U.S. DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

FEDERAL AVIATION ADMINISTRATION 

FEDERAL AVIATION 

ADMINISTRATION, 

Complainant, FAA Docket No. 2014-0514. E c E I v Eo 

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 

Now COMES 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 service hereof: 

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 or jointly, or jointly 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 of the FAA. 

B. The term "Melrose T-Top" or "Respondent" shall refer to Respondent DGW, Inc., 

d/b/a Melrose T-Top, Inti, its officers, directors, shareholders, employees, and agents, 

acting individually or jointly, or jointly 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 of Melrose T-Top. 

C. The term "UPS" shall refer to United Parcel Service of America, Inc., its officers, 

directors, shareholders, employees, and agents, acting individually or jointly, or jointly 

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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 of UPS. 

D. The term "D.O.T." shall refer to the United States Department of Transportation. 

E. The term "Package" or "Shipment" shall refer to the package Melrose T-Top 

marked "ORM-D" and offered for delivery to UPS on March 13, 2013 that is the subject 

of the Comp taint. 

F. The term "Person" or "Persons" means a natural person or an entity, any business 

entity, association, group, any federal, state or local government agency or body. 

G. The term "Document" or "Documentation" means all written, recorded, and 

graphic material, however produced or reproduced, whether or not privileged, pertaining 

in any way to the subject matter ofthis action. This defmition includes, but is not limited 

to, all originals, copies, and drafts of the following: records, notes, summaries, schedules, 

contracts, agreements, drawings, sketches, invoices, orders, acknowledgments, diaries, 

reports, memoranda of all 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 or hard drive, and all 

other graphic, symbolic, recorded, and written materials of any 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 in the Interrogatory. 

I. The term "Knowledge" means firsthand information acquired through the five 

senses and information, other than firsthand information, deriving from any source, 

including hearsay knowledge. 

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 or to the damages claimed to have resulted there from. 

K. The term "Communication" or "Communications" means all communications of 

any nature whatsoever, whether oral, in writing, or non-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 by which he has ever been known; (3) his last 

known home and business addresses; and (4) his job positions and business affiliations, 

from the date ofthe occurrence alleged in the Complaint to the present date. 

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M. To "Identify" a corporation or other entity, means to state with respect to each 

such corporation or other entity: (I) the full name of the corporation and the principal 

place of business; (2) the state of incorporation; (3) the date of incorporation; and (4) the 

chief executive 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 of preparation of 

the document; (2) the date the party acquired the document, if applicable; (3) the author, 

title, and subject matter or nature; ( 4) the place of preparation, present location, and 

present custodian; and ( 5) each and every other person, who participated in or directed 

the preparation of the document, or received a copy of the 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 

and place of the meeting; (2) the identity of each and every person present at the meeting; 

(3) the general description of the substance of the discussions and the decisions (if any) 

reached at, or as a result of, the meeting; and ( 4) the identity of each 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 of the conversation; (2) the identity of each and every 

person who participated in, or was present during the conversation; (3) a general 

description of the substance of the conversation; and ( 4) the identity of each and every 

document concerning the conversation. 

Q. As used herein, the singular includes the plural, and the plural includes the singular; 

the masculine, feminine or neuter pronouns 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 of the other functional words, as necessary to bring within 

the scope of this request any documents that might otherwise be construed to be outside the 

scope. 

INSTRUCTIONS 

A. In responding to these requests, furnish all information in the possession of 

Complainant, its agents, employees, and any other persons acting on its behalf. 

B. These requests are to be deemed continuing. Complainant is requested to provide, 

by way of supplementary 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. 

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C. 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 unanswered portion. 

INTERROGATORIES 

l. Identify the names, and last known addresses and telephone numbers, of each and 

every witness who will testify at trial and provide the following: 

a. Lay Witnesses-Identify all persons giving fact and lay opinion testimony 

and state the subjects upon which the witness will testify. 

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 on which the witness will testify, 

ii. The opinions and conclusions of the witness and the basis thereof, 

iii. The qualifications of the witness, and; 

IV. Any report(s) prepared by the 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 on which the witness will testify: 

ii. The conclusions and opinions of the witness and the basis thereof; 

iii. The qualifications of the witness; and, 

IV. Any report prepared by the 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 of the 

lmowledge or information each such individual is believed to 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 of the copies of those statements regarding the events, transactions, or 

occurrences that gave rise to the action. 

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ANSWER: 

4. Explain the discovery of the Package allegedly leaking contents: 

a. Identify the person(s) who discovered that the Package was allegedly 

leaking contents and any subsequent person( 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 Material Regulations cited in the 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 of the investigation. 

d. Identify any reports, memoranda and/or documents generated and/or relied 

upon during the course of the 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 in the Complaint? 

ANSWER: 

7. Articulate the basis for Complainant's determination that the proposed civil 

penalty of $38,500 assessed to Respondent is reasonable. 

ANSWER: 

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8. 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 of any alleged property damage. 

ANSWER: 

10. IdentifY the existence, location, custodian, and general description of any tangible 

evidence, documents, photographs and/or videos that the disclosing party plans to 

use at trial. 

ANSWER: 

11. Please state whether Complainant is in possession, custody and/or control of the 

original Package and its contents, and if not, when, by whom and in what method 

was it disposed of? 

ANSWER: 

12. IdentifY whether Complainant is or has been a party to any other FAA cases, 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: 

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Richard L. Williams 

Joshua M. Feagans 

Kristin N. 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/a Melrose T-Top 

~jAU.~o~ One of its attorneys 

CERTIFICATE OF SERVICE 

The undersigned, an attorney duly licensed to practice law in the State of Illinois, 

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 of same 

in the U.S. Mail, in Geneva, Illinois, postage pre-paid, by 5:00p.m. on October 23,2014. 

Federal Aviation Administration 

Attn: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building- Suite 2W1 000 

800 Independence Avenue, S.W. 

Washington, DC 20591 

Christopher R. Stevenson, Esq. 

Office of Regional General Counsel, ASO-7 

Federal Aviation Administration 

Southern Region 

1701 ColumbiaAvenue 

College Park, Georgia 30337 

Hon. Richard C. Goodwin 

Attn: Patricia Matthews 

U.S. Administrative Law Judge 

Office of Hearings, M-20 

U.S. Department of Transportation 

1200 New Jersey Avenue, S.E. (Ell-310) 

Washington, D.C. 20590 

Dated: October :::J3 , 2014 

~-~MCU.·~~ '\~~ Kristin N. Stone 

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