465 California Street 

Suite 210 

• 

San Francisco 

California 94104 

• 

(415) 421-2500 

Fax (415) 421-2560 

www.avialex.com 

law@avialex.com 

Michael L. Dworkin and Associates R E c E 1 v ED . . ! ' , Law Offices 

JUN 2 8 2013 

HEARING DOCKET 

FED EX: 

Federal Aviation Administration 

SOQ Independe!!ce_Av~n11e S\fl/ _ 

Washington, DC 20591 

Attn: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building -Suite 2W1000 

RE: Martinaire Aviation, LLC 

FAA Case No. 2011SW700189 

DMS No. FAA-2013-0040 

Dear Hearing Docket Clerk: 

June 26, 2013 

Enclosed herewith for filing are the following documents: 

Martinaire Aviation, LLC's Response and Objections to 

Complainant's Motion for Decision and Transmittal of Exhibits. 

cc: The Honorable Richard C. Goodwin 

Administrative Law Judge 

L James Archier, Esq. 

FAA,ASW-7 

Very truly yours, 

Caitlin M. Miller 

Legal Assistant 

'·" 

• J ' 
,._ .. 

Michael L. Dworkin (CA Bar# 64047) 

MICHAEL L. DWORKIN and ASSOCIATES 

465 California Street, Suite 210 

San Francisco, CA 94104 

Telephone: 415-421-2500 

FAX: 415-421-2560 

Email: law@avialex.com 

Counsel for MARTINAIRE AVIATION, LLC 

RECEIVED 

JUN 2 8 2013 

HEARING DOCKET 

UNITED STATES OF AMERICA 

DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, D.C. 

In the Matter of: 

MARTINAIRE AVIATION, LLC 

FAA Case No. 2011SW700189 

DMS No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S 

RESPONSE AND OBJECTIONS TO 

COMPLAINANT'S MOTION FOR 

DECISION 

Judge: The Honorable Richard C. Goodwin 

TO THE DEPARTMENT OF TRANSPORTATION, THE HONORABLE 

RICHARD C. GOODWIN, ADMINISTRATIVE LAW JUDGE, AND TO THE 

ADMINISTRATOR, FEDERAL AVIATION ADMINISTRATION AND HIS 

ATTORNEYS OF RECORD: 

Respondent, MARTINAIRE AVIATION, LLC (l!~reinafter 

"MARTINAIRE"), hereby responds and objects to Complainant's Motion for 

Decision as follows: 
INTRODUCTION 

On June 17, 2013, Complainant filed and served a Motion for Decision in this 

matter arguing that no genuine issues of material fact exist. MARTINAIRE disagrees and 

objects to Complainant's Motion as more specifically set forth below. 

BACKGROUND 

On January 15, 2013, Complainant filed its Complaint alleging that 

MARTINAIRE violated Sections 175.33(a)(l), 175.33 (a)(l)(i) and 175.33 (a)(7) of the 

Department of Transportation's Hazardous Materials Regulations ("HMR"), and seeking 

the imposition of a $206,550 civil penalty. This civil penalty is unprecedented. 

Complainant has alleged that during a comprehensive base inspection on July 8, 

2011, it found twelve Notifications ofPilot in Command (NOPIC) to be incomplete or in 

error. The NOPIC's are required by the above-cited HMR's, which provide: 

§ 175.33 Notification of pilot-in-COI!!ffiand. 

(a) Except as provided in §175.10, when a hazardous material subject to 

the provisions of this subchapter is carried in an aircraft, the operator of 

the aircraft must provide the pilot-in-command with accurate and 

legible written information as early as practicable before departure of 

the aircraft, which specifies at least the following: 

(1) The proper shipping name, hazard class and identification number 

of the material, including any remaining aboard from prior stops, as 

-specified in §172.1Ul-of this subchapter-or- the ICAO Technical 

Instructions (IBR, see §171.7 ofthis subchapter). In the case ofClass 1 

material, the compatibility group letter also must be shown. If a 

hazardous material is described by the proper shipping name, hazard 

class, and identification number appearing in: 

2 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
(i) Section 172.101 ofthis subchapter, any additional description 

requirements provided in§§ 172.202 and 172.203 of this subchapter 

must also be shown in the notification. 

(7) The date oftheflight .... 1 

(emphasis added) 

On February 1, 2013, MARTINAIRE answered the Complaint admitting that the 

NOPIC's for Flight 637 on June 22, 2011 (Complaint, Par. 3 and 4), Flight 600 on June 6, 

2011 (Complaint, Par. 5 and 6), Flight 682 on June 6, 2011 (Complaint, Par. 7 and 8), 

Flight 806 on May 26, 2011 (Complaint, Par. 9 and 10), Flight 666 on May 24, 

2011(Complaint, Par. 11 and 12), Flight 601 on May 19, 2011 (Complaint, Par. 13), 

Flight 700 on May 14, 2011 (Complaint, Par. 14 and 15), Flight 688 on May 13, 2011 

(Complaint, Par. 16 and 17), Flight 637 on April14, 2011 (Complaint, Par. 18, 19 and 

20), Flight 685 on April12, 2011(Complaint, Par. 21 and 22), Flight 666 on April1, 2011 

(Complaint, Par. 23 and 24) contained errors? 

Other than admitting that the twelve NOPIC's contained errors, MARTINAIRE 

denied the allegations of violation ofthe cited HMR's and has asserted that a civil 

penalty in the amount of $206,550.00 is excessive and unwarranted. 

1 As opposed to most large air carriers which prepare NOPIC's and provide them to their 

flight crews, MARTINAIRE, as a small carrier, relies upon its pilots to prepare the 

NOPIC's. Essentially, the pilots prepare the notifications to themselves, based upon 

information provided to them by UPS and DHL when the pilots accept a HazMat 

Shipment. 

2 MARTINAIRE's admissions in its Answer are totally consistent with its August 2, 2011 

respon:se to the FAA's LetterofiJivestigation ("LOI"J (Complainant's Exhibit A). -As- - -

can be seen by MARTINAIRE's letter, it "stepped up to the plate"-- fully investigating 

the FAA's findings, cooperating with the FAA in the agency investigation, and 

implementing immediate and effective corrective action. Complainant does not disagree 

with the level of cooperation that MARTINAIRE provided to the FAA or the swiftness, 

comprehensiveness and effectiveness ofMARTINAIRE's corrective actions. Please see 

transcripts of depositions of Complainant's Paul Klimas ("Klimas Depo.") and Bryan 

Buchanan ("Buchanan Depo."), discussed in greater detail, infra. 

3 

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MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
MARTINAIRE additionally asserted several affirmative defenses, specifically: 

1. The sanction sought by Complainant is unwarranted by the facts, safety 

in commerce and the public interest and is not only excessive, but, far 

exceeds policy, precedent and Complainant's own Sanction Guidance 

Table. Further, the sanction is compounded, in violation of the 

Complainant's own Sanction Guidance Table (First Affirmative 

Defense); 

2. The Complainant's case, is unwarranted and without basis or 

jurisdiction in law or fact (Second Affirmative Defense); 

3. Any and all alleged discrepancies with the requirements of the cited 

provisions of 49 CFR § 175.33 are the product of simple human error 

by non-management employees ofMARTINAIRE in violation of 

MARTINAIRE's own policies and procedures, and contrary to the 

training and guidance that the employees were provided by 

MARTINAIRE and are in no way indicative ofMARTINAIRE's 

regulatory compliance disposition. The majority of the employees 

involved were MARTINAIRE pilots, who themselves prepared the 

NOPIC's, based upon information given to them by third parties. In 

essence, the pilots were preparing the notifications to themselves. The 

employees involved, although adequately trained and qualified under 

MARTINAIRE's then-FAA-approved training program, including but 

not limited to MARTINAIRE's HAZMAT Training Program, have 

4 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
since received additional training. Moreover, MARTINAIRE, in an 

immediate response to the matters giving rise to this case, revised and 

updated its HAZMAT Training Program, revised its standard NOPIC 

Form to be more "user friendly", mandated additional training not only 

for the personnel involved in these alleged incidents, but all flight 

operations, pilot and dispatch personnel, and implemented a program of 

internal daily audits of all NOPIC's. Subsequent internal audits have 

shown that compliance has been achieved (Third Affirmative Defense); 

4. MARTINAIRE has proactively mitigated any and all damage such that 

this action is unwarranted by policy or the need for safety. Specifically, 

MARTINAIRE counseled all pilots involved in incidents alleged in the 

Complaint; counseled all flight department and dispatch personnel in 

the interests of preventing recurrence of such incidents; revised its 

HAZMAT Training Program to specifically address said problems and 

ensure future compliance; revised the NOPIC Form to make it more 

user friendly; provided its personnel with additional HAZMA T training 

so as to prevent recurrence of such incidents, including: Hazardous 

Material Recognition; Acceptance and Transport of Dangerous Goods; 

and Proper Completion of the revised NOPIC Form;3 and implemented 

a program of daily audits of all NOPIC's which have since shown that 

compliance has been achieved (Fourth Affirmative Defense); 

3 The ALJ in The Matter of Seven's Paint & Wallpaper Co., FAA Order No. 2001-6 (May 16, 

2001) believed that training constituted a mitigating factor. 

5 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

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5. MAR TINAIRE has taken all necessary corrective actions to avoid 

repeated mishaps such that penalties are redundant and will not result 

in any increase in safety (Fifth Affirmative Defense). 

6. . To the extent that the Complainant has relied upon FAA Order 

2150.3B in determining the sanction in this case, Complainant has 

compounded the alleged violations and sanctions in contrave,ntion of 

said Order; Complainant seeks civil penalties in excess of those 

suggested in said Order's Appendix C, Figure C-1. In further 

contravention of said Order; Complainant has failed to take into 

consideration the considerable corrective action that was immediately 

thereafter taken by MARTINAIRE. Said Order, to the extent that it 

treats MARTINAIRE as a Group II carrier, is arbitrary, capricious and 

unenforceable. Specifically, Figure C-1 ofthe Sanction Guidance 

Table contained within said Order mandates that MAR TINAIRE be 

treated as a Group II carrier and accordingly be subjected to higher 

penalties than Group III or IV carriers. The sole reason for this is the 

number of aircraft that MARTINAIRE operates (39, including 24 

owned and 15 leased aircraft)4

, all of which have a maximum gross 

takeoff weight ofless than 12,500 pounds5

. However the Order and 

Table fail to account for the size of the aircraft or their payloads. 

4 As of the date of this response, MARTINAIRE operates 38 aircraft. 

5 MARTINAIRE's present fleet includes three aircraft (BE-1900's) which have a gross 

takeoff weight of 16,600 pounds. However, the entire MARTINAIRE fleet operates 

under FAR Part 135. 

6 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
Under the Order and Table, a carrier operating fewer, but larger, 

aircraft, carrying far greater payloads, and far greater numbers of 

hazardous materials shipments and generating substantially greater 

revenues, could be treated as a smaller carrier and be subject to lesser 

penalties (Sixth Affirmative Defense); and 

7. Complainant's case is devoid of any sense of proportion, as during the 

period of time covered by the Complaint, MARTINAIRE carried some 

500-600 HAZMAT shipments, all without incident; the NOPIC's 

examined by the FAA inspection team on July 8, 2011, which gives 

rise to this case, covered a period of 90 days. The total number of 

NOPIC's examined by the FAA was 500-600. Ofthis total number, 

only 12 were observed to have any discrepancies; as a small company 

(and a small business) that operates only small aircraft with less than 

100 employees, the burden on MARTINAIRE caused by a $206,550.00 

penalty would be insurmountable (Seventh Affirmative Defense). 

ALL FACTS ARE NOT UNDISPUTED 

Complainant paints "undisputed facts" with a very, very broad brush, asserting 

that there are absolutely no undisputed facts and that this matter is ripe for decision 

affirming the imposition of the $206,550.00 civil penalty: 

... there are no genuine issues of material fact in this case that need to 

be decided by a fact finder and motion for decision should be granted in 

favor of the ... FAA (Motion at 2). 

7 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
While MARTINAIRE's has admitted the NOPIC errors alleged in Paragraphs 3 

through 24 of the Complaint, all allegations of (1) regulatory violation and (2) the 

appropriateness and size of the civil penalty have been specifically denied and remain at 

issue. Moreover, MARTINAIRE's affirmative defenses6

, remain at issue, all of which 

constitute material facts and which compel against the granting of a Motion for Decision 

disposing of this matter in its entirety. 

While Complainant also cites certain facts to which there is no genuine dispute 

(Motion, at 2-3): 

1. MARTINAIRE is a "small business entity", as that term is utilized in Order 

2150.3B, and particularly Sanction Guidance Hazardous Materials 

Enforcement, Paragraph 5. MARTINAIRE agrees that it is a small business 

entity. In fact, as its Assistant Chief Pilot testified at deposition, 

MARTINAIRE operates only 38 aircraft (Deposition of Cory Smith ["Smith 

Depo."] at 30:9) (The Smith Depo. is submitted herewith as part of this 

Response and Objections as Exhibit A); 

2. In 2012, MARTINAIRE was assessed a civil penalty in Case No. 

2011 GL 700205 for transporting an undeclared hazardous material. While this 

may be technically true, the assessment and finding by the FAA occurred after 

the instant case arose. Moreover, the act giving rise to this case was that of a 

MARTINAIRE pilot acting beyond the course and scope ofhis employment, 

6 It is very telling that while Complainant has gone through great efforts in its Motion 

discussing the factual allegations of Paragraphs 3-24 of its Complaint (which 

MARTINAIRE for the most part has admitted), other than its conclusory assertion that 

the " ... seven affirmative defenses raise no issue of fact" (Motion at 9), Complainant has 

given no substantive reasons or arguments in support of this assertion. 

8 

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MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
contrary to the training that he was given and without the knowledge or 

consent ofMARTINAIRE.7 It is also highly noteworthy that the 2012 case 

did not involve NOPIC's or the regulations and that the matter was settled 

with Complainant's acknowledgment that the settlement by MARTINAIRE 

was without admission of liability, wrongdoing or violation. Please see 

Exhibit 7 to Klimas Depo. (Exhibit B hereto); 

3. In 2009, MARTINAIRE was assessed a civil penalty in Case No. 

2011 GL 700205 for a NOPIC-related violation. While this may be technically 

correct, the case arose as a result of a pilot's noncompliance with 

MARTINAIRE's policies and procedures, contrary to the training that he had 

been given and without the knowledge or consent ofMARTINAIRE.8 It is 

also noteworthy that the 2009 matter was settled with Complainant's 

acknowledgment that the settlement by MARTINAIRE was without 

admission of liability, wrongdoing or violation. Please see Exhibit 6 to 

Klimas Depo. (Exhibit C hereto). 

While relevant in considering the appropriateness of the proposed sanction, these 

"undisputed" facts are not material to the resolution of this matter in its entirety. 

7 As MARTINAIRE's Chief Operating Officer testified at deposition, a pilot, in 

preparation for his washing an airplane, purchased some "Purple Power" degreaser at a 

retail store and put it on board his aircraft (Deposition of Alan Rusinowitz ["Rusinowitz 

Depo."] at 33:25-38:15. 

8 Mr. Rusinowitz testified to this prior incident in which a pilot apparently ran out of 

blank NO PIC forms, and rather than removing the exemplar form from the General 

Operating Manual carried on the aircraft, made some handwritten notes containing 

NOPIC-mandated information on a blank sheet of paper (Rusinowitz Depo at 41:2-

42:16). 

9 

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MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
Complainant also considered two prior administrative actions (Warning Notice in 

2008 and Letter of Warning in 2009 [Motion at 11]) in its determination of sanction. 

That Complainant has cited and/or relied upon these old administrative actions is truly 

astonishing as its own Compliance and Enforcement Program, Order 2150.3B, Chapter 

5, Paragraph 4.a. clearly states "administrative actions are not adjudications. Neither a 

letter of correction nor a warning notice constitutes a finding of violation .... ". 

Unappealable, nonlitigable administrative actions have absolutely no legal force or effect. 

They are tantamount to mere accusations. 

Had Complainant confined its Motion for Decision to the allegations ofNOPIC 

errors in Paragraphs 3 through 24 of the Complaint, MARTINAIRE would not oppose 

granting of the Motion for a partial decision confined to those allegations. The NOPIC 

errors discovered during the FAA's inspection, were fully acknowledged by 

MARTINAIRE and served as the impetus for the substantial, comprehensive, swift and 

immediate corrective actions that MARTINAIRE took, all to the satisfaction ofthe FAA 

inspection team.9 In fact, MARTINAIRE would welcome the Administrative Law Judge 

issuing a partial decision finding that the allegations contained in Paragraphs 3 through 

24 of the Complaint are conclusive, and thus limiting the hearing to MARTINAIRE's 

affirmative defenses and the issue of sanction. 

9 See Depositions ofMARTINAIRE's Chief Pilot, Michael Bates (Exhibit D hereto), and 

Chief Operating Officer and Director of Operations, Alan Rusinowitz (Exhibit E hereto), 

as well as the Depositions ofF AA personnel, Paul Klimas (Complainant's investigating 

inspector)(Exhibit F hereto) and Bryan Buchanan (Exhibit G hereto), discussed in greater 

detail, infra. 

10 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
ARGUMENT 

1. Standard for Decision 

a. Rules- of Practice 

As set forth in The Matter of William A. Luker, Jr., FAA Docket No. 

CP09SW0008 (2010), a motion for decision under 14 CFR Section 13.218(f)(5) is 

comparable to a motion for summary judgment under Rule 56( c) of the Federal Rules of 

Civil Procedure ("FRCP"). The standard for deciding a summary judgment motion under 

the FRCP is governed by the Supreme Court's opinion in Celotex Corp. v. Catrett, 477 

U.S. 317 (1986): 

In our view the plain language of Rule 56( c) mandates the entry of 

summary judgment, after adequate time for discovery and upon motion, 

against a party who fails to make a showing sufficient to establish the 

existence of an element essential to that party's case, and on which that 

party will bear the burden of proof at trial. In such a situation, there can be 

"no genuine issue as to any material fact," since a complete failure of proof 

concerning an essential element of the nonmoving party's case necessarily 

renders all other facts immaterial. 

On a motion for summary judgment, all evidence and inferences are to be viewed 

in the light most favorable to the nonmoving party. However, "if the moving party's 

documentary presentation demonstrates that its version of the facts entitles it to judgment 

as a matter of law, the Celotex rule requires the party opposing the motion to come 

forward with documents (other than the pleadings) supporting a version of the facts that 

11 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
would preclude the grant of summary judgment." As can clearly be seen herein, 

MARTINAIRE has done this. 

Pursuant to 14 CFR 13.218(f)(5), Motion for decision, the administrative law 

judge shall grant a party's motion only if the pleadings, depositions, answers to 

interrogatories, admissions, matters that the administrative law judge has officially 

noticed, or evidence introduced during the hearing show that there is no genuine issue of 

material fact and the party making the motion is entitled to a decision as a matter of law. 

While the NOPIC errors cited alleged in Paragraphs 3-24 of the Complaint may 

have been established, Complainant has not produced any evidence refuting 

MARTINAIRE's affirmative defenses and has not produced evidence that its choice of 

sanction is reasonable or appropriate and in accordance with established law and 

precedent. 

b. Administrative Law Judge is Not Bound by Choice of Sanction 

An Administrative Law Judge (ALJ) is not statutorily bound to follow 

Complainant's choice of sanction. ALJ's make decisions independently, and the ALJ 

determines whether a civil penalty is to be assessed, and if so, in what amount. 10 The 

Complainant has chosen to apply an excessive civil penalty contrary to its own 

guidelines. Moreover, as the record in this proceeding clearly reflects, Complainant has 

gone through great lengths to prevent disclosure of any evidence relating to how it 

10 NL Industries, Inc. v. Department of Transportation, 901 F.2d 141 (D.C. Cir. 1990); Federal 

Aviation Administration v. Texas Army National Guard, FAA Docket No. CP09SOOO 14 (20 11 

FAA Lexis 246); Federal Aviation Administration v. Federal Express, Inc., FAA Docket No. 

CP09NMOO 10 (20 11 ). 

12 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
computed this proposed penalty. 11 Complainant's heavy-handed sanction does not, in 

any way, increase or otherwise promote safety in air transportation. 

2. Sanction 

a. Standard 

Complainant correctly states the considerations listed in 49 U.S.C. Sec. 5123(c): 

Nature and circumstances of the violation; 

Extent and gravity of the violation; 

Degree of culpability; 

History of prior violations; 

Ability to pay the civil penalty; 

Effect on the person's ability to stay in business; and 

Other matters as justice may require. 

\ 

However, these sanction guidance factors, as well as Complainant's own 

precedent, demand mitigation and substantial reduction of Complainant's outrageously 

excessive proposed penalty. 

Nature and Circumstances 

Without understating the importance of compliance with the HMR's12, and the 

cited regulations, notwithstanding the NOPIC errors, were there even violations? There is 

11 Please see Complainant's Motion for Protective Order, dated April4, 2012, 

Complainant's Reply to Respondent's Response to Motion for Protective Order, dated 

April17, 2012, Buchanan Depo. at 12:19-13:2, Klimas Depo. at 20:6-23:2. 

12 MARTINAIRE's Mr. Rusinowitz testified about MARTINAIRE's compliance 

philosophy: 

13 

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MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
no dispute that HMR Section 175.33 provides that the operator must provide the pilot in 

command with certain accurate and legible written information. As is not the case with 

most air carriers, in which persons within the air carrier organization (other than pilots) 

prepare NOPIC's and provide them to the flight crews, 13 MARTINAIRE's pilots prepare 

their own NOPIC's-a "memo to self'. Moreover, in completing the NOPIC form, 

MARTINAIRE pilots are essentially copying or transcribing the contents of the shipping 

documents provided to them by UPS and DHL, which contain the very same information 

mandated by Section 175.33(a)(1). 14 To the extent that the pilots are in possession of the 

UPS and DHL documents, they already have notification of the proper shipping name, 

hazard class and identification number of the material. And presumably, the pilots know 

the date of the flight. 

Even ifthe NOPIC errors constituted HMR violations, the extent and gravity of 

the alleged violations are low as the pilots already had possession of all HMR-required 

information by virtue of the UPS or DHL documentation (including a "coupon" 

"I want to be safe. I want to be in compliance, and ifl'm not, let's 

fix it." (Rusinowitz Depo. at 38:23-24). 

" .. .I understand compliance. You know, if airlines would realize 

it's much easier and cheaper to comply that it is to try not to comply and 

get away with something, it would be a lot easier for everybody. But it is 

easier to comply·. 

"And if you have a question, call and ask.... I think of nothing 

picking up the phone and calling Mr. Klimas ifl have to. I'll do it with 

the drug division, I'll do it with my POI, P AI, PMI. If you've got a 

question, ask ..... (Rusinowitz Depo. at 39:23-40:9). 

13 Klimas Depo. at 10:18-12:23. 

14 Smith Depo. at 33:19-13:24,47:18-48:4 

14 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
containing all the information required by Section 175.33(a)(1)) that is given to them 

when they pick up and accept the HazMat item and load it onto their aircraft. 

Extent, Gravity and Culpability 

As Complainant's Mr. Klimas testified, the July 8, 2011 inspection was not 

confined to review ofNOPIC's. It was a full HazMat base and compliance inspection, 

conducted at DFW International Airport and at MARTINAIRE's headquarters in 

Addison, Texas. The FAA was looking at total HMR compliance-training, training 

records, pilot notification procedures, aircraft loading, HazMat acceptance procedures--

and undertaking general surveillance ofMARTINAIRE's activities (Klimas Depo. at 

12:24-14:9). With the exception of the subject 12 NOPIC errors

15, everything else was in 

full compliance (Klimas Depo. at 14:15-19). These 12 discrepancies (out of a sampling 

of several hundred NOPIC's) were isolated. Moreover, the manner in which the 

NOPIC's had been completed was contrary to MARTINAIRE's manuals, procedures and 

training16. As Exhibit A to the Motion clearly reveals: 

-MARTINAIRE's General Operating Manual (GOM) clearly provides that 

NOPIC's be fully and accurately completed; and 

-MARTINAIRE's FAA-approved HazMat Training Manual clearly provides that 

NOPIC's be fully and accurately completed and directs that training be given in 

completion ofNOPIC's. 

15 The NOPIC's were in MARTINAIRE's 90-day file, containing somewhere between 

500 and 600 NOPIC's. In other words, only some 2-3% of the NOPIC's were observed 

to contain errors. 

16 It is worthy of note that MARTINAIRE provides yearly HazMat training to its 

employees, although the HMR's require only biennial training, something which 

Inspector Klimas described as a "good thing" (Klimas Depo. at 14:23-15:7). 

15 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
In short, the NOPIC errors were in no way indicative ofMARTINAIRE's 

regulatory compliance disposition. All employees had been appropriately and adequately 

trained and qualified in accordance with MARTINAIRE's FAA-approved HazMat 

Training Program. In an immediate response to the FAA inspection, all flight crews and 

dispatch personnel were immediately retrained, and MARTINAIRE published and 

-- -•-·- -- -- --- -• ~ .. -. ~ ~- ---r" • •··- •-- .. ---·--••• ·- -·•- - ·-•-•-·- •- -··-• -- ••• -••- ------· ---·-----

disseminated a new more user-friendly NO PIC form within 3 calendar days. Subsequent 

company internal audits have shown 100% compliance. 

History of Prior Violations 

Complainant freely admits that the sanction it seeks to impose in this matter is in 

excess of the established guidelines contained in its Sanction Guidance Table, due to 

what it asserts is MARTINAIRE's history ofHazMat violations (Motion at 11), citing 

two prior warnings and two civil penalty actions (one of which, the "Purple Power" 

matter, was not assessed until after the instant case arose and which did not involve the 

preparation ofNOPIC's, and which as Complainant's Mr. Klimas testified, he did not 

even consider [Klimas Depo. at 30:7-30:23)]). As Complainant's Bryan Buchanan 

testified, the average civil penalty sought by Complainant's Southwest Region for 

NOPIC violations is in the $30,000 to $50,000 range (Buchanan Depo. at 14:18-14:25), 

and that the FAA has never before sought a civil penalty for any NO PIC violation in 

excess of$200,000 (!d. At 14:8-14:11)! 

Complainant's treatment ofMARTINAIRE's "violation history" as an 

"aggravating factor" (Motion at 11) is disingenuous. Aside from relying upon two 

administrative actions (no legal finding, no right to appeal and be heard, no right to 

confront witnesses, no right to adduce evidence and no right to have a full decision based 

16 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
upon a factual record), and aside from relying upon the "Purple Power" case, which did 

not involve NOPIC's and in which the FAA did not even issue a finding until after the 

instant case arose, Complainant's determination of sanction and seeking a monetary 

penalty that is literally "off the charts", in complete disregard of Complainant's own 

guidance and precedent. Attached hereto and made a part hereof as Exhibit H is 

Complainant's Responses to Respondent's First Request for Production of Documents, 

served June 17, 2013, including documents in response to Requests to Produce Nos. 1.12, 

1.13, 1.14 and 1.15, relating to Orders Assessing Civil Penalty issued by Complainant's 

Southwest Region to other air carriers for NOPIC violations within the preceding ten (10) 

years. 

These responses reveal that Complainant, and in some cases, the very same 

attorney, issued Orders Assessing Civil Penalty in the following matters: 

-FAA Case No. 2012SW70081, $77,000 to Atlantic Southeast Airlines, a much 

larger company than MARTINAIRE for, among other things, offering for shipment an 

improperly packaged oxygen generator, that had previously been rejected by FEDEX and 

in which that Respondent had attempted to conceal language on the package stating that it 

was not authorized for transportation aboard aircraft. This is certainly a far more 

egregious violation that the instant case; 

-FAA Case No. 2011SW7000155, $32,000 to Southwest Airlines, a much larger 

company than MARTINAlRE, for improper loading of a battery-powered wheelchair 

which caused the battery fluid to leak. Again, this is certainly a far more egregious 

violation than the instant case; 

17 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
-FAA Case No. 2011SW710082, $160,000 to Ethiopian Airlines, again a much 

larger company than MARTINAIRE, for, among other things, shipment of an undeclared 

oxygen generator, with no labels, markings or shipping papers, utilizing an untrained 

employee, certainly a far more egregious violation than the instant case; 

-FAA Case No. 2011 SW700093, $24,500 to FED EX for acceptance of 9 

~- -- --- - - ~ ----- --- ------~-- -- - -- ~ --- -· ---------------- --·-- ·-- ·-

shipments ofHazMat when they had not been prepared in accordance with the HMR's, 

again a far more egregious violation than the instant case; 

-FAA Case No. 2010SW700184, $62,000 to Southwest Airlines for offering for 

shipment to FED EX a fuel control unit that contained fuel, when the shipment was not 

properly packaged, marked, labeled or accompanied by shipping papers; when the 

shipment was discovered to be leaking, again a far more egregious violation than the 

instant case; 

-FAA Case No. 2010SW700147, $5,000 to Atlantic Southeast Airlines and 

ExpressJet for offering oxygen for transportation by air when it was not properly packed, 

marked or labeled, again a far more egregious violation than the instant case; and 

-FAA Case No. 2007SW70031, $25,000 to World Airways for accepting and 

transporting human blood samples suspected of containing Marburg Virus, an infectious 

substance, placed in the overhead storage compartment of a passenger aircraft when it 

was not accompanied by the proper documentation and shipping papers. 

MARTINAIRE's alleged NOPIC errors pale in comparison to this one! 

Now let's address NOPIC cases initiated by Complainant's Southwest Region. 

Again the very same Regional Counsel, and in many cases, the very same attorney, 

18 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
issued the following Orders Assessing Civil Penalty in the following matters for alleged 

NOPIC violations: 

-American Airlines: Three (3) separate NOPIC cases: Case Nos. 2008SW70060 

($41,500 for 7 NOPIC errors); 2008SW700102 ($45,000 for 6 NOPIC errors); and 

2010SW70000123 (a mere $22,500 for 13 NOPIC errors, notwithstanding the prior 

violation history). American Airlines is certainly a much larger company than 

MARTINAIRE, and yet it has been assessed approximately half as much as Complainant 

seeks from MARTINAIRE for over twice the number ofNOPIC errors (apparently the 

FAA did not consider that carrier's "violation history" to be sufficiently "aggravating"); 

and 

-Continental Airlines, Case No. 2010SW700146 ($32,000 for 8 NOPIC errors). 

From the foregoing, it is very apparent as to why Complainant went through such 

efforts and erected such hurdles to prevent disclosure as to how it computed the proposed 

penalty in the instant case! Complainant seeks the largest penalty on record for alleged 

technical violations of far less severity than the several actions cited above. 

Ability to Pay and Absorb Penalty and Remain in Business 

Looking at the FAA's disposition of the above HazMat and NOPIC cases above, 

it is clear that Complainant has imposed substantially lower penalties against much larger 

companies, operating much larger fleets of much larger aircraft for similar, or for even 

more egregious violations. 

At Complainant's request and for the purpose of settling this matter, 

MARTINAIRE previously provided Complainant, on a confidential basis, certain 

financial data, reflecting that over several years it has not only enjoyed profits, but has 

19 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
also suffered losses. As MARTINAIRE's Mr. Rusinowitz testified at deposition, 

MARTINAIRE operated at a loss in 2012 and year to date in 2013, has operated at a loss. 

Mr. Rusinowitz' testimony that this civil penalty could be extremely harmful and 

detrimental to MARTINAIRE's survival (Rusinowitz Depo. at 45:4-45:12), is 

uncontroverted. 

Other Matters as Justice May Require 

Complainant concedes that MARTINAIRE's corrective actions (Motion at 11-12) 

were commendable (!d. At 12), but asserts that "they do not exceed the legal minimum 

requirement to warrant a reduction in civil penalty" (!d. at 12). What does this mean? 

What, if any, case or legal precedent supports this? 

Complainant has conveniently ignored In the Matter of Stebbins Aviation, FAA 

Order No. 2006-3 (2006) wherein the ALJ explicitly reduced the proposed civil penalty 

reasoning that the FAA had not considered corrective action. 

Contrary to Complainant's assertion, MARTINAIRE has always gone way 

beyond what it needed to do to "just get by". Complainant has ignored the fact that 

MARTINAIRE provides its pilots and dispatch personnel with HazMat Training on a 

yearly basis, twice the frequency of what is required under the HMR's. And 

notwithstanding Inspector Klimas' Declaration attached to Complainant's Motion, 

Inspector Klimas testified at deposition that MARTINAIRE took the FAA's findings 

seriously, acted accordingly and responsibly and essentially left no stone untumed. There 

was nothing that the FAA wanted that MARTINAIRE did not do (Klimas Depo 17: 11-

23): 

Q Is there any corrective action that you would like to have seen Martinaire 

20 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
take they didn't take? 

A I don't recall any, no. 

Q So as we sit here today, they were-they took these findings seriously, 

they acted accordingly, and they were fully responsible? 

A Yes. 

--- ------- - -Q-·- -So you have-no-gripes-as -to-the-amount ofeffortor-the=-Or-with-respectto - -

the concern or the responsiveness or the thoroughness of the corrective actions that 

Martinaire took? 

A No, I do not. 

When asked about the working relationship between MARTINAIRE and his 

office, Mr. Klimas added: 

Q I take it because Martinaire does carry HAZMAT, your office has 

considerable dealings with them; is that correct? 

A I have some dealings with them, yes. 

Q How would you consider the relationship between your office and 

Martinaire? Is it a cooperative working relationship? 

A I would say it has been. 

Q When you 've expressed concerns, they have responded to those concerns; 

have they not? 

A In the past, they have, yes. 

Q And very positively? 

A Yes. 

Q They have sought compliance, correct? 

A Yes. (Klimas Depo. at 26:9-26:23). 

Mr. Klimas first level supervisor, Bryan Buchanan, corroborated this testimony: 

21 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
Q .. .In connection with this case, Martinaire has not denied the FA (sic)'s 

allegation that the NOPCs (sic) were deficient in any way, have they? 

A They have not. 

Q As a matter of fact, it would be safe to say that in response to the FA (sic) 

audit, Martinaire stepped up to the plate and undertook rather substantial and very shift 

(sic: swift) corrective actions? 

. - A----l'hat2s-GorreGt.-- ---- --

Q Was there-in response to the FA (sic)' s concerns, Martinaire revised its 

training program, didn't it? 

A That's correct. 

Q It also revised the NOPC (sic) form to make it more user friendly, did it 

not? 

A Yes, that's correct. 

Q And to your knowledge, there's been no subsequent episodes of 

noncompliance with the NOPC (sic) requirement, is that correct? 

A That's correct. 

Q In terms ofMartinaire's corrective actions or response to the FA (sic)'s 

concerns, concerns, is there anytihg else that the FA (sic) would have liked to have seen 

Martinaire do that it didn't do to fix the problem? Other than never carry HAZMAT. 

A Based on the letter from Mr. Rusinowitz and the documentation that he 

provided, if he was in compliance with that today, we would be happy. (Buchanan Depo. 

at 11:7-12:8). 

In Paragraph 16 of his Declaration, Inspector Klimas has stated that the 

incomplete NOPIC put the lives of first responders, MARTINAIRE pilots and the entire 

air transportation system at risk. Upon what has he based this statement? 

MARTINAIRE's NOPIC's are prepared by the pilot, for the pilot. Mr. Klimas 

admitted this in his deposition (Klimas Depo. at 12:16-12:23). 

As for putting the lives of first responders at risk, there is nothing in the HMR's 

22 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
that require NOPIC's to serve any purpose other than to notify the pilot in command as to 

what is on board his or her aircraft. First responders are not mentioned in the HMR' s. 

Mr. Klimas has conceded this (Klimas Depo. at 9:20-9:23). Aside from the HMR's there 

is no FAA-issued authority or guidance that requires that NOPIC's be prepared for first 

responders (Klimas Depo. at 9:24-10:13). Mr. Buchanan has corroborated this 

(Buchanan Depo. at 9:11-9: 19). This is pure embellishment by Complainant and its 

counsel to bolster an otherwise excessive and overreaching civil penalty that it seeks to 

make the highest in history for NOPIC violations. 

b. Complainant's Proposed Sanction is Unreasonable and Exorbitant. 

ALJ' s are not agency personnel and therefore are not expressly required by the 

provisions ofF AA Order No. 2150.3A to follow its guidance. 17 Complainant "has the 

burden of justifying amount sought". 14 CFR Sec. 13.244(a).18 

Complainant has failed to explain how this exorbitant civil penalty, the largest 

civil penalty on record for a NO PIC violation, and against a carrier with approximately 

100 employees, operating 38 small aircraft, will further promote air transportation safety 

or hint at how it used its sanction guidance to arrive at such an amount when the alleged 

errors and omissions on the part ofMARTINAIRE's pilots were contrary to 

MARTINAIRE's own policies, procedures and training and when MARTINAIRE 

immediately responded to the FAA's concerns, taking appropriate, swift and 

17 In the Matter of Folsom's Air Service, Inc., FAA Order No. 2008-11 (2008); In the Matter of 

Northwest Airlines, Inc., FAA Order No. 90-37 (1990). 

18 "Complainant must justify to the law judge the amount of the civil penalty it seeks." In the 

Matter ofWarbelow 's Air Ventures, Inc., FAA Order No. 2000-3 (2000)(SEE In the Matter of 

Luxemburg, FAA Order No. 1994-18(1994)). 

23 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
comprehensive corrective actions. 

As stated in The Matter of Stebbins Aviation, Inc., cited supra

19: 

It has been held many times that it is inappropriate to take a 

mathematical, formulaic approach of simply multiplying the number 

of violations by a set dollar amount.2° Far more important in 

determining the appropriate sanction is the totality for the 

circumstances. This includes the nature, extent, and gravity of the 

- - - - -- - -- - -- -- -violations, the violator"-s degree of culpability ,-history-of prior---

violations, financial situation, as well as any other matters that justice 

requires. 

In its attempt to assess multiple civil penalties for the same alleged act of 

operating a cargo air carrier flight with incomplete or erroneous NOPIC's, Complainant 

implicitly suggests that the provisions of each of the cited HMR' s are sufficiently 

different. They are not. 

Under FAA Order 2150.3B, FAA Compliance and Enforcement Program, 

Chapter 7, Sanction Guidance Policies, Paragraph 6.b., General Sanction Guidance,21 the 

19 Quoting In the Matter of Luxemburg, FAA Order No. 1994-28 (1994)(citing In the Matter of 

Northwest Airlines, FAA Order No. 1990-37 (1990)). 

20 In the Matter of Interstate Chemical Company, FAA Order No. 2002-29 (2002). 

21 Order 2150.3B, FAA Compliance and Enforcement Program, Chapter 7., Sanction Guidance 

Policies: 

Paragraph 6.b., General Sanction Guidance, states 

Simply adding up the individual penalties for each violation could result in compounding 

a sanction in a disproportionately harsh manner for the conduct involved. 

Paragraph 7.b., Limitations on Total Civil Penalty Amounts for Numerous Multiple Violations, 

clause ( 1 ), states that 

In an average case involving numerous inadvertent, multiple violations resulting from a 

single act or omission, that is, not one that is covered by chapter 7, subparagraphs 7.c. or 

7.d., the total civil penalty for the multiple violations ordinarily falls within the ranges 

provided in either Figure 7-1 or 7-2. The group classifications are defined in part I of 

Appendix B. 

Paragraph 7.b., Limitations on Total Civil Penalty Amounts for Numerous Multiple 

Violations, clause (2), states 

24 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
Complainant's assertions that MARTINAIRE be fmed for violating three HMR's (Sees. 

175.33(a)(l), 175.33(a)(l)(i) and 175.33(a)(7)) is compounding a sanction in a 

disproportionately harsh manner for the conduct involved. 

MARTINAIRE's alleged non-compliance did not jeopardize safety of the subject 

flights. The pilots already had possession of the information required by the HMR when 

they accepted the UPS or DHL shipment and the related shipping papers, including the 

coupon which contains the very same information required by Section 175.33(a)(l). 

When the NO PIC errors were brought to its attention by the FAA at the base inspection, 

MARTINAIRE immediately took every available and appropriate corrective action 

(revising the NOPIC and disseminating the new form within three calendar days, 

enhancing its FAA-approved HazMat Training Program and completing retraining for all 

pilots and dispatch personnel within one week, and immediately implementing a daily 

audit system to verify that NOPIC's are correctly completed) and there are no other 

aggravating circumstances demanding that such a harsh and unreasonable civil penalty be 

assessed.Z2 

The term isolated in Figures 7-1 and 7-2 typically describes a single instance of an 

employee's failure to follow a statutory or regulatory requirement, contrary to the 

company's own practice or procedure. A case may involve a number of isolated and 

unrelated violations. Each group of the multiple violations resulting from each isolated 

violation ordinarily is subject to the isolated, inadvertent ranges in Figures 7-1 or 7-2. 

22 Order 2150.3B, FAA Compliance and Enforcement Program, Chapter 7., Sanction Guidance 

Policies, Paragraph 7.c., Penalties Outside the Ranges, Clause (1), Penalties lower than the 

ranges, states: 

It may be appropriate to select a civil penalty amount below the ranges in Figures 7-1 or 7-2 

ifthe degree of culpability is minimal, the degree ofpotential hazard is extremely low, and 

there are no other aggravating circumstances. 

25 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
CONCLUSION 

MARTINAIRE respectfully requests that the Administrative Law Judge deny 

Complainant's Motion for Decision, or in the alternative issue a partial decision 

concluding that the 12 cited NOPIC's contained the cited errors; but that the 

Administrative Law Judge not enter an order that MARTINAIRE be assessed a civil 

penalty in the amount of $206,550; that the Complaint be dismissed with prejudice; and 

for such other and further relief as may be deemed appropriate. 

EXHIBITS 

Submitted herewith and made a part hereof are the following exhibits: 

EXHIBIT DESCRIPTION 

A 

B 

c 

D 

E 

F 

G 

H 

Deposition ofMARTINAIRE's Cory Smith 

Exhibit 7 to Paul Klimas Deposition. 

Exhibit 6 to Paul Klimas Deposition 

Deposition of MARTINAIRE's Michael Bates 

Deposition ofMARTINAIRE's Alan Rusinowitz 

Deposition ofF AA' s Paul Klimas 

Deposition ofF AA' s Bryan Buchanan 

Agency's Responses to Respondent's First Request for Production 

of Documents 

In the interests of economy, other than Exhibits A and B above, all Deposition 

Transcripts submitted herewith are devoid of the voluminous deposition exhibits. The 

undersigned counsel would have no objection to providing copies of the deposition 

exhibits should the Administrative Law Judge or Complainant's counsel request same. 

26 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
Respectfully submitted, 

Dated:J& ;._p_ L~ Jdl ~ Micliael L. Dworkin 

Counsel for MARTINAIRE AVIATION, LLC 

27 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAffiE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
,· 

CERTIFICATE OF SERVICE 

The undersigned hereby certifies that on this~ day of June, 2013, a true and correct 

copy of the foregoing 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS TO 

COMPLAINANT'S MOTION FOR DECISION 

--------was· served-as· follows:--.--·---·-----·-- ----- ---

The Honorable Richard C. Goodwin 

Offic~ of Hearings, M-20 

1200 New Jersey Avenue, S.E. 

East Building Ground Floor, Room E12-

320 

Washington, D.C. 20590 

{Federal Express} 

Federal Aviation Administration 

800 Independence Avenue SW 

Washington, DC 20591 

Attn: Hearing Docket Clerk, AGC-430 

Wilbu! Wright Building - Suite 2W1 000 

{Federal Express} 

James Archier, Esq. 

Federal Aviation Administration 

Office of the Regional Counsel, ASW -7 

2601 Meacham Boulevard, Suite 6E 

Fort Worth, TX 76137 

{Federal Express} 

~g~----

CAITLIN M. MILLER 

28 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION 
Michael L. Dworkin ( CA Bar # 6404 7) 

MICHAEL L. DWORKIN and ASSOCIATES 

465 California Street, Suite 210 

San Francisco, CA 94104 

Telephone: 415-421-2500 

FAX: 415-421-2560 

Email: law@avialex.com 

Counsel for MARTINAIRE AVIATION, LLC 

RECEIVED 

JUN 2 8 2013 

HEARiNG DOCKET 

UNITED STATES OF AMERICA 

DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, D.C. 

In the Matter of: 

MARTINAIRE AVIATION, LLC 

FAA Case No. 2011SW700189 

DMS No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S 

RESPONSE AND OBJECTIONS TO 

COMPLAINANT'S MOTION FOR 

DECISION 

TRANSMITTAL OF EXHIBITS 

Judge: The Honorable Richard C. Goodwin 

TO THE DEPARTMENT OF TRANSPORTATION, THE HONORABLE 

RICHARD C. GOODWIN, ADMINISTRATIVE LAW JUDGE, AND TO THE 

ADMINISTRATOR, FEDERAL AVIATION ADMINISTRATION AND HIS 

ATTORNEYS OF RECORD: 

Respondent, MARTINAIRE AVIATION, LLC (hereinafter 

"MARTINAIRE"), hereby transmits the Exhibits referenced in its Response and 

Objections to Complainant's Motion for Decision: 
EXHIBIT DESCRIPTION 

A 

B 

c 

D 

E 

F 

G 

H 

Deposition ofMARTINAIRE's Cory Smith 

Exhibit 7 to Paul Klimas Deposition. 

Exhibit 6 to Paul Klimas Deposition 

Deposition of MARTINAIRE's Michael Bates 

Deposition ofMARTINAIRE's Alan Rusinowitz 

Deposition ofFAA's Paul Klimas 

Deposition ofFAA's Bryan Buchanan 

Agency's Responses to Respondent's First Request for Production 

of Documents 

In the interests of economy, other than Exhibits A and B above, all Deposition 

Transcripts submitted herewith are devoid of the voluminous deposition exhibits. The 

undersigned counsel would have no objection to providing copies of the deposition 

exhibits should the Administrative Law Judge or Complainant's counsel request same. 

Respectfully submitted, 

Counsel for MARTINAIRE AVIATION, LLC 

2 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION-TRANSMITTAL OF EXHIBITS 
CERTIFICATE OF SERVICE 

The undersigned hereby certifies that on this~ day of June, 2013, a true and correct 

copy of the foregoing 

--MARTINAIRE-AVIATION, LLC'S-RESPONSE-AND OBJECTIONS-TO ___ _ 

COMPLAINANT'S MOTION FOR DECISION-TRANSMITTAL OF 

EXHIBITS 

was served as follows: 

The Honorable Richard C. Goodwin 

Office ofHearings, M-20 

1200 New Jersey Avenue, S.E. 

East Building Ground Floor, Room E12-

320 

Washington, D.C. 20590 

{Federal Express} 

Federal Aviation Administration 

800 Independence A venue SW 

Washington, DC 20591 

Attn: Hearing Docket Clerk, AGC-430 

Wilbur Wright Building- Suite 2W1 000 

{Federal Express} 

James Archier, Esq. 

Federal Aviation Administration 

Office of the Regional Counsel, AS W -7 

2601 Meacham Boulevard, Suite 6E 

Fort Worth, TX 76137 

{Federal Express} 

CAITLIN M. MILLER 

3 

FAA Case No. 2011SW700189/FAA Docket No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS 

TO ADMINISTRATOR'S MOTION FOR DECISION-TRANSMITTAL OF EXHIBITS 
• • 

EXHIBIT A 

Deposition of Cory Smith 

FAA Case No. 2011 SW700189/ DMS No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS TO COMPLAINANT'S 

MOTION FOR DECISION 
FEDERAL A~TION ADMINISTRATION v. ~NAIRE Deposition of: CORY SMITH 

7 

8 

9 

10 

1l 

12 

13 

14 

15 

16 

17 

18 

19 

20 

21 

22 

23 

24 

25 

U.S DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE HEARINGS 

WASHINGTON, DC 

In the Matter of: ) FAA DOCKET No. FAA-2013-0040 

Martinaire Aviation LLC ) FAA CASE No. 20llSW700189 

} {Civil Penalty Action) 

Respondent 

******************************************************** ORAL DEPOSITION OF 

CORY SMITH 

MAY 15, 2013 

******************************************************** 

ORAL DEPOSITION OF CORY SMITH, produced as a 

witness at the instance of the FAA, and duly sworn, was 

taken in the above-styled and numbered cause on May 15, 

2013, from 9:14a.m. to 12:07 p.m., before Kristin 

McDowell, CSR in and for the State of Texas, reported by 

machine shorthand, at the offices of FEDERAL AVIATION 

ADMINISTRATION, 2601 Meacham Boulevard, Fort Worth, 

Texas 76137 pursuant to the Federal Rules of Civil 

Procedure. 

1 APPEARANCES 

2 

3 Mr. James Archier 

FEDERAL A VlATION ADMINISTRATION 

4 Office of Regional Counsel 

Southwest Region 

5 2601 Meacham Boulevard 

Fort Worth, Texas 76137-4298 

6 Phone: (817) 222-5099 

Fax: (817) 222-5945 

7 JAMES.ARCHIER@FAA.GOV 

8 COUNSEL FOR FEDERAL AVIATION ADMJNISTRATION 

9 

-and10 

11 Ms. Becky Holms 

FEDERAL A VlATJON ADMINISTRATION 

12 Office of Regional Counsel 

Southwest Region 

13 260 I Meacham Boulevard 

Fort Worth, Texas 76137-4298 

14 Phone: (817) 222-5099 

Fax: (817) 222-5945 

15 

16 

17 

COUNSEL FOR FEDERAL A VlATJON ADMINISTRATION 

18 Mr. Michael L. Dworkin 

MJCHAEL L. DWORKIN & ASSOCIATES 

19 465 California Street 

Suite 210 

2 0 San Francisco, California 94104 

Phone: (415) 421-2500 

21 Fax: (415) 421-2560 

22 

23 

24 

E-MAIL: LAW @A VlALEX.COM 

COUNSEL FOR MARTINAIRE 

2 5 Also Present: Mr. Alan Rusinowitz 

1 

2 

1 

2 

3 

4 

5 

6 

7 

8 

9 

10 

11 

12 

13 

14 

15 

16 

17 

18 

19 

20 

1 

5/15/2013 

(Pages 1 to 4) 

3 

INDEX 

PAGE 

APPEARANCES ............... . 2 

WITNESS 

CORY SMITH 

DIRECT EXAMINATION BY MR. ARCHIER. . . 4 

Signature and Corrections . . . . . . . . 95 

Reporter's Certificate. . . . . . . . . . 97 

EXHIBITS 

NO. Description PAGE 

CR-1 Notice.. . . . . . . . . . . . . . . . . 36 

CR-2 E-mail. . . . . . . . . . . . . . . . . . 36 

CR-3 NOPC Training Record ........... 41 

CR-4 NOPC Document .............. 46 

CR-5 NOPC Document. . . . . . . . . . . . . . 52 

CR-6 NOPC Document. . . . . . . . . . . . . . 59 

CR-7 NOPC Document. ............. 63 

CR-8 NOPC Document. . . . . . . . . . . . . . 69 

CR-9 NOPC Document. . . . . . . . . . . . . . 70 

CR-1 0 NOPC Document . . . . . . . . . . . . . . 73 

CR-11 NOPC Document .............. 75 

21 CR-12 NOPC Document .............. 77 

22 CR-13 NOPC Document .............. 80 

23 CR-14 NOPCDocument .............. 83 

24 

25 

1 

2 

3 

4 

5 

6 

7 

8 

9 

10 

11 

12 

13 

14 

15 

16 

17 

18 

19 

20 

21 

22 

23 

24 

25 

CR-15 NOPC Document .............. 85 

PROCEEDINGS 

(Oath administered.) 

CORY SMITH, 

having been first duly sworn, testifies as follows: 

EXAMINATION 

BY MR. ARCHIER: 

Q. Good morning. Would you please state your name? 

A. Yes, sir. Cory Smith. 

Q. My name is James Archier, Mr. Smith. Pleasure to 

meet you. Ms. Becky Holms, who is an attorney with our 

office, will be sitting in on this deposition with us. 

This discovery deposition is taken pursuant to notice 

and in accordance with the Federal Rules of Civil 

Procedure. 

Mr. Smith, I'm going to ask you a series of 

questions. I'd appreciate it if you'd answer the 

questions out loud. No nods or shakes of the head. Do 

you understand, sir? 

A. Yes, sir. 

Q. Okay. Ifl ask you a question you don't 

understand, ask me to repeat it and rephrase and I'll do 

so. 

A. Yes,sir. 

Q. Okay. If you need a break, let me know, and we 

will arrange for you to take a break. Obviously I don't 

4 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

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FEDERAL A~ATION Deposition of: CORY SMITH 

ADMINISTRATION v. 

5/15/2013 

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want you to take a break during the time a question is 1 A. Ido. 

pending. Do you understand? 2 Q. Okay. Tell me about -- I want to shift and I 

A. Yes, sir. 3 want to focus on your professional background. And tell 

Q. Okay. There is water, tea, and coffee 4 me a little bit about your educational background. 

downstairs, but because you're a visitor in our 5 A. Yes, sir. I have a master's degree in commercial 

building, you have to be escorted at all times. So if 6 aviation from Delta State University in Cleveland, 

we have to take a break and you need to go off of this 7 Mississippi. 

floor, you're going to have to have an escort and we'll 8 Q. And what kind of degree was that? 

work that out. Do you understand? 9 A. It's a commercial aviation degree. 

A. Yes, sir. 10 Q. Okay. What does that entail? 

Q. Okay. Is there anything about your physical, 11 A. Basically it's a degree in science. It's a 

emotional, or mental condition that will not allow you 12 science degree with aviation background, meaning they 

to understand my questions today? 13 basically take you anywhere from a private pilot all the 

A. No, sir. 14 way through CFII with advance systems. It's a 141 

Q. Ifthat changes, will you promise to tell me? 15 training facility. 

A. Yes,sir. 16 Q. Okay. So what type of degree do you receive at 

Q. Okay. Is there anything about your physical, 17 the end of your completion? 

emotional, or mental condition that will not allow you 18 A. Well, you receive a bachelors, then you can 

to give full and complete answers to my questions today? 19 continue on to your masters. 

A. No, sir. 20 Q. Okay. 

Q. If that changes, will you promise to tell me? 21 A. Which I did. 

A. Yes,sir. 22 Q. Okay. So you have a masters? 

Q. Are you on any medications that will make it 23 A. That's correct. 

difficult for you to understand my questions today? 24 Q. And your masters is in what designation? 

A. No, sir. 25 A. Commercial aviation, as well, yes, sir. 

6 8 

Q. Okay. Are you sick today? 1 Q. Okay. Do you have any licenses also? 

A. No, sir. 2 A. Be more specific. 

Q. Are you currently under a doctor's care? 3 Q. Okay. Do you have any pilot licenses? 

A. No, sir. 4 A. Yes, sir. 

Q. Okay. Have you had any alcohol within the last 5 Q. Tell me what kind of pilot license you have. 

eight hours? 6 A. I have an ATP. 

A. No, sir. 7 Q. Do you have any other medical certifications? 

Q. Any other reasons that you can think of as to why a A. I have a medical certificate that allows me a 

you won't be able to answer my questions fully and 9 Class 1 medical. 

truthfully? 10 Q. Okay. So you're currently able to fly right now, 

A. No, sir. 11 correct? 

Q. Okay. Mr. Smith, did you meet with any persons 12 A. Absolutely. 

other than your attorney to prepare for this deposition 13 Q. All right. What do you-- what type of planes 

today? 14 are you able to fly? 

A. No,sir. 15 A. I can fly - I'm type-rated in a Beech 1900, 

Q. Did you talk to any other witnesses without the 16 Metroliner, and anything that's multi-engine or high 

presence of your attorney today? 17 performance, I'm licensed to fly. 

A. No,sir. 18 Q. Okay. How long have you worked at Martinaire 

Q. Okay. Where do you live at, Mr. Smith? 19 Aviation? 

A. In McKinney, Texas. 20 A. Let's see. Since December 4th, I believe, 2004. 

Q. Okay. And your address? 21 Q. Okay. What is your title there? 

A. 6804 Allegiance Drive, McKinney. 22 A. I am the assistant chief pilot as well as the 

Q. Are you married or single? 23 multi-engine program manager. 

A. I'm married. 24 Q. Tell me what your duties and responsibilities 

Q. Do you have children? 25 are. 

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FEDERAL A41lTION ADMINISTRATION v. ~AIRE Deposition of: CORY SMITH 5/15/2013 

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A. My duties and responsibilities include assisting 1 

the chief pilot in the day-to-day operations. I'm also 2 

a company instructor and check airman of the aircraft 3 

types, so I do a lot of training, a lot of checking. We 4 

maintain pilot records. We assist our dispatch in 5 

coordinating with our customer and getting our freight 6 

to what needs to go on time. 7 

We implement procedures and policies. We keep 8 

our General Operations Manual up to date, our different 9 

programs up to date. Part of the multi-engine program 1 0 

that I oversee is basically any aircraft with two 11 

engines. I keep that program up to date, handpick the 12 

pilots, make sure the pilots get appropriately trained 13 

and checked and make- I can't talk- make sure they 14 

stay current in the aircraft. 15 

MR. ARCHIER: Ms. Court Reporter, would you 16 

read that answer back to me, please. 1 7 

(Reporter read requested portion.) 18 

Q. (BY MR. ARCHIER) Is that all your duties, 19 

Mr. Smith? 2 o 

A. I have a lot of duties. I really do. But that 21 

will be the majority of the duties that I do. 2 2 

Q. Tell me about some of your other duties. 2 3 

A. I do interviews. The interview process, 

interview the pilots, do interview-flights. I do a lot 

of maintenance flights, check the aircraft. There's 

numerous things that I do. 

Q. Okay. Tell me about them. 

A. What more would you like to know? 

Q. Tell me the other duties that you do do. 

A. I also fly the line as a regular line pilot, and 

I also do the line checks on our other pilots. 

MR. DWORKIN: If you have some specific 

inquiry as to his duties and responsibilities, why don't 

you just ask him if he's familiar and involved with 

such-and-such, a duty, or task. 

MR. ARCHIER: Thank you, Mr. Dworkin. 

Q. (BY MR. ARCHIER) Tell me about-- I want to go 

and talk about your day-to-day operations. On a 

day-to-day basis, what do you do? 

A. Day-to-day I come in, we have a morning meeting 

at 9 o'clock. I see what the previous night's 

operations - how they went, what problems we have, what 

problems we need to take care of. After that, I -

either myself or the chief pilot audits forms from the 

previous night. 

It really depends on the day. lfl have a ground 

school going on, I'll assist in teaching ground school. 

There's days where I have to coordinate with the FAA, to 

get either a GOM up to date or coordinate a check route 

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or just the different odds and ends that my job isthat is required of me. 

I assist our dispatchers a lot in looking at 

11 

weather, make sure that we maintain a safe and efficient 

operation, which we do. It would really just depend on 

the day, it depends on what came up. 

Q. Okay. When you say you're involved in training, 

tell me how -- what -- tell me the extent and what 

you're involved in as far as training is concerned. 

A. I am a check airman in all the aircraft which 

gives me the authority to ground train as well as flight 

train everything from FAR, FAR's, INDOT systems of the 

aircraft, procedures, de-ice training, hazmat training, 

TSA training. Basically I can make a pilot from a new 

hire to a line captain. I have the authority to do all 

that. 

Q. Tell me about specifically what you do with 

regard to hazmat training. 

A. You need to be more specific on what you want to 

know. 

Q. What kind of training do you administer 

concerning hazmat training? 

A. I administer hazmat per our hazmat program, which 

consists oftraining from a PowerPoint presentation that 

is in accordance with our training program. 

Q. Okay. You also indicated you're involved with 

maintaining records. Are you the custodian of records? 

A. It's part of my job, yes. The chief pilot and I 

share that responsibility because of our travel. 

Q. What type of records do you maintain? 

A. I maintain pilot records, training records, I 

review hazmat records, PREA records. 

Q. What kind of records? 

A. PREA. 

Q. What do you mean by that? 

12 

A. Background checks for pilots from other 

companies. We maintain our pilots' background checks. 

That's basically all the records. 

Q. Okay. When you say you maintain hazmat records, 

specifically what kind ofhazmat records? 

A. The hazmat records that the pilots call in to our 

dispatchQ. Okay. 

A. -- I want to ensure that they are filled out 

legibly and completely with accordance with the law. 

Q. Are we talking about the NOPC forms? 

A. We are talking about the NOPC forms; that is 

correct. 

Q. Are there any other type ofhazmat records that 

you assist in maintaining? 

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FEDERAL A~ATION ADMINISTRATION v. MttiNAIRE 

Deposition of: CORY SMITH 5/15/2013 

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A. No,sir. 1 records that we have to maintain and keep for 90 days. 

Q. Mr. Smith, how do you maintain those records? 2 I then go retrieve the binder, get the hazmat forms out 

A. Which records? The hazmat? 3 from the night before, take them to my office and audit 

Q. The hazmat records. 4 them. 

A. The NOPC's? 5 Q. When you say audit them, what are you looking 

Q. Yes. 6 for? 

A. Okay. The NOPC's are-- basically the pilot has 7 A. I'm looking for- there's a lot of different 

to notify, himself, okay, of what is on board our 8 stuffl'm looking for, to be honest with you. But I'm 

aircraft hazmat-wise. The pilot calls the hazmat in to 9 making sure that the shipping name is correct, correctly 

our dispatchers. 10 spelled, make sure that all the l's are dotted and the 

Our dispatchers make the hazmat form. They keep 11 T's are crossed, make sure that it matches the Shipper's 

the copy for 90 days, in which every day either myself 12 good book. 

or the chief pilot audits those forms with the A.I.R. 13 The UN ID number, make sure that it matches the 

Shipper's goods hazmat book. We compare apples to 14 proper shipping name, making sure the quantities are 

apples and make sure everything's done completely and 15 within limitations, making sure that the packing group 

done the right way. 16 is included, if a packing group is needed. 

Q. Okay. Do you maintain those Notice of 17 Emergency contact number, make sure that if it's 

Pilot-in-Command forms within your office? 18 required, it's on the form. The total number of goods 

A. That is not within my office. 19 on board. The total amount of transport index that's on 

Q. Whose office are they in? 20 board the aircraft. Total pounds of dry ice on board. 

A. They're maintained in dispatch, our dispatch 21 To make sure that all the l's are dotted and the T's are 

center. 22 crossed. 

Q. And you don't physically work out of dispatch, do 23 Q. What do you do if there's a mistake on that NOPC 

you? 24 form? 

A. No,sir. 25 A. I immediately bring the form to my boss, who is 

14 16 

Q. Where is your office in relationship to the 1 the chief pilot, or Alan, who is the director of 

dispatch offices where you're located? 2 operations. 

A. Two offices down. 3 Q. When you say Alan, who do you mean specifically? 

Q. Okay. Now, there would be a dispatch office in 4 A. Alan Rusinowitz. 

Addison, Texas, correct? 5 Q. Okay. When you take that NOPC to Mr. Bates, what 

A. That is correct. 6 type of discussions do you have? 

Q. Okay. How many other dispatch offices are there? 7 A. Well, there's a-if we've found an error weA. There's one. 8 he double-checks me, make sure that I didn't miss 

Q. Where is that located? 9 anything and vice versa. 

A. In Addison. 10 If we do find an error, we want to make sure that 

Q. In Addison, okay. 11 the coupon that the pilot gets that has the NOPC on it, 

So there are no other dispatch offices throughout 12 we contact UPS and make sure that everything matches on 

the country? 13 our NOPC form. And if the pilot makes a mistake, we 

A. You're correct. 14 contact the pilot, and we have a corrective interview. 

Q. Okay. How many -- during the course of a 15 Q. When does Mr. Rusinowitz get involved as opposed 

day-to-day operation, how many NOPC forms would come 16 to Mr. Bates? 

across your desk? 17 A. When Mr. Bates isn't around or on the road. 

A. Average? Five. 18 Q. And is the procedure you just walked me through 

Q. Five a day? 19 pretty much the same when you're dealing with Mr. 

A. Average. (Witness nodding head). 20 Rusinowitz? 

Q. Okay. What's the first thing you do when you-- 21 A. Absolutely. 

does the NOPC come automatically to you? 22 Q. And when you have a meeting with the pilot, is 

A. No, sir. 23 that meeting face-to-face or by telephone? 

Q. Where does it go first? 24 A. Depends on where the pilot is located. We have 

A. The dispatchers put it in a binder, in our 25 pilots all over the country. 

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FEDERAL A~ATION ADMINISTRATION v. ~NAIRE Deposition of: CORY SMITH 5/15/2013 

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Q. Where are your pilots located? 1 Q. Okay. Do you fly a particular route? 

A. Coast to coast, border to border, to be honest 2 A. No, sir. I go all over. 

with you. 3 Q. Okay. How many routes are there? 

Q. So how many states do you have pilots in? 4 A. Again, without looking on a map, I'm not going to 

A. Man, I've got to count now. 5 give you an answer, because I don't know for sure. 

You know what? I-- without looking at a map and 6 Q. Okay. What routes do you fly? 

counting, I couldn't give you an honest number. 7 A. All of them. 

Q. Okay. Is it more than ten states? 8 Q. Okay. 

A. Again, without looking at a map, I don't want to 9 A. Depends on where I'm needed or if I'm needed, for 

give you a number that I'm not sure of. 10 that matter. 

Q. Okay. So if I've got a map, you could outline, 11 Q. What instances would require you to fly a route? 

you could point to me every state that do you have 12 A. Pilot shortage, vacation, sick, currency, that's 

operations in? 13 basically it. 

A. Let me rephrase that answer, then. If I didn't 14 Q. You say you also get involved with the procedures 

have a map that shows our route, a route map that we 15 and policies. Describe to me what your involvement is 

have at our company, I can't give you an honest answer 16 with the procedures and policies. 

without looking because I might forget one or two. 17 A. Well, if we see that a policy needs to be 

Q. Okay. When you're having a meeting with the 18 changed, implemented, corrected, whatnot, myself, the 

pilot face-to-face and there's a mistake, can you tell 19 chief pilot, director of operations get together and 

me what the discussion is? 20 implement policies that we need to change if we -- and 

A. Yeah. We do-- we reeducate the pilot, retrain 21 to stay in accordance with the regulations. 

the pilot on what they screw up on. Most of the time 22 Q. And for-- give me an example of a specific 

it's grammatical. They misspelled a word. It's not 23 policy or procedure that you would get involved with and 

legible. We run the pilot back through our hazmat 24 make a change. 

training program and ... 25 A. It can be anything as simple as calling in times 

18 20 

Q. When you say you run the pilot back through you 1 to our dispatch in a different manner to a change in our 

hazmat training program, tell me how that works. 2 General Operations Manual. 

A. Well, ifthey're based in Addison. I have a 3 Q. You also indicated that you're involved in your 

Power Point presentation to where I can show them the 4 multi-engine program? 

program again. If they're not based in Addison, I send 5 A. That's correct. 

them the program via e-mail and we sit on the phone and 6 Q. Tell me what your-- describe to me your duties 

the computer and we run through the Power Point 7 and activities with your multi-engine program. 

presentation together and we see if the pilot has any 8 A. Well, that includes ensuring that the -let me 

questions and understands how to correct his mistake in 9 start over from the beginning. 

the future. 10 I initiated the program, I started the program. 

Q. About how long is that PowerPoint presentation? 11 I maintain the program. I make sure the program is 

A. It takes about two hours to go through it. 12 current, up to date. In respect to the pilots, I review 

Q. Now, you say one of your other responsibilities 13 their qualifications. I can train new co-pilots, can 

is you handle freight? 14 give co-pilots check rides. I can teach the systems of 

A. I do handle freight. 15 the aircraft, procedures of the aircraft. 

Q. Okay. Tell me your duties in respect to your-- 16 Our program we use FlightSafety International to 

what you do with freight. 17 train our captains. So I work hand in hand with the 

A. Well, when I fly the line, I have to assist in 18 representatives from FlightSafety and sending our 

loading and unloading the airplane. In essence I handle 19 captains to school and making sure that the training is 

the freight from airplane to truck or from truck to 20 progressing correctly and efficiently and if there's no 

aircraft. 21 problems that are foreseen. 

