee, agent, investigator or representative ofMelrose T-Top. C. The term "UPS" shallrefer to United Parcel Service ofAmerica, Inc., its officers, directors, shareholders, employees, and agents, acting individually orjointly, orjointly



### 1with any otherperson or entity, as well as anyperson acting onits behalfin any capacity, including its attorneys, orany employee, agent, investigator orrepresentative ofUPS. D. The term "D.O.T." shallrefer to the United States Department ofTransportation. E. The term "Package" or "Shipment" shall refer to the package Melrose T-Top marked "ORM-D" and offered for delivery to UPS onMarch 13, 2013 that is the subject ofthe Comptaint. F. The term "Person" or "Persons" means a natural person or an entity, any business entity, association, group, any federal, state orlocal government agency orbody. G. The term "Document" or "Documentation" means all written, recorded, and graphic material, however produced or reproduced, whether ornot privileged, pertaining in any wayto the subject matter ofthis action. This defmition includes, but is not limited to, all originals, copies, and drafts ofthe following: records, notes, summaries, schedules, contracts, agreements, drawings, sketches, invoices, orders, acknowledgments, diaries, reports, memoranda ofall conversations by or with any person, telephone messages, all other memoranda, letters, telegrams, telexes, and cables prepared, drafted, received or sent, tapes, transcripts, and recordings, photographs, pictures, and films, computer programs, email, data stored on optical media (CD), magnetic disc orhard drive, and all other graphic, symbolic, recorded, and written materials ofany nature, whatsoever, and any other document and tangible item subject to discovery under Supreme Court Rule 214. H. The term "Concerning" means, but is not necessarily limited to: contammg, referring to, relating to, comprising, constituting, connected with, about, regarding, mentioning, discussing, describing, referring to, reflecting upon, evidencing, discussing, describing, mentioning, summarizing or connecting in any way logically or factually to the matter described inthe Interrogatory. I. The term "Knowledge" means firsthand information acquired through the five senses and information, other than firsthand information, deriving from any source, including hearsayknowledge. J. The term "Statement" means any oral, written, court reported, recorded or other expression of opinion and/or fact, which pertains to the occurrences alleged in the Complaint orto the damages claimedto have resultedthere from. K. The term "Communication" or "Communications" means all communications of any nature whatsoever, whether oral, inwriting, ornon-verbal gestures. L. To "Identify" a person, means to state with respect to each such person: (1) the individual's full name; (2) all other names bywhich he has ever beenknown; (3) his last known home and business addresses; and (4) his job positions and business affiliations, from the date ofthe occurrence alleged inthe Complaintto the present date.

2M. To "Identify" a corporation or other entity, means to state with respect to each such corporation or other entity: (I) the full name ofthe corporation and the principal place ofbusiness; (2) the state ofincorporation; (3) the date ofincorporation; and (4) the chiefexecutive officer thereof. N. To "Identify" a document or other written communication, means to state with respect to such document or other written communication: (I) the date ofpreparation of the document; (2) the date the party acquired the document, ifapplicable; (3) the author, title, and subject matter or nature; ( 4) the place ofpreparation, present location, and present custodian; and (5) each and every other person, who participated in or directed the preparation ofthe document, or received a copy ofthe document; stating whether responsive documents no longer within a party's access, possession, or control are not identical to the original or are missing, lost, destroyed, transferred or disposed of otherwise. 0. To "Identify" a meeting means to state with respect to such meeting: (I) the date andplace ofthe meeting; (2) the identityofeach and everypersonpresent atthe meeting; (3) the general description ofthe substance ofthe discussions and the decisions (ifany) reached at, oras aresult of, the meeting; and (4) the identity ofeach and every document concerning any of the subjects discussed or to be discussed at the meeting, including agendas. P. To "Identify" an oral conversation means to state with respect to such oral conversation: (1) the date and place ofthe conversation; (2) the identityofeach and every person who participated in, or was present during the conversation; (3) a general description ofthe substance ofthe conversation; and ( 4) the identity ofeach and every document concerningthe conversation. Q. As used herein, the singular includes the plural, and the plural includes the singular; the masculine, feminine or neuterpronouns include each other; the disjunctive "or" and the conjunctive "and" include each other; and each of the functional words "each", "every'', "any'', and "all" shall include all ofthe other functional words, as necessaryto bring within the scope ofthis request any documents that might otherwise be construedto be outside the scope. INSTRUCTIONS A. In responding to these requests, furnish all information in the possession of Complainant, its agents, employees, and any otherpersons acting onits behalf. B. These requests are to be deemed continuing. Complainant is requested to provide, by way ofsupplementary responses, such additional information and documentation as may hereafter be obtained by Complainant, or any person on Complainant's behalf, that will augment, supplement or otherwise modify the answers now given to the following requests.

3C. If any of these requests cannot be responded to in full, answer to the extent possible, specifying the reasons for Complainant's inability to answer to the remainder and stating what information you do have concerning the unansweredportion.