Q. And are you flying by yourself when you do that? 22 And do line checks, do check rides in the multis, 

A. Most ofthe time. 23 assist different training, such as GPS training, 

Q. Okay. How often do you fly a week? 24 different implementations of different equipment that 

A. I average about 30 hours a month. 25 might be installed are in the aircraft. That's about 

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.-· ' 

'~--

FEDERAL ~ATION ADMINISTRATION v. MAIIINAIRE 

Deposition of: CORY SMITH 5/15/2013 

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~ 1 

Q. So if you hire a new pilot tomorrow, you're 2 

responsible for training that new pilot? 3 

A. I share the responsibility. 4 

Q. Who else shares that responsibility? 5 

A. The chief pilot. 6 

Q. Okay. And I believe you said you started with 7 

Martinaire in 2005, correct? 8 

~~~ 9 

Q. 2004? 10 

A. Let me make sure. Yeah, 2004. 11 

Q. Were you working before 2004? 12 

A. I was. 13 

Q. Where were you working at? 14 

A. I was a corporate pilot for a law firm out of 15 

Greenville, Mississippi. 16 

Q. And what was the name of that law firm? 17 

A. Hollowell Law Firm. 18 

Q. What were your responsibilities? 19 

A. Flying the aircraft. 2 o 

Q. What did you fly? 21 

A. We flew anything from --we progressed in 2 2 

aircraft as it got busier and busier. We flew anything 2 3 

from a Cherokee 6 to a King Air E90. 2 4 

Q. Were you the chief pilot? 25 

22 

A. I was the pilot. 1 

MR. DWORKIN: So I guess that makes him the 2 

chiefpilot. 3 

Q. (BY MR. ARCHIER) How often did you fly? 4 

A. I really can't- it was so long ago, I can't 5 

give you a number. 6 

Q. Okay. How long were you working there? 7 

A. A little over a year, and then he got rid of the 8 

aircraft. 9 

Q. Did you have a job before that? 1 o 

A. I did. 11 

Q. Where did you work at? 12 

A. Delta State University. 13 

Q. What did you do for them? 14 

A. I was the lead flight instructor. 

Q. Tell me about Delta State University. What kind 

of operation is that? 

A. 141 training program, a 141 school. 

Q. And your responsibilities were what again there? 

A. I was a flight instructor. 

Q. Okay. So you trained -- tell me in detail what 

your responsibilities and duties were there. 

A. I trained pilots. Anything from a private pilot 

all the way through CFI's, CFII's. 

Q. Tell me what a CFI is. 

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A. What a CFI is? 

Q. Yeah. 

A. Certified flight instructor. 

Q. What's a CFII? 

A. Certified flight instructor for instruments, to 

fly instruments. 

Q. And so you trained pilots on both of those? 

A. I trained - I can train pilots on everything. 

The only thing I could not train was multi-engine 

because I'm not an MEl, which is mutt-engine instructor. 

Q. Okay. How long were you at Delta State? 

MR. DWORKIN: As an instructor? As an 

employee as opposed to a student? 

MR. ARCHIER: Correct. Yeah, as an 

employee. 

A. Okay. Let's be more clear. As an employee as an 

instructor or as an employee? 

Q. (BY MR. ARCHIER) So let me ask you this 

question, then. 

A. Okay. 

Q. When you were at Delta State, did you work more 

than one position? 

A. No. I was an instructor. 

Q. You were an instructor. So when you were at 

Delta State, how long did you work as an instructor? 

A. I want to say three years, but it's been so long 

ago, I don't remember. 

Q. Yeah, roughly three years? 

A. Roughly. 

Q. Okay. Now, I just want to make sure I'm clear. 

You didn't hold any other jobs at Delta State, correct? 

A. At the university? 

Q. At the university. 

A. Other than a work study program, no. 

Q. Okay. All right. Was that your first job out 

of-- after your graduation, or did you have a job 

before that? 

A. At Delta State? 

Q. Well, yeah. If there are other jobs you had at 

Delta State, I'd like to know about them. 

A. That was it. 

Q. Okay. But prior to Delta State, did you have any 

other jobs? 

A. Yes. 

Q. Where were you working at? 

24 

A. Where didn't I work. I was a line guy. I pumped 

fuel at the local airport at my hometown of Vicksburg, 

Mississippi. 

Q. So what years did you go school, again, if you 

can give me that information. 

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FEDERAL ~ATION ADMINISTRATION v. JltiNAIRE 

Deposition of: CORY SMITH 5/15/2013 

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A. University? 1 A. Make sure that they complete a weight and 

Q. Yes, university. 2 balance, make sure the aircraft is legal and safe. They 

A. I was at Hinds Community College from 2000 to 3 fill out hazmat forms. They call hazmat forms in to our 

2001, and then I went to Delta State from 2001 to 2003, 4 dispatch facility. Assist in loading and unloading 

I believe. God, I'm getting old. 5 aircraft. What more? I mean that's all I can think of 

Q. 2003 at Delta State? 6 at this time. 

A. Um-hmm (affirmative). 7 Q. Okay. I want to talk about when a captain is 

Q. And did you receive your BA and masters? 8 loading or receives some shipments that have hazmat on 

A. I did the BA at Delta State and masters online 9 them. They would receive those shipments either from . 

through Delta State. 10 UPS or DHL; is that correct? 

Q. And when did you receive the masters? 11 A. I'm sorry. 

A. 2004, ifl'm not mistaken. 12 Q. Okay. 

Q. 2004? 13 A. Yes, sir. 

A. Um-hmm (affirmative). 14 Q. Okay. And the captain, while he's reviewing the 

Q. And then after you received your masters, is that 15 shipments that he has, he would fill out a hazmat form 

when you started working for Delta State University as 16 on-site, correct? 

an instructor? 17 A. At the aircraft. 

A. I was working for Delta State beforehand. 18 Q. At the aircraft, correct? 

Q. As a-- how did that work? 19 A. Yes,sir. 

A. An instructor. 20 Q. All right. Now, after he fills that hazmat form 

Q. Okay. So you were working as an instructor while 21 out, the next step is he would call the dispatch office 

you were going to school? 22 and tell the dispatch office what the hazmat is; is that 

A. That's correct. 23 correct? 

Q. Okay. So did you start working -- what year did 24 A. Yes, sir. 

you start working as an instructor while you were going 25 Q. Okay. And the dispatch office records what the 

26 28 

to school there? 1 hazmatis? 

A. '02. 2 A. Let me add to that. 

Q. Okay. Were there any other aviation positions 3 Q. Please. 

that you held before 2000? 4 A. They record what the hazmat is, and they also 

A. Other than- 5 double-check the pilot to ensure that he is safe- that 

MR. DWORKIN: Meaning employment position? 6 he can safely and legally fly that package, that hazmat 

MR. ARCHIER: Employment positions. 7 package. 

A. No. 8 Q. And how do they do that? 

Q. (BY MR. ARCHIER) No. Okay. 9 A. The same book that I audit the forms with, which 

How many people report to you, Mr. Smith? 10 is the dangerous A.I.R goods shipment book, handbook. 

MR. DWORKIN: Currently? 11 Q. And that dangerous A.I.R. goods handbook, what 

MR. ARCHIER: Currently. 12 type of information does that have in it? 

A. Twenty-nine, I believe. 13 A. Everything that I need to know. Anything from 

Q. (BY MR. ARCHIER) Twenty-nine? 14 proper shipping name to UN ID number to packing group. 

A. Give or take one or two. 15 All the information that I need in order to audit that 

Q. Okay. What are the titles of the people that 16 form. 

report to you? 17 Q. Okay. So once the dispatch office reviews that, 

A. Captains. 18 they record the information again; is that correct, on a 

Q. So all captains report to you? 19 NOPCform? 

A. Either myself or the chief pilot, absolutely, 20 A. That is correct. 

yes, sir. 21 Q. Okay. Now, once they record that information on 

Q. What are the responsibilities of the captains? 22 a NOPC form, what happens to that NOPC? 

A. Fly the airplane safely, efficiently from point A 23 A. I believe you already asked this question. 

to point B. 24 Q. Okay. 

Q. Any other responsibilities? 25 A. I believe I answered it. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
C .. 

FEDERAL A~ATION ADMINISTRATION v. MAIIINAIRE 

Deposition of: CORY SMITH 5/15/2013 

8 (Pages 29 to 32) 

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Q. Yeah. Can you tell me again, please? 1 

A. Sure. It goes into a binder, and that's our 2 

records that we maintain. 3 

Q. Now, the NOPC that the pilot fills out at the 4 

aircraft, what happens to that NOPC? 5 

A. It's discarded. 6 

Q. Does that pilot discard that NOPC? 7 

A. That's correct. I mean after the flight is 8 

finished. The pilot no longer is required or does he 9 

need the NOPC. 1 0 

Q. Okay. 11 

MR. DWORKIN: And, I take it, you're asking 12 

about the procedure that's in effect now. Because he's 13 

answered the questions as if you're inquiring as to the 14 

procedure now. 15 

Q. (BY MR. ARCHIER) Okay. Is that correct, 16 

Mr. Smith? You're answering the -- my question with 1 7 

regard to the procedures right now? 18 

A. That was my understanding of the question. 19 

Q. Yes. 20 

A. That's correct. 21 

Q. Okay. Well, thank you for that clarification. 2 2 

How many territories does Martinaire fly in? 2 3 

MR. DWORKIN: Objection. I'm not sure the 24 

term "territories" is... 2 5 

Q. (BY MR. ARCHIER) Or areas. Do you know? 

MR. DWORKIN: You know ... 

MR. ARCHIER: Your objection as to vague? 

MR. DWORKIN: It's vague and ambiguous. 

Territories is --

MR. ARCHIER: I'll restate the question. 

Q. (BY MR. ARCHIER) How many aircraft does 

Martinaire have? 

A. I believe the number now is 38, I believe. 

MR. DWORKIN: When you say have, you mean 

operate? 

MR. ARCHIER: Operate. 

A. Currently? 

Q. (BY MR. ARCHIER) Currently, today. 

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A. I believe it's 38. 15 

Q. Okay. And how many pilots does Martinaire have 16 

working for it today? 1 7 

A. Again, I believe the number is 28. 1 B 

Q. Twenty-eight? 19 

A. You know what? Don't- I don't know off the top 2 0 

of my head right now. We've hired some, we've let some 21 

go. So I don't remember the number off the top of my 22 

head. 23 

Q. Okay. Have you let any pilots go for failure, to 2 4 

improperly complete NOPC's? 2 5 

A. I haven't had any issue as of sorts lately. 

Q. Lately. Have you ever since you've worked there 

released a pilot for failure, to improperly complete 

NOPC's? 

A. No. Not that I'm aware of. 

Q. Okay. I want to talk a little bit about the 

31 

dispatch office. Who manages the dispatch office today? 

A. Our dispatch manager. 

Q. Who is that? 

A. Jennifer Moore. 

Q. Okay. And does-- I presume that your dispatch 

office operates 24/7, correct? 

A. Not quite. Not quite seven. We're closed from 

4:00 p.m. on Saturday evenings-- I believe that's the 

time- to 11:00 p.m. Sunday night. 

Q. Okay. And so Jennifer's last name, again, was 

what? 

A. Moore. 

Q. Moore. Okay. So what hours does Jennifer Moore 

work? 

A. Depends on the shift that she has to work, 

depends on a lot of variables. 

Q. And how many people are working in the dispatch 

office? 

A. I believe six. 

Q. Okay. And tell me what Jennifer Moore does on a 

day-to-day basis. 

MR. DWORKIN: If you know. 

A. I don't want to speak for Jennifer. 

Q. (BY MR. ARCHIER) You don't know? Okay. 

Do you know the other employees that work in the 

dispatch office? 

A. I do know them. 

Q. Tell me their names. 

A. Gina, Talena, Matt, and--

Q. Do you know Matt's last name? 

32 

A. I don't remember Matt's last name at the moment. 

Q. Okay. 

A. I'm drawing a blank. I'm sorry. 

Q. Okay. If that information or names come to you, 

let me know. 

A. Okay. 

Q. Okay. Are the people in the dispatch office, are 

they hazmat trained? 

A. Theyare. 

Q. Okay. And you trained them? 

A. I assisted. 

Q. Who else does the hazmat training in the dispatch 

office? 

A. The chief pilot. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-Bca0-843c4130df7f 
( 

( 

FEDERAL A~ATION ADMINISTRATION v. ~NAIRE Deposition of: CORY SMITH 5/15/2013 

9 (Pages 33 to 36) 

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Q. And that's Mr. Bates, correct? 

A. You're correct. 

Q. Does the dispatch training -- or the hazmat 

training that's done for the dispatch employees, is that 

different from the hazmat training that is done for the 

pilots? 

A. The same training. 

Q. Are you familiar with the allegations in this 

complaint? 

A. Some. 

Q. Okay. Tell me what you're familiar with. 

A. The only thing I'm familiar with would be the 

implementation of our new hazard material NOPC forms 

that we implemented, some changes that we had to make. 

And I know that some of the hazmat forms were 

incorrectly completed. 

Q. Okay. What type of changes did you make to your 

NOPCforms? 

A. We- basically the coupon that UPS gives us we 

made exact- I won't say exact, but carbon copy of what 

they have so it's easier to locate the information that 

the pilot needs in order to put on the form. We also 

added the packing group. Basically just the format of 

the form. 

Q. Did you make any other corrective action after 

34 

this complaint was filed or the inspect -- withdraw that 

question. 

Did you perform any other corrective action after 

the inspection occurred? 

MR. DWORKIN: Talking about him personally 

or Martinaire? 

MR. ARCHIER: Martinaire. 

A. Define corrective action. 

Q. (BY MR. ARCHIER) Any changes after the 

inspection. 

A. Absolutely. I believe I just stated that we did 

the form. 

Q. Okay. 

A. We revitalized the form, let's say. We did 

corrective interviews with the pilots that had specific 

problems on our-- during our inspection. We retrained 

all of your pilots, which by the way, we do every 12 

calendar months. The regulation requires 24 calendar 

months. 

We trained our dispatchers. We reviewed our 

hazmat training program to ensure that it was up to 

date, complete with everything that we needed to teach. 

And we implemented those immediately. 

MR. DWORKIN: Let me point out something. 

MR. ARCHIER: Mr. Dworkin, I'd appreciate it 

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if you just let the witness--

MR. DWORKIN: That's fine. 

MR. ARClllER: --talk. I mean if you would 

like to have a conversation with me off the record--

MR. DWORKIN: That's fine. Go right ahead. 

MR. ARClllER: -- I'd be glad to --

MR. DWORKIN: No. 

35 

Q. (BY MR. ARCillER) Does Martinaire engage in any 

type of audits to the NOPC forms other than what you've 

previously told me? 

A. The company's NOPC forms? 

Q. Yes. 

A. Any other types of audits? 

Q. Correct. 

A. Company audits? 

Q. Correct. 

A. They - no. Of course I audit them. Our 

dispatchers audit them when they are called in. Other 

than what I've previously stated, no. 

Q. No other audits, okay. 

Mr. Smith, do you get involved in the day-to-day 

financial business operations ofMartinaire? 

A. No, sir. 

Q. Are you familiar with any of the previous 

hazardous material violations ofMartinaire? 

A. No, sir. Not that I can recall. 

MR. ARCillER: I want to take a break for 

five minutes. 

MR. DWORKIN: Sure. That would be fine. 

(Break taken from 10:01 a.m. to 10:15 a.m.) 

(Exhibit No. CS-1 marked.) 

36 

Q. (BY MR. ARCillER) Mr. Smith, I'm going to show 

you what has been marked as Exhibit CS-1. Take a look 

at it for a moment. This is the Amended Second Notice 

of Deposition. Have you ever seen this document before? 

A. No, sir. 

Q. Okay. Thank you. 

MR. ARCillER: Ms. Court Reporter, I'd like 

to have this document marked as CS-2 for identification. 

(Exhibit No. CS-2 marked.) 

Q. (BY MR. ARCillER) I'm showing you Exhibit CS-2 

for identification, Mr. Smith. Please take a moment to 

look at it. 

A. (Witness complies.) Okay. 

Q. Have you ever seen this document before? 

A. I've seen the e-mail. 

Q. Yes? 

A. Yes. 

Q. Tell us, what is it? 

A. Basically it's part of the effort in retraining 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
FEDERAL ~ATION Deposition of: CORY SMITH 

ADMINISTRATION v. .INAIRE 

5/15/2013 

10 (Pages 37 to 40) 

( 37 39 

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in basically notice of the pilots. So the new NOPC 

forms, how to fill them out legibly and completely and, 

again, like I said, all their l's are dotted and T's are 

crossed. 

Q. Did you have any input in drafting this e-mail? 

A. Yeah. I was there. 

Q. When you say you were there, what do you mean you 

were there? 

A. I was watching the chief pilot type it up and 

making sure he didn't miss anything that I could think 

of. 

Q. Okay. Did you have any specific input that you 

recall about this e-mail? 

A. You know, it was so long ago, nothing 

specifically that I can bring to memory. 

Q. Okay. Now, I noticed it says "to," and "to" is 

this --the names that are e-mails here, are these all 

the pilots? 

A. It looks like it. 

Q. Okay. Are there any other people here who are 

not pilots? 

A. The names that I see are all pilots. Some of the 

e-mail addresses, of course, don't have the names 

associated with them, so I couldn't answer for those. 

Q. Okay. Now, I noticed the e-mail is addressed to 

38 

all pilots and flight followers. What is meant by the 

term "flight followers"? 

A. Dispatchers. 

Q. Dispatchers? 

A. Um-hmm (affirmative). 

Q. And how many dispatchers would that have gone to? 

A. All of them, it should have been. 

Q. All of them, okay. 

On the third paragraph there's a sentence that 

reads -- if you take a look at that, that says, "Please 

make sure you fill out the NOPC form completely and 

legibly. Under no circumstances are you to be rushed by 

UPS orDHL." 

Tell me how that plays out. Does UPS or DHL, 

have they rushed the pilots in the past? 

A. Well, it takes time to fill out the NOPC form, 

check it, call in, and make sure dispatch checks it and 

then put it in their records before we can even start 

the aircraft up, right? So UPS and DHL wants us off 

their ramp as quick as possible. 

But because we have to abide by rules and 

regulations, we tell the pilots, Don't feel rushed at 

all. If you start to feel rushed, tell the UPS that 

they can't interfere with the duties as a crew member 

because it's against regulation. If they give you any 

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problems, take your time, fill out your hazmat form, 

pick up the phone, call myself, Mike Bates, dispatch, or 

Alan Rusinowitz. 

Q. Okay. When UPS has exerted any type of pressure, 

have they done that directly to the pilots? 

A. Speaking on personal experience? 

Q. Yes. 

A. Yeah. They ... 

Q. Who in UPS or DHL -- I mean who would say 

something? I mean what position? 

A. Usually it would be the - like the ramp 

supervisor on the ramp wherever you're located. 

Q. Okay. 

A. The person that's in charge of getting the 

aircraft loaded and get them off the ramp. 

Q. And generally when you fly, you have to fill out 

a NOPC form yourself, correct? 

A. Absolutely. 

Q. Okay. How long does it take you to fill out a 

NOPC? 

A. Depends on how many hazmats I have. 

Q. Okay. Let's just say you have two hazmats? 

A. Two? Ninety seconds. 

Q. Ninety seconds. Okay. 

A. Approximately -

Q. Right. 

A. - 90 seconds. 

Q. Okay. So are the UPS and DHL saying spending 2 

minutes or 90 seconds to fill out a NOPC is too long? 

40 

A. Depends on the ramp supervisor, depends on if UPS 

is running late. There's a lot of variables, so I can't 

answer that definitively. 

Q. Okay. Now, when the pilots are filling out the 

NOPC forms, do they have a dangerous goods manual at 

their disposal, or are they just reading directly from 

the hazards material shipment itself? 

A. They have to carry a emergency response handbook, 

an ERG book. They do not have the A.I.R. dangerous 

goods manual in front ofthem, but that's the reason 

they call them in to our dispatch facility, and our 

dispatchers are on the phone physically checking the 

hazmats, which takes additional time, in order to ensure 

that the package is legal to be carried on board 

aircraft. 

Q. And the dispatch personnel would have a hazardous 

material, dangerous -- the hazardous material 

regulations in front of them? 

A. As previously stated, yes, sir. 

Q. Okay. Now, turn to the next page. There's a 

sentence -- and I think it's the third sentence from the 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
( 

c 

FEDERAL A41tATION ADMINISTRATION v. JltiNAIRE 

Deposition of: CORY SMITH 5/15/2013 

11 (Pages 41 to 44) 

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41 43 

bottom. "When calling in information from the NOPC, do 1 Q. If not more often than that? 

not get complacent or lazy. An error on this fonn 2 A. Yes, sir. 

equals a violation or a fine." 3 Q. Okay. And you said that dispatch training is 

A. Um-hmm (affirmative). 4 about two hours long? 

Q. Has it been your experience that some of the 5 A. Yes, sir. 

pilots have gotten complacent or lazy? 6 Q. Okay. And that dispatch training, is that 

A. No. Not especially when it comes to hazmat, no. 7 training that is submitted to the FAA for review? I 

Q. Okay. B mean has FAA reviewed that type of hazmat training? 

A. The reason that's put in there is that we-- 9 A. Well, it's the same training that the pilots are 

pilots do become complacent and lazy on certain items. 10 given, which has to be reviewed and - reviewed by the 

I've never seen one on hazmat. 11 FAA and approved by the FAA, so they have seen the 

Q. Okay. Now, at-- the last sentence has, "A more 12 program, yes. 

detailed e-mail with complete instructions will be sent 13 Q. Okay. And would that program be reviewed by 

out within the next few weeks [sic]." 14 flight standards, or would it be reviewed by the 

A. Um-hmm (affirmative). A few days. 15 hazardous material group? 

Q. I'm sorry. Within the next few days. Are you 16 A. It would be reviewed by our POI. 

familiar with that e-mail? 17 Q. Okay. Who is your POI? 

A. I don't recall. 18 A. Now? 

Q. Okay. You don't recall what that e-mail would -- 19 Q. Yeah. 

A. I don't recall. It's been two years. I'd have 20 A. Jeremiah Solis. 

to see the e-mail. Maybe it will jog the memory. 21 Q. Okay. Take a look at page 2, the bottom. 

MR. ARCHIER: Ms. Court Reporter, wiii you 22 There's a signature. Whose signature is that? 

mark this as CS-3 for identification, please. 23 A. I'm not going to say definitively, because it's 

(Exhibit No. CS-3 marked.) 24 not mine. I know that much. 

Q. (BY MR. ARCHlER) Take a moment, Mr. Smith, and 25 Q. Okay. Is there a list of people whose signature 

42 44 

look at Exhibit CS-3. 1 that could be? 

A. Yes, sir. (Witness complies.) Okay. 2 A. Well, there's only one other instructor at the 

Q. Okay. What kind of document is this? 3 time. 

A. It's a document of training record that the 4 Q. And who would that be? 

dispatchers, flight followers and - received. 5 A. Mike Bates, chief pilot. 

Q. Okay. Now, I notice there's a signature 6 Q. Mike Bates. Okay. And what is the title of 

"manager/instructor." Whose signature is that? 7 Kathy Preston? On this sheet it says -- what does that 

A. On the first page? 8 title mean? 

Q. On the first page. 9 A. She's a Lansing station manager. 

A. That's my signature. 10 Q. Is that out of Lansing? 

Q. Okay. And does this -- your signature indicate 11 A. Lansing, Michigan. 

that you administered this particular hazmat training to 12 Q. Yeah. So is she located in Lansing, Michigan? 

these people? 13 A. She was. 

A. That's what the signature entails; that's 14 Q. She was. She's no longer there? 

correct. 15 A. She's no longer employed with Martinaire. 

Q. Okay. And would this training to these -- this 16 Q. Okay. Can you-- there are three names on page 

personnel, would this have been the PowerPoint hazrnat 17 3, and they're listed as flight coordinator. Where are 

training that you talked about earlier? 18 these people located at? 

A. Yes. Yes, sir. 19 A. They were located in Lansing, Michigan. 

Q. Okay. Now, you indicated you give this 20 Q. They're no longer in Lansing, Michigan? 

PowerPoint training to dispatch people on a 12-month or 21 A. No, sir. We no longer have flight coordinators 

armual basis? 22 in Lansing, Michigan. 

A. Yes, sir. 23 Q. Did you close down that operation? 

Q. Okay. 24 A. No, sir. The operation shrunk, shall we say. 

A. If not more often than that. 25 Q. What do you mean by that? 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
( 

'--

( 

FEDERAL A~ATION ADMINISTRATION v. ~NAIRE Deposition of: CORY SMITH 5/15/2013 

12 (Pages 45 to 48) 

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A. It's a smaller operation now than it was at the 1 

time of 2011. 2 

Q. Why is that? 3 

A. We lost some routes in that area. 4 

Q. Okay. Did you lose those routes from DHL or UPS? 5 

A. UPS. 6 

Q. Is there any reason that-- was it just a 7 

shrinkage in business from you? 8 

A. I don't have the answer for that. 9 

Q. Okay. Now, I'm just curious. There are flight 1 o 

coordinators in other areas of your company, correct, 11 

that still work for Martinaire; is that correct? 12 

A. That is not correct. 13 

Q. That's not? There are no flight coordinators 14 

that work for Martinaire anymore at all? 15 

A. Other than the dispatchers, no. 16 

Q. Okay. But was a flight coordinator similar to a 17 

dispatcher? 18 

A. No. 19 

Q. Okay. How did the duties of-- what were the 2 0 

duties of a flight coordinator? 2 1 

A. The flight coordinator, urn -I'm not a flight 2 2 

coordinator so I'm not going to speculate on what their 23 

duties were. 

Q. Okay. You don't know. Whose signature is that 

46 

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at the bottom on this page? 1 

A. Kathy Preston. 2 

Q. Is she located where? Was she located in 3 

Lansing? 4 

A. She was located in Lansing. 5 

Q. Okay. She's no longer working for Martinaire? 6 

A. No, sir. 7 

Q. Okay. 8 

MR. ARCHJER: Ms. Court Reporter, please 9 

mark this as CS-4 for identification, please. 1 o 

(Exhibit No. CS-4 marked.) 11 

Q. (BY MR. ARCHJER) Take a moment and look at 12 

Exhibit CS-4, Mr. Smith, and when you're finished 13 

looking at it, raise your hand-- I mean let me know. 14 

MR. DWORKIN: Right or left? 15 

A. (Witness complies.) Okay. 16 

Q. (BY MR. ARCHJER) Okay. 17 

A. I'm ready. 18 

Q. Mr. Smith, what is this document? 19 

A. It is the old NOPC form. 2 0 

Q. When you say the old NOPC form, what do you mean 21 

by that? 22 

A. I mean it's the old form. 

Q. Okay. Old as far as ... 

A. It's no longer in use. How about that? 

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Q. When did it stop being in use? 

A. The day of the audit that we had. 

Q. Okay. And so how soon after this form ceased 

being used did the new form go in existence? 

A. Immediately. 

Q. Immediately? 

A. Yeah. We stopped using this form, immediately 

used another form. 

Q. Okay. Now, with regard to the new form that's in 

existence, how does that new form differ from this form? 

47 

A. It's more user friendly. There are only two 

packages per box instead of three now that are allowed 

to be copied onto the page. The format is different. 

The packing group has been added. There's now more 

choices on quantity and weight. 

Q. When you say it's more user friendly, what do you 

mean? 

A. Again, as I previously stated, the new form is 

pretty much the carbon copy of the coupon that is given 

to the pilot by the shipper, UPS, DHL. Actually, UPS. 

That's our primary customer. And it's easier to 

identify what is required on the document, on the NOPC 

by looking at the coupon that UPS gives us. Does that 

make sense? 

Q. Yeah. I just want to make sure, clarify 

something. When you say coupon, you mean hazardous 

material shipping paper that you get? 

A. The hazardous material shipping paper that I get 

from UPS, yes. 

Q. Okay. And so the new form only has two hazardous 

material shipments listed as opposed to three or--

hazardous material shipment; is that correct? 

A. You are correct. 

Q. And you said that there was a format change under 

your new hazmat form, correct? 

A. Yes, sir. 

Q. Tell me about that format change. 

A. Well, there's more space to write now. The -

48 

where the tracking number would be located on this form, 

we would have the proper shipping name. Underneath 

would be the UN ID number, the hazard class, packing 

group. Underneath that would be quantity. I'm doing 

this from memory, okay? 

Q. Okay. 

A. Emergency contact is where it's located. 

Location ofthe hazardous material package on board the 

aircraft is the same. And, again, like I stated before, 

that the quantity, there's more options there. For 

instance, you know, kilograms, millimeters, milliliters 

have been added to more of a selection. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
FEDERAL ~ATION ADMINISTRATION v. JltiNAIRE 

Deposition of: CORY SMITH 5/15/2013 

13 (Pages 49 to 52) 

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Q. Do the pilots like the new form better? 

A. Put it this way, it seems to work better. 

Q. Okay. Does that dispatch-- does it work better 

for dispatch too? 

A. It seems to. 

Q. Okay. And you're basing that on your audits? 

A. I'm basing that on my audits and my observations. 

Q. With regard to CS-4, do you recognize the 

signature at the bottom of the page? 

A. I do not. 

Q. Do you recognize the handwriting on this page? 

A. I do not. 

Q. Okay. Just looking at this CS-4,just reviewing 

it, do you see any problems with the proper shipping 

name? 

A. Yeah. 

Q. Okay. What problems do you see with the shipping 

name? 

A. First one, there is no proper shipping name. 

Q. Okay. Now, how would a situation like this occur 

where there's no shipping name at all put in? I mean 

wouldn't a pilot call somebody, or how would that 

happen? 

A. Can you rephrase the question? 

Q. Yes. It's kind of unique that you would have 

50 

hazardous material on board, but you don't have a 

shipping name; would you agree? 

A. I would not. 

Q. What do you mean by that? 

A. Because it wouldn't be on board. 

Q. So how do you explain the fact that we don't have 

a shipping name on this form? 

A. I can't answer that question. 

Q. Okay. 

A. Because I don't know. 

Q. You don't know. Okay. 

If you take a look at the second box, it says 

there's a proper shipping name, and it's called 

"Boehringer." Do you recognize that hazardous material? 

A. I do not. 

Q. Okay. All right. If you take a look at the 

third box, there's a proper shipping name listed as 

"JCAH." Do you recognize that hazardous material 

shipping name? 

A. I do not. 

Q. Okay. If I wanted to find out the name of the 

dispatch operator that completed this NOPC form, how 

would I go about doing that? 

A. This form here? 

Q. Yes. 

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A. At this moment, I don't know. 

Q. Okay. If-- from the information that's listed 

here, would you be able to trace the pilot who called in 

this NOPC form? 

A. Yes, 

Q. Okay. How would you be able to do that? 

A. There's an employee number on the top right of 

the form. 

Q. Okay. And what steps would you have to take to 

get that employee's name? 

A. I can - we have a computer program that has all 

the pilots' names and employee number, and I can easily 

look his name up on the computer program. And I have a 

list of pilots' names in my office and their employee 

number next to their name. It's pretty easy. 

Q. Do you recognize from the employee identification 

number who -- which pilot that is? 

A. No, sir. 

Q. But this NO.PC would be the handwriting of a 

dispatch operator, correct? 

A. I'm not going to speculate because I don't review 

handwriting, you know? I mean I don't study it, whose 

is whose. 

Q. Okay. But this wouldn't be the handwriting of a 

pilot, though, correct? 

A. Again, same answer. I can't answer that 

definitively. 

Q. Okay. 

MR. ARCHIER: The last document was C-4, 

right? Would you please have this marked as C-5, 

please? 

(Exhibit No. CS-5 marked.) 

Q. (BY MR. ARCHIER) Take a moment, please, 

Mr. Smith, and look at Exhibit C-5 for identification. 

When you're finished looking at it, just raise your 

head. 

A. (Witness complies.) Okay. 

Q. Okay. Whose signature is that at the bottom, the 

captain's? You can't recognize --

A. I can't recognize the signature. 

52 

Q. Okay. Do you recognize any of the handwriting on 

this page? 

A. No, sir. 

Q. Okay. But if needed, you could identify who that 

pilot was from your list, though, employee ID's, 

correct? 

A. I can identify the pilot, yes. 

Q. Yes, okay. 

A. Not the dispatcher. 

Q. Right. Is there any way of identifying the 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
( 

(_ 

,,.,· . 

FEDERAL A~ATION Deposition of: CORY SMITH ADMINISTRATION v. 

5/15/2013 

14 (Pages 53 to 56) 

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53 55 

dispatcher at ail? 1 A. I've never seen one. 

A. On this form? 2 Q. Okay. 

Q. Yeah. 3 A. Never had to ship or fly a package that required 

A. No, sir. Well, other than the signature, no, 4 it. 

sir. 5 Q. Okay. Now, I also notice on this particular form 

Q. Okay. Is the -- the signature at the bottom, 6 there's a "location on board aircraft" that says "zone 

that would be the dispatcher's signature? 7 4"? 

A. What's it say? It says captain or dispatcher. 8 A. Okay. Yes, sir. 

Q. Right. So would you have a captain that would be 9 Q. Okay. What do they mean by zone 4? 

signing at the dispatch office? 10 A. Well, the - in this case it's a Metroliner. All 

A. No, sir. 11 the aircrafts have different zones, loading zones -

Q. No, sir. So this would be -- so are you saying 12 Q. Okay. 

this would have to be a dispatch person's signature? 13 A. -- in which freight is stacked, loaded. A net 

A. I guess so, yes, sir. 14 goes up that keeps the freight from shifting, and that 

Q. Okay. Take a look at the first category, the 15 would be the 4th zone. 

shipping name, "paint." 16 Q. Okay. How many zones are there on a aircraft? 

A. Okay. 17 A. Depends on the size of the aircraft. 

Q. Do you see any problems with that shipping name? 18 Q. How many zones are there on the aircraft that you 

A. Nope, no, sir. 19 fly? 

Q. You don't see any problems with that shipping 20 A. Which one? 

name? If you need to look at the coupon, you may. 21 Q. That Martinaire flies. 

A. Paint. It's paint. P-A-1-N-T, P-A-1-N-T. 22 A. We fly two different types. 

Q. Okay. Do you see any problems at all with the UN 23 Q. And the two different types of aircraft, can you 

identification information that was provided? 24 give me their names again? 

A. ldo. 25 A. Beech 1900 and a Cessna Caravan. 

54 56 

Q. Okay. What do you see? 1 Q. So on the Cessna Caravan, how many zones are 

A. UN ID numbers do not match. 2 there? 

Q. Explain that to me. 3 A. Six. 

A. Well, the UN ID number for paint-- by the 4 Q. Six zones? 

shipping paper, 1263 is the number, and on the NOPC, 5 A. Yes, sir. 

it's written as 1245. 6 Q. And how many of those zones can you put hazmat 

Q. Okay. So the UN ID number should have been 1263? 7 in? 

A. That is correct. 8 A. Any ofthem. 

Q. How would somebody come up with 1245? 9 Q. Any of them? 

A. Maybe there's more than one hazmat coupon. I 10 A. Um-hmm (affirmative). 

don't know definitively, to be honest with you. 11 Q. Okay. And on the Beech 1900, how many zones are 

Q. Okay. 12 there? 

A. I mean maybe he was- honestly, I don't know. 13 A. There are -- on paper there's seven. 

Q. Okay. What were you going to say? Maybe he was 14 Q. Okay. What do you mean by that? 

what? 15 A. The -there's an STC for the cargo conversion of 

A. Well, I'll retract that. 16 the aircraft which allows you to have an extra zone 

Q. Okay. On this page there's a box that's marked 17 starting at zone one. Ours would begin at zone two 

special permit requirement. Do you see that? 18 because we have a jump seat in zone one. 

A. Yes, sir. 19 Q. Okay. And can hazmat be put in any of those 

Q. What's that reference to? 20 zones from two on to seven? 

A. You have to have a special permit to require the 21 A. Correct. 

hazmat on board. 22 Q. Okay. 

Q. When would that arise? 23 A. And they can put on any of them that Martina ire 

A. If the hazmat shipment required one. 24 is allowed to fly, the hazmat that Martinaire can fly. 

Q. Okay. 25 Q. I didn't understand that. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
( 

(_ 

FEDERAL A~TION ADMINISTRATION v. MA41tNAIRE 

Deposition of: CORY SMITH 5/15/2013 

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57 

A. The-- there's a regulation for transport index 

of radioactive material. 

Q. Correct. 

A. If you go above a certain number, you have to 

have distance requirements from the crew. We don't 

carry above that limitation. 

Q. Do you know what that limitation is? 

A. Ido. 

Q. What's that? 

A. 50TI. 

Q. Okay. Do you carry very much radioactive 

material? 

A. No, sir. 

MR. DWORKJN: That's just a natural glow, 

right? 

A. Am I glowing? 

Q. (BY MR. ARCHIER) I noticed on this form that 

it's marked "passenger aircraft"? 

A. Where are you, sir? 

Q. I'm at--

A. Yes, sir. 

Q. Why is this marked passenger aircraft? 

A. Some hazardous material is allowed to be carried 

on passenger aircraft. Some hazardous material can be 

carried only on cargo-only aircraft. 

58 

Q. Okay. So this particular hazmat could be carried 

on passenger aircraft. Is that what the reference 

means? 

A. You know, without the actual hazardous material 

shipping papers, instead ofthis copy, I can't give a 

definitive answer. 

Q. Okay. So you're saying you-- this coupon right 

here or-- and I'm referring to this as a coupon --

doesn't give you enough information to answer that 

question? 

A. You're correct. 

Q. And you would need the hazardous material 

shipping paper? 

A. From the information that you're giving me, yes. 

Q. Okay. And when you -- when --this coupon, you 

get the coupon that's attached from UPS, correct? 

A. The hazardous --the shipping papers? Let's be 

on the same page. 

Q. Okay. 

A. Because earlier I was referring to it as a 

"coupon," you were "shipping papers." 

Q. All right. I'm referring to this document that's 

page 2 of this NOPC as a coupon or a hazardous material 

shipping paper. 

A. We do not get that page. 

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Q. Oh, you don't get this page? 

A. That page does not come to us. 

Q. Okay. Where does this --where is this page 

generated from? 

A. You gave me the form. I'm not sure. 

Q. Okay. So you're not sure where this is -- so all 

you see really is the hazardous material shipping form? 

A. Shipping --

Q. Shipping paper, rather. 

A. Yes, sir. 

Q. And you get that hazardous material shipping 

paper from UPS? 

A. You are correct. 

Q. And that hazardous shipping paper is how your 

pilots fill out the NOPC form? 

A. That is correct. 

Q. Okay. Thank you. 

A. Oh, sorry. 

MR. ARCHIER: Ms. Court Reporter, would you 

mark this as Exhibit CS-6. 

(Exhibit No. CS-6 marked.) 

59 

Q. (BY MR. ARCHIER) Take a moment and look at CS-6, 

and when you're finished, Mr. Smith, please raise your 

head and let me know. 

A. (Witness complies.) Okay. 

Q. Okay. I want to start from page 2 again ofCS-6. 

A. Okay. 

Q. Have you ever seen this document? 

60 

A. It's the same document other than the different 

hazardous material that you previously gave me. So same 

answer is: No, sir, not this particular page. 

Q. Okay. Would you have any idea how this document 

was generated? 

A. I assume- you know, what? I retract that. I'm 

not going to assume anything. So no. 

Q. Okay. Let's take a look at CS-6. There is a 

captain's or dispatcher signature at the bottom. Do you 

recognize that signature? 

A. No, sir. 

Q. Okay. Do you recognize any of the handwriting on 

this document? 

A. Again, I don't memorize handwriting, sir. So, 

no, sir. 

Q. Okay. Do you-- you would be able to find out 

who this employee is from this employee identification 

number, correct? 

A. I could find out who the pilot was. 

Q. Who the pilot is? 

A. That's correct. 

Q. Okay. But you would not be able to trace who the 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
( 

\ 

( 

FEDERAL ~ATION ADMINISTRATION v. JIPINAIRE 

Deposition of: CORY SMITH 5/15/2013 

16 (Pages 61 to 64) 

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dispatch person was? 

A. Off this particular form, no. 

61 

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Q. Okay. Now, let me ask you a question. Is there 3 

a possibility that when the pilot is calling this 4 

information to dispatch that the pilot could communicate 5 

the correct information to the dispatch office, and the 6 

dispatch office could incorrectly transcribe it? 7 

A. Ask the question again. 8 

MR. ARCHIER: Can you repeat the question, 9 

please. 10 

(Reporter read the requested portion. 11 

Q. (BY MR. ARCHIER) Do you understand that 12 

question? 13 

A. I do. I'm trying to ask if you are specifically 14 

talking about the procedures that are in place now or in 15 

6/6 of2011. 16 

Q. Let's focus on 6/6 of2011, and then we'll go to 17 

now later. 1 8 

A. Okay. So at the time is it possible that the 19 

numbers can be copied incorrectly by dispatch? 2 0 

Q. Yeah. 21 

A. Possibly. 2 2 

Q. Okay. Now you're telling me that that's 2 3 

something that couldn't happen, correct? 

A. Yes, sir, it can't happen. 

62 

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25 

Q. Why can't that happened now? 1 

A. Again, as I stated earlier, the dispatchers check 2 

the proper shipping name-- all the information that's 3 

on the NOPC against the dangerous A.I.R. goods shipping 4 

book as we previously were talking about, before the 5 

pilot can even load the freight on board and fly away. 6 

Q. Okay. Without the hazardous material shipping 7 

paper in front of you, is there any way of telling -- of 8 

you telling that the hazardous material information is 9 

correct on this form? 1 0 

A. Right now? 11 

Q. Yes. 12 

A. Not without a book in front of me, no. 13 

Q. So you'd need the 49 CFR? 14 

A. No, sir. 15 

Q. What would you need? 16 

A. I need the A.I.R. Shipper's dangerous goods air 17 

shipment manual -- I don't remember the title of the 18 

book off the top of my bead. 19 

Q. Okay. Yeah. But if you had the hazardous 2 0 

material regulations, you would also be able to 2 1 

determine if the proper shipping name was correct, 

right? 

A. I don't believe it's in 49 CFR. 

Q. Okay. 

22 

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63 

MR. ARCHIER: Can I have this marked as 

CS-7. 

(Exhibit No. CS-7 Marked.) 

Q. (BY MR. ARCHIER) Mr. Smith, I'm showing you CS-7 

for identification. Take a moment and look at it, 

please, and when you're finished, let me know. 

A. (Witness complies.) Okay. 

Q. Okay. You recognize this as the Notification of 

Pilot-in-Command form that was in effect previously with 

Martinaire, correct? 

A. I do. 

Q. Okay. Now, let's take a look at the top lines. 

I noticed that there's no date that's written in. You 

see that? 

A. Ido. 

Q. Why would there be no date written in? 

A. I don't have an answer for that. 

Q. Why would there be no flight number written in? 

A. Again, no answer for the top line not being 

completed. 

Q. Okay. So you would agree with me that the 

aircraft tail number should be -- there should be a tail 

number written in on this document? 

A. I would agree. 

Q. And you agree there should be a pilot-- I mean a 

pilot employee number written also? 

A. Again, it's part oftbe top line, so I agree with 

you. 

Q. Okay. All right. Now, attached are -- to this 

64 

on page 2 and page 3 are two hazardous material shipping 

papers. Now, this is what you were describing as 

hazardous shipping paper on page 2, correct? 

A. Yes. This is a DHL shipper's declaration page. 

Q. How can you tell from looking at this it's a DHL 

shipping page? 

A. I seen it before from DHL. 

Q. Okay. Now, if you take a look at the third page, 

that's also a hazardous material shipping document, 

correct? 

A. That is correct. 

Q. Okay. Now, the proper shipping name that's 

listed here in your NOPC form doesn't-- isn't the same 

as the proper shipping name on the hazardous material 

shipping document; is that correct? 

A. No, sir. 

Q. Okay. But that proper shipping name should be 

the same as what's on the hazardous material shipping? 

A. It should be verbatim as the shipping paper, yes. 

Q. Okay. And the UN ID identification number should 

be the same as what's on the hazardous material shipping 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
( 

( 

( 

"--

FEDERAL JltATION ADMINISTRATION 

Deposition of: CORY SMITH 

v. .INAIRE 

5/15/2013 

17 (Pages 65 to 68) 

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65 67 

paper; is that correct? 

A. That is correct. 

Q. Okay. And that UN identification number should 

be UN 1268? 

A. That's what's on the page. Yes, sir. 

Q. Now, as far as the class is concerned, I noticed 

the class is marked correctly as hazardous class 3. 

There's a packing group marked, but I don't see any 

packing group. Is that why this form was amended --

there's no space for packing group on this form; is that 

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correct? 11 

A. That is correct. 12 

Q. Okay. And that's why you changed your form, your 13 

new form? 

A. That's a reason why the form was changed. 

Q. Any other reasons? 

A. Well, I believe we previously covered those. 

Q. Okay. All right. Now, I notice that there's a 

packing instruction. 

A. Yes, sir. Let me get-- okay. 

Q. Okay. Is there anywhere on your form that that 

packing instruction would go? 

A. Can you show me where you're looking at? 

Q. If you look on the hazardous material shipping 

form, across from quantity, I Fibreboard, 19 liters, 

66 

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right next to it is packing instruction. 1 

A. Right here? 2 

Q. No. Right here. 3 

A. Oh, I'm sorry. 4 

MR. DWORKIN: 3-5-5. 5 

MR. ARCHIER: 3-5-5. 6 

Q. (BY MR. ARCHIER) Is there any place on your form 7 

for the packing instruction? 8 

A. No, sir. 9 

Q. Do you know the significance of the packing 10 

instruction? 11 

A. I don't believe it's required to be on the form. 12 

Q. It's not required to be on the form? 13 

A. I believe it's not required to be on the form. 14 

Q. Okay. Okay. Now, looking at this document 15 

across from the second -- the second shipment is -- if 16 

you look at the third page -- 1 7 

A. Okay. 18 

Q. --the proper shipping name of the hazardous 19 

material on the third page is "Petroleum Distillates, 2 0 

n.o.s., Super Agitene," correct? 21 

A. That is correct. 2 2 

Q. Now, that proper shipping name is not written on 2 3 

the NOPC form, correct? 2 4 

A. Again, not verbatim. 2 5 

Q. Right. And that's an error when it's not 

verbatim, correct? 

A. You are correct. 

Q. Okay. So either dispatch made a mistake or the 

pilot made a mistake? 

A. The pilot made a mistake in this instance . 

Q. Pilot made a mistake in communicating that? 

A. I would agree. 

Q. It says location on board aircraft "POD A"? 

A. Yup. 

Q. What does that mean? 

A. PodA. 

Q. Is that a certain area, zone? 

A. It's a - a pod is a --it's a structure that's 

secured to the bottom of the aircraft that has doors 

that open and close, and you have different zones, which 

we called pods, underneath the aircraft so it's not 

confused with zones. And Pod A would be the first zone 

in the pod. It's kind of hard to explain. 

Q. But this is an area--

A. -- where freight can go. 

Q. Okay. Oh, underneath? 

A. Underneath the aircraft. 

Q. Oh,Okay. 

A. With a --in a Caravan; that's correct. 

Q. Do you have pods on both the Beech and the 

Cessnas? 

A. Not the Beech, just the Caravan. It's just the 

Cessnas. 

Q. Just the Cessnas. 

68 

Now, I'm looking down below the third marking for 

hazardous material. It's RAM TI in "location." What do 

you mean by RAM TI? 

A. Radioactive material is RAM. 

Q. Right. 

A. Tl is transport index. 

Q. Okay. And you've got POD A. Would that have 

meant that there was radioactive material on board this 

aircraft? 

A. No, sir. 

Q. Okay. Now-- okay. In the total number of 

hazardous material package on board the aircraft would 

have been seven according to this document, if you look 

across POD under RAM? 

A. It looks like "2" to me. 

Q. Is that a 2? Okay. 

A. I mean, again, I don't study handwriting. 

Q. Right. I understand. Okay. Now, I noticed that 

the emergency contact number --

A. Yes, sir. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
( 

( 

FEDERAL A~ATION Deposition of: CORY SMITH 

ADMINISTRATION v. 

69 

1 Q. -- on this form, do you know where that number 1 

2 callsto? 2 

3 A. CHEMTREC. I would assume. 3 

4 Q. Okay. It's CHEMTREC. Okay. Now, do you 4 

5 sometimes list the dispatch number in there, that 5 

6 emergency response telephone number? 6 

7 ~~* 7 

8 Q. Okay. You always list-- 8 

9 A. Whatever's on the- 9 

10 Q. -- whatever is on that shipping, on that hazmat 1 0 

11 document? 11 

12 A. That's correct. 12 

13 Q. Okay. 13 

14 MR. ARCHIER: Would you mark this as CS-8, 14 

15 please. 15 

16 (Exhibit No. CS-8 marked.) 16 

17. Q. (BY MR. ARCHIER) Take a moment, Mr. Smith, and 1 7 

18 look at Exhibit CS-8. When you're finished, raise your 18 

19 head. 19 

2 0 A. (Witness complies.) Okay. 2 0 

21 Q. Okay. All right. Looking at the proper shipping 21 

2 2 name in Exhibit CS-8, Mr. Smith, are you able to tell if 2 2 

2 3 that proper shipping name is incorrect? 2 3 

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A. It's abbreviated. Without the Shipper's book in 

front of me, not at this time. 

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Q. Okay. So without the Shipper's book or without 1 

the hazmat paper, you wouldn't be able to tell whether 2 

that shipping name is correct? 3 

A. Not definitively. 4 

Q. Yeah. But in any event, you don't -- your 5 

company doesn't allow abbreviations of hazardous 6 

material names; is that correct? 7 

A. Not since -- that's correct. 8 

Q. Take a look at the captain's or dispatcher's 9 

signature. You don't recognize that signature, do you? 1 o 

A. No, sir. 11 

Q. Do you recognize the handwriting on this 12 

document? 13 

A. No, sir. 14 

Q. Okay. 15 

MR. ARCHIER: Mark this as CS-9, please. 16 

(Exhibit No. CS-9 marked.) 1 7 

Q. (BY MR. ARCHIER) Take a look at page 1 and 2 of 18 

CS-9, please. 

A. Yes, sir. (Witness complies.) Okay. 

Q. Okay. Tum to page 2 ofCS-9. 

A. Okay. 

Q. Do you recognize page 2 ofCS-9, Mr. Smith? 

A. No, sir. 

Q. Okay. And you've never seen that document 

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5/15/2013 

18 (Pages 69 to 72) 

71 

attached to CS-9, have you? I mean this is your first 

time seeing page 2 of CS-9? 

A. You are correct. 

Q. Okay. Now let's go to page I ofCS-9. There's a 

signature at the bottom, "T Peffers"? 

A. Okay. 

Q. Do you know that person? 

A. I know a person with the first name of starts 

with T and last name of Peffers, yes. 

Q. Pfeffers, okay. 

A. Pfeiffers (phonetic), Pfeffers. 

Q. Okay. What's the first name of that person? 

A. Todd. 

Q. Todd. And how do you spell the person's last 

name? 

A. I don't know him that well. 

Q. Okay. 

A. I'll be speculating. 

Q. Okay. But it's pronounced-- that last name is 

pronounced Peffers? Pfeffers? 

A. Pfeffers. That's how I've always pronounced it. 

Q. Pfeffers? 

A. Pfeffers. 

Q. Okay. So he responds to Pfeffers? 

A. Sure. He responds to Todd. I can tell you that 

much. 

Q. All right. Okay. But do you know Todd Peffers 

well enough to recognize his handwriting? 

A. No,sir. 

Q. Okay. And you don't know specifically whether 

this is Todd Peffers' handwriting, correct? 

A. I'll just answer that question: No, sir. 

Q. Okay. All right. Are you able to tell whether 

there are any irregularities on this particular document 

with the proper shipping name? 

A. One. 

Q. Tell me what you recognize. 

72 

A. The "NOS" is missing as well as the-I can't 

pronounce that word. Let's see. Diphenylphosphoryl 

azide? I guess how you would pronounce that, that's in 

parentheses. 

Q. Yes. 

A. That should be included. At least that's what we 

teach. 

Q. Okay. Do you-- are there any other 

irregularities that you see? 

A. The hazard class on the second page states that 

it's a 6.1. And there's hazard class of 5.1 written on 

the NOPC. 

Q. Okay. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
FEDERAL A~ATION ADMINISTRATION v. ~INAIRE Deposition of: CORY SMITH 5/15/2013 

19 (Pages 73 to 76) 

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MR. DWORKIN: Do you need to take a break? 

THE WITNESS: I need to go to the restroom. 

MR. ARCHIER: You want to take a break? 

THE WITNESS: Yeah. 

MR. ARCHIER: Let's take a break. 

(Break taken from 11: 15 a.m. to 11 :30 a.m.) 

(Exhibit No. CS-1 0 marked.) 

Q. (BY MR. ARCHIER) Mr. Smith, please take a moment 

to read Exhibit CS-1 0. When you're finished, please let 

me know. 

A. Okay. (Witness complies.) Okay, sir. 

Q. Do you recognize this document? 

A. It's the old NOPC. 

Q. At the bottom there's a signature of the 

dispatcher or captain. Do you recognize that? 

A. No,sir. 

Q. And you don't recognize the other handwriting on 

this page, do you? 

A. No, sir. 

Q. Now, I notice that there's some handwriting--

well, before we get there, let's take a look at the 

proper shipping name. Do you see that line? 

A. I do. 

Q. Okay. Do you see any problems with that shipping 

name, '? s1r. 

74 

A. I can't read the shipping name. 

Q. Okay. Do you recognize any problems at all with 

the shipping information on this document? 

A. Not without the shipping papers to compare to and 

the Shipper's guide book. Without those--

Q. You can't--

A. --I can't tell you definitively. 

Q. Okay. Now, if you look in the "location," can 

you make out that location on the aircraft where that is 

located? 

A. It looks like "POD D." 

Q. What does that mean? 

A. It's the last zone in the pod. It would be the 

far right zone, if you're looking at the aircraft on the 

left side. 

Q. Okay. 

A. It's at the tail of the aircraft underneath the 

airplane. 

Q. Okay. There's some handwriting on this document 

that's in the UPS, DHL tracking number. It's "bad," 

"not enough." Do you know whose handwriting that is? 

There's two question marks there. 

A. I do not. 

Q. Now, the UPS or DHL tracking number, that's the 

tracking number of the hazardous material shipping 

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paper, correct? 

A. That's the tracking number of .the package. 

Q. Of the package. Would that package-- would that 

tracking number -- are you able to obtain the hazardous 

material shipping paper from DHL or UPS with that 

tracking number? 

A. You should be able to, yes, sir. 

Q. Okay. 

MR. ARCHIER: CS-11, please. 

(Exhibit No. CS-11 marked.) 

Q. (BY MR. ARCHIER) Take a moment, Mr. Smith, and 

look at CS-11. When you're finished looking at it, let 

me know, please. 

A. (Witness complies.) Okay. I'm finished. 

Q. Okay. The last-- the signature of the 

dispatcher or the captain, do you recognize that 

signature? 

A. No,sir. 

Q. Do you recognize any of the handwriting on this 

form? 

A. No,sir. 

Q. Okay. Do you recognize who that particular pilot 

is from the pilot employee number? 

A. Not without a Jist. 

Q. Not without your list. But you could determine 

who that was with your list, correct? 

A. With my list or the computer program; that is 

correct. 

Q. Right. And the computer program tells you--

what type of information does that tell you? 

A. Who the pilot is. 

Q. Does it give you any other information? 

A. Yeah. It can tell me his hire date. It can tell 

76 

me all his personal information, address, telephone 

number, pilot certificate numbers. Tells me when the 

check ride was due or was completed. It tells me his 

base month. Tells me when his training was completed. 

It tells me a lot of different stuff. 

Q. Would it tell you if he's had any previous NOPC 

violations? 

A. No,sir. 

Q. Is there any type of record that's maintained 

that tells you whether a pilot has previous NOPC 

violations? 

A. Other than that background check that's required 

that we do before hiring, no, sir. 

Q. But you don't maintain that type of information 

yourself on a specific pilot? 

A. We have the backgrounds from the pilots, yes. 

I've never seen one come back with a hazmat violation. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
FEDERAL A~ATION ADMINISTRATION v. ~NAIRE Deposition of: CORY SMITH 5/15/2013 

20 (Pages 77 to 80) 

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Q. Okay. I guess what I'm saying-- I mean I'm 

probably not being clear here, but let's say pilot 

employee number 323, if he-- if this was a violation, 

would you enter any information in a computer database 

that indicated that he had a NOPC violation on May 13th, 

2011? 

A. No. 

Q. Okay. Take a look at the proper shipping name 

here. 

A. Okay. 

Q. You see any problem with that shipping name, sir? 

A. Not without a --again, without the A.I.R. 

Shipper's guide book, I'd have to have that to compare 

to the UN ID number. 

Q. Okay. Do you know of any hazardous material 

that's called NOS? 

A. I know hazardous material that has "NOS" in the 

shipping name, but again, without the guide book or 

shipping papers, I can't tell you definitively. 

Q. Correct. Yeah. But off the top of your head, 

you don't know of any hazmat called NOS, do you? 

A. Not off the top of my head. 

Q. Yeah. Okay. Thank you. 

(Exhibit No. CS-12 marked.) 

Q. (BY MR. ARCHIER) Take a moment, Mr. Smith, and 

78 

look at pages 1, 2, and 3 of Exhibit CS-12. 

A. (Witness complies.) Okay, sir. 

Q. Okay. Now, I notice on this particular NOPC 

there's no captain's or dispatcher's signature. 

A. Okay. 

Q. Why is that? 

A. I don't have an answer for you. 

Q. Should there be a signature there? 

A. There should be. 

Q. Okay. All right. Now, the pilot who would have 

flown this would have been pilot 2020, employee number 

2020, right? 

A. You are correct. 

Q. Okay. And because the dispatcher didn't sign 

their name here, we wouldn't have an idea who this 

dispatcher is? 

A. I would assume so, yes, sir. 

Q. Okay. Why would a dispatcher not want to sign 

his name to this form? 

A. I'm not going to answer that because I don't know 

definitively. 

Q. Okay. Take a look at the-- at page 2 and 3 of 

this exhibit. 

A. Okay. 

Q. Okay. Take a moment and look at page 2 and 3. 

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Now, take a look at -- when you're finished, let me 

know. 

A. I'm finished. 

Q. Okay. Take a look at the proper shipping name, 

the first proper shipping name. 

A. Yes, sir. 

Q. Do you see any problems with this hazardous 

shipping material name listed? 

A. Absolutely. 

Q. What problems do you see? 

A. The proper shipping names do not match. 

Q. Okay. And what should the proper shipping name 

be here? 

A. "Lithium metal batteries packed with equipment." 

Q. Now, I noticed the proper shipping name here is 

listed as "Metronic." What's that mean? 

A. It sounds to me that is the shipper. 

Q. The shipper? Okay. 

A. But I don't know that definitively. It's just 

what-- you know. 

Q. Yeah. Is the other information correct here, the 

UN number? 

A. 3091, yes, sir. Hazard class 9, (witness reading 

to himself.) 

Yes. 

Q. Okay. Yes what? 

A. Sir. 

MR. ARCHIER: You've coached this man very 

well, Mr. Dworkin. But I'm more humble than that. 

Can you read that response back. 

A. I just -you sounded like my father. 

(Reporter read requested portion.) 

80 

Q. (BY MR. ARCHIER) Now, I notice the location on 

board this aircraft is -- that looks like a J to me. 

Does that look like a J to you? 

A. What location? I mean which one? 

Q. On--

A. On the first one? 

Q. On the first one it says location J? 

A. It looks like a "3" to me. 

Q. That looks like a "3" to you? Okay. So that 

would be the location where the hazmat was? 

A. Yes, sir. 

Q. Okay. And then on the second one, the location 

is "1," right? 

A. Yes, sir. 

(Exhibit No. CS-13 marked.) 

Q. (BY MR. ARCHIER) Okay. Take a moment, 

Mr. Smith, and look at CS-13. When you're finished 

looking at it, let me know, please. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
( 

( 

FEDERAL A~ATION ADMINISTRATION v. MAIIINAIRE 

Deposition of: CORY SMITH 5/15/2013 

21 (Pages 81 to 84) 

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A. (Witness complies.) Okay, sir. 1 they're different. 

Q. Okay. Mr. Smith, do you recognize the captain or 2 Q. Right. What about the hazardous class here? 

dispatcher's signature? 3 A. They're definitely different. 

A. No, sir. 4 Q. Okay. But you don't have enough information to 

Q. Okay. Do you recognize any of the other 5 know whether these particular shipping names are 

handwriting in this document, sir? 6 improper? 

A. No,sir. 7 A. Not without pertinent documentation, no, sir. 

Q. Okay. You would be able to find out who the 8 Q. Okay. And the pertinent documentation would be 

pilot was from the pilot employee number on this 9 what again? 

document, correct? 10 A. The shipping paper or the A.I.R. Shipper's guide. 

A. Yes, sir. 11 Q. Okay. Thank you. 

Q. Okay. Now, looking at the proper shipping name, 12 MR. ARCHIER: Mark this CS-14, please. 

listed here, do you see any problems with that hazmat 13 (Exhibit No. CS-14 marked.) 

shipping name? 14 Q. (BY MR. ARCHIER) Take a moment, Mr. Smith, and 

A. It's not a name that I recognize, but I couldn't 15 look at page 1 and 2 of Exhibit CS-14. 

tell you definitively without the book or the shipping 16 A. (Witness complies.) Okay, sir. 

paper. 17 Q. Okay. Take a look at page 2 at that hazardous 

Q. So you've never heard of a hazardous material 18 material name. 

called "Beckman Coulter"? 19 A. Yes, sir. 

A. I have not, but again, I would have to-- I don't 20 Q. Okay. Have you ever heard of that particular 

memorize hazmat material, so I would have to check the 21 hazard material? 

book. 22 A. Yes, sir. 

Q. And then on the second hazmat, the proper 23 Q. Okay. In what context? 

shipping name is also listed as "Beckman Coulter," 24 A. On the hazmats that I've reviewed. 

right? 25 Q. In the past? 

82 84 

A. It is. 1 A. In the past. 

Q. Okay. Well, let me ask you a question. If the 2 Q. Okay. Now, take a look at page I of Exhibit 

proper shipping name in the first instant is Beckman 3 CS-14. 

Coulter and the proper shipping name in the second is 4 A. Okay. 

Beckman Coulter, how come they have different UN 5 Q. Do you see any problems with that proper shipping 

identification numbers? 6 name? 

A. They should be two different hazardous material. 7 A. Although it's kind of hard to read, it doesn't 

Q. If they were two different hazardous material, 8 look like it's spelled correctly. 

wouldn't they have a different hazardous material 9 Q. Okay. Is there any issue with the UN ID number? 

shipping name? 10 A. They do not match. 

A. They would have a different proper shipping name, 11 Q. Okay. What about the hazard class? 

yes. 12 A. The shipping papers say it should be a class 8, 

Q. A different proper shipping name, correct? 13 and class 3 is inscribed here on the page. 

A. Correct. 14 Q. Okay. Now, do you recognize the dispatcher's 

Q. Okay. So if we look at also that there's a 15 signature at the bottom? 

hazard class 9 on one, the first one, and there's a 16 A. No, sir. Nor the handwriting. 

hazard class 8 on the second one -- 17 Q. Okay. All right. Now, why does the information 

A. Can I go back a second? 18 on the NOPC have to be accurate? 

Q. Yeah, sure. 19 A. For first responders so they know-- if the 

A. There should and there's instances where the 20 aircraft were to have an incident, whomever's, the 

names could be the same and have different UN ID 21 pilot's incapacitated, first responders know how to 

numbers. 22 correctly assess and take care of the accident site. 

Q. Okay. So you're saying the shipping name could 23 Q. So you would agree with me that the proper 

be the same? 24 shipping name is important information? 

A. It's a possibility, but nine times out often, 25 A. I would agree. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
( 

'· 

( 

• e 

FEDERAL AVIATION ADMINISTRATION v. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

22 (Pages 85 to 88) 

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Q, Okay. 1 instead of 24 calendar months as the regulation 

(Exhibit No. CS-15 marked.) 2 specifies, as I previously stated. The pilots are 

Q. (BY MR. ARCHIER) I'm showing you Exhibit CS-15, 3 taught to -- and were taught at the time to call 

Mr. Smith. Please take a moment and look at it. When 4 everything- sorry- write everything down on the NOPC 

you're finished, let me know. 5 form verbatim and to call that in to dispatch and convey 

A. (Witness complies.) Okay, sir. 6 to them what they're carrying verbatim. 

Q. Do you see any problem with the proper shipping 7 Q. Okay. Now, Martinaire had an audit from our 

name as listed here? 8 hazmat section in about the last couple of years, 

A. Yes, sir. 9 correct? 

Q. What do you see? 10 A. 2011. 

A. I don't recognize the name. It seems to be cut 11 Q. So if there were an inspections today, would you 

off or abbreviated or whatnot. 12 feel confident that you've solved this problem? 

Q. Okay. Are you able to recognize what the 13 A. Absolutely. 

hazardous material is by the UN identification number 14 Q. You seem pretty confident, Mr. Smith. You say 

alone? 15 absolutely. 

A. With the book. 16 A. I say absolutely because I'm pretty confident. 

Q. Without the book? 17 Q. Why are you confident? 

A. No. Without the book, no, sir. 18 A. Because I believe that the policies and 

Q. Okay. Without the hazardous class? 19 procedures that we put in place took care of the 

A. Rephrase your question, sir, please. 20 problem. We've educated ourselves even further with 

Q. Are you able to recognize the name of the 21 assistance from the- some hazmat inspectors. 

hazardous material with just the hazardous class 22 Q. And what -- specifically which hazmat inspectors 

information that's here? 23 gave you that assistance? 

A. No,sir. 24 A. I don't know the names specifically. They helped 

Q. Okay. And you don't know of any hazardous 25 us kind of cultivate the form and how we should change 

86 88 

material name C-0-R-R, correct? 1 it on the day of the inspection. I believe Paul Klimas 

A. Not the full name, no, sir. 2 was one. He's the one that I remember the most. 

Q. Okay. And do you recognize the signature at the 3 Q. Okay. 

bottom? 4 A. Mr. Klimas. The other guys' names, I just don't 

A. No, sir. Nor the handwriting. 5 remember. 

Q. Okay. But you could find out who the pilot was, 6 Q. And he helped you formulate a better format for 

correct? 7 reporting? 

A. I could. 8 A. At the end, yes, sir. 

MR. ARCHIER: Okay. I need to take a 9 Q. Why do you say at the end? 

five-minute break. 10 A. There was some things that we needed to figure 

(Break taken from 11:51 a.m. to 11:56 a.m.) 11 out what they wanted, what the regulations were, how we 

Q. (BY MR. ARCHIER) At the time of these NOPC's 12 worked on the regulation. And that wasn't being 

that we just looked at, Mr. Smith, what was Martinaire's 13 conveyed clearly in my opinion from the hazmat 

policy toward completing NOPC's? 14 inspectors. And then at the end, after we saw eye to 

A. You want to be more specific? l5 eye, then we were able to help take care of the problem. 

Q. Yeah. I'm just wondering-- we've seen a series 16 Q. Do you know about-- when Mr. Klimas conducted 

ofNOPC's that were incorrect, and I was just wondering 17 that inspection that day, do you know about how many 

what their policy toward those NOPC's were, I mean 18 NOPC's he looked at? 

toward the completion ofNOPC, toward the training of 19 A. I didn't look at them. I didn't count how many 

pilots toward NOPC. I mean what was the policy of 20 he looked at. I mean I looked at them, but I didn't 

Martinaire at that time? 21 count physically how many he looked at, so I can't tell 

A. Well, first of all, the policy goes hand in hand 22 you definitively. 

with the regulation. 23 Q. If you had to take a guess, how many would you 

Q. Okay. 24 say? 

A. The pilots are trained every 12 calendar months 25 MR. DWORKIN: You mean if he were to 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
( 

( 

FEDERAL A~ATION Deposition of: CORY SMITH 

ADMINISTRATION v. MAIIINAIRE 

5/15/2013 

23 (Pages 89 to 92) 

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estimate? 1 

MR. ARCHIER: Yes, if he were to estimate. 2 

MR. DWORKIN: Don't guess. Don't guess, but 3 

if you have a good faith estimate, that's different. 4 

A. I don't even want to give you a good faith 5 

estimate because I didn't count them. I was in and out 6 

getting information for him so... 7 

Q. (BY MR. ARCHIER) When Mr. Klimas met with you, 8 

who all was in that meeting? 9 

A. Myself, Mr. Klimas, Mike Bates, and again, the 1 0 

other hazmat inspectors. Honestly, I don't remember 11 

their names. I'm really bad with names. I'll forget 12 

yours here in a little while. 13 

Q. How many times did Mr. Klimas meet with you? 14 

A. One. 15 

Q. Just one time? 16 

A. Um-hmm (affirmative). 17 

Q. So you haven't seen Mr. Klimas since that 18 

particular meeting? 1 9 

A. I have not seen him since that particular 2 0 

meeting, no, sir. 

Q. Okay. Now, Mr. Smith, you indicated to me that 

you do subsequent internal audits of the NOPC; that's 

correct, right? 

A. I'm one of the two people that does the audits, 

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yes. 1 

Q. Okay. And who is the other person that-- 2 

A. Mike Bates. 3 

Q. Okay. Now, how often do you do the audits? 4 

A. Every day. 5 

Q. Every day you do an audit? 6 

A. Monday through Friday. 7 

Q. What does that audit entail? 8 

A. I get the NOPC form, I get out the A.I.R. 9 

Shipper's guide book, and I compare apples to apples, 10 

make sure that everything was spelled correctly, proper 11 

shipping name, proper UN ID number, make sure whatever 12 

is in the book matches whatever is on the NOPC. 13 

Q. And Mr. Bates does the same thing when you're not 14 

there? 15 

A. Yes, sir. 16 

Q. Okay. Do you keep any records of those audits? 17 

A. Keep records for 90 days. 18 

Q. Okay. So you have records of the-- you keep the 

NOPC's for 90 days, right? 

A. We keep the NOPC's for 90 days. 

Q. If you find--

MR. DWORKIN: "We" being Martinaire, not you 

personally. 

A. "We" being Martinaire. 

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91 

Q. (BY MR. ARCHIER) Okay. And -- but you're 

responsible for maintaining those NOPC's, correct, for 

filing them, correct, and keeping them in one place, 

right? 

A. I'm responsible for auditing them, and I make 

sure that they are kept in one place. Our dispatch 

employees actually put it in the binder. I grab it out 

of the binder, inspect it, and I put it back in the 

binder. 

Q. Okay. Now, who at the dispatch maintains that 

binder with the NOPC in it? 

A. Well, all the dispatchers do. 

Q. All the dispatchers? 

A. They put the NOPC's into the binder. 

Q. And the binder just includes all the NOPC's for a 

specific day? 

A. For numerous days. 

Q. For numerous days. So ifl went to the dispatch 

office today, I could go to a binder that looks 

something like this, and it would have all the NOPC's in 

it? 

A. For the past 90. 

Q. For the past 90 days? 

A. Yes, sir. 

Q. Okay. Would that particular binder also have the 

92 

hazardous material shipping papers attached to the 

NOPC's? 

A. No, sir. 

Q. Okay. 

A. It's not required. 

Q. It's not required. So the only way-- you're 

evaluating this with looking at the guide book to find 

out if that NOPC is correct? 

A. That is not the only way. 

Q. Okay. Is there any other way? What's the other 

way again? 

A. Well, the dispatchers when the pilots calls the 

shipping pape~s in to the dispatchers, they, too, look 

at the guide book and make sure everything is correct 

with the NOPC before they give the go-ahead to carry the 

hazardous material. 

Q. So let me ask you this. Suppose a pilot gives 

you -- gives the dispatch wrong -- a wrong hazmat 

shipping name. 

A. Okay. 

Q. Will the dispatch not release that pilot to fly? 

A. I don't understand your question. 

Q. I mean, you're saying that the dispatch person 

has the power-- reviews that NOPC, correct? 

A. Um-hmm (affirmative). 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9a394e2d-f6eb-4516-8ca0-843c4130df7f 
( 

C. 

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FEDERAL ~ATION ADMINISTRATION v. ~INAIRE Deposition of: CORY SMITH 5/15/2013 

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93 95 

Q. They review the NOPC information? 1 CHANGES AND SIGNATURE 

A. Um-hmm (affirmative). 2 WITNESS NAME: CORY SMITH DATE: 

Q. Now, for the pilot to get the go-ahead to fly, 3 PAGE LINE CHANGE REASON 

that dispatch person has to give that pilot the go-ahead 4 

to fly? 5 

A. That dispatch person will tell the pilot if 6 

there's an error with the hazardous material. And if 7 

there is an error, the pilot refuses the package. 8 

Q. Oh, the pilot refuses the package? 9 

A. The pilot can refuse the package - or the pilot 10 

does refuse the package. 11 

Q. So the pilot refuses the package? 12 

A. That's correct. 13 

Q. Do they leave that package there on the loading 14 

dock? 15 

A. They leave the package with UPS. 16 

Q. Okay. What is-- has that ever happened in your 17 

tenure? 18 

A. Absolutely. 19 

Q. Okay. So before that pilot can take off, that 20 

NOPC has to have correct hazmat information on it? 21 

A. That's correct. 22 

MR. ARCHIER: Okay. I do not have any 23 

further questions, Mr. Dworkin. 24 

MR. DWORKIN: Okay. We'll see you tomorrow 25 

94 96 

with Mr. Bates at 9 o'clock. 1 I, CORY SMITH, have read the foregoing deposition 

(Proceedings concluded at 12:07 p.m.) 2 and hereby .affix my signature that same is true and 

3 correct, except as noted above. 

4 

5 

6 CORY SMITH 

7 THE STATE OF ) 

8 COUNTY OF ) 

9 

10 Before me, on this 

11 day personally appeared CORY SMITH, known to me (or 

12 proved to me under oath or through 

13 ) (description of identity 

14 card or other document) to be the person whose name is 

15 subscribed to the foregoing instrument and acknowledged 

16 to me that they executed the same for the purposes and 

17 consideration therein expressed. 

18 Given under my hand and seal of office this 

19 day of 2013. 

20 

21 

22 

NOTARY PUBLIC IN AND FOR 

23 THE STATE OF 

COMMISSION EXPIRES: 

24 

25 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

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(_ 

FEDERAL A~ATION ADMINISTRATION v. ~NAIRE Deposition of: CORY SMITH 5/15/2013 

1 

2 

3 

4 

5 

6 

7 

U.S DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE HEARINGS 

WASIDNGTON, DC 

In the Matter of: ) FAA DOCKET No. FAA-2013-0040 

MartinaireAviationLLC) FAA CASE No. 2011SW700189 

(Civil Penalty Action) 

Respondent ) 

REPORTER'S CERTIFICATION 

DEPOSITION OF CORY SMITH 

MAY 15,2013 

I, Kristin McDowell, Certified Shorthand Reporter 

in and for the State ofTexas, hereby certifY pursuant 

to the Federal Rules of Civil Procedtrre to the 

following: 

That this deposition transcript is a true record of 

the testimony given by CORY SMITH, the witness named 

herein, on May 15th 2013 after said witness was duly 

sworn/affirmed by me. 

That the deposition transcript was submitted on the 

97 

8 

9 

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23 

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25 

--,--day of 2013 to Mr. Michael L. 

Dworkin, MICHAEL L. DWORKIN & ASSOCIATES, 465 California 

Street, Suite 210, San Francisco, California 94 I 04 for 

examination, signature and return to me by 

_______ ,,2013. 

98 

1 That the deposition transcript was returned to U.S. 

2 Legal Support on , 20 I 3, was 

3 properly executed by the witness to the deposition 

4 officer, and the attached change/correct sheet contains 

5 any changes, and the reasons therefor, made by the 

6 witness. 

7 

8 That the original deposition transcript, or a copy 

9 thereof, together with copies of all exhibits, was 

1 o delivered on the __ day of , 2013 to Mr. 

11 James Archier for the safekeeping and use at trial. 

12 That the amount of time used by each party at the 

13 deposition is as follows: 

14 

MR. JAMES ARCHIER. ........ 02 HOURS:27 MINUTES 

15 MR. MICHAEL DWORKIN ....... 00 HOURS:OO MINUTES 

16 

1 7 That pursuant to information given to the deposition 

18 officer at the time said testimony was taken, the 

19 following includes counsel for all parties of record: 

20 

MR. JAMES ARCHIER: Attorney for FAA; 

21 MR. MICHAEL DWORKIN: Attorney for Martinaire. 

22 

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That a copy of this certification was served on all 

parties shown herein. 

Certified to by me this __ day of , 2013. 

KRISTIN MCDOWELL 

Texas CSR No. 8218 

Expiration Date: 12/31114 

U.S. Legal Support, Inc. Firm# 343 

5910 N. Central Expressway, Suite 1 00 

Dallas, Texas 75206 

214-741-6001 

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Taxable cost$ ____ _ 

Job#2-143523 

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Deposition of: CORY SMITH 5/15/2013 

A 

abbreviated 69:24 85: 12 

abbreviations 70:6 

abide 38:21 

able 6:9 8:10,14 51:3,6 60:19,25 62:21 69:22 

70:2 72:8 75:4,7 81:8 85:13,21 88:15 

above-styled 1: 19 

absolutely8:12 16:21 26:20 34:11 39:18 79:9 

87:13,15,16 93:19 

accident 84:22 

accurate 84:18 

acknowledged 96:15 

action 1:5 33:25 34:3,8 97:5 

activities 20:7 

actual58:4 

add 28:2 

added 33:23 47:14 48:25 

Addison 14:5,10,11 18:3,5 

additional40: 17 

address 6:21 76:9 

addressed 3 7:25 

addresses 37:23 

administer 11 :21 ,23 

administered 4:2 42:12 

ADMINISTRATION 1:1,23 2:3,8,11,15 97:1 

advance 7: 14 

affirmative25:7,14 38:5 41:4,15 56:10 89:17 

92:25 93:2 

affix 96:2 

Agitene 66:21 

ago 22:5 24:2 37:14 

agree 50:2 63:21,24,25 64:2 67:8 84:23,25 

ahead 35:5 

air 21:24 62:17 

aircraft9:3,11,15 10:1 11:10,13 13:9 15:20 

18:2120:15,15,25 21:20,23 22:9 27:2,5,17 

27:18 29:5 30:7 38:19 39:15 40:19 48:22 

55:6,16,17,18,23 56:16 57:18,22,24,25 58:2 

63:22 67:9,15,17,23 68:14,17 74:9,14,17 

80:9 84:20 

aircrafts 55:11 

airman 9:3 11:10 

airplane 18:19,20 26:23 74:18 

airport 24:22 

Alan 2:25 16:1,3,4 39:3 

alcohol6:5 

allegations 33:8 

Allegiance 6:22 

allow 5:12,18 70:6 

allowed47:12 56:24 57:23 

allows 8:8 56:16 

ambiguous 30:4 

amended 36:9 65:9 

amount 15:19 98:12 

annual42:22 

answer4:16 6:9 9:17 17:14,16 19:5 37:24 

40:7 45:9 50:8 52:1,1 58:6,9 60:6 63:17,19 

72:7 78:7,20 

answered 28:25 29:14 

answering 29: 1 7 

answers 5: 19 

anymore45:15 

APPEARANCES 3:2 

appeared 96:11 

apples 13:14,15 90:10,10 

. appreciate 4:16 34:25 

appropriately 9: 13 

approved 43: 11 

Approximately 39:25 

Archier2:3 3:5 4:6,9 9:16,19 10:12,13 22:4 

23:14,18 26:7,9,12,14 29:16 30:1,3,6,7,12 

30:14 32:5 34:7,9,25 35:3,6,8 36:2,7,13,16 

41:22,25 46:9,12,17 52:4,8 57:17 59:19,22 

61:9,12 63:1,4 66:6,7 69:14,17 70:16,18 

73:3,5,8 75:9,11 77:25 80:3,8,23 83:12,14 

85:3 86:9,12 89:2,8 91:1 93:23 98:11,14,20 

area45:4 67:13,20 

areas 30:1 45:11 

arrange 4:25 

asked28:23 

asking 29:12 

assess 84:22 

assist9:5 10:23 11:3 12:25 18:18 20:23 27:4 

assistance 87:21 ,23 

assistant 8:22 

assisted 32:22 

assisting 9:1 

associated 37:24 

ASSOCIATES2:18 97:19 

assume 60:9,10 69:3 78:17 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

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FEDJitL AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

ATP8:6 

attached 58:16 64:4 71:1 92:1 98:4 

attorney4:10 6:13,17 98:20,21 

audit 15:3,5 28:9,15 35:17,18 47:2 87:7 90:6 

90:8 

auditing 91:5 

audits 10:20 13:13 35:9,13,15,20 49:6,7 

89:23,25 90:4,17 

authority 11: 11,15 

automatically 14:22 

average 14:18,20 18:25 

aviation 1:1,4,22 2:3,8,11,15 7:6,9,12,25 8:19 

26:3 97:1,4 

aware31:5 

azide 72:15 

A.I.R 13:13 28:10,11 40:13 62:4,17 77:12 

83:10 90:9 

a.m 1:20 36:5,5 73:6,6 86:11,11 

B3:8 26:24 

BA25:8,9 

bachelors 7: 18 

B 

back 9:17 17:24 18:1 76:25 80:5 82:18 91:8 

background 7:3,4,12 12:11,12 76:20 

backgrounds 76:24 

bad 74:20 89:12 

balance 27:2 

base 76:12 

based 18:3,5 

basically7:11,13 9:1111:14 12:13 13:7 19:13 

33:19,23 36:25 37:1 

basing 49:6,7 

basis 10:15 32:2 42:22 

Bates 16:5,16,17 33:1 39:2 44:5,6 89:10 90:3 

90:14 94:1 

batteries 79: 14 

Beckman 81:19,24 82:3,5 

Becky 2:11 4:10 

Beech 8:15 55:25 56:11 68:1,3 

beginning 20:9 

believe8:20 21:7 25:5 26:13 28:23,25 30:9,9 

30:15,18 31:14,25 34:11 62:24 65:17 66:12 

66:14 87:18 88:1 

better49:1,2,3 88:6 

binder 14:25 15:2 29:2 91 :7,8,9,11,14,15,19 

91:25 

bit7:4 31:6 

blank32:14 

board 13:8 15:19,20,20 40:18 48:21 50:1,5 

54:22 55:6 62:6 67:9 68:13,17 80:9 

Boehringer 50: 14 

book 13:14 15:12 28:9,10 40:13 62:5,13,19 

69:24 70:1 74:5 77:13,18 81:16,22 85:16,17 

85:18 90:10,13 92:7,14 

border 17:2,2 

boss 15:25 

bottom41:143:2146:149:9 52:13 53:6 

60:12 67:15 71:5 73:14 84:15 86:4 

Boulevard 1:23 2:5,13 

box47:12 50:12,17 54:17 

break4:24,25 5:1,7 36:2,5 73:1,3,5,6 86:10 

86:11 

bring 15:25 37:15 

building 5:6 

busier 21 :23,23 

business 35:22 45:8 

c 2:1 4:1 

c 

calendar34:18,18 86:25 87:1 

California2:19,20 97:19,20 

call12:16 27:3,21 38:17 39:2 40:15 49:22 

87:3,5 

called 35:18 50:13 51:3 67:17 77:16,21 81:19 

calling 19:25 41:1 61:4 

calls 13:9 69:2 92:12 

captain 11:15 27:7,14 53:8,9 73:15 75:16 

81:2 

captains 20:17,19 26:18,19,22 

captain's 52:14 60:12 70:9 78:4 

Caravan 55:25 56:1 67:25 68:3 

carbon 33:20 47:19 

card 96:14 

care6:3 10:19 84:22 87:19 88:15 

cargo 56:15 

cargo-only 57:25 

carried40:18 57:23,25 58:1 

carry40:12 57:6,11 92:15 

carrying 87:6 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

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FEDJitL AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

case 1:4 55:10 97:4 

category 53:15 

cause 1:19 

ceased47:3 

center 13:22 

Central99:13 

certain41:10 57:4 67:13 

certificate 3:7 8:8 76:10 

certification 97:7 99:1 

certifications 8:7 

Certified 23:3,5 97:9 99:3 

certify 97: 1 0 

Cessna 55:25 56:1 

Cessnas 68:2,4,5 

CFI22:25 23:1 

CFII 7:14 23:4 

CFII's 22:24 

CFI's22:24 

CFR62:14,24 

change 19:20,24 20:1 48:9,12 87:25 95:3 

changed 19:18 65:13,15 

changes 5:15,21 33:14,17 34:9 95:1 98:5 

change/correct 98:4 

charge 39:14 

check9:3 10:1,25 11:10 20:14,22 38:17 62:2 

76:11,20 81:21 

checked 9:14 

checking9:4 40:16 

checks 10:7 12:11,12 20:22 38:17 

CHEMTREC 69:3,4 

Cherokee 21 :24 

chief8:22 9:2 10:20 12:3 13:13 16:1 19:19 

21:6,25 22:3 26:20 32:25 37:9 44:5 

children 6:25 

choices 47:15 

circumstances 38:12 

Civi11 :5,24 4:13 97:5,11 

clarification 29:22 

clarify 4 7:25 

class 8:9 48:16 65:6,7,7 72:22,23 79:23 82:16 

82:17 83:2 84:11,12,13 85:19,22 

clear 23:16 24:5 77:2 

clearly 88:13 

Cleveland 7:6 

close44:23 67:16 

closed 31 : 13 

coached 80:3 

coast 17:2,2 

coffee 5:4 

College 25:3 

come 10:16 14:16,22 32:15 54:9 59:2 76:25 

82:5 

comes41:7 

commercial7:5,9,25 

COMMISSION 96:23 

communicate 61:5 

communicating 67:7 

Community 25:3 

companies 12:12 

company 9:3 17:16 35:15 45:11 70:6 

company's 35:11 

compare 13:14 74:4 77:13 90:10 

complacent 41:2,6,10 

complaint 33:9 34:1 

complete5:19 27:1 30:25 31:3 34:22 41:13 

completed33:16 50:22 63:20 76:11,12 

completely 12:20 13:15 37:2 38:11 

completing 86:14 

completion 7:17 86:19 

complies 36:19 42:2 46:16 52:12 59:25 63:7 

69:20 70:20 73:11 75:14 78:2 81:1 83:16 

85:6 

computer 18:7 51:11,13 76:2,4 77:4 

concerned 11:9 65:6 

concerning 11 :22 

concluded 94:2 

condition 5: 12,18 

conducted 88:16 

confident 87:12,14,16,17 

confused 67:18 

consideration 96:17 

consists 11:24 

contact 15:17 16:12,14 48:20 68:24 

contains 98:4 

context 83:23 

continue 7:19 

conversation 35:4 

conversion 56:15 

convey87:5 

conveyed 88:13 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

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FED~L AVIATION ADMINISTRATION~t. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

coordinate 10:24,25 

coordinating 9:6 

coordinator 44:17 45:17,21,22,23 

coordinators 44:21 45:11,14 

copied47:13 61:20 

copies 98:9 

copy 13:12 33:20 47:19 58:5 98:8 99:1 

corporate 21 : 15 

correct7:23 8:11 12:23 14:5,6,1415:9 18:9 

20:5 21:8 23:14 24:6 25:23 27:10,16,18,23 

28:18,20 29:8,16,21 31:12 33:1,2 35:14,16 

39:17 42:15 45:11,12,13 48:7,8,10 51:20,25 

52:21 54:8 56:21 57:3 58:11,16 59:13,16 

60:21,24 61:6,24 62:10,22 63:10 64:7,14,15 

64:19 65:1,2,11,12 66:21,22,24 67:2,3,25 

69:12 70:3,7,8 71:3 72:6 75:1 76:1,3 77:20 

78:13 79:21 81:10 82:13,14 86:1,7 87:9 

89:24 91:2,3 92:8,14,24 93:13,21,22 96:3 

corrected 19:18 

Corrections 3:6 

corrective 16:14 33:25 34:3,8,15 

correctly 15:9 20:20 65:7 84:8,22 90:11 

Cory 1:12,17 3:4 4:3,8 95:2 96:1,6,11 97:7,14 

cost 99:18 

Coulter81:19,24 82:4,5 

counsel 2:4,8,12,15,22 98:19 

count 17:5 88:19,21 89:6 

counting 17:7 

country 14:13 16:25 

COUNTY96:8 

couple 87:8 

coupon 16:11 33:19 47:19,23 48:1 53:21 

54:10 58:7,8,15,16,21,23 

course 14:15 35:17 37:23 

Court9:16 36:13 41:22 46:9 59:19 

covered 65: 17 

co-pilots 20:13,14 

crew 38:24 57:5 

crossed 15: 11 ,22 3 7:4 

CR-13:10 

CR-10 3:19 

CR-113:20 

CR-12 3:21 

CR-13 3:22 

CR-14 3:23 

CR-153:24 

CR-23:11 

CR-3 3:12 

CR-4 3:13 

CR-53:14 

CR-6 3:15 

CR-7 3:16 

CR-8 3:17 

CR-93:18 

CSR 1:21 99:11 

CS-136:6,8 

CS-10 73:7,9 

CS-11 75:9,10,12 

CS-12 77:24 78:1 

CS-13 80:22,24 

CS-14 83:12,13,15 84:3 

CS-15 85:2,3 

CS-2 36:14,15,16 

CS-3 41:23,24 42:1 

CS-446:10,11,13 49:8,13 

CS-5 52:7 

CS-6 59:20,21,22 60:1,11 

CS-7 63:2,3,4 

CS-8 69:14,16,18,22 

CS-9 70:16,17,19,21,23 71:1,2,4 

cultivate 87:25 

curious 45:10 

currency 19:12 

current 9:15 20:12 

currently6:3 8:10 26:11,12 30:13,14 

custodian 12:2 

customer 9:6 47:21 

cut 85:11 

C-0-R-R 86:1 

C-4 52:4 

C-5 52:5,9 

D3:14:1 74:11 

Dallas 99:13 

D 

dangerous 28:10,11 40:9,13,21 62:4,17 

database 77:4 

date9:9,10,12 10:25 20:12 34:22 63:13,16 

76:8 95:2 99:12 

day 10:22 11:6 13:12 14:19 47:2 88:1,17 90:5 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

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FEDE~L AVIATION ADMINISTRATION~ MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

90:6 91:16 96:11,19 97:18 98:10 99:3 

days 10:24 13:12 15:1 41:15,16 90:18,20,21 

91:17,18,23 

day-to-day 9:2 10:14,15,16 14:16 32:2 35:21 

DC 1:2 97:2 

dealing 16:19 

December 8:20 

declaration 64:8 

Define34:8 

definitely 83:3 

definitive 58:6 

definitively 40:7 43:23 52:2 54:11 70:4 74:7 

77:19 78:21 79:19 81:16 88:22 

degree 7:5,8,9,11,12,16 

delivered 98:10 

Delta 7:6 22:13,16 23:11,21,25 24:6,13,15,17 

25:4,6,9,1 0,16,18 

DEPARTMENT 1:197:1 

depend 11:5 

depends 10:22 11:6 16:24 19:9 31:21,22 

39:21 40:5,5 55:17 

deposition 1:11,17 4:11,12 6:13 36:10 96:1 

97:7,13,17 98:1,3,8,13,17 

describe 19:15 20:6 

describing 64:6 

description 3:9 96:13 

designation 7:24 

desk 14:17 

detail22:21 

detailed 41:13 

determine 62:22 75:25 

de-ice 11 : 13 

DHL27:10 38:13,14,19 39:9 40:3 45:5 47:20 

64:8,9,11 74:20,24 75:5 

differ 47:10 

different9:9 11:115:7 20:1,23,24,24 33:5 

47:13 55:11,22,23 60:4 67:16 76:13 82:5,7 

82:8,9,11,13,21 83:1,3 89:4 

difficult 5:24 

Diphenylphosphoryl 72:14 

DIRECT3:5 

directly 39:5 40:10 

director 16:1 19:19 

discard 29:7 

discarded 29:6 

discovery 4: 12 

discussion 17:20 

discussions 16:6 

dispatch 9:5 12:17 13:21,21,23 14:2,4,7,12 

20:1 27:4,21,22,25 28:17 31:7,7,8,11,23 

32:7,18,23 33:3,4 38:17 39:2 40:15,20 

42:21 43:3,6 49:3,4 50:22 51:20 53:10,13 

61:1,5,6,7,20 67:4 69:5 87:5 91:6,10,18 

92:18,21,23 93:4,6 

dispatcher45:18 52:24 53:1,8 60:12 73:15 

75:16 78:14,16,18 

dispatchers 11:3 13:10,11 14:25 34:20 35:18 

38:3,4,6 40:16 42:5 45:16 62:2 91:12,13 

92:12,13 

dispatcher's 53:7 70:9 78:4 81:3 84:14 

disposal40: 10 

distance 57:5 

Distillates 66:20 

dock 93:15 

DOCKET 1:3 97:3 

doctor's 6:3 

document 3:13,14,15,16,17,18,19,20,21,22 

3:23,24 36:10,14,20 42:3,4 46:19 47:22 

52:4 58:22 60:3,4,7,16 63:23 64:13,19 

66:15 68:18 69:11 70:13,25 72:9 73:12 74:3 

74:19 81:6,10 96:14 

documentation 83:7,8 

doing48:17 50:23 

doors 67:15 

dotted 15:10,21 37:3 

double-check 28:5 

double-checks 16:8 

downstairs 5:5 

drafting 37:5 

drawing 32:14 

Drive6:22 

dry 15:20 

due76:11 

duly 1:18 4:4 97:15 

duties 8:24 9:1,19,21,22,23 10:5,9 18:16 20:6 

22:22 38:24 45:20,21,24 

duty 10:11 

Dworkin 2:18,18 10:8,12 22:2 23:12 26:6,11 

29:12,24 30:2,4,10 32:3 34:5,24,25 35:2,5,7 

36:4 46:15 57:14 66:5 73:1 80:4 88:25 89:3 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

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FEDJitL AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

90:23 93:24,25 97:19,19 98:15,21 

E 

E2:1,1 3:1,8 4:1,1 

earlier42:18 58:20 62:2 

easier 33:21 47:21 

easily 51:12 

easy 51:15 

educated 87:20 

educational7:4 

effect 29:13 63:9 

efficient 11 :4 

efficiently 20:20 26:23 

effort 36:25 

eight6:6 

either 10:20,25 13:12 26:20 27:9 67:4 

emergency 15:17 40:12 48:20 68:24 69:6 

emotional5: 12,18 

employed 44:15 

employee23:13,15,16,17 51:7,12,14,16 52:20 

60:20,20 64:1 75:23 77:3 78:11 81:9 

employees 32:6 33:4 91:7 

employee's 51:10 

employment 26:6,7 

ends 11:1 

engage35:8 

engines 9:12 

ensure 12:19 28:5 34:21 40:17 

ensuring 20:8 

entail7:10 90:8 

entails 42:14 

enter77:4 

equals41:3 

equipment 20:24 79:14 

ERG40:13 

error 16:7,10 41:2 67:1 93:7,8 

escort5:8 

escorted 5:6 

especially 41 :7 

essence 18:19 

estimate 89:1,2,4,6 

evaluating 92:7 

evenings 31 : 14 

event70:5 

everything's 13:15 

exact 33:20,20 

examination 3:5 4:5 97:21 

example 19:22 

executed 96:16 98:3 

exerted 39:4 

exhibit 36:6,8,15,16 41:24 42:1 46:11,13 52:7 

52:9 59:20,21 63:3 69:16,18,22 70:17 73:7 

73:9 75:10 77:24 78:1,23 80:22 83:13,15 

84:2 85:2,3 

exhibits 98:9 

existence 47:4,10 

experience 39:6 41:5 

Expiration 99:12 

EXPIRES 96:23 

explain 50:6 54:3 67:19 

expressed 96:17 

Expressway 99:13 

extent 11:8 

extra 56:16 

eye 88:14,15 

e-mail2:21 3:1118:6 36:21 37:5,13,23,25 

41:13,17,19,21 

e-mails 37:17 

E90 21:24 

F 

FAA 1:3,4,18 10:24 43:7,8,11,11 97:3,4 98:20 

FAA-2013-0040 1:3 97:3 

face-to-face 16:23 17:19 

facility7:15 27:4 40:15 

fact 50:6 

failure 30:24 31 :3 

faith 89:4,5 

familiar 10:10 33:8,11,12 35:24 41:17 

far 11:9,12 46:24 65:6 74:14 

FAR's11:12 

father 80:6 

Fax 2:6,14,21 99:14 

Federal1:1,22,24 2:3,8,11,15 4:13 97:1,11 

feel38:22,23 87:12 

Fibreboard 65:25 

figure 88:10 

filed 34:1 

filing 91:3 

fill27:3,15 37:2 38:11,16 39:1,16,19 40:4 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

6 
( 

( 

FED~L AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

59:15 formulate 88:6 

filled 12:19 Fort 1:23 2:5,13 

filling 40:8 found 16:7 

fills 27:20 29:4 Francisco 2:20 97:20 

financial35:22 freight9:6 18:14,15,17,20 55:13,14 62:6 

find 16:10 50:21 60:19,22 81:8 86:6 90:22 67:21 

92:7 Friday90:7 

fine 35:2,5 36:4 41:3 friendly47:11,16 

finished 29:9 46:13 52:10 59:23 63:6 69:18 front40:14,22 62:8,13 69:25 

73:9 75:12,14 79:1,3 80:24 85:5 fuel24:22 

firm21:15,17,18 99:12 full5:19 86:2 

first4:4 14:21,24 24:10 42:8,9 49:19 53:15 fully6:9 

67:18 71:1,8,12 79:5 80:13,14 82:3,16 further 87:20 93:24 

84:19,21 86:22 future 18:10 

five 14:18,19 36:3 

five-minute 86:10 G 

flew 21:22,23 G4:1 

flies 55:21 General9:9 20:2 

flight 11:11 22:15,20 23:3,5 29:8 38:1,2 42:5 generally 39:16 

43:14 44:17,21 45:10,14,17,21,22,22 63:18 generated 59:4 60:8 

flights 10:1 getting 9:6 25:5 39:14 89:7 

FlightSafety 20:16,18 Gina32:10 

floor 5:8 give 5:19 17:7,10,16 19:5,22 20:14 22:6 24:25 

flown 78:11 26:15 38:25 42:20 55:24 58:5,9 76:7 89:5 

fly8:10,14,15,17 10:6 18:18,24 19:1,6,11 92:15 93:4 

21:21 22:4 23:6 26:23 28:6 29:23 39:16 given 43:10 47:19 96:18 97:14 98:17 

55:3,19,22 56:24,24 62:6 92:21 93:3,5 gives 11:11 33:19 47:23 92:17,18 

flying 18:22 21:20 giving 58:14 

focus 7:3 61:17 glad 35:6 

followers 38:1,2 42:5 glow 57:14 

following 97: 12 98: 19 glowing 57:16 

follows4:4 98:13 go 5:7 9:7 10:13 14:24 15:2 18:12 19:2 24:24 

foregoing 96: 1, 15 30:22,24 35:5 47:4 50:23 57:4 61:17 65:22 

foreseen 20:21 67:21 71:4 73:2 82:18 91:19 

forget 17:17 89:12 God25:5 

form 13:11 15:18,24,25 16:13 27:15,20 28:16 goes 29:2 55:14 86:22 

28:19,22 33:22,24 34:12,14 38:11,16 39:1 going 4:15 5:8 10:23 19:4 25:22,25 36:7 

39:17 41:2 46:20,21,23 47:3,4,7,8,9,10,10 43:23 45:23 51:21 54:14 60:10 78:20 

47:18 48:5,10,14 49:1 50:7,22,24 51:4,8 GOM10:25 

53:2 55:5 57:17 59:5,7,15 61:2 62:10 63:9 good 4:7 15:12 89:4,5 

64:17 65:9,10,13,14,15,21,25 66:7,12,13,14 goods 13:14 15:18 28:10,11 40:9,14 62:4,17 

66:24 69:1 75:20 78:19 87:5,25 90:9 gotten 41:6 

format 33:23 47:13 48:9,12 88:6 go-ahead 92:15 93:3,4 

forms 10:20 12:21,22 13:13,18 14:16 15:2 GPS20:23 

27:3,3 28:9 33:13,15,18 35:9,11 37:2 40:9 grab 91:7 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

7 
( 

( 

\... 

,_. 

FEDJitL AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

graduation 24:11 HEARINGS 1:2 97:2 

grammatical17:23 held26:4 

Greenville 21: 16 help 88:15 

ground 10:22,23 11:11 helped 87:24 88:6 

group 15:15,16 28:14 33:23 43:15 47:14 high 8:16 

48:17 65:8,9,10 Hinds25:3 

guess 22:2 53:14 72:15 77:1 88:23 89:3,3 hire 11:15 21:2 76:8 

guide74:5 77:13,18 83:10 90:10 92:7,14 hired 30:21 

guy24:21 hiring 76:21 

guys 88:4 hold24:6 

Hollowell21: 18 

H Holms 2:11 4:10 

H3:8 hometown 24:22 

hand20:17,17 46:14 86:22,22 96:18 honest 15:8 17:2,7,16 54:11 

handbook28:10,11 40:12 honestly 54:13 89:11 

handle 18:14,15,19 hours6:6 18:12,25 31:19 43:4 

handpick 9:12 HOURS:OO 98:15 

handwriting49:11 51:19,22,24 52:16 60:15 HOURS:27 98:14 

60:17 68:22 70:12 72:3,6 73:17,20 74:19,21 humble80:4 

75:19 81:6 84:16 86:5 

happen 49:23 61:24,25 I 

happened 62:1 93:17 ice 15:20 

happens 28:22 29:5 ID 15:13 28:14 48:16 54:2,4,7 64:24 77:14 

hard 67:19 84:7 82:21 84:9 90:12 

hazard33:13 48:16 72:22,23 79:23 82:16,17 idea 60:7 78:15 

83:21 84:11 identification 36:14,17 41:23 46:10 51:16 

hazardous35:25 40:20,2143:15 48:1,3,5,7 52:9 53:24 60:20 63:5 64:24 65:3 82:6 

48:21 50:1,14,18 57:23,24 58:4,12,17,23 85:14 

59:7,11,14 60:5 62:7,9,20 64:5,7,13,18,22 identify47:22 52:19,22 

64:25 65:7,24 66:19 68:7,17 70:6 74:25 identifying 52:25 

75:4 77:15,17 79:7 81:18 82:7,8,9 83:2,17 identity 96:13 

85:14,19,22,22,25 92:1,16 93:7 ID's 52:20 

hazards 40:11 immediately 15:25 34:23 47:5,6,7 

hazmat 11:13,18,22,23,23 12:7,14,15,16,24 implement9:8 19:20 

13:3,4,9,11,14 15:2 17:24 18:2 27:3,3,8,15 implementation 33:13 

27:20,22 28:1,4,6 32:19,23 33:3,5,15 34:21 implementations 20:24 

39:1 41:7,1142:12,17 43:8 48:10 54:10,22 implemented 19:18 33:14 34:23 

54:24 56:6,19,24 58:1 69:10 70:2 76:25 important 84:24 

77:21 80:17 81:13,21,23 87:8,21,22 88:13 improper 83:6 

89:11 92:18 93:21 improperly 30:25 31 :3 

hazmats 39:21,22 40:17 83:24 incapacitated 84:21 

hazmat-wise 13:9 incident 84:20 

head 4:17 14:20 30:21,23 52:11 59:24 62:19 include9:1 

69:19 77:20,22 included 15:16 72:18 

heard 81:18 83:20 includes20:8 91:15 98:19 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

8 
( 

( 

FEDJitL AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

incorrect 69:23 86:17 

incorrectly 33:16 61:7,20 

index 15:19 57:1 68:11 

indicate 42:11 

indicated 12:1 20:3 42:20 77:5 89:22 

INDOT 11:12 

information 24:25 28:12,15,18,21 32:15 

33:21 41:1 51:2 53:24 58:9,14 61:5,6 62:3,9 

74:3 76:5,7,9,22 77:4 79:21 83:4 84:17,24 

85:23 89:7 93:1,21 98:17 

initiated 20:10 

input 37:5,12 

inquiring 29:14 

inquiry 10:9 

inscribed 84:13 

inspect34:1 91:8 

inspection 34:4,10,16 88:1,17 

inspections 87:11 

inspectors 87:21,22 88:14 89:11 

installed 20:25 

instance 1:18 48:24 67:6 

instances 19:11 82:20 

instant 82:3 

instruction 65:19,22 66:1,8,11 

instructions 41: 13 

instructor 9:3 22:15,20 23:3,5,1 0,12,17,23,24 

23:25 25:17,20,21,25 44:2 

instrument 96:15 

instruments 23 :5,6 

interfere 38:24 

internal 89:23 

International20: 16 

interview9:24,25 16:14 

interviews 9:24 34:15 

interview-flights 9:25 

involved 10:10 11:7,9 12:1 16:15 19:14,23 

20:3 35~21 

involvement 19:15 

irregularities 72:9,21 

issue 31:1 84:9 

items41:10 

l's 15:10,21 37:3 

J 80:9,10,14 

J 

James2:3 4:9 98:11,14,20 

JAMES.ARCHIER@FAA.GOV 2:7 

JCAH50:18 

Jennifer 31:10,19 32:1,4 

Jennifer's 31:16 

Jeremiah 43:20 

job 11:1 12:3 22:10 24:10,11 

jobs 24:6,14,18 

Job#2-143523 99:19 

jog 41:21 

jump 56:18 

K 

Kathy 44:7 46:2 

keep 9:8,12 13:11 15:1 90:17,18,19,21 

keeping 91:3 

keeps 55:14 

kept 91:6 

kilograms 48:24 

kind 7:8 8:5 11:21 12:8,15 22:16 42:3 49:25 

67:19 84:7 87:25 

King21:24 

Klimas 88:1,4,16 89:8,10,14,18 

know4:2410:411:20 17:6 19:5 24:15 28:13 

30:1,2,20,20 32:3,5,6,8,11,16 33:15 37:14 

43:24 45:25 46:14 48:24 50:10,11 51:1,22 

54:11,13 57:7 58:4 59:24 60:9 63:6 66:10 

69:1 71:7,8,16 72:2,5 73:10 74:21 75:13 

77:15,17,21 78:20 79:2,19,20 80:25 83:5 

84:19,21 85:5,25 87:24 88:16,17 

known 96:11 

Kristin 1:20 97:9 99:11 

L 

L2:18,18 97:18,19 

Lansing 44:9,10,11 ,12,19,20,22 46:4,5 

late40:6 

lately 31: 1 ,2 

law 12:20 21:15,17,18 

LAW@AVIALEX.COM 2:21 

lazy41:2,6,10 

lead 22:15 

leave93:14,16 

left46:15 74:15 

legal27:2 40:18 98:2 99:12 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9 
( 

( 

( 

\. 

FEDJilL AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

legally 28:6 

legible 17:24 

legibly 12:20 37:2 38:12 

let's 8:20 23:16 34:14 39:22 58:17 60:11 

61:17 63:12 71:4 72:14 73:5,21 77:2 

license 8:5 

licensed 8:17 

licenses 8:1,3 

limitation 57:6,7 

limitations 15: 15 

line 10:6,6,7 11:15 18:18 20:22 24:21 63:19 

64:2 73:22 95:3 

lines63:12 

list43:25 51:14 52:20 69:5,8 75:24,25 76:1,2 

listed44:17 48:6 50:17 51:2 64:17 79:8,16 

81:13,24 85:8 

liters 65:25 

Lithium 79:14 

little 7:4 22:8 31:6 89:13 

live6:19 

LLC.1:4 97:4 

load62:6 

loaded 39:15 55:13 

loading 18:19 27:4,8 55:11 93:14 

loca124:22 

locate 33:21 

located 14:2,9 16:24 17:1 39:12 44:12,18,19 

46:3,3,5 48:14,20 74:10 

location 48:21 55:6 67:9 68:7 74:8,9 80:8,11 

80:14,17,19 

long 8:18 18:11 22:5,7 23:11,25 24:1 37:14 

39:19 40:4 43:4 

longer29:9 44:14,15,20,21 46:6,25 

look36:8,18 38:10 42:1 43:21 46:12 50:12,16 

51:13 52:9 53:15,21 59:22 60:11 63:5,12 

64:12 65:24 66:17 68:18 69:18 70:9,18 

73:21 74:8 75:12 77:8 78:1,22,25 79:1,4 

80:10,24 82:15 83:15,17 84:2,8 85:4 88:19 

92:13 

looked 86:13 88:18,20,20,21 

looking 11:3 15:5,7,8 17:6,9,17 19:4 46:14 

47:23 49:13 52:10 64:9 65:23 66:15 68:6 

69:21 74:14 75:12 80:25 81:12 92:7 

looks37:19 68:20 74:11 80:9,15,16 91:19 

lose45:5 

lost45:4 

lot9:4,4,21,25 11:3 15:7 31:22 40:6 76:13 

loud 4:17 

M 

machine 1 :22 

maintain 9:5 11:4 12:5,6,12,14 13:2,17 15:1 

20:11 29:3 76:22 

maintained 13:21 76:17 

maintaining 12:2,25 91:2 

maintains 91 : 1 0 

maintenance 10:1 

majority 9:22 

making 15:9,14,15 20:19 37:10 

man 17:5 80:3 

manager 8:23 31:8 44:9 

manager/instructor 42:7 

manages 31 :7 

manner20:1 

manual9:9 20:2 40:9,14 62:18 

map 17:6,9,11,15,15 19:4 

mark41:23 46:10 59:20 69:14 70:16 83:12 

marked 36:6,8,14,15 41:24 46:11 52:5,7 

54:17 57:18,22 59:21 63:1,3 65:7,8 69:16 

70:17 73:7 75:10 77:24 80:22 83:13 85:2 

marking 68:6 

marks 74:22 

married 6:23,24 

Martinaire 1:4 2:22 8:18 21:8 29:23 30:8,16 

34:6,7 35:8,22,25 44:15 45:12,15 46:6 

55:21 56:23,24 63:10 86:21 87:7 90:23,25 

97:4 98:21 

Martinaire's 86:13 

masters 7:19,22,24 25:8,9,11,15 

master's 7:5 

match 54:2 79:11 84:10 

10 

matches 15:11,13 16:12 90:13 

material33:13 35:25 40:11,21,21 43:15 48:2 

48:3,6,7,21 50:1,14,18 57:2,12,23,24 58:4 

58:12,23 59:7,11 60:5 62:7,9,21 64:5,13,18 

64:22,25 65:24 66:20 68:7,9,13,17 70:7 

74:25 75:5 77:15,17 79:8 81:18,21 82:7,8,9 

83:18,21 85:14,22 86:1 92:1,16 93:7 

Matt32:10 

matter 1:3 19:10 97:3 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
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( 

( 

\. 

FEDJitL AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

Matt's 32:11,12 

McDowell I :21 97:9 99:11 

McKinney 6:20,22 

Meacham 1:23 2:5,13 

mean 12:10 16:3 27:5 29:8 30:10 35:3 37:7 

39:9,10 43:8 44:8,25 46:14,21,23 47:17 

48:1 49:21 50:4 51:22 54:13 55:9 56:14 

63:25 67:11 68:8,22 71:1 74:12 77:1 79:16 

80:11 86:18,20 88:20,25 92:23 

meaning7:12 26:6 

means 58:3 

meant38:1 68:13 

medica18:7,8,9 

medications 5:23 

meet4:10 6:12 89:14 

meeting 10:16 16:22,23 17:18 89:9,19,21 

MEI23:10 

member 38:24 

memorize 60:17 81:21 

memory 37:15 41:21 48:18 

mental5:12,18 

met89:8 

metal79:14 

Metroliner 8:16 55:10 

Metronic 79:16 

Michael2:18,18 97:18,19 98:15,21 

Michigan 44:11,12,19,20,22 

Mike 39:2 44:5,6 89:10 90:3 

milliliters 48:24 

millimeters 48:24 

mine43:24 

minutes 36:3 40:4 98:14,15 

missing 72: 13 

Mississippi 7:7 21:16 24:23 

misspelled 17:23 

mistake 15:23 16:13 17:19 18:9 67:4,5,6,7 

mistaken 25:12 

moment 32:12 36:9,17 41:25 46:12 51:1 52:8 

59:22 63:5 69:17 73:8 75:11 77:25 78:25 

80:23 83:14 85:4 

Monday90:7 

month 18:25 76:12 

months 34:18,19 86:25 87:1 

Moore31:10,18,19,19 32:1 

morning 4:7 10:16 

multis 20:22 

multi-engine8:16,23 9:10 20:4,7 23:9 

mult-engine 23: 10 

N 

N 2:1 3:1 4:1 99:13 

11 

name 4:7,9 15:9,14 21:17 28:14 31:16 32:11 

32:12 48:15 49:15,18,19,21 50:2,7,13,17,19 

50:21 51:10,13,15 53:16,18,21 62:3,22 

64:16,18,21 66:19,23 69:22,23 70:3 71:8,9 

71:12,15,19 72:10 73:22,25 74:1 77:8,11,18 

78:15,19 79:4,5,8,12,15 81:12,14,15,24 82:3 

82:4,10,11,13,23 83:18 84:6,24 85:8,11,21 

86:1,2 90:12 92:19 95:2 96:14 

named97:14 

names32:9,15 37:17,22,23 44:16 51:12,14 

55:24 70:7 79:11 82:21 83:5 87:24 88:4 

89:12,12 

natural57:14 

need4:24 5:7 10:19 11:19 19:20 28:13,15 

29:10 53:21 58:12 62:14,16,17 73:1,2 86:9 

needed 15:16 19:9,9 34:22 52:19 88:10 

needs9:7 19:17 33:22 

net55:13 

never41:11 55:1,3 70:25 76:25 81:18 

new 11:14 20:13 21:2,3 33:13 37:1 47:4,9,10 

47:18 48:5,10 49:1 65:14 

night 10:21 15:3 31:15 

night's 10:17 

nine 82:25 

Ninety 39:23,24 

nodding 14:20 

nods 4:17 

NOPC 3:12,13,14,15,16,17,18,19,20,21,22,23 

3:24 12:21,22 14:16,22 15:23 16:5,11,13 

28:19,22,22 29:4,5,7,10 33:13,18 35:9,11 

37:1 38:11,16 39:17,20 40:4,9 41:1 46:20 

46:21 47:22 50:22 51:4,19 54:5 58:23 59:15 

62:4 64:17 66:24 72:24 73:13 76:14,18 77:5 

78:3 84:18 86:19,20 87:4 89:23 90:9,13 

91:11 92:8,15,24 93:1,21 

NOPC's 13:5,7 30:25 31:4 86:12,14,17,18 

88:18 90:20,21 91:2,14,15,20 92:2 

Nope53:19 

NOS 72:13 77:16,17,21 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

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f 

l 

\ 

FEDE~L AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

12 

NOTARY 96:22 43:17,21,25 44:6,16 45:5,10,17,20,25 46:6,8 

noted96:3 46:16,17,24 47:3,9 48:5,18,19 49:3,6,13,17 

notice 3:10 4:12 13:17 36:9 37:1 42:6 55:5 49:20 50:9,11,16,21 51:2,6,9,24 52:3,12,13 

65:18 73:20 78:3 80:8 52:16,19,23 53:6,15,17,23 54:1,7,12,14,17 

noticed37:16,25 57:17 63:13 65:6 68:23 54:25 55:2,5,8,9,12,16 56:11,14,19,22 57:11 

79:15 58:1,7,15,19 59:3,6,17,25 60:1,2,7,11,15,19 

Notification 63:8 60:25 61:3,19,23 62:7,20,25 63:7,8,12,21 

notify 13:8 64:4,12,16,21,24 65:3,13,18,20,21 66:15,15 

number 15:13,17,18 17:7,10 22:6 28:14 30:9 66:18 67:4,22,24 68:12,16,16,21,23 69:4,4,8 

30:18,22 48:14,16 51:7,12,15,17 54:4,5,7 69:13,20,21 70:1,15,20,21,22,25 71:4,6,10 

57:4 60:21 63:18,22,23 64:1,24 65:3 68:16 71:12,17,19,24 72:2,5,8,20,25 73:11,11,24 

68:24 69:1,5,6 74:20,24,25 75:2,4,6,23 74:2,8,16,19 75:8,14,15,22 77:1,8,10,15,23 

76:10 77:3,14 78:11 79:22 81:9 84:9 85:14 78:2,3,5,10,14,18,22,24,25 79:4,12,18 80:1 

90:12 80:16,19,23 81:1,2,5,8,12 82:2,15,23 83:4,8 

numbered 1: 19 83:11,16,17,20,23 84:2,4,9,11,14,17 85:1,6 

numbers 54:2 61:20 76:10 82:6,22 85:13,19,25 86:3,6,9,24 87:7 88:3 89:22 

numerous 10:2 91:17,18 90:2,4,17,19 91:1,10,25 92:4,10,20 93:17,20 

n.o.s 66:21 93:23,25 

old 25:5 46:20,21,23,24 73:13 

0 once 28:17,21 

04:1 online25:9 

oath 4:2 96:12 on-site 27:16 

objection 29:24 30:3 open 67:16 

observations 49:7 operate 30: 11,12 

obtain 75:4 operates 31 : 12 

Obviously 4:25 operation 11:5 14:16 22:17 44:23,24 45:1 

occur49:20 operations 9:2,9 10:14,18 16:2 17:13 19:19 

occurred 34:4 20:2 35:22 

odds 11:1 operator 50:22 51 :20 

office 1:2 2:4,12 4:1113:18,19,20 14:1,4 15:3 opinion 88:13 

27:21,22,25 28:17 31:7,7,12,24 32:7,18,24 opposed 16:15 23:13 48:6 

51:14 53:10 61:6,7 91:19 96:18 97:2 options 48:23 

officer 98:4,18 ORAL 1:11,17 

offices 1:22 14:2,3,7,12 order28:15 33:22 40:17 

Oh 59:1,18 66:4 67:22,24 93:9 original98:8 

okay4:20,24 5:4,11,17 6:1,5,12,19,21 7:2,10 outline 17:11 

7:16,20,22 8:1,3,10,18,2110:3 11:7 12:1,14 oversee 9:11 

12:18 13:7,8,17 14:4,7,11,15,21 16:5 17:8 o'clock 10:17 94:1 

17:11,18 18:16,2419:1,3,6,8 21:7 22:7,21 

23:11,16,20 24:5,10,17 25:21,24 26:3,9,16 p 

27:7,12,14,25 28:17,21,24 29:11,16,22 P2:1,1 4:1 

30:16,24 31:6,11,16,19 32:1,5,13,15,17,18 package 28:6,7 40:18 48:21 55:3 68:17 75:2,3 

32:21 33:11,17 34:13 35:20 36:12,19 37:12 75:3 93:8,9,10,11,12,14,16 

37:16,20,25 38:8 39:4,13,19,22,24 40:3,8,24 packages 4 7: 12 

41:8,12,19 42:2,3,6,11,16,20,24 43:3,6,13 packed 79:14 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
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( 

( 

FEDE~L AVIATION ADMINISTRATION~ MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

packing 15:15,16 28:14 33:23 47:14 48:16 

65:8,9,10,19,22 66:1,8,10 

page 3:1,9 40:24 42:8,9 43:21 44:16 46:1 

47:13 49:9,11 52:17 54:17 58:18,23,25 59:1 

59:2,3 60:1,6 64:5,5,7,8,10,12 65:5 66:17 

66:20 70:18,21,23 71:2,4 72:22 73:18 78:22 

78:25 83:15,17 84:2,13 95:3 

pages 78:1 

paint 53:16,22,22 54:4 

paper48:2,3 54:5 56:13 58:13,24 59:9,12,14 

62:8 64:7,23 65:1 70:2 75:1,5 81:17 83:10 

papers 58:5,17,21 64:6 74:4 77:19 84:12 92:1 

92:13 

paragraph 38:9 

parentheses 72:16 

part9:10 12:3 36:25 64:2 

particular 19:1 42:12 55:5 58:1 60:6 61:2 

72:9 75:22 78:3 83:5,20 89:19,20 91:25 

parties98:19 99:2 

party 98:12 

passenger 57:18,22,24 58:2 

Paul88:1 

Peffers 71:5,9,20 72:2,6 

Penalty 1:5 97:5 

pending5:2 

people26:10,16 31:23 32:18 37:20 42:13,21 

43:25 44:18 89:25 

perform 34:3 

performance 8:17 

permit 54:18,21 

person 39:14 61:1 71:7,8,12 90:2 92:23 93:4 

93:6 96:14 

personal39:6 76:9 

personally 34:5 90:24 96:11 

personnel40:20 42:17 

persons 6:12 

person's53:13 71:14 

pertinent 83:7,8 

Petroleum 66:20 

Pfeffers 71:10,11,20,21,22,23,24 

Pfeiffers 71 : 11 

phone2:6,14,20 18:6 39:2 40:16 

phonetic 71:11 

physical5:11,17 

physically 13:23 40:16 88:21 

13 

pick39:2 

pilot7:13 8:3,5,22 9:2,5 10:6,20 11:14 12:3,6 

13:7,9,13 16:1,11,13,14,22,24 17:19,21,22 

17:24 18:1,8 19:12,19 21:2,3,6,15,25 22:1,3 

22:23 26:20 28:5 29:4,7,9 31:3 32:25 33:22 

37:9 44:5 47:20 49:22 51:3,17,25 52:20,22 

60:22,23 61:4,5 62:6 63:25 64:1 67:5,6,7 

75:22,23 76:6,10,18,23 77:2 78:10,11 81:9 

81:9 86:6 92:17,21 93:3,4,6,8,9,10,10,12,20 

pilots9:13,13,25 10:712:11,12,1616:25 17:1 

17:4 20:12 22:23 23:7,8 30:16,24 33:6 

34:15,17 37:1,18,21,22 38:1,15,22 39:5 

40:8 41:6,10 43:9 49:1 51:12,14 59:15 

76:24 86:20,25 87:2 92:12 

pilot's 84:21 

Pilot-in-Command 13: 18 63 :9 

place61:15 66:7 87:19 91:3,6 

planes 8:13 

plays 38:14 

please4:7 9:17 28:3 29:1 36:17 38:10 41:23 

46:9,10 52:5,6,8 59:23 61:10 63:6 69:15 

70:16,19 73:8,9 75:9,13 80:25 83:12 85:4 

85:20 

Pleasure 4:9 

pod67:9,12,14,18,19 68:12,19 74:11,13 

pods67:17 68:1 

POI43:16,17 

point 17:12 26:23,24 34:24 

policies 9:8 19:15,16,20 87:18 

policy 19:17,23 86:14,18,20,22 

portion9:18 61:11 80:7 

position 23:22 26:6 39:10 

positions 26:3,7 

possibility 61:4 82:25 

possible 38:20 61:19 

Possibly 61 :22 

pounds 15:20 

power92:24 

PowerPoint 11:24 18:4,7,11 42:17,21 

PREA 12:7,9 

prepare 6: 13 

presence 6:17 

Present 2:25 

presentation 11 :24 18:4,8,11 

pressure 39:4 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
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.r· 

FEDJitL AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

Preston 44:7 46:2 

presume 31: 11 

pretty 16:19 47:19 51:15 87:14,16 

previous 10:17,21 35:24 76:14,18 

previously 35:10,19 40:23 47:18 60:5 62:5 

63:9 65:17 87:2 

primary47:21 

prior24:17 

private 7:13 22:23 

probably 77:2 

problem 77:11 85:7 87:12,20 88:15 

problems 10:18,19 20:21 34:16 39:1 49:14,17 

53:18,20,23 73:24 74:2 79:7,10 81:13 84:5 

procedure 1:25 4:1416:18 19:23 29:13,15 

97:11 

procedures9:8 11:13 19:14,16 20:15 29:18 

61:15 87:19 

Proceedings 94:2 

process 9:24 

produced 1:17 

professional 7:3 

program 8:23 9:10,12 11:23,25 17:25 18:2,5 

18:6 20:4,7,10,10,11,11,16 22:18 24:9 

34:21 43:12,13 51:11,13 76:2,4 

programs 9:10 

progressed 21 :22 

progressing 20:20 

promise 5:15,21 

pronounce 72:14,15 

pronounced 71:19,20,21 

proper 15:14 28:14 48:15 49:14,19 50:13,17 

62:3,22 64:16,18,21 66:19,23 69:21,23 

72:10 73:22 77:8 79:4,5,11,12,15 81:12,23 

82:3,4,11,13 84:5,23 85:7 90:11,12 

properly 98:3 

proved 96:12 

provided 53:24 

PUBLIC 96:22 

pumped 24:21 

purposes 96:16 

pursuant 1:24 4:12 97:10 98:17 

put 14:25 33:22 38:18 41:9 49:2,21 56:6,19 

56:23 87:19 91:7,8,14 

P-A-1-N-T 53:22,22 

p.m 1:20 31:14,15 94:2 

qualifications 20:13 

quantities 15:14 

quantity 47:15 48:17,23 65:25 

question4:20 5:1 23:19 28:23 29:17,19 30:6 

34:2 49:24 50:8 58:10 61:3,8,9,13 72:7 

74:22 82:2 85:20 92:22 

questions4:16,17 5:13,19,24 6:9 18:9 29:14 

93:24 

quick38:20 

quite 31:13,13 

R 

R2:1 4:1 

radioactive 57:2,11 68:9,13 

raise46:14 52:10 59:23 69:18 

RAM 68:7,8,9,19 

ramp 38:20 39:11,12,15 40:5 

14 

read 9:17,18 61:11 73:9 74:1 80:5,7 84:7 96:1 

reading40:10 79:23 

reads 38:10 

ready46:18 

really 9:21 10:22 11:5 22:5 59:7 89:12 

reason40:14 41:9 45:7 65:15 95:3 

reasons 6:8 65:16 98:5 

recall36:1 37:13 41:18,19,20 

receive7:16,18 25:8,11 27:9 

received 25:15 42:5 

receives 27:8 

recognize49:8,11 50:14,18 51:16 52:14,15,16 

60:13,15 63:8 70:10,12,23 72:3,12 73:12,15 

73:17 74:2 75:16,19,22 81:2,5,15 84:14 

85:11,13,21 86:3 

record 3:12 28:4,18,21 35:4 42:4 76:17 97:13 

98:19 

records 9:5 12:2,2,5,6,6,7,7,8,13,14,15,16,24 

13:2,3,4 15:127:25 29:3 38:18 90:17,18,19 

reeducate 17:21 

reference 54:20 58:2 

referring 58:8,20,22 

refuse 93:10,11 

refuses 93:8,9,12 

regard 11:18 29:18 47:9 49:8 

Region 2:4,12 

Regional2:4,12 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
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FEDE~L AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

15 

regular 10:6 reviews 28:17 92:24 

regulation 34:18 38:25 57:1 86:23 87:1 88:12 revitalized 34: 14 

regulations 19:21 38:22 40:22 62:21 88:11 rid 22:8 

relationship 14:1 ride 76:11 

release 92:21 rides 20:14,22 

released 31:3 right 8:10,13 13:16 24:10 27:20 29:18 30:21 

remember 24:2 30:22 32:12 62:18 88:2,5 35:5 38:19 40:1 46:15 50:16 51:7 52:5,25 

89:11 53:9 57:15 58:7,22 62:11,23 64:4 65:18 

repeat 4:21 61:9 66:1,2,3 67:1 68:10,23 69:21 72:2,8 74:14 

rephrase 4:21 17:14 49:24 85:20 76:4 78:10,12 80:20 81:25 83:2 84:17 89:24 

report 26:10,17,19 90:20 91:4 

reported 1 :21 road 16:17 

Reporter 9:16,18 36:13 41:22 46:9 59:19 roughly 24:3,4 

61:11 80:7 97:9 route 10:25 17:15,15 19:1,11 

Reporter's 3:7 97:7 routes 19:3,6 45:4,5 

reporting 88:7 rules 1:24 4:13 38:21 97:11 

representatives 20:18 run 17:24 18:1,7 

requested9:18 61:11 80:7 running 40:6 

require 19:11 54:21 rushed 38:12,15,22,23 

required 11:2 15:18 29:9 47:22 54:24 55:3 Rusinowitz2:25 16:4,15,20 39:3 

66:12,13,14 76:20 92:5,6 

requirement 54:18 s 

requirements 57:5 S2:1 3:8 4:1 

requires 34:18 safe 11:4 27:2 28:5 

respect 18:16 20:12 safekeeping 98: 11 

Respondent 1:6 97:6 safely 26:23 28:6 

responders 84:19;21 San 2:20 97:20 

responds 71 :24,25 Saturday 31: 14 

response40:12 69:6 80:5 saw88:14 

responsibilities 8:24 9:1 10:9 18:13 21:19 saying40:3 53:12 58:7 77:1 82:23 92:23 

22:19,22 26:22,25 says 37:16 38:10 44:7 50:12 53:8 55:6 67:9 

responsibility 12:4 21:4,5 80:14 

responsible 21:3 91:2,5 school10:23,23 20:19 22:18 24:24 25:22 26:1 

restate 30:6 science 7:11,12 

restroom 73:2 screw 17:22 

retract 54:16 60:9 seal96:18 

retrain 17:21 seat 56:18 

retrained 34:16 second 36:9 50:12 66:16,16 72:22 80:19 

retraining 36:25 81:23 82:4,17,18 

retrieve 15:2 seconds 39:23,24 40:2,4 

return 97:21 section 87:8 

returned 98:1 secured 67: 15 

review 12:7 20:12 43:7 51:21 93:1 see 8:20 10:17 18:8 19:17 37:22 41:21 49:14 

reviewed 34:20 43:8,10,10,13,14,16 83:24 49:17 53:18,20,23 54:1,18 59:7 63:14 65:8 

reviewing 27:14 49:13 72:14,21 73:22,24 77:11 79:7,10 81:13 84:5 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
( 

( 

i 

FEDJilL AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

85:7,10 93:25 

seeing71:2 

seen 36:10,20,21 41:11 43:11 55:1 60:3 64:11 

70:25 76:25 86:16 89:18,20 

selection 48:25 

send 18:5 

sending 20:18 

sense47:24 

sent41:13 

sentence 38:9 40:25,25 41:12 

series4:15 86:16 

served 99:1 

seven31:13 56:13,20 68:18 

shakes4:17 

share 12:4 21:4 

shares21:5 

sheet44:7 98:4 

shift 7:2 31:21 

shifting 55:14 

ship 55:3 

shipment 28:10 40:11 48:7 54:24 62:18 66:16 

shipments 27:8,9,15 48:6 

shipper47:20 79:17,18 

shipper's 13:14 15:11 62:17 64:8 69:24 70:1 

74:5 77:13 83:10 90:10 

shipping 15:9,14 28:14 48:2,3,15 49:14,17,19 

49:21 50:2,7,13,17,19 53:16,18,20 54:5 

58:5,13,17,21,24 59:7,8,9,11,14 62:3,4,7,22 

64:5,7,10,13,16,18,19,21 ,22,23,25 65:24 

66:19,23 69:10,21,23 70:3 72:10 73:22,24 

74:1,3,4,25 75:5 77:8,11,18,19 79:4,5,8,11 

79:12,15 81:12,14,16,24 82:3,4,10,11,13,23 

83:5,10 84:5,12,24 85:7 90:12 92:1,13,19 

shortage 19:12 

shorthand 1:22 97:9 

show 18:4 36:7 65:23 

showing 36:16 63:4 85:3 

shown99:2 

shows 17:15 

shrinkage 45:8 

shrunk 44:24 

sic 41:14 

sick6:1 19:12 

side 74:15 

sign 78:14,18 

signature 3:6 42:6,7,10,11,14 43:22,22,25 

45:25 49:9 52:13,15 53:4,6,7,13 60:12,13 

70:10,10 71:5 73:14 75:15,17 78:4,8 81:3 

84:15 86:3 95:1 96:2 97:21 

significance 66:10 

signing 53: 10 

similar 45: 17 

simple 19:25 

single6:23 

16 

sir 4:8,18,19,23 5:3,10,14,16,20,22,25 6:2,4,7 

6:11,15,18 7:5,25 8:4 13:1,25 14:23 19:2 

26:21 27:13,19,24 35:23 36:1,11 40:23 42:2 

42:19,23 43:2,5 44:21,24 46:7 48:11 51:18 

52:18 53:4,5,11,12,14,19 54:19 55:8 56:5 

57:13,19,21 59:10 60:6,14,17,18 61:25 

62:15 64:20 65:5,20 66:9 68:15,25 69:7 

70:11,14,20,24 72:4,7 73:11,16,19,25 75:7 

75:18,21 76:16,21 77:11 78:2,17 79:6,23 

80:2,18,21 81:1,4,6,7,11 83:7,16,19,22 

84:16 85:6,9,18,20,24 86:2,5 88:8 89:21 

90:16 91:24 92:3 

sit18:6 

site 84:22 

sitting 4:11 

situation 49:20 

six 31:25 56:3,4 

size 55:17 

smaller 45: 1 

Smith 1:12,17 3:4 4:3,8,9,15 6:12,19 9:20 

13:2 26:10 29:17 35:21 36:7,17 41:25 46:13 

46:19 52:9 59:23 63:4 69:17,22 70:23 73:8 

75:11 77:25 80:24 81:2 83:14 85:4 86:13 

87:14 89:22 95:2 96:1,6,11 97:7,14 

Solis43:20 

solved 87: 12 

somebody 49:22 54:9 

soon47:3 

sorry 27:11 32:14 41:16 59:18 66:4 87:4 

sorts 31:1 

sounded 80:6 

sounds 79:17 

Southwest2:4,12 

space48:13 65:10 

speak32:4 

Speaking 39:6 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
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FEDE~L AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

special 54: 18,21 

specific 8:2 10:8 11:19 19:22 34:15 37:12 

76:23 86:15 91:16 

specifically 11:17 12:15 16:3 37:15 61:14 

72:5 87:22,24 

specifies 87:2 

speculate 45:23 51 :21 

speculating 71: 18 

spell 71:14 

spelled 15:10 84:8 90:11 

spending 40:3 

stacked 55:13 

standards 43:14 

start20:9 25:24,25 38:18,23 60:1 

started20:10 21:7 25:16 

starting 56:17 

starts 71:8 

state 1:214:7 7:6 17:12 22:13,16 23:11,21,25 

24:6,13,15,17 25:4,6,9,10,16,18 96:7,23 

97:10 

stated34:11 35:19 40:23 47:18 48:22 62:2 

87:2 

states 17:4,8 72:22 

station 44:9 

stay 9:15 19:21 

STC 56:15 

step 27:21 

steps 51:9 

stop 47:1 

stopped 47:7 

Street 2:19 97:20 

structure 67:14 

student 23: 13 

study 24:9 51:22 68:22 

stuff15:8 76:13 

submitted43:7 97:17 

subscribed 96:15 

subsequent 89:23 

such-and-such 10: 11 

Suite 2:19 97:20 99:13 

Sunday 31:15 

Super66:21 

supervisor 39:12 40:5 

Support98:2 99:12 

Suppose 92:17 

sure 9:13,14 11:4 13:15 15:9,10,11,13,14,15 

15:17,2116:8,10,12 17:10 19:5 20:11,19 

21:11 24:5 27:1,2 29:2,24 36:4 37:10 38:11 

38:17 47:25 59:5,6 71:25 82:19 90:11,12 

91:6 92:14 

sworn 1:18 4:4 

sworn/affirmed 97:16 

systems 7:14 11:12 20:14 

T 

T 3:8 71:5,9 

tail 63:22,22 74:17 

17 

take4:25 5:1,7 7:13 10:19 15:3 16:5 26:15 

29:12 36:2,8,17 38:10 39:1,19 41:25 43:21 

46:12 50:12,16 51:9 52:8 53:15 59:22 60:11 

63:5,12 64:12 69:17 70:9,18 73:1,3,5,8,21 

75:11 77:8,25 78:22,25 79:1,4 80:23 83:14 

83:17 84:2,22 85:4 86:9 88:15,23 93:20 

taken 1:19 4:12 36:5 73:6 86:11 98:18 

takes 18:12 38:16 40:17 

Talena 32:10 

talk6:16 9:14 10:14 27:7 31:6 35:3 

talked 42:18 

talking 12:21,22 34:5 61:15 62:5 

task 10:11 

taught 87:3,3 

Taxable 99:18 

tea 5:4 

teach20:14 34:22 72:19 

teaching 10:23 

telephone 16:23 69:6 76:9 

tell 5:15,21 7:2,3 8:5,24 9:23 10:3,5,13 11:8,8 

11:17 17:19 18:2,16 20:6 22:16,21,25 27:22 

29:1 32:1,9 33:11 36:24 38:14,22,23 48:12 

64:9 69:22 70:2 71:25 72:8,12 74:7 76:5,8,8 

76:14 77:19 81:16 88:21 93:6 

telling 61:23 62:8,9 

tells 76:4,10,11,12,13,18 

ten 17:8 82:25 

tenure 93: 18 

term 29:25 38:2 

territories 29:23,25 30:5 

testifies 4:4 

testimony 97:14 98:18 

Texas 1:21,24 2:5,13 6:20 14:5 97:10 99:11 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

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(_ 

FED.L AVIATION ADMINISTRATION4111t. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

99:13 

thank 10:12 29:22 36:12 59:17 77:23 83:11 

therefor 98:5 

thereof98:9 

thing 14:21 23:9 33:12 90:14 

things 10:2 88:10 

think6:8 27:5 37:10 40:25 

third 38:9 40:25 50:17 64:12 66:17,20 68:6 

three 24:1,3 44:16 47:12 48:6 

TI57:10 68:7,8,11 

time5:1 9:7 17:22 18:23 27:6 31:15 38:16 

39:140:17 44:3 45:2 61:19 69:25 71:2 

86:12,21 87:3 89:16 98:12,18 

times 5:6 19:25 82:25 89:14 

title 8:21 44:6,8 62:18 

titles 26:16 

today 5:13,19,24 6:1,14,17 30:14,17 31:7 

87:11 91:19 

Todd 71:13,14,25 72:2,6 

told 35:10 

tomorrow 21 :2 93:25 

top 30:20,22 51:7 62:19 63:12,19 64:2 77:20 

77:22 

total15:18,19,20 68:16 

trace 51:3 60:25 

tracking 48:14 74:20,24,25 75:2,4,6 

train 11:11,12 20:13,17 23:8,9 

trained 9:13 22:21,23 23:7,8 32:19,21 34:20 

86:25 

training 3:12 7:15 9:4 11 :7,9,13,13,14,18,21 

11:22,24,25 12:6 17:25 18:2 20:19,23,23 

21:3 22:18 32:23 33:3,4,5,7 34:2142:4,12 

42:16,18,21 43:3,6,7,8,9 76:12 86:19 

transcribe 61:7 

transcript 97:13,17 98:1,8 

transport 15:19 57:1 68:11 

TRANSPORTATION 1:1 97:1 

travel12:4 

trial98:11 

truck 18:20,20 

true 96:2 97:13 

truthfully 6:10 

trying 61:14 

TSA 11:14 

turn 40:24 70:21 

Twenty-eight 30:19 

Twenty-nine 26:13,14 

two 9:11 14:3 17:17 18:12 26:15 39:22,23 

41:20 43:4 47:11 48:5 55:22,23 56:17,20 

64:5 74:22 82:7,8 89:25 

18 

type7:16 8:13 12:5,2416:6 28:12 33:17 35:9 

37:9 39:4 43:8 76:5,17,22 

types 9:4 35:13 55:22,23 

type-rated 8:15 

T's 15:11,21 37:3 

u 

um45:22 

Um-hmm25:7,14 38:5 41:4,15 56:10 89:17 

92:25 93:2 

UN 15:13 28:14 48:16 53:23 54:2,4,7 64:24 

65:3,4 77:14 79:22 82:5,21 84:9 85:14 

90:12 

underneath 48:15,17 67:17,22,23 74:17 

understand4:18,21 5:2,9,13,24 56:25 61:12 

68:23 92:22 

understanding 29: 19 

understands 18:9 

unique 49:25 

university 7:6 22:13,16 24:7,8 25:1,2,16 

unloading 18:19 27:4 

UPS 16:12 27:10 33:19 38:13,14,19,23 39:4,9 

40:3,5 45:5,6 47:20,20,23 48:4 58:16 59:12 

74:20,24 75:5 93:16 

use20:16 46:25 47:1 98:11 

user 47:11,16 

Usually39:11 

u.s 1:1 97:1 98:1 99:12 

vacation 19:12 

vague 30:3,4 

variables 31 :22 40:6 

v 

verbatim 64:23 66:25 67:2 87:5,6 

versa 16:9 

vice 16:9 

Vicksburg 24:22 

violation 41:3 76:25 77:3,5 

violations 35:25 76:15,19 

visitor 5:5 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

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FEDE~L AVIATION ADMINISTRATION~. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

w 

walked 16: 18 

want5:1 7:2,3 10:13 11:1912:19 16:1017:9 

24:1,5 27:7 31:6 32:4 36:2 47:25 60:1 73:3 

78:18 86:15 89:5 

wanted 50:21 88:11 

wants 38:19 

WASHINGTON 1:2 97:2 

wasn't88:12 

watching 37:9 

water 5:4 

way 7:14 13:16 22:24 34:17 49:2 52:25 62:8 

92:6,9,10,11 

weather 11 :4 

week 18:24 

weeks41:14 

weight 27:1 47:15 

went 10:18 25:4 91:18 

we'll5:8 61:17 93:25 

We're31:13 

we've 16:7 30:21,21 86:16 87:20 

Whatever's 69:9 

whatnot 19:18 85:12 

whomever's 84:20 

withdraw 34:1 

witness 1:18 3:3 14:20 35:1 36:19 42:2 46:16 

52:12 59:25 63:7 69:20 70:20 73:2,4,11 

75:14 78:2 79:23 81:1 83:16 85:6 95:2 

97:14,15 98:3,6 

witnesses 6:16 

wondering 86:16,17 

word 17:23 72:14 

work 5:9 13:23 20:17 22:12 23:21,25 24:9,21 

25:19 31:20,21 32:6 45:12,15 49:2,3 

worked 8:18 31:2 88:12 

working 21:12,14 22:7 24:20 25:16,18,21,24 

25:25 30:17 31:23 46:6 

works 18:2 

Worth 1:23 2:5,13 

wouldn't49:22 50:5 51:24 70:2 78:15 82:9 

write48:13 87:4 

written 54:6 63:13,16,18,23 64:1 66:23 72:23 

wrong 92:18,18 

X 

X3:1,8 

y 

yeah 17:21 21:11 23:2,14 24:3,14 29:1 37:6 

39:8 43:19 44:12 47:7,25 49:16 53:3 61:21 

62:20 70:5 73:4 76:8 77:20,23 79:21 82:19 

86:16 

year 22:8 25:24 

years24:1,3,24 41:20 87:8 

Yup 67:10 

z 

19 

zone55:6,9,15 56:16,17,17,18 67:13,18 74:13 

74:14 

zones 55:11,11,16,18 56:1,4,6,11,20 67:16,18 

00 98:15 

0226:2 98:14 

0 

1 

18:9 65:25 70:18 71:4 78:1 80:20 83:15 84:2 

10:0136:5 

10:15 36:5 

100 99:13 

11:00 31:15 

11:15 73:6 

11:30 73:6 

11:5186:11 

11:56 86:11 

12 34:17 86:25 

12-month 42:21 

12/31114 99:12 

12:07 1 :20 94:2 

1245 54:6,9 

1263 54:5,7 

1268 65:4 

13th 77:5 

1417:14 22:18,18 

151:13,19 97:8 

15th 97:15 

19 65:25 

1900 8:15 55:25 56:11 

2 

2 3:2 40:3 43:21 58:23 60:1 64:5,7 68:20,21 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
( 

I ( 

~ 

FEDE~L AVIATION ADMINISTRATION~ MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

70:18,21,23 71:2 78:1,22,25 83:15,17 50 57:10 

2000 25:3 26:4 52 3:14 

200125:4,4 59 3:15 

2003 25:4,6 5910 99:13 

2004 8:20 21:9,10,11,12 25:12,13 

200521:8 6 

201145:2 61:16,17 77:6 87:10 621:24 

2011SW700189 1:4 97:4 6.172:23 

2013 1:13,20 96:19 97:8,15,18,22 98:2,10 6/6 61:16,17 

99:3 63 3:16 

2020 78:11,12 68046:22 

2102:19 97:20 69 3:17 

214-741-600199:14 

214-741-6824 99:14 7 

222-5099 2:6,14 70 3:18 

222-5945 2:6,14 73 3:19 

24 34:18 87:1 75 3:20 

2417 31:12 7520699:13 

26011:23 2:5,13 761371:24 

2830:18 76137-4298 2:5,13 

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3 

3 44:17 64:5 65:7 78:1,22,25 80:15,16 84:13 8 

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30 18:25 803:22 

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4:00 31:14 94104 2:20 97:20 

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415 2:20,21 973:7 

421-2500 2:20 

421-2560 2:21 

463:13 

465 2:19 97:19 

49 62:14,24 

5 

5.172:23 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

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25 

FEDJilL AVIATION ADMINISTRATI~ v. MARINAIRE 

Deposition of: CORY SMITH 0fVIQI JJ ~~ L 5/15/2013 

rl ~~~ 95 

CHANGES AND SIGNATURE 

WITNESS NAME: CORY SMITH DATE:_~,L~~-~--

PAGE LINE CHANGE REASON 

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===~========i~========~~~~J~==========~~~=~~ ------------------------~~~~-~-~-~~~~~~-

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-----------------------~~-1CE?Jli~----------~~l~~-~~ 

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-----------------------~~~--~~-~~~~~-~----

-----------------------~~~~-~~~-~--

_______________________ 1Jr~~-~-~~l~~--~t~~~~-

---------------------------------------------~~1-~ 

~--------~~~------~~~a-~~~--------------------­

---------------------~-~-~-~-~~l~~~-~~----

----------------------~~rl~-~-~~--~-~~~~------ 2<:" lL '5luu\! f.J-0-J: -------------------------------------------------------- '' B:1 dAe lew:> w.. 2-o.Jof ~+>::L M ~ \M.rdako :::L 

U.S. LEGAL SUPPORT - DALLAS, TEXAS ~ 

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\"'2. 
FED~L AVIATION ADMINISTRAT~ v. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

1 I, CORY SMITH, have read the foregoing deposition 

2 and hereby affix my signature that same is true and 

3 correct, except as noted above. 

4 

5 

6 

7 THE STATE OF JC~~-----) 

8 COUNTY OF -~4JL~ _____ ) 

9 

10 

11 day 

Before me, -~~~~------------~ on this 

personally appeared coR<f SMITH, known to me (or 

12 proved to me under oath or through 

13 (description of identity 

14 card or other document) to be the person whose name is 

15 subscribed to the foregoing instrument and acknowledged 

16 to me that they executed the same for the purposes and 

17 consideration therein expressed. 

18 Given under my hand and seal of office this 

19 --~~~--day of---~~-------------' 2013. 

20 

21 

22 

23 

24 

25 

~~~~~--~~~~~~~~--~ NOTARY PUBLIC IN AND FOR 

THE STATE OF __ --- j~~-r.-;r-------

COMMISSION EXPIRES: -ZL~~13 ____ _ 

U.S. LEGAL SUPPORT - DALLAS 1 TEXAS 

214-741-6001 

96 
FED~ AVIATION ADMINISTRATita v. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

1 

2 

3 

4 

5 

6 

7 

8 

9 

U.S DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE HEARINGS 

WASHINGTON, DC 

In the Matter of: FAA DOCKET No. FAA-2013-0040 

Martinaire Aviation LLC ) FAA CASE No. 2011SW700189 

Respondent 

(Civil Penalty Action) 

REPORTER'S CERTIFICATION 

DEPOSITION OF CORY SMITH 

MAY 15, 2013 

I, Kristin McDowell, Certified Shorthand Reporter 

10 in and for the State of Texas, hereby certify pursuant 

11 to the Federal Rules of Civil Procedure to the 

12 following: 

13 That this deposition transcript is a true record of 

14 the testimony given by CORY SMITH, the witness named 

15 

16 

17 

18 

herein, on May 15th 2013 after said witness was duly 

sworn/affirmed by me. 

~hat the deposi~ion transcript was submitted on the 

-L~Jt~_day of J[~~~--- 2013 to Mr. Michael L. 

19 Dworkin, MICHAEL L. DWORKIN & ASSOCIATES, 465 California 

20 Street, Suite 210, San Francisco, California 94104 for 

21 

22 

23 

24 

25 

examination, signature and return to me by 

~~-1_~--------· 2013. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

97 
FED~L AVIATION ADMINISTRATitt 

Deposition of: CORY SMITH 

v. MARINA IRE 

5/15/2013 

1 That the deposition transcript was returned to U.S. 

2 Legal Support on--------------------' 2013, was 

3 properly executed by the witness to the deposition 

4 officer, and the attached change/correct sheet contains 

5 any changes, and the reasons therefor, made by the 

6 witness. 

7 

8 That the original deposition transcript, or a copy 

9 thereof, together with copies of all exhibits, was 

10 delivered on the ______ day of ------------' 2013 to Mr. 

11 James Archier for the safekeeping and use at trial. 

12 That the amount of time used by each party at the 

13 deposition is as follows: 

14 

MR. JAMES ARCHIER ........ . 02 HOURS:27 MINUTES 

15 MR. MICHAEL DWORKIN ...... . 00 HOURS:OO MINUTES 

16 

17 That pursuant to information given to the deposition 

18 officer at the time said testimony was taken, the 

19 following includes counsel for all parties of record: 

20 

21 

22 

23 

24 

25 

MR. JAMES ARCHIER: Attorney for FAA; 

MR. MICHAEL DWORKIN: Attorney for Martinaire. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

98 
1 

2 

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9 

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11 

12 

13 

14 

15 

16 

17 

18 

FEDJitL AVIATION ADMINISTRATitt v. MARINAIRE 

Deposition of: CORY SMITH 5/15/2013 

That a copy of this certification was served on all 

parties shown herein. 

Certified to by me this lc&h day ofJ[i_GL~-' 2013. 

KRISTIN MCDOWELL 

Texas CSR No. 8218 

Expiration Date: 12/31/14 

U.S. Legal Support, Inc. Firm# 343 

5910 N. Central Expressway, Suite 100 

Dallas, Texas 75206 

214-741-6001 

214- 7 41- 6 8 2 4 (FAX) 

Taxable cost $ __________ _ 

99 

19 Job#2-143523 

20 

21 

22 

23 

24 

25 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
• • 

EXHIBITB 

Exhibit 7 to Deposition of Paul Daniel Klimas 

FAA Case No. 2011SW700189 I DMS No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS TO COMPLAINANT'S 

MOTION FOR DECISION 
( 

( 

U.S. Department 

of Transportation 

Federal Aviation 

Administration 

May 18,2012 

In reply 

• 

Refer to: AGL-7B 

2011-GL-70-0205 

Great Lakes Region 

2300 East Devon Avenue 

Des Plaines, Illinois 60018 

EXHIBIT N0.,_1,___ 

• s (7·1} 

•--·--·---·-·---.. ---- &!nt>elt flqoning & t;1iprion Scrviots 

REGULAR AND CERTIE D MAIL- RETURN RECEIPT RE VESTED 

ORDER ASSESSING~ PENALTY 

On December 19, 2011, you were advised through a Final Notice of Proposed Civil Penalty that the 

FAA proposed to assess a civil penalty in the amount of$35,000. 

After considering a111he evidence in this matter, including the infonnation presented at the informal 

conference, and pursuant to mutual agreement, the Administrator has detennined that: 

1. On or about May 11, 2011, Martinaire Aviation, LLC (MT A) transported by air a one 

gallon ofPmple Power Industrial Strength Cleaner/Degreaser, a hazardous material. 

2. The above-described cleaning liquid was transported in aircraft N9505B from Cadillac, 

Ivii (CAD) to Ludington, IV1I (LDM) and then to Capital City Airport (LAN) in Lansing, 

Ivii, where it was discovered by a FAA Special Agent (SA) during an inspection of MTA' s 

compliance with hazardous material transportation laws. 

3. In the course of the investigation, an FAA special agent discovered that on or 

about May 11,2011, a MTA employee unlawfully transported hazardous material 

by air and therefore MT9A had not met its employee hazardous material training 

requirements. 

4. The material within the shipment is classified as hazardous materials under Section 

172.1 01 of the Hazardous Materials Regulations. The proper shipping name for 

Putple Power Industrial Strength Cleaner!Degreaser is UN 1760, Corrosive Liquid N.O.S., 

Class 8, Packing Group II . 

5. This hazardous material shipment was not declared, described, packaged, marked or labeled 

as containing hazardous materials or in the proper condition for transport according to the 

Hazardous Material Regulations. 

6. The shipment was not labeled CARGO AIRCRAFT ONLY. 
( 

c 

( 

7. At all times i~ ... mtioned herein, the shipment was not a~;,_.vmpanied by a Shipper's 

Declaration for Dangerous Goods. 

8. MTA transported the hazardous material above-described by air without shipping 

papers containing the proper shipping name, without delineating the hazard class, 

without the prefix "UN" or "NA," as applicable; without the total quantity by 

weight or volume of hazardous material, and without a basic description of the 

hazardous material. 

9. MTA transported the above-described hazardous material by air without the proper 

packaging or labeling that would have indicated the hazardous nature of the liquid. 

1 0. MT A transported by air the above-described hazardous material without the proper 

shipping name, assigned identification number, or the required markings in 

English. 

11. MTA transported by air the above-described without properly packaging the 

hazardous material in accordance with the Hazardous Material Regulations. 

12. MT A did not make emergency response information, including the emergency 

response telephone number, available for use at all times the hazardous material 

was present. 

By reason of the above, it appears that MTA violated the following Department of 

Transportation Hazardous Materials Regulations: 

a) 49 CFR §171.2(e) in that MTA transported by air hazardous material that was not 

properly packed, classed, described, marked, labeled and was not in condition for 

shipment as required by the Hazardous Material Regulations. 

b) 49 CFR Part 172.200(a), in that MTA transported hazardous material by air and did 

not properly describe the material on shipping paper. 

c) 49 CFR Part 172.204(a), in that MTA transported hazardous material by air and did 

not properly certifY that material in accordance with the regulations. 

d) 49 CFR Part 172.301(a), in that MTA transported hazardous material by air in a 

non-bulk package and did not properly mark that material in accordance with the 

regulations. 

e) 49 CFR Part 172.400(a), in that MTA transported hazardous material by air and did 

not properly label that material in accordance with the regulations; 

f) 49 CFR Part 172.402(c), in that MTA transported by air hazardous material which is 

authorized on cargo aircraft ONLY if the package is labeled as CARGO 

AIRCRAFT ONLY as specified in 49 CFR Part 172.448. 

g) 49 CFR Part 172.600(c)(2), in that.MTA transported hazardous material by air and 

did not provide emergency response information in accordance with the 

regulations; 

2 
( 

h) 49 CFR Part ... L.702(a), in that MTA did not ensure tl. __ employees involved in the 

handling ofhazardous materials were trained in accordance with subpart H of part 

172;and 

i) 49 CPR Part 173.l(b), in that MTA transported hazardous material by air when that 

material was not prepared in accordance with the regulations. 

THEREFORE, IT IS ORDERED under 49 U.S. C. §5123, and pUrsuant to the settlement 

agreement, that you aie assessed a civil penalty in the amount of$15,000.00. 

This Order constitut~s a finding by the FAA of the facts and regulatory violations contained 

herein. The Order Assessing Civil Penalty and MTA's payment of the civil penalty do not 

constitute or imply admissions by MT A that it committed the violations found by the FAA, or 

that MTA agrees with the facts averred to by the FAA. 

(;{ 

In order to satisfy payment of the civil penalty, you are hereby directed to make a payment of ' 

$15,000.00, by certified check or money order, on or before June 20, 2012 payable to the 

Federal Aviation Administration, to the Accounts Receivable Branch (AMZ-310-ACE/AGL), 

P.O. Box 25082, Oklahoma City, OK 73125. 

In the alternative, you may pay your civil penalty with a credit card, or !l bank account debit~ 

over the futemet. To pay electronically, visit the web site at https:/;\F,:>,rvv.pay.goy. Under the 

Search Public Forms option, type in "FGL-FINEI." Click on "Civil Penatty PaymentsGreat Lakes Region". You must then complete the requested information and click 

"Continue." You will then be directed to enter your credit card or bank account debit 

information. To use the bank account debit, you will need your bank routing number, account 

number, and check number. 

Delinquent debts may be reported to consumer reporting agencies or comm~rcial credit 

bureaus, which would adversely affect your credit rating. Nonpayment of this debt may 

ultimately result in a referral to a collection agency, the futemal Revenue Service, or to the 

United States Department of Justice for enforced collection. 

By: 

Cc: Mr. Michael Dworkin 

Michael L. Dworkin and Associates 

465 California St., Suite 210 

San Francisco, CA 94104 

AGL-700 

Jeffrey A. Klang 

Regional Counsel 

Kate Barber 

Attorney 

3 
• 

EXHIBIT C 

Exhibit 6 to Deposition of Paul Daniel Klimas 

FAA Case No. 2011SW700189 I DMS No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS TO COMPLAINANT'S 

MOTION FOR DECISION 
( 

( J 

( 

-.:::,... ,·· • .o: • ·,o 

U.S. Department 

Of Transportation 

Federal Aviation 

Administration 

Northwest Mountain Region 

Colorado, Idaho, Moutana 

Oregon, Utah, Washington 

Wy01ning 

1601 Lind Avenue S.W. 

Renton, Washington 98057 

Tel: ( 425) 227~2007 

Fax: (42S) 227-1007 

Ot'fie!e of Regional Counsel 

June 19, 2009 FAA Case No. 2009NM700058 

SERVED: CERTIFIED MAIL- RETURN RECEIPT REQUES1'ED 

·ro: President 

Mm1inaire Aviation, LLC 

4745 Frank Lak.e Drive 

Addison, "fX 7 5001 

ORDER ASSESSING CIVIL PENALTY 

Otl April20) 2009, Martinaire Aviation, LLC was advised through a Notice of Proposed Civil 

Penalty that the FAA proposed to assess a civil penalty in the amount of $32,400. 

After co11sideration of all the available inforn1ation, including the infbnnation Martinaire 

Aviation, LLC presented following issuance of the Notice, it has been determined that: 

1. 

2. 

3. 

4. 

5. 

6. 

Martinaire Aviation, LLC (hereafter Martii.laire) is a business entity that regularly offers, 

accepts, or transports hazardous material (HAZMAT). 

Martinaire is also an air carrier with more than six pilots. 

On or about February 3, 2009, Martinaire accepted and transported two shipn1ents tor 

transport in air com1nerce: 

One shipment was offered by BW Technologies at Honeywell of Arlington, Texas. 

This shipment was destined for Port Angeles, Washinf,'ion. 

This shipment was being transported by use of United Parcel Service tracking number 

lZ 6A5 69R 01 5763 2618. 

7. 1'his package was a declared HAZMAT and the shipping papers identified the shipment as a 

Compressed gas, n.o.s. (nitrogen hydrogen suHide), Class 2.2, UN19S6. 

8. The second shipmei'lt was offered by PML Microbio1ogicals, on <')t about February 2, 2009, at 

or near Wilsonville, Oregon. 

9. This shipm.e11t was being transported by use of United Parcel Service tracking number 

lZ 947141 01 5165 1333. 

ll3 39'VId 3~I'VINil~'VIW 175LS617EGL6 

f.~ EXHIBIT NO. __ U __ 

aS· 11'r) ~-----~-.... ___ _ Silnbelt Rtportin11 & Liliptlon Senic:c 

as:E1 l113l/13l/l1 
c 

c 

I 

~Martinaire Aviation, LLC- 2009NM700058 

June 19, 2009 

Page2 

10. This shipment was destined ibr Port Angeles, Washington. 

11. On February 3, 2009, both of the above shipments were in transit and being loaded on to 

Martinaire flight 690 at Boeing Field in Seattle, Washington. 

12. Prior to flight 690's departurej a Federal Aviatiott Administration (FAA) Haza1·dous Matelial 

Agent requested that the pilot produce the notification to pilot in command for hazardous 

materials (NOPIC) for that flight. 

13. The pilot was unable to product the NOPIC and departed for Port Townsend, Washington 

knowing that these hazardous materials were aboard. 

14. The pilot departed without the benefit of a copy of the written notification to the pilot, to 

inc1ude the· emergency response infonnation during n·a\lSport of the HAZMA T aboa1·d the · 

aircraft while in flight. 

15. The FAA Haza1·dous Matelial Agent then requested from Martinaire the NOPICs for the 

previous 90 days. 

16. The following Martinaire NOPIC documents retained at Martinaire's principal place business 

were determined to be defective: 

Date Flight# Aircraft Tail # PIC Employee# 

11/7/08 690 N1324G 4242 

12/5/08 690 Nl324G 4242 

1129/09 690 Nl324G 4242 

2/3/09 690 N1324G 4242 

2/3/09 690 Nl324G 4242 

-- .. _ 17. Specifically, each ofthe above Martinaire NOPIC documents failed to: 

a. List the hazard class, packing group, or total number of packages; 

b. confinn that no damage or leaking packages have been loaded 011 the airct·aft; 

c. coni'irm that the package must be carried only on cargo aircraft if its tra11sportation 

abol:U"d passenger~carrying aircraft is forbidden; or, 

d. indicate when applicable that a hazardous material was being carried under terms of a 

special pem1it. 

£0 39t'd 3~It'NLL~t'W t>9L96PEU6 
( 

( 

·M~rtinaire Aviation, LLC- 2009NM700058 

June 19, 2009 

Page3 

e. 

By reason of the foregoing circumstances, Martinaire violated the tollowing Departn1et1t of 

Transportation Hazardous Materials Regulatio11s (49 C.P.R.): 

a. Section l75.33(b). it that it failed to have available to its pilot-in-command ·a copy of"the 

written notification to the pilot, to include the emergency respo11se intcnmation during 

tra11Sport of the hazardous material aboard the airc..Taft while in flight. 

b. Section 175.33(c)(2), in that it failed to retain a copy of each notification of pilot-incommand for 90 days at the airport of departure or the operator's principal place of 

business. 

c. Section l75.33(c)(3), in that it failed to have the information reqttired to be retained U11der 

.. this. paragr.aph readily accessible at the airpor.t of departure and tl1e.intended-airpor.t of 

arrival tbr the duration of the flight leg. 

d. Section 175 .33(c)(4), in that it failed. to make available, upon request, to an authorized 

official of a Federal, State, or local agency at reasonable tin1es and locations, the 

documents or information required to be retained by 49 C.F .R. 17 5.33. 