INTERROGATORIES l. Identifythe names, and last known addresses and telephone numbers, ofeach and everywitness who will testify at trial and provide the following:

a. LayWitnesses-Identify all persons giving fact and layopinion testimony and state the subjects upon whichthe witness willtestify. ANSWER: b. Independent Expert Witness-Identify all persons giving expert testimony who are not parties to the lawsuit, the parties current employee or a retained expert and state: 1. The subjects onwhichthe witness willtestify, ii. The opinions and conclusions ofthe witness and the basis thereof, iii. The qualifications ofthe witness, and; IV. Anyreport(s) preparedbythe witness about the case. ANSWER: c. Controlled Expert Witness-Identify all persons giving expert testimony who are parties, the parties' current employee, or the parties' retained expert, and provide the following information: 1. The subject matter onwhich the witness will testify: ii. The conclusions and opinions ofthe witness and thebasis thereof; iii. The qualifications ofthe witness; and, IV. Anyreportpreparedbythe witness about the case. ANSWER:

2. Identify the names, addresses, and telephone numbers of all persons whom the party believes may have knowledge or information relevant to the events, transactions, or occurrences that gave rise to the action, and the nature ofthe lmowledge or information each such individual is believedto possess.
ANSWER: 3. Identify the names, addresses and telephone numbers of all persons who have given statements, whether written or recorded, signed or unsigned, and the custodian ofthe copies ofthose statements regarding the events, transactions, or occurrences that gave rise to the action.

4ANSWER: 4. Explainthe discovery ofthe Package allegedly leaking contents:

a. Identify the person(s) who discovered that the Package was allegedly leaking contents and any subsequentperson(s)

. b. When was the Package discovered to be allegedly leaking contents?

c. Where was the Package located when it was discovered to be allegedly leaking contents? d. Describe the manner in which the Package was discovered to be allegedly leaking contents. ANSWER: 5. Explain the pre-filing investigation into the alleged violations of the D.O.T. Hazardous MaterialRegulations cited inthe Complaint:

a. Describe in detail the investigatory process, procedure, chain of events, and/or operation regarding the events, transactions, or occurrences that gave rise to the action. b. Identify all person(s) who investigated the alleged violations, or were otherwise involved in, consulted, and/or subject to the pre-filing investigation.

c. Identify any and all statements provided and/or received by Complainant in the course ofthe investigation. d. Identify anyreports, memoranda and/or documents generated and/orrelied upon during the course ofthe investigation. ANSWER: 6. Explain Complainant's standard procedure, process, operation, chain of events and/or policy regarding its investigations into alleged violations of the cited regulations inthe Complaint? ANSWER: 7. Articulate the basis for Complainant's determination that the proposed civil penalty of$38,500 assessed to Respondent is reasonable. ANSWER:



### 58. Explain the basis and/or theory for Complainant's allegation that Respondent acted "knowingly in the alleged violations of the D.O.T. Hazardous Material Regulations cited in the Complaint. ANSWER: 9. Provide an estimate and computation ofany allegedpropertydamage. ANSWER: 10. IdentifY the existence, location, custodian, and general description ofanytangible evidence, documents, photographs and/or videos that the disclosing partyplans to use at trial. ANSWER: 11. Please state whether Complainant is in possession, custody and/or control ofthe original Package and its contents, and ifnot, when, bywhom and in what method was it disposed of? ANSWER: 12. IdentifY whether Complainant is orhas been a partyto any other FAAcases, after January 1, 2013, involving packages marked "ORM-D" and offered for shipment to UPS via its "3 Day Select" shipment method. If so, please identify the cases and the civil penalty proposed and/or assessed to the Respondent(s) in such actions. ANSWER: 13. State whether UPS was fined, admonished, cited, or otherwise disciplined for its failure to comply with the Department of Transportation Hazardous Material Regulations in this matter. ANSWER:

6Richard L. Williams JoshuaM. Feagans KristinN. Stone GRIFFINIWILLIAMS LLP 501 W. State Street, Suite 203 Geneva, IL 60134 (630) 457-1205 (630) 262-0644 facsimile Respectfully submitted, DGW, Inc., d/b/aMelrose T-Top



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CERTIFICATE OF SERVICE The undersigned, an attorney duly licensed to practice law inthe State ofIllinois, does hereby certify that she caused a copy of the foregoing Respondent's First Set of Interrogatories to served upon the parties indicated below, by depositing a copy ofsame inthe U.S. Mail, in Geneva, Illinois,postagepre-paid, by 5:00p.m. onOctober23,2014. FederalAviationAdministration Attn: HearingDocket Clerk, AGC-430 Wilbur WrightBuilding- Suite 2W1000 800 Independence Avenue, S.W. Washington, DC 20591 ChristopherR. Stevenson, Esq. Office ofRegional General Counsel, ASO-7 Federal AviationAdministration SouthernRegion 1701 ColumbiaAvenue College Park, Georgia 30337 Hon. Richard C. Goodwin Attn: PatriciaMatthews U.S. Administrative LawJudge Office ofHearings, M-20 U.S. Department ofTransportation 1200NewJersey Avenue, S.E. (Ell-310) Washington, D.C. 20590

Dated: October 

## :::J3 ,2014



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**~MCU.·~~** KristinN. Stone

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