NOW, THEREFORE, IT IS ORDERED, pursuant to Sectiot15123(a) ofTitle 49 ofthe United 

States Code (Transportation) [49 U.S.C. §5123(a)], Martinaire is assessed a civil penalty in the 

amount of$20,000. 

Martinaire's payment of the <.:ivil penalty pursuant to this Order does not constihlte or imply 

admissions by Martinaire that jt committed the violations found by the FAA, or that Martinaire 

agrees with the facts ave1Ted by the FAA. However, Martinajre acknowledges that this Order 

constitutes a finding by the FAA of the facts and regulatory violations contained he.rein. 

We hereby acknowledge receipt ofMartiilaire' s check in the amount of $20,000 (Check No. 

00039365, dated Jw1e 3, 2009, which we accept i11 full settlement of this matter. Martimtire may 

consider this t11atter closed. 

Regards, 

DWIGHT S. WILLIAMS 

Regio11al Counsel 

By: -~~~~~----­

cott R. Morris 

FAAAttomey 

MC/mc 

cc: Michael L. Dworkin, Esq. 

P9LS617€C:L6 
( 

(_ 

. ..,_ 

MARTINAIRE AVIATION, Ll..C. 

. $ 

DATE 

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. . OOQ39~€i~' ... • . . ! . i . . .. ~ 

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. 2(1)000~00-:. -:: .. : . ~. :- j .. 

90 39\1d 

INVOICE NO. 

NM100058 

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039365 

AEFERENOE AMOUNT PIS COUNT 

2009 20000.00 o.oo 20000.00 

, .. 

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~88 ~o 5 200 r:.n• 

3MI\1NIH:!\1W PSLS6PEGL6 
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0 

U.S. Department 

Of Tra11sportation 

Federal Aviation 

Administration 

Northwest Mountain Region 

C~lorado, Idaho, Montana 

Oregon, Utah, Washington 

Wyoming 

1601 Lind Avenue S.W. 

Re11t6n, Washington 98057 

Tel: (425) 227-2007 

Fax: (425) 227w1007 

Otlice of Regional Counsel 

Apri120, 2009 FAA Case No. 2009NM700058 

VIA REGULAR AND CERTIFIED MAIL -RET'ORN RECEIPT REQUESTED 

President 

Martinaire Aviation, LLC 

4745 Frank Luke Drive 

Addison, TX 75001 

NOTICE OF PROPOSED CIVIL PENALTY 

A report of investigation indicates that: 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

Martinaire Aviation, LLC (hereafter Martinaire) is a business entity that regulru:ly offers, 

accepts, or transports hazardous 1naterial (HAZMAT). 

Martinrure is also an air carrier with more than six pilots. 

On or about February 3, 2009, Martinaire accepted and transported two shipments for 

transport in air commerce. 

One shipment was offered by BW Technologies at Honeywell of ArlingtOll, Texas. 

This shipment was destined for Port Angele$, Washington. 

This shipment was being transported by use of United Parcel Service tracking number 

lZ 6AS 69R 01 5763 2618. 

This pacl~ge was a declared HAZMAT and the shipping papers identified the sbipme11t as a 

Compressed gas, n.o.s. (nitrogen. hydrogen sulfide), Class 2.2, UN1956. 

The second shipment was offered by PML Microbiologicals, on or about February 2, 2009, at 

or near Wilsonville, Oregon. 

This shipll'l.entwas being transported by ~LSe ofU11ited Parcel Service tracking number 

lZ 947 141 01 5165 1333. 

10. This shipment was destined for Port Angeles, Washington. 

913 39'ii'd 3~I'ii'Nil~'ii'W PSL961:>£2:L6 89!£! llBl/06/61 
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Ma:rtinaire Aviation, LLC- 2009NM70005'8 

April 20, 2009 

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11. On February 3, 2009, both of the above shipments were in transit and being loaded on to 

Martinaire flight 690 at .Boeing Field iil Seattle, Washington. 

12. Prior to flight 690's depart:ure, a Federal Aviation Administration (FAA) Hazardous Material 

Agent requested that the pilot produce the notification to pilot in command for ha~ardous 

ntaterials (NOPIC) for that flight. 

13. The pilot was unable to product the NOPIC and departed for Port Townsend. Washington 

!mowing that these haza:cdol.lS materials were aboard. 

14. The pilot departed without the be11efit of a copy of the written 11otification. to the pilot, to 

include the emergency response info1mation during transport of the HAZMAT aboard the 

aircraft while ill flight. 

15. The FAA Hazardous Material Agent then requested from Marti11aire the NOPICs for the 

previous 90 days. 

16. The following Martinaire NOPIC documents retained at Martin.aire's principal place business 

were determhted to be defective: 

Date Flight# Aircraft Tail # PIC Employee # 

1117/08 690 N1324G 4242 

12/5/08 690 Nl324G 4242 

1/29/09 690 Nl324G 4242 

2/3/09 690 Nl324G 4242 

2/3/09 690 N1324G 4242 

17. Specifically, each of the above Martinaire NO PIC documents failed to: 

a. List the hazard class, packing group. or total number of packages; 

b. confirn1 that no damage or leaking packages have been loaded on the aircraft; 

c. confirm that the package must be canied only on cargo aircraft if its transportation aboard 

passenger-cmying aircraft is forbidden; or, 

d. indicate when applicable that a hazardous material was being carried under terms of a special 

pem1it. 

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Martinaire Aviation, LLC- 2009NM700058 

April 20. 2009 

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By reason of the foregoing circumstauces, it appears that Martinaire violated the following 

Department ofTransportationHazardous Materials Regulations (49 C~F.R.): 

a. Section l75.33(a)(1)> in that it failed to provide the piiot-in-conunand with the correct 

information concerning the proper shipping name, hazard class, and identification 

number relating to the shipments descli.bed above. 

b. Section 175.33(a)(2)> in that it failed to provide the pilot-in-eommalld with the correct 

information concerning the total number of packages as requited by 49 C.F.R. 175.33(a) 

relating to the shipments described above. 

c. Section 175.33(a)(5), in that it failed to provide the pilot-in-co11.1111and with confit1nation 

that no damaged or leakiltg packages had b-een loaded 011 the aircraft. 

d. Section 175.33(a)(9), in that it failed to provide the pilot-in-command with confirmation 

that the package must be eaJ.1'ied only on cargo aircraft if its transportatiOli. aboard 

passenger-carrying aircraft is forbidden. 

e. Section 175.33(a)(10), in that it failed to provide the pilotMin.-command with an indication 

whether or not a hazardous material was being carried l.lnder terms of a special permit.. 

±: Section 175.33(b), it that it failed to have available to its pilot-in-command a copy of the 

written notification to the pilot, to include the emergency response intbrmaii.on during 

trat.1Sport of the hazardous tnaterial aboard the aircraft while in flight. 

g. Section 175.33(c)(2), in that it failed to retain a copy of each lJOtification of pilot-in~ 

command for 90 days at tlte airport of departw:e or the operatot's principal place of 

business. 

h. Section 175.33(c)(3), in that it failed to have the intbm1ation req1.lired to be retained 

under this paragraph readily accessible at the airport of departure and the intended airport 

of arrival for tl1e duration of the flight leg. 

i. Section 175.33(c)(4), in that it failed to lli.ake available, upon request, to an authorized 

official of a Federal, State, or local agency at reasonable times and locations, the 

doc1.unents or information required to be retained by 49 C.P.R. 175.33. 

In accordance with Section 5123(a) ofTitle 49 ofthe United States Code (Transportation) [49 

U.S.C. §~123(a)], Martinaire is liable for a civil penalty not to exceed $50,000 for each violation 

of the Department of Transportation Hazardous Materials Regulations. 

After reviewing our investigative file, we propose to assess a civil penalty in the amount of 

$32,400. 

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Martinaire Aviation, LLC- 2009NM700058 

Apli120,2009 

Page4 

Enclosed is information concerning Martil1aire's o-ptions in responding to this Notice. 1'he 

options include participating in an infonnal conference with an FAA attorney and s~tbn:rission of 

in±bnnation to the FAA for consideration. It may submit, in writing, its choice of the altematives 

explained on the enclosed infom1ation fonn, on or before thirty (30) days after it receives this 

Notice. If it fails to submit a choice within that time, it will have no fllrthet· right to participate in 

the two informal procedures listed above. 

DWIGHT S. WILLIAMS 

Regional Cotmse-1.-.-:-·-./,) 

BY: 

Enclosures: Infonnation Sheet/Reply FomJ!.FAR 13.16 and Subpart G of Part 13 

6{3 39'i7d 179L9617EU6 

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MARTINAIRE.._.___~~ 

February 20, 2009 

Special Agent Michael B. Talon 

Federal Aviation Administration 

Security & Hazardous Materials Division 

1601 Lind AvenueS. W., Suite 530 

Renton, W A 98057 4056 

Ref: LOI: 2009NW7000S8 

To Agent Talon; 

Martinaire Aviation, L.L.C. ("Martinaire'') acknowledges receipt of your letter of February 6, 2009, 

received by this office on February 12, 2009 regarding 1he alleged violation of Hazardous Materials 

Regulation 175.33 on February 3, 2009. 

Martinaire has reviewed your Letter of Investigation and offers the following response. This response is 

in addition to the information previously provided to you by Martinaire Chief Pilot Captain Michael 

Bates and the information provided and discussed with you during telephone conversations between 

Capt. Bates and yourself. 

Martinaire's Approved Hazardous Materials Program contains provisions and procedures that address 

the issues raised in your letter. Martinaire has the proper forms and procedures that address each 

required item under 49 CFR 175.33 and our progran.J and records been reviewed, and passed, during 

several FAA inspection field and office inspections over the past several years. 

As background, Martinaire provides a brief synopsis as to what our program consists of and the 

procedures the pilots are to follow. 

When receiving a package that contains Hazardous Material (l-IM), Martinaire requires its Pilots tocomply with all Hazardous Materials Regulations as they pertain to the specific item being carried; oot 

Approved Program, and our Training Program. The pilot is required to not only visually inspect the 

package, but to also remove, review, and place the provided NOPC form in his pocket and carry to 

destination. 

Prior to putting the provided NOPC in his pocket, the pilot takes the information from. the form and 

enters it on Ma:rtinaire Form MRA~HAZ02 Form, a copy of which is attached to this response. TI1e MRA~HAZ02 Fonn was designed to be used in addition to the NOPC provided by the shipper. The 

NOPC that is usually provided does not contain all of the required information under 49 CFR 175.33 

and therefore Martinaire, with the help and guidance of FAA Inspectors from the FAA Fort Worth 

Regional Security & Hazardous Materials Office, developed the MRA-HAZ02 Form ('~02 Form'~. 

The 02 Fonn contains blocks to record the information that 49 CFR 175.33 requires but is not on the 

shipper NOPC. That information includes RAM TI & Location, Total~ DGIHM packages on board, 

Cargo Only Aircraft, Special Permit Required, Damaged or Leaking Package Warning, General 

Information and contact number. and Captain's signature. 

1 

4745 Frank Luke Drive • Addison, Texas 75001 • 972.:..349-5700 • Fax 972-349-5750 • www.martinalre.com 

tat 39\1d 3~I\1NI1~\1W 179L96PEU6 
( Once completed, the pilot calls all of the information on the 02 Form to Martinaire Dispatch, where the 

information is recorded by the Dispatcher on Martinaire Form MRA~HAZO 1 and saved for the required 

period of time. 

In response to your initial phone call to Martina.ire, Capt. Bates conducted a thorough review of the 

incident in BFI that led to your investigation and ofMartinaire's procedures and training as tl1ey relate 

to the carriage of hazardous materials. As part of the review~ the materials, forms, and program were 

reviewed once again with an Inspector from the FAA Fort Worth Regional Secutity & Hazardous 

Materials Office. 

It is our conclusion that Martinaire •s program and fonns do comply with 49 CFR 175.33 and that all of 

the information required by 49 CFR 175.33 is accounted for in our program. 

As our intental investigation continued, it was determined that pilot in question was properly trained, 

having recently completed Recurrent Training (as shown by the included training records) and was 

aware of the ptoper way to l12ndle hazardous materials. It was also a finding ofMartinaire that the pilot 

had inadvertently used his last copy of the 02 Fonn in his possession and did not have any blank f.orms 

in which· to record the information. 

The records at the Martinaire Dispatch Office do contain the req~d information, which shows that the 

pilot at least knew what he was supposed to do. As to why the pilot did not make copies of the 02 Form 

before using the last one, or why he did not call Dispatch and request that a blank form be faxed to him; 

in our opinio~ the pilot failed to provide an acceptable answer. 

( As a result of this incident, Martinaire took the following actions: 

• sent out a reminder memo to all Martinaire pilots concerning the need and use of the 02 Fonn 

• printed additional new blank copies of the 02 Form. and sent them to the pilots 

• placed a copy of the form on our intercompany website so that it can be downloaded by the 

pilots, if needed 

• gave the BFI pilot additional remedial training in the requirements aud use of the 02 Form 

As for the three items you asked tO! in your letter, and as we discussed in our relephone call of February 

12th: 

• Item 1 bad been previously provided. 

• Item 2 is included with this response. 

• Item 3 is listed above. 

I am available to discuss the above response and can be reached a:t 972-349-5704. 

Professionally. 

:Alan 

~~~ R.usinowitz 

ExecVP&COO 

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u.s. Department 

of Transportation 

Northwest Mountain Region 

Colorado, ldal'lo, Montana, Oregon 

Utah, wash!nston, Wyoming 6: Alaska 

SECURITY a HAZARDOUS MATERIALS DIVISION 

1601 Und Avenue s.w., Sulte 530 

Renton, Washington 98057·4056 

Federal AViation 

Administration 

T01: (425) 227•270Q 

Fax: (425) OZ27·1700 

CERTIFIED' MAIL- RETURN RECEIPT REQUESTED 

Mr. Mitch Acker 

P1·esident!CEO 

Martinaire Aviation, LLC 

4745 Frank L~e Drive 

Addison, TX 75001 

Dear Mr. Acker: 

Letter of Investigation 

File Number: 2009NM700058 · 

February 6, 2009 

The United States Department of Transpol'tation (USDOT)/Federal Aviation Administration 

(FAA) is conducting an investigation concerning the apparent failure ofMartinaire Aviation, 

LLC (MT9A) to comply with Title 49, Code of Federal Regulations (49 CFR), Section 

175.33, Shipping paper and notification ofpilotpin·comtrtand. 

On February 3, 2009, prior to departure of flight 690, in Seattle, WA, King County 

International Airport/Boeing Field (BFI), MT9A, pilot, Mr. Lance Thompson, co1.tld not 

provide a notification to pilot in command for hazardous materials. FAA Inspector did 

confirn1 that hazardous materials were loaded onboard flight 690. 

As part of the inspection we requested copies of notifications to pilot in command for the 

previous 90 days from BFI. Listed below are details from the 90 day file records (Martinaire 

NOPC Information Form) obtained from dispatch and provided by MT9A Chief Pilot, Mr. 

Mike Bates. Th~se forms f~il to meet some ofthe requiremetlts of49 CPR 175.33: 

1. Martinaire 

Date: 11/07/08 

Flight#: 690 

AIC Tail #: 1324G 

PlC EMPL #: 4242 

Acct # ftom NOPC: E29524 

Emergency Contact# fTonl NOPC: (800) 424y9300 

Reference# f'rom NOPC: 1ZE29S24016284l164 

Description: Corrosive Liquid. Aliphatic Amines, UN2735 

Quantity: 5 Liters, POD D 

Dispatcher: Unknown 

lt 39'i1d 3~I'i1NIH:I'i1W PSL96PEZL6 
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2. Martinaii'e 

Date: 12/05 

Flight #: 690 

AJC Tail #: 1324G 

PIC EMPL #: 4242 

e ! . 

Acct # from NOPC: 629 654 

Emergency Contact# from NOPC: 800 424-930 

Reference # f'rom NOPC: 982152 35276 

Description: UN1282 

Quantity: 1 00 rnl, Zone 4 

Dispatcher: Unknown 

3. Martina ire 

Date: 1/29/09 

Flight#:690 

A/C Tail #: 1 ~24G 

PIC EMPL #: 4242 

Acct # from NOPC: 6AS69R 

Emergency Contact# from NOPC: 800-424-9300 

Reference # il:om NOPC: 184208 

Description: UN1956, nitrogen hydrogen sulfide 

Quantity: 1 box .037 kg, Zone 5 

Dispatcher: Joe 

4. Martinaire 

Date: 2/3/09 

Flight#: 690 

AJC Tail #: 13240 

PIC EMPL #: 4242 

Acct #from NOPC: 947141 

Emergency Contact# from NOPC: 800-424-9300 

Reference# from NOPC: 12874 

Description: Ethanol solution, UN1170 

Quantity: 1 box 30 ml, Pod D 

Dispatcher: Joe Phillips 

Et 39\:td 3~I\1N!l~\1W P5L56P8GL6 as:Et lt0G/0Z/lt 
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5. Martinaire 

Date: 2/3/09 

Flight #: 690 

NC Tail#: 1324G 

PIC EMPL #: 4242 

Acct # from NOPC: 6A569R 

Emergency Contact# from NOPC: 800424-9300 

Reterence #from NOPC: 184208A 

Description: UN 1956, nitrogen hydrogen sulfide 

Quantity: 0.037 kg, 1 box:> Pod C 

Dispatcher: Joe Phillips 

Bach of the records above failed to list the hazard class, packing group, total number of 

packages, confirmation that no damage or leaking packages have been loaded on the aircraft, 

confmnation that the package must be can·ied only on cargo aircraft if its transportation 

aboard passenger-carrying aircraft is forbidden, an indication when applicable that a 

hazardous ·material is being carried u11der terms of a special permit. 

You are being provided an opportunity to review the events associated with this allegation, 

and furnish any information or material you deem relevant to the investigation. Your 

response should include: 

1. Hazardous materials training records for all employees involved with the acceptance. 

rejection, handling and loading of hazardous materials at your BFI station, 

2. Hazardous materials training record for MT9A Pilot> Mr. Lance Thompson. 

3. A description of proposed actions to prevent similar incidents in the future . 

. Please be advised, the allegation contained herein does not necessarily include all 

deficiencies that m.ay be subsequently discovered d\1ring the course of this investigation. 

Your response, if any, is needed within 10 business days after receipt of this letter and may 

be sent to. my attention at the letterhead address. 

If we do not receive a written respo11Se within the 10-day time period, we must concl\lde this 

investigation without the benefit of your statement. If you have any questions regarding this 

matter, please feel free to contact me at (425) 227-2724. 

Sincerely, 

Michael B. Talon 

Special Agent 

Seattle Offiee 

Security and Hazardous Materials 

Pt 39t'd 3~H1N!l~'i1W P9L96PElL6 
• • 

EXHIBIT D 

Deposition of Michael Bates 

FAA Case No. 2011 SW700189 I DMS No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS TO COMPLAINANT'S 

MOTION FOR DECISION 
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FEDERAL AVIATION • ADMINISTRATION v. MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

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U.S DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE HEARINGS 

WASHINGTON, DC 

In the Matter of: I FAA DOCKET No. FAA-2013-0040 

Martinaire Aviation LLC ) FAA CASE No. 2011SW700189 

) (Civil Penalty Action) 

Respondent 

******************************************************** ORAL DEPOSITION OF 

MICHAEL BATES 

MAY 16, 2013 

************************************'******************** 

ORAL DEPOSITION OF MICHAEL BATES, produced as a 

witness at the instance of the FAA, and duly sworn, was 

taken in the above-styled and numbered cause on May 16, 

2013, from 9:04a.m. to 10:59 a.m., before Kristin 

McDowell, CSR in and for the State of Texas, reported by 

machine shorthand, at the offices of FEDERAL AVIATION 

ADMINISTRATION, 2601 Meacham Boulevard, Fort Worth, 

Texas 76137 pursuant to the Federal Rules of Civil 

Procedure. 

APPEARANCES 

Mr. James Archier 

FEDERAL AVIATION ADMINISTRATION 

Office of Regional Counsel 

Southwest Region 

2601 Meacham Boulevard 

Fort Worth, Texas 76137-4298 

Phone: (817) 222-5099 

Fax: (817) 222-5945 

JAMES.ARCHIER@F AA.GOV 

COUNSEL FOR FEDERAL AVIATION ADMINISTRATION 

-andMs. Becky Holms 

FEDERAL AVIATION ADMINISTRATION 

Office of Regional Counsel 

Southwest Region 

260 I Meacham Boulevard 

Fort Worth, Texas 76137-4298 

Phone: (817) 222-5099 

Fax: (817) 222-5945 

COUNSEL FOR FEDERAL AVIATION ADMINISTRATION 

Mr. Michael L. Dworkin 

MICHAEL L. DWORKIN & ASSOCIATES 

465 California Street 

Suite 210 

San Francisco, California 94104 

Phone: (415) 421-2500 

Fax: (415)421-2560 

E-MAIL: LA W@A VIALEX.COM 

COUNSEL FOR MARTINAIRE 

Also Present: Mr. Alan Rusinowitz 

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INDEX 

PAGE 

APPEARANCES ............... . 2 

WITNESS 

MICHAEL BATES 

DIRECT EXAMINATION BY MR. ARCHIER.. . 4 

Signature and Corrections . . . . . . . . 71 

Reporter's Certificate. . . . . . . . . . 73 

EXHIBITS 

NO. Description PAGE 

:MB-1 Notice. . . . . . . . . . . . . . . . . . 04 

:MB-2 Complaint . . . . . . . . . . . . . . . . 24 

:MB-3 Answer to Complaint ........... 25 

:MB-4 NOPC Training Record. . . . . . . . . . . 35 

:MB-5 NOPC Document .............. 41 

:MB-6 NOPC Document . . . . . . . . . . . . . . 45 

:MB-7 NOPC Document .............. 46 

:MB-8 NOPC Document. . . . . . . . . . . . . . 47 

:MB-9 NOPC Document . . . . . . . . . . . . . . 49 

:MB-10 NOPC Document .............. 51 

:MB-11 NOPC Document . . . . . . . . . . . . . . 53 

:MB-12 NOPC Document .............. 54 

:MB-13 NOPC Document . . . . . . . . . . . . . . 55 

:MB-14 NOPC Document ..... , . . . . . . . . 56 

:MB-15 NOPC Document . . . . . . . . . . . . . . 58 

:MB-16 NOPC Document. ............. 59 

:MB-17 E-mail. . . . . . . . . . . . . . . . . . 67 

PROCEEDINGS 

(Oath administered.) 

MICHAEL BATES, 

having been first duly sworn, testifies as follows: 

EXAMINATION 

BY MR. ARCHIER: 

Q. Good morning, Mr. Bates. How are you today? 

A. Fine, sir. 

Q. Thank you for coming. My name is James Archier. 

I'm the attorney who will be taking your deposition 

today. The other attorney in the room is Ms. Becky 

Holms. 

A. Okay. 

MR. ARCHIER: Ms. Court Reporter, would you 

please mark this as MB-1 for identification. 

(Exhibit No. MB-1 marked.) 

MR. ARCHIER: And, Mr. Dworkin, I believe I 

gave you a notice yesterday. Do you still have that 

notice? 

MR. DWORKIN: Yes, I do. 

MR. ARCHIER: All right. 

4 

Q. (BY MR. ARCHIER) Mr. Bates, I'm showing you what 

is marked as MB-1 for identification. Have you seen 

this notice of deposition before? 

A. No,sir. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f-f69f-4a12-82df-6176b061 e598 
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FEDERAL AVIATION • ADMINISTRATION v. MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

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Q. Okay. Your Honor-- I mean. Thank you very 

much. 

MR. DWORKIN: Counsel, if it would expedite 

things, we can stipulate that the exhibits from the --

MR. ARCHIER: It won't. 

MR. DWORKIN: Okay. 

MR. ARCHIER: Okay. 

MR. DWORKIN: Okay. 

MR. ARCHIER: All right. But I appreciate 

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that. It won't. 1 0 

Q. (BY MR. ARCHIER) How long have you been employed 11 

with Martinaire? 

A. Since May of 1999. 

Q. Okay. And prior to May of 1999, where were you 

employed? 

A. I was a flight instructor in Oklahoma. 

Q. Okay. What was the name of that company? 

A. It was just me teaching people at the airport. 

Mike Bates teaching people, not a company. 

Q. So you were like a private instructor? 

A. Yes. 

Q. Okay. And how long were you doing that 

instruction? 

A. About a year. 

Q. About a year? Okay. 

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Were you working at a company prior to that? 1 

A. Yes. It was a construction company. I was a 2 

corporate pilot. 3 

Q. What was the name of that company? 4 

A. Okemah Construction. 5 

Q. Can you spell that for me. 6 

A. 0-K-E-M-A-H, Construction. 7 

Q. And your title what was again? 8 

A. Corporate pilot. 9 

Q. What years were you there? 1 o 

A. January '98 till February '99. 11 

Q. Describe your duties to me there, please. 12 

A. At Okemah Construction? 13 

Q. Yes, please. 14 

A. Preflight the airplane, show up one hour prior 15 

to - or two hours prior to scheduled departure time, 16 

preflight get the passengers on board, transport them 1 7 

from A to B. 1 8 

Q. Okay. 19 

A. Spend the day with them, fly them home. 2 0 

Q. Okay. There's some preliminary matters, Mr. 21 

Bates, that I should have gone through prior to starting 2 2 

this deposition. I'm going to back up, and then I'm 2 3 

going to go back to your -- these preliminary matters. 2 4 

And I apologize for getting jump started without going 2 5 

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through these preliminary matters. 

This deposition is taken pursuant to notice and 

in accordance with the Federal Rules of Civil Procedure. 

During the course of the deposition, if you'd answer out 

loud, no nods or shakes of the head, I'd appreciate 

that. Do we understand that? 

A. Yes, sir. 

Q. Okay. Ifl ask you a question that you don't 

understand, ask me to repeat it or rephrase it, and I 

will do so. Do you understand that? 

A. Yes, sir. 

Q. Okay. If you need a break, let me know or your 

counsel know, and we will work that out so you can have 

a break. Understand? 

A. Yes, sir. 

Q. Okay. We have water here if you need water. If 

you need to take any other kind of break, we can take 

that, okay? 

A. Yes, sir. 

Q. All right. Is there anything about your 

physical, emotional, or mental condition that will not 

allow you to understand my questions today? 

A. No, sir. 

Q. If that changes, will you promise to tell me? 

A. Yes, sir. 

Q. Okay. Is there anything about your physical, 

emotional, or mental condition that will not allow you 

8 

to give full and complete answers to my questions today? 

A. No, sir. 

Q. If that changes, will you promise to tell me? 

A. Yes, sir. 

Q. Okay. Are you on any medications that will make 

it difficult for you to understand my questions today? 

A. No, sir. 

Q. Are you sick today? 

A. No,sir. 

Q. Okay. Are you currently under doctor's care? 

A. No, sir. 

Q. Okay. Any alcohol within the last eight hours? 

A. No, sir. 

Q. Okay. Is there any other reason you think --

that you can think of as to why you won't be able to 

answer my questions fully and truthfully? 

A. No, sir. 

Q. Okay. Now, I want to go back to Okemah 

Construction. 

A. Yes, sir. 

Q. You worked, you said, as a corporate pilot? 

A. Yes. 

Q. Okay. And you worked there from approximately 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f-f69f-4a12-82df-6176b061 e598 
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FEDERAL AVIATION • ADMINISTRATION v. MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

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1998 until what date? 1 A. In Dietzenbach, Germany. 

A. February 1999. 2 Q. Were you born in Germany? 

Q. Okay. And just tell me a little bit about your 3 A. Yes, sir. 

duties as a cotporate pilot there. 4 Q. Where at? 

A. I'd have to check the weather, preflight the 5 A. Heilbronn. It's south central. 

aircraft. 6 Q. South central? What's a major city near there? 

Q. When you say preflight the aircraft -- 7 A. Stuttgart. 

A. I'd inspect it. 8 Q. And you came to the U.S. during what year? 

Q. Okay. 9 A. 1987. 

A. For airworthiness, make sure it's safe to fly, 10 Q. 1987? 

fueled, cleaned, and then fly the passengers. 11 A. Yes, sir. 

Q. Okay. And what type of flying routes were you 12 Q. From 1995 to 1998 were you employed or ... ? 

doing? 13 A. Flight instructing. 

A. Nationwide. 14 Q. Okay. Where was that at? 

Q. Nationwide? 15 A. Oklahoma City and McAlester. 

A. Yes,sir. 16 Q. And was that for any particular organization? 

Q. And were you just flying the employees around or 17 A. Freelance. 

cotporate executives? 18 Q. Freelance? And when you freelanced, who would 

A. Corporate executives. 19 you do -- who would you be freelancing for? 

Q. Okay. Prior to being at that company, where were 20 A. Local people that live near there -- in that town 

you at, sir? 21 that want to learn bow to fly. 

A. I was in the Air Force. 22 Q. Where did you learn how to fly? 

Q. In the Air Force? 23 A. In Blytheville, Arkansas. 

A. Yes, sir. 24 Q. Under what school? 

Q. And what was your rank in the Air Force? 25 A. Freelance. 

10 12 

A. Staff sergeant. 1 Q. Freelance? 

Q. And what years were you in the Air Force? 2 A. Yes, sir. 

A. 1987 to 1995. 3 Q. And during what period was that that you learned 

Q. Prior to the Air Force, were you in school or did 4 how to fly? 

you ... ? 5 A. Spring of1989. 

A. Yes, sir. 6 Q. In any of your previous jobs, did you have to 

Q. Okay. Tell me about your educational background 7 deal with hazmat? 

and ... 8 A. No,sir. 

A. Took college in Germany. 9 Q. Now, I want to go back. You said you started 

Q. You did -- from what years were you in college? 10 with Martinaire in 1999, correct? 

A. Four years back from 1987. 11 A. Yes, sir. 

Q. So what was the name of the school you attended? 12 Q. All tight. What was your first job with 

A. It's a German name. It's Heinrich and then Mann, 13 Martinaire? 

M-A-N-N, Schule, school. 14 A. Caravan pilot. 

Q. Where is that located at? 15 Q. Okay. When you say Caravan pilot, what do you 

A. In Dietzen bach, Germany. 16 mean by that? 

Q. What's that near? 17 A. Cessna 208 Caravan. 

A. Frankfurt, Germany. 18 Q. Okay. And did you-- how long were you in that 

Q. What was your area of study? 19 role as a Caravan pilot? 

A. Foreign languages. 20 A. Until April 2000. 

Q. Foreign language. Do you speak German? 21 Q. What position did you assume next? 

A. I speak German and French. 22 A. Metro captain. 

Q. Prior to that, were you in high school or ... ? 23 Q. What does that mean? 

A. Yes, sir. 24 A. Different type airplane. 

Q. Okay. Where was that located? 25 Q. Okay. What kind of aitplane --is that the name 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f-f69f-4a12-82df-6176b061 e598 
( 

( 

FEDERAL AVIATION • ADMINISTRATION v. MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

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of the airplane? 1 A. - check airman. 

A. Metroliner, yes. 2 Q. Okay. And when you say -- tell me about your 

Q. Metroliner? Okay. How does that differ from the 3 duties just as a pilot. 

Caravan? 4 A. Come to work one hour prior to departure, check 

A. It has two engines, it's faster, it carries more. 5 the weather, inspect your aircraft, make sure it's safe 

Q. It carries more? 6 to fly, report that to dispatch that you're ready to go. 

A. Yes, sir. 7 The UPS truck will show up, load up the airplane with 

Q. Okay. Were you flying basically the same 8 cargo, and then depart. 

territory? 9 Q. Okay. And you also said you did work as a check 

A. No, sir. 10 airman? 

Q. Okay. When you were flying the Caravan, what 11 A. Yes, sir. 

territory were you flying? 12 Q. Okay. Now, tell me what that entails. 

A. Oklahoma. 13 A. You check the proficiency of other pilots to make 

Q. Just Oklahoma? 14 sure their six-month and one-year checks are 

A. And Texas. 15 satisfactory. 

Q. Oklahoma and Texas. When you were flying the 16 Q. Does that mean their currency to fly? 

Metro, what area were you flying? 17 A. Yes, sir. 

A. New Orleans, Louisiana, up to Cincinnati -- 18 Q. Okay. And in 2003 you became the chief pilot? 

Kentucky. The airport's in Kentucky. It's called 19 A. Yes, sir. 

Cincinnati. 20 Q. Tell me about the duties, your duties as a chief 

Q. And you operated as -- the Metro from up until 21 pilot. 

what time? What was the last date? 22 A. Basically make sure that the other pilots that 

A. November 2000. 23 I'm supervising are safe, legal, and I use the General 

Q. After that what did you do? 24 Ops Manual as guidance as my job description's listed in 

A. I came to Dallas. With Martinaire came to Dallas 25 there, and I report to director of operations. 

14 16 

to fly the Metro. 1 Q. Who is the director of operations? 

Q. Okay. And you flew the Metro in Dallas, and that 2 A. Mr. Rusinowitz. 

territory would've included what? 3 Q. Okay. How many people report to you? 

A. Oklahoma, Texas. Sometimes further, but I can't 4 A. Usually about 45 people. 

remember where those were. 5 Q. Forty-five people? 

Q. Okay. And you flew the Metro in the Dallas area 6 A. Yes, sir. 

for how long? 7 Q. Okay. Forty-five people that report to you, are 

A. Until November 2001. 8 they all pilots? 

Q. After 2001 what did you do? 9 A. Yes, sir. 

A. Caravan again. 10 Q. And what areas do those pilots fly? 

Q. Caravan. Same territory? 11 A. Nationwide, sir. 

A. Yes, sir. 12 Q. Okay. Do you-- would you be able to describe 

Q. Okay. So from 2001 how many years did you fly 13 the territories that they fly? 

the Caravan? 14 A. Yes. 

A. I still do, sir. 15 Q. Could you tell me that, please? 

Q. Okay. But during that period of time from 1999, 16 A. Should I go by states? 

did you progress up the ladder in terms of your title? 17 Q. If you could. Whichever is easier for you. 

I mean your first job-- I presume, when you came in in 18 A. North Dakota, South Dakota, Pennsylvania, Texas, 

1999 you didn't come in as the chief pilot? 19 Arkansas, Oklahoma, California, Oregon, Washington, 

A. Correct. 20 Michigan. I think that's it. 

Q. When did you become chief pilot? 21 Q. Okay. Is Martinaire a cargo operator only? 

A. 2003. 22 A. Yes, sir. 

Q. And prior to 2003 you were just a pilot? 23 Q. Okay. Are you the largest cargo operator in the 

A. And a check airman. 24 country? 

Q. And a-- 25 A. No,sir. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f-f69f-4a12-82df-6176b061 e598 
( 

FEDERAL AVIATION • ADMINISTRATION v. MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

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Q. Okay. Are you the largest feeder cargo operator 1 

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A. No, sir. 3 

Q. What-- how do you rank in tenns of size? 4 

A. Medium size. 5 

Q. Medium, okay. 6 

Now, how many aircraft does Martinaire have? 7 

A. I don't know for sure. 8 

Q. Okay. What type of aircraft do they have? 9 

A. Caravans, Cessna 208. 1 o 

Q. Cessna 208s? 11 

A. And the Beechcraft 1900. 12 

Q. Okay. How much does a Cessna cost approximately? 13 

MR. DWORKIN: You mean Cessna 208? 14 

MR. ARCillER: Cessna 208. 15 

MR. DWORKIN: If you know. 16 

A. I don't know. 17 

Q. (BY MR. ARCHIER) You don't? 18 

A. It's too variable. 19 

Q. Why is it variable? 2 o 

A. New they cost more than used. 21 

Q. Okay. Do you have any idea about the cost of a 2 2 

Beechcraft? 2 3 

A. No,sir. 

Q. Okay. As chief pilot what's your salary per 

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year? 1 

MR DWORKIN: Objection. It's not relevant. 2 

Q. (BY MR. ARCHIER) You may answer. 3 

A. I'd have to go look at my pay statement. 4 

Q. Roughly? 5 

A. Sixty. 6 

Q. Sixty, okay. And the pilots that fly the routes, 7 

generally how much do they earn? 8 

A. Depends on how long they've been with the 9 

company. 10 

Q. Okay. Can you tell me in more detail about your 11 

duties as chief pilot, please. 12 

A. Recruit new pilots. I train them, with help from 13 

other people. Someone-- you know, make sure they come 14 

to work on time, make sure they're in uniform, and make 15 

sure they follow the right FAR's, make sure they 16 

basically do their job. And I report to my boss if 17 

there's something I need approvarfor. Well, 18 

management-- I guess supervisor. Supervise other 

people. 

Q. Anything else? 

A. No, sir. 

Q. Okay. With regard to training, I just want to 

focus on that for a moment. What type of training are 

you involved with with Martinaire? 

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A. Flight training. 

Q. Flight training? 

A. Yes,sir. 

Q. And what does that entail, flight training? 

A. Regulations, airman information manual, aircraft, 

performance, navigation, weather. 

Q. Okay. And do you train the new pilots when they 

come through the door? 

A. Specifically for the company, yes. 

Q. Okay. Do you do any hazmat training? 

A. Yes,sir. 

Q. Okay. Tell me about the hazmat training that you 

do. 

A. We have a hazmat training program. 

Q. Okay. 

A. And we follow that program. 

Q. Okay. Tell me about that program, please. 

19 

A. Well, it's in our General Ops Manual. It's a 

FAA-approved program. We have certain requirements that 

we have to follow for X amount of hours training. 

Q. Who do you administer that training to? 

A. Everybody, all the pilots. 

Q. All the pilots. Okay. And is it recognition 

training for hazmat? 

A. Yes, sir. 

Q. Okay. Is it any awareness training? 

A. Yes,sir. 

Q. Okay. Is it safety hazmat training? 

A. Yes,sir. 

Q. Okay. Is there any other area ofhazmat training 

that I missed? 

A. No,sir. 

Q. Okay. Do you also train the people in dispatch 

regarding hazmat? 

A. Yes, sir. 

Q. Tell me about that training. Is that the same 

training that you administer to the pilots? 

A. It's almost identical, but because of their 

function, the difference that they have to record the 

information coming from pilots, it's -it's that plus 

20 

the specific how to do it. How to record it and what to 

do with the forms once they've been recorded. 

Q. And once they record it, what do they do with the 

forms? 

A. They store them in a binder. 

Q. Okay. And where is that binder kept? 

A. In dispatch. 

Q. Is there a person responsible for maintaining 

that binder? 

A. Yes. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f-f69f-4a12-82df-6176b061 e598 
( 

FEDERAL AVIATION • ADMINISTRATION v. MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

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Q. Who is that? 

A. Myself. 

Q. Okay. And in that binder, would that be where 

all the Notification of Pilot-in-Command forms are? 

A. Yes,sir. 

Q. And you put notification of pilot-- notification 

of pilot information forms in there on a daily basis? 

A. Yes, sir. 

Q. If there are mistakes on that form, how do you 

determine whether the pilot made the mistake or dispatch 

made the mistake? 

A. If I find a mistake, I have to go research where 

it came from, where the mistake came from. It could be 

a typo, but it's caught at the dispatcher's level. So 

it depends on the case. 

Q. Okay. You say you have to research it. Give me 

an example of the type of research you would do. 

A. Look in the A.I.R. Shipper's regulation book, 

there's a table that shows chemical names and UN IDs and 

see ifthey match or if this was simply a six that looks 

like a G, for example. I can find that pretty quickly 

by going to the person who may have written it down. If 

they don't know, look in the book. 

Q. Okay. And if you find a mistake, are corrections 

done at that time? 

22 

A. Yes, sir. 

Q. Okay. Do you-- so you conduct the audit, then, 

of that book on those NOPC forms? 

A. Yes, sir. 

Q. And you conduct that audit on a daily basis? 

A. Yes, sir. 

Q. When you find mistakes, when do you determine 

additional training that's necessary? 

A. Sometimes it's not required because the mistake 

wasn't made because of a training deficiency. 

Q. What would the mistake be? 

A. A number written down, like, not very neat or 

transpose a number, then you would tell the person say, 

Look, make sure you're more accurate. 

Q. Okay. 

A. The only kind of mistake that I can think of. 

Q. Okay. Are you familiar with the allegations in 

the FAA's lawsuit against Martinaire? 

A. Yes. 

Q. Okay. Tell me about your familiarity. 

A. We had some notification pilot command forms that 

were - that were incorrect. 

Q. Okay. Anything else? 

A. No,sir. 

Q. Okay. So you basically, how did you gain that 

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knowledge about -- from the inspection or ... ? 

A. Yes, sir. From the inspection. 

Q. Okay. How did you gain knowledge about the 

complaint itself? 

A. Through my supervisor. 

Q. Through your supervisor. Okay. What did he say 

to you about that? 

A. That we have to make changes. 

Q. Okay. And what kind of changes was he talking 

about? 

A. Quality assurance, double-checking. 

Q. Did you make those changes? 

A. Yes, sir. 

Q. Tell me about those changes. 

A. We redesigned the NOPC form itself. 

Q. Okay. When was that done? 

A. On the spot, immediately. 

Q. Immediately. 

A. Yes,sir. 

Q. Okay. 

A. The day ofthat inspection. 

Q. What changes were done to that form? 

23 

A. It was made easier to read, easier to understand, 

with emphasis on the materials. 

Q. And when you say the materials, you mean the 

hazard--

A. The hazmats, yes. 

Q. Has that seemed to help? 

A. Yes, sir. 

Q. Okay. What other type of changes did you make? 

A. The auditing process became more thorough. 

Q. Tell me about the auditing process. 

A. Myself and my assistant were the only two people 

that audit them daily. 

Q. Okay. Your assistant would be Mr. Cory Smith? 

A. Yes, sir. 

Q. And do both of you look at them individually? 

A. Depends. If we're both there, yes. Like today 

he's doing it; and I'm here, so I'm not doing it. 

Q. I understand. 

Were there any other changes that were made? 

A. No, sir. 

Q. Okay. 

MR. ARCHIER: Would you mark this as MB-2, 

please. 

(Exhibit No. MB-2 marked.) 

24 

Q. (BY MR. ARCHIER) Mr. Bates, I'm showing you the 

complaint that was filed in this action against 

Martinaire. Have you ever seen this complaint before? 

A. I don't know. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f-f69f-4a12-82df-6176b061 e598 
FEDERAL AVIATION • ADMINISTRATION v. MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

7 (Pages 25 to 28) 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f-f69f-4a12-82df-6176b061 e598 
c 

( 

~.. .. 

FEDERAL AVIATION • ADMINISTRATION v. MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

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A. I don't remember each pilot. 

Q. Okay. So was that individual, one on one? 

A. Yes, sir. 

Q. So you wouldn't have just shown all the pilots 

another PowerPoint presentation on hazmat? 

A. Well, they all received in-house training. 

Q. Okay. 

A. But the individuals was done on top of that. 

Q. Okay. So you sat down with each individual 

pilot, and you talked to them about the seriousness of 

this matter? 

A. Yes. Now, not in person. On the phone. 

Q. On the phone? 

A. Yes, sir. 

Q. Okay. And how long would that conversation last? 

A. Depends. I don't recall. 

Q. And what type of things would you go into when 

you talked to each pilot? 

A. The Arizona NOPC would be discussed. 

Q. Okay. Roman numeral two I, "Counseled all flight 

department and dispatch personnel in the interest of 

preventing recurrence." 

When we say flight department, who are we talking 

about? 

A. Pilots and dispatchers. 

30 

Q. Pilots and dispatchers? Okay. Did you sit down 

one on one and talk to all the dispatchers? 

A. Yes, sir. 

Q. How many dispatchers are we talking about? 

A. It varies. Sometimes there's four, sometimes 

there's five. 

Q. Okay. And when you say it varies, are we talking 

about at any given time in the dispatch office, there 

would be maybe four or five? 

A. Like, at the time, I don't know how many we had 

on staff. 

Q. Okay. How many dispatchers do you have on staff 

now? 

A. I don't know the actual count. 

Q. Okay. Is there only one dispatch office? 

A. Yes. 

Q. Okay. And that dispatch office is -- operates 

out of Addison; is that correct? 

A. Yes. 

Q. Okay. So the pilots, no matter what states 

they're flying into, they're going to call the dispatch 

office in Addison? 

A. Yes. 

Q. And then the dispatch office in Addison is going 

to write down the information on the NOPC form--

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A. Yes. 

Q. -- to dispatchers. Okay. 

And what's the name of the head dispatch person? 

Is there a manager? 

A. Now? 

Q. Who--

A. Jennifer Moore. 

31 

Q. Okay. When you say "now," I presume there wasn't 

a manager before? 

A. There was a manager before. 

Q. Okay. Who was that? 

A. That was Jermaine Peacher. 

Q. Okay. Did Jermaine -- can you spell that? 

A. No,sir. 

Q. Okay. You don't know how to spell the last name? 

A. No,sir. 

Q. Okay. When did Jermaine leave? 

A. I don't remember. 

Q. Was it recently? 

A. No,sir. 

Q. Okay. And the person who's heading the dispatch 

office now, her name again? 

A. That's Ms. Moore. 

Q. Is that Jennifer Moore? 

A. Yes, sir. 

Q. Take a look at Roman numeral triple I. 

32 

You "revised its hazmat training program to specifically 

address any problems and ensure future compliance." 

Did you make revisions in the written training 

program document? 

A. Yes. 

Q. Okay. What were those changes that were made? 

A. The notification pilot command form change. It 

changed the training program also. 

Q. And you just reincorporated that--

A. Yes,sir. 

Q. -- into that? 

~y other changes to the hazmat training program? 

A. No, sir. 

Q. Okay. Take a look at Roman numeral four I, 

little four I, "Revised the NOPIC form to make it more 

user friendly." 

I believe we've discussed that; is that correct? 

A. Yes,sir. 

Q. Five, "Provided its personnel with additional 

hazmat training so as to prevent recurrence of such 

incidents including: Hazardous material recognition, 

acceptance and transport of dangerous goods, proper 

completion and [sic] revised NOPC form." 

And the personnel refers to both the dispatch and 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f-f69f-4a12-82df-6176b061 e598 
Deposition 

FEDERAL 

of: MICHAEL 

AVIATION 

BATES 

ADMINISTRATION v. MARTINAIRE • 5/16/2013 

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the pilots? 1 A. No, sir. 

A. Yes,sir. 2 Q. Okay. 

Q. Okay. Roman number six, "Implemented a program 3 (Exhibit No. MB-4 marked.) 

of daily audits of all NO PIC's which have since shown 4 Q. (BY MR. ARCHIER) Mr. Bates, I'm showing you what 

that compliance has been achieved." 5 is marked as MB-4 for identification. Why don't you 

And that's Mr. Bates and Cory Smith that do that? 6 take a look at it, the first page. Just look at the 

A. Yes, sir. 7 first page, and then when you're finished looking at the 

Q. Take a look at Affirmative Defense Number 7. And 8 first page, let me know. 

I just want to focus on it. I want to go through this 9 A. (Witness complies.) Yes, sir. 

paragraph Roman numeral by Roman numeral. The first one 10 Q. Okay. Is that your signature, 

says -- you see in that Roman numeral one? 11 manager/instructor, at the bottom? 

A. Yes. 12 A. No,sir. 

Q. If you can read that to yourself, it says, 13 Q. Whose signature is that? 

"Complainant's case is devoid of any sense of 14 A. I don't know, sir. 

proportion." Do you know what that means? 15 Q. Okay. Is -- do you know Jermaine Peacher? 

A. No,sir. 16 A. Yes, sir. 

MR. DWORKIN: I'm going to object. These 17 Q. Is Jermaine Peacher still employed with 

are legal pleadings. I authored them. I did not seek 18 Martinaire? 

Mr. Bates' approval or consent when I drafted them. 19 A. No,sir. 

This is --you know, these are basically legal 20 Q. Okay. Do you know when Mr. Peacher left? 

arguments. 21 A. No, sir. 

MR. ARCHIER: And I understand your 22 Q. If you can, speak a little louder, sir. 

objection. 23 A. Yes, sir. 

Q. (BY MR. ARCHIER) You may answer. 24 Q. Would you like any water? 

A. Can you repeat the question. 25 A. No, sir. 

34 36 

Q. Do you understand Roman numeral number one? 1 Q. Okay. Do you know Kyra Davis? 

A. No,sir. 2 A. Yes, sir. 

Q. Okay. Take a look at Roman numeral number two, 3 Q. Is she still employed with --

"During the period of time covered by complaint, 4 A. No, sir. 

Martinaire carried some 500 to 600 shipments all without 5 Q. Do you know when she left the employment? 

incident." Do you know whether that's true or not? 6 A. No, sir. 

A. No,sir. 7 Q. Do you know Talena Penn? 

Q. Okay. Take a look at Roman numeral number three. 8 A. Yes, sir. 

"The NO PIC's examined by the FAA inspection team on July 9 Q. Is she still employed with Martinaire? 

8, 2011, which gives rise to this case covered a period 10 A. Yes, sir. 

of90 days. The total number ofNOPIC's examined by the 11 Q. Is she located in the dispatch office -- in 

FAA was 500 to 600." 12 Addison, correct? 

Do you know whether that's true or not, that 13 A. Yes, sir. 

statement? 14 Q. Okay. Is she -- and I presume she works as a 

A. No,sir. 15 dispatcher, correct? 

Q. Okay. "Of this total number, only 12 were 16 A. Yes, sir. 

observed to have any discrepancies." Do you know 17 Q. Does she work rotating shifts? 

whether that's true? 18 A. I don't know, sir. 

A. No,sir. 19 Q. Okay. Do you know Matthew Gunter? 

Q. Okay. If you could speak a little louder, I'd 20 A. Yes, sir. 

appreciate it, Mr. Bates. 21 Q. Does Matthew Gunter still work with Martinaire? 

Take a look at Roman numeral number four. 22 A. Yes, sir. 

A. Yes, sir. 23 Q. Do you know Isaac -- well, I know how to 

Q. Do you know whether Martinaire has less than a 24 pronounce his name: Rusinowitz. Do you know 

hundred employees? 25 Mr. Rusinowitz? 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f-f69f-4a12-82df-6176b061 e598 
( 

FEDERAL A~ATION ADMINISTRATION 

Deposition of: MICHAEL BATES 

v. AINAIRE 

5/16/2013 

10 (Pages 37 to 40) 

37 39 

1 A. Yes, sir. 1 

2 Q. And I presume Mr. Rusinowitz still works with... 2 

3 A. I don't know for sure. 3 

4 Q. You don't know for sure? 4 

5 MR. DWORKIN: He doesn't. 5 

6 MR. ARCHIER: Okay. 6 

7 Q. (BY MR. ARCHIER) Okay. Who currently is the 7 

8 dispatch manager at Martinaire? 8 

9 A. Jennifer Moore. 9 

10 Q. Jennifer Moore. Do you know when Jennifer Moore 1 0 

11 became the dispatch manager? 11 

12 A. No,sir. 12 

13 Q. Now, as dispatch manager, are you familiar with 13 

14 Jennifer Moore's duties? 14 

15 A. No, sir. 15 

16 Q. Who was that familiarity? 16 

1 7 A. The director of operations. 1 7 

18 Q. And that would be Mr. Rusinowitz? 18 

19 A. Yes, sir. 19 

2 o Q. Okay. Do you know what a dispatch clerk does? 2 0 

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A. No,sir. 

Q. Okay. Is that Mr. Rusinowitz's son? 

A. Yes, sir. 

Q. And the signature here at the bottom, we don't 

know who that is, right? 

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A. No, sir. No, sir. 1 

Q. And when you say "a copy of this certificate will 2 

be maintained at Martinaire corporate headquarters," is 3 

this a binder for this form? 4 

A. I believe so. 5 

Q. Okay. And this training that-- NOPC training, I 6 

notice that it was dated on 7/14/20 I I. How often is 7 

this NOPC training administered? 8 

A. Normally every two years. 9 

Q. Every two years. You said "normally." What do 1 o 

you mean by normally? 11 

A. That's what the FAA requires. 12 

Q. Okay. Have you done any more than the two-year 13 

period? 14 

A. We do it every 12 months. 15 

Q. Every 12 months. 16 

Why? 17 

A. To make sure people know their information 18 

better; 19 

Q. Take a look at page 2. 2 o 

A. Yes, sir. 

Q. Do you know Kathy Preston? 

A. Yes, sir. 

Q. Do you know what a LAN station manager is? 

A. Yes, sir. 

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Q. What ask that? 

A. The LAN is abbreviation for Lansing. 

Q. Oh, okay. 

A. And station manager is a station manager. 

Q. Okay. Is Ms. Preston still at Martinaire? 

A. No,sir. 

Q. Do you know whose signature that is at the 

bottom? 

A. It's mine. 

Q. Okay. Can you read that date? Is that July 13th 

or I 5th, 20 I I? 

A. I don't know, sir. 

Q. You can't see it clearly? 

A. No, sir. 

Q. Okay. Take a look at page 3, Mr. Bates, please. 

A. Yes, sir. 

Q. The printing here is faint. And I believe the 

first name is Todd Peffers? 

A. Yes, sir. 

Q. He's a flight coordinator. Is he stiil employed 

with Martinaire? 

A. No,sir. 

Q. Okays. Do you know -- there's another name here. 

I believe it's James Gardner? 

A. I don't know, sir. 

Q. You don't know, okay. 

There's another name here. Are you able to make 

that name out? 

A. No,sir. 

Q. Okay. I think it's Jerrod Tuinstra. Does that 

name ring a bell? 

A. I don't remember. 

Q. Okay. What does the -- I notice the position 

titles behind here are flight coordinators. What does a 

flight coordinator do for Martinaire? 

40 

A. They did the same procedure as a dispatcher would 

in - as far as the NOPC's are concerned, recording what 

the pilot calls in. 

Q. I'm just curious why are some called dispatchers 

and some called flight coordinators? 

MR. DWORKJN: If you know. 

A. I don't know. 

Q. (BY MR. ARCHIER) You don't know? Okay. Now, I 

notice this is signed by Kathy Kristin. Do you know 

her? 

A. I don't know Kathy Kristin. 

MR. ARCHIER: Mr. Dworkin, I'd like to take 

a five-minute break. Is that good with you? 

MR. DWORKJN: Sure. 

(Break taken from 9:56a.m. to 10:03 a.m.) 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f-f69f-4a 12-82df-6176b061 e598 
( 

( 

FEDERAL A~ATION ADMINISTRATION 

Deposition of: MICHAEL BATES 

v. AINAIRE 

5/16/2013 

11 (Pages 41 to 44) 

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MR. ARCIDER: Would you please mark the next 1 A. Yes, sir. 

document as MB-5. 2 Q. Are you able to tell from that UN identification 

(Exhibit No. MB-5 marked.) 3 number what the proper shipping name would be? 

Q. (BY MR. ARCIDER) Okay. Mr. Bates, I'm showing 4 A. No,sir. 

you what is marked as MB-5 for identification. Take a 5 Q. Okay. And if you gave that UN identification 

moment and look at it, please. 6 number to a first responder without the proper shipping 

A. (Witness complies.) Yes, sir. 7 name, that information is not going to be any assistance 

Q. Okay. Do you recognize it? The document, do you 8 to a first responder, would it? 

recognize it? 9 A. I don't know, sir. 

A. I know what it is, but I don't ... 10 Q. You don't know? 

Q. What is it? 11 A. No, sir. 

A. It's a NOPC. 12 Q. Okay. Take a look at the second line where it 

Q. Okay. There's a signature at the bottom under 13 says "proper shipping name." 

captain or dispatch signature. Do you recognize that 14 A. Yes, sir. 

signature? 15 Q. Do you recognize that? That name? 

A. No, sir. 16 A. The Boehringer? 

Q. Okay. Do you recognize any of the handwriting in 17 Q. Yes. 

this -- on this document? 18 A. Yes. That's not a chemical. 

A. No, sir. 19 Q. You know that. How do you know that? 

Q. If you look in the top line, there is a pilot 20 A. That's one of the things that we trained the 

or -- there's a employee number. 21 pilot on to make sure he doesn't do it again. 

A. Yes, sir. 22 Q. What is that name, by the way? 

Q. That employee number would be the pilot's 23 A. It's a company in Germany. 

employee number, correct? 24 Q. Okay. Would that name have been on a box or 

A. Yes, sir. 25 something? 

42 44 

Q. And you would be -- you have information that you 1 A. Yes, sir. 

would be able to identify who that pilot is, correct? 2 Q. Okay. 

A. With a list, yes. 3 MR. DWORKIN: Counsel, in looking at our 

Q. Yes. With your list, okay. 4 answer, we have not denied these allegations. This is 

Now, take a look at the box that has the proper 5 admitted. You know, you can conduct the deposition the 

shipping name in it. 6 way you see fit, but these issues -- these are not at 

A. Yes, sir. 7 issue. 

Q. Do you see any problem with that NOPC shipping 8 I mean we have admitted that the proper 

name? 9 shipping name was not included. We have in our answers 

A. Yes, sir. 10 to paragraphs 3 and 4, we're willing to stipulate to 

Q. What problem do you see with it? 11 that Mr. Bates will find the very, very same problems in 

A. Boehringer is not a chemical. 12 reviewing the NOPC's that Cory Smith found yesterday. 

Q. Okay. I'm looking at the very first line. 13 MR. ARCHIER: Thank you. I appreciate your 

A. Oh. 14 statement, Mr. Dworkin. I'm going to continue with my 

Q. The very first proper shipping name. 15 examination. 

A. I was looking at the other one. 16 MR. DWORKIN: Very well. 

Q. Okay. 17 Q. (BY MR. ARCHIER) Take a look at the third box. 

A. It's not there. 18 Do you recognize that name, Mr. Bates? 

Q. It's not there? 19 A. No, sir. 

A. That's correct. 20 Q. Okay. That's not the name of hazardous material 

Q. There should be a shipping name in that line, 21 that you're aware of, correct? 

correct? 22 A. No, sir. 

A. Yes, sir. 23 Q. Okay. Taking a look at this form, do you see any 

Q. Okay. I noticed in that particular box there is 24 other problems beside the improper shipping names? 

a UN identification number? 25 A. No, sir. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f-f69f-4a12-82df-6176b061 e598 
( 

c 

FEDERAL A~ATION ADMINISTRATION v. ~INAIRE Deposition of: MICHAEL BATES 5/16/2013 

12 (Pages 45 to 48) 

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.MR. ARCHIER: Will you please mark this as 1 

MB-6, please. 2 

(Exhibit No. MB-6 marked.) 3 

Q. (BY .MR. ARCHIER) Mr. Bates, please take a look 4 

at page 1 ofMB-6 and page 2 ofMB-6, and when you're 5 

finished, let me know. 6 

A. (Witness complies.) Yes, sir. 7 

Q. Okay. Mr. Bates, do you recognize-- take a look 8 

at the box where it says "proper shipping name"? 9 

A. Yes, sir. 10 

Q. Do you see any problems with that shipping name? 11 

A. No, sir. 12 

Q. Do you see any problem with the UN identification 13 

number? 14 

A. Yes, sir. 15 

Q. What problems do you see with the UN 16 

identification number? 1 7 

A. It's not the right number. 18 

Q. What number should be there? 19 

A. On page 2-it should be 1263. 2 0 

Q. Do you recognize the page 2 document? 21 

A. No,sir. 22 

Q. Okay. Do you have any idea where the page 2 2 3 

document would have come from? 

A. It says UPS on there. 

Q. So this would be the UPS information that gives 

you what was shipped on that particular day? 

A. Yes, sir. 

Q. Okay. Got it. 

46 

Do you know why the UPS document is attached to 

this? 

A. No, sir. 

Q. Okay. Thank you. 

.MR. ARCHIER: Will you please mark this as 

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MB-7,please. 10 

(Exhibit No. MB-7 marked.) 11 

Q. (BY .MR. ARCHIER) Have you finished looking at 12 

it? 

A. Yes, sir. 

Q. Okay. Take a look at the-- the signature at the 

bottom of the page. Do you recognize that signature? 

A. No, sir. 

Q. Do you recognize any of the handwriting on this 

page? 

A. No, sir. 

Q. Okay. Take a look at the shipping name. Do you 

see any problems with that shipping name? 

A. No, sir. 

Q. Okay. Do you see any problems with the UN 

identification number? 

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A. Yes, sir. 

Q. What's the problem with the UN identification 

number? 

47 

A. The number is supposed to be 1987, but it says 

here 1087. 

Q. Do you see any problems with the information on 

this page -- on the NOPC on this page? 

A. No, sir. 

Q. Okay. 

MR. ARCHIER: Will you please mark this as 

MB-8, I believe. 

(Exhibit No. MB-8 marked.) 

(Witness reviews document.) 

Q. (BY MR. ARCHIER) Finished? 

A. Yes, sir. 

Q. Okay. Do you recognize that signature in the 

captain's or dispatcher's signature? 

A. No,sir. 

Q. Even though you don't recognize that signature in 

the captain's or dispatcher's spot, would that signature 

be a dispatcher? 

A. I don't know, sir. 

Q. Don't know, okay. 

Take a look at the proper shipping name. 

A. Yes, sir. 

Q. Do you see any problems with the proper shipping 

name information that's put there either with the proper 

shipping name, the UN ID? 

A. No, sir. 

Q. Okay. Take a moment to look at the hazardous 

material shipping document that's attached and see if 

you see any problems with it. 

A. It should have been verbatim. 

Q. It should have been -- so you're saying the 

proper shipping name should have been "Petroleum 

Distillates, n.o.s., Super Agitene"? 

A. Correct. 

Q. Okay. And that wasn't put in the -- the block, 

correct? 

A. Correct. 

Q. And what should the UN identification have been? 

A. 1268. 

Q. That wasn't placed there correctly, correct? 

A. It's hard to read. 

48 

Q. Okay. Now take a look at the second block where 

it says "proper shipping name." You would agree that 

that particular shipping name should have been Petroleum 

Distillates, n.o.s., Super Agitene? 

A. Yes, sir. 

Q. Okay. And they did get the shipping name right, 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f-f69f-4a12-82df-6176b061 e598 
( 

( 

FEDERAL A~ATION ADMINISTRATION 

Deposition of: MICHAEL BATES 

v. MA.INAIRE 

5/16/2013 

13 (Pages 49 to 52) 

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correct? I mean the shipping -- the UN ID number 

correct? 

A. Yes. 

Q. Okay. I want to ask you a question. The 

emergency contact number that's here, where does 

dispatch get that number from? Do they get that from 

the pilot? If you look to the right on that document on 

the first page. 

A. It should come from the pilot. 

Q. Correct. And the pilot would get that right off 

the hazmat shipment, correct? 

A. Yes, sir. 

49 51 

1 Q. It's the same exact information? 

2 A. Yes, sir. 

3 Q. Okay. Do you recognize that signature at the 

4 bottom? 

5 A. No, sir. 

6 Q. Do you recognize any of the other handwriting on 

7 this document? 

8 A. No, sir. 

9 Q. Okay. Thank you. 

1 o MR. ARCHIER: Will you mark this as MB-1 0, 

11 please. 

12 (Exhibit No. MB-10 marked.) 

Q. Okay. Thank you. 13 Q. (BY MR. ARCHIER) Take a moment to look at page 1 

MR. ARCIDER: Would you mark this MB-9, 14 and page 2, Mr. Bates, ofMB-10, and when you're 

please. 15 finished, look up at me, please, sir. 

(Exhibit No. MB-9 marked.) 16 A. (Witness complies.) Yes, sir. 

Q. (BY MR. ARCIDER) Take a moment, please, Mr. 17 Q. Okay. I notice the bottom there's a signature 

Bates, and look at MB-9, Exhibit MB-9. When you're 

finished, let me know. 

1 8 that's T. Peffers? 

19 A. Yes, sir. 

A. (Witness complies.) Yes, sir. 2 0 Q. Do you know that person? 

Q. Take a look at the shipping name in that block. 21 A. Yes, sir. 

Do you see any problem with the shipping name there? 2 2 Q. Who is that? 

A. Without the NOPC- the hazmat coupon, I can't 2 3 

tell. 24 

Q. Okay. And you say without the hazmat coupon. 2 5 

50 

You mean the hazardous material shipping paper? 1 

A. The paper that should be- that comes on the 2 

other box, I don't have that to be sure. 3 

Q. Right. You would need the hazmat shipping paper 4 

in order to determine whether that proper shipping name 5 

is correct, right? 6 

A. That or a book. 7 

Q. And when you say the book, which book are you 8 

talking about? 9 

A. The one than we use, like, to audit these forms. 10 

That kind of book. 11 

Q. Ail right. So that type of book, I just want to 12 

make sure we're talking about the right kind of book or 13 

the same kind of book. Are you talking about 49 CFR 14 

100? 15 

A. No, sir. 16 

A. He was a flight follower in Michigan. 

Q. But they're no longer with the company, correct? 

A. No, sir. 

Q. Okay. Take a look at the proper shipping name 

and the UN identification and the hazard class 

information. Do you see any problems with that 

information, sir? 

A. The hazard class is 5.1 on the form, and it 

should be 6.1 based on this form behind it. 

Q. Okay. And the form you're looking at is the 

document from UPS, correct? 

A. Right. 

Q. Okay. 

A. But I normally don't see this. This is new. 

Q. Right. You don't normally see this UPS form? 

A. Correct. 

Q. What you normally would see would be the 

hazardous material shipping document? 

A. Yes, sir. 

52 

Q. Okay. What-- are you talking about a different 17 

kind of book? 18 

A. Like a A.I.R. Shipper's regulations book that 19 

shows me what that is. 

Q. Okay. Do you ever refer to the hazardous 

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Q. Okay. Now, when you say you normally see that 

hazardous material shipping document, do the pilots send 

you that hazardous shipping document when they send you 

the -- do they transmit that hazardous material shipping 

document to the dispatch office? 

material regulations to get the proper shipping? 

A. Youcan. 

A. In the form of a NOPC. 

Q. In the form of a NOPC? 

Q. Okay. But you don't utilize that information? A. Yes, sir. 

A. Ours is the same. Q. But you don't actually see the hazardous material 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f·f69f-4a12-82df-6176b061 e598 
( 

\ 

( 

'-

FEDERAL A~ATION ADMINISTRATION 

Deposition of: MICHAEL BATES 

v. MA.INAIRE 

5/16/2013 

14 (Pages 53 to 56) 

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shipping document? 

A. No, sir. 

Q. Okay. Thank you. 

MR. ARCHIER: Mark this MB-11, please. 

(Exhibit No. MB-11 marked.) 

Q. (BY MR. ARCHIER) Mr. Bates, please take a look 

at MB-11, and when you're finished looking at it, raise 

your head, let me know when you're finished looking at 

it. 

A. (Witness complies.) Yes, sir. 

Q. There's a signature in the bottom, captain's or 

dispatch signature. Do you recognize that signature? 

A. No, sir. 

Q. Okay. Do you recognize the hazardous material 

information that's in this box? 

A. I can't really read the name. 

Q. Okay. You can't read the name? 

A. Something "ink." 

Q. Okay. That's all you can make out? 

A. Yes, sir. 

Q. Okay. Without the hazardous material coupon, you 

wouldn't be able to determine whether this information 

is correct, correct? 

A. Right now I would need the shipping paper or -

the shipping paper to make this right. 

54 

Q. To determine whether that name is right? 

A. Yes, sir. 

Q. Okay. Thank you. 

MR. ARCHIER: MB-12, please. 

(Exhibit No. MB-12 marked.) 

Q. (BY MR. ARCHIER) Mr. Bates, please take a look 

at MB-12 for identification. 

A. Yes, sir. 

Q. Do you recognize it? 

A. It's a NOPC. 

Q. Okay. Do you recognize the signature at the 

bottom? 

A. No, sir. 

Q. Do you recognize any of the other handwriting on 

this document? 

A. No, sir. 

Q. Do you recognize any -- take a look at the 

hazardous material shipping block. Do you see any 

problem with that hazardous material shipping block? 

A. I would need more information. 

Q. You would need the hazardous material shipping 

paper? 

A. It would help, yes. 

Q. In your experience doing this job, have you 

ever-- are you aware of any hazardous material that's 

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written as "NOS"? 

A. It's part of a complete name. 

Q. Okay. Would it be fair to say with regard to the 

MB-12 docwnent, that the shipping name on MB-12 is 

incomplete? 

A. Yes, sir. 

Q. Okay. 

MR. ARCHIER: Ms. Court Reporter, mark this 

as MB-13. 

(Exhibit No. MB-13 marked.) 

55 

Q. (BY MR. ARCHIER) Take a moment to look at page I 

and page 2 and page 3 of this document. 

A. (Witness complies.) Yes, sir. 

Q. Take a look at the signature page, Mr. Bates. 

A. It appears to be blank. 

Q. It shouldn't be blank, should it? 

A. No, sir. 

Q. Okay. Do you instruct your dispatchers to sign 

the NOPC forms? 

A. Yes, sir. 

Q. Why do you tell them to sign the forms? 

A. So I know who took down the information. 

Q. Okay. Take a look at the first shipping name and 

UN identification nwnber and hazard class. Do you see 

any problems with the hazardous material information in 

there? 

A. Proper shipping name is not correct. 

Q. Okay. Do you see any problems with the second 

hazardous material shipping name? 

A. It's the same as the first one. 

Q. Okay. And you're looking at the UPS form to make 

that determination, correct? 

A. Yes, sir. 

Q. Okay. 

MR. ARCHIER: Will you mark this as MB-14, 

please. 

(Exhibit No. MB-14 marked.) 

56 

Q. (BY MR. ARCHIER) You recognize any problem with 

the hazardous material shipping name, Mr. Bates? 

A. Yes, sir. 

Q. What problems do you recognize? 

A. "Beckman Coulter" is not a chemical. 

Q. How do you know that? 

A. This is what we taught the pilot not to do again. 

That's part of our remedial fix was: Don't do that. 

Proper shipping name is a chemical, not a person or a 

company. 

Q. Okay. Do you recognize any problems with the 

second hazardous material shipping name? 

A. It's the same as the first. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

Oc085d7f-f69f-4a12-82df-6176b061 e598 
( 

(. 

FEDERAL A~ATION ADMINISTRATION 

Deposition of: MICHAEL BATES 

v. MA.INAIRE 

5/16/2013 

15 (Pages 57 to 60) 

57 

1 Q. Same, okay. 1 

2 MR. DWORKIN: This is a case of20/20 2 

3 hindsight. 3 

4 MR. ARCHIER: Thank you for your commentary, 4 

5 Mr. Dworkin. 5 

6 Q. (BY MR. ARCHIER) Now, let me ask you a question, 6 

7 ·Mr. Bates. The pilot made this mistake, correct? 7 

8 A. Yes, sir. 8 

9 Q. How do you know the pilot made this mistake and 9 

1 0 not the dispatch? 1 0 

11 A. Because of talking to the pilot. 11 

12 Q. Okay. Anddoyourememberspecificallywhothis 12 

13 pilotwas? 13 

14 A. No, sir. 14 

15 Q. Okay. What was the pilot's reaction when you 15 

16 told him that Beckman Coulter is not a hazardous 16 

1 7 material? 1 7 

18 A. I don't remember what he said specifically. 18 

19 Q. Okay. Did he even know where to look to get the 19 

2 0 hazardous material name? 2 0 

21 A. He got it off the coupon, off the hazmat- the 21 

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shipping papers. 

Q. The shipping papers? 

A. Yes, sir. 

Q. Does this particular pilot still work with 

Martinaire? 

A. I don't know, sir. 

58 

Q. Okay. But you don't see Beckman Coulter on any 

of your NOPC forms anymore, do you? 

A. Not on our forms, no, sir. 

Q. I mean you don't see this type of mistake again? 

A. No, sir. 

Q. Okay. Do you recognize who the dispatcher's 

signature here? 

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A. No, sir. 1 o 

Q. Do you recognize any of the other handwriting 11 

here? 12 

A. No, sir. 13 

MR. ARCHIER: Wiii you mark this as MB-15, 14 

please. 15 

(Exhibit No. MB-15 marked.) 16 

Q. (BY MR. ARCHIER) Take a moment and look at 17 

MB-I 5, please. 18 

A. (Witness complies.) Yes, sir. 19 

Q. Take a look at the hazardous material shipping 2 0 

block. Do you see any problems with the hazardous 21 

material shipping block? 2 2 

A. The word -- the name appears to be missing a 2 3 

letter or two. 2 4 

Q. Okay. So the same is not properly written on the 2 5 

59 

UPS document -- it's not transcribed the same as the UPS 

document? 

A. Correct. 

Q. Okay. You see any other issues? 

A. If that's what that is, then the number doesn't 

match. 

Q. So you've got an improper UN ID number, and you 

have a wrong shipping name; is that correct? 

A. It appears to be, sir. 

Q. Do you recognize the handwriting at the bottom? 

A. No, sir. 

Q. Do you recognize any other writing on this page? 

A. No, sir. 

Q. Okay. Thank you. 

MR. ARCHIER: Will you mark this as MB-16. 

(Exhibit No. MB-16marked.) 

Q. (BY MR. ARCHIER) Take a moment, Mr. Bates, 

please, and look at MB-16. 

A. (Witness complies.) Yes, sir. 

Q. Do you recognize the signature in the captain's 

or dispatch signature? 

A. No,sir. 

Q. Okay. Do you recognize any other handwriting on 

the page? 

A. No, sir. 

Q. Do you recognize the hazardous material that's 

written in the hazardous material block? 

A. No, sir. 

Q. Okay. And why is that? 

A. It's missing letters again. 

Q. Okay. And you can tell it's missing letters, 

correct? 

A. I don't know of a chemical called--

Q. C-0-R-R? 

A. I don't. 

Q. Okay. Right. Thank you. 

Now, Mr. Bates, I think you said you started with 

Martinaire in 1999, right? 

A. Yes, sir. 

60 

Q. Okay. Do you-- are you familiar with any of the 

other hazardous material NOPC shipping violations that 

the company has had? 

A. I'm familiar but not expert knowledge, no 

detailed knowledge. 

Q. What's your familiarity? 

A. I don't know which one you're referring to. 

Q. Okay. How many are you familiar with? 

A. One. 

Q. One? 

A. Yes, sir. 

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Q. Tell me about the one you're familiar with. 1 A. Mr. Rusinowitz. 

A. It was where a NOPC was transmitted, the 2 Q. Okay. 

information was transmitted, but for some reason the 3 A. Myself, the director of maintenance. Those are 

pilot didn't have one on his person when the inspector 4 the senior managers, the people that run the day-to-day 

asked him to see his paperwork. It had been called in, 5 operation. 

but he didn't have it in his possession. 6 Q. Okay. Other than Mr. Rusinowitz, have you talked 

Q. Okay. How could that happen? 7 to any other senior management about the NOPC problems? 

A. He either lost it or didn't have it to begin 8 A. Can you rephrase the question? As to what we 

with. 9 talked about or just in general? 

Q. Okay. So the inspector was talking directly to 10 Q. Just the NOPC violations. 

the pilot himself? 11 MR. DWORKIN: You mean these NOPC 

A. Yes, sir. 12 violations? 

Q. Okay. But you don't require your pilots to 13 MR. ARCHIER: Yes, these NOPC violations. 

maintain their NOPC's, right? 14 A. I talked with Mr. Rusinowitz about it and with 

A. Correct. 15 Mr. Smith. 

Q. And was there a violation written for that case? 16 Q. (BY MR. ARCHIER) And Mr. Smith, you mean the 

A. I don't know. 17 president? 

Q. You don't know? 18 A. No, no, no. Cory Smith, my assistant. 

A. I don't know. 19 Q. Have you talked to the president about this? 

Q. And you're not aware of any other violations at 20 A. No details. I mean he asked, like when an 

all? 21 inspection was over, how did it go. That kind of 

A. Nothing regarding NOPC's, sir. 22 discussion but nothing specific. 

Q. Okay. Aside from NOPC's, are you aware of any 23 Q. And when he asked, what did you say after the 

other hazardous material violation cases? 24 inspection? What did you say to him? 

A. No, sir. 25 A. I told him I don't know what's going to happen. 

62 64 

Q. Are you aware of any administrative actions 1 Q. Okay. Anything else? 

against Martinaire for hazardous material violations? 2 A. No,sir. 

A. No,sir. 3 Q. Okay. I want to focus now, Mr. Bates, on the 

Q. Okay. Are you a part of senior management? 4 dispatch office. Tell me how the dispatch office 

A. Yes, sir. 5 operates. 

Q. Okay. And what is meant by senior management at 6 MR. DWOR.KJN: If you know. 

Martinaire? 7 A. I know some things. 

A. We don't really have it defined. 8 Q. (BY MR. ARCHIER) Tell me what you know. 

Q. How many people would you say are in the senior 9 A. They monitor our flights that are in the air. 

management group? 10 They make sure the pilots are where they're supposed to 

A. The people named in FAR-119. 11 be one hour prior to departure. If a plane doesn't show 

Q. Say again? 12 up on time, they let people know. It's not really 

A. The people named in FAR-119, the 13 search and rescue, but look for it. 

regulation federal aviation, management personnel. 14 They report NOPC's. They take the calls from the 

Q. And who would that be specifically? 15 pilots if there's illness. They are informed by 

A. The president. 16 maintenance if the airplane is up or down as far as 

Q. Who is that? 17 availability, and they relay that information to pilots. 

A. Mr. Mitch Acker. 18 They monitor the weather and assist the pilots on 

Q. How do you spell that last name? 19 decision-making. 

A. I believe it's A-C-K-E-R. 20 Q. Do the people in dispatch report to you? 

Q. And he's the president? 21 A. No,sir. 

A. Yes, sir. 22 Q. And I believe you told me the name they report 

Q. Where is he located at? 23 to, Jennifer Moore, right? 

A. In Addison. 24 A. At this time, yes. 

Q. Who else would that include? 25 Q. Okay. So your contact with dispatch would only 

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be the recording of the NOPC fonns, correct? 1 There may be other branches that I don't deal with, but 

A. No. There's more to it than that That's just 2 that's my family tree, the one I use. 

one thing we do together. We work together all day 3 Q. Okay. So when you said there may be other family 

long. 4 trees, meaning are you a subsidiary? 

Q. Okay. Just tell me how you-- your other 5 A. No,sir. 

' interfaces, how you interface with dispatch. 6 Q. Are you the parent company? 

A. If a pilot's late for work, they let me know. 7 A. No,sir. 

And then I call the pilot and ask what's going on, that 8 Q. You're not the parent company? 

kind of interaction. 9 A. The family tree that I describe is in my General 

Q. So anything that revolves around a pilot, 10 Operations Manual, just operations control from top to 

communications with a pilot, you would get involved 11 bottom, how it's-- and that's all I know about. I 

with? 12 don't know of any other stuff. 

A. Yes, sir. 13 Q. Okay. Who's the chainnan of the board? 

Q. Okay. Anything that involves whether a plane 14 A. I believe it's Jay Paynter. 

gets from point A to point B on a timely fashion, you 15 Q. Do you know how many people are on the board? 

would get involved with? 16 A. No,sir. 

A. Yes,sir. 17 (Exhibit MB-17 marked.) 

Q. Okay. Any training, hazmat training with 18 Q. Take a look at the next document I have in front 

dispatch you would get involved with hazmat training? 19 of you. 

A. Yes. 20 A. Yes, sir. 

MR. ARCHIER: I need to take a five-minute 21 Q. Take a look at page 1 and 2. 

break. 22 A. Yes, sir. 

(Break taken from 10:43 a.m. to 10:54 a.m.) 23 Q. What is this document? 

Q. (BY MR. ARCHIER) Mr. Bates, are you familiar 24 A. It appears to be e-mail from me to the pilots. 

with the corporate structure ofMartinaire? 25 Q. Okay. And what was the purpose of this e-mail? 

66 68 

MR. DWORKIN: Can you describe what you mean 1 A. To- based on the consent of it, to reiterate 

by corporate structure? 2 the importance of accurate - accuracy and proper 

MR. ARCHIER: Well, I will do that. 3 completion of NOPC forms. 

Q. (BY MR. ARCHIER) But do you understand my 4 Q. Okay. And I noticed that you CC'ed Preston? 

question? 5 A. Yes, sir. 

A. Like a family tree? 6 Q. Who would that be? Preston who? 

Q. Yes. Yeah, I mean the family tree, the 7 A. It's the same, it's Kathy Preston. 

corporate? 8 Q. Oh, it's Kathy Preston? 

A. Yes, sir. 9 A. Yes. 

Q. Tell me the family tree. 10 Q. And she would be -- at that time, she would have 

A. Well, it's the president- well, actually, the 11 been the head of dispatch? 

chairman of the board. 12 A. No, sir. 

Q. Chairman of the board? 13 Q. Who would she have been? 

A. Yes. And then it's president. 14 A. The station manager in Lansing. 

Q. President? 15 Q. Who is no longer there, right? 

A. Vice president. 16 A. Correct. 

Q. VP? 17 Q. And of course Mr. Rusinowitz? 

A. And there's -it's like executive vice 18 A. Yes, sir. 

president, chief operating officer is the same thing. 19 Q. Okay. And I notice you write it to all pilots 

And director of operations under that same person. Then 20 and flight followers. I know who you're talking about 

there's myself, the director of maintenance, and the 21 with regard to the pilots. Who are you talking about 

assistant chief pilot. 22 with regard to flight followers? 

Q. You said yourself? 23 A. The dispatchers. 

A. The director of maintenance and the assistant 24 Q. The dispatchers? 

chief pilot. And that's my family tree, so to speak. 25 A. Yes, sir. 

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FEDERAL A .. TION ADMINISTRATION 

Deposition of: MICHAEL BATES 

v. 

5/16/2013 

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Q. Oh,okay. That's who you mean by -- anybody 1 CHANGES AND SIGNATURE 

else? 2 WITNESS NAME: MICHAEL BATES DATE: 

A. No. 3 PAGE LINE CHANGE REASON 

Q. Okay. 4 

A. Those people. 5 

Q. All right. I notice that you make it clear that 6 

you don't want the pilots to be rushed by UPS or DHL? 7 

A. Yes, sir. 8 

Q. Have you known that to be the case? 9 

A. No,sir. 10 

Q. No, sir? 11 

A. No,sir. 12 

Q. Okay. I notice that the last line you said, "A 13 

more detailed e-mail with complete instructions will be 14 

sent out within the next few weeks [sic]." Do you know 15 

what that e-mail entailed? 16 

MR. DWORKIN: Few days. 17 

Q. (BY MR. ARCHIER) I'm sorry. Within the next few 18 

days. Do you know what that e-mail entailed? 19 

A. It's been a while, so I don't know for sure which 20 

one it may have been. 21 

Q. Would it have possibly reiterated the information 22 

in this e-mail? 23 

A. I would imagine it would have been more complete 24 

than this e-mail. 25 

70 72 

Q. When you say more complete, what type of 1 I, MICHAEL BATES, have read the foregoing 

information would it have had in it? 2 deposition and hereby affix my signature that same is 

A. I'm speculating that I would have sent them 3 true and correct, except as noted above. 

examples on how to fill it properly, like an attachment 4 

of some sort. But I don't know where that was or where 5 

it is at this time. 6 MICHAEL BATES 

Q. Are you satisfied with the corrective action that 7 THE STATE OF ) 

Martinaire has done? 8 COUNTY OF ) 

A. Yes, sir. 9 

Q. Okay. Why do you say that? 10 Before me, , on this 

A. Being firsthand knowledge of the audit, I can see 11 day personally appeared MICHAEL BATES, known to me (or 

that there's no more mistakes. 12 proved to me under oath or through 

Q. Okay. 13 ) (description of identity 

MR. ARCHIER: I don't have any other 14 card or other document) to be the person whose name is 

15 subscribed to the foregoing instrument and acknowledged questions. Mr. Dworkin, I don't have any other 16 to me that they executed the same for the purposes and 

questions. 17 consideration therein expressed. 

MR. DWORKIN: Okay. 18 Given under my hand and seal of office this 

(Proceeding concluded at 10:59 a.m.) 19 day of '2013. 

20 

21 

22 

NOTARY PUBLIC IN AND FOR 

23 THE STATE OF 

COMMISSION EXPIRES: 

24 

25 

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FEDERAL A~TION ADMINISTRATION v. 

Deposition of: MICHAEL BATES 5/16/2013 

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U.S DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE HEARINGS 

WASHINGTON, DC 

In the Matter of: ) FAA DOCKET No. FAA-2013-0040 

Martinaire Aviation LLC) FAA CASE No. 201 ISW700189 

(Civil Penally Action) 

Respondent ) 

REPORTER'S CERTIFICATION 

DEPOSITION OF MICHAEL BATES 

MAYI6,2013 

I, Kristin McDowell, Certified Shorthand Reporter 

in and for the State ofTexas, hereby certifY pursuant 

to the Federal Rules of Civil Procedure to the 

following: 

That this deposition transcript is a true record of 

the testimony given by MICHAEL BATES, the witness named 

herein, on May I 6th 2013 after said witness was duly 

sworn/affirmed by me. 

That the deposition transcript was submitted on the 

--~day of 2013 to Mr. Michael L. 

73 

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Dworkin, MICHAEL L. DWORKlN & ASSOCIATES, 465 California 

Street, Suite 2 I 0, San Francisco, California 94104 for 

examination, signature and return to me by 

______ _,2013. 

74 

1 That the deposition transcript was returned to U.S. 

2 Legal Support on , 2013, was 

3 properly executed by the witness to the deposition 

4 officer, and the attached change/correct sheet contains 

5 any changes, and the reasons therefor, made by the 

6 witness. 

7 

B That the original deposition transcript, or a copy 

9 thereof, together with copies of all exhibits, was 

10 delivered on the __ day of , 2013 to Mr. 

11 James Archier for the safekeeping and use at trial. 

12 That the amount of time used by each party at the 

13 deposition is as follows: 

14 

MR. JAMES ARCHIER. ........ 01 HOURS:40 MINUTES 

15 MR. MICHAEL DWORKIN ....... 00 HOURS:OO MINUTES 

16 

1 7 That pursuant to information given to the deposition 

18 officer at the time said testimony was taken, the 

19 following includes counsel for all parties of record: 

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MR. JAMES ARCHIER: Attorney for FAA; 

21 MR. MICHAEL DWORKIN: Attorney for Martinaire. 

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That a copy of this certification was served on all 

parties shown herein. 

Certified to by me this __ day of , 2013. 

KRISTIN MCDOWELL 

Texas CSR No. 8218 

Expiration Date: 12/31/14 

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Deposition of: MICHAEL BATES 5/16/2013 

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Deposition of: MICHAEL BATES 5/16/2013 

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customer 26:22 

C-0-R-R 60:9 

D 3:1 4:1 

D 

daily21:7 22:5 24:9 33:4 

Dakota 16:18,18 

Dallas 13:25,25 14:2,6 75:13 

dangerous 32:23 

date9:1 13:22 39:10 71:2 75:12 

dated 38:7 

Davis 36:1 

day6:20 23:21 46:2 65:3 72:11,19 73:18 

74:10 75:3 

days 34:11 69:17,19 

day-to-day 63:4 

DC 1:2 73:2 

deal12:7 67:1 

decision-making 64:19 

defense 26:6,9 28:17 33:8 

deficiency 22:10 

defined 62:8 

delivered 74:10 

denied44:4 

depart 15:8 

department 1:1 29:21,23 73:1 

departure6:16 15:4 64:11 

depends 18:9 21:15 24:13 29:16 

deposition 1:11,17 4:10,24 6:23 7:2,4 44:5 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

3 
( 

FEDE~L AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

72:2 73:7,13,17 74:1,3,8,13,17 Dworkin 2:18,18 4:17,20 5:3,6,8 17:14,16 

describe 6:12 16:12 66:1 67:9 18:2 25:13 33:17 37:5 40:16,22,24 44:3,14 

described 27:9 44:16 57:2,5 63:11 64:6 66:169:17 70:15 

description 3:8 72:13 70:17 73:19,19 74:15,21 

description's 15:24 

detail18:11 E 

detailed 60:19 69:14 E2:1,1 3:1,7 4:1,1 

details 63:20 earlier 27:10 

determination 56:7 earn 18:8 

determine21:10 22:7 50:5 53:22 54:1 easier 16:17 23:23,23 

devoid 33:14 educational! 0:7 

DHL 26:23,24,25 69:7 eight 8:14 

Dietzenbach 10:16 11:1 either48:2 61:8 

differ 13:3 emergency 49:5 

difference20:14 28:14 emotional7:21 8:2 

different 12:24 50:17 emphasis 23:24 

difficult 8:8 employed 5:11,15 11:12 35:17 36:3,9 39:20 

DIRECT3:4 employee 41 :21,23,24 

directly 61 : 1 0 employees 9:17 26:17 27:3 34:25 

director 15:25 16:1 37:17 63:3 66:20,21,24 employment 36:5 

discrepancies 34:17 engines 13:5 

discussed29:19 32:18 ensure32:3 

discussion 63:22 entail19:4 

dispatch 15:6 20:8,22 21:10 29:21 30:8,15,17 entailed 69:16,19 

30:21,24 31:3,21 32:25 36:11 37:8,11,13,20 entails 15:12 

41:14 49:6 52:21 53:12 57:10 59:21 64:4,4 ergonomics 27:18 

64:20,25 65:6,19 68:11 essential27:19 

dispatcher 36:15 40:11 47:21 Everybody 19:22 

dispatchers 29:25 30:1 ,2,4, 12 31:2 40:14 exact 51:1 

55:18 68:23,24 examination 3:4 4:5 44:15 73:21 

dispatcher's 21:14 47:17,20 58:8 examined 34:9,11 

Distillates 48:11,23 example 21:17,21 

DOCKET 1:3 73:3 examples 70:4 

doctor's 8:12 executed 72:16 74:3 

document 3:13,14,15,16,17,18,19,20,21 ,22 executive 66:18 

3:23,24 32:5 41:2,8,18 45:21,24 46:5 47:13 executives 9:18,19 

48:6 49:7 51:7 52:8,15,18,19,21 53:1 54:15 Exhibit4:16 24:21 25:17 35:3 41:3 45:3 

55:4,12 59:1,2 67:18,23 72:14 46:1147:12 49:16,18 51:12 53:5 54:5 55:10 

doing 5:22 9:13 24:14,14 54:24 56:12 58:16 59:16 67:17 

door 19:8 exhibits 5:4 74:9 

double-checking 23:11 expedite 5:3 

drafted 33:19 experience 54:24 

draw26:5 expert 60: 18 

duly 1:18 4:4 73:15 Expiration 75:12 

duties6:12 9:415:3,20,20 18:12 37:14 EXPIRES 72:23 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

4 
( 

( 

,. 

FEDEtpL AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

expressed 72:17 

Expressway 75:13 

eyes 27:19 

e-mail2:21 3:25 26:3 67:24,25 69:14,16,19 

69:23,25 

e-mailed 25: 11 

F 

FAA 1:3,4,18 25:20 28:4 34:9,12 38:12 73:3 

73:4 74:20 

FAA's22:18 

FAA-approved 19:19 

FAA-2013-0040 1:3 73:3 

faint 39:17 

fair 55:3 

familiar22:17 37:13 60:15,18,22 61:1 65:24 

familiarity 22:20 37:16 60:20 

family 66:6,7,10,25 67:2,3,9 

far40:12 64:16 

FAR's 18:16 

FAR-119 62:11,13 

fashion 65: 15 

faster 13:5 

Fax2:6,14,21 75:14 

February6:11 9:2 

federal1:1,22,24 2:3,8,11,15 7:3 62:14 73:1 

73:11 

feeder 17:1 

feel28:13 

filed 24:23 

fill70:4 

fills 27:23 

find 21:12,21,24 22:7 44:11 

Fine4:8 

finished 25:2,21,22 35:7 45:6 46:12 47:14 

49:19 51:15 53:7,8 

Firm 75:12 

first4:4 12:12 14:18 25:8 33:10 35:6,7,8 

39:18 42:13,15 43:6,8 49:8 55:23 56:5,25 

firsthand 70:11 

fit 44:6 

five 30:6,9 32:20 

five-minute 40:23 65:21 

fix 56:20 

flew 14:2,6 

flight 5:16 11:13 19:1,2,4 29:20,23 39:20 

40:9,10,15 51:23 68:20,22 

flights 64:9 

fly6:20 9:10,1111:21,22 12:414:1,13 15:6 

15:16 16:10,13 18:7 

flying 9:12,17 13:8,11,12,16,17 30:21 

focus 18:24 33:9 64:3 

follow 18:16 19:16,20 

follower 51 :23 

followers 68:20,22 

following73:12 74:19 

follows4:4 74:13 

Force 9:22,23,25 10:2,4 

foregoing 72:1,15 

Foreign 10:20,21 

form21:9 23:15,22 27:13,14,18 28:1,6 30:25 

32:8,16,24 38:4 44:23 52:5,6,7,12,22,23 

56:6 

forms20:17,19 21:4,7 22:3,21 50:10 55:19,21 

58:4,5 65:1 68:3 

Fort 1:23 2:5,13 

Forty-five 16:5,7 

found44:12 

four 10:11 30:5,9 32:15,16 34:22 

fourth 28:17 

Francisco 2:20 73:20 

Frankfurt 10:18 

Freelance 11:17,18,25 12:1 

freelanced 11: 18 

freelancing 11: 19 

French 10:22 

friendly27:13,14,16 32:17 

front67:18 

fueled 9:11 

full8:3 

· fully8:18 

function 20:14 

further 14:4 26:14 

future 32:3 

G4:1 21:21 

gain 22:25 23:3 

Gardner 39:24 

G 

general15:23 19:18 63:9 67:9 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

5 
( 

( 

FEDE~L AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

generally 18:8 

German 10:13,21,22 

Germany 10:9,16,18 11:1,2 43:23 

getting 6:25 

give 8:3 21:16 

given 26:19 30:8 72:18 73:14 74:17 

gives 34:10 46:1 

go 6:24 8:20 12:9 15:6 16:16 18:4 21:12 

27:19 28:19 29:17 33:9 63:21 

goes26:14 

going 6:23,24,25 21:22 25:18 30:21,24 33:17 

43:7 44:14 63:25 65:8 

good 4:7 40:23 

goods32:23 

group 28:8 62:10 

guess 18:19 

guidance 15:24 

Gunter 36:19,21 

H 

H3:7 

hand 72:18 

handwriting41:17 46:18 51:6 54:14 58:11 

59:10,23 

happen 61 :7 63:25 

hard48:19 

hazard 24:1 52:2,5 55:24 

hazardous 32:22 44:20 48:5 50:1,21 52:15,18 

52:19,20,25 53:14,21 54:18,19,21,25 55:25 

56:4,14,24 57:16,20 58:20,21 60:1,2,16 

61:24 62:2 

hazmat 12:7 19:10,12,14,24 20:3,5,9 27:1,6 

29:5 32:2,13,21 49:11,23,25 50:4 57:21 

65:18,19 

hazmats 24:2 

head 7:5 25:2,21 31:3 53:8 68:11 

heading 31 :21 

headquarters 38:3 

HEARINGS 1:2 73:2 

Heilbronn 11 :5 

Heinrich 10:13 

help 18:13 24:3 54:23 

high 10:23 

hindsight 57:3 

Holms2:114:12 

home6:20 

Honor 5:1 

hour 6:15 15:4 64:11 

hours6:16 8:14 19:20 

HOURS:OO 74:15 

HOURS:40 74:14 

hundred 34:25 

ID 48:3 49:1 59:7 

idea 17:22 45:23 

identical20: 13 

I 

identification4:15,23 25:16 35:5 41:5 42:25 

43:2,5 45:13,17 46:25 47:2 48:16 52:2 54:7 

55:24 

identify 42:2 

identity 72: 13 

IDs 21:19 

illness 64:15 

imagine 69:24 

immediately 23: 1 7,18 

Implemented 33:3 

importance 68:2 

improper 44:24 59:7 

improve 28:5 

incident 28:20 34:6 

incidents 32:22 

include 62:25 

included 14:3 44:9 

includes 74:19 

including 27:6 32:22 

incomplete 55:5 

incorrect 22:22 

individual29:2,9 

individually 24:12 

individuals 29:8 

information 19:5 20:15 21:7 26:19 27:20 

30:25 38:18 42:1 43:7 46:1 47:6 48:2 50:24 

51:1 52:3,4 53:15,22 54:20 55:22,25 61:3 

64:17 69:22 70:2 74:17 

informed 64:15 

ink53:18 

inspect 9:8 15:5 

inspection23:1,2,21 34:9 63:21,24 

inspector28:4 61:4,10 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

6 
( 

( 

FEDE~L AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

instance 1: 18 

instruct 55:18 

instructing 11: 13 

instruction 5:23 

instructions 69:14 

instructor 5: 16,20 

instrument 72:15 

interaction 65:9 

interest 29:21 

interface 65:6 

interfaces 65:6 

involved 18:25 26:18 27:4 28:20 65:11,16,19 

involves 65: 14 

in-house 29:6 

Isaac 36:23 

issue44:7 

issues 44:6 59:4 

item28:5,7 

J 

James 2:3 4:9 39:24 74:11,14,20 

JAMES.ARCHIER@FAA.GOV 2:7 

January 6:11 

Jay67:14 

Jennifer 31:7,24 37:9,10,10,14 64:23 

Jermaine 31:12,13,17 35:15,17 

Jerrod40:5 

job 12:12 14:18 15:24 18:17 54:24 

jobs 12:6 

Job#2-143524 75:19 

July34:9 39:10 

jump6:25 

K 

Kathy 38:22 40:19,21 68:7,8 

Kentucky 13:19,19 

kept20:21 

kind 7:17 12:25 22:16 23:9 50:11,13,14,18 

63:21 65:9 

know 7:12,13 17:8,16,17 18:14 21:23 24:25 

25:3,22 27:2 30:10,14 31:15 33:15,20 34:6 

34:13,17,24 35:8,14,15,20 36:1,5,7,18,19,23 

36:23,24 37:3,4,10,20,25 38:18,22,24 39:7 

39:12,23,25 40:1,16,17,18,19,21 41:10 43:9 

43:10,19,19 44:5 45:6 46:5 47:22,23 49:19 

51:20 53:8 55:22 56:18 57:9,19 58:2 60:8 

60:21 61:17,18,19 63:25 64:6,7,8,12 65:7 

67:11,12,15 68:20 69:15,19,20 70:5 

knowledge 23:1,3 60:18,19 70:11 

known 69:9 72:11 

Kristin 1:20 40:19,21 73:9 75:11 

Kyra 36:1 

L 

L2:18,18 73:18,19 

ladder 14:17 

LAN 38:24 39:2 

language 10:21 

languages 10:20 

Lansing 39:2 68:14 

largest 16:23 17:1 

late 65:7 

lawsuit 22:18 

LAW@AVIALEX.COM 2:21 

learn 11 :21 ,22 

learned 12:3 

leave 31:17 

left 35:20 36:5 

legal15:23 33:18,20 74:2 75:12 

letter 58:24 

letters 60:5,6 

level21:14 

limited 2 7:6 

line41:20 42:13,21 43:12 69:13 71:3 

list42:3,4 

listed 15:24 

little 9:3 32:16 34:20 35:22 

live 11:20 

LLC 1:4 73:4 

load 15:7 

Local11:20 

located 10:15,25 36:11 62:23 

logical27:24 

long5:11,22 12:18 14:7 18:9 29:15 65:4 

longer 51:24 68:15 

look 18:4 21:18,23 22:14 24:12 25:1,20 26:4 

26:16 28:16 32:1,15 33:8 34:3,8,22 35:6,6 

38:20 39:15 41:6,20 42:5 43:12 44:17,23 

45:4,8 46:15,21 47:24 48:5,20 49:7,18,21 

51:13,15 52:1 53:6 54:6,17 55:11,14,23 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

7 
( 

( 

( 

\... 

FEDEtlt AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

57:19 58:17,20 59:18 64:13 67:18,21 

looking 25:2,21 35:7 42:13,16 44:3 46:12 

52:7 53:7,8 56:6 

looks 21:20 

lost 61:8 

loud 7:5 

louder 34:20 35:22 

Louisiana 13: 18 

machine 1 :22 

maintain 61 : 14 

maintained 38:3 

maintaining 20:23 

M 

maintenance 63:3 64:16 66:21,24 

major 11:6 

majority 26:17 

making 27:24 

management 18:19 62:4,6,10,14 63:7 

manager 31:4,9,10 37:8,11,13 38:24 39:4,4 

68:14 

managers 63:4 

manager/instructor 35:11 

Mann 10:13 

manual15:24 19:5,18 67:10 

mark4:15 24:19 25:15 41:1 45:1 46:9 47:10 

49:14 51:10 53:4 55:8 56:10 58:14 59:15 

marked 4:16,23 24:21 25:17,19 35:3,5 41:3,5 

45:3 46:11 47:12 49:16 51:12 53:5 54:5 

55:10 56:12 58:16 59:16 67:17 

Martinaire 1:4 2:22 5:12 12:10,13 13:25 

16:21 17:7 18:25 22:18 24:24 34:5,24 35:18 

36:9,21 37:8 38:3 39:5,21 40:10 58:1 60:13 

62:2,7 65:25 70:8 73:4 74:21 

Martinaire's25:19 26:18 27:5,6 

match 21:20 59:6 

material32:22 44:20 48:6 50:1,22 52:15,18 

52:20,25 53:14,21 54:18,19,21,25 55:25 

56:4,14,24 57:17,20 58:20,22 60:1,2,16 

61:24 62:2 

materials 23:24,25 

matter 1:3 29:11 30:20 73:3 

matters6:21,24 7:1 

Matthew 36:19,21 

MB-13:9 4:15,16,23 

MB-10 3:18 51:10,12,14 

MB-113:19 53:4,5,7 

MB-12 3:20 54:4,5,7 55:4,4 

MB-13 3:21 55:9,10 

MB-14 3:22 56:10,12 

MB-15 3:23 58:14,16,18 

MB-16 3:24 59:15,16,18 

MB-17 3:25 67:17 

MB-2 3:10 24:19,21 

MB-3 3:11 25:15,17 

MB-4 3:12 35:3,5 

MB-5 3:13 41:2,3,5 

MB-6 3:14 45:2,3,5,5 

MB-7 3:15 46:10,11 

MB-8 3:16 47:11,12 

MB-9 3:17 49:14,16,18,18 

McAlester 11: 15 

McDowell1:21 73:9 75:11 

Meacham 1:23 2:5,13 

mean 5:1 12:16,23 14:18 15:16 17:14 23:25 

26:11 27:13 38:11 44:8 49:1 50:1 58:6 

63:11,16,20 66:1,7 69:1 

meaning 67:4 

means 33:15 

meant62:6 

medications 8:7 

Medium 17:5,6 

meet27:20 

menta17:21 8:2 

Metro 12:22 13:17,21 14:1,2,6 

Metro liner 13:2,3 

Michae11:12,17 2:18,18 3:3 4:3 71:2 72:1,6 

72:11 73:7,14,18,19 74:15,21 

Michigan 16:20 51:23 

Mike 5:19 

mine39:9 

MINUTES 74:14,15 

missed20:6 

missing 58:23 60:5,6 

mistake21:10,11,12,13,24 22:9,11,16 27:24 

57:7,9 58:6 

mistakes21:9 22:7 26:25 70:12 

Mitch62:18 

moment 18:24 25:1,20 28:16 41:6 48:5 49:17 

51:13 55:11 58:17 59:17 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

8 
( 

( 

FEDEtlt AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

monitor 64:9,18 number 22:12,13 27:22 33:3,8 34:1,3,8,11,16 

months 38:15,16 34:22 41:21,23,24 42:25 43:3,6 45:14,17,18 

Moore31:7,23,24 37:9,10,10 64:23 45:19 46:25 47:3,4 49:1,5,6 55:24 59:5,7 

Moore's 37:14 numbered 1 : 19 

morning4:7 numeral28:19 29:20 32:1,15 33:10,10,11 

M-A-N-N 10:14 34:1,3,8,22 

N 

n.o.s 48: 11 ,23 

N2:1 3:14:1 75:13 0 

name4:9 5:17 6:4 10:12,13 12:25 31:3,15,22 04:1 

36:24 39:18,23 40:2,3,6 42:6,9,15,21 43:3,7 oath4:2 72:12 

43:13,15,22,24 44:9,18,20 45:9,11 46:21,22 object33:17 

47:24 48:2,3,10,21,22,25 49:21,22 50:5 objection 18:2 33:23 

52:1 53:16,17 54:1 55:2,4,23 56:2,4,14,21 observed 34:17 

56:24 57:20 58:23 59:8 62:19 64:22 71:2 office 1:2 2:4,12 30:8,15,17,22,24 31:22 

72:14 36:11 52:21 64:4,4 72:18 73:2 

named62:11,13 73:14 officer 66:19 74:4,18 

names 21:19 44:24 offices 1 :22 

Nationwide9:14,15 16:11 Oh 39:3 42:14 68:8 69:1 

navigation 19:6 okay 4:13 5:1,6,7,8,14,17,22,25 6:19,21 7:8 

near 10:17 11:6,20 7:12,16,18 8:1,7,12,14,16,20,25 9:3,9,12,20 

neat22:12 10:7,25 11:14 12:15,18,25 13:3,8,11 14:2,6 

necessary 22:8 14:13,16 15:2,9,12,18 16:3,7,12,21,23 17:1 

need 7:12,16,17 18:18 50:4 53:24 54:20,21 17:6,9,13,22,25 18:7,11,23 19:7,10,12,15,17 

65:21 19:23 20:1,3,5,8,21 21:3,16,24 22:2,15,17 

new 13:18 17:21 18:13 19:7 52:11 22:20,23,25 23:3,6,9,16,20 24:5,10,18 25:1 

nods 7:5 25:14,24 26:2,4,12,14,16,25 27:3,12,16 28:1 

NOPC 3:12,13,14,15,16,17,18,19,20,21,22,23 28:13,16,19 29:2,7,9,15,20 30:1,7,12,15,17 

3:24 22:3 23:15 27:13,14 29:19 30:25 32:24 30:20 31:2,8,11,13,15,17,21 32:7,15 33:3 

38:6,8 41:12 42:8 47:7 49:23 52:22,23 34:3,8,16,20 35:2,10,15,20 36:1,14,19 37:6 

54:10 55:19 58:4 60:16 61:2 63:7,10,11,13 37:7,20,22 38:6,13 39:3,5,10,15 40:1,5,8,18 

65:1 68:3 41:4,8,13,17 42:4,13,17,24 43:5,12,24 44:2 

NOPC's40:12 44:12 61:14,22,23 64:14 44:20,23 45:8,23 46:4,8,15,21,24 47:9,16,23 

NOPIC 32:16 48:5,13,20,25 49:4,13,25 50:17,21,24 51:3,9 

NOPIC's 26:19 33:4 34:9,11 51:17 52:1,7,10,17 53:3,14,17,19,21 54:3,11 

normally 38:9,10,11 52:11,12,14,17 55:3,7,18,23 56:3,6,9,23 57:1,12,15,19 58:3 

North 16:18 58:8,25 59:4,14,23 60:4,6,11,15,22 61:7,10 

NOS 55:1 61:13,23 62:4,6 63:2,6 64:1,3,25 65:5,14,18 

NOTARY 72:22 67:3,13,25 68:4,19 69:1,4,13 70:10,13,17 

noted 72:3 Okays 39:23 

notice3:9 4:18,19,24 7:2 38:7 40:8,19 51:17 Okemah 6:5,13 8:20 

68:19 69:6,13 Oklahoma 5:16 11:15 13:13,14,16 14:4 16:19 

noticed 42:24 68:4 once 20:17,18 

notification 21:4,6,6 22:21 32:8 one-year 15:14 

November 13:23 14:8 operated 13:21 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

9 
( 

( 

\. 

FEDE~L AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

operates 30:17 64:5 

operating 66: 19 

operation 63:5 

operations 15:25 16:1 37:17 66:20 67:10,10 

operator 16:21,23 17:1 

Ops 15:24 19:18 

ORAL 1:11,17 

order 50:5 

Oregon 16:19 

organization 11: 16 

original74:8 

Orleans 13:18 

outside 27:23 

0-K-E-M-A-H 6:7 

p 2:1,1 4:1 

packing 28:8 

p 

page3:1,8 26:4,16 35:6,7,8 38:20 39:15 45:5 

45:5,20,21,23 46:16,19 47:7,7 49:8 51:13 

51:14 55:11,12,12,14 59:12,24 67:21 71:3 

pages26:13 

paper 50:1,2,4 53:24,25 54:22 

papers 57:22,23 

paperwork 61:5 

paragraph 33:10 

paragraphs 44:10 

parent 67:6,8 

part 55:2 56:20 62:4 

particular 11:16 42:24 46:2 48:22 57:25 

parties 26:20,21 74:19 75:2 

party 74:12 

passengers 6:17 9:11 

pay 18:4 

Paynter 67:14 

Peacher 31:12 35:15,17,20 

Peffers 39:18 51:18 

Penalty 1:5 73:5 

Penn36:7 

Pennsylvania 16:18 

people5:18,1911:20 16:3,4,5,7 18:14,20 20:8 

24:8 38:18 62:9,11,13 63:4 64:12,20 67:15 

69:5 

performance 19:6 

period 12:3 14:16 34:4,10 38:14 

person20:23 21:22 22:13 29:12 31:3,21 

51:20 56:21 61:4 66:20 72:14 

personally 72:11 

personnel29:21 32:20,25 62:14 

Petroleum 48:10,22 

phone 2:6,14,20 29:12,13 

physical7:21 8:1 

pilot6:3,9 8:23 9:412:14,15,19 14:19,21,23 

15:3,18,2117:25 18:12 21:6,7,10 22:21 

27:23 29:1,10,18 32:8 40:13 41:20 42:2 

43:21 49:7,9,10 56:19 57:7,9,11,13,25 61:4 

61:11 65:8,10,11 66:22,25 

10 

pilots 15:13,22 16:8,10 18:7,13 19:7,22,23 

20:12,15 26:18 27:14,17 28:20,22,25 29:4 

29:25 30:1,20 33:1 52:18 61:13 64:10,15,17 

64:18 67:24 68:19,21 69:7 

pilot's 41:23 57:15 65:7 

Pilot-in-Command 21:4 

placed 48: 18 

plane 64:11 65:14 

pleadings 33:18 

please4:15 6:12,1416:15 18:12 19:17 24:20 

25:16 26:5,8 39:15 41:1,6 45:1,2,4 46:9,10 

47:10 49:15,17 51:11,15 53:4,6 54:4,6 

56:11 58:15,18 59:18 

plus 20:15 

point 65:15,15 

position 12:21 40:8 

possession 61:6 

possibly 69:22 

Power Point 29:5 

preflight6:15,17 9:5,7 

preliminary 6:21,24 7:1 

prepared 26:19 

Present 2:25 

presentation 29:5 

president 62:16,21 63:17,19 66:11,14,15,16 

66:19 

Preston 38:22 39:5 68:4,6,7,8 

presume 14:18 31:8 36:14 37:2 

pretty 21:21 

prevent 32:21 

preventing 29:22 

previous 12:6 

printing 39:17 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
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FEDEtll AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

prior 5:14 6:1,15,16,22 9:20 10:4,23 14:23 

15:4 64:11 

private 5:20 

problem42:8,11 45:13 47:2 49:22 54:19 

56:13 

problems 32:3 44:11,24 45:11,16 46:22,24 

47:6 48:1,7 52:3 55:25 56:3,16,23 58:21 

63:7 

procedure 1:25 7:3 40:11 73:11 

Proceeding 70:18 

process 24:6,7 

produced 1: 17 

proficiency 15: 13 

program 19:14,16,17,19 27:5,7 32:2,5,9,13 

33:3 

progress 14:17 

promise 7:24 8:5 

pronounce 36:24 

proper 32:23 42:5,15 43:3,6,13 44:8 45:9 

47:24 48:1,2,10,21 50:5,22 52:1 56:2,21 

68:2 

properly 58:25 70:4 74:3 

proportion 33:15 

proved 72: 12 

Provided 32:20 

PUBLIC 72:22 

purpose 67:25 

purposes 72:16 

pursuant 1:24 7:2 73:10 74:17 

put21:6 48:2,13 

qualified 27:4 

Quality 23: 11 

0 

question 7:8 33:25 49:4 57:6 63:8 66:5 

questions 7:22 8:3,8,18 70:15,16 

quickly 21 :21 

R2:1 4:1 

raise 25:2,21 53:7 

rank 9:25 17:4 

reaction 57:15 

R 

read 23:23 26:8,11,12 28:16 33:13 39:10 

48:19 53:16,17 72:1 

ready 15:6 

really 53:16 62:8 64:12 

reason8:16 61:3 71:3 

reasons 74:5 

recall29: 16 

received 27:7 29:6 

recognition 19:23 32:22 

recognize 41:8,9,14,17 43:15 44:18 45:8,21 

46:16,18 47:16,19 51:3,6 53:12,14 54:9,11 

54:14,17 56:13,16,23 58:8,11 59:10,12,20 

59:23 60:1 

record 3:12 20:14,16,18 73:13 74:19 

recorded 20:17 

recording40:12 65:1 

Recruit 18:13 

recurrence 29:22 32:21 

red 27:21 

redesigned 23: 15 

reduced 27:25 

red-bordered 27:19 

refer 50:21 

referring 60:21 

refers 32:25 

regard 18:23 55:3 68:21,22 

regarding 20:9 27:1 61:22 

Region 2:4,12 

Regional2:4,12 

regulation 21:18 62:14 

regulations 19:5 27:21 50:19,22 

regulatory 27:22 

reincorporated 32:10 

reiterate 68: 1 

reiterated 69:22 

relay64:17 

relevant 18:2 

remedial56:20 

remember 14:5 29:1 31:18 40:7 57:12,18 

repeat 7:9 33:25 

rephrase 7:9 63:8 

report 15:6,25 16:3,7 18:17 64:14,20,22 

reported 1 :21 

Reporter 4:14 55:8 73:9 

Reporter's 3:6 73:7 

require 61: 13 

required 22:9 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

11 
( 

FEDEtlt AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: MICHAEL BATES S/16/2013 

requirements 19:19 

requires 38:12 

rescue 64:13 

research 21:12,16,17 

Respondent 1:6 73:6 

responder 43:6,8 

responsible 20:23 

return 73:21 

returned 74:1 

reviewing 44:12 

reviews 47:13 

revised 32:2,16,24 

revisions 32:4 

revolves 65: 10 

right4:21 5:9 7:20 12:12 18:16 37:25 45:18 

48:25 49:7,10 50:4,6,12,13 52:9,12 53:24 

53:25 54:1 60:11,13 61:14 64:23 68:15 69:6 

ring40:6 

rise 34:10 

role 12:19 

Roman 28:19 29:20 32:1,15 33:3,10,10,11 

34:1,3,8,22 

room4:11 

rotating 36:17 

Roughly 18:5 

routes 9:12 18:7 

Rules 1:24 7:3 73:11 

run 63:4 

rushed69:7 

Rusinowitz2:25 16:2 36:24,25 37:2,18 63:1,6 

63:14 68:17 

Rusinowitz's 37:22 

S2:1 3:7 4:1 

safe9:10 15:5,23 

safekeeping 74:11 

safely 27:21 

safety 20:3 

salary 17:25 

San 2:20 73:20 

sat29:9 

satisfactory 15:15 

satisfied 28:13 70:7 

saw25:8 

s 

12 

saying48:9 

says26:17 27:3,12 28:20 33:11,13 43:13 45:9 

45:25 47:4 48:21 

scheduled 6:16 

school10:4,12,14,23 11:24 

Schule 10:14 

seal72:18 

search 64: 13 

second 43:12 48:20 56:3,24 

see21:20 26:6 33:1139:13 42:8,1144:6,23 

45:11,13,16 46:22,24 47:6 48:1,6,7 49:22 

52:3,11,12,14,17,25 54:18 55:24 56:3 58:3 

58:6,21 59:4 61:5 70:11 

seek33:18 

seen 4:23 24:24 25:4,24 

send 52:18,19 

senior 62:4,6,9 63:4,7 

sense 33:14 

sent 69:15 70:3 

sentence 26:17 27:3,12 

sergeant 10:1 

seriousness 29:10 

served 75:1 

shakes 7:5 

sheet 74:4 

shifts 36:17 

shipment 49:11 

shipments 34:5 

shipped 46:2 

Shipper's 21:18 50:19 

shipping42:6,8,15,21 43:3,6,13 44:9,24 45:9 

45:11 46:21,2247:24 48:1,3,6,10,21,22,25 

49:1,21,22 50:1,4,5,22 52:1,15,18,19,20 

53:1,24,25 54:18,19,21 55:4,23 56:2,4,14,21 

56:24 57:22,23 58:20,22 59:8 60:16 

shorthand 1:22 73:9 

show6:15 15:7 25:18 64:11 

showed 25:10 26:2 

showing4:22 24:22 35:4 41:4 

shown 29:4 33:4 75:2 

shows 21:19 50:20 

sic 32:24 69:15 

sick 8:10 

sign 55:18,21 

signature 3:5 35:10,13 37:24 39:7 41:13,14 

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\. .. 

FEDEttL AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

41:15 46:15,16 47:16,17,19,20 51:3,17 

53:11,12,12 54:11 55:14 58:9 59:20,21 71:1 

72:2 73:21 

signed40:19 

simply 21 :20 

sir4:8,25 7:7,11,15,19,23,25 8:4,6,9,11,13,15 

8:19,22 9:16,21,24 10:6,24 11:3,11 12:2,8 

12:11 13:7,10 14:12,15 15:11,17,19 16:6,9 

16:11,22,25 17:3,24 18:22 19:3,11,25 20:2 

20:4,7,10 21:5,8 22:1,4,6,24 23:2,13,19 

24:4,11,17 25:7,23 26:7,15 27:11,15 28:10 

28:12,15,18 29:3,14 30:3 31:14,16,20,25 

32:11,14,19 33:2,7,16 34:2,7,15,19,23 35:1 

35:9,12,14, 16,19,21 ,22,23,25 36:2,4,6,8,1 0 

36:13,16,18,20,22 37:1,12,15,19,21,23 38:1 

38:1,21,23,25 39:6,12,14,16,19,22,25 40:4 

41:7,16,19,22,25 42:7,10,23 43:1,4,9,11,14 

44:1,19,22,25 45:7,10,12,15,22 46:3,7,14,17 

46:20,23 47:1,8,15,18,22,25 48:4,24 49:12 

49:20 50:16 51:2,5,8,15,16,19,21,25 52:4,16 

52:24 53:2,10,13,20 54:2,8,13,16 55:6,13,17 

55:20 56:8,15 57:8,14,24 58:2,5,7,10,13,19 

59:9,11,13,19,22,25 60:3,14,25 61:12,22,25 

62:3,5,22 64:2,21 65:13,17 66:9 67:5,7,16 

67:20,22 68:5,12,18,25 69:8,10,11,12 70:9 

sit 30:1 

six21:20 33:3 

Sixty 18:6,7 

six-month 15:14 

size 17:4,5 

Smith24:10 33:6 44:12 63:15,16,18 

son 37:22 

sorry69:18 

sort 70:5 

south 11:5,6 16:18 

Southwest 2:4,12 

speak 10:21,22 34:20 35:22 66:25 

specific 20: 16 63:22 

specifically 19:9 28:24 32:2 57:12,18 62:15 

speculating 70:3 

spell6:6 31:13,15 62:19 

Spend 6:20 

spot23:17 47:20 

Spring 12:5 

staffl 0:1 30:11,12 

started 6:25 12:9 60:12 

starting 6:22 

State 1:21 72:7,23 73:10 

statement 18:4 34:14 44:14 

states 16:16 30:20 

station 38:24 39:4,4 68:14 

stipulate 5:4 44:10 

store 20:20 

Street2:19 73:20 

structure 65:25 66:2 

study 10:19 

stuff67:12 

Stuttgart 11 :7 

submitted 73:17 

subscribed 72:15 

subsidiary 67:4 

suggested 28:5 

Suite 2:19 73:20 75:13 

Super 48:11,23 

Supervise 18:19 

supervising 15:23 

supervisor 18:19 23:5,6 

Support 74:2 75:12 

supposed47:4 64:10 

sure9:10 15:5,14,22 17:8 18:14,15,16,16 

22:14 37:3,4 38:18 40:24 43:21 50:3,13 

64:10 69:20 

sworn 1:18 4:4 

sworn/affirmed 73: 16 

T3:7 51:18 

table 21:19 

T 

take7:17,17 25:1,20 26:4,16 28:16 32:1,15 

33:8 34:3,8,22 35:6 38:20 39:15 40:22 41:5 

42:5 43:12 44:17 45:4,8 46:15,21 47:24 

48:5,20 49:17,21 51:13 52:1 53:6 54:6,17 

55:11,14,23 58:17,20 59:17 64:14 65:21 

67:18,21 

taken 1:19 7:2 40:25 65:23 74:18 

Talena 36:7 

talk30:2 

talked29:10,18 63:6,9,14,19 

13 

talking 23:9 29:23 30:4,7 50:9,13,14,17 57:11 

61:10 68:20,21 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
{ 

\ 

( 

FEDEtll AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

taught 56:19 

Taxable 75:18 

teaching 5:18,19 

team34:9 

tell7:24 8:5 9:3 10:7 15:2,12,20 16:15 18:11 

19:12,17 20:11 22:13,20 23:14 24:7 28:3,24 

43:2 49:24 55:21 60:6 61:1 64:4,8 65:5 

66:10 

terms 14:17 17:4 

territories 16:13 

territory 13:9,12 14:3,11 

testifies 4:4 

testimony73:14 74:18 

Texas 1:21,24 2:5,13 13:15,16 14:4 16:18 

73:10 75:11,13 

Thank4:9 5:1 44:13 46:8 49:13 51:9 53:3 

54:3 57:4 59:14 60:11 

then-FAA27:5 

therefor 74:5 

thereof74:9 

thing 65:3 66:19 

things 5:4 29:17 43:20 64:7 

think8:16,1716:20 22:16 26:3 40:5 60:12 

third 26:5,8,20,21 44:17 

thorough 24:6 

three 34:8 

till6: 11 

time6:16 13:22 14:16 18:15 21:25 25:8 30:8 

30:10 34:4 64:12,24 68:10 70:6 74:12,18 

timely 65: 15 

title 6:8 14:17 

titles 40:9 

today4:7,11 7:22 8:3,8,10 24:13 

Todd39:18 

told 57:16 63:25 64:22 

top29:8 41:20 67:10 

total34: 11,16 

town 11:20 

tracking 27:22 

train 18:13 19:7 20:8 

trained 27:4 43:20 

training 3:12 18:23,24 19:1,2,4,10,12,14,20 

19:21,24 20:1,3,5,11,12 22:8,10 27:5,7,8,9 

29:6 32:2,4,9,13,21 38:6,6,8 65:18,18,19 

transcribed 59:1 

transcript 73:13,17 74:1,8 

transmit 52:20 

transmitted 61 :2,3 

transport 6:17 32:23 

TRANSPORTATION 1:1 73:1 

transpose 22: 13 

tree 66:6,7,10,25 67:2,9 

trees 67:4 

trial74: 11 

triple 32:1 

truck 15:7 

true34:6,13,18 72:3 73:13 

truthfully 8:18 

Tuinstra 40:5 

two 6:16 13:5 24:8 26:13 29:20 34:3 38:9,10 

58:24 

two-year 38:13 

type9:12 12:2417:918:24 21:17 24:5 29:17 

50:12 58:6 70:1 

typo 21:14 

u 

UN 21:19 42:25 43:2,5 45:13,16 46:24 47:2 

48:3,16 49:1 52:2 55:24 59:7 

understand 7:6,9,10,14,22 8:8 23:23 24:15 

33:22 34:1 66:4 

uniform 18:15 

UPS 15:7 26:22,23,25 45:25 46:1,5 52:8,12 

56:6 59:1,1 69:7 

use 15:23 50:10 67:2 74:11 

user 27:13,14,16 32:17 

Usually 16:4 

utilize 50:24 

U.S1:111:873:174:175:12 

variable 17: 19,20 

varies 30:5,7 

verbatim48:8 

vice 66:16,18 

violation 61: 16,24 

v 

violations60:16 61:20 62:2 63:10,12,13 

visit28:4 

VP66:17 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

14 
(_ 

( -

...___ 

FEDEtlt AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: MICHAEL BATES S/16/2013 

w 

want8:20 11:2112:918:23 26:4,5 28:19 33:9 

33:9 49:4 50:12 64:3 69:7 

Washington 1:2 16:19 73:2 

wasn't 22:10 31:8 48:13,18 

water 7:16,16 35:24 

way43:22 44:6 

weather9:5 15:5 19:6 64:18 

week25:9 

weeks69:15 

we're24:13 44:10 50:13 

we've32:18 

Whichever 16:17 

willing 44:10 

witness 1:18 3:3 25:4,23 26:15 28:18 35:9 

41:7 45:7 47:13 49:20 51:16 53:10 55:13 

58:19 59:19 71:2 73:14,15 74:3,6 

word58:23 

work 7:13 15:4,9 18:15 36:17,21 57:25 65:3,7 

worked 8:23,25 

working6:1 

works 36:14 37:2 

Worth 1:23 2:5,13 

wouldn't29:4 53:22 

would've 14:3 

write 30:25 68:19 

writing 59:12 

written21:22 22:12 32:4 55:1 58:25 60:2 

61:16 

wrong59:8 

X 

X 3:1,7 19:20 

y 

Yeah 66:7 

year5:24,2511:818:1 

years 6:10 10:2,10,11 14:13 38:9,10 

yesterday4:18 44:12 

00 74:15 

0174:14 

043:9 

0 

1 

145:5 51:13 55:11 67:21 

10:03 40:25 

10:43 65:23 

10:54 65:23 

10:591:20 70:18 

100 50:15 75:13 

1087 47:5 

12 34:16 38:15,16 

12/31114 75:12 

1263 45:20 

126848:17 

13th 39:10 

15th 39:11 

161:13,19 73:8 

16th 73:15 

1900 17:12 

198710:3,11 11:9,10 47:4 

198912:5 

199510:3 11:12 

1998 9:1 11:12 

1999 5:13,14 9:2 12:10 14:16,19 60:13 

2 

2 3:2 38:20 45:5,20,21,23 51:14 55:12 67:21 

20/20 57:2 

2000 12:20 13:23 

200114:8,9,13 

2003 14:22,23 15:18 

201134:10 39:11 

2011SW7001891:4 73:4 

20131:13,20 72:19 73:8,15,18,22 74:2,10 

75:3 

20812:17 17:10,14,15 

208s 17:11 

2102:19 73:20 

214-741-600175:14 

214-741-6824 75:14 

222-5099 2:6,14 

222-5945 2:6,14 

24 3:10 

25 3:11 

26011:23 2:5,13 

3 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

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( 

( 

FEDE~L AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

3 39:15 44:10 55:12 

343 75:12 

35 3:12 

43:4 44:10 

413:13 

415 2:20,21 

421-2500 2:20 

421-2560 2:21 

45 3:14 16:4 

46 3:15 

4652:19 73:19 

47 3:16 

49 3:17 50:14 

5.152:5 

500 34:5,12 

513:18 

53 3:19 

54 3:20 

55 3:21 

563:22 

58 3:23 

59 3:24 

5910 75:13 

6.152:6 

600 34:5,12 

67 3:25 

733:8 

7/14/201138:7 

713:5 

733:6 

7520675:13 

761371:24 

76137-4298 2:5,13 

8 26:4 34:10 

8172:6,6,14,14 

8218 75:11 

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926:16 

9:041:20 

4 9:5640:25 

90 34:11 

94104 2:20 73:20 

98 6:11 

996:11 

5 

6 

7 

8 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

16 
e e 

FEDERAL AVIATION ADMINISTRATION v. MARTINAIRE 

Deposition of: MICHAEL BATES 5/16/2013 

1 CHANGES AND SIGNATURE 

2 WITNESS NAME: MICHAEL BATES DATE: J2/L~4M}3 

3 PAGE LINE CHANGE REASON 

4 ~:( _________ l~ _________ Jtd~~11o~------~~~ 

5 -----------------------~-~~~~~-------------~~-

6 -----------------------~Y~~~~~---------------------

7 

B 

9 

10 

11 

12 

13 

14 

15 

16 

17 

18 

19 

20 

21 

22 

23 

24 

25 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

71 
e e FEDERAL AVIATION ADMINISTRATION v. 

Deposition of: MICHAEL BATES 

MARTINAIRE 

5/16/2013 

1 I, MICHAEL BATES, have read the foregoing 

2 deposition and hereby affix my signature that same is 

3 true and correct, except as noted above. 

4 

5 

6 

7 

8 

9 

10 

--~----------------- MICHAEL BATES 

THE STATE OF -~~--) 

COUNTY OF --~l~ __ ) 

Before me, ---~---~J-~~------' on this 

11 day personally appeared MICHAEL BATES, known to me (or 

12 proved to me under oath or through 

13 -~~--Jp~L~-ll~) (description of identity 

14 card or other document) to be the person whose name is 

15 subscribed to the foregoing instrument and acknowledged 

16 to me that they executed the same for the purposes and 

17 consideration therein expressed. 

18 Given under my hand and seal of office this 

19 --~-1~ day of ---~~-------------' 2013. 

20 

21 

22 

23 

24 

25 

---~-~------------ NOTARY PUBLIC IN AND FOR 

'~-~-~T~~~~o~~~~~~ \~,~07 27 2013 THE STATE OF __ :f"~~-----------

.' COMMISSION EXPIRES: _:1_J&:._'l/.J.3 ___ _ 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

72 
e e 

FEDERAL AVIATION ADMINISTRATION v. 

Deposition of: MICHAEL BATES 

MARTINAIRE 

5/16/2013 

l 

2 

3 

4 

5 

6 

7 

8 

9 

U.S DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE HEARINGS 

WASHINGTON, DC 

In the Matter of: FAA DOCKET No. FAA-2013-0040 

Martinaire Aviation LLC ) FAA CASE No. 2011SW700189 

Respondent 

(Civil Penalty Action) 

REPORTER'S CERTIFICATION 

DEPOSITION OF MICHAEL BATES 

MAY 16, 2013 

I, Kristin McDowell, Certified Shorthand Reporter 

10 in and for the State of Texas, hereby certify pursuant 

11 to the Federal Rules of Civil Procedure to the 

12 following: 

13 That this deposition transcript is a true record of 

14 the testimony given by MICHAEL BATES, the witness named 

15 

16 

17 

18 

herein, on May 16th 2013 after said witness was duly 

sworn/affirmed by me. 

That the deposition transcript was submitted on the 

_l~fb ___ day of )~£L~---- 2013 to Mr. Michael L. 

19 Dworkin, MICHAEL L. DWORKIN & ASSOCIATES, 465 California 

20 Street, Suite 210, San Francisco, California 94104 for 

21 

22 

23 

24 

25 

examination, signature and return to me by 

:ruljL----L~-------' 2013. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

73 
• e 

FEDERAL 

Deposition of: 

AVIATION ADMINISTRATION v. 

MICHAEL BATES 

MARTINA IRE 

5/16/2013 

1 That the deposition transcript was returned to u.s. 

2 Legal Support on --------------------' 2013, was 

3 properly executed by the witness to the deposition 

4 officer, and the attached change/correct sheet contains 

5 any changes, and the reasons therefor, made by the 

6 witness. 

7 

8 That the original deposition transcript, or a copy 

9 thereof, together with copies of all exhibits, was 

10 delivered on the ------ day of ------------' 2013 to Mr. 

11 James Archier for the safekeeping and use at trial. 

12 That the amount of time used by each party at the 

13 deposition is as follows: 

14 

MR. JAMES ARCHIER ........ . 01 HOURS:40 MINUTES 

15 MR. MICHAEL DWORKIN ...... . 00 HOURS:OO MINUTES 

16 

17 That pursuant to information given to the deposition 

18 officer at the time said testimony was taken, the 

19 following includes counsel for all parties of record: 

20 

21 

22 

23 

24 

25 

MR. JAMES ARCHIER: Attorney for FAA; 

MR. MICHAEL DWORKIN: Attorney for Martinaire. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

74 
-' 

1 

2 

3 

4 

5 

6 

7 

8 

9 

10 

11 

12 

14 

15 

16 

17 

18 

• e 

FEDERAL 

Deposition of: 

AVIATION ADMINISTRATION v. 

MICHAEL BATES 

MARTINAIRE 

5/16/2013 

That a copy of this certification was served on all 

parties shown herein. 

Certified to by me this g2t~ day of :1_~11~--' 2013. 

-~9&~-------,.,.., KRISTIN MCDOWELL 

Texas CSR No. 8218 

Expiration Date: 12/31/14 

U.S. Legal Support, Inc. Firm # 343 

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U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
EXHIBITE 

Deposition of Alan Rusinowitz 

FAA Case No. 2011SW700189 I DMS No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS TO COMPLAINANT'S 

MOTION FOR DECISION 
( 

j.-· ·-i' 

'·---

FEDERAL A~TION ADMINISTRATION 

Deposition of: ALAN RUSINOWITZ 

V. 

5/16/2013 

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U.S DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE HEARINGS 

WASHINGTON, DC 

In the Matter of: ) FAA DOCKET No. FAA-2013 -0040 

Martina ire Aviation LLC ) FAA CASE No. 2011SW700189 

) (Civil Penalty Action) 

Respondent 

ORAL DEPOSITION OF 

ALAN RUSINOWITZ 

MAY 16, 2013 *. ""** * * * * * * * * * * * * * * * * * * ** ** * * * * * *** * * ** * * * * *** * * * * * ** * * * 

ORAL DEPOSITION OF ALAN RUSINOWITZ, produced as a 

witness at the instance of the FAA, and duly sworn, was 

taken in the above-styled and numbered cause on May 16, 

2013, from 9:04a.m. to 10:59 a.m., before Kristin 

McDowelL CSR in and for the State of Texas, reported by 

machine shorthand, at the offices of FEDERAL AVIATION 

ADMINISTRATION, 2601 Meacham Boulevard, Fort Worth, 

Texas 76137 pursuant to the Federal Rules of Civil 

Procedure. 

APPEARANCES 

Mr. James Archier 

FEDERAL A VIATJON ADMINISTRA TJON 

Office of Regional Counsel 

Southwest Region 

260 I Meacham Boulevard 

Fort Worth, Texas 76137-4298 

Phone: (817) 222-5099 

Fax: (817) 222-5945 

JAMES.ARCHIER@F AA.GOV 

COUNSEL FOR FEDERAL AVIATION ADMINISTRA TJON 

-andMs. Becky Holms 

FEDERAL AVIATION ADMINJSTRA TION 

Office of Regional Counsel 

Southwest Region 

2601 Meacham Boulevard 

Fort Worth, Texas 76137-4298 

Phone: (817) 222-5099 

Fax: (817) 222-5945 

COUNSEL FOR FEDERAL AVIATION ADMINISTRATION 

Mr. Michael L. Dworkin 

MICHAEL L. DWORKIN & ASSOCIATES 

465 California Street 

Suite 210 

San Francisco, California 94104 

Phone: (415) 421-2500 

Fax: (415) 421-2560 

E-MAIL: LA W@A VIALEX.COM 

COUNSEL FOR MARTINAIRE 

Also Present: Mr. Alan Rusinowitz 

1 

2 

1 (Pages 1 to 4) 

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1 INDEX 

PAGE 

APPEARANCES ............... . 2 

WITNESS 

ALAN RUSINOWITZ 

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DIRECT EXAMINATION BY MR. ARCHIER. . . 4 

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Signature and Corrections . . . . . . . . 48 

Reporter's Certificate. . . . . . . . . . 50 

EXHIBITS 

NO. Description PAGE 

AR-1 Notice. . . . . . . . . . . . . . . . . . 04 

AR-2 Martinaire's letter of response . . . . . 30 

1 PROCEEDINGS 

2 (Oath administered.) 

3 ALAN RUSINOWITZ, 

4 having been first duly sworn, testifies as follows: 

5 EXAMINATION 

6 BY MR. ARCHJER: 

7 Q. Good afternoon, Mr. Rusinowitz. My name is James 

8 Archier, and I'll be taking your deposition today. And 

9 you know our other attorney, Becky Holms. 

10 A. Yes. 

11 Q. Okay. 

12 MR. ARCHIER: Ms. Court Reporter, would you 

13 please mark this as AR-1 for identification. 

14 (Exhibit No. AR-1 marked.) 

4 

15 Q. (BY MR. ARCHIER) Mr. Rusinowitz, have you seen 

16 this document before? 

17 A. Yes, I have. 

18 Q. Okay. All right. And -- thank you. As I 

19 indicated in the notice, in document AR-1, this a notice 

2 0 of deposition, and this particular deposition is taken 

21 pursuant to notice and in accordance with the Federal 

2 2 Rules of Civil Procedure. 

2 3 Mr. Rusinowitz, I'm going to ask you a series of 

2 4 questions, sir, and please answer out loud. No nods or 

25 shakes ofthe head. Do you understand? 

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\. 

FEDERAL A.TION ADMINISTRATION v. MAerNAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

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A. Yes. 1 A. Yes. 

Q. Okay. Ifl ask you a question you don't 2 Q. Okay. Where is your BA from? 

understand, ask me to repeat it and I'll rephrase it, 3 A. Dowling College. 

okay? 4 Q. And is that D-0 --

A. Yes. 5 A. D-0-W-L-I-N-G. 

Q. If you need a break, let me know and we'll take a 6 Q. Where is that located? 

break. 7 A. Oakdale, Long Island. 

A. Yes. 8 Q. When did you graduate from there? 

Q. Okay. Is there anything about your physical, 9 A. 1984. 

emotional, or mental condition that will not allow you 10 Q. What did you major in? 

to understand my questions today? 11 A. Aeronautics. 

A. No. 12 Q. And do you have any post-graduate education? 

Q. If that changes, will you promise to tell me? 13 A. No, sir. 

A. Yes. 14 Q. Okay. And did you start work after you 

Q. Is there anything about your physical, emotional, 15 graduated -- or what year did you graduate? 

or mental condition that will not allow you to give full 16 A. 1984. 

and complete answers to my questions? 17 Q. Did you start work right after you graduated? 

A. No. 18 A. I've worked since I'm 16 years old. 

Q. If that changes, will you promise to tell me? 19 Q. Okay. What was your first job after you 

A. Yes. 20 graduated in 1984? 

Q. Are you under any medications that will make it 21 A. Flight instructing. 

difficult for you to understand my questions? 22 Q. Okay. And where was that at? 

A. No. 23 A. Nassau Flyers, Republic Airport, Long Island. 

Q. Are you sick today? 24 Q. So you're a pilot? 

A. No. 25 A. Yes, sir. 

6 8 

Q. Okay. Are you are currently under a doctor's 1 Q. And you have a pilot's license? 

care? 2 A. Yes. 

A. No. 3 Q. How long did you do flight instruction? 

Q. Have you had any alcohol within the last eight 4 A. I think about 1986. 

hours? 5 Q. Okay. And was your job just to instruct the 

A. No. 6 pilots on how to fly an airplane? 

Q. Okay. Any other reason that you can think of 7 A. Teach people how to fly airplanes and fly 

that you won't be able to answer fully and truthfully my 8 charter. 

questions? 9 Q. And fly charter? 

A. No. 10 A. Yes, sir. 

Q. Okay. Where do you live at, Mr. Rusinowitz? 11 Q. So did you do any flying, yourself, at that time? 

A. Plano, Texas. 12 A. Yes. 

Q. Okay. And are you married or single? 13 Q. What type of flying did you do? I mean did you 

A. Married. 14 fly on behalf of the company, or were you just-- I 

Q. And how many children do you have? 15 guess you had to fly --

A. Two. 16 A. Personal and professional. 

Q. Okay. How long have you been an employee with 17 Q. Okay. After 1986, what company did you ... ? 

Martinaire? 18 A. It's a long time ago, so within a year, my 

A. Twelve and a half years. 19 progression was -- I went from business - I went to 

Q. Okay. And so you would have started as an 20 Business Express Airlines. 

employee with Martinaire in what year? 21 Q. Business Express Airlines. Where are they 

A. October 2000. 22 located? 

Q. Okay. And prior to your employment-- well, tell 23 A. They -- at that time they were located in 

me a little bit about your educational background. Do 24 Bridgeport, Connecticut. 

you have a BA? 25 Q. And what was your title with them? 

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., FEDERAL A""'e'!ATION ADMINISTRATION v. 

'&\ 

~INAIRE Deposition of: ALAN RUSINOWITZ 5/16/2013 

3 (Pages 9 to 12) 

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A. First officer. 1 hired by Donald Trump. 

Q. And what were your duties and responsibilities? 2 Q. The last flight engineer? 

A. I was second in command, to aid the captain, fly 3 A •. Yeah. We were hired as second officers. And 

the airplane, do what he did, shut up, sit down, don't 4 then the progression was --you know, we're a flight 

ask too many questions. The good old days. 5 engineer and then you would move up to captain or 

Q. You make it sound so simple. How long were you 6 co-pilot or first officer, then captain. So you always 

there? 7 started in the side saddle seat on the 727 as the flight 

A. About a year. 8 engineer. 

Q. Okay. And so you would have been there from 9 Q. They're not in existence today, are they? 

1986, roughly, to I 980 -- 10 A. Like I said, I was the last pilot ever hired by 

A. '7, '8, somewhere in there. 11 Donald Trump. 

Q. All right. What did you do next? 12 Q. So how long did that last? 

A. I went to New York Air. 13 A. Two years. 

Q. What was your title there? 14 Q. Okay. So that would have brought us up to about 

A. First officer on the DC-9. 15 what year, then? 

Q. DC-9 is a big aircraft. 16 A. 1992. 

A. Um-hmm, yes, sir. A jet. 17 Q. 1992? Okay. So from 1992 to 2000, what did you 

Q. So what routes did you fly there? 18 do in that period? 

A. New York, Boston, Florida, Cleveland, whatever 19 A. You ready? 

the schedule was. They were a scheduled airline. 20 Q. Yeah. 

Q. How long did you fly as a first officer there? !21 A. 1992 to '93, I worked for FlightSafety. 

A. Approximately one year. 22 Q. Okay. FlightSafety? 

Q. Okay. What did you do next? 23 A. '93 to '94, Business Express Airlines again. 

A. Back to instructing at Nassau Flyers. 24 Q. Business Express again? 

Q. For how long? 25 A. '94 to '95, back to FlightSafety. 

10 12 

A. Approximately a year. 1 Q. '94 to '95, back to FlightSafety. 

Q. Okay. What did you do next? 2 A. '95 to 2000, back to Business Express. 

A. Went to a company called East Hampton Air. 3 Q. '95 to 2000 --

Q. What did you do there? 4 A. Um-hmm (affirmative). 

A. Flew as a captain. 5 Q. --back to Business Express? 

Q. And that's East Hampton? 6 A. Right. Then in 2000 sperit nine months at SIMCOM. 

A. East Hampton, Long Island to LaGuardia. 7 Q. What's that? 

Q. So you were the captain? 8 A. SIMCOM, S-1-M, then capital C-0-M. 

A. Yes, sir;. 9 Q. Okay. What kind of company is that? 

Q. So the only place you flew was from Long -- I 10 A. Training company. 

mean where did you fly from? 11 Q. Training? 

A. We were ~ased in the Hamptons. 12 A. Flight training. 

Q. Okay. 13 Q. Flight training. So you taught people how to 

A. And flew mostly to LaGuardia or Boston or 14 fly? 

Atlantic City. 15 A. No. I was in the- they were trying to develop 

Q. Was this charter? 16 a new - or enhance - it was called the ab initio 

A. Some was charter; most was scheduled. 17 training program, and theybrought me in to help do 

Q. And how long were you there? 18 that. 

A. Approximately a year. 19 Q. When you say the ab initio training program, what 

Q. A year, okay. You were a captain there? 20 do you mean? 

A. Yes, sir. 21 A. It's a new airline pilot training. 

Q. Okay. What did you do next? 22 Q. Okay. So what were your responsibiiities there? 

A. Trump Shuttle. 23 A. Recruiting and developing the program. 

Q. Trump Shuttle? 24 Q. Okay. Now, in I 992 you were at FlightSafety as 

A. I ~as the last flight engineer or pilot ever 25 what? What was your title there? 

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214-741-6001 

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( 

/ 

FEDERAL A~ATION ADMINISTRATION 

Deposition of: ALAN RUSINOWITZ 

v. AINAIRE 

5/16/2013 

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A. To grow the ab initio training department and 1 

recruitment and to help develop airline pilot training 2 

programs. 3 

Q. Okay. So when you say ab initio, is that a trade 4 

name? 5 

A. It's an industry term "from the beginning." It's 6 

to take - a pilot who has all the licenses and 7 

qualifications but who's never flown for the airlines or 8 

doesn't have any airline background and teach them how 9 

to be an airline pilot. 1 o 

Now, you can take someone who either had licenses 11 

or even from ground zero, you know, the guy who raises 12 

his hand and says, I want to be a pilot. It depends on 13 

the person where they enter the program. 14 

Q. Okay. So your last date there would have been 15 

sometime in 2000? 16 

A. Yes. 17 

Q. Okay. And then that's when you started your 18 

tenure with Martinaire? 1 9 

A. Correct. 2 0 

Q. And when you started your tenure with Martinaire, 21 

what was your first job? Did you come in -- 2 2 

A. Executive vice president, chief operating 

officer. 

Q. Executive vice president and chief operating 

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officer. And that's what you are today, right? 1 

A. Correct. With that I'm also the director of 2 

operations. 3 

Q. Director of operations. Tell me what you do as 4 

director of operations. 5 

A. As director of operations, I'm responsible for 6 

all flight operations activities, chief pilot, assistant 7 

chief pilot to all the pilots and flight following or 8 

dispatch. 9 

Q. Okay. So all those people report to you? 1 o 

A. Everybody but the president- well, as DO, yes. 11 

Q. Now, as chief operating officer, what does that 12 

mean? 13 

A. Everybody reports to me but the president. 14 

Q. Okay. But doesn't that mean that you also get 15 

into the financial? Don't you handle the financial 16 

aspects of the -- 1 7 

A. I get involved in everything. 18 

Q. Okay. So do you manage the financial aspects of 19 

the company? 2 o 

A. No. 21 

Q. Okay. But you talk to the person who manages the 2 2 

financial aspects of the company? 2 3 

A. Well, are you talking about accounting money 

management or the fiscal responsibilities of being an 

24 

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19 

officer of the company and where is the money going and 

where is it being pissed away and how do we earn it, and 

things like that? 

Q. Well, let's just talk about the fiscal 

responsibility. That comes under your bailiwick, right? 

A. Comes off any officer's bailiwick. 

Q. All right. 

A. Yes. 

Q. As far as the accounting function, that doesn't 

come under your umbrella? 

A. Well, I am above the vice president of 

accounting. 

Q. So--

A. But I am not an accountant. 

Q. But those people report to you, too? 

A. To me and the president, yes. 

Q. You and the president? 

A. And the board. 

Q. And the board. Okay. 

A. Did I do good on recapping 31 years of 

experience? 

Q. The only thing you've ever done in your life is 

aviation, right, in some form? 

A. Yeah. Since I'm 16. 

Q. Yeah. Since you're 16? 

A. Yeah. 

Q. And you started out at 16. What did you do? Fly 

planes at 16? 

A. That's the youngest you could be to get a 

student's pilot license. And in New York you can't 

drive until you're 17. So I used to take the bus, ride 

20 

my bike 11 miles where they father or mother would drive 

me to the airport, sit in the car, an office for two 

hours while I had a lesson, and then drive me home. 

MR. DWORKIN: Alan's dad was in the aviation 

business. 

A. I'm second generation. 

Q. (BY MR. ARCHIER) So he was a pilot too? 

A. Yes. 

Q. Okay. Mr. Rusinowitz, I need you to tell me 

about the business structure of Martinaire Aviation. Do 

you understand my question? 

A. I would need something more specific. 

Q. Okay. All right. I noticed on your tax returns, 

which I gave back to your attorney --

A. Yes, sir. 

Q. -- that you file your tax returns as a 

partnership? 

A. Martinaire Aviation, LLC, is a limited liability 

company. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

be0f5d55-79bc-4c50-9e 71-f5542e8eaa2f 
( 

FEDERAL A~ATION ADMINISTRATION 

Deposition of: ALAN RUSINOWITZ 

v. £INAIRE 

5/16/2013 

6 (Pages 21 to 24) 

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Q. Okay. Now, it's a limited liability company? 1 A. But I believe I'm also the secretary; chief 

A. Yes, sir. 2 operating officer and secretary on that one. 

Q. Okay.· But I'm a little bit confused, if it's a 3 It's two officers, I believe the chairman and the 

limited liability company, how the partnership comes in 4 director. 

there? 5 Q. Okay. There are two officers and you're one of 

A. Not being an accountant- 6 the officers because you're the secretary and the --

Q. Okay. 7 A. Chief operating. 

A. -- or a corporate lawyer specializing in 8 Q. -- chief operating officer? 

structures, it is my understanding that a limited 9 A. Correct. 

liability company as a taxable entity is taxed as a 10 Q. And who is the other officer? 

partnership where the profits or losses go through to 11 A. Mitch Acker. 

the owners or partners in the LLC. 12 Q. And he's the president? 

Q. Okay. Thanks for that clarification. 13 A. AndCEO. 

Now, as far as annual reports go, does 14 Q. President and CEO? 

Martinaire, LLC, file its own annual report? 15 A. OfMartinaire, Inc. I want to make sure we're 

A. We are not required to file an annual report 16 talking about -

because we're not a corporation. 17 Q. Right. 

Q. Okay. So it doesn't file an annual report? 18 A. - only Martinaire, Inc. 

A. No, sir. 19 Q. Yeah. We're only talking about, right now, 

Q. Okay. Is there -- is Martinaire, LLC, a 20 Martinaire, Inc. 

subsidiary of some other holding company? 21 A. Okay. 

A. No. It is owned by a series of other companies. 22 Q. Okay. Mitch Acker is the president and CEO of 

Q. Okay. When you say a series of other companies, 23 Martinaire, Inc., and you're the secretary and chief 

can you explain that structure to me? 24 operating officer of Martinaire, Inc.? 

A. There are three corporations, all U.S. citizens, 25 A. Yes, sir. 

22 24 

that own Martinaire Aviation. 1 Q. And there are no other officers? 

Q. Tell me what number one is. 2 A. There's a chairman ofthe board. 

A. The largest percentage holder is a company called 3 Q. Okay. Who is the chairman of the board? 

Martinaire, Inc., or Martinaire, Incorporated. 4 A. Jay Paynter, P-A-Y-N-T-E-R. Now, I'd have to 

Q. Martinaire, Incorporated? 5 verify this -

A. Correct. 6 Q. Right. 

Q. Where are they located at? 7 A. -- all by looking at the chart--

A. Same office. 8 Q. Yeah, I understand. I understand. 

Q. Same office? 9 A. -but. this is--

A. It's a mailing address. 10 Q. Yeah. This is your recollection --

Q. So it's like a corporate shell? 11 A. Yes. 

MR. ARCHIER: Well, I withdraw that 12 Q. --okay, that Jay Paynter is the chairman of the 

question. 13 board. Are there a board of directors? 

A. They are an owner of Martinaire Aviation, LLC. 14 A. There's two directors: Jay Paynter and Ed Acker. 

Q. (BY MR. ARCHIER) Okay. Okay. Does that 15 Q. What does Martinaire, Incorporated -- what's its 

Martinaire, Incorporated, have its own set of officers 16 corporate purpose? 

that-- 17 A. Martinaire, Inc., owns an approximate 70 percent 

A. Yes. 18 interest in Martina ire Aviation, LLC. 

Q. Okay. Are you an officer of that company? 19 Q. So they own 70 percent? 

A. Yes. 20 A. Approximately. 

Q. Okay. So how many officers ofMartinaire, 21 Q. Okay. 

Incorporated, are there? 22 A. The accountant will tell you to the decimal 

A. It's been a long time since I've looked at that 23 place. I'll go approximate. 

structure book. 24 Q. Okay. And then there's company number two that 

Q. Okay. 25 owns what fraction approximately? 

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214-741-6001 

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FEDERAL A41lTION ADMINISTRATION 

Deposition of: ALAN RUSINOWITZ 

v. 

5/16/2013 

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A. Eighteen. 1 A. TheLLC. 

Q. Eighteen percent? 2 Q. The LLC, okay. And then the third corporation 

A. Yeah. 3 that's a player in this, I guess there's only -- there's 

Q. What's the name of that company? 4 about 12 percent left? 

A. Mid-Atlantic Freight. 5 A. Yes. 

Q. Do you play a role there? 6 Q. Okay. Who is that? 

A. No. 7 A. Union Flights. 

Q. Who are the players in that company? 8 Q. What kind of company is that? 

A. Are you ready for this? 9 A. They were an airline. 

Q. Yeah. 10 Q. Okay. 

A. My understanding is Mid-Atlantic Freight is owned 11 A. And now -- well, they own 12 percent of 

by Atlantic Aero. Atlantic Aero is owned by an aviation 12 Martinaire Aviation, LLC. 

company that owns a bunch of aviation companies. And 13 Q. Okay. 

that company is owned by Berkeley Insurance. Now, there 14 A. I do not know what else they do. 

might be another level or two of holding- I don't 15 Q. Okay. Do you know the president and CEO there? 

know. 16 A. Yes, sir. 

Q. Okay. But-- 17 Q. What's his name? 

A. You know, but it goes across the board. And 18 A. Jay Paynter, P-A-Y-N-T-E-R. 

that's my limited understanding of how their structure 19 Q. Do you know if they have their own board of 

goes. I really don't know. I don'tget involved with 20 directors? 

it. I deal with Mid-Atlantic and Mid-Atlantic Aero. 21 A. No, I don't know. 

That's all. 22 Q. But do you have an idea of what type of 

Q. Is Mid-Atlantic out of Addison? 23 activities Union Flights' in right now? 

A. No. 24 A. No. 

Q. Where are they out of? 25 Q. But they own the 12 percent? 

26 28 

A. Greensboro, North Carolina. 1 A. Yes. 

Q. Who are the officers of that? Do you know the 2 Q. So all three of these companies own Martinaire 

officers? 3 Aviation, LLC? 

A. Noclue. 4 A. Correct. 

Q. No clue, okay. Do you know the president? 5 Q. Okay. So Martinaire Aviation, LLC, files 

A. The president of ... ? 6 separate corporate tax returns? 

Q. Mid-Atlantic? 7 MR. DWORKIN: If you know. 

A. Mid-Atlantic. Atlantic Aero is Jim Spinder, 8 A. Aviation files a tax return. 

S-P-I-N-D-E-R. 9 Q. (BY MR. ARCHIER) Yeah. Martinaire? 

Q. And he's the president and CEO? 10 A. I believe those are the ones we provided to you 

A. I-- 11 already. 

Q. You think? 12 Q. Yeah, right. Those are the ones, right. 

A. I believe he's the president. 13 A. If we provided it, then we file it. 

Q. Okay. And would they have their own separate 14 Q. All right. Okay. But as far as the companies 

board of directors? 15 that would file a annual report, do you know if any of 

A. I have told you what I know about that. 16 these companies file an annual report that includes 

Q. Oh, all right. 17 Martinaire LLC's earnings? You don't know that? 

A. I only deal with Jim Spinder at Atlantic Aero or 18 A. I might be Jewish, but I'm not an accountant. I 

Mid-Atlantic. That's all. I don't know anything else 19 don't know anything about accounting laws like that. 

about them. 20 Q. Okay. Okay. Where is the money going to come 

Q. Why would you have to deal with Jim Spinder? I 21 from to pay any assessed civil penalties? 

mean what type of-- 22 MR. DWORKIN: Objection. Speculative, 

A. He's on the Martinaire Aviation board of 23 assumes facts not in evidence, irrelevant. 

directors, management committee/board of directors. 24 Q. (BY MR. ARCHIER) You may answer. 

Q. Okay. The limited corporation? 25 A. Martinaire Aviation, LLC, will have to pay any 

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FEDERAL AJitTION ADMINISTRATION 

Deposition of: ALAN RUSINOWITZ 

v. 

5/16/2013 

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fine levied against it, if there is one. 1 

Q. Will you get help from any of these other 2 

companies? 3 

MR DWORKlN: Same objection. 4 

Q. (BY MR. ARCHIER) You may answer. 5 

A. I highly doubt it. 6 

Q. When you say you doubt it, why? 7 

A. I can't answer that. 8 

Q. Why can't you answer it? 9 

A. I cannot answer for the companies that own 10 

Martinaire Aviation what they would do because I am not 11 

an owner of any of the companies that own Martinaire 12 

Aviation, LLC. 13 

Q. Okay. Thank you for that bit of information, Mr. 14 

Rusinowitz. Am I pronouncing your name -- 15 

A. Rusinowitz. 16 

Q. Rusinowitz. 17 

A. You can call me Alan for these proceedings. I'm 18 

fine with that. 1 9 

Q. I just want to make sure. 

A. Oh, yeah. 

Q. Some people don't like, you know ... 

A. No. I prefer Alan. 

Q. Okay. Alan --

A. Yeah. See? I'm more comfortable already. 

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Q. Okay. Now that I've learned how to pronounce 1 

your name, I'd like to practice it more, actually. It 2 

took me a while to make sure I was pronouncing it 3 

perfectly. 4 

MR. ARCHIER: Can you mark this as AR-2. 5 

(Exhibit No. AR-2 marked.) 6 

Q. (BY MR. ARCHIER) Alan, please take a look at 7 

Exhibit AR-2 and read it, please. And when you're 8 

finished reading it, Jet me know. 9 

A. (Witness complies.) Yes, sir. 10 

Q. Alan, what is this exhibit that I just showed 11 

you? 12 

A. It is Martinaire's letter of response to the 13 

letter of investigation issued by the FAA. 14 

Q. Okay. Now, I want to ask you a question. In 15 

paragraph one it says, "As an FAA-certificated air 16 

carrier." What kind of certificated air carrier is 17 

Martinaire? 18 

A. 135. 19 

Q. I 35. Are they certificated as anything else? 2 0 

A. As an air carrier? 

Q. Yes. 

A. Air carrier, no. 

Q. Okay. Aside from an air carrier, are they 

certificated as anything else? 

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A. We have a 145 maintenance repair station 

certificate. We actually have two. 

Q. You have two? 

A. Yes. 

Q. Okay. Why do you have two? 

31 

A. We have one for our Addison maintenance facility 

and one for our Lansing maintenance facility. And why 

there has to be two gets well beyond my understanding of 

the maintenance regulations. 

Q. Now, I want to draw your attention to page 2 of 

your letter. And in page 2 the last full paragraph, 

there's a statement that you make, "In response to some 

concerns that the format ofMartinaire's existing NOPC 

form might have contributed to these discrepancies, it 

was agreed that Martinaire would revise this form. This 

was done and by the following Monday July II, the form 

was not only revised but printed and distributed system 

wide." When you say system wide, what do you mean? 

A. I believe it was already testified to that the 

form was sent to all the pilots that we have across the 

country. 

Q. Across the country, okay. I just wanted to make 

sure. 

Now, if you take a look at the last page, under 

"training" you continue to talk about the corrective 

32 

action that was done. And you say, "Martinaire reviewed 

and revised its training program for pilots and 

dispatchers to heighten awareness and emphasize the 

requirement for accuracy in completing NOPC forms." 

Correct? 

A. Yes. 

Q. Okay. That's one corrective action. And then 

you indicate the further corrective action is that the 

"dispatchers underwent supplemental training on July 14 

and 15." That was another part of the corrective 

action, correct? 

A. Yes. 

Q. And then you indicate that: On July 26 the chief 

pilot Michael Bates sent another broadcast e-mail to all 

pilots to further clarify how to complete the NOPC and 

attaching a verbatim copy ofHMR 175.33. 

That was another aspect of the corrective action, 

correct? 

A. Yes. 

Q. Okay. And then-- and all that comes under 

training. Now, you also indicate the corrective action 

under "auditing," that: The dispatch manager, the chief 

pilot, and assistant pilots now perform daily audits of 

the NOPC's. Correct? 

A. Correct 

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FEDERAL A~ATION ADMINISTRATION 

Deposition of: ALAN RUSINOWITZ 

v. ~INAIRE 5/16/2013 

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Q. And another part of the corrective action was the 1 

cross-checking. And you indicate, "If any errors are 2 

found, they are to be corrected prior to the aircraft's 3 

departure." Correct? 4 

A. Yes. 5 

Q. Okay. And I just want to make sure. This pretty 6 

much summarizes all the corrective action that was done? 7 

A. Training, auditing, cross-checking, the new form, 8 

everything we've talked about, everything I have in 9 

here, yes. 1 o 

Q. This is it. The corrective action, okay. 11 

Next to the president, Alan, you're the highest 12 

ranking person in Martinaire Aviation, LLC? 13 

A. Yes. 14 

Q. Okay. And it sounds like, judging from the 15 

letter that we just read, that you're pretty hands-on, 16 

correct? 17 

A. Yes. 18 

Q. Okay. What knowledge do you have of any previous 19 

hazardous material violations? 2 o 

A. Knowledge. 21 

Q. Tell me what knowledge. 2 2 

A. Can you be more specific in your question? 2 3 

Q. Okay. All right. That's fair. 24 

Do you know anything about any previous hazardous 2 5 

34 

material violations at Martinaire? 1 

A. Violation means an admission of guilt, so it was 2 

the Purple Power incident up in Michigan. 3 

Q. Tell me about that. 4 

A. Boy, did you open the door on that one. 5 

We had a pilot who washes airplanes on the 6 

weekend in Lansing. He was up in Cadillac, Michigan, 7 

for the day, and he decided to go to, I don't know, 8 

Wai-Mart, Target, some store because he wanted to pick 9 

up a degreasing soap because they were -- he was out of 1 0 

it in Lansing. 11 

And whatever day of the week it was, he had time, 12 

he got it. Put it on the airplane - and this was all 13 

found out afterwards. You know, flew it to Lansing. 14 

Well, he arrived in Lansing, and that day 15 

happened to be a spot inspection by, I believe, Agent 16 

Nutt, who is a hazardous materials, dangerous goods 1 7 

inspector in the Detroit, Lansing, Michigan - in 

Michigan. 

Q. Okay. 

A. And, matter of fact, Agent Nutt noticed that --

the pilot taking his bottle off the airplane. It was a 

one-gallon jug. It was called Purple Power. I don't 

know if you're familiar with that. It'sQ. I'mnot. 

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A. - another form of Simple Green. 

MR. DWORKIN: A degreaser and cleaner. 

A. Soap. 

Q. (BY MR. ARCHIER) Okay. 

A. And he asked, Hey, what's that? And I guess the 

pilot said, Oh, this is Purple Power, dah-dah-dah-dah. 

35 

And Agent Nutt then started an investigation into 

the not-proper carriage of a hazardous material. And he 

talked to the pilot, and then we ended up getting 

informed of it. An LOI subsequently followed. 

And when we looked into it, you know, when we 

talked to the pilot and it was what I one hundred 

percent believe today was a pure "uh-oh." 

Q. It was pure what? 

A. Uh-oh. 

Q. Oh, okay. 

A. I would say "oh" something else, but we're on the 

record. 

Q. Okay. 

A. This was explained to Agent Nutt. The pilot on 

his own accord and against advice from me called Agent 

Nutt himself and said, Hey, the company didn't know 

anything about it. The company didn't know I bought it, 

the company didn't know it was on the airplane, the 

company didn't- I literally went to the store, bought 

36 

this so I'd have, you know, the Purple Power to wash the 

planes this weekend. That's it. 

And basically that was also my response- which 

I'm sure you have a copy somewhere of, but explaining 

all of that. And, again, the pilot on his own accord 

and against my advice went to the inspector, called the 

inspector, however he communicated directly and said, 

Hey, they knew nothing about it. 

Next thing I know, Martinaire gets an LOI, what I 

would consider a very compounding LOI, saying that, you 

know-- and, well, a subsequent violation of multi, 

different regulations regarding the carriage of 

hazardous materials, you know, improperly boxed. Well, 

it wasn't in a box. 

Improperly labeled. Well, if it's not a box, it 

doesn't have labels. Improper shipping papers. Well, 

if it's not in a box and it didn't have labels and the 

company didn't know we were even carrying it, well, I 

guess that- there was no paperwork with it. 

And this went on and on. And this was being 

handled by an FAA counsel out of Chicago who was more 

interested in putting a notch in her belt and putting 

money in the coffers of the FAA and they-- than she was 

in the merits of the case. 

And this went on and on, and finally we reached 

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settlement on it because- I considered it go-away 1 

money. It just wasn't worth fighting. The expense to 2 

fight would have been too much for the company to bear, 3 

and we settled it. 4 

But to this day and as we sit here now, I am one 5 

hundred percent convinced that the FAA counsel up there 6 

was wrong in how they handled it. I hated admitting to 7 

anything. I do not to this day believe the company did 8 

anything wrong. 9 

We were open with the FAA. The pilot against 1 0 

advice was open and cooperated with the FAA. And all 11 

that attorney wanted was a notch. I am one hundred 12 

percent convinced of that. 13 

Q. How much did the notice of imposed civil penalty 14 

go out for? 15 

A. I don't remember this. I'd have to look at the 16 

file. 17 

Q. How much did you settle it for? 18 

~ 1- 19 

Q. You don't recall an exact -- 2 0 

A. I'd have to look at the numbers. 21 

Q. Right. 22 

A. But what was really interesting in that case is 2 3 

that one of the pieces of documentation we got from the 2 4 

FAA attorney was actually a cut-and-paste of some of our 2 5 

information and three paragraphs from somebody else's 

case. 

The numbers, the dates, it was just like the 

first two paragraphs, it made no sense. My question at 

the time, which on advice of counsel I was not allowed 

to ask, was: Who violates the FAA for making mistakes? 

But- and, you know, I'm sure it comes across in my 

tone, but I just got a ... 

Q. How many years ago did that occur? 

A. I think it was finally settled a year and a half 

ago, two years ago. I mean it's in our file. I'd have 

to look at the papers. 

Q. Maybe two and a half? 

A. Yes. And I just thought it was ridiculous at the 

time. 

Q. Okay. 

38 

A. The FAA wants the carriers - and this comes, I 

know, through AFS. You know, the FAA wants carriers to 

be open and work with the FAA. And I have no problem 

doing that. And like I said, I've had this 20-plus 

years. I've been doing this and working with different 

FAA offices all over the country. 

I want to be safe, I want to be in compliance, 

and ifl'm not, let's fix it. And that's exactly the 

tone I took in the meeting with, you know, inspectors or 

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agents Klimas, June, and Sawyer. 

We sat down at a table like this. You've got a 

box that they used in training with labels. We got the 

NO PC. We sat there- and basically I think it was 

either Mike or Cory said ergonomically designed this 

form. That's the proper way of saying "making it idiot 

proof." 

Q. Right. 

A. And we sat there and we talked this entire thing 

through. It was a perfect meeting. You know, to me 

that's the way it should be. 

Q. Okay. 

A. We did everything we said we were going to do. 

39 

We put everything into place. And we are in compliance. 

That to me is the goal, not how much can we afford to 

pay. 

Q. Okay. 

A. Sorry for pontificating a little bit. 

MR. DWORKIN: Can I stand up and bow? 

Q. (BY MR. ARCHIER) You don't feel strongly about 

this, do you now? 

A. You know, there are just certain things that get 

to me about certain procedures. I understand 

compliance. You know, if airlines in general would 

realize it's much easier and cheaper to comply than it 

40 

is to try not to comply and get away with something, it 

would be a lot easier for everybody. But it is easier 

to comply. 

And if you have a question, call and ask. Heck, 

I talk to this Agent June a couple of weeks ago or two 

months ago, I think it was. I think of nothing picking 

up the phone and calling Mr. Klimas if I have to. I'll 

do it with the drug division, I'll do it with my POI, 

PAl, PMI. If you've got a question, ask. You're 

supposed to foster the relationships. But, you know, 

sometimes I think it just gets a little out of hand. 

Q. Now, are you familiar or do you have -- do you 

know anything about any of the administrative actions 

that--

A. Well, I know the Portland one was brought up 

earlier today. 

Q. Okay. About the Portland one? 

A. Um-hmm (affirmative). I think it was Portland or 

Washington, one ofthe two states. Up in the left of 

the country. 

Q. All right. And that was an administrative 

action? 

A. You know, administrative. I think that one was 

administrative. I'd have to reference a document on 

that, but I know that-- I know a lot of the little 

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things behind it. 1 Q. Okay. 

Q. Tell me what you know about that. 2 A. The one we're here on. This is the inspection 

A. Pilot landed, you know, there was an agent there, 3 prior to that one. 

hazardous material division inspector, and he had a 4 Q. Okay. There was one in 2009 where there was an 

hazmat box on board and he didn't have his NOPC. Asked 5 administrative action? 

where the NOPC was. Pilot said something about he ran 6 A. '08 or '09, yeah, something like that. 

out of them. 7 Q. Okay. Now -- all right. 

Q. Okay. 8 A. The every-two-year cycle. 

A. Okay. Instead of taking like the one out of his 9 Q. Right. 

GOM as a sample and making copies of it and using it or 10 A. I'm expecting them to walk in the door any day 

calling down to dispatch prior to departure at the other 11 now. Except for tomorrow. 

airport, Hey, can you fax me one, he just - I can only 12 MR. DWORKIN: Right after lunch. 

guess at this point, because I wasn't there. But my 13 MR. ARCHIER: Because you guys close at four 

feeling is he took the coupon, load- you know, 14 o'clock tomorrow, right? 

inspected the box, loaded it, called dispatch, gave them 15 THE WITNESS: No. Deposition tomorrow. 

the information, because I think it was testified to 16 MR. ARCHIER: You're right. You're right. 

earlier today that they had it at dispatch. Okay. 17 MR. DWORKIN: They'll come after the 

I don't- then typical take the coupon, put it 18 deposition. 

in your shirt pocket, fly to your designation. And 19 THE WITNESS: Take a five? 

that, I believe, was all explained to the - that came 20 MR. ARCHIER: Let's take five minutes. 

out during the investigation also. And I believe that 21 (Break taken from 1:16 p.m. to 1:23 p.m.) 

one -I'd say, yeah, it was administrative action, but 22 Q. (BY MR. ARCHIER) Alan, there are certain factors 

whether it was administrative action or violation, I 23 that we have to consider under 49 CFR 107.331 in the 

don't actually remember without seeing the documents. 24 assessment of civil penalty. And one of those is we 

But that was, you know, another case of, you 25 have to consider the previous violations. Another one 

42 44 

' know, the company had no knowledge of this, and the 1 is we have to consider the ability of the respondent to 

pilot should have thought. He should have, you know -- 2 pay a civil penalty. And the other is the effect on the 

he knew what to do. It wasn't-- to me it wasn't a 3 respondent's ability to continue in business. 

question oftraining or lack oftraining or anything. 4 Will a $206,000 -- $206,550 civil penalty put 

He just didn't make a copy of the piece of paper. 5 Martinaire out of business? 

Q. Now, there was one other case that I'm aware of 6 MR. DWORKIN: Objection. There are other 

that came out of Northwest Mountain. 7 factors, which include compliance disposition, 

MR. DWORKIN: That's the one that Alan ... 8 corrective action, and --

Q. (BY MR. ARCHIER) Is that the one you're-- okay. 9 MR. ARCHIER: I'll read all of them if you 

Now, that-- from what I understand the one that came 10 want me to. I'll go through all of them. I just 

out of Northwest Mountain, that was not an 11 mentioned three, but there are other factors. 

administrative action. That was -- 12 MR. DWORKIN: There are a whole bunch of 

A. I-- 13 other factors. 

Q. Okay. I just-- all right. There may have been 14 Q. (BY MR. ARCHIER) Yeah. Let me mention the other 

some other administrative actions that you may not be 15 factors. I don't want to seem like I'm-- but the first 

aware of or may not remember. 16 factor is the nature and circumstances of the violation. 

A. There was the two-year inspection prior to this 17 The other is the extent and gravity of the violation. 

inspections in '09. 18 The degree of respondent's culpability, the respondent's 

Q. Okay. Where there any violations discovered 19 prior violations, the respondent's ability to pay, the 

there? 20 effect on respondent's ability to continue in business 

A. I think that was corrective action by Mr. Klimas. 21 and such other matters as justice may require. That's 

I think that's when I initially met him. 22 all of them. 

Q. Okay. That would have been the result of this. 23 But I'm asking you with regard to F, the effect 

Okay. 24 on respondent's ability to continue in business. Will a 

A. No, no. This was 2011. 25 $206,550 civil penalty put Martinaire Aviation, LLC, out 

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45 47 

of business? 1 And I also believe that 2010 there was a loss. 

MR. DWORKJN: Objection. Speculative. 2 The documents that you show me -- and I'm talking about 

Q. (BY MR. ARCHIER) You may answer. 3 the income tax statements that showed a loss of $53,307? 

A. Well, we lost money in 2012. I believe we 4 A. Again, I'd have to see the documents to be able 

provided a partial year at the time of submittal, the 5 to comment anything on the numbers. 

end result was a bigger loss. 6 Q. Okay. And you realize I did return those 

We have lost money in the first quarter of 2013. 7 documents to your attorney yesterday? 

So any not-in-the-ordinary-course-of-business payments 8 A. Yes. 

that Martinaire has to do, including attorney's fees for 9 Q. Ail right. 

this matter, and any possible civil penalty, whatever 10 A. I have them in my car. 

the amount, could be extremely harmful and detrimental 11 Q. Okay. And based on what I was able to read, that 

to the survivability of Martinaire Aviation, LLC. 12 in 2009 there was a profit of $91 0,404? 

Q. And I believe based on the documentation that you 13 A. Again, nothing to reference it to. 

showed me for the first quarter of, I believe, 2013, I 14 Q. Ail right. 

think you said you had a loss, right? 15 MR. ARCHIER: I hate to do this but I need 

A. Yes. 16 to take another five-minute break because I think we're 

Q. Okay. And I want to make sure I have this loss 17 getting close to the end. Okay? 

number right, but was that loss in the neighborhood of 18 MR. DWORKIN: No problem. 

300,000? 19 (Break taken from 1:29 p.m. to 1:39 p.m.) 

A. I don't believe we provided any financial data 20 MR. ARCHIER: I do not have any further 

for calendar year 2013. 21 questions, and that's it. 

Q. Okay. So that would have been-- the loss would 22 MR. DWORKIN: Okay. 

have been for up -- at the time, that would have been 23 MR. ARCHIER: Thank you for your time. 

for2012? 24 (Proceedings concluded at I :39 p.m.) 

A. I'd have to review the documents- 25 

46 48 

Q. I see what you're saying. 1 CHANGES AND SIGNATURE 

A. -- to get the numbers. 2 WITNESS NAME: ALAN RUSINOWITZ DATE: 

Q. Okay. 3 PAGE LINE CHANGE REASON 

A. Whatever we gave you, I believe it was worse than 4 

that at year's end. 5 

Q. Okay. 6 

A. Because I believe you had a partiai year's. 7 

Q. Right. I had -- I had, I believe, up to 8 

I0/3I/12. 9 

A. Oh, it was worse. 10 

Q. Okay. And so it was worse? 11 

A. Oh, yes, sir. 12 

Q. Okay. Do you know what that number would have 13 

been? 14 

A. I'd have to have it in front of me. 15 

Q. Okay. But you do know it was worse than what you 16 

show? 17 

A. I believe so. 18 

Q. Okay. 19 

A. I'd have to look at the year-end data. 20 

Q. And I know the profits for the previous year 21 

based on the information that you show me were 22 

approximately $I 97, I 69 for 20 I I? 23 

A. I'd have to look at the reference. 24 

Q. Right, okay. 25 

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Deposition of: ALAN RUSINOWITZ 

v. MA~~TINAIRE 5/16/2013 

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I, ALAN RUSINOWITZ, have read the foregoing 

deposition and hereby affix my signature that same is 

true and correct, except as noted above. 

49 

1 

2 

3 

4 

5 

That the deposition transcript was returned to U.S. 

Legal Support on , 2013, was 

properly executed by the witness to the deposition 

officer, and the attached change/correct sheet contains 

any changes, and the reasons therefor, made by the 

51 

6 witness. 

ALAN RUSINOWITZ 

THE STATE OF---~ 

COUNTY OF ____ ~ 

7 

8 

9 

10 

Before me, on this 11 

day personally appeared ALAN RUSINOWITZ, known to me (or 12 

proved to me under oath or through 13 

-------------> (description of identity 

card or other document) to be the person whose name is 

subscribed to the foregoing instrument and acknowledged 

to me that they executed the same for the purposes and 

consideration therein expressed. 

Given under my hand and seal of office this 

____ dayof 2013. 

NOTARY PUBLIC IN AND FOR 

THE STATE OF ______ _ 

COMMISSION EXPIRES: _____ _ 

U.S DEPARTMENT OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE HEARINGS 

WASlflNGTON, DC 

In the Matter of: ) FAA DOCKET No. FAA-2013-0040 

Martinaire Aviation LLC) FAA CASE No. 2011SW700189 

(Civil Penalty Action) 

Respondent ) 

REPORTER'S CERTIFICATION 

DEPOSITION OF ALAN RUSINOWITZ 

MAY 16,2013 

I, Kristin McDowell, Certified Shorthand Reporter 

in and for the State of Texas, hereby certifY pursuant 

to the Federal Rules of Civil Procedure to the 

following: 

That this deposition transcript is a true record of 

the testimony given by ALAN RUSINOWITZ, the witness 

named herein, on May 16th 2013 after said witness was 

duly sworn/affirmed by me. 

That the deposition transcript was submitted on the 

___ _cday of 2013 to Mr. Michael L. 

50 

Dworkin, MICHAEL L. DWORKIN & ASSOCIATES, 465 California 

Street, Suite 210, San Francisco, California 94104 for 

examination, signature and return to me by 

-------· 2013. 

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That the original deposition transcript, or a copy 

thereof, together with copies of all exhibits, was 

delivered on the __ day of , 2013 to Mr. 

James Archier for the safekeeping and use at trial. 

That the amount of time used by each party at the 

deposition is as follows: 

MR. JAMES ARCHIER. ........ 01 HOURS:Ol MINUTES 

MR. MICHAEL DWORKIN ....... 00 HOURS:OO MINUTES 

That pursuant to information given to the deposition 

officer at the time said testimony was taken, the 

following includes counsel for all parties of record: 

MR. JAMES ARCHIER: Attorney for FAA; 

MR. MICHAEL DWORKIN: Attorney for Martinaire. 

That a copy of this certification was served on all 

parties shown herein. 

Certified to by me this __ day of , 2013. 

KRISTIN MCDOWELL 

Texas CSR No. 8218 

Expiration Date: 12/31114 

U.S. Legal Support, Inc. Firm# 343 

5910 N. Central Expressway, Suite 100 

Dallas, Texas 75206 

214-741-6001 

214-741-6824 (FAX) 

Taxable cost$. ____ _ 

Job#2-143524 

52 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

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FEDEJit AVIATION ADMINISTRATION ~MARTINAIRE Deposition of: ALAN RUSINOWITZ 5/16/2013 

A 

ab 12:16,19 17:1,4 

ability 44:1,3,19,20,24 

able 6:8 47:4,11 

above-styled 1: 19 

accord 35:21 36:5 

accountant 19:14 21:6 24:22 28:18 

accounting 18:24 19:9,12 28:19 

accuracy 32:4 

Acker23:11,22 24:14 

acknowledged 49:15 

action 1:5 32:1,7,8,11,17,21 33:1,7,11 40:22 

41:22,23 42:12,21 43:5 44:8 50:5 

actions 40:13 42:15 

activities 18:7 27:23 

Addison25:23 31:6 

address 22:10 

administered 4:2 

ADMINISTRATION 1:1,23 2:3,8,11,15 50:1 

administrative 40:13,21,23,24 41:22,23 

42:12,15 43:5 

admission 34:2 

admitting 37:7 

advice 35:21 36:6 37:11 38:5 

Aero 25:12,12,21 26:8,18 

Aeronautics 7: 11 

affirmative 12:4 40:18 

affix49:2 

afford 39:15 

AFS 38:18 

afternoon 4:7 

agent34:16,21 35:7,20,2140:5 41:3 

agents 39:1 

ago 8:18 38:9,11,11 40:5,6 

agreed 31 : 15 

agreement 14:9,11 

ahead 16:7 

aid 9:3 

air 9:13 10:3 30:16,17,21,23,24 

aircraft9:16 13:6,15,15 

aircraft's 33:3 

airline 9:20 12:21 13:13 17:2,9,10 27:9 

airlines 8:20,21 11:23 14:1,3,19 15:9 16:6 

17:8 39:24 

airplane 8:6 9:4 34:13,22 35:24 

airplanes 8:7 34:6 

airport 7:23 20:8 41:12 

Alan 1:12,17 2:25 3:4 4:3 29:18,23,24 30:7 

30:11 33:12 42:8 43:22 48:2 49:1,6,11 50:7 

50:14 

Alan's 20:10 

alcohol6:4 

allow5:10,16 

allowed 38:5 

amount45:11 51:12 

annual21 :14,15,16,18 28:15,16 

answer4:24 6:8 28:24 29:5,8,9,10 45:3 

answers 5: 1 7 

APPEARANCES 3:2 

appeared 49:11 

approximate 24:17,23 

approximately 9:22 10:1,19 24:20,25 46:23 

Archier 2:3 3:5 4:6,8,12,15 15:12 20:13 

22:12,15 28:9,24 29:5 30:5,7 35:4 39:20 

42:9 43:13,16,20,22 44:9,14 45:3 47:15,20 

47:23 51:11,14,20 

areas 15:3 

arrived 34:15 

AR-13:12 4:13,14,19 

AR-2 3:13 30:5,6,8 

Aside30:24 

asked 15: 18 3 5:5 41 :5 

asking 44:23 

aspect 32:17 

aspects 18:17,19,23 

assessed 28:21 

assessment 43:24 

assistant 18:7 32:23 

ASSOCIATES2:18 50:19 

assumes 28:23 

Atlantic 10:15 25:12,12 26:8,18 

attached 51 :4 

attaching 32:16 

attendants 15:4 

attention 31: 10 

attorney 4:9 20:20 37:12,25 47:7 51:20,21 

attorney's 45:9 

auditing 16:9 32:22 33:8 

audits 32:23 

aviation 1:1,4,22 2:3,8,11,15 19:23 20:10,16 

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FEDE~AVIATION ADMINISTRATION ~MARTINAIRE Deposition of: ALAN RUSINOWITZ 5/16/2013 

20:24 22:1,14 24:18 25:12,13 26:23 27:12 

28:3,5,8,25 29:11,13 33:13 44:25 45:12 

50:1,4 

aware42:6,16 

awareness 32:3 

a.m 1:20,20 

B3:10 

BA6:25 7:2 

B 

back9:2411:25 12:1,2,5 14:4,6,9,18,22 15:8 

15:10,11 20:20 

background 6:24 17:9 

bailiwick 19:5,6 

based 10:12 45:13 46:22 47:11 

basically 36:3 39:4 

Bates 32:14 

bear 37:3 

Becky 2:11 4:9 

Beech 13:1,6,16,17,18,23 14:1,2,10,14 

beginning 17:6 

behalf8:14 

believe23:1,3 26:13 28:10 31:19 34:16 35:13 

37:8 41:20,21 45:4,13,14,20 46:4,7,8,18 

47:1 

belt 36:22 

Berkeley 25:14 

beyond 31:8 

big 9:16 13:15 

bigger45:6 

bike20:7 

bit 6:24 21:3 29:14 39:18 

board 19:18,19 24:2,3,13,13 25:18 26:15,23 

27:19 41:5 

book22:24 

Boston 9:19 10:14 

bottle 34:22 

bought 35:23,25 

Boulevard 1:23 2:5,13 

bow 39:19 

box36:14,15,17 39:3 41:5,15 

boxed36:13 

Boy34:5 

break 5:6,7 43:21 47:16,19 

Bridgeport 8:24 

broadcast 3 2: 14 

brought 11:14 12:17 14:22 40:15 

bunch 25:13 44:12 

bus20:6 

business 8:19,20,21 11:23,24 12:2,5 13:20,21 

13:25 14:2,4,8,11,18,22 15:8 16:5 20:11,16 

44:3,5,20,24 45:1 

C2:1 4:1 

Cadillac 34:7 

calendar 45:21 

c 

California 2:19,20 50:19,20 

call29: 18 40:4 

called 10:3 12:16 16:24 22:3 34:23 35:21 36:6 

41:15 

calling 40:7 41 : 11 

capital12:8 

captain 9:3 10:5,8,20 11:5,6 

car 20:8 47:10 

card49:14 

care6:2 

Carolina 26:1 

carriage 35:8 36:12 

carrier 30:17,17,21,23,24 

carriers 38:17,18 

carrying 36:18 

case 1:4 36:24 37:23 38:2 41:25 42:6 50:4 

cause 1:19 

Central52:13 

CEO 23:13,14,22 26:10 27:15 

certain 15:17 39:22,23 43:22 

certificate 3:7 31 :2 

certificated 30:17,20,25 

certification 50:7 52:1 

Certified 50:9 52:3 

certify 50:10 

CFR43:23 

chairman 23:3 24:2,3,12 

CHANGE48:3 

changes 5:13,19 48:1 51:5 

change/correct 51:4 

charge 15:4,5,6 16:8 

chart24:7 

charter 8:8,9 10:16,17 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

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FEDE~ AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

cheaper 39:25 

Chicago 36:21 

chief 17:23,25 18:7,8,12 23:1,7,8,23 32:13,22 

children 6:15 

circumstances 44:16 

citizens 21 :25 

City 10:15 

civil1:5,24 4:22 28:21 37:14 43:24 44:2,4,25 

45:10 50:5,11 

clarification 21: 13 

clarify 32:15 

cleaner 35:2 

Cleveland 9:19 

close43:13 47:17 

clue26:4,5 

coffers 36:23 

College 7:3 

come 17:22 19:10 28:20 43:17 

comes 19:5,6 21:4 32:20 38:7,17 

comfortable 29:25 

command9:3 

comment47:5 

COMMISSION 49:23 

committee/board 26:24 

communicated 36:7 

companies21:22,23 25:13 28:2,14,16 29:3,10 

29:12 

company8:14,1710:3 12:9,10 13:8,9,10 

15:16,16 18:20,23 19:1 20:25 21:1,4,10,21 

22:3,19 24:24 25:4,8,13,14 27:8 35:22,23 

35:24,25 36:18 37:3,8 42:1 

complete5:17 32:15 

completing 32:4 

compliance 14:25 15:20,22 16:4,8,12,13 

38:23 39:14,24 44:7 

complies 30:10 

comply 39:25 40:1,3 

compounding 36:10 

concerns 31: 13 

concluded 4 7:24 

condition 5:10,16 

confused 21:3 

Connecticut 8:24 

consider 36:10 43:23,25 44:1 

consideration 49:17 

considered 37:1 

contact 15:17 

contains 51 :4 

continue 31:25 44:3,20,24 

contract 14:9,12,12 

contributed 31 : 14 

convinced 37:6,13 

cooperated 37:11 

copies 41:10 51:9 

copy 32:16 36:4 42:5 51:8 52:1 

corporate 13:13 14:24 15:22 16:4,8 21:8 

22:11 24:16 28:6 

corporation 21:17 26:25 27:2 

corporations 21 :25 

correct 17:20 18:2 22:6 23:9 28:4 32:5,11,18 

32:24,25 33:4,17 49:3 

corrected 33:3 

Corrections 3:6 

corrective 31:25 32:7,8,10,17,21 33:1,7,11 

42:21 44:8 

Cory39:5 

cost 52:18 

counsel2:4,8,12,15,22 36:21 37:6 38:5 51:19 

country31:21,22 38:22 40:20 

COUNTY49:8 

couple40:5 

coupon 41:14,18 

Court4:12 

co-pilot 11 :6 

cross-checking 33:2,8 

CSR1:2152:11 

culpability 44:18 

currently 6:1 

customers 13: 13 

cut-and-paste 37:25 

cycle 43:8 

C-0-M 12:8 

D 

D 3:1 4:1 

dad20:10 

dah-dah-dah-dah 35:6 

daily 32:23 

Dallas 52:13 

dangerous 34:17 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

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FEDE~L AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

data 45:20 46:20 documents 41:24 45:25 47:2,4,7 

date 17:15 48:2 52:12 doing 38:20,21 

dates 38:3 Donald 11 : 1, 11 

day 34:8,12,15 37:5,8 43:10 49:11,19 50:18 door 34:5 43:10 

51:1052:3 doubt 29:6,7 

days 9:5 Dowling7:3 

DC 1:2 50:2 draw31:10 

DC-9 9:15,16 drive 20:6,7,9 

deal25:21 26:18,21 drug40:8 

decided 34:8 duly 1:18 4:4 50:16 

decimal24:22 duties 9:2 15:2 16:25 

degreaser 35:2 Dworkin 2:18,18 15:5,7,10 20:10 28:7,22 

degreasing 34:10 29:4 35:2 39:19 42:8 43:12,17 44:6,12 45:2 

degree 44:18 47:18,22 50:19,19 51:15,21 

delivered 51: 1 0 D-07:4 

department 1:116:5,10 17:1 50:1 D-0-W-L-1-N-G 7:5 

departure 33:4 41:11 

depends 17:13 E 

deposition 1:11,17 4:8,20,20 43:15,18 49:2 E 2:1,1 3:1,10 4:1,1 

50:7,13,17 51:1,3,8,13,17 earlier40:16 41:17 

description 3:11 49:13 early 16:7 

designation 41: 19 earn 19:2 

designed 39:5 earnings 28:17 

detrimental45: 11 easier 39:25 40:2,2 

Detroit 34:18 East 10:3,6,7 

develop 12:15 17:2 Ed24:14 

developing 12:23 education 7:12 

different36:12 38:21 educational6:24 

difficult 5:22 effect 44:2,20,23 

DIRECT3:5 eight 6:4 

directly 36:7 Eighteen 25:1,2 

director 14:13,24,25 15:1,21,24 16:3,7 18:2,4 either 17:11 39:5 

18:5,6 23:4 else's 38:1 

directors 24:13,14 26:15,24,24 27:20 emotional5:10,15 

discovered 4 2: 19 emphasize 32:3 

discrepancies 31: 14 employee 6:17,21 

dispatch 15:4 18:9 32:22 41:11,15,17 employment 6:23 

dispatchers 32:3,9 ended 35:9 

disposition 44:7 engineer 10:25 11:2,5,8 

distributed 31: 1 7 enhance 12:16 

division 40:8 41:4 enter 17:14 

DOCKET 1:3 50:3 entire 39:9 

doctor's 6:1 entity 21 : 1 0 

document4:16,19 40:24 49:14 ergonomically 39:5 

documentation 3 7:24 45: 13 errors 33:2 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

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FEDE~L AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

everybody 18:11,14 40:2 

every-two-year 43:8 

evidence 28:23 

exact 37:20 

exactly 38:24 

examination 3:5 4:5 50:21 

executed 49:16 51:3 

Executive 17:23,25 

exhibit4:14 30:6,8,11 

exhibits 51 :9 

existence 11:9 

existing 31 : 13 

expecting 43: 10 

expense 3 7:2 

experience 19:21 

expert 15:16 

Expiration 52:12 

EXPIRES 49:23 

explain 21 :24 

explained 3 5:20 41 :20 

explaining 36:4 

Express 8:20,21 11:23,24 12:2,5 13:20,21 

14:1,3,4,8,11,19,20,22 15:9 16:5 

expressed 49:17 

Expressway 52:13 

extent 44:17 

extremely 45: 11 

e-mail2:21 32:14 

F 

F44:23 

FAA 1:3,4,18 15:14 30:14 36:21,23 37:6,10 

37:11,25 38:6,17,18,19,22 50:3,4 51:20 

FAA-certificated 30:16 

FAA-2013-0040 1:3 50:3 

facility 31 :6,7 

fact 34:21 

factor 44:16 

factors43:22 44:7,11,13,15 

facts28:23 

fair33:24 

falling 14:3 

familiar 34:24 40:12 

far 19:9 21:14 28:14 

FARs 16:6 

father20:7 

fax 2:6,14,21 41:12 52:14 

Federal1 :1,22,24 2:3,8,11,15 4:21 50:1,11 

feel39:20 

feeling 41:14 

fees 45:9 

fight 37:3 

fighting 37:2 

file 20:22 21:15,16,18 28:13,15,16 37:17 

38:11 

files 28:5,8 

finally 36:25 38:10 

financial18:16,16,19,23 45:20 

fine 29:1,19 

finished 30:9 

Firm52:12 

first4:4 7:19 9:1,15,2111:614:2417:22 38:4 

44:15 45:7,14 

fiscal18:25 19:4 

five 43:19,20 

five-minute 4 7: 16 

five-year 16:1,2 

fix 38:24 

flew 10:5,10,14 34:14 

flight7:218:310:2511:2,4,712:12,1313:11 

15:3,4 16:9 18:7,8 

Flights 27:7,23 

FlightSafety 11:21,22,25 12:1,24 13:11 14:2 

14:7,8,10,14 

Florida 9:19 

flown 17:8 

fly 8:6,7,7,9,14,15 9:3,18,21 10:11 12:14 

13:14 20:2 41:19 

Flyers 7:23 9:24 

flying 8:11,13 13:8 

followed 35:10 

following 18:8 31:16 50:12 51:19 

follows 4:4 51:13 

foregoing 49:1,15 

form 19:23 31:14,15,16,20 33:8 35:1 39:6 

format 31:13 

forms 32:4 

Fort 1:23 2:5,13 

foster 40:10 

found 33:3 34:14 

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FEDEtlt AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

four43:13 

fraction 24:25 

Francisco 2:20 50:20 

Freight 25:5,11 

front46:15 

fullS: 16 31 : 11 

fully 6:8 

function 19:9 

further 32:8,15 47:20 

G4:1 

general39:24 

generation 20:12 

getting 35:9 47:17 

give 5:16 

G 

given49:18 50:14 51:17 

go 15:10,11 21:11,14 24:23 34:8 37:15 44:10 

goal39:15 

goes 25:18,20 

going 4:23 19:1 28:20 39:13 

GOM41:10 

good4:7 9:5 16:19 19:20 

goods 34:17 

go-away 3 7: 1 

graduate 7:8,15 

graduated 7:15,17,20 

gravity 44:17 

Green 35:1 

Greensboro 26:1 

ground 17:12 

grow 17:1 

guess 8:15 27:3 35:5 36:19 41:13 

guilt 34:2 

guy 17:12 

guys43:13 

H3:10 

half6:19 38:10,13 

Hampton 10:3,6,7 

Hamptons 10:12 

H 

hand 17:13 40:11 49:18 

handle 18:16 

handled 36:21 37:7 

hands-on 33:16 

happened 34:16 

harmful45:11 

hat 15:20 

hate47:15 

hated37:7 

hats 15:19 

hazardous 33:20,25 34:17 35:8 36:13 41:4 

hazmat41:5 

head4:25 

HEARINGS 1:2 50:2 

Heck40:4 

heighten 32:3 

help 12:17 17:2 29:2 

Hey 35:5,22 36:8 41:12 

highest 33:12 

highly 29:6 

hired 11:1,3,10 13:1 14:5 

HMR32:16 

holder 22:3 

holding 21:21 25:15 

Holms 2:11 4:9 

home20:9 

hours 6:5 20:9 

HOURS:OO 51:15 

HOURS:0151:14 

hundred 35:12 37:6,12 

idea 27:22 

identification 4:13 

identity 49:13 

idiot 39:6 

imposed 37:14 

Improper 36:16 

improperly 36:13,15 

incident 34:3 

include 44:7 

includes28:16 51:19 

including 45:9 

income47:3 

I 

Incorporated 22:4,5,16,22 24:15 

indicate 32:8,13,21 33:2 

indicated 4:19 

industry 17:6 

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FEDE~L AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

information29:14 38:1 41:16 46:22 51:17 

informed 35:10 

initial14:15 

initially 42:22 

initio 12:16,19 17:1,4 

inspected 41 : 15 

inspection34:16 42:17 43:2 

inspections 42:18 

inspector 34:18 36:6,7 41:4 

inspectors 38:25 

instance 1: 18 

instruct 8:5 

instructing 7:21 9:24 

instruction 8:3 

instructor 13:2 

instrument 49:15 

Insurance 25: 14 

interest 24:18 

interested 36:22 

interesting 3 7:23 

Interfaced 15:13 

investigation 30:14 35:7 41:21 

involved 16:3 18:18 25:20 

irrelevant 28:23 

Island 7:7,23 10:7 

issued 30:14 

J 

James2:3 4:7 51:11,14,20 

JAMES.ARCHIER@FAA.GOV2:7 

Jay 24:4,12,14 27:18 

jet 9:17 

Jewish 28:18 

Jim 26:8,18,21 

job 7:19 8:5 15:2 16:25 17:22 

Job#2-143524 52:19 

judging 33:15 

jug34:23 

July31:16 32:9,13 

June 39:1 40:5 

justice 44:21 

kind 12:9 27:8 30:17 

kinds 13:12 

K 

Klimas 39:1 40:7 42:21 

knew 36:8 42:3 

know4:9 5:6 11:417:12 25:16,18,20 26:2,5 

26:16,19 27:14,15,19,21 28:7,15,17,19 

29:22 30:9 33:25 34:8,14,24 35:11,22,23,24 

36:1,9,11,13,18 38:7,18,18,25 39:10,22,24 

40:10,13,15,23,25,25 41:2,3,14,25 42:1,2 

46:13,16,21 

knowledge 33:19,21,22 42:1 

known49:11 

Kristin 1 :20 50:9 52:11 

L2:18,18 50:18,19 

labeled 36:15 

labels 36:16,17 39:3 

lack42:4 

L 

LaGuardia 10:7,14 14:16 

landed41:3 

Lansing 31:7 34:7,11,14,15,18 

largest 13:11 22:3 

laws 28:19 

lawyer21:8 

LAW@AVIALEX.COM 2:21 

learned 30:1 

left27:4 40:19 

Legal51:2 52:12 

legality 16:9 

lesson 20:9 

letter3:13 30:13,14 31:11 33:16 

let's 13:25 19:4 38:24 43:20 

level25:15 

levied 29:1 

liability20:24 21:1,4,10 

license 8:1 20:5 

licensed 13:5,5 

licenses 17:7,11 

life 19:22 

limited 20:24 21:1,4,9 25:19 26:25 

LINE48:3 

literally 35:25 

little6:24 21:3 39:18 40:11,25 

live6:11 

LLC 1:4 20:24 21:12,15,20 22:14 24:18 27:1 

27:2,12 28:3,5,25 29:13 33:13 44:25 45:12 

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FEDE~AVIATION ADMINISTRATION JitMARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

50:4 means34:2 

LLC's28:17 media 15:17 

load41:14 medications 5:21 

loaded 41:15 meeting 38:25 39:10 

located 7:6 8:22,23 22:7 mental5:10,16 

LOI 35:10 36:9,10 mention 44:14 

long 6:17 7:7,23 8:3,18 9:6,21,25 10:7,10,18 mentioned 44:11 

11:12 22:23 merits 36:24 

look30:7 31:24 37:16,21 38:12 46:20,24 met 15:8 42:22 

looked 22:23 35:11 Michael2:18,18 32:14 50:18,19 51:15,21 

looking 24:7 Michigan 34:3,7,18,19 

loss45:6,15,17,18,22 47:1,3 Mid-Atlantic 25:5,11,21,21,23 26:7,8,19 

losses 21 : 11 Mike39:5 

lost45:4,7 miles 20:7 

lot40:2,25 minutes43:20 51:14,15 

loud4:24 Miserable 16:17 

lunch 43:12 mistakes 38:6 

Mitch 23: 11 ,22 

M Monday 31:16 

machine 1 :22 money 18:24 19:1 28:20 36:23 37:2 45:4,7 

mailing 22: 10 months 12:6 40:6 

maintenance 16:11,11 31:1,6,7,9 mother20:7 

major7:10 Mountain 42:7,11 

making38:6 39:6 41:10 move 11:5 

manage 18:19 moved 14:15 

management 18:25 26:24 multi 36:11 

manager 13:23 16:11,12 32:22 

manages 18:22 N 

mark 4:13 30:5 N2:1 3:1 4:1 52:13 

marked4:14 30:6 name4:7 17:5 25:4 27:17 29:15 30:2 48:2 

married 6:13,14 49:14 

Martinaire 1:4 2:22 6:18,21 17:19,21 20:16 named 50:15 

20:24 21:15,20 22:1,4,4,5,14,16,21 23:15,18 Nassau 7:23 9:24 

23:20,23,24 24:15,17,18 26:23 27:12 28:2,5 nature44:16 

28:9,17,25 29:11,12 30:18 31:15 32:1 33:13 need 5:6 20:15,18 47:15 

34:1 36:9 44:5,25 45:9,12 50:4 51:21 negotiations 15: 13 

Martinaire's 3:13 30:13 31:13 neighborhood 45: 18 

material33:20 34:1 35:8 41:4 never 17:8 

materials 34:17 36:13 new 9:13,19 12:16,21 13:3 20:5 33:8 

matter 1:3 34:21 45:10 50:3 nine 12:6 

matters 44:21 nods4:24 

McDowell1:21 50:9 52:11 NOPC 31:13 32:4,15 39:4 41:5,6 

Meacham 1:23 2:5,13 NOPC's 32:24 

mean 8:13 10:11 12:20 13:24 15:6 18:13,15 North 26:1 

26:22 31:18 38:11 Northwest42:7,11 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

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( 

( 

FEDE~L AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

NOTARY 49:22 ORAL 1:11,17 

notch 36:22 37:12 organization 13:12 

noted49:3 original51:8 

notice 3:12 4:19,19,21 37:14 originally 13: 1 

noticed 20:19 34:21 oversee 14:14 15:3 

not-in-the-ordinary-course-of-business 45:8 owned 21:22 25:11,12,14 

not-proper 35:8 owner 22:14 29:12 

number 22:2 24:24 45:18 46:13 owners 21:12 

numbered 1: 19 owns 24:17,25 25:13 

numbers 37:21 38:3 46:2 47:5 o'clock43:14 

Nutt 34:17,21 35:7,20,22 

p 

0 P2:1,14:1 

04:1 page3:1,11 31:10,11,24 48:3 

Oakdale7:7 PAI40:9 

oath4:2 49:12 paper42:5 

objection 28:22 29:4 44:6 45:2 papers 36:16 38:12 

occur 38:9 paperwork 36:19 

October 6:22 paragraph 30:16 31:11 

office 1:2 2:4,12 20:8 22:8,9 49:18 50:2 paragraphs 38:1,4 

officer9:1,15,2111:6 17:24 18:1,12 19:1 part32:10 33:1 

22:19 23:2,8,10,24 51:4,18 partial45:5 46:7 

officers 11:3 22:16,21 23:3,5,6 24:1 26:2,3 particular 4:20 

officer's 19:6 parties51:19 52:2 

offices 1:22 38:22 partners 21:12 

official16:21 partnership20:23 21:4,11 

oh 26:17 29:21 35:6,16,17 46:10,12 party 51:12 

okay4:11,18 5:2,4,9 6:1,7,11,13,17,20,23 7:2 pay 28:21,25 39:16 44:2,19 

7:14,19,22 8:5,17 9:9,23 10:2,13,20,22 payments 45:8 

11:14,17,22 12:9,22,24 13:17 14:6,17,23 Paynter 24:4,12,14 27:18 

15:12,15,23,25 16:2,14 17:4,15,18 18:10,15 penalties 28:21 

18:19,22 19:19 20:15,19 21:1,3,7,13,18,20 penalty 1:5 37:14 43:24 44:2,4,25 45:10 50:5 

21:23 22:15,15,19,21,25 23:5,21,22 24:3,12 people8:7 12:13 13:4,14 18:10 19:15 29:22 

24:21,24 25:17 26:5,14,25 27:2,6,10,13,15 percent24:17,19 25:2 27:4,11,25 35:13 37:6 

28:5,14,20,20 29:14,24 30:1,15,24 31:5,22 37:13 

32:7,20 33:6,11,15,19,24 34:20 35:4,16,19 percentage 22:3 

38:16 39:12,17 40:17 41:8,9,17 42:9,14,19 perfect 39:10 

42:23,24 43:1,4,7 45:17,22 46:3,6,11,13,16 perfectly 30:4 

46:19,25 47:6,11,17,22 perform 32:23 

old 7:18 9:5 period 11:18 16:1 

ones28:10,12 person 17:14 18:22 33:13 49:14 

one-gallon 34:23 Personal8:16 

open 34:5 37:10,11 38:19 personally 49:11 

operating 17:23,25 18:12 23:2,7,8,24 phone2:6,14,20 40:7 

operations 14:25 15:1,3,24 16:9 18:3,4,5,6,7 physical5:9,15 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

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FEDEJit AVIATION ADMINISTRATION ~MARTINAIRE Deposition of: ALAN RUSINOWITZ S/16/2013 

profit47:12 

profits 21:11 46:21 

10 

pick34:9 

picking 40:6 

piece42:5 

pieces 37:24 

program 12:17,19,23 13:23 14:5,14,15 17:14 

pilot7:24 10:25 11:10 12:21 17:2,7,10,13 

18:7,8 20:5,13 32:14,23 34:6,22 35:6,9,12 

35:20 36:5 37:10 41:3,6 42:2 

pilots8:613:3,5,13 15:418:8 31:20 32:2,15 

32:23 

pilot's 8:1 

pissed 19:2 

place 10:10 24:23 39:14 

planes 20:3 36:2 

planning 15:5 

Plano 6:12 

play25:6 

player 27:3 

players 25:8 

please 4:13,24 30:7,8 

PMI40:9 

pocket41 :19 

POI40:8 

point41:13 

pontificating 39:18 

Portland 40:15,17,18 

possible 45: 10 

post-graduate 7: 12 

Power 34:3,23 35:6 36:1 

practice 30:2 

prefer 29:23 

Present 2:25 

president 17:23,25 18:11,14 19:11,16,17 

23:12,14,22 26:5,6,10,13 27:15 33:12 

pretty 33:6,16 

previous 33:19,25 43:25 46:21 

printed 31: 1 7 

prior6:23 15:2116:5 33:3 41:11 42:17 43:3 

44:19 

private 13:8 

problem38:19 47:18 

Procedure 1:25 4:22 50:11 

procedures 39:23 

proceedings 29:18 47:24 

produced 1: 17 

professional 8: 16 

32:2 

programs 17:3 

progression 8:19 11:4 

promise 5:13,19 

pronounce 30:1 

pronouncing 29:15 30:3 

proof39:7 

proper39:6 

properly 51 :3 

proved 49:12 

provided 28:10,13 45:5,20 

PUBLIC 49:22 

pure 35:13,14 

Purple 34:3,23 35:6 36:1 

purpose 24:16 

purposes 49:16 

pursuant 1:24 4:21 50:10 51:17 

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putting 36:22,22 

P-A-Y-N-T-E-R24:4 27:18 

p.m 43:21,21 47:19,19,24 

qualifications 17:8 

quarter 45:7,14 

0 

question 5:2 20:17 22:13 30:15 33:23 38:4 

40:4,9 42:4 

questions 4:24 5:11,17,22 6:9 9:5 47:21 

R2:1 4:1 

raises 17:12 

ran41:6 

ranking 3 3: 13 

reached 14:8 36:25 

R 

read 30:8 33:16 44:9 47:11 49:1 

reading 30:9 

ready 11:19 25:9 

realize 39:25 47:6 

really 16:23 25:20 37:23 

reason 6:7 48:3 

reasons 51:5 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
( 

( 

FEDEtlt AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

11 

recall37:20 20:19 23:17,19 24:6 26:17 27:23 28:12,12 

recapping 19:20 28:14 33:24 37:22 39:8 40:21 42:14 43:7,9 

recollection 24:10 43:12,14,16,16 45:15,18 46:8,25 47:9,14 

record35:18 50:13 51:19 role 25:6 

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recruitment 17:2 routes 9:18 

reference40:24 46:24 47:13 Rules 1:24 4:22 50:11 

regard 44:23 run 14:5 

regarding 36:12 Rusinowitz 1:12,17 2:25 3:4 4:3,7,15,23 6:11 

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regulations31:9 36:12 s 

relationships 40: 1 0 s 2:1 3:10 4:1 

remember 16:23 37:16 41:24 42:16 Saab 14:15,16 

repair 31:1 saddle 11:7 

repeat 5:3 safe 38:23 

rephrase 5:3 safekeeping 51: 11 

report 18:10 19:15 21:15,16,18 28:15,16 safety 14:24 15:22 16:4,8,11,12 

reported 1 :21 sample41 :10 

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reporting 16:13 Sawyer39:1 

reports 18:14 21:14 saying 36:10 39:6 46:1 

representative 16: 10 says 17:13 30:16 

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require44:21 scheduled 9:20 10:17 

required 21:16 scheduling 15:5 

requirement 16:6 32:4 seal49:18 

respondent 1:6 44:1 50:6 seat 11:7 

respondent's 44:3,18,18,19,20,24 second 9:3 11:3 20:12 

response3:13 30:13 31:12 36:3 secretary 23:1,2,6,23 

responsibilities 9:2 12:22 18:25 see 13:25 29:25 46:1 47:4 

responsibility 19:5 seeing 41 :24 

responsible 18:6 seen 4:15 

result 42:23 45:6 sense 38:4 

return 28:8 47:6 50:21 sent31:20 32:14 

returned 51: 1 separate 26:14 28:6 

returns 20:19,22 28:6 series 4:23 21:22,23 

review 45:25 served 52:1 

reviewed 32:1 set 22:16 

revise 31 : 15 settle 37:18 

revised 31:17 32:2 settled 37:4 38:10 

ride 20:6 settlement 37:1 

ridiculous 38:14 shakes4:25 

right4:18 7:17 9:1212:6 14:8 18:119:5,7,23 sheet51:4 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
( 

( 

( 

FEDEJit AVIATION ADMINISTRATION 4tMARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

12 

shell22:11 store 34:9 35:25 

shipping 36:16 Street 2:19 50:20 

shirt 41:19 strongly 39:20 

shorthand 1 :22 50:9 structure20:16 21:24 22:24 25:19 

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showed 30:11 45:14 47:3 student's 20:5 

shown52:2 submittal45:5 

shut9:4 submitted 50:17 

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sick5:24 subsequent 36:11 

side 11:7 subsequently 35:10 

signature 3:6 48:1 49:2 50:21 subsidiary 21 :21 

SIMCOM 12:6,8 16:14,16,20 Suite 2:19 50:20 52:13 

simple9:6 35:1 summarizes 33:7 

simulator 14:16 supplemental32:9 

single 6:13 Support51:2 52:12 

sir4:24 7:13,25 8:10 9:17 10:9,21 20:21 21:2 supposed 40:10 

21:19 23:25 27:16 30:10 46:12 sure23:15 29:20 30:3 31:23 33:6 36:4 38:7 

sit9:4 20:8 37:5 45:17 

small13:14 survivability 45: 12 

soap 34:10 35:3 sworn 1:18 4:4 

somebody 38:1 sworn/affirmed 50:16 

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sound 9:6 S-A-A-B 14:16 

sounds 33:15 S-1-M 12:8 

source 15:16 S-P-I-N-D-E-R26:9 

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specializing 21 :8 T 

specific20:18 33:23 T3:10 

specifically 13:7 table 39:2 

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spent 12:6 43:20 47:16 

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spot 34:16 talk 18:22 19:4 31:25 40:5 

stand 39:19 talked 33:9 35:9,12 39:9 

standards 14:13 talking 18:24 23:16,19 47:2 

start 7:14,17 Target34:9 

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statement 31:12 taxable21:10 52:18 

statements 47:3 taxed 21:10 

states 40:19 teach 8:7 17:9 

station 31: 1 tell5:13,19 6:23 18:4 20:15 22:2 24:22 33:22 

station/ramp 16:12 34:4 41:2 

stay 16:19 tenure 17:19,21 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
( 

C.. 

/ 

! 

FEDE~ AVIATION ADMINISTRATION~ MARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

term 17:6 

testified 31 : 19 41 : 16 

testifies 4:4 

testimony 50:14 51:18 

Texas 1:21,24 2:5,13 6:12 50:10 52:11,13 

thank4:18 29:14 47:23 

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therefor 51:5 

thereof 51 :9 

thing 19:22 36:9 39:9 

things 16:3 19:3 39:22 41:1 

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40:23 41:16 42:21,22 45:15 47:16 

third 27:2 

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time 8:11,18,23 22:23 34:12 38:5,15 45:5,23 

47:23 51:12,18 

title 8:25 9:14 12:25 13:21 16:16,22 

titles 15:1 

today4:8 5:11,24 11:918:1 35:13 40:16 

41:17 

told 26:16 

tomorrow43:11,14,15 

tone 38:8,25 

trade 17:4 

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14:1,2,4,10,15 17:1,2 31:25 32:2,9,21 33:8 

39:3 42:4,4 

transcript 50:13,17 51:1,8 

translate 16:21 

translates 16:18 

TRANSPORTATION 1:1 50:1 

trial51:11 

true 49:3 50:13 

Trump 10:23,24 11:1,11 

truthfully 6:8 

try40:1 

trying 12:15 

Twelve 6:19 

two6:16 11:13 20:8 23:3,5 24:14,24 25:15 

31:2,3,5,8 38:4,11,13 40:5,19 

two-year 42:17 

type 8:13 13:6 16:2 26:22 27:22 

typical41: 18 

u 

uh-oh 35:13,15 

umbrella 19:10 

Um-hmm 9:17 12:4 40:18 

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39:23 42:10 

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underwent 32:9 

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unnamed 15:16 

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u.s 1:1 21:25 50:1 51:1 52:12 

verbatim 32:16 

verify 24:5 

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violates 38:6 

v 

violation34:2 36:1141:23 44:16,17 

violations 33:20 34:1 42:19 43:25 44:19 

walk43:10 

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w 

want 17:13 23:15 29:20 30:15 31:10 33:6 

38:23,23 44:10,15 45:17 

wanted31:22 34:9 37:12 

wants 38:17,18 

wash 36:1 

washes 34:6 

Washington 1:2 40:19 50:2 

wasn't36:14 37:2 41:13 42:3,3 

way 15:10 39:6,11 

week34:12 

weekend 34:7 36:2 

weeks40:5 

went 8:19,19 9:13 10:3 13:19,25 14:6,12,17 

14:18 15:21 16:7,14 35:25 36:6,20,25 

we'll5:6 

we're 11:4 21:17 23:15,19 35:17 43:2 47:16 

we've 33:9 

wide 31:18,18 

withdraw 22:12 

witness 1:18 3:3 15:16 30:10 43:15,19 48:2 

50:14,15 51:3,6 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

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FEDEJitAVIATION ADMINISTRATION ~MARTINAIRE Deposition of: ALAN RUSINOWITZ 5/16/2013 

wore 15:19,20 

work 7:14,17 13:7,9 38:19 

worked 7:18 11:21 

working 14:20 38:21 

world's 13:11 

worse 46:4,10,11,16 

worth 1:23 2:5,13 37:2 

wrong 37:7,9 

X 

X3:1,10 

y 

yeah 11:3,20 15:11 19:24,25 20:1 23:19 24:8 

24:10 25:3,10 28:9,12 29:21,25 41:22 43:6 

44:14 

year6:21 7:15 8:18 9:8,22 10:1,19,20 11:15 

38:10 45:5,21 46:21 

years 6:19 7:18 11:13 15:11 19:20 38:9,11,21 

year's 46:5,7 

year-end 46:20 

yesterday 4 7:7 

York9:13,19 20:5 

youngest 20:4 

Yup 16:15 

zero 17:12 

$197,169 46:23 

$206,000 44:4 

$206,550 44:4,25 

$53,307 47:3 

$910,404 47:12 

00 51:15 

0151:14 

04 3:12 

0843:6 

0942:18 43:6 

1:16 43:21 

1:23 43:21 

z 

$ 

0 

1 

1:29 47:19 

1:39 47:19,24 

10/31112 46:9 

10:591:20 

100 52:13 

107.33143:23 

1120:7 31:16 ' 

12 27:4,11,25 

12/31114 52:12 

12116:6 

135 30:19,20 

14 32:9 

14531:1 

15 32:10 

161:13,19 7:18 19:24,25 20:2,3 50:8 

16th 50:15 

1720:6 

175.33 32:16 

190013:1,6,16,17,18,23 14:1,2,4,10,14 

1980 9:10 

1984 7:9,16,20 

1986 8:4,17 9:10 

199211:16,17,17,21 12:24 13:25 

1993 14:3 

1994 14:6 

199514:6,17,21 

2 3:2 31:10,11 

20 15:11 

20-plus 38:20 

2 

2000 6:22 11:17 12:2,3,6 14:17,21 17:16 

2009 43:4 47:12 

2010 47:1 

201142:25 46:23 

2011SW700189 1 :4 50:4 

2012 45:4,24 

20131:13,20 45:7,14,21 49:19 50:8,15,18,22 

51:2,10 52:3 

210 2:19 50:20 

214-741-600152:14 

214-741-6824 52:14 

222-5099 2:6,14 

222-5945 2:6,14 

26 32:13 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

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FEDEJit AVIATION ADMINISTRATION ~MARTINAIRE Deposition of: ALAN RUSINOWITZ 5/16/2013 

26011:23 2:5,13 

30 3:13 

300,000 45:19 

3119:20 

343 52:12 

43:5 

415 2:20,21 

421-2500 2:20 

421-2560 2:21 

4652:19 50:19 

483:6 

4943:23 

503:7 

5910 52:13 

79:11 

70 24:17,19 

72711:7 

7520652:13 

761371:24 

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89:11 

817 2:6,6,14,14 

8218 52:11 

9:041:20 

92 13:1 

93 11:21,23 

9411:23,25 12:1 

94104 2:20 50:20 

95 11:25 12:1,2,3 

3 

4 

5 

7 

8 

9 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

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FEDE~ AVIATION ADMINISTRATIO~. MARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

48 

CHANGES AND SIGNATURE 

WITNESS NAME: ALAN RUSINOWITZ DATE: §/1~}~3_ 

PAGE LINE CHANGE REASON 

_L~ _________ jJL ________ ~:-~~~g~----~~~~~-~t 

~----------~--------~~~~-~~-----------------­

----------------------~-~~~!-~QC~~~---tr~-~ 

~---------JL ________ del~~~~~~-~~-----------------

~ ~\AS .. lM.4! ----------~-----------------~-------------------------

----------------------~j:-~~~ca~1 _____________ _ . p • ~ 

----------------------~-~~~------------~~~~~~~!d il~ 5 ... t .... • 4e \'~1'\€ J, ~-------------------~------------------------------

----------------------~-~~-~~~~~~~~~---------- , . --------------------------------------------~~~~S~<~ 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
FEDE~AVIATION ADMINISTRATIOJil. MARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

1 I, ALAN RUSINOWITZ, have read the foregoing 

2 deposition and hereby affix my signature that same is 

3 true and correct, except as noted above. 

4 

5 

6 

7 

8 

9 

10 

11 

---~~-----~---------- ALAN RUSINOWITZ 

THE STATE OF _l~ - ___ ) 

COUNTY OF -~~J-~ ___ ) 

Before me, ~~-~~~-----------' on this 

day personally appeared ALAN RUSINOWITZ, known to me (or 

12 proved to me under oath or through 

13 l~~~L~--Jc~~-~) (description of identity 

14 card or other document) to be the person whose name is 

15 subscribed to the foregoing instrument and acknowledged 

16 to me that they executed the same for the purposes and 

17 consideration therein expressed. 

18 Given under my hand and seal of office this 

19 -~Gt~- day of----t~-~~------------' 2013. 

20 

21 

22 

23 

24 

25 

""'"'~~---<tHNW·'fNI•,HcA 

,~ ANA TEJADA {;t~~ NOTARYPUBUCSTATEOFTEXAS '(~Jfj ~ONEXPIRES: 

X!.§}."$!· 07-27-2013 

-~----~------------ NOTARY PUBLIC IN AND FOR 

THE STATE OF -~~-~---~~----­

COMMISSION EXPIRES: __ :{~~1P~---

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

49 
FEDE~AVIATION ADMINISTRATIO~. MARTINAIRE 

Deposition of: ALAN RUSINOWITZ . 5/16/2013 

1 

2 

3 

4 

5 

6 

7 

8 

9 

U.S DEPARTMEN.T OF TRANSPORTATION 

FEDERAL AVIATION ADMINISTRATION 

OFFICE HEARINGS 

WASHINGTON, DC 

In the Matter of: FAA DOCKET No. FAA-2013-0040 

Martinaire Aviation LLC ) FAA CASE No. 2011SW700189 

Respondent 

(Civil Penalty Action} 

REPORTER'S CERTIFICATION 

DEPOSITION OF ALAN RUSINOWITZ 

MAY 16, 2013 

I, Kristin McDowell, certified Shorthand Reporter 

10 in and for the State of Texas, hereby certify pursuant 

11 to the Federal Rules of Civil Procedure to the 

12 following: 

13 That this deposition transcript is a true record of 

14 the testimony given by ALAN RUSINOWITZ, the witness 

15 named herein, on May 16th 2013 after said witness was 

16 duly sworn/affirmed by me. 

17 That the deposition transcript was submitted on the 

18 ~~JrJcL __ day of ~UJ:~--- 2013 to Mr. Michael L. 

19 Dworkin, MICHAEL L. DWORKIN & ASSOCIATES, 465 California 

20 Street, Suite 210, San Francisco, California 94104 for 

21 

22 

23 

24 

25 

examination, signature and return to me by 

~~L~----~~-----' 2013. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

so 
FEDE~ AVIATION ADMINISTRATIOttv. MARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

1 That the deposition transcript was returned to u.s. 

2 Legal Support on------------------~-' 2013, was 

3 properly executed by the witness to the deposition 

4 officer, and the attached change/correct sheet contains 

5 any changes, and the reasons therefor, made by the 

6 witness. 

7 

8 That the original deposition transcript, or a copy 

9 thereof, together with copies of all exhibits, was 

10 delivered on the ------ day of ------------' 2013 to Mr. 

11 James Archier for the safekeeping and use at trial. 

12 That the amount of time used by each party at the 

13 deposition is as follows: 

14 

15 

16 

17 

MR. JAMES ARCHIER ........ . 01 HOURS:01 MINUTES 

MR. MICHAEL DWORKIN ...... . 00 HOURS:OO MINUTES 

That pursuant to information given to the deposition 

18 officer at the time said testimony was taken, the 

19 following includes counsel for all parties of record: 

20 

21 

22 

23 

24 

25 

MR. JAMES ARCHIER: Attorney for FAA; 

MR. MICHAEL DWORKIN: Attorney for Martinaire. 

U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 

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FEDE~ AVIATION ADMINISTRATIO~. MARTINAIRE 

Deposition of: ALAN RUSINOWITZ 5/16/2013 

That a copy of this certification was served on all 

parties shown herein. -· Certified to by me this L<2th day of~~-{L~ __ , 2013. 

KRISTIN MCDOWELL 

Texas CSR No. 8218 

Expiration Date: 12/31/14 

U.S. Legal Support, Inc. Firm # 343 

5910 N. Central Expressway, Suite 100 

Dallas, Texas 75206 

214-741-6001 

2 14 - 7 4 1 - 6 B 2 4 ( FAX ) 

Taxable cost $ __________ _ 

52 

19 Job#2-143524 

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U.S. LEGAL SUPPORT - DALLAS, TEXAS 

214-741-6001 
• 

EXHIBITF 

Deposition of Paul Daniel Klimas 

FAA Case No. 2011 SW700189 I DMS No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS TO COMPLAINANT'S 

MOTION FOR DECISION 
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ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

UNITED STATES OF AMERICA 

DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, D.C. 

In the Matter of: § 

§ FAA Case No. 

§ 2011SW700189 

Page 1 

5 § FDMS No. FAA-2013-0040 

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MARTINAIRE AVIATION, LLC 

§ Judge: Honorable 

§ Richard C. Goodwin 

************************* 

ORAL DEPOSITION OF 

PAUL DANIEL KLIMAS 

May 17, 2013 

************************* {. 

-..~ CERTIFIED COPY . 

15 ORAL DEPOSITION OF PAUL DANIEL KLIMAS, produced as a 

16 witness at the instance of the PLAINTIFF, and duly sworn, 

17 was taken in the above-styled and numbered cause on .May 

18 17, 2013 from 9:01a.m. to 9:59a.m., before JanaK. 

19 Richter, CSR, CMRS, CLR, RSA in and for the State of 

20 Texas, reported by machine shorthand, at Regus Office 

21 Suites, 2000 East Lamar Boulevard, Suite 600, Arlington, 

22 Texas 76006, pursuant to the Federal Rules of Civil 

23 Procedure and the provisions stated on the record or 

24 attached hereto. 

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1 A P P E A R A N C E S 

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3 ATTORNEY FOR MARTINAIRE AVIATION, LLC: 

4 

Mr. Michael L. Dworkin 

5 MICHAEL L. DWORKIN AND ASSOCIATES 

465 California Street, Suite 210 

6 San Francisco, California 94104 

Telephone: 415-421-2500 

7 Facsimile: 415-421-2560 

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9 ATTORNEYS FOR FEDERAL AVIATION ADMINISTRATION: 

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Mr. James Archier 

Ms. Becky Holmes 

FEDERAL AVIATION ADMINISTRATION 

Office of Regional Counsel 

Southwest Region, ASW-7 

2601 Meacham Boulevard, Suite 6E 

Fort Worth, Texas 76137 

Telephone: 817-222-5099 

Facsimile: 817-222-5092 

ALSO PRESENT: 

Mr. Alan S. Rusinowitz 

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ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

1 INDEX 

2 Page 

3 Appearances ............................. . 2 

4 Examination by Mr. Michael L. Dworkin .... 5 

5 Changes and Signature ................... . 32 

6 Reporter's Certification .............................. 33 

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1 EXHIBIT INDEX 

2 Number Description Page Marked 

3 1 Martinaire Aviation, LLC's (First Amended) 

4 Notice of Deposition and Request for 

5 Production of Documents and Things......... 5 

6 2 Resume of Paul Daniel Klimas................. 7 

7 3 Letter dated June 19, 2012 to Mr. Michael 

8 L. Dworkin from James Archier .............. 18 

9 4 Attachments to Martinaire's letter of 

10 response. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 

11 5 Letter dated June 9, 2009 to Mr. Alan 

12 Rusinowitz from Bryan Buchanan; letter 

13 dated May 29, 2009 to Paul Klimas from 

14 Alan Rusinowitz; letter dated May 14, 2009 

15 to Paul Klimas from Alan Rusinowitz ........ 27 

16 6 Order Assessing Civil Penalty dated June 19, 

17 2009 ...................................... 29 

18 7 Order Assessing Civil Penalty dated May 18, 

19 2009 30 

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ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

1 PAUL DANIEL KLIMAS, 

2 having been first duly sworn, testified as follows: 

3 EXAMINATION 

4 (Klimas Exhibit 1 was marked.) 

5 QUESTIONS BY MR. MICHAEL L. DWORKIN: 

6 Q Good morning, Mr. Klimas. 

7 A Good morning. 

8 Q I've handed you what's been marked as Klimas 1. 

9 This is the notice of deposition for both you and 

10 Mr. Buchanan. Have you seen this before? 

11 A Yes, I have. 

12 Q Okay. Have you ever had your deposition taken 

13 before? 

14 A No, sir. 

15 Q Okay. Let me go through a few rules of 

16 engagement, so to speak. 

17 Everything that is said here in the 

18 conference room while we're on the record is being 

19 reported by the court reporter. She will transcribe it 

20 into a booklet form, and you'll have the opportunity to 

21 review your transcript and to make changes or 

22 corrections. 

23 It is very, very important that while we're 

24 sitting here, you give us your best answer because if 

25 this matter goes to hearing, I can comment on any changes 

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( 1 or corrections you 1 ve made to your transcript. So try to 

2 give us your best answer. 

3 A Understood. 

4 Q If you -- and, also, because of the limitations 

5 of the court reporter system, our court reporter, 

6 although she is quite capable, can only take down what 

7 one person is saying at a time. So please wait for me to 

8 finish the question before you start to answer. Okay? 

9 A Yes, sir. 

10 Q And likewise, I 1 ll try not to step on you. 

11 It is also very, very important that all 

12 answers be verbalized. A nod or a shake of the head 

( 13 doesn 1 t show up in the transcript. Likewise, 11 uh-huh 11 

14 and 11 huh-uh 11 look identical in the transcript, so it is 

15 important that 11 yes 11 answers be verbalized 11 yes 11 or 

16 affirmative, and 11 no 11 answers be verbalized as 11 n0 11 or 

17 negative. Okay? 

18 A Yes, sir. 

19 Q This is not the Spanish Inquisition. The 

20 objective is not to make you uncomfortable. The 

21 objective is just simply to gather facts in connection 

22 with this case. I 1 m not attempting to harass you, make 

23 you uncomfortable, upset you, or anything like that. 

24 Okay? We 1 ll just maintain a very, very professional 

25 dialogue during this deposition. 

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( 1 A Yes, sir. 

2 Q Is there any reason why your deposition cannot 

3 be taken today? 

4 A No, sir. 

5 Q Okay. Are you under the influence of any drugs 

6 or medication that would adversely affect your ability to 

7 be deposed today? 

8 A No, sir. 

9 Q Let's see -- I was going to give you one more 

10 admonition, but it seems to have slipped my mind. If it 

11 comes back, I'll remember it. You know, one of the 

12 things that's the first to go is the memory. 

c 13 (Klimas Exhibit 2 was marked.) 

14 Q (By Mr. Dworkin) Okay. I have here, which your 

15 attorney, Mr. Archier, provided me, your CV. It's 

16 identified as Klimas Exhibit 2. It was also Government 

17 Exhibit B in some prior documents that the FAA had filed 

18 in this case. It appears to be your CV; is that correct? 

19 A Yes, it is. 

20 Q Okay. Is that your current CV? 

21 A Yes, it is. 

22 Q Okay. Has there been any changes since that was 

23 prepared? 

24 A No, sir. 

(_ 25 Q Okay. And what you listed there is true and 

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1 Q Okay. And the regulation says that the operator 

2 of the aircraft has to provide this to the pilot in 

3 command? 

4 A Yes, sir, it does. 

5 Q Okay. There has been an assertion made in this 

6 case by the FAA that the notification of pilot in 

7 command, also known as a NOPC, N-0-P-C, serves some other 

8 purposes. Are there other purposes that the NOPC serves? 

9 A Yes, there is, sir. 

10 Q Okay. What other purposes does the NOPC serve? 

11 A In addition to what you've just spoke about also 

12 for emergency response procedures in event of an incident 

c 13 involving the aircraft. 

14 Q Okay. And specifically, how would a NOPC come 

15 into play in an emergency response? 

16 A If there's an incident involving the flight, 

17 somebody on the ground would now have access to the 

18 information on the NOPC for emergency response 

19 procedures. 

20 Q Okay. Where in 175.33 does it state that the 

21 NOPC is used for emergency response procedures or should 

22 be available for emergency response procedures? 

23 A It does not. 

24 Q Okay. Are there any FAA written opinions that 

25 are publicly available, to your knowledge, that state 

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( 1 that the NOPC is used for emergency response purposes? 

2 A No. That is a practice. 

3 Q A practice that has been in effect for how long? 

4 A One example I can think of was the Fed-Ex 

5 incident. 

6 Q And that occurred when and where? 

7 A I believe 1999 in New York. I'm not sure on the 

8 years. 

9 Q Okay. Are there any FAA handbooks or orders or 

10 advisory circulars that state that the NOPC, in addition 

11 to serving as a notice to the pilot in command, is also 

12 to be used for emergency response procedures? 

( 13 A I don't believe so. Not that I'm aware of. 

14 Q Now, you were -- as the hazardous materials 

15 specialist, you were the investigating inspector in this 

16 case; is that correct? 

17 A Yes, sir. 

18 Q Now aside from Martinaire, are there other 

19 carriers that you routinely inspect and survey concerning 

20 NOPC issues? 

21 A Yes. 

22 Q What carriers are there? 

23 A American Airlines, United Airlines, just to name 

24 two. 

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25 Q As an example -- well, with American, when an 

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1 American Airlines flight is caring hazardous materials, 

2 does the American flight crew prepare the NOPC, or is 

3 that done by somebody else in some office somewhere? 

4 A The flight crew reviews the NOPC. 

5 Q Okay. But the NOPC is actually prepared by 

6 someone else other than the flight crew; is that correct? 

7 A Yes, sir. 

8 Q Okay. And likewise, with United Airlines? 

9 A Yes, sir. 

10 Q Okay. And unlike American and United Airlines, 

11 in Martinaire•s case, it is the pilot who physically 

12 prepares the NOPC; is that correct? 

13 A No, sir. The dispatcher takes a -- the NOPC is 

14 communicated to the dispatcher. 

15 Q And it's communicated to the dispatcher by the 

16 pilot? 

17 A Yes, sir. 

18 Q Okay. In the case of American Airlines and 

19 United Airlines, does the flight crew communicate that 

20 information to dispatch, or is that information already 

21 within the company? 

22 A Only when an item has been removed at the end or 

23 they reject an item. 

24 Q Okay. So in other words, in the case of 

25 American or United, the NOPC is prepared by some entity 

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( 1 other than the flight crew? 

2 A Yes, sir. 

3 Q And it is based upon information that is 

4 acquired by some entity other than the flight crew within 

5 the United or the American organizations? 

6 A Yes, sir. 

7 Q And the only time that the flight crew -- and 

8 I'm using the term "flight crew," because American and 

9 Uni'ted Airlines are piloted by more than one person --

10 A Yes, sir. 

11 Q -- at least I should hope so -- the only time 

12 that the flight crew provides some information to 

( 13 dispatch is in the event some item is removed or 

14 rejected? 

15 A Yes, sir. 

16 Q In Martinaire's case, it is the pilot who is 

17 providing the information to dispatch; is that correct? 

18 A Yes, sir. 

19 Q Okay. So in terms -- although dispatch prepares 

20 the notice to the pilot in command, in essence, the pilot 

21 is preparing the basis for -- the guts of the 

22 notification to himself? 

23 A Yes, sir. 

24 Q Now, on July 8 of 2011, you conducted -- and it 

( 25 wasn't just you, but there were other FAA hazardous 

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( 1 material specialists who accompanied you an inspection 

2 at Martinaire's facility; is that correct? 

3 A Yes, sir. 

4 Q And that was at their facility in Addison, 

5 Texas? 

6 A Yes, sir. 

7 Q And this was a full-based HAZMAT inspection? 

8 A Yes, sir. 

9 Q You were not just looking at NOPCs; you were 

10 looking at their HAZMAT training program, their HAZMAT 

11 compliance, everything? 

12 A At Addison? 

( 13 Q Yes. 

14 A Yes, sir. 

15 Q In addition to the Addison inspection, did you 

16 conduct an inspection at other Martinaire facilities that 

17 day? 

18 A Yes, sir. 

19 Q Where? 

20 A DFW International Airport. 

21 Q Okay. And what were you looking for at DFW? 

22 A Compliance with the pilot notification 

23 procedures, aircraft loading, acceptance, watching, 

24 making sure they're operating safely. 

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25 Q Okay. How long did the DFW inspection take? 

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1 A I don't recall. 

2 Q Okay. With respect to what you observed at DFW, 

3 did Martinaire appear to be in compliance? 

4 A Yes, sir. 

5 Q And so then you went to Addison. And what 

6 things were you looking at in Addison, other than the 

7 NOPCs? 

8 A Hazardous materials training records. As I 

9 recall, took a look at the stores operation as well. 

10 Q And were the HAZMAT training records in 

11 compliance? 

12 A Yes, sir. 

13 Q Was the stores operation in compliance? 

14 A Yes, sir. 

15 Q As a matter of fact, would it be fair to say 

16 that with respect to HAZMAT compliance, other than the 

17 NOPCs, everything else that you and your team saw was in 

18 compliance with the HMRs? 

19 A We had no other findings. 

20 Q How long did the inspection at Addison take? 

21 A I don't recall. I believe we were done probably 

22 12:30 or 1:00 o'clock that day. We started early at DFW. 

23 Q Okay. Now, in terms of Martinaire's training, 

24 Martinaire performs HAZMAT training every 12 months; is 

25 that correct? 

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1 A As I best recall, yes. 

2 Q The regulations require training every 24 

3 months, but Martinaire elects to do 12 months; is that 

4 correct? 

5 A Yes, I believe so. 

6 Q Do you think that's a good thing? 

7 A Yes, I personally do. 

8 Q And so what brings us here together on this day 

9 in this case are 12 sample NOPCs that you had some 

10 difficulties with? 

11 A Yes, sir. 

12 Q Okay. And which Martinaire admitted were 

( 13 deficient? 

14 A Yes, sir. 

15 Q There's been no argument from Martinaire that 

16 these NOPCs were deficient? 

17 A Correct. 

18 Q They basically fessed up and said, "You're 

19 right"? 

20 A Yes, sir. 

21 Q And in response to your findings, what, if 

22 anything, did Martinaire do? 

23 A Retraining. That's about -- I have not 

24 performed an inspection of Martinaire since that time, so 

25 I can only go with what was in the letter. 

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( 1 Q Did you find that Martinaire had expressed 

2 sufficient level of concern about your findings? 

3 A Yes, sir. 

4 Q Do you think that Martinaire's response was 

5 adequate? 

6 A Yes, sir. 

7 Q Do you think that their corrective action was 

8 adequate? 

9 A Yes, sir. 

10 Q As a matter of fact, following the inspection of 

11 July 8th, Martinaire had -- it actually revised their 

12 NOPC form; is that correct? 

( 13 A Yes, sir. That was in the letter of response, I 

14 believe. I have not performed an inspection since that 

15 time. 

16 Q Okay. As a matter of fact, the corrective 

17 action that Martinaire took was relatively instantaneous; 

18 was it not? 

19 A I believe changes were enacted rather quickly, 

20 yes, sir. 

21 Q Okay. Your inspection was July 8, and I believe 

22 the changes took place something, like, July 11th? 

23 A We met on July 11th, yes. 

24 Q Okay. And the purpose of the meeting on 

( 25 July 11th was what? 

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( 1 A To discuss the inspection and what had occurred. 

2 Q Okay. And at that July 11th meeting, was that 

3 when Martinaire had actually revised the NOPC form? 

4 A I do recall talking about it on that date. 

5 Q Okay. Did you or your team play a role in the 

6 changes that were made to the form? 

7 A I believe those were completed by 

8 Mr. Rusinowitz. 

9 Q Did you provide any input? 

10 A I don't recall. 

11 Q Is there any corrective action that you would 

12 have like to have seen Martinaire take that they didn't 

13 take? 

14 A I don't recall any, no. 

15 Q So as we sit here today, they were -- they took 

16 these findings seriously, they acted accordingly, and 

17 they were fully responsible? 

18 A Yes. 

So you have no gripes as to the amount of effort 

I 

19 Q 

20 or the -- or with respect to the concern or the 

21 responsiveness or the thoroughness of the corrective 

22 actions that Martinaire undertook? 

23 A No, I do not. 

24 Q Now, as the investigating inspector, you 

25 prepared what is known as an EIR; is that correct? 

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1 A Yes, sir. 

2 Q And the "EIR" stands for Enforcement 

3 Investigative Report 

4 A Yes, sir. 

5 Q -- is that, correct? 

6 A Yes, sir. 

7 (Klimas Exhibit 3 was marked.) 

8 Q (By Mr. Dworkin) Mr. Klimas, I'm handing you or 

9 have just handed you what has been marked as Klimas 

10 Exhibit 3. 

11 There is a cover letter to me from 

12 Mr. Archier, but that cover letter represents that the 

13 attachments are the EIR. If you could take a look at 

14 that and verify that the EIR has been attached to that 

15 letter. 

16 A Yes, sir, it has. 

17 Q Is that the EIR that you prepared? 

18 A Yes, sir. 

19 Q Okay. Going to the first page after 

20 Mr. Archier's letter there's an FAA memorandum dated 

21 September 20, 2011. It's to David Donnell, the Assistant 

22 Chief Counsel from Marty S. Alford. Is he your ultimate 

23 supervisor? Other than Mr. Huerta? 

24 A Ms. Alford --

25 Q "Ms. Alford." I'm sorry. 

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1 A -- is the central office director. 

2 Q Was this memorandum prepared by Ms. Alford, or 

3 was it prepared by you? 

4 A I did not prepare this. 

5 Q Okay. Let's go to the -- we have the -- the 

6 next page is the Enforcement Investigation Report. And 

7 that's the document that you have prepared; is that 

8 correct? 

9 A Yes, sir. 

10 Q And the next page bears a redaction under 

11 "Regulation Believe Violated." Did you redact that? 

12 A No, sir. 

(_ 13 Q So that was done by somebody else? 

14 A Yes, sir. 

15 Q Okay. And -- but under the "Regulations Believe 

16 Violated," when you prepared the report, I would presume 

17 you put in the pertinent sections of the HMR that you 

18 believed were violated by Martinaire; is that correct? 

19 A Would you mind restating the question? 

20 Q When you prepared -- you did prepare Block 18 --

21 not the redaction, but you put something in Block 18 when 

22 you prepared your report? 

23 A Yes, sir. 

24 Q And that would have been the provisions of the 

(_ 25 HMRs that you believed that Martinaire violated by reason 

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1 of the incomplete NOPCs? 

2 A That's what goes in the box. 

3 Q Okay. And on the next page, there's another 

4 redaction. And, again, that's "Regulations Believed 

5 Violated," the same thing. And then there are some 

6 recommendations under "Type Action" and "Sanction," and 

7 those have been redacted? 

8 A Yes, sir. 

9 Q The next page is a I guess a Regional 

10 Division Review by somebody in regional headquarters; is 

11 that correct? 

12 A Yes, sir. 

( 13 Q It's Gary Moore? 

14 A Yes, sir. 

15 Q Then after Mr. Moore's sign-off we have a 

16 Section B of the EIR, and that was also prepared by you? 

17 A Yes, sir. 

18 Q And if you go to paragraph Roman Numeral II of 

19 Section B, which I think is about four pages in, "Factor 

20 Affecting Sanction," and, likewise, Roman Numeral III, 

21 "Other Information" and Roman Numeral IV, "Enforcement 

22 Decision Tool Worksheet," were those redactions done by 

23 you or by somebody else? 

24 A I did not perform those redactions, sir. 

25 Q Okay. So with respect to items II, III, and IV~ 

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( 1 you had put something in --

2 A Yes, sir. 

3 Q -- that report; is that correct? 

4 A That's correct. 

5 Q What factors did you consider that affected 

6 sanction? 

7 A Compliance history. 

8 Q And specifically what about Martinaire's 

9 compliance history? 

10 A Would you mind being more specific? 

11 Q Yeah. You said you considered Martinaire's 

12 compliance history, and, specifically, what? Were there 

( 13 other incidents that you felt were significant? 

14 A There were similar violations within the last 

15 five years. 

16 Q Okay. Were there any other factors that you 

17 considered in determining sanction? 

18 A The nature of the violation. 

19 Q What else? 

20 A I believe that was all, sir. 

21 Q Did you consider Martinaire's response --

22 A Yes. 

23 Q -- to the FA findings? 

24 A Yes. 

25 Q And the immediacy of Martinaire's response? 

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1 A Yes. 

2 Q And the comprehensiveness of Martinaire's 

3 response? 

4 A Yes. 

5 Q What did you put in, in terms of "Other 

6 Information" in block Roman Numeral III? 

7 MR. ARCHIER: I'm going to object to that 

8 question. This document that is redacted is redacted by 

9 the attorney, me. He does not make the redactions. The 

10 material that's redacted here goes directly to the 

11 protective order and the material that's under protection 

12 of the protective order. 

13 MR. DWORKIN: Okay. Are you directing him 

14 not to answer? 

15 MR. ARCHIER: I am directing him not to 

16 answer that question. 

17 MR. DWORKIN: And, likewise, Roman Numeral 

18 IV, are you directing him not to answer? 

19 MR. ARCHIER: What's your question? 

20 MR. DWORKIN: What he had put in the 

21 "Enforcement Decision Tool Worksheet" in his report. 

22 MR. ARCHIER: That is correct. 

23 MR. DWORKIN: And likewise, the very next 

24 page, "Hazardous Material EDP Worksheet," you're also 

.25 instructing him not to answer any questions regarding 

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( 1 what he had inserted in that report? 

2 MR. ARCHIER: That is correct. 

3 MR. DWORKIN: And that goes on for pages 2, 

4 3 I 4, 51 and 6? 

5 MR. ARCHIER: That is correct. 

6 Q (By Mr. Dworkin) In response to the FA's letter 

7 of investigation, and although you were the investigating 

8 inspector, it was Bryan Buchanan who had written the 

9 actual LOI, is that correct, or signed the LOI? 

10 A He signed the LOI. 

11 Q Okay. And I believe that went out on July 19th? 

12 A Yes, sir. 

( 13 Q Okay. And Martinaire responded to LOI by a 

14 letter dated August 2; is that correct? 

15 A Yes. 

16 Q And I believe you have it right in front of you? 

17 A Yes. 

18 Q Is there anything in that Martinaire letter with 

19 which you disagree? 

20 A No, sir. 

21 Q Now, attached to that letter were a number of 

22 attachments that were referenced right in the letter, 

23 Attachments A through, I believe, M, correct? 

24 A I recall a number of attachments, yes. 

( 25 Q Okay. And what that -- those attachments 

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ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

1 consisted of included, among other things, pertinent 

2 provisions of Martinaire's general operating manual or 

3 GOM, changes to the HAZMAT training program that they had 

4 immediately adopted, the revised NOPC form among other 

5 things; is that correct? 

6 A As I recall, yes, sir. 

7 Q And when you got that, you were satisfied that 

8 Martinaire had essentially fixed the problem? 

9 A If they followed their program. 

10 Q How come none of those attachments to 

11 Mr. Rusinowitz or Martinaire's August 2 letter ended up 

12 in your EIR? 

( 13 A Would you mind rephrasing that question, 

14 possibly? 

15 Q How come none of the attachments in Martinaire's 

16 letter of response of August 2, 2011, other than 

17 Martinaire's letter, but how come the attachments didn't 

18 end up in your EIR? 

19 A I don't recall. Now, what they sent me is what 

20 I included in their letter of response. 

21 Q But you didn't include the attachments? 

22 A I don't recall not including the attachments. 

23 (Klimas Exhibit 4 was marked.) 

24 Q (By Mr. Dworkin) Let me represent to you that 

( 25 what has been marked as Klimas Exhibit 4 are the 

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ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

( 

1 attachments to Martinaire's letter of response. 

2 Were any of those documents included in 

3 your EIR? 

4 A If they sent them to me, I included them in the 

5 EIR 

6 Q Okay. Well --

7 A -- as part of. the index of attachments --

8 Q Okay. Well 

9 A -- items of proof. 

10 Q Well, I'm looking at your EIR, Exhibit 3 I which 

11 is, oh, maybe about a half an inch thick and I'm looking 

12 at the attachments to Martinaire's letter of response, 

( 13 which are about an inch and a half thick, and how could 

14 that inch-and-a-half pile have been included in your EIR 

15 which is about one-third the thickness? 

16 A If it was submitted, I included it. 

17 Q So in other words, what has been represented as 

18 being the EIR, is not, in fact, the EIR because the 

19 A It was -- right. It is a reprint of their 

20 HAZMAT program. 

21 Q Yes. 

22 A In total. And if I -- if I received it as part 

23 of the letter of response, I included it. 

24 Q Well, if it wasn't in the EIR that was provided 

25 to me, do you have some explanation as to what happened 

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Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

( 1 to it? 

2 MR. ARCHIER: Can I interject? And I'm not 

3 trying to tell the witness how to answer, but maybe we 

4 can resolve this problem by going off the record for a 

5 minute. 

6 MR. DWORKIN: Sure. 

7 THE REPORTER: Off the record. 

8 (Off the record 9:36a.m. to 9:42a.m.) 

9 Q (By Mr. Dworkin) I take it because Martinaire 

10 does carry HAZMAT, your office has considerable dealings 

11 with them; is that correct? 

12 A I have some dealings with them, yes. 

( 13 Q How would you consider the relationship between 

14 your office and Martinaire? Is it a cooperative working 

15 relationship? 

16 A I would say it has been. 

17 Q When you've expressed concerns, they have 

18 responded to those concerns; have they not? 

19 A In the past, they have, yes. 

20 Q And very positively? 

21 A Yes. 

22 Q They have sought compliance, correct? 

23 A Yes. 

24 Q Now, you mentioned some prior cases. What prior 

( 25 cases were there? 

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ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

( 1 A Out of --

2 Q Prior HAZMAT cases. 

3 A Okay. Within the last five years --

4 Q Yes. 

5 A -- we had a letter -- a case that was closed 

6 administratively following an inspection that I completed 

7 also involving 175.33 of 49 CFR, and a case out of 

8 Northwest Mountain. 

9 (Klimas Exhibit 5 was marked.) 

10 Q (By Mr. Dworkin) I'm showing you what's been 

11 marked as Klimas Exhibit 5. What is that? 

12 A Letter of investigation following my inspection 

(_ 13 in 2009. 

14 Q Is that the case you were talking about? 

15 A The case, yes, sir. 

16 Q Okay. And that was closed with an 

17 administrative action; is that correct? 

18 A Yes, sir. 

19 Q So in other words, there was no legal finding of 

20 violation; is that correct? 

21 A There was a violation and they -- the corrective 

22 action was such that we deemed it to be closed with a 

23 letter of warning. 

24 Q Okay. And -- but a letter of warning is not a 

25 legal finding of violation, is it? 

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ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

( 1 A A letter of warning -- there was a violation. 

2 It just was not closed with a civil penalty. 

3 Q Is there some FA document which talks about the 

4 legal force or effect of a warning letter? 

5 A Not that I can site off the top of my head. I'm 

6 aware of one, yes. 

7 Q And what does that FA document say as to the 

8 legal force or effect of a warning letter? 

9 A That it -- that a warning letter is provided 

10 when corrective actions are such that administrative 

11 closure is deemed to be the best method to complete the 

12 case. 

( 13 Q Is there, to your knowledge, an FA document that 

14 basically states that a letter of warning does not 

15 constitute a legal finding of violation? 

16 (A brief interruption occurred.) 

17 A A violation was found, but we opted to close it 

18 with a letter of warning 

19 Q (By Mr. Dworkin) That's not --

20 A -- administratively. 

21 Q That's not the question. 

22 Is there some FA document that talks about 

23 the legal force or effect of a letter of warning, to your 

24 knowledge? 

25 A I'm not aware of one. I can't 

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ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

( 1 Q Okay. 

2 A Yes, sir. 

3 (Klimas Exhibit 6 was marked.) 

4 Q (By Mr. Dworkin) I'm showing you what's been 

5 marked as Exhibit 6. 

6 Is that the other NOPC case you were 

7 referring to, the order assessing civil penalty from 

8 Northwest Mountain Region? 

9 A Yes, sir, it is. 

10 Q And in that case, Martinaire had -- the FA had 

11 proposed a civil penalty of $32,400. Martinaire settled 

12 it for $20,000; is that correct? 

( 13 A Yes, sir. 

14 Q And could you go to the third page of that 

15 exhibit. And the second-to-the-last paragraph, if you 

16 could read the first sentence of that paragraph, 

17 beginning with, 11 Martinaire's payment. 11 

18 A Yes, sir. 

19 11Martinaire's payment of civil penalty 

20 pursuant to this Order does not constitute or imply 

21 admissions by Martinaire that it committed the violations 

22 found by the FAA, or that Martinaire agrees with the 

23 facts averred by the FAA. However, Martinaire 

24 acknowledges that this Order constitutes a finding by the 

25 FAA of the facts or regulatory violations contained 

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ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

( 1 herein. 11 

2 Q And there was -- I believe you referred to a 

3 third case; is that correct? 

4 A As I recall, that was outside of the five-year 

5 search, but I believe it was within seven years. 

6 (Klimas Exhibit 7 was marked.) 

7 Q (By Mr. Dworkin) Well, the only other case that 

8 I have in checking Martinaire's rap sheet, so to speak, 

9 is what I've handed you as Exhibit 7, and that is the 

10 Purple Power case? 

11 A This occurred roughly the -- in my world, 

12 roughly the same time that our inspection took place, 

( 13 within a two-month period. 

14 Q Okay. And so --· 

15 A So it hadn't been closed at the time that I had 

16 completed the EIR. 

17 Q Okay. 

18 A That's why that wasn't included. But, yes, I do 

19 recall learning of this, but it hadn't been closed at the 

20 time. 

21 Q And this is not a NOPC case? 

22 A Right, but I was aware of the hazardous 

23 materials issue, yes. 

24 Q In determining your recommendation or making 

( 25 your recommendations as to what should be done with 

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ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

( 1 Martinaire as a result of this case, did you consider 

2 this Great Lakes region case? 

3 A It was another hazardous materials case, but, 

4 no, it did not influence -- it was just another 

5 violation, but, no, because it had not been closed at the 

6 time. 

7 Q Okay. So all we have is the administrative 

8 action from 2009 and the prior Northwest Mountain case 

9 A Yes, sir. 

10 Q -- to your knowledge? 

11 A Yes, sir. 

12 Q So two cases? 

( 13 A Right. Because this one had not been closed at 

14 the time. 

15 MR. DWORKIN: Okay. Let me just take a 

16 five-minute break. 

17 (Recess from 9:52a.m. to 9:58a.m.) 

18 MR. DWORKIN: One of the things I learned 

19 in law school was when to speak and when to shut up. And 

20 I've got no further questions, so we're done. Thank you. 

21 THE WITNESS: Thank you. 

22 MR. ARCHIER: One of the things I learned 

23 from my mom is when to speak and when to shut up. I have 

24 no questions either. 

25 THE REPORTER: Off the record 9:59 a.m. 

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ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

1 CHANGES AND SIGNATURE 

2 PAGE/LINE CHANGE REASON 

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18 

19 

20 I, PAUL DANIEL KLIMAS, have read the foregoing 

21 deposition and hereby affix my signature that same is 

22 true and correct,except as noted herein. 

23 

24 

25 

PAUL DANIEL KLIMAS 

JOB NUMBER 108773 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

UNITED STATES OF AMERICA 

DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, D.C. 

In the Matter of: § 

§ FAA Case No. 

§ 2011SW700189 

Page 33 

§ FDMS No. FAA-2013-0040 

§ 

§ Judge: Honorable 

MARTINAIRE AVIATION, LLC § Richard C. Goodwin 

REPORTER'S CERTIFICATION 

ORAL DEPOSITION OF 

PAUL DANIEL KLIMAS 

May 17, 2013 

I, Jana K. Richter, Certified Shorthand Reporter 

13 in and for the State of Texas, hereby certify to the 

14 following: 

15 That the witness, PAUL DANIEL KLIMAS, was duly 

16 sworn by the officer and that the transcript of the oral 

17 deposition is a true record of the testimony given by the 

18 witness; 

19 I further certify that pursuant to FRCP Rule 

20 30(f) (1) that the signature of the deponent: 

21 X was requested by the deponent or a party 

22 before the completion of the deposition and returned 

23 within 30 days from date of receipt of the transcript. 

24 If returned, the attached Changes and Signature Page 

25 contains any changes and the reasons therefor: 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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Page 34 

ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

1 was not requested by the deponent or a 

2 party before the completion of the deposition. 

3 

4 I further certify that I am neither attorney nor 

5 counsel for, related to, nor employed by any of the 

6 parties to the action in which this proceeding was taken. 

7 Further, I am not a relative or employee of any attorney 

8 or record in this cause, nor am I financially or 

9 otherwise interested the outcome of the action. 

10 Subscribed and sworn to on this the 23rd day of 

11 May, 2013. 

12 

13 

14 

15 

16 Jana K. Richter, 

Expiration Date: 

Texas CSR No. 3693 

12/31/13 

17 

18 

19 

20 

21 

22 

23 

24 

Firm Registration 

Sunbelt Reporting 

1-800-666-0762 

No. 301 

& Litigation Services 

25 JOB NUMBER 108773 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
Page 1 

ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

( A affect 7:6 aside 10:18 beginning 29:17 28:12,29:6 

affirmative 6:16 assertion 9:5 believe 10:7 29:10, 30:3 

ability 7:6 affix 32:21 assessing 4: 16 10:13, 14:21 30:7,30:10 

above-styled agrees 29:22 4:18,29:7 15:5, 16:14 30:21,31:1 

1:17 aircraft 8:20 Assistant 18:21 16:19, 16:21 31:2,31:3,31:8 

acceptance 8:20, 9:2, 9:13 ASSOCIATES 17:7, 19:11 33:4 

13:23 13:23 2:5 19:15,21:20 cases 26:24 

access 9:17 Airlines 10:23 ASW-7 2:12 23:11, 23:16 26:25,27:2 

accompanied 10:23, 11:1 attached 1 :24 23:23, 30:2 31:12 

13:1 11:8, 11:10 18:14,23:21 30:5 cause 1:17,34:8 

accurate 8:21 11:18, 11:19 33:24 believed 19: 18 central 19:1 

acknowledges 12:9 attachments 4:9 19:25,20:4 Certification 

29:24 Airport 13:20 18:13, 23:22 best 5:24, 6:2 3:6,33:9 

acquired 12:4 Alan 2:17,4:11 23:23' 23:24 15:1,28:11 Certified 33:12 

acted 17:16 4:14, 4:15 23:25,24:10 block 19:20 certify 33:13 

action 16:7 Alford 18:22 24:15,24:17 19:21, 22:6 33:19, 34:4 

16:17, 17:11 18:24, 18:25 24:21, 24:22 booklet 5:20 CFR 8:11,27:7 

20:6, 27:17 19:2 25:1, 25:7 Boulevard 1:21 CHANGE 32:2 

27:22,31:8 Amended 4:3 25:12 2:13 changes 3:5 

34:6,34:9 AMERICA 1:1 attempting 6:22 box 20:2 5:21, 5:25, 7:22 

actions 1 7:22 33:1 attorney 2:3 break 31:16 16:19, 16:22 

28:10 American 10:23 7:15,22:9,34:4 brief 28:16 17:6, 24:3, 32:1 

actual 23:9 10:25,11:1 34:7 bring 8:4 33:24, 33:25 

Addison 13:4 11:2, 11:10 ATTORNEYS brings 15:8 checking 30:8 

13:12, 13:15 11: 18, 11 :25 2:9 Bryan 4:12 Chief 18:22 

14:5, 14:6 12:5, 12:8 August 23: 14 23:8 circulars 10: 1 0 

14:20 amount 17:19 24:11, 24:16 Buchanan 4:12 civil 1:22, 4:16 

addition 9:11 answer 5:24, 6:2 available 9:22 5:10,23:8 4:18,28:2,29:7 

10:10, 13:15 6:8, 22:14 9:25 29:11,29:19 

adequate 16:5 22:16, 22:18 averred 29:23 c class 8:23 

16:8 22:25,26:3 Aviation 1:6 close 28:17 

ADMINISTRA ... answers 6:.12 2:3, 2:9, 2:11 California 2:5 closed 27:5 

2:9,2:11 6:15,6:16 4:3,33:6 2:6 27:16,27:22 

administrative appear 14:3 aware 10:13 capable 6:6 28:2, 30:15 

27:17,28:10 Appearances 28:6,28:25 caring 11:1 30:19,31:5 

31:7 3:3 30:22 carried 8: 19 31:13 

administratively appears 7: 18 carriers 1 0: 19 closure 28:11 

27:6,28:20 Archier 2: 10 B 10:22 CLR 1:19 

admissions 4:8, 7:15, 18:12 carry 26:10 CMRS 1:19 

29:21 22:7, 22:15 back 7:11 case 1:4, 6:22 come 9:14 

admitted 15: 12 22:19,22:22 based 12:3 7:18, 8:7, 9:6 24:10,24:15 

admonition 23:2,23:5,26:2 basically 15: 18 10:16,11:11 24:17 

7:10 31:22 28:14 11:18, 11:24 comes 7:11 

adopted 24:4 Archier's 18:20 basis 12:21 12:16, 15:9 command 8:8 

adversely 7:6 argument 15: 15 bears 19:10 27:5,27:7 8:21, 9:3, 9:7 

( advisory 10:10 Arlington 1:21 Becky 2:11 27:14, 27:15 10:11, 12:20 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
Page 2 

ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

( comment 5:25 contained 29:25 D 22:15,22:18 25:3,25:5 

committed 8:17 contains 33:25 directly 22: 10 25:10,25:14 

29:21 cooperative D.C 1:2,33:2 director 19:1 25:18,25:18 

communicate 26:14 Daniel 1:10 disagree 23: 19 25:24, 30:16 

11:19 correct 7:18, 8:1 1:15,4:6,5:1 discuss 17: 1 either 31 :24 

communicated 8:1,8:11,8:15 32:20, 32:24 dispatch 11 :20 elects 15:3 

11:14, 11:15 8:24, 10:16 33:10, 33:15 12:13, 12:17 emergency 9:12 

company 11:21 11:6, 11:12 date 17:4, 33:23 12:19 9:15,9:18, 9:21 

complete 28:11 12:17, 13:2 34:16 dispatcher 9:22, 10:1 

completed 17:7 14:25, 15:4 dated 4:7, 4:11 11:13,11:14 10:12 

27:6, 30:16 15:17, 16:12 4:13,4:14,4:16 11:15 employed 34:5 

completion 17:25,18:5 4:18, 18:20 Division 20:10 employee 34:7 

33:22, 34:2 19:8, 19:18 23:14 document 19:7 enacted 16:19 

compliance 20:11,21:3 David 18:21 22:8, 28:3, 28:7 ended 24:11 

13:11, 13:22 21:4,22:22 day 13:17, 14:22 28:13,28:22 Enforcement 

14:3, 14:11 23:2,23:5, 23:9 15:8,34:10 documents 4:5 18:2, 19:6 

14:13, 14:16 23:14,23:23 days 33:23 7:17, 8:4, 8:8 20:21, 22:21 

14:18,21:7 24:5,26:11 dealings 26:10 25:2 engagement 

21:9,21:12 26:22, 27:17 26:12 Donnell 18:21 5:16 

26:22 27:20, 29:12 Decision 20:22 drugs 7:5 entity 11 :25 

comprehensive ... 30:3 22:21 duly 1:16,5:2 12:4 

22:2 correct,except deemed 27:22 33:15 essence 12:20 

concern 16:2 32:22 28:11 Dworkin 2:4 essentially 24:8 ( 17:20 corrections 5:22 deficient 15:13 2:5, 3:4, 4:8, 5:5 event 9:12 

concerning 8:22 6:1 15:16 7:14, 18:8 12:13 

10:19 corrective 16:7 DEPARTMENT 22:13, 22:17 Examination 

concerns 26: 17 16:16, 17:11 1:1,33:1 22:20, 22:23 3:4,5:3 

26:18 17:21, 27:21 deponent 33:20 23:3, 23:6 example 10:4 

conduct 13:16 28:10 33:21, 34:1 24:24,26:6 10:25 

conducted counsel 2:12 deposed 7:7 26:9,27:10 exhibit 4:1, 5:4 

12:24 18:22, 34:5 deposition 1 : 1 0 28:19, 29:4 7:13, 7:16, 7:17 

conference 5: 18 court 5:19, 6:5 1:15,4:4, 5:9 30:7,31:15 18:7, 18:10 

connection 6:21 6:5 5:12, 6:25, 7:2 31:18 24:23, 24:25 

8:3 cover 18:11 8:3, 32:21, 33:9 25:10,27:9 

consider 21:5 18:12 33:17, 33:22 E 27:11, 29:3 

21:21,26:13 crew 11:2, 11:4 34:2 29:5, 29:15 

31:1 11:6, 11:19 Description 4:2 early 14:22 30:6,30:9 

considerable 12:1, 12:4, 12:7 determining East 1:21 expect 8:17 

26:10 12:8, 12:12 21:17,30:24 EDP 22:24 Expiration 

considered CSR 1:19,34:16 DFW 13:20 effect 10:3, 28:4 34:16 

21:11,21:17 current 7:20 13:21, 13:25 28:8,28:23 explanation 

consisted 24:1 cv 7:15, 7:18 14:2, 14:22 effort 17:19 25:25 

constitute 28:15 7:20 dialogue 6:25 EIR 17:25, 18:2 expressed 16:1 

29:20 difficulties 18:13, 18:14 26:17 

constitutes 15:10 18:17, 20:16 

c 29:24 directing 22:13 24:12, 24:18 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
Page 3 

ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

( F first 4:3, 5:2 15:25, 19:5 HEARINGS 1:2 index 3:1,4:1 

7:12, 18:19 20:18,29:14 33:2 25:7 

FA 21:23,28:3 29:16 goes 5:25, 20:2 hereto 1:24 influence 7:5 

28:7,28:13 five 21:15,27:3 22:10, 23:3 history 21:7 31:4 

28:22,29:10 five-minute going 7:9, 18:19 21:9,21:12 information 

FA's 23:6 31:16 22:7,26:4 HMR 19:17 8:22, 9:18 

FAA 1:4,7:17 five-year 30:4 GOM 24:3 HMRs 14:18 11:20, 11:20 

8:14, 9:6, 9:24 fixed 24:8 good 5:6, 5:7 19:25 12:3, 12:12 

10:9, 12:25 flight 9:16, 11:1 15:6 Holmes 2:11 12:17, 20:21 

18:20, 29:22 11:2, 11:4, 11:6 Goodwin 1:6 Honorable 1 :6 22:6 

29:23, 29:25 11:19, 12:1 33:6 33:6 input 17:9 

33:4 12:4, 12:7, 12:8 Government hope 12:11 Inquisition 6: 19 

FAA-2013-0040 12:12 7:16 Huerta 18:23 inserted 23: 1 

1:5,33:5 followed 24:9 Great 31:2 huh-uh 6:14 inspect 10:19 

facilities 13: 16 following 16:10 gripes 1 7: 19 inspection 13: 1 

facility 13:2 27:6, 27:12 ground 9:17 I 13:7, 13:15 

13:4 33:14 guess 20:9 13:16, 13:25 

Facsimile 2:7 follows 5:2 guts 12:21 identical 6: 14 14:20, 15:24 

2:14 force 28:4, 28:8 identification 16:10, 16:14 

fact 14:15 28:23 H 8:23 16:21, 17:1 

16:10, 16:16 foregoing 32:20 identified 7: 16 27:6,27:12 

25:18 form 5:20 half 25:11 II 20:18, 20:25 30:12 

Factor 20:19 16:12, 17:3 25:13 III 20:20, 20:25 inspector 10:15 ( factors 21 :5 17:6,24:4 handbooks 10:9 22:6 17:24,23:8 

21:16 Fort 2:13 handed 5:8 immediacy instance 1 : 16 

facts 6:21, 29:23 found 28:17 18:9, 30:9 21:25 instantaneous 

29:25 29:22 handing 18:8 immediately 16:17 

fair 14:15 four 20:19 happened 25:25 24:4 instructing 

familiar 8: 14 Francisco 2:6 harass 6:22 imply 29:20 22:25 

FDMS 1:5,33:5 FRCP 33:19 hazard 8:22 important 5:23 interested 34:9 

Fed-Ex 10:4 front 23:16 hazardous 8:10 6:11,6:15 interject 26:2 

Federal 1 :22 full-based 13:7 8:13, 8:14, 8:19 inch 25:11 International 

2:9,2:11 fully 17:17 10:14, 11:1 25:13 13:20 

felt 21:13 further 31 :20 12:25, 14:8 inch-and-a-half interruption 

fessed 15:18 33:19, 34:4 22:24, 30:22 25:14 28:16 

filed 7:17 34:7 31:3 incident 9:12 investigating 

financially 34:8 HAZMAT 13:7 9:16, 10:5 10:15, 17:24 

find 16:1 G 13:10, 13:10 incidents 21: 13 23:7 

finding 27:19 14:10, 14:16 include 24:21 investigation 

27:25, 28:15 Gary 20:13 14:24, 24:3 included 24:1 19:6,23:7 

29:24 gather 6:21 25:20, 26:10 24:20, 25:2 27:12 

findings 14:19 general 24:2 27:2 25:4,25:14 Investigative 

15:21, 16:2 give 5:24, 6:2 head 6:12, 28:5 25:16,25:23 18:3 

17:16,21:23 7:9 headquarters 30:18 involves 8:7 

finish 6:8 given 33:17 20:10 including 24:22 involving 9:13 

(__ Firm 34:17 go 5:15,7:12 hearing 5:25 incomplete 20: 1 9:16,27:7 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
Page 4 

ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

( issue 30:23 L 18:13 Marty 18:22 nature 21:18 

issues 10:20 looking 13:9 material 8:19 negative 6:17 

item 11:22 Lakes 31:2 13:10, 13:21 8:23, 13:1 neither 34:4 

11:23, 12:13 Lamar 1:21 14:6, 25:10 22:10, 22:11 New 10:7 

items 20:25 law 31:19 25:11 22:24 nod 6:12 

25:9 learned 31:18 materials 8:10 NOPC 9:7, 9:8 

IV 20:21, 20:25 31:22 M 8:13, 8:15 9:10,9:14,9:18 

22:18 learning 30:19 10:14, 11:1 9:21, 10:1 

legal 27:19 machine 1 :20 14:8,30:23 10:10, 10:20 

J 27:25,28:4 maintain 6:24 31:3 11:2, 11:4, 11:5 

28:8,28:15 making 13:24 matter 1:3, 5:25 11:12, 11:13 

James 2:10, 4:8 28:23 30:24 14:15, 16:10 11:25, 16:12 

Jana 1:18,33:12 legible 8:21 manual 24:2 16:16, 33:3 17:3, 24:4, 29:6 

34:16 letter 4:7, 4:9 marked 4:2, 5:4 Meacham 2:13 30:21 

JOB 32:25 4:11,4:12,4:14 5:8, 7:13, 18:7 medication 7:6 NOPCs 13:9 

34:25 15:25, 16:13 18:9,24:23 meeting 16:24 14:7,14:17 

Judge 1:6, 33:6 18:11, 18:12 24:25, 27:9 17:2 15:9, 15:16 

July 12:24 18:15, 18:20 27:11,29:3 memorandum 20:1 

16:11, 16:21 23:6,23:14 29:5,30:6 18:20, 19:2 Northwest 27:8 

16:22, 16:23 23:18, 23:21 Martinaire 1 :6 memory 7:12 29:8, 31:8 

16:25, 17:2 23:22, 24:11 2:3, 4:3, 10:18 8:18 noted 32:22 

23:11 24:16, 24:17 13:16, 14:3 mentioned notice 4:4, 5:9 

( June 4:7,4:11 24:20,25:1 14:24, 15:3 26:24 10:11, 12:20 

4:16 25:12, 25:23 15:12, 15:15 met 16:23 notification 9:6 

27:5, 27:12 15:22, 15:24 method 28:11 12:22, 13:22 

K 27:23, 27:24 16:1, 16:11 Michael 2:4, 2:5 notifications 8:7 

28:1, 28:4, 28:8 16:17, 17:3 3:4, 4:7, 5:5 number 4:2 

Klimas 1:10 28:9,28:14 17:12, 17:22 mind 7:10 8:23, 23:21 

1:15,4:6,4:13 28:18, 28:23 19:18, 19:25 19:19,21:10 23:24, 32:25 

4:15, 5:1, 5:4 level 16:2 23:13,23:18 24:13 34:25 

5:6, 5:8, 7:13 likewise 6: 10 24:8,26:9 minute 26:5 numbered 1:17 

7:16, 18:7, 18:8 6:13, 11:8 26:14, 29:10 mom 31:23 Numeral 20:18 

18:9, 24:23 20:20, 22:17 29:11, 29:21 months 14:24 20:20, 20:21 

24:25,27:9 22:23 29:22, 29:23 15:3, 15:3 22:6,22:17 

27:11,29:3 limitations 6:4 31:1,33:6 Moore 20:13 

30:6, 32:20 listed 7:25 Martinaire's Moore's 20:15 0 

32:24,33:10 Litigation 34:17 4:9,11:11 morning 5:6 

33:15 LLC 1:6,2:3 12:16, 13:2 5:7 o'clock 14:22 

know 7:11 33:6 14:23, 16:4 Mountain 27:8 object 22:7 

knowledge 9:25 LLC's 4:3 21:8,21:11 29:8,31:8 objective 6:20 

28:13, 28:24 loading 13:23 21:21,21:25 6:21 

31:10 LOI 23:9, 23:9 22:2,24:2 N observed 14:2 

known 9:7 23:10, 23:13 24:11, 24:15 occurred 10:6 

17:25 long 10:3, 13:25 24:17,25:1 N-0-P-C 9:7 17:1,28:16 

14:20 25:12,29:17 name 8:22 30:11 

look 6:14, 14:9 29:19, 30:8 10:23 office 1 :2, 1 :20 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
Page 5 

ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

( 2:12, 11:3, 19:1 29:24 pilot 8:8, 8:21 24:3,24:9 reasons 33:25 

26:10,26:14 orders 10:9 9:2, 9:6, 10:11 25:20 recall 14:1, 14:9 

33:2 organizations 11:11, 11:16 proof 25:9 14:21, 15:1 

officer 33:16 12:5 12:16, 12:20 proposed 29:11 17:4, 17:10 

oh 25:11 outcome 34:9 12:20, 13:22 protection 17:14,23:24 

Okay 5:12, 5:15 outside 30:4 piloted 12:9 22:11 24:6, 24:19 

6:8, 6:17, 6:24 place 16:22 protective 22: 11 24:22,30:4 

7:5, 7:14, 7:20 p 30:12 22:12 30:19 

7:22, 7:25, 8:7 PLAINTIFF provide 8:21 receipt 33:23 

8:13,8:17,9:1 page 3:2, 4:2 1:16 9:2, 17:9 received 25:22 

9:5, 9:10, 9:14 18:19, 19:6 play 9:15, 17:5 provided 7:15 Recess 31 : 17 

9:20, 9:24, 10:9 19:10,20:3 please 6:7 25:24, 28:9 recommendation 

11:5, 11:8 20:9,22:24 positively 26:20 provides 12:12 30:24 

11:10, 11:18 29:14,33:24 possibly 24:14 providing 12:17 recommendati... 

11:24, 12:19 PAGE/LINE Power 30:10 provisions 1 :23 20:6,30:25 

13:21, 13:25 32:2 practice 10:2 19:24, 24:2 record 1:23 

14:2, 14:23 pages 20:19 10:3 publicly 9:25 5:18, 26:4, 26:7 

15:12, 16:16 23:3 prepare 11 :2 Purple 30:10 26:8,31:25 

16:21, 16:24 paragraph 19:4, 19:20 purpose 16:24 33:17,34:8 

17:2, 17:5 20:18,29:15 prepared 7:23 purposes 9:8 records 14:8 

18:19, 19:5 29:16 11:5, 11:25 9:8, 9:10, 10:1 14:10 

19:15, 20:3 part 25:7, 25:22 17:25, 18:17 pursuant 1 :22 redact 19:11 

( 20:25,21:16 parties 34:6 19:2, 19:3, 19:7 29:20,33:19 redacted 20:7 

22:13, 23:11 party 33:21 19:16, 19:20 put 19:17, 19:21 22:8,22:8 

23:13, 23:25 34:2 19:22, 20:16 21:1,22:5 22:10 

25:6, 25:8, 27:3 Paul 1:10, 1:15 prepares 11: 12 22:20 redaction 19:10 

27:16, 27:24 4:6, 4:13, 4:15 12:19 19:21, 20:4 

29:1,30:14 5:1,32:20 preparing 12:21 Q redactions 

30:17,31:7 32:24, 33:10 PRESENT 2:16 20:22, 20:24 

31:15 33:15 presume 19:16 question 6:8 22:9 

one-third 25: 15 payment 29:17 prior 7:17 19:19,22:8 referenced 

operating 13:24 29:19 26:24, 26:24 22:16, 22:19 23:22 

24:2 penalty 4: 16 27:2,31:8 24:13,28:21 referred 30:2 

operation 14:9· 4:18,28:2, 29:7 probably 14:21 questions 5:5 referring 29:7 

14:13 29:11, 29:19 problem 24:8 22:25, 31 :20 regarding 22:25 

operator 8:20 perform 20:24 26:4 31:24 region 2:12 

9:1 performed Procedure 1 :23 quickly 16:19 29:8, 31:2 

opinions 9:24 15:24, 16:14 procedures 9:12 quite 6:6 regional 2:12 

opportunity performs 14:24 9:19, 9:21, 9:22 20:9,20:10 

5:20 period 30:13 10:12, 13:23 R Registration 

opted 28:17 person 6:7, 12:9 proceeding 34:6 34:17 

oral 1:10, 1:15 personally 15:7 produced 1:15 rap 30:8 regulation 8:18 

33:9,33:16 pertinent 19:17 Production 4:5 read 29:16 8:19, 9:1, 19:11 

order 4:16,4:18 24:1 professional 32:20 regulations 8:10 

22:11, 22:12 physically 11 : 11 6:24 reason 7:2 8:15, 15:2 

29:7, 29:20 pile 25:14 program 13:10 19:25,32:2 19:15, 20:4 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
Page 6 

ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

( regulatory 9:21, 9:22, 10:1 s 33:20, 33:24 Southwest 2:12 

29:25 10:12, 15:21 signed 23:9 Spanish 6:19 

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relationship 25:1,25:12 20:20,21:6 simply 6:21 specialists 13: 1 

26:13, 26:15 25:23 21:17 sir 5:14, 6:9 specific 21:10 

relative 34:7 responsible satisfied 24:7 6:18, 7:1, 7:4 specifically 9: 14 

relatively 16:17 17:17 saw 14:17 7:8, 7:24, 8:2 21:8,21:12 

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removed 11 :22 17:21 says 9:1 9:4, 9:9, 10:17 stands 18:2 

12:13 restating 19:19 school 31:19 11:7, 11:9 start 6:8 

rephrasing result 31:1 search 30:5 11:13,11:17 started 14:22 

24:13 Resume 4:6 second-to-the-1... 12:2, 12:6 state 1:19, 9:20 

report 18:3 Retraining 29:15 12:10, 12:15 9:25, 10:10 

19:6, 19:16 15:23 Section 8:9 12:18, 12:23 33:13 

19:22, 21:3 returned 33:22 20:16,20:19 13:3, 13:6, 13:8 stated 1:23 

22:21, 23:1 33:24 sections 8:10 13:14, 13:18 states 1:1,28:14 

reported 1 :20 review 5:21 19:17 14:4, 14:12 33:1 

5:19 20:10 see 7:9 14:14, 15:11 step 6:10 

reporter 5: 19 reviews 11:4 seen 5: 1 0, 1 7: 12 15:14, 15:20 stores 14:9 

6:5, 6:5, 26:7 revised 16: 11 sent 24:19,25:4 16:3, 16:6, 16:9 14:13 ( 31:25,33:12 17:3,24:4 sentence 29:16 16:13, 16:20 Street 2:5 

Reporter's 3:6 Richard 1:6 September 18:1, 18:4, 18:6 submitted 25: 16 

33:9 33:6 18:21 18:16, 18:18 Subscribed 

Reporting 34:17 Richter 1 : 19 seriously 17:16 19:9, 19:12 34:10 

represent 24:24 33:12,34:16 serve 9:10 19:14, 19:23 sufficient 16:2 

represented right 8:5; 15:19 serves 9:7, 9:8 20:8, 20:12 Suite 1:21, 2:5 

25:17 23:16,23:22 Services 34:17 20:14,20:17 2:13 

represents 25:19, 30:22 serving 10:11 20:24,21:2 Suites 1:21 

18:12 31:13 settled 29:11 21:20,23:12 Sunbelt 34:17 

reprint 25:19 role 17:5 seven 30:5 23:20, 24:6 supervisor 

Request 4:4 Roman 20:18 shake 6:12 27:15,27:18 18:23 

requested 33:21 20:20, 20:21 sheet 30:8 29:2,29:9 sure 10:7, 13:24 

34:1 22:6,22:17 shipping 8:22 29:13,29:18 26:6 

require 15:2 room 5:18 shorthand 1 :20 31:9,31:11 survey 10: 19 

required 8:9 roughly 30:11 33:12 sit 17:15 sworn 1:16,5:2 

resolve 26:4 30:12 show 6:13 site 28:5 33:16,34:10 

respect 14:2 . routinely 10:19 showing 27:10 sitting 5:24 system 6:5 

14:16, 17:20 RSA 1:19 29:4 slipped 7: 10 

20:25 Rule 33:19 shut 31:19 somebody 9: 17 T 

responded rules 1:22, 5:15 31:23 11:3, 19:13 

23:13, 26:18 Rusinowitz 2:17 sign-off 20:15 20:10, 20:23 take 6:6, 13:25 

response 4: 10 4:12,4:14,4:15 signature 3:5 sorry 18:25 14:20, 17:12 

( 9:12,9:15,9:18 17:8, 24:11 32:1, 32:21 sought 26:22 17:13, 18:13 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
( 

( 

( 

"--

Page 7 

ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

26:9,31:15 22:21 violated 19:11 1 210 2:5 

taken 1 : 17, 5: 12 top 28:5 19:16, 19:18 23rd 34:10 

7:3,34:6 total 25:22 19:25,20:5 1 4:3, 5:4, 5:8 24 4:10, 15:2 

takes 11:13 training 13: 1 0 violation 21: 18 1:00 14:22 2601 2:13 

talking 1 7:4 14:8, 14:10 27:20, 27:21 108773 32:25 27 4:15 

27:14 14:23, 14:24 27:25,28:1 34:25 29 4:13,4:17 

talks 28:3, 28:22 15:2,24:3 28:15,28:17 11th 16:22 

team 14:17 transcribe 5: 19 31:5 16:23, 16:25 3 

17:5 transcript 5:21 violations 21:14 17:2 

Telephone 2:6 6:1, 6:13, 6:14 29:21, 29:25 12 14:24, 15:3 3 4:7, 18:7 

2:14 33:16, 33:23 15:9 18:10, 23:4 

tell 26:3 TRANSPORT ... w 12/31113 34:16 25:10 

term 12:8 1:1,33:1 12:30 14:22 30 4:19,33:23 

terms 12:19 true 7:25, 32:22 wait 6:7 14 4:14 30(f)(l 33:20 

14:23,22:5 33:17 warning 27:23 17 1:11, 1:18 301 34:17 

testified 5:2 try 6:1, 6:10 27:24, 28:1 33:10 32 3:5 

testimony 33:17 trying 26:3 28:4, 28:8, 28:9 175.33 9:20 32,400 29: 11 

Texas 1 :20, 1 :22 two 10:24,31:12 28:14,28:18 27:7 33 3:6 

2:13, 13:5 two-month 28:23 175.33(a)(l 8:9 3693 34:16 

33:13, 34:16 30:13 WASHINGTON 18 4:8, 4:18 

Thank 31:20 Type 20:6 1:2,33:2 19:20, 19:21 4 

31:21 watching 13:23 1-800-666-07 62 

therefor 33:25 u went 14:5,23:11 34:18 4 4:9, 23:4 

thick 25:11 witness 1 : 16 19 4:7, 4:16 24:23, 24:25 

25:13 uh-huh 6:13 26:3, 31:21 1999 10:7 415-421-2500 

thickness 25: 15 ultimate 18:22 33:15,33:18 19th 23:11 2:6 

thing 15:6, 20:5 uncomfortable words 11:24 415-421-2560 

things 4:5, 7:12 6:20, 6:23 25:17, 27:19 2 2:7 

14:6, 24:1, 24:5 understanding working 26:14 465 2:5 

31:18,31:22 8:18 Worksheet 2 3:3, 4:6, 7:13 49 8:10,27:7 

think 10:4, 15:6 Understood 6:3 20:22, 22:21 7:16, 23:3 

16:4, 16:7 undertook 22:24 23:14,24:11 5 

20:19 17:22 world 30:11 24:16 

third 29:14 United 1:1 Worth 2:13 20 18:21 5 3:4,4:5, 4:11 

30:3 10:23, 11:8 writings 8:4 20,000 29:12 23:4,27:9 

thoroughness 11:10, 11:19 written 8:22 2000 1:21 27:11 

17:21 11:25, 12:5 9:24, 23:8 2009 4:11, 4:13 

time 6:7, 12:7 12:9,33:1 4:14,4:17,4:19 6 

12:11, 15:24 upset 6:23 y 27:13,31:8 

16:15, 30:12 2011 12:24 6 4:16, 23:4 

30:15,30:20 v Yeah 21:11 18:21,24:16 29:3,29:5 

31:6,31:14 years 10:8 2011SW700189 600 1:21 

today 7:3, 7:7 various 8:9 21:15,27:3 1:4,33:4 6E 2:13 

17:15 verbalized 6:12 30:5 2012 4:7 

today's 8:3 6:15, 6:16 York 10:7 2013 1:11, 1:18 

Tool 20:22 verify 18:14 33:10, 34:11 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
( 

( 

( 

' 

7 

7 4:6, 4:18, 30:6 

30:9 

76006 1:22 

76137 2:13 

8 

8 12:24, 16:21 

817-222-5092 

2:14 

817-222-5099 

2:14 

8th 16:11 

9 

9 4:11 

9:01 1:18 

9:36 26:8 

9:42 26:8 

9:52 31:17 

9:58 31:17 

9:59 1:18,31:25 

94104 2:6 

ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

Sunbelt Reporting & Litigation Services 

Page 8 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
06/18/2013 11:43 SUNBELT REPOR~G PAGE 01/05 

Austin 

1016 La Posada Drive 

Suite 294 

Austin, Texas 78752 

512.465. 9100 

Bryan/College Station 

1716 Briarcrest Drive 

Suite 300 

Bryan, Texas 77802 

979 . 774 . 4000 

Corpus Christi 

711 N. Carancahua 

Suite700-N 

Corpus Cluisti, Texas 

78401 

361 . 882. 0763 

Dallas/Fort Worth 

15150 Preston 

Suite 300 

Dallas, Texas 75248 

214. 747. 0763 

EastTe:ms 

100 E. Ferguson 

Suite 900 

Tyler, Texas 75702 

903 . 593 . 3213 

Housto11 

6575 W. Loop South 

Suite 580 

Bellaire, Texas 77401 

800,666.0763 

San Antonio 

8000 IH-10 West 

Suite 1500 

San Antonio, Texas 

78230 

210 . 342 . 0763 

Sunbelt Report:ip,g;Sr:~J-;i.9-gation Services 

········~~ii';~~~~~~~- ..... . June 17, 2013 

Michael L. Dworkin 

Michael L. Dworkin 

465 California Street, Suite 210 

San Francisco, CA 94104 

Houstoii/Bellaire'[T~ 774-01 

·_'_ ~;r/sil~bcltr;e;o~i~1;~om 1. soo.666,o763, ,_ .-<I:#Y713. 661.3838 

>-.. :. ~ '· ·::· ·. 

Re: Deposition of PAUL DANIEL KLIMAS 

05/1712013 

IN THE MATTER OF: MARTINAIRE AVIATION, LLC 

As indicated below: Please be advised of current stams of the Original Deposition. 

J The attached Original Deposition, after being signed and notarized by the witness on the 

errata/correction page, is being forwarded to you in accordance with the Texas/Federal Rules of Civil 

Procedure. · 

o The attached Original Deposition, which was returned unsigned and/or not notarized, is being 

forwarded to you in accordance with the Texas/Federal Rules of Civil Procedure. 

J The attached copies of Certi:ficate(s) and/or executed and notarized Errata/Correction Sheet(s) are 

sent to you for your files. If you have any questions, please call. 

o Please be advised that the Original Deposition was not returned within the time specified for 

unknown reasons. 

o The attached Original Exhibit(s) are being remmed without the Original Deposition, which was due 

on for unknown reasons. 

'o A copy of the Certificate is being sent to the Court Clerk for filing of taxable cost. 

o Original Deposition atid Original Exhibits are being released on ___ _, due to trial on 

Sincerely, 

lleana Chavez 

Sunbelt Reporting and Litigation Services 

No. 108773 

E~CLOSED PLEASE FIND: 

'If/ Original Deposition -1 Original Exhibit(s) 

?/ Errata/Correction Page(s) 

~Reporter's Certificate 

cc: ·James Archier 

One Call Does It All! 
06/18/2013 11:43 SUNBELT REPOR~G PAGE 02/05 

1 

2 

3 

4 

5 

6 

7 

B 

9 

10 

11 

12 

13 

14 

15 

16 

17 

18 

19 

PAGE/LINE 

iO I 1( 

t1/ 1 

Page 32 

ORAL DEPOSITION OF PAUl DANIEL KLIMAS 

CHANGES AND SIGNATURE 

CHANGE REASON 

'~_'f~lir~ 11b ;r Mi1ir u j)~J>:blehPtJC.It.,/,kAJ~v;t.t~r. I I ., '-

\I vJ~ If .f·o <~ knc~ ~/;:{u '~_t.,.JI ~v-i ~fJ_tv, 1'bdlc 

r 1 ~ 

20 I, PAUL DANIEL KLIMAS, have ead the foregoing 

21 

22 

23 

24 

25 

deposition and hereby affix my s'gnature that same is 

true.and correct,except as noted herein. 

PAUL DAN~EL KLIMAS 

JOB NUMB~R ~08773 

sunbelt Reporting & Litigation services Aust~, Bryan/Colleg Station, Corpus Christi, Dallas/F rt worth, East Texas, Houston, San Antonio 

RE CE1VEO JUN Q 5 2013 
06/18/2013 11:43 713-.3838 SUNBELT REPO~G 

CERTDnCATEOFACKNOWLEDGMENT 

STATE OF TEXAS 

COUNTY OF TARRANT 

On this, the 30th day of May , 2013. before me, Teresa Emmons • a 

Notary Public in and for the County of Tarrant, State of Texas duly commissioned and 

qualified, personally appeared Paul Daniel Klimas , known to me to be the person 

described in, or produced appropriate identification as proof of identity, and whose names 

are subscribed to the attached instrument, and acknowledged to me that he executed the 

instrument for the purposes and considerations therein stated. 

IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official seal, at 

my office in the day and year in this certificate first written above. 

Notary Public (Signature) 

~ -

e ·. 

TER£SA EMMONS 

MjGommlplan ~ •. . 

l OctObtr , •• 2018' ~ I 

-"""'" ,... --

~ECE\VEO JUN 0 5 2013 

PAGE 03/05 
06/18/2013 11:43 713-lllf3838 SUNBELT REPO~G PAGE 04/05 

Page 33 

1 

2 

3 

4 

5 

6 

7 

8 

9 

10 

11 

ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

UNITED STATES OF AMERICA 

DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, D.C. 

In the Matter of: 

MARTINAIRE AVIATION, LLC 

§ 

§ FAA Case No. 

§ 2011SW700189 

§ FDMS No. FAA-2013-0040 

§ 

§ Judge: Honorable 

§ Richard C. Goodwin 

REPORTER'S CERTIFICATION 

ORAL DEPOSITION OF 

PAUL DANIEL KLIMAS 

May 17, 2013 

12 I, Jana K. Richter, Certified Shorthand Reporter 

13 in and for the State of Texas, hereby certify to the 

14 following: 

15 That the witness, PAUL DANIEL KLIMAS, was duly 

16 sworn by the officer and that the transcript of the oral 

17 deposition is a true record of the testimony given by the 

18 witness; 

19 I further certify that pursuant to FRCP Rule 

20 30(f) (1) that the signature of the deponent: 

21 X was requested by the deponent or a party 

22 before the completion of the deposition and returned 

23 within 30 days from date of receipt of the transcript. 

24 If returned, the attached Changes and Signature Page 

25 contains any changes and the reasons therefor: 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
05/18/2013 11:43 SUNBELT REP0411tG PAGE 05/05 

Page 34 

ORAL DEPOSITION OF PAUL DANIEL KLIMAS 

1 was not requested by the deponent·or a 

2 party before the completion of the deposition. 

3 

4 I further certify that I am neither attorney nor 

5 counsel for, related to, nor employed by any of the 

6 parties to the action in which this proceeding was taken. 

7 Further, I am not a relative or employee of any attorney 

8 or record in this cause, nor am I financially or 

9 otherwise interested the outcome of the action. 

10 Subscribed and sworn to on this the 23rd day of 

11 May, 2013. 

12 

13 

14 

15 

16 Jana K. Richter, Texas CSR No. 3693 

Expiration Date: 12/31/13 

17 

18 

19 

20 

21 

22 

23 

24 

Firm Registration No. 301 

Sunbelt Reporting & Litigation Services 

1-800-666-0762 

25 JOB NUMBER 108773 

Sunbelt Reporting & Litigation Services 

Austin, Eryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
EXHIBIT G 

Deposition of Bryan Edward Buchanan 

FAA Case No. 2011SW700189 I DMS No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS TO COMPLAINANT'S 

MOTION FOR DECISION 
( -. 

C

. -~.6 

... 

''.· 

1 

2 

3 

4 

ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

UNITED STATES OF AMERICA 

DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, D.C. 

In the Matter of: § 

§ FAA Case No. 

§ 2011SW700189 

Page 1 

5 § FDMS No. FAA-2013-0040 

§ 

6 

MARTINAIRE AVIATION, LLC 

§ Judge: Honorable 

§ Richard C. Goodwin 

7 

8 

9 

10 

11 

12 

13 

14 

************************* 

ORAL DEPOSITION OF 

BRYAN EDWARD BUCHANAN 

May 17, 2013 

************************* 

\~ • CERTIFIED COPY 

15 ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN, produced as 

16 a witness at the instance of the PLAINTIFF, and duly 

17 sworn, was taken in the above-styled and numbered cause 

18 on May 17, 2013 from 10:07 a.m. to 10:25 a.m., before 

19 Jana K. Richter, CSR, CMRS, CLR, RSA in and for the State 

20 of Texas, reported by machine shorthand, at Regus Office 

21 Suites, 2000 East Lamar Boulevard, Suite 600, Arlington, 

22 Texas 76006, pursuant to the Federal Rules of Civil 

23 Procedure and the provisions stated on the record or 

24 attached hereto. 

:r- -~·· 2 5 

"-._ 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
( 

(~ 

/ 

ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

1 A P P E A R A N C E S 

2 

3 ATTORNEY FOR MARTINAIRE AVIATION, LLC: 

4 

Mr. Michael L. Dworkin 

5 MICHAEL L. DWORKIN AND ASSOCIATES 

465 California Street, Suite 210 

6 San Francisco, California 94104 

Telephone: 415-421-2500 

7 Facsimile: 415-421-2560 

8 

9 ATTORNEYS FOR FEDERAL AVIATION ADMINISTRATION: 

10 

11 

12 

13 

14 

15 

16 

17 

18 

19 

20 

21 

22 

23 

24 

25 

Mr. James Archier 

Ms. Becky Holmes 

FEDERAL AVIATION ADMINISTRATION 

Office of Regional Counsel 

Southwest Region, ASW-7 

2601 Meacham Boulevard, Suite 6E 

Fort Worth, Texas 76137 

Telephone: 817-222-5099 

Facsimile: 817-222-5092 

ALSO PRESENT: 

Mr. Alan S. Rusinowitz 

* * * * * 

Sunbelt Reporting & Litigation Services 

Page 2 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

( 1 INDEX 

2 Page 

3 Appearances. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 

4 Examination by Mr. Michael L. Dworkin ................. 4 

5 Changes and Signature ................................. 16 

6 Reporter's Certification .............................. 18 

7 

8 * * * * * 

9 

10 EXHIBIT INDEX 

11 Number Description Page Marked 

12 1 Resume of Bryan E. Buchanan .................. 4 

( 13 

14 

15 

16 

17 

18 

19 

20 

21 

22 

23 

24 

( 25 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

(_ 1 BRYAN EDWARD BUCHANAN, 

2 having been first duly sworn, testified as follows: 

3 EXAMINATION 

4 (Buchanan Exhibit 1 was marked.) 

5 QUESTIONS BY MR. MICHAEL L. DWORKIN: 

6 Q Good morning. 

7 A Good morning, sir. 

8 Q Can we get your full name and your FA position, 

9 for the record? 

10 A Yes. Bryan Edward Buchanan, manager of 

11 hazardous materials section. 

12 Q And where is that? 

c 13 A In Fort Worth, Texas. 

14 Q Okay. So you're the manager of hazardous 

15 materials for Southwest Region? 

16 A I'm a section manager. I have a supervisor as 

17 well. 

18 Q Okay. And what are your principal duties and 

19 responsibilities? 

20 A I supervise nine special agents who conduct 

21 inspections in a six-state area, Texas and the states 

22 that border Texas. 

23 Q Okay. And one of those agents is inspector 

24 Klimas? 

25 A Correct. 

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Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
Page 5 

ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

1 Q I'm showing you what has been marked Klimas 

2 Exhibit 1, which is the notice of deposition. Have you 

3 seen that document before? 

4 A Yes. 

5 Q Okay. And in connection with your attendance 

6 here at this deposition, have you brought any writings or 

7 documents with you? 

8 A No. 

9 Q Okay. Have you ever had your deposition taken 

10 before? 

11 A No. 

12 Q Okay. Let's go through some of the rules of 

( 13 engagement. Okay? 

14 A Okay. 

15 Q This is not intend to be the Spanish 

16 Inquisition. I'm not here to make you uncomfortable. If 

17 you need to take a break, you take a break. 

18 Although we are in a relatively informal 

19 setting, your testimony is under oath under penalty of 

20 perjury. We can use it at the hearing. What is being 

21 said here is being recorded by the court reporter on the 

22 right and will be transcribed into a booklet form. When 

23 the transcript is completed, you'll be provided with the 

24 opportunity to review it and you can make any changes or 

( 25 additions or corrections that you need to. However, 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

( 1 should this matter go to hearing, I can comment on the 

2 changes that you've made. So it would behoove you to, 

3 you know, give us your best answer today. Okay? 

4 A Okay. 

5 Q Because of the limitations of the court 

6 reporting system, the court reporter can only take down 

7 what one person is saying at a time, so it's very 

8 important that we don't step on each other. Allow me to 

9 finish the question before you answer it. And if you 

10 don't understand my question, if you don't completely 

11 hear my question, just tell me, you know, ask me to 

12 repeat it. I will not be offended. 

c 13 Is there a -- I don't want you to guess. I 

14 can ask you for a good-faith estimate, but not a guess. 

15 And the differences between an estimate and a guess is if 

16 I were to ask you to estimate the length of this table, 

17 you could give me a good-faith estimate. If I asked you 

18 to estimate how big the conference table was in my office 

19 and you've never been to my office, that would be a wild 

20 guess. I don't want you to guess. 

21 Is there any reason -- oh, also, it is very 

22 important that answers be verbalized. A nod of the head 

23 or a shake of the head doesn't show up in the court 

24 reporter's transcript. Likewise, "uh-huh" and "huh-uh" 

( 25 appear very, very similar, so it's important that "yes" 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

( 1 answers be answered in the affirmative, and "no'' answers 

2 be answered in the negative. 

3 A Understood. 

4 Q Is there any reason why your deposition cannot 

5 be taken today? 

6 A No. 

7 Q Are you under the influence of any drug or 

8 medication that would adversely affect your ability to 

9 have your deposition taken today? 

10 A No. 

11 Q Okay. I'm showing you what has been marked as 

12 Buchanan Exhibit No. 1. 

( 13 A Okay. 

14 Q What is that? 

15 A That is my resume. 

16 Q Okay. Is it true and accurate? 

17 A Yes, it is. 

18 Q Have there been any changes to it since that was 

19 prepared? 

20 A No. 

21 Q What, if any, involvement do you have or did you 

22 have with this case, other than appearing here at a 

23 deposition today? 

24 A Mr. Klimas prepared the case, and then I was the 

( 25 first-level review of that case. 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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( 

ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

' 

1 Q Okay. And this case involves an alleged or 

2 alleged deficiencies in some notices to pilot in command; 

3 is that correct? 

4 A That is correct. 

5 Q Okay. And it has also alleged a violation of 

6 Section 175.33 of the Hazardous Materials Regulation or 

7 HMRs; is that correct? 

8 A That is correct. 

9 Q Okay. And it's 175.33 that prescribes the 

10 requirements for a NOPC? 

11 A That's correct. 

12 Q Okay. As I read section 175.33, it says that 

(_ 13 the operator of the aircraft must provide the pilot in 

14 command with accurate and legible written information 

15 concerning shipping name, hazard class, and 

16 identification number of the materials so that the pilot 

17 knows what he or she has onboard the airline; is that 

18 correct? 

19 A That is correct. 

20 Q And that's the regulatory purpose of this HMR? 

21 A Of that specific regulation, yes. 

22 Q There has been a position taken by the FA in 

23 this case that the NOPC is also required for emergency 

24 response procedures. 

( 25 A Correct. 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

( 1 Q Is that your understanding? 

2 A Yes. 

3 Q Is there anything in the HMRs or in any 

4 regulation that you know of which states that the NOPC is 

5 to be used or intended to be used for emergency response 

6 procedures? 

7 A In 175.33 it talks about the information is 

8 supposed to be accessible for emergency responders. That 

9 is why in this case the dispatchers were required to 

10 write it down after being communicated by the pilots. 

11 Q Okay. There's nothing in 175.33 that actually 

12 says that the NOPC is to be used for emergency response 

c 13 procedures; is that correct? 

14 A Not with those exact words, that's correct. 

15 Q Is there anything in any FAA publicly available 

16 opinions or handbooks or orders that specifically states 

17 that the NOPC is to be used for emergency response 

18 procedures? 

19 A To my knowledge, no. 

20 Q Did you have any involvement in the 

21 determination of or the selection of the sanction in this 

22 matter? 

23 A I reviewed Mr. Klimas' recommendation, that's 

24 correct. 

25 Q Do you recall what his recommendation was? 

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Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

( 

1 MR. ARCHIER: Objection. 

2 MR. DWORKIN: Are you instructing him not 

3 to answer? 

4 MR. ARCHIER: Yes, I am. This is -- can 

5 you read the question back? 

6 THE REPORTER: QUESTION: "Do you recall 

7 what his recommendation was? " 

8 MR. ARCHIER: You can answer that question. 

9 Do you understand that question? 

10 THE WITNESS: Yes, I do. 

11 MR. ARCHIER: Okay. 

12 A And the answer would be yes. 

13 MR. ARCHIER: Any further questions along 

14 that line, I'm going to object on the basis of the 

15 protective order. 

16 Q (By Mr. Dworkin) Okay. To your knowledge --

17 are you familiar with FA handbook or FA Order 2530 --

18 2150.3B? 

19 A Yes, sir. 

20 Q Okay. That is the Compliance and Enforcement 

21 Handbook; is that correct? 

22 A Yes, sir. 

23 Q And in the Compliance and Enforcement Handbook 

24 there are there is a sanction guidance table; is that 

( - 25 correct? 

"-~-

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

( 1 A Yes, sir. 

2 Q As a matter of fact, there is a specific 

3 sanction guidance table for HAZMAT cases? 

4 A That is correct. 

5 Q For the 12 deficient NOPCs -- and let 

6 me withdraw that. 

7 In connection with this case, Martinaire has 

8 not denied the FA's allegation that the NOPCs were 

9 deficient in any way, have they? 

10 A They have not. 

11 Q As a matter of fact, it would be safe to say 

12 that in response to the FA audit, Martinaire stepped up 

( 13 to the plate and undertook rather substantial and very 

14 shift corrective actions? 

15 A That's correct. 

16 Q Was there -- in response to the FA's concerns, 

17 Martinaire revised its training program, didn't it? 

18 A That's correct. 

19 Q It also revised the NOPC form to make it more 

20 user friendly; did it not? 

21 A Yes. That's correct. 

22 Q And to your knowledge, there's been no 

23 subsequent episodes of noncompliance with the NOPC 

24 requirement; is that correct? 

( 25 A That's correct. 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

1 Q In terms of Martinaire's corrective actions or 

2 response to the FA's concerns, is there anything else 

3 that the FA would have liked to have seen Martinaire do 

4 that it didn't do to fix the problem? 

5 Other than never carry HAZMAT. 

6 A Based on the letter from Mr. Rusinowitz and the 

7 documentation that he provided, if he was in compliance 

8 with that today, we would be happy. 

9 Q Now, for the 12 to NOPCs that the FA has 

10 alleged, the FA has sought a civil penalty of $206,550; 

11 is that correct? 

12 A That is correct. 

( 13 Q Okay. As I read the sanction guidance table in 

14 Order 2150.3B for HAZMAT cases, the -- if you take the 

15 $206,550 and divide it by 12, you get something far in 

16 excess of what is in the grid in the matrix. Is that a 

17 true statement? 

18 A That is a true statement. 

19 Q Why did the FAA exceed what is contained in the 

20 grid in the hazardous mate~ials sanction guidelines --

21 MR. ARCHIER: Objection 

22 Q (By Mr. Dworkin) -- in this case? 

23 MR. ARCHIER: Objection. That question 

24 falls within the deliberative process privilege, which is 

25 protected by the protective order. 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

' ( 

1 I am instructing the witness not to answer 

2 that question. 

3 Q (By Mr. Dworkin) How long have you been in your 

4 position with FAA Southwest Region? 

5 A A little over ten years. 

6 Q In that period of time how many civil penalties 

7 for HAZMAT violations has Southwest Region taken and 

8 completed, either by settlement or litigation where they 

9 have sought and collected civil penalties in excess of 

10 $200,000 in HAZMAT cases? 

11 A I would say probably 15 to 20. 

12 Q In ten years? 

c 13 A Yes, sir. 

14 Q And what did those cases involve? 

15 A Different types of violations. 

16 Q Okay. How about NOPC cases? Have there been in 

17 the ten years since you've been manager for hazardous 

18 materials at Southwest Region, have there been any NOPC 

19 cases in which the FA -- other than this case -- in which 

20 the FA has sought civil penalties exceeding $200,000? 

21 A I would have to say zero specific to NOPC cases. 

22 MR. ARCHIER: Mr. Dworkin, I would like to 

23 ask you a question to clarify for the record: Are you 

24 asking in the Southwest Region or are you asking 

25 nationwide? 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

( 1 MR. DWORKIN: Southwest Region. 

2 MR. ARCHIER: Okay. 

3 Q (By Mr. Dworkin) That's my next question. To 

4 your knowledge -- and I would assume as a regional 

5 manager, you probably touch base with your counterparts 

6 in other regions? 

7 A Yes, sir. 

8 Q To your knowledge, has the FAA ever in a NOPC 

9 case, other than this case, sought civil penalties in 

10 excess of $200,000? 

11 A To my knowledge, no. 

12 Q Has Southwest Region -- other than the 

( 13 Martinaire cases, has Southwest Region taken any civil 

14 penalty action against any other carriers or operators 

15 concerning violation of the NOPC requirements in HMR 

16 175.33? 

17 A Yes. 

18 Q And how many have -- how many NOPC cases have 

19 there been in the previous ten years by Southwest Region? 

20 A Yeah, to the best of my knowledge I'd say 

21 probably 30, possibly more. 

22 Q And what was the average civil penalty that was 

23 sought by the FAA in those NOPC cases? 

24 A I would say and again, this is an estimation 

(_ 25 on my part, but I would say $30,000 to $50,000. 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

( 1 Q How about NOPC cases FAA systemwide; do you 

2 know? 

3 A I wouldn't know that. 

4 (A brief interruption occurred.) 

5 Q (By Mr. Dworkin) In connection with the -- your 

6 review of the EIR -- you've reviewed the EIR; is that 

7 correct? 

8 A That's correct. 

9 Q And included in the EIR was a letter from 

10 Martinaire to Inspector Klimas; is that correct? 

11 A That's correct. 

12 Q Okay. And there were several inches or about 

( 13 one and three-quarters, two inches of attachments to that 

14 letter; is that correct? 

15 A That is correct. 

16 Q You did review those? 

17 A Yes, I did. 

18 Q Okay. And you were satisfied with Martinaire's 

19 response? 

20 A Yes. 

21 MR. DWORKIN: Okay. I have no further 

22 questions. 

23 MR. ARCHIER: Thank you. I have no further 

24 questions. 

25 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

1 CHANGES AND SIGNATURE 

2 PAGE/LINE CHANGE REASON 

3 

4 

5 

6 

7 

8 

9 

10 

11 

12 

13 

14 

15 

16 

17 

18 

19 

20 I, BRYAN EDWARD BUCHANAN, have read the foregoing 

21 deposition and hereby affix my signature that same is 

22 true and correct, except as noted herein. 

23 

24 

25 

BRYAN EDWARD BUCHANAN 

JOB NUMBER 108773 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

UNITED STATES OF AMERICA 

DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, D.C. 

In the Matter of: § 

§ FAA Case No. 

§ 2011SW700189 

Page 17 

§ FDMS No. FAA-2013-0040 

§ 

MARTINAIRE AVIATION, LLC 

§ Judge: Honorable 

§ Richard C. Goodwin 

REPORTER'S CERTIFICATION 

ORAL DEPOSITION OF 

BRYAN EDWARD BUCHANAN 

May 17, 2013 

I, Jana K. Richter, Certified Shorthand Reporter 

13 in and for the State of Texas, hereby certify to the 

14 following: 

15 That the witness, BRYAN EDWARD BUCHANAN, was 

16 duly sworn by the officer and that the transcript of the 

17 oral deposition is a true record of the testimony given 

18 by the witness; 

19 I further certify that pursuant to FRCP Rule 

20 30(f) (l) that the signature of the deponent: 

21 _X ___ was requested by the deponent or a party 

22 before the completion of the deposition and returned 

23 within 30 days from date of receipt of the transcript. 

24 If returned, the attached Changes and Signature Page 

25 contains any changes and the reasons therefor: 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

1 was not requested by the deponent or a 

2 party before the completion of the deposition. 

3 

4 I further certify that I am neither attorney nor 

5 counsel for, related to, nor employed by any of the 

6 parties to the action in which this proceeding was taken. 

7 Further, I am not a relative or employee of any attorney 

8 or record in this cause, nor am I financially or 

9 otherwise interested the outcome of the action. 

10 Subscribed and sworn to on this the 23rd day of 

11 May, 2013. 

12 

13 

14 

15 

16 

17 

18 

19 

20 

21 

22 

23 

24 

Jana K. Richter, Texas CSR No. 3693 

Expiration Date: 12/31/13 

,Firm Registration No. 301 

Sunbelt Reporting & Litigation Services 

1-800-666-0762 

25 JOB NUMBER 108773 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

A 15:23 

t---------1 area 4:21 

ability 7:8 

above-styled 

1:17 

accessible 9:8 

accurate 7:16 

8:14 

action 14:14 

18:6, 18:9 

actions 11 : 14 

12:1 

additions 5:25 

ADMINISTRA ... 

2:9,2:11 

adversely 7:8 

affect 7:8 

affirmative 7: 1 

affix 16:21 

agents 4:20 

4:23 

Arlington 1 :21 

asked 6:17 

asking 13 :24 

13:24 

ASSOCIATES 

2:5 

assume 14:4 

ASW-7 2:12 

attached 1 :24 

17:24 

attachments 

15:13 

attendance 5:5 

attorney 2:3 

18:4, 18:7 

ATTORNEYS 

2:9 

audit 11:12 

available 9: 15 

average 14:22 

AVIATION 1:6 

2:3, 2:9, 2:11 

17:6 

16:24,17:10 

17:15 

8:14 

comment 6:1 

communicated 

9:10 

Buchanan 1: 10 

1:15,3:12,4:1 

4:4,4:10,7:12 

16:20, 16:24 

17:10, 17:15 

completed 5:23 

13:8 

completely 6:10 

1----------l completion 

c 

California 2:5 

2:6 

carriers 14:14 

carry 12:5 

case 1:4, 7:22 

7:24, 7:25, 8:1 

8:23, 9:9, 11:7 

12:22, 13:19 

14:9, 14:9, 17:4 

cases 11:3 

12:14, 13:10 

13:14, 13:16 

13:19, 13:21 

14:13, 14:18 

14:23, 15:1 

17:22, 18:2 

compliance 

10:20, 10:23 

12:7 

concerning 8:15 

14:15 

concerns 11 : 16 

12:2 

conduct 4:20 

conference 6:18 

connection 5:5 

11:7, 15:5 

contained 12:19 

contains 17:25 

correct 4:25, 8:3 

aircraft 8: 13 

airline 8:17 

Alan 2:17 

allegation 11 :8 

alleged 8:1, 8:2 1--------1 cause 1:17, 18:8 

8:4, 8:7, 8:8 

8:11, 8:18, 8:19 

8:25,9:13,9:14 

9:24, 10:21 

10:25, 11:4 

11:15, 11:18 

11:21, 11:24 

11:25, 12:11 

12:12, 15:7 

15:8, 15:10 

15:11, 15:14 

15:15, 16:22 

8:5, 12:10 

Allow 6:8 

AMERICA 1:1 

17:1 

answer 6:3, 6:9 

10:3, 10:8 

10:12, 13:1 

answered 7: 1 

7:2 

answers 6:22 

7:1, 7:1 

appear 6:25 

Appearances 

3:3 

appearing 7:22 

Archier 2:10 

10:1, 10:4, 10:8 

10:11, 10:13 

12:21, 12:23 

13:22, 14:2 

B 

back 10:5 

base 14:5 

Based 12:6 

basis 10:14 

Becky 2:11 

behoove 6:2 

best 6:3, 14:20 

big 6:18 

booklet 5:22 

border 4:22 

Boulevard 1 :21 

2:13 

break 5: 17, 5: 17 

brief 15:4 

brought 5:6 

Bryan 1:10 

1:15,3:12,4:1 

4:10, 16:20 

Certification 

3:6, 17:9 

Certified 17:12 

certify 17: 13 

17:19, 18:4 

CHANGE 16:2 

changes 3:5 

5:24, 6:2, 7:18 

16:1, 17:24 

17:25 

civil 1:22, 12:10 

13:6, 13:9 

13:20, 14:9 

14:13, 14:22 

clarify 13 :23 

class 8:15 

CLR 1:19 

CMRS 1:19 

collected 13:9 

command 8:2 

corrections 5:25 

corrective 11: 14 

12:1 

counsel 2:12 

18:5 

counterparts 

14:5 

court 5:21, 6:5 

6:6, 6:23 

CSR 1:19, 18:16 

D 

D.C 1:2, 17:2 

date 17:23 

18:16 

day 18:10 

days 17:23 

deficiencies 8:2 

deficient 11:5 

11:9 

deliberative 

12:24 

denied 11:8 

DEPARTMENT 

1:1,17:1 

deponent 17:20 

17:21, 18:1 

deposition 1: 10 

1:15,5:2, 5:6 

5:9, 7:4, 7:9 

7:23, 16:21 

17:10, 17:17 

17:22, 18:2 

Description 

3:11 

determination 

9:21 

differences 6:15 

Different 13: 15 

dispatchers 9:9 

divide 12:15 

document 5:3 

documentation 

12:7 

documents 5:7 

drug 7:7 

duly 1:16,4:2 

17:16 

duties 4:18 

Dworkin 2:4 

2:5, 3:4, 4:5 

10:2, 10:16 

12:22, 13:3 

13:22, 14:1 

14:3, 15:5 

15:21 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

E 

East 1:21 

Edward 1:10 

1:15,4:1,4:10 

16:20, 16:24 

17:10, 17:15 

EIR 15:6, 15:6 

15:9 

either 13:8 

emergency 8:23 

9:5, 9:8, 9:12 

9:17 

employed 18:5 

employee 18:7 

Enforcement 

10:20, 10:23 

engagement 

5:13 

episodes 11:23 

estimate 6:14 

6:15,6:16,6:17 

6:18 

estimation 

14:24 

exact 9:14 

Examination 

3:4,4:3 

exceed 12:19 

exceeding 13:20 

excess 12:16 

13:9, 14:10 

Exhibit 3:10 

4:4, 5:2, 7:12 

Expiration 

18:16 

F 

FAA 1:4,9:15 

12:19, 13:4 

14:8, 14:23 

15:1, 17:4 

F AA-2013-0040 

1:5, 17:5 

Facsimile 2:7 

2:14 

fact 11 :2, 11: 11 

falls 12:24 

familiar 10:17 

far 12:15 

FDMS 1:5, 17:5 

Federal 1 :22 

2:9, 2:11 

financially 18:8 

finish 6:9 

Firm 18:17 

first 4:2 

first-level 7:25 

fix 12:4 

following 17:14 

follows 4:2 

foregoing 16:20 

form 5:22 

11:19 

Fort 2:13,4:13 

Francisco 2:6 

FRCP 17:19 

friendly 11:20 

full 4:8 

further 10: 13 

17:6 

grid 12:16 

12:20 

INDEX 3:1 

3:10 

influence 7:7 

informal 5:18 

information 

L 

guess 6:13, 6:14 

6:15, 6:20, 6:20 

guidance 10:24 

11:3, 12:13 

guidelines 12:20 

8:14,9:7 

Inquisition 5: 16 

inspections 4:21 

1--------1 inspector 4:23 

Lamar 1:21 

legible 8:14 

length 6:16 

letter 12:6, 15:9 

15:14 

liked 12:3 

Likewise 6:24 

limitations 6:5 

line 10:14 . 

litigation 13:8 

H 15:10 

1--------1 instance 1:16 

handbook 10:17 

10:21, 10:23 

handbooks 9:16 

happy 12:8 

hazard 8:15 

hazardous 4:11 

4:14, 8:6, 12:20 

13:17 

HAZMAT 11:3 

12:5, 12:14 

13:7, 13:10 

head 6:22, 6:23 

hear 6:11 

hearing 5:20 

6:1 

HEARINGS 1:2 

17:2 

hereto 1:24 

HMR 8:20 

14:15 

HMRs 8:7, 9:3 

Holmes 2:11 

Honorable 1:6 

instructing 10:2 

13:1 

intend 5:15 

intended 9:5 

interested 18:9 

interruption 

15:4 

18:17 

little 13:5 

LLC 1:6,2:3 

17:6 

long 13:3 

M involve 13:14 

involvement 

7:21, 9:20 

involves 8: 1 

machine 1 :20 

manager 4:10 

4:14, 4:16 

13:17, 14:5 

1----'------l marked 3:11 

J 

James 2:10 

Jana 1:19, 17:12 

18:16 

JOB 16:25 

18:25 

Judge 1:6, 17:6 

4:4, 5:1, 7:11 

Martinaire 1 :6 

2:3,11:7,11:12 

11:17, 12:3 

14:13, 15:10 

17:6 

1--------1 Martinaire's 

K 12:1, 15:18 

1-------~ materials 4:11 

15:21, 15:23 

17:19, 18:4 

18:7 17:6 

1------~ huh-uh 6:24 

Klimas 4:24, 5:1 

7:24, 9:23 

G 15:10 

I 

1----------l give 6:3, 6:17 

know 6:3, 6:11 

9:4, 15:2, 15:3 

4:15, 8:6, 8:16 

12:20, 13:18 

matrix 12:16 

matter 1:3, 6:1 

9:22, 11:2 

FA 4:8,8:22 

10:17, 10:17 

11:12, 12:3 

12:9, 12:10 

13:19, 13:20 

FA's 11:8,11:16 

12:2 

given 17:17 

go 5:12,6:1 

going 10:14 

Good 4:6, 4:7 

good-faith 6:14 

6:17 

Goodwin 1:6 

identification 

8:16 

important 6:8 

6:22,6:25 

inches 15:12 

15:13 

included 15:9 

knowledge 9:19 

10:16, 11:22 

14:4, 14:8 

14:11, 14:20 

knows 8:17 

11:11, 17:3 

Meacham 2:13 

medication 7:8 

Michael 2:4, 2:5 

3:4,4:5 

morning 4:6 

4:7 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

N 5:12, 5:13, 5:14 

6:3, 6:4, 7:11 

7:13, 7:16, 8:1 

8:5, 8:9, 8:12 

9:11, 10:11 

10:16, 10:20 

12:13, 13:16 

14:2, 15:12 

15:18, 15:21 

1:16 

plate 11:13 

position 4:8 

8:22, 13:4 

possibly 14:21 

prepared 7: 19 

R requirements 

1--------l 8:10, 14:15 

name 4:8, 8:15 

nationwide 

13:25 

need 5:17,5:25 

negative 7:2 

neither 18:4 

never 6:19, 12:5 

nine 4:20 

nod 6:22 

noncompliance 

11:23 

NOPC 8:10 

8:23, 9:4, 9:12 

9:17, 11:19 

11:23, 13:16 

13:18, 13:21 

14:8, 14:15 

14:18, 14:23 

15:1 

NOPCs 11:5 

onboard 8:17 

operator 8:13 

operators 14:14 

opinions 9:16 

opportunity 

5:24 

oral 1:10, 1:15 

17:10, 17:17 

order 10:15 

10:17, 12:14 

12:25 

orders 9:16 

outcome 18:9 

7:24 

prescribes 8:9 

PRESENT 2:16 

previous 14:19 

principal 4:18 

privilege 12:24 

probably 13: 11 

14:5, 14:21 

problem 12:4 

Procedure 1 :23 

procedures 8:24 

9:6, 9:13, 9:18 

proceeding 18:6 

process 12:24 

produced 1:15 

program 11:17 

read 8:12, 10:5 

12:13, 16:20 

reason 6:21, 7:4 

16:2 

reasons 17:25 

recall 9:25, 10:6 

receipt 17:23 

recommendation 

9:23, 9:25, 10:7 

record 1:23, 4:9 

13:23, 17:17 

18:8 

recorded 5:21 

Region 2:12 

4:15, 13:4, 13:7 

13:18, 13:24 

14:1, 14:12 

14:13, 14:19 

regional 2:12 

14:4 

11:8,12:9 

noted 16:22 

notice 5:2 

notices 8:2 

number 3:11 

1-------1 protected 12:25 regions 14:6 

Registration 

18:17 

regulation 8:6 

p protective 10: 15 

1--------1 12:25 

Page 3:2, 3:11 

17:24 

PAGE/LINE 

16:2 

8:16, 16:25 

18:25 

numbered 1:17 part 14:25 

1----------1 parties 18:6 

0 party 17:21 

1----------1 18:2 

oath 5:19 

object 10:14 

Objection 10:1 

12:21, 12:23 

occurred 15:4 

offended 6:12 

office 1:2, 1:20 

2:12,6:18,6:19 

17:2 

officer 17:16 

oh 6:21 

Okay 4:14,4:18 

4:23, 5:5, 5:9 

penalties 13:6 

13:9, 13:20 

14:9 

penalty 5: 19 

12:10, 14:14 

14:22 

period 13:6 

perjury 5:20 

person 6:7 

pilot 8:2, 8:13 

8:16 

pilots 9:10 

PLAINTIFF 

provide 8: 13 

provided 5:23 

12:7 

provisions 1:23 

publicly 9:15 

purpose 8:20 

pursuant 1 :22 

17:19 

8:21, 9:4 

regulatory 8:20 

Regus 1:20 

related 18:5 

relative 18:7 

relatively 5: 18 

repeat 6:12 

1------------1 reported 1:20 

Q reporter 5:21 

1----------1 6:6, 10:6, 17:12 

question 6:9 

6:10,6:11, 10:5 

10:6, 10:8, 10:9 

12:23, 13:2 

13:23, 14:3 

questions 4:5 

10:13, 15:22 

15:24 

reporter's 3:6 

6:24, 17:9 

reporting 6:6 

18:17 

requested 17:21 

18:1 

required 8:23 

9:9 

requirement 

11:24 

responders 9:8 

response 8:24 

9:5,9:12,9:17 

11:12, 11:16 

12:2, 15:19 

responsibilities 

4:19 

resume 3:12 

7:15 

returned 17:22 

17:24 

review 5:24 

7:25, 15:6 

15:16 

reviewed 9:23 

15:6 

revised 11 : 17 

11:19 

Richard 1:6 

17:6 

Richter 1 : 19 

17:12, 18:16 

right 5:22 

RSA 1:19 

Rule 17:19 

rules 1:22,5:12 

Rusinowitz 2:17 

12:6 

s 

safe 11:11 

San 2:6 

sanction 9:21 

10:24,11:3 

12:13, 12:20 

satisfied 15: 18 

saying 6:7 

says 8:12, 9:12 

section 4:11 

4:16, 8:6, 8:12 

seen 5:3, 12:3 

selection 9:21 

Services 18: 17 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
( 

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ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

setting 5: 19 

settlement 13:8 

shake 6:23 

shift 11:14 

shipping 8: 15 

shorthand 1 :20 

17:12 

show 6:23 

showing 5:1 

7:11 

signature 3:5 

16:1, 16:21 

17:20, 17:24 

similar 6:25 

sir 4:7, 10:19 

10:22, 11:1 

13:13, 14:7 

six-state 4:21 

sought 12:10 

13:9, 13:20 

14:9, 14:23 

Southwest 2:12 

4:15, 13:4, 13:7 

13:18, 13:24 

14:1, 14:12 

14:13, 14:19 

Spanish 5: 15 

special 4:20 

specific 8:21 

11:2, 13:21 

specifically 9:16 

State 1:19 

17:13 

stated 1:23 

statement 12:17 

12:18 

states 1:1,4:21 

9:4, 9:16, 17:1 

step 6:8 

stepped 11:12 

Street 2:5 

Subscribed 

18:10 

subsequent 

11:23 

substantial 

11:13 

Suite 1:21,2:5 

2:13 

Suites 1:21 

Sunbelt 18: 17 

supervise 4:20 

supervisor 4: 16 

supposed 9:8 

sworn 1:17,4:2 

touch 14:5 

training 11 : 1 7 

transcribed 

5:22 

transcript 5:23 

6:24, 17:16 

17:23 

TRANSPORT ... 

1:1,17:1 

true 7:16, 12:17 

12:18, 16:22 

17:17 

wild 6:19 

withdraw 11:6 

witness 1 : 16 

10:10, 13:1 

17:15, 17:18 

words 9:14 

Worth 2:13 

4:13 

2 

2 3:3 

20 13:11 

200,000 13:10 

13:20, 14:10 

2000 1:21 

2011SW700189 

write 9:10 1:4,17:4 

writings 5:6 

written 8: 14 

2013 1:11, 1:18 

17:11, 18:11 

1-------------l 206,550 12: 10 

17: 16, 18: 10 

system 6:6 

systemwide 

15:1 two 15:13 

1---------! types 13:15 

y 12:15 

1--------1210 2:5 

T 1------J Yeah 14:20 2150.3B 10:18 

1---------1 U years 13:5 12:14 

23rd 18:10 

2530 10:17 

1--------1 2601 2:13 

table 6:16, 6:18 

10:24, 11:3 

12:13 

take 5: 17, 5: 17 

6:6, 12:14 

taken 1:17, 5:9 

7:5, 7:9, 8:22 

13:7, 14:13 

18:6 

talks 9:7 

Telephone 2:6 

2:14 

tell 6:11 

ten 13:5, 13:12 

13:17, 14:19 

terms 12:1 

testified 4:2 

testimony 5:19 

17:17 

Texas 1:20, 1:22 

2:13,4:13,4:21 

4:22, 17:13 

18:16 

Thank 15:23 

therefor 17:25 

three-quarters 

15:13 

time 6:7, 13:6 

today 6:3, 7:5 

7:9, 7:23, 12:8 

13:12, 13:17 

14:19 

z 

zero 13:21 

3 

uh-huh 6:24 

uncomfortable 

5:16 

understand 

6:10, 10:9 

understanding 

9:1 

Understood 7:3 

undertook 

11:13 

1--------130 14:21, 17:23 

1 30(f)(1 17:20 

1--------1 30,000 14:25 

UNITED 1:1 

17:1 

1 3:12,4:4, 5:2 

7:12 

10:07 1:18 

10:25 1:18 

use 5:20 108773 16:25 

user 11:20 18:25 

1--------1 12 11:5, 12:9 

v 12:15 

1--------1 12/31113 18:16 

15 13:11 

16 3:5 

17 1:11, 1:18 

17:11 

verbalized 6:22 

violation 8:5 

14:15 

violations 13:7 

13:15 

w 

175.33 8:6, 8:9 

8:12, 9:7,9:11 

14:16 

1----------1 18 3:6 

want 6:13, 6:20 

WASHINGTON 

1:2, 17:2 

way 11:9 

1-800-666-07 62 

18:18 

301 18:17 

3693 18:16 

4 

4 3:4,3:12 

415-421-2500 

2:6 

415-421-2560 

2:7 

465 2:5 

5 

50,000 14:25 

6 

600 1:21 

6E 2:13 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
( 

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76006 1:22 

76137 2:13 

8 

817-222-5092 

2:14 

817-222-5099 

2:14 

9 

94104 2:6 

Page 5 

ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
06/18/2013 11:50 713-.. 3838 SUNBELT REPDR~~~NG PAGE 01/05 

Austin 

1016 La Posada Drive 

Suite 294 

Austin, Texas 78752 

512. 465. 9100 

Bryan/College Station 

1716 Briarcrest Drive 

Suite 300 

Bryan. Texas 77802 

979 . 774. 4000 

Corpus Christi 

711 N. Carancahua 

Suite 700-N 

Corpus Christi, Texas 

78401 

361.882.0763 

Dallas/Fort Worth 

15150 Preston 

Suite 300 

Dallas, Texas 75248 

214. 747. 0763 

East Texas 

100 E. Ferguson 

Suite900 

Tyler, Texas 75702 

903 . 593 . 3213 

Houston 

6575 W. Loop South 

Suite 580 

Bellaire, Texas 77401 

800.666.0763 

San Antonio 

8000 IH-10 West 

Suite 1500 

San Antonio, Texas 

78230 

210 . 342. 0763 

Sunbelt Reporting';~·ct~pgati.on Services ' .... ,. -:. ~ . . ~ ::. . : . ' . ·.· . : ':- . , " · ..

June 17, 2013 

Michael L. Dworkin 

Michael L. Dworkin 

465 California Street, Suite 210 

San Francisco, CA 94104 

. . . . . . . ... . '.}~.;:{''g;i~t~~~~~~~ ................. . 6575 ~e~t!i.Qbp ~gp,ili;: ~uite 580 

HQ!.fSt:Qg/B.elJ,iil'&:,:.T~~ 77401 

'): ~~sunbel;rep~rt}no;com 

1. 800.666.,~76l: ··•···• . :,~)' 713. 661. 3838 .::: ..::::- -/:;;·; .; ~· 

Re: Deposition of BRYAN EDWARD BUCHANAN 

05/17/2013 

IN THE MATTER OF: MARTINAIRE AVIATION, LLC 

As indicated below: Please be advised of current status of the Original Deposition. 

J The attached Original Deposition, after being signed and notarized by the witness on the 

errata/correction page, is being forwarded to you in accordance with the Texas/Federal Rules of Civil 

Procedure. 

o The attached Original Deposition, which was retumed unsigned and/or not notarized, is being 

forwarded to you in accordance with the Texas/Federal Ru1es of Civil Procedure. 

J The attached copies ofCertificate(s) and/or executed and notarized Errata/Correction Sheet(s) are 

sent to you for your files. If you have any questions, please call. 

o Please be advised that the Original Deposition was not returned within the time specified for 

unknown reasons. 

o The attached Original Exhihit(s) are being returned without the Original Deposition, which was due 

on ___, for unknown reasons. 

o A copy of the Certificate is being sent to the Court Clerk for filing of taxable cost. 

o Original Deposition and Original Exhibits are being released on -----> due to trial on 

Sincerely, 

Ileana Chavez 

Sunbelt Reporting and Litigation Services 

No. 108773 

ENCLOSED PLEASE FIND: 

J Original Deposition 

o Original Exhibit(s) 

J Errata/Correcti9n Page(s) 

" Reporter's Certificate 

cc: James Archier 

One Call Does It All! 
06/18/2013 11:50 713-.-3838 PAGE 02/05 

Page 16 

ORAL, DEPOSITION OF BRYAN EDWARD BUCHANAN 

1 CHANGES AND SIGNATURE 

2 PAGE/LINE CHANGE REASON 

3 pAC,£ t, l-~tJt ~l il ' II L 

~ lil - S-T"ll\ T& IV ltJ~tuc: .. +: 

4 

5 

6 

7 

8 

9 

10 

11 

12 

13 

14 

15 

16 

17 

18 

19 

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23 

24 

25 

~l~-t.. - S'n\·\'15' 111

1\l ttt I C\4. 1 l\lt t> f..J\ 

I, BRYAN EDWARD BUCHANAN, have read the foregoing 

deposit:ion and hereby affix my signature that same is 

true and correct, except as noted herein. 

BRYAN EDWARD BUCHANAN 

JOB NUMBER 108773 

Sunbelt Reporting & Litigation services 

Austin, Bryan/Colleg station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 

RECEIVED JUN 0 5 2n13 
05/18/2013 11:50 713-.. 3838 

CERT~CATEOFACKNO~EDGMENT 

STATE OF TEXAS 

COUNTY OF TARRANT 

On this, the 30th day of May , 2013, before me, Teresa Emmons , a 

Notary Public in and for the County of Tarrant, State of Texas duly commissioned and 

qualified, personally appeared Bryan Buchanan , known to me to be the person 

described in, or produced appropriate identification as proof of identity, and whose names 

are subscribed to the attached instrument, and acknowledged to me that he executed the 

instrument for the purposes and considerations therein stated. 

IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official seal, at 

my office in the day and year in this certificate frrst written above. 

----------- - T£RESAEMMDNS 

M¥ CommlJtlott ~ 

October 19, 2018' 

Notary Public (Signatme) 

J

uu 0 .: 2\)~. ·E\v·£0 ·ut' ., REC ·• 

PAGE 03/05 
05/18/2013 11:50 713-5~~~-3838 SUNBELT REPO~G PAGE 04/05 

Page 17 

1 

2 

3 

4 

5 

6 

7 

ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN 

UNITED STATES OF AMERICA 

DEPARTMENT OF TRANSPORTATION 

OFFICE OF HEARINGS 

WASHINGTON, D.C. 

In the Matter of: 

MARTINAIRE AVIATION, LLC 

§ 

§ FAA Case No. 

§ 2011SW700189 

§ FDMS No. FAA-2013-0040 

§ 

§ Judge: Honorable 

§ Richard c. Goodwin 

REPORTER'S CERTIFICATION 

10 ORAL DEPOSITION OF 

BRYAN EDWARD BUCHANAN 

11 May 17, 2013 

12 I, Jana K. Richter, Certified Shorthand Reporter 

13 in and for the State of Texas, hereby certify to the 

14 following: 

15 That the witness, BRYAN EDWARD BUCHANAN, was 

16 duly sworn by the officer and that the transcript of the 

17 oral deposition is a true record of the testimony given 

18 by the witness; 

19 I further certify that pursuant to FRCP Rule 

20 30(f} (1) that the signature of the deponent: 

21 _X ___ was requested by the deponent or a party 

22 before the completion of the deposition and returned 

23 within 30 days from date of receipt of the transcript. 

24 If returned, the attached Changes and Signature Page 

25 contains any changes and the reasons therefor: 

Sunbelt Reporting & Litigation Services 

Austin, Eryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
06/18/2013 11:50 713-,-3838 PAGE 05/05 

Page 18 

ORAL DEPOSITION OF BRYAN EDWARD BUCHANAN· 

1 was not requested by the deponent or a 

2 party before the completion of the deposition. 

3 

4 I further certify that I am neither attorney nor 

5 counsel for, related to, nor employed by any of the 

6 parties to the action in which this proceeding was taken. 

7 Further, I am not a relative or employee of any attorney 

8 or record in this cause, nor am I financially or 

9 otherwise interested the outcome of the action. 

10 Subscribed and sworn to on this the 23rd day of 

11 May, .2013. 

12 

13 

14 

15 

16 

17 

1·8 

19 

20 

21 

22 

23 

24 

Jana K. Richter, Texas CSR No. 3693 

Expiration Date: 12/31/13 

Firm Registration No. 301 

sunbelt Reporting & Litigation Services 

1-800-666-0762 

25 JOB NUMBER 108773 

Sunbelt Reporting & Litigation Services 

Austin, Bryan/Colleg Station, Corpus Christi, Dallas/Fort Worth, East Texas, Houston, San Antonio 
• 

EXHIBITH 

Complainant's Responses to Respondent's First Request for 

Production of Documents 

FAA Case No. 2011SW700189 /DMS No. FAA-2013-0040 

MARTINAIRE AVIATION, LLC'S RESPONSE AND OBJECTIONS TO COMPLAINANT'S 

MOTION FOR DECISION 
e· • 

U.S. DEPARTMENT OF TRANSPORTATION \~~ FEDERAL AVIATION ADMINISTRA_T_~I~O~N~--~~~--~ 

OFFICE OF HEARINGS - · • d 

In the Matter of: 

Martinaire Aviation, LLC 

Respondent 

JUDGE GOODWIN 

WASHINGTON, DC ltece1ve· 

) 

) 

) 

) 

) 

) 

) 

) 

FAA DOCKET 

JUN 1 8 REC'O 

FAA-2013-0040 

FAA Case No 2011s~:if~ .. ti~~:!Jn (Civil Pena 

FDMS No. FAA-2013-0040 

AGENCY'S RESPONSES TO RESPONDENT'S FIRST REQUEST FOR 

PRODUCTION OF DOCUMENTS 

Pursuant to the provisions of 14 CFR § 13.220(d), Subpart GRules of Practice in FAA Civil Penalty Actions, Judge Richard C. 

Goodwin's Procedural Order, dated February 5, 2013, Judge 

Richard C. Goodwin's Order Granting Joint Motion, dated February 

26, 2013 and Rule 34 of the Federal Rules of Civil Procedure, 

the agency hereby responds to Respondent's request to produce as 

follows: 

Request to Produce 1.1.: Produce Complainant's case file bearing 

FAA Docket No. FAA-2013-0040, FAA Case No. 2011SW700189 in its 

entirety, including, but not limited to, items of proof, 

exhibits, correspondence, memoranda, and all other documents 

contained therein. 

Response to 1.1.: The releasable portions of the Enforcement 

Investigative Report were produced in Complainant's Motion for 

Protective Order dated, April 4, 2013, marked as Exhibit D. The 

cover page of Exhibit D is attached. 

Request to Produce 1.2.: Produce all documents pertaining to the 

allegations set forth in the Complaint in this matter. 

Response to 1.2: All documents pertaining to the allegations 

set forth in the Complaint were produced in Complainant's Motion 

for Protective Order dated, April 4, 2013, marked as Exhibit D. 

The cover page of Exhibit D is attached. 
e \ 

Request to Produce 1.3.: Produce all documents which 

Complainant intends to utilize as exhibits at the hearing in 

this matter. 

Response to 1.3: The exhibits complainant intends to utilize at 

the hearing include the releasable portions of the Enforcement 

Investigative Report which were produced in Complainant's Motion 

for Protective Order dated, April 4, 2013, marked as Exhibit D. 

Complainant objects to all other documents made by this request 

because these documents are excluded by the Protective Order 

issued by Judge Goodwin on May 1, 2013. 

Request to Produce 1.4.: Produce all statements and documents 

pertaining to statements made to Complainant by MARTINAIRE 

concerning the matters alleged in the Complaint. 

Response to 1.4: All statements and documents pertaining to 

statements made to Complainant by MARTINAIRE are contained in 

the releasable portions of the Enforcement Investigative Report 

which were produced in Complainant's Motion for Protective Order 

dated, April 4, 2013, marked as Exhibit D. The cover page of 

Exhibit D is attached. 

Request to Produce 1.5.: Produce all statements and documents 

pertaining to statements made to Complainant by any employees or 

former employees of MARTINAIRE concerning the matters alleged in 

the Complaint. 

Response to 1.5: All statements and documents pertaining to 

statements made to Complainant by any employees or former 

employees of MARTINAIRE concerning the matters alleged in the 

Complaint are contained the releasable portions of the 

Enforcement Investigative Report which were produced in 

Complainant's Motion for Protective Order dated, April 4, 2013, 

marked as Exhibit D. The cover page of Exhibit D is attached. 

Request to Produce 1.6.: Produce all statements and documents 

pertaining to statements made to Complainant by any other 

person, firm, or corporation, concerning the matters alleged in 

Complaint. 

Response to 1.6: All statements and documents pertaining to 

statements made to Complainant by any other person, firm, or 

corporation, concerning the matters alleged in Complaint are 

contained in the releasable portions of the Enforcement 

Investigative Report which were produced in Complainant's Motion 

for Protective Order dated, April 4, 2013, marked as Exhibit D. 

2 
e \ 

Complainant objects to all other documents made by this request 

because these documents are excluded by the Protective Order 

issued by Judge Goodwin on May 1, 2013. Complainant also 

objects on the grounds that this material includes work product 

because it was created in anticipation of litigation. 

Request to Produce 1.7.: Produce all resumes, curriculum vitae 

and any and all written qualifications of all persons whom 

Complainant expects to utilize as expert witnesses at the 

hearing in this matter. 

Response to 1.7: To date Complainant does not anticipate 

utilizing any expert witnesses. If this situation changes 

before trial, Complainant will provide the names of any expert 

witnesses it intends to utilize. 

Request to Produce 1.8.: Produce all documents pertaining to 

facts and opinions held by Complainant's experts acquired or 

developed in anticipation of litigation or for the hearing in 

this matter. 

Response to 1.8: To date Complainant has not utilized any 

expert witnesses. 

Request to Produce 1.9.: 

Complainant's experts in 

litigation or hearing in 

Produce all documents reviewed by 

connection with the anticipated 

this matter. 

Response to 1.9: To date Complainant has not utilized any 

expert witnesses. 

Request to Produce 1.10.: Produce all documents generated by 

Complainant's experts in connection with the anticipated 

litigation or hearing in this matter. 

Response to 1.10: To date Complainant has not utilized any 

expert witnesses. 

Request to Produce 1.11.: Produce all documents evidencing 

and/or pertaining to Complainant's computation of the proposed 

civil penalty in accordance with the Matrix set forth in FAA 

Order 2150.3B, FAA Compliance and Enforcement Program, Appendix 

C, Sanction Guidance Hazardous Materials Enforcement, Figure C1 . 

Response to 1.11: Complainant released the information 

requested in this request to produce in the releasable portions 

3 
• 

of the Enforcement Investigative Report which was produced in 

Complainant's Motion for Protective Order dated, April 4, 2013, 

marked as Exhibit D. Complainant objects to all other documents 

made by this request because these documents are excluded by the 

Protective Order issued by Judge Goodwin on May 1, 2013. 

Request to Produce 1.12.: Produce all Orders Assessing Civil 

Penalty for the following HAZMAT cases: 2012SW700081; 

2011SW700155; 2011SW700182; 2011SW700093; 2010SW700184; and 

2010SW700147. 

Response to 1.12: Attached are the Order Assessing Civil 

Penalties. 

Request to Produce 1.13.: Produce all Orders Assessing Civil 

Penalty issued by the Complainant's Southwest Region relating to 

alleged violations of 49 CFR section 175.33(a) (1) by any person, 

firm, corporation or other entity within the preceding ten 

years. 

Response to 1.13: See attached documents. 

Request to Produce 1.14.: Produce all Orders Assessing Civil 

Penalty issued by the Complainant's Southwest Region relating to 

alleged violations of 4 9 CFR section 17 5. 33 (a) ( 1) ( i) by any 

person, firm, corporation or other entity within the preceding 

ten years. 

Response to 1.14: See attached documents provided in response 

to 1.13. 

Request to Produce 1.15.: Produce all Orders Assessing Civil 

Penalty issued by the Complainant's Southwest Region relating to 

alleged violations of 4 9 CFR section 17 5. 33 (a) ( 7) by any person, 

firm, corporation or other entity within the preceding ten 

years. 

Response to 1.15: See attached documents provided in response 

to 1.13. 

Request to Produce 1.16.: Produce all documents evidencing 

mitigating actions taken by Respondent as a result of the FAA's 

July 8, 2011 HAZMAT inspection at MARTINAIRE'S facilities at DFW 

Airport and its headquarters in Addison, Texas. 

4 
Response to 1.16: All documents evidencing mitigating actions 

taken by Respondent as a result of the FAA's July 8, 2011 HAZMAT 

inspection at MARTINAIRE'S facilities at DFW Airport and its 

headquarters in Addison, Texas are contained in the releasable 

portions of the Enforcement Investigative Report which were 

produced in Complainant's Motion for Protective Order dated, 

April 4, 2013, marked as Exhibit D. Complainant objects to this 

request because these documents are excluded by the Protective 

Order issued by Judge Goodwin on May 1, 2013. 

Request to Produce 1.17.: Produce all documents supporting 

Complainant's contention that Notifications of Pilot-in-Command 

(NOPC) are intended to be utilized to assist first responders in 

the event of an aircraft mishap. 

Response to 1.17: 49 CFR 175.33(c) (4) is attached. 

Respectfully submitted this 17~ day of June 2013. 

ERIC E. ANDERSON 

5 
e 

\ 

CERTIFICATE OF SERVICE 

Re: Martinaire Aviation, LLC, FAA Case No. 2011SW700189 

I further certify that on this date, I have sent via 

Federal Express a true copy of the Agency's Responses to 

Respondent's First Request for Production of Documents, Agency's 

Responses to Respondent's First Set of Interrogatories, and 

Agency's Responses to Respondent's First Set of Request to Admit 

addressed as follows: 

Mr. Michael L. Dworkin and Associates 

Law Offices 

465 California Street, Suite 210 

San Francisco, California 94104-1808 

(Federal Express) 

Telephone: (415) 421-2500 

Facsimile: (415) 421-2560 

June 17, 2013 

6 
e 

\ 

RESPONSE TO 1.1 
U.S. Deportmenl 

of TronSfX"l.1otion 

Federal Aviation 

Administration 

June 19, 2012 

Via Federal Express 

Southwest Region 

Arkansas, Louisiana, 

New Mexico, Oklahoma 

Texas 

Mr. Michael L. Dworkin 

Michael L. Dworkin and Associates 

Law· Offices 

465 California Street, Suite 210 

San Francisco, California 94104 

Office of Regional Counsel. ASW-7 

2601 Meacham Blvd. 

Fort Worth, TX 76137 

(817) 222-5099 

{817) 222-5945/5092 FAX 

Re: FAA Case No. 2011SW700189 (Hazardous Material) 

Dear Dworkin: 

Pursuant to your request enclose~ is a copy of the releasable 

documents from the EIR referenced above regarding your client. 

The following information is not enclosed since it is exempt 

from disclosure under the Freedom of Information Act [FOIA], 5 

U.S.C. § 552, Exemption No. (5), because the information_ 

constitutes intra-agency communications, the release of which 

would disclose the government deliberative process: 

l. Blocks 18, 25, 26, 29, 30, and 31 of FAA Form 2150-1 which 

contain information concerning regulations believed 

violated and the recommended sanction, which constitute 

intra-agency communications, the release of which would 

disclose government deliberative process. 

2. The reporting inspectors list of citations, analysis of 

facts, violations summary and the checklist of sanction 

analysis, including recommendations, the sanction 

calculation sheet, and the Enforcement Decision Tool 

\illorksheet. 

3. E-mails and memoranda to Office of the Chief Counsel or 

managing attorneys, from agency counsel regarding sanction 

recommendations and responses from the Office of Chief 

Counsel to agency counsel, dated February 6, 2012, May 16, 

2012, and May 21, 2012 and e-mails to Public Affairs and 

responses from Public Affairs regarding the enforcement 

action dated May 24, 2012, May 25, 2012, May 29, 2012, and 
• 

May 30, 2012, the release of which would disclose the 

government deliberative process. 

Exemption (5) applies to interagency or intra-agency 

memoranda or letters, which would not be available by, law to a 

party other than an agency in litigation with the agency. 

The above partial denial is not intended to be a formal 

denial under the Freedom of Information Act. If you want a 

formal denial under the Freedom of Information Act, please 

resubmit your request in writing and your denial will be 

processed accordingly. 

Sincerely 

ERIC E. ANDERSON 

Acting Regional Counsel 

Southwest Region 

orney 

eneral Litigation and Rulemaking Branch 

(817) 222-5074 

2 
RESPONSE TO 1.12 
U.S. Department 

of Transportation 

Federal Aviation 

Administration 

July 24, 2012 

Southwest Region 

Arkansas, Louisiana, 

New Mexico, Oklahoma 

Texas 

Via Federal Express 

Mr. Gerald F. Murphy, Esq. 

Crowell & Moring LLP 

1001 Pennsylvania Avenue, NW 

Washington, DC 20004 

e: 

Office of Regional Counsel, ASW-7 

2601 Meacham Blvd. 

Fort Worth, TX 76137 

(817) 222-5099 

(817) 222-5945/5092 FAX 

Re: FAA Case No. 2012SW700081 (Hazardous Material) 

ORDER ASSESSING CIVIL PENALTY 

On June 18, 2012, the Federal Aviation Administration 

advised Atlantic Southeast Airlines, Inc., ("Atlantic") 

through a Notice of Proposed Civil Penalty that it proposed 

to assess a civil penalty in the amount of $88,000.00. 

In order to avoid further litigation, the parties held 

an informal conference on July 24, 2012. The parties agreed 

to settle this case for $77,000.00 and Atlantic has agreed to 

waive any further rights of appeal. This order constitutes a 

finding by the Federal Aviation Administration of the facts 

and regulatory violations contained herein. It is determined 

that: 

1. On or about February 16, 2012, Atlantic Southeast 

Airlines, Inc., ("Atlantic") offered FedEx Corporation a 

package containing hazardous material for transportation by 

air from Baton Rouge, Louisiana to Lenexa, Kansas. 

2. The shipment was offered via FedEx air bill number 

456321723798. 

3. On November 16, 2011, Atlantic offered FedEx Corporation 

a package containing hazardous material for transportation by 

air from Baton Rouge, Louisiana to Lenexa, Kansas. 

4. The shipment was offered via FedEx air bill number 

456321718994. 
: --

5. On October 25, 2011, Atlantic offered FedEx Corporation a 

package containing hazardous material for transportation by 

air from Baton Rouge, Louisiana to Lenexa, Kansas. 

6. The shipment was offered via FedEx air bill number 

45632171704. 

7. On October 24, 2011, Atlantic offered FedEx Corporation a 

package containing hazardous material for transportation by 

air from Baton Rouge, Louisiana to Lenexa, Kansas. 

8. The shipment was offered via FedEx air bill number 

456321717601. 

9. Ms. Ronda Sparrow {Ntirugelegwa) prepared the shipper's 

declaration for dangerous goods on all the shipments 

described above. 

10. Each shipment consisted of an oxygen generator. 

11. The oxygen generators were packaged in 4G fiberboard 

boxes. 

12. The proper shipping name for an oxygen generator is 

Oxygen Generator, Chemical, 5.1, UN3356, PGII. 

13. Oxygen Generator, Chemical, 5.1, UN3356, PGII is 

classified as a hazardous material under the Department of 

Transportation Hazardous Material Regulations. 

14. On the dates referred to above, Atlantic offered an 

oxygen generator in packaging that failed to meet The Flame 

Penetration Resistance Test specified in Appendix E to part 

178. 

15. On the dates referred to above, Atlantic offered an 

oxygen generator in packaging that failed to meet The Thermal 

Resistance Test specified in Appendix D to part 178. 

16. On October 25, 2012, Atlantic reoffered a shipment 

containing an oxygen generator that was rejected by FedEx on 

October 24, 2012. 

17. When Atlantic reoffered the package on October 25, 2012, 

it attempted to conceal language on a box which stated "this 

package is not authorized for transportation aboard 

aircraft". 

2 
18. By reason of the above/ Atlantic violated the following 

Department of Transportation Hazardous Materials Regulations 

(Title 49 of the Code of Federal Regulations): 

a. Section 171.2(e) (49 C.F.R. § 171.2(e)) 1 in that it 

offered hazardous material for transportation by air in 

commerce when the material was not properly classed/ 

described/ packaged/ marked 1 labeled 1 and in a condition for 

shipment as required or authorized by applicable requirements 

of the hazardous material regulations. 

b. Section 173.168(d) (1) (i) (ii) (49 C.F.R. § 

173.168. (d) (1) (i) (ii) in that it offered hazardous material 

for transportation in air commerce in packaging that failed 

to conform to the requirements of either: 

(i) Part 178 1 subparts Land M1 of this subchapter at the 

Packing Group I or II performance level; or 

(ii) The performance criteria in Air Transport Association 

(ATA) Specification No. 300 for a Category I Shipping 

Container. 

c. Section 173.168(d) (2) (i) (49 C.F.R. § 173.168. (d) (2) (i)) 

in that it offered hazardous material for transportation in 

air commerce in packaging that failed to meet The Flame 

Penetration Resistance Test specified in Appendix E to part 

178. 

d. Section 173.168(d) (2) (ii) (49 C.F.R. § 

173.168. (d) (2) (ii)) in that it offered hazardous material for 

transportation in air commerce in packaging that failed to 

meet The Thermal Resistance Test specified in Appendix D to 

part 178. 

NOW, THEREFORE, IT IS ORDERED, pursuant to 49 U.S.C. § 

5123(a), that Atlantic be and is hereby, assessed a civil 

penalty of $77,000.00. 

Atlantic is hereby ordered to pay/ immediately, the 

assessed amount by mailing or delivering a certified check 1 

money order, or company check in the amount of $77,000.00 

payable to the "Federal Aviation Administration" addressed 

to: 

Federal Aviation Administration 

DOT/FAA MMAC AMZ-350 

PO BOX 25770 

Oklahoma City, Oklahoma 73125-5082 

ATTN: Sonny Rogers 

3 
'. 

As an alternative method of payment, civil penalties may be 

paid with a credit card at the following website: 

http://www.pay.gov 

The amount of civil penalty assessed in this order 

constitutes a debt owed to the United States. Atlantic has 

now exhausted its right to seek review of the validity or 

amount of this debt. If this debt is not paid in full within 

30 days of Atlantic's receipt of this letter, the debt is 

delinquent. 

For delinquent debts, federal regulation (49 C.F.R. § 

89.23) requires us to charge interest, from the date of this 

Order, at a fixed annual rate of 1.0%, along with an 

administrative charge of $12 per month, representing our 

costs of administrative collection. Furthermore, if the full 

amount assessed is not paid in full within 120 days of 

Atlantic's receipt of this letter, we are required to assess 

an additional penalty at an annual rate of 2.00%, accruing 

from the date of delinquency. 

Delinquent debts may be reported to consumer reporting 

agencies or commercial credit bureaus, which could adversely 

affect Atlantic's credit rating. Nonpayment of this debt may 

ultimately result in a referral to a collection agency, or 

the United States Department of Justice for enforced 

collection. 

Upon our receipt of Atlantic's payment in the amount of 

$77,000.00 Atlantic may consider this matter closed. 

ERIC E. ANDERSON 

Acting Regional Counsel 

Southw~'S' Region 

\~-;-:> :j~.~u // James Archier, Attorney 

/./ (817) 222-5074 (Phone) 

( / (817) 222-5945/5092 (Fax) 

cc: FAA/MMAC Accounts Receivable 

4 
-- •• 

CERTIFICATE OF SERVICE 

I certify that this order has been sent on July 24, 2012 by 

Federal Express to: 

Mr. Gerald F. Murphy, Esq. 

Crowell & Moring LLP 

1001 Pennsylvania Avenue, NW 

Washington, DC 20004 

/----

\ 

B~»- /' J mes Archier 

/ 

ederal Aviation Administration 

~ Office of the Regional Counsel 

~ Southwest Region 

~~ 2601 Meacham Blvd., 

Fort Worth, Texas 76137 

(817) 222-5074 

5 

Dated: July 24, 2012 
U.S. Deportment 

of Transportation 

Federal Aviation 

Administration 

June 19, 2012 

Via Federal Express 

Southwest Region 

-Arkansas, Louisiana, 

New Mexico, Oklahoma 

Texas 

Mr. Jeffrey P. Novota 

Attorney 

General Counsel Department 

Southwest Airlines 

P.O. Box 36611, HDQ-4GC 

2702 Love Field Drive 

Dallas, Texas 75235-1611 

Office of Regional Counsel, ASW-7 

2601 Meacham Blvd. 

Fort Worth, TX 76137 

(817) 222-5099 

(817) 222-5945/5092 FAX 

Re: Southwest Airlines Company, FAA Case No. 2011SW700155 

ORDER ASSESSING CIVIL PENALTY 

On February 17, 2012, the Federal Aviation Administration 

advised Southwest Airlines through an Amended Notice of Proposed 

Civil Penalty that it proposed to assess a civil penalty in the 

amount of $42,500. 

In order to avoid further litigation, the parties agreed to 

settle this case for $32,000 and Southwest Airlines has agreed 

to waive any further rights of appeal. This order constitutes a 

finding by the Federal Aviation Administration of the facts and 

regulatory violations contained herein. It is determined that: 

1. On or about May 25, 2011, Southwest Airlines accepted 

hazardous material from a ticketed passenger for air 

transportation in commerce from Orlando, Florida to Houston, 

Texas on Southwest Airlines flight 1104. 

2. The shipment consisted of a battery powered wheel chair. 

The battery powered wheel chair operated with two attached 

spillable batteries. 

3. The battery-powered wheel chair was transported on its side. 

4. The improper loading caused the release of battery fluid in 

the aircraft. 
j_ The proper shipping name for a battery powered wheel chair 

is Battery-Powered Vehicle, hazard class 9, UN3171. 

6. Battery-Powered Vehicle, hazard class 9, UN3171 is 

classified as a hazardous material under the Department of 

Transportation Hazardous Material Regulations (49 C.F.R. § 

172.101)-

7. At all relevant times, Southwest Airlines failed to conduct 

a visual inspection including removal of the batteries of the 

battery-powered wheel chair. 

8. At all relevant times, Southwest Airlines failed to store 

the batteries of the battery-powered wheel chair with spillable 

batteries in an upward position. 

9. By reason of the above, Southwest Airlines violated the 

following Department of Transportation Hazardous Materials 

Regulations (Title 49 of the Code of Federal Regulations): 

a. Section 171.2(f) (49 C.F.R. § 171.2(f)), in that Southwest 

Airlines accepted hazardous material for transportation in air 

commerce without exercising reasonable care by performing an 

inspection of the hazardous material. 

b. Section 175.10(a) (16) (49 C.F.R. § 175.10. (a) (16)), in that 

Southwest Airlines accepted hazardous material for 

transportation in air commerce without conducting a visual 

inspection including removing the batteries of a wheelchair. 

c. Section 175.88(b) (49 C.F.R. § 175.88.(b))), in that 

Southwest Airlines accepted hazardous material for 

transportation in air commerce of a package without orientation 

markings containing liquid hazardous materials without storing 

and loading the top closures in an upward position. 

NOW, THEREFORE, IT IS ORDERED, pursuant to 49 U.S.C. § 

5123(a), that Southwest Airlines be and is hereby, assessed a 

civil penalty of $32,000.00. 

Southwest Airlines is hereby ordered to pay, immediately, 

the assessed amount by mailing or delivering a certified check, 

money order, or company check in the amount of $32,000.00 

payable to the "Federal Aviation Administrationu addressed to: 

2 
-- .--

Federal Aviation Administration 

DOT/FAA MMAC AMZ-350 

PO BOX 25770 

Oklahoma City, Oklahoma 73125-5082 

ATTN: Sonny Rogers 

As an alternative method of payment, civil penalties may be paid 

with a credit card at the following website: http://www.pay.gov 

The amount of civil penalty assessed in this order constitutes a 

debt owed to the United States. Southwest Airlines has now 

exhausted its right to seek review of the validity or amount of 

this debt. If this debt is not paid in full within 30 days of 

Southwest Airlines' receipt of this letter, the debt is 

delinquent. 

For delinquent debts, federal regulation (49 C.F.R. § 

89.23) requires us to charge interest, from the date of this 

Order, at a fixed annual rate of 1.0%, along with an 

administrative charge of $12 per month, representing our costs 

of administrative collection. Furthermore, if the full amount 

assessed is not paid in full within 120 days of Southwest 

Airlines' receipt of this letter, we are required to assess an 

additional penalty at an annual rate of 2.00%, accruing from the 

date of delinquency. 

Delinquent debts may be reported to consumer reporting 

agencies or commercial credit bureaus, which could adversely 

affect Southwest Airlines' credit rating. Nonpayment of this 

debt may ultimately result in a referral to a collection agency, 

or the United States Department of Justice for enforced 

collection. 

3 
• 

Upon our receipt of Southwest Airlines' payment in the 

amount of $j2,000.00 Southwest Airlines may consider this matter 

closed. 

ERIC E. ANDERSON 

Acting Regional Counsel 

Southwest Region 

Archier, Attorney 

222-5074. (Phone) 

222-5945/5092 (Fdx) 

4 
CERTIFICATE OF SERVICE 

I certify that this order has been sent on June 19, 2012 by 

Federal Express to: 

Ja es Archier 

Mr. Jeffrey P. Novota 

Attorney 

General Counsel Department 

Southwest Airlines 

P.O. Box 36611, HDQ-4GC 

2702 Love Field Drive 

Dallas, Texas 75235-1611 

Dated: June 19, 2012 

ederal Aviation Administration 

Office of the Regional Counsel 

Southwest Region 

2601 Meacham Blvd., 

Fort Worth, Texas 76193-0007 

(817) 222-5074 

5 
U.S. Deportment 

of Transportation 

Federal Aviation 

Administration 

January 24, 2012 

Via Federal Express 

Southwest Region 

Arkansas, Louisiana, 

New Mexico, Oklahoma 

Texas 

Mr. Michael R. Atadika 

Atadika & Atadika 

Attorneys and Counselors at Law 

Lincoln Building 

60 East 42"d Street 

New York, New York 10165 

• 

Office of Regional Counsel, ASW-7 

2601 Meacham Blvd. 

Fort Worth, TX 76137 

(817) 222-5099 

{817) 222-5945/5092 FAX 

Re: Ethiopian Airlines, FAA Case No. 2011SW700182 

ORDER ASSESSING CIVIL PENALTY 

On November 10, 2011, the Federal Aviation Administration 

advised Ethiopian Airlines through a Notice of Proposed Civil 

Penalty that it proposed to assess a civil penalty in the amount 

of $195,000. On January 24, 2012, the Federal Aviation 

Administration advised Ethiopian Airlines through a Final Notice 

of Proposed Civil Penalty that it proposed to assess a civil 

penalty in the amount of $195,000. 

In order avoid further litigation, the parties have agreed 

to settle this case for $160,000 and Ethiopian Airlines has 

agreed to waive any furthe~ rights of appeal. This order 

constitutes a finding by the Federal Aviation Administration of 

the facts and regulatory violations contained herein. It is 

determined that: 

1. On or about June 14, 2011, Ethiopian Airlines knowingly 

offered hazardous material to DHL Express for transportation by 

air from Addis Ababa, Ethiopia to Dallas, Texas. 

2. The shipment consisted of a passenger service unit assembly 

with an undeclared oxygen generator. 

3. The passenger service unit assembly with an undeclared 

oxygen generator was contained inside of one wooden box with 

metal framing. 
• 

4. No identification markings or labels were on the exterior of 

the wooden box. 

5. Oxygen Generator, Chemical is classified as a hazardous 

material under the Department of Transportation Hazardous 

Material Regulations (49 C.F.R. § 172.101). 

6. The proper shipping name for an unspent oxygen generator is 

"Oxygen generator, chemicalu. It is in DOT Hazard Division 5.1. 

It has an identification number of UN3356, and is in packing 

group II. Its proper labels are OXIDIZER and CARGO AIRCRAFT 

ONLY. 

7. Ethiopia Airlines sent the shipment from Addis Ababa, 

Ethiopia to Dallas, Texas via DHL Express air waybill number 

1304455353. 

8. The consignee was Boeing Dallas Service Center, 2750 Regent 

Blvd., DFW Airport, Texas 75261. 

9. At all times mentioned herein, the shipment was not 

accompanied by hazardous materials shipping papers. 

10. At all times mentioned herein, the shipment was not packaged 

in specification packaging, did not contain markings or labels 

to identify the contents or handling precautions. Further, 

there was no evidence that the packaging had been approved for 

transporting an oxygen generator. 

11. At all times mentioned herein, the shipment was not properly 

marked with the appropriate approval authorization number on the 

outside of the package. 

12. The Ethiopian Airline's HAZMAT employee who offered the 

shipment for transportation by air was not provided with the 

training required by subpart H of Part 172 of the hazardous 

material regulations. 

13. At all times mentioned herein, the shipment was not properly 

classed, described, packaged, marked, labeled, and in a 

condition for shipment as required or authorized by applicable 

requirements of the hazardous material regulations or an 

exemption or special permit, approval, or registration issued 

under the hazardous material regulations. 

14. At all times mentioned herein, Ethiopian Airlines offered an 

oxygen generator for shipment by air and failed to: (1) ensure 

2 
• • 

that it was offered in conformance with the conditions of the 

approval; (2) maintain a copy of the approval at each facility 

where the chemical oxygen generator is packaged; and (3) mark 

the approval number on the outside of the package. 

15. Ethiopian Airlines offered hazardous material for shipment 

by air and failed to include in the shipping papers an emergency 

response telephone number or the identity of the person (by name 

or contract number) who has a contractual agreement with the 

service provider, as prescribed in subpart G of Part 172. 

16. Ethiopian Airlines offered the above-described shipment of 

hazardous material for transportation by air when the shipping 

papers did not include: 

(a) the identification number prescribed for the material; 

(b) the proper shipping name prescribed for the material; 

(c) the hazard class or division number prescribed for the 

material; 

(d) the packing group, in Roman numerals, prescribed for 

the material; 

and; 

(e) the total net mass per package or gross mass per 

package; 

(f) total quantity of hazardous material; 

(g) the number and type of packages comprising 

the shipment of hazardous materials; 

17. Ethiopian Airlines offered hazardous material for 

transportation by air and failed to provide a statement on the 

shipping paper that the shipment was within the limitations 

prescribed for either passenger and cargo aircraft or cargo 

aircraft only. 

18. Ethiopian Airlines offered hazardous material for 

transportation by air and failed to certify by printed 

certification, in the manner allowed by 49 C.F.R. §§ 

172.204(a) (1) or 172.204(a) (2) or§ 172.204(c) (1} that the 

material was offered for transportation in accordance with the 

hazardous material regulations. 

3 
• • 

19. Ethiopian Airlines offered hazardous material for 

transportation by air and failed to provide two copies of the 

certification showing that the materials were in accordance with 

the certification set forth in§ 172.204(a)(1),(2) or§ 

172.204 (c) (1) of the hazardous material regulations. 

20. Ethiopian Airlines offered hazardous material for 

transportation by air and failed to add to the certification 

required in this section the following statement: "I declare 

that all of the applicable air transport requirements have been 

met." 

21. Ethiopian Airlines offered hazardous material for 

transportation by air and failed to obtain the certifications 

required by (a) or (c) of this section which require legibly 

signed certification by a principal, officer, partner, or 

employee of the shipper or his agent. 

22. Ethiopian Airlines offered hazardous material for 

transportation by air failed to mark the package with the proper 

shipping name and identification number (preceded by "UN", "NA11 

or "ID," as appropriate) for the material as shown in the§ 

172.101 Table. 

23. Ethiopian Airlines offered hazardous material for shipment 

by air and failed to label the package or containment device 

with the label specified in Section 172.101 Table and Subpart E 

of the hazardous material regulations. 

24. Ethiopian Airlines offered hazardous material for shipment 

by air which was authorized on cargo aircraft only failed to 

label the package with a CARGO AIRCRAFT ONLY label specified in 

section 172.488 of subpart E (Labeling) of the HMR. 

25. Ethiopian Airlines offered hazardous material for shipment 

by air and failed to make emergency response information 

immediately available for use at all times the hazardous 

material was present. 

26. Ethiopian Airlines offered hazardous material for shipment 

by air offered hazardous material for transportation by air and 

failed to make emergency response information, including 

emergency response telephone number, required by this subpart 

immediately available to any person who, as a representative of 

a Federal, State, or local government agency, responds to an 

4 
• 

incident involving a hazardous material, or is conducting an 

investigation which involves a hazardous material. 

27. At all times mentioned herein, Ethiopian Airlines offered 

the above-described shipment of hazardous materials for 

transportation by air, without providing an emergency response 

information conforming to Subpart G, 24-hour emergency telephone 

number and emergency response information complying with section 

17 2. 602 (a) ( 1)- ( 7) . 

28. Ethiopian Airlines offered hazardous material for 

transportation by air and failed to provide emergency response 

information immediately available for use away from the package 

containing the hazardous material. 

29. Ethiopian Airlines offered hazardous material for 

transportation by air when emergency response information was 

not presented on a shipping paper, in a document other than the 

shipping paper, related to the information on a shipping paper, 

a written notification to pilot in command, or a dangerous cargo 

manifest, in a separate document. 

30. Ethiopian Airlines failed to provide an emergency response 

telephone number (including area code) for use in the event of 

an emergency involving hazardous material that is monitored at 

all times that the material is in transportation, including 

storage incidental to transportation. 

31. Ethiopian Airlines offered hazardous material for 

transportation by air and failed to provide an emergency 

response telephone number of a person knowledgeable of the 

hazardous material being shipped and who has comprehensive 

emergency response and incident mitigation information for that 

material, or has immediate access to a person possessing such 

knowledge and information. 

32. Ethiopian Airlines offered hazardous material for 

transportation by air and failed to provide an emergency 

response telephone number, for use in the event of an emergency 

involving the hazardous material, and entered on a shipping 

paper immediately following the description of the hazardous 

material required by subpart C of this part, or entered once on 

the shipping paper .in a clearly visible location. 

33. Ethiopian Airlines offered hazardous material for 

transportation by air and failed to train each HAZMAT employee. 

5 
e-

\ 

34. Ethiopian Airlines offered hazardous material for 

transportation by air and failed to class and describe the 

hazardous material in accordance with parts 172 and 173 of 

Subpart B, Preparation of Hazardous Materials for 

Transportation. 

35. By reason of the foregoing facts and circumstances, 

Ethiopian Airlines violated the following sections of the 

Department of Transportation Hazardous Materials Regulations (49 

C.F.R. § 171 et.seq. 

a. Section 171.2(e) (49 C.F.R. § 171.2(e)), in that it 

offered hazardous material for transportation in commerce when 

the material was not properly classed, described, packaged, 

marked, labeled, and in a condition for shipment as required or 

authorized by applicable requirements of the hazardous material 

regulations or an exemption or special permit, approval, or 

registration issued under the hazardous material regulations. 

b. Section 172.102(c)(1), (49 C.F.R. § 172.102(c)) 

Special Provision 60, which states each person who offers a 

chemical oxygen generator for transportation after September 30, 

1997, shall: (1) ensure that it is offered in conformance with 

the conditions of the approval; ( 2) maintain a copy of the 

approval at each facility where the chemical oxygen generator is 

packaged; and (3) mark the approval number on the outside of the 

package. 

c. Section 172.200(a), (49 C.F.R. § 172.200(a)) which 

requires that each person who offers a hazardous material for 

transportation shall describe the hazardous material on shipping 

papers in the manner required by Subpart C of Part 172 of the 

HMR (Shipping Papers) . 

d. Section 172.201(d), (49 C.F.R. § 172.201(d)) which 

requires that each person who offers hazardous material for 

transportation must include in shipping papers an emergency 

response telephone number and if utilizing an emergency response 

information telephone number service provider, identify the 

person (by name or contract number) who has a contractual 

agreement with the service provider, as prescribed in subpart G 

of Part 172. 

e. Section 172.202(a) (1), ((49 C.F.R. § 172.202(a) (1)) in 

that it offered hazardous material for transportation in air 

commerce when the required hazardous material description on the 

shipping papers did not include the identification number 

6 
prescribed for the material as shown in Column 4 of the § 

172.101 Table. 

f. Section 172.202(a) (2), (49 C.F.R. § 172.202(a) (2)) in 

that it offered hazardous material for transportation in air 

commerce when the required hazardous material description on the 

shipping papers did not include the proper shipping name 

prescribed for the material in Column 2 of the § 172.101 Table. 

g. Section 172.202(a) (3), (49 C.F.R. § 172.202(a) (3)) in 

that it offered hazardous material for transportation in air 

commerce when the required shipping papers did not include the 

hazard class or division number prescribed for the material, as 

shown in Column (3) in the Hazardous Materials Table, referenced 

in section 172.101. 

h. Section 172.202(a) (4) (49 C.F.R. § 172.202(a) (4)) in 

that it offered hazardous material for transportation in air 

commerce when the required shipping papers did not include the 

Packing Group, in Roman numerals, prescribed for the material in 

Column 5 of the§ 172.101 Table. 

i. Section 172.202(a) (6) (49 C.F.R. § 172.202(a) (6)) in 

that it offered hazardous material for transportation in air 

commerce and failed to describe on the shipping papers the total 

net mass per package, unless a gross mass is indicated in 

Columns (9A) or (9B) of the§ 172.101 Table in which case the 

total gross mass per package must be shown; or for class 7 

materials, the quantity of radioactive material must be shown by 

activity. 

j. Section 172.202(a) (7) (49 C.F.R. § 172.202(a) (7)) in 

that it offered hazardous material for transportation in air 

commerce and failed to describe on the shipping papers the 

number and type of packages by description of the package. 

k. Section 172.203(f), (49 C.F.R. § 172.203(f)) which 

states that a statement indicating that the shipment was within 

the limitations prescribed for either passenger and cargo 

aircraft or cargo aircraft only must be entered on the shipping 

papers. 

1. Section 172.204(a) (49 C.F.R. § 172.204(a)) in that it 

offered hazardous material for transportation by air and failed 

to certify by printed certification, in the manner allowed by 49 

C.F.R. §§ 172.204(a) (1) or 172.204(a) (2) or§ 172.204(c) (1) that 

7 
• 

the material was offered for transportation in accordance with 

the hazardous material regulations. 

m. Section 172.204(c) (2) (49 C.F.R. § 172.204(c) (2) in 

that it offered hazardous material for transportation by air 

when it failed to provide two copies of the certification 

showing that the materials were in accordance with the 

certification set forth in§ 172.204(a) (1) (2) or§ 172.204(c) (1) 

of the hazardous materials regulations. 

n. Section 172.204(c) (3), (49 C.F.R. § 172.204(c) (3) in 

that it offered hazardous material for transportation by air 

when it failed to add to the certification required in this 

section the following statement: "I declare that all of the 

applicable air transport requirements have been met.u 

o. Section 172.204 (d), (49 C.F.R. § 172.204 (d)) in that 

it offered hazardous material for transportation by air and 

failed to obtain the certifications required by (a) or (c) of 

this section which require legibly signed certification by a 

principal, officer, partner, or employee of the shipper or his 

agent. 

p. Section 172.300 (49 C.F.R. § 172.300), which requires 

that each person offering a hazardous material for 

transportation to properly mark each package, freight container, 

and transport vehicle containing the hazardous material in the 

manner required by the hazardous material regulations. 

q . Section 1 7 2 . 3 0 1 (a) ( 4 9 C . F . R . § 1 7 2 . 3 0 1 (a ) ) in that it 

offered a hazardous material for transportation in air commerce 

in non-bulk packaging and failed to mark the package with the 

proper shipping name and identification number (preceded by 

"UN", "NA" or "ID," as appropriate) for the material as shown in 

the § 172.101 Table. 

r. Section 172.400(a) (49 C.F.R. § 172.400(a)) in that it 

offered hazardous material requiring labeling under the 

hazardous material regulations for transportation in air 

commerce and failed to label the package or containment device 

with the label specified in Section 172.101 Table and Subpart E 

of the hazardous material regulations 

s. Section 172.402(c), which states that each person who 

offers for transportation or transports by aircraft a package 

containing a hazardous material which is authorized on cargo 

aircraft only shall label the package with a CARGO AIRCRAFT ONLY 

8 
--\ 

label specified in section 172.488 of subpart E (Labeling) of 

the Hl'1R. 

t. Section 172.600 (49 C.F.R. § 172.600)), which requires 

that each person offering a hazardous material for 

transportation to provide and maintain emergency response 

information during transportation and at the facility where 

hazardous materials are loaded for transportation, stored 

incidental to transportation or otherwise handled during any 

phase of transportation. 

u. Section 172.600(c) (1)) (49 C.F.R. § 172.600(c) (1)) in 

that it offered hazardous material for transportation by air and 

failed to make emergency response information immediately 

available for use at all times the hazardous material was 

present. 

v. Section 172.600(c) (2)) (49 C.F.R. § 172.600(c) (2)) in 

that it offered hazardous material for transportation by air and 

failed to make emergency response information, including 

emergency response telephone number, required by this subpart 

immediately available to any person who, as a representative of 

a Federal, State, or local government agency, responds to an 

incident involving a hazardous material, or is conducting an 

investigation which involves a hazardous material. 

w. Section 172.602(a), in that it offered hazardous 

material for transportation by air and failed to make the 

following information available: (1) the basic description and 

technical name of the hazardous material as required by 

subsections 172.202 and 172.203(k), the ICAO Technical 

Instructions, the IMDG Code, or the TOG Regulations, as 

appropriate; (2) immediate hazards to health; (3) risks of fire 

or explosion; (4) immediate precautions to be taken in the event 

of an accident or incident; (5) immediate methods for handling 

fires; (6) initial methods for handling spills or leaks in the 

absence of fire; and (7) preliminary first aid measures. 

x. Section 172.602(b) (2)) (49 C.F.R. § 172.602(b) (2)) in 

that it offered hazardous material for transportation by air and 

failed to provide an emergency response information immediately 

available for use away from the package containing the hazardous 

material. 

y. Section 172.602(b) (3) (i)) (49 C.F.R. § 172.602(b) (3) (i) 

in that it offered hazardous material for shipment by air when 

emergency response information was not presented on a shipping 

9 
• • 

paper, in a document other than the shipping paper, related to 

the information on a shipping p~per, a written notification to 

pilot in command, or a dangerous cargo manifest, in a separate 

document. 

z. Section 172.604(a) (1)) (49 C.F.R. § 172.604(a) (1)) in 

that it offered hazardous material for shipment by air and 

failed to provide an emergency response telephone number 

(including area code) for use in the event of an emergency 

involving hazardous material that is monitored at all times that 

the material is in transportation, including storage incidental 

to transportation. 

aa. Section 172.604(a) (2)) (49 C.F.R. § 172.604(a) (2)) in 

that it offered hazardous material for transportation by air and 

failed to provide an emergency response telephone number of a 

person knowledgeable of the hazardous material being shipped and 

who has comprehensive emergency response and incident mitigation 

information for that material, or has immediate access to a 

person possessing such knowledge and information. 

bb. Section 172.604(a) (3)) (49 C.F.R. § 172.604(a) (3)) in 

that it offered hazardous material for transportation by air and 

failed to provide an emergency response telephone number, for 

use in the event of an emergency involving the hazardous 

material, and entered on a shipping paper immediately following 

the description of the hazardous material required by subpart C 

of this part, or entered once on the shipping paper in a clearly 

visible location. 

cc. Section 172.702(a)) (49 C.F.R. § 172.702(a)) in that it 

offered hazardous material for transportation by air and failed 

to train the HAZMAT employee who offered the shipment. 

dd. Section 173.1(b) (49 C.F.R. § 173.1(b), which 

prohibits the shipment of hazardous material by air that was not 

packed in packaging specified in Part 173. 

ee. Section 173.22(a) (1)) (49 C.F.R. § 173.22(a) (1)) in 

that it offered hazardous material for shipment by air and 

failed to class and describe the hazardous material in 

accordance with parts 172 and 173 of Subpart B, Preparation of 

Hazardous Materials for Transportation. 

NOW, THEREFORE, IT IS ORDERED, pursuant to 49 U.S.C. § 

5123(a), that Ethiopian Airlines be and is hereby, assessed a 

civil penalty of $160,000.00. 

10 
• 

Ethiopian Airlines is hereby ordered to pay, immediately, 

the assessed amount by mailing or delivering a certified check, 

money order, or company check in the amount of $160,000.00 

payable to the "Federal Aviation Administrationn addressed to: 

Federal Aviation Administration 

DOT/FAA MMAC AMZ-350 

PO BOX 25770 

Oklahoma City, Oklahoma 73125-5082 

ATTN: Sonny Rogers 

As an alternative method of payment, civil penalties may be paid 

with a credit card at the following website: http://www.pay.gov 

The amount of civil penalty assessed in this order constitutes a 

debt owed to the United States. Ethiopian Airlines has now 

exhausted its right to seek review of the validity or amount of 

this debt. If this debt is not paid in full within 30 days of 

Ethiopian Airlines' receipt of this letter, the debt is 

delinquent. 

For delinquent debts, federal regulation (49 C.F.R. § 

89.23) requires us to charge interest, from the date of this 

Order, at a fixed annual rate of 1.0%, along with an 

administrative charge of $12 per month, representing our costs 

of administrative collection. Furthermore, if the full amount 

assessed is not paid in full within 120 days of Ethiopian 

Airlines' receipt of this letter, we are required to assess an 

additional penalty at an annual rate of 2.50%, accruing from the 

date of delinquency. 

Delinquent debts may be reported to consumer reporting 

agencies or commercial credit bureaus, which could adversely 

affect Ethiopian Airlines' credit rating. Nonpayment of this 

debt may ultimately result in a referral to a collection agency, 

or the United States Department of Justice for enforced 

collection. 

I I 
•• 

Upon our receipt of Ethiopian Airlines' payment in the 

amount of $160,000.00 Ethiopian Airlines may consider this 

matter closed. 

DAVID DONNELL 

Regional Counsel 

Sou thwe)Reg ion 

By: /111¢1 ~ Jam~s Archier, Attorney 

(8/7) 222-5074 (Phone) 

~17) 222-5945/5092 (Fax) 

(/ 

cc: FAA/MMAC Accounts Receivable 

CERTIFICATE OF SERVICE 

I certify that this order has been sent on January 24, 2012 by 

Federal Express to: 

Mr. Michael R .. Atadika 

Atadika & Atadika 

Attorneys and Counselors at Law 

Lincoln Building 

60 East 42nd Street 

New York, New York 10165 

~/' 

lft?j ~£_--~~~~--~~--~L--

ames Archier 

·/ Fed>ral Aviation Administration 

Qifice of the Regional Counsel 

/ /'Southwest Region 

~ 2601 Meacham Blvd., 

Fort Worth, Texas 76193-0007 

(817) 222-5074 

12 

Dated: January 24, 2012 
U.S. Department 

of Transportation 

Federal Aviation 

Administration 

• 

Southwest Region 

Arkansas, Louisiana, 

New Mexico, Oklahoma 

Texas 

CERTIFIED MAIL- RETURN RECEIPT REQUESTED 

Cynthia A. Chandler-Snell, Esq. 

Senior Attomey 

Regulatory Affairs 

Legal Department 

Federal Express Corporation 

3620 Hacks Cross Road 

Building B, 3rd Floor 

Memphis, TN 38125 

Re: EIR 2011 SW700093 (HazMat) 

Office of Regional Counsel 

2601 Meacham Blvd 

Fort Worth, TX 76137 

(817) 222-5099 

(817) 222-5945/5092 FAX 

ORDER ASSESSING CIVIL PENALTY 

On or about July 15, 2011, Federal Express Corporation (FedEx) was advised through a 

Notice of Proposed Civil Penalty that the Federal Aviation Administration (FAA) proposed 

to assess a civil penalty in the amount of$32,500. On October 12, 2011 an infonnal 

conference was held between FedEx and the FAA following which the parties ultimately 

agreed to settle the agency's hazardous materials enforcement matter for the sum of 

$24,500. 

THEREFORE, it has been determined that: 

1. Federal Express Corporation (FedEx), a U.S. all-cargo carrier, holds Air Carrier 

Operating Certificate No. FDEA140A with operation specifications authorizing it to 

operate in air transportation under Part 121 of the Federal Aviation Regulations. 

2. On or about February 1, 2011, a Federal Aviation Administration (FAA) Special Agent 

conducted an inspection at FedEx's facility located at 1500 Westpark Drive, Little Rock, 

Arkansas. 

3. During review ofFedEx's shippers' declaration retention file, the Special Agent 

discovered that FedEx accepted shipments ofhazardous materials from Environmental 

Services Company, Inc. for transportation in air commerce when the shipments were not 

prepared for shipment in accordance with the Department of Transportation Hazardous 

Materials Regulations (HMR) as follows: 
• 

a. On or about October 18, 2010, FedEx accepted a shipment of Potassium 

pennanganate under assigned Air Waybill 796345167105. Potassium 

pem1anganate is in Hazard Class 5.1 (Oxidizer) and has an assigned 

identification number UN1490. However, the shipping paper improperly 

identified the material hazard class as 8 (CoiTosive material). 

2 

b. On or about October 18, 2010, FedEx accepted a shipment of Nitric Acid (other 

than red fuming, 5% concentration) under assigned Air Waybill 794012892455. 

Nitric acid is in Hazard Class 8 (CmTosive material) and has an assigned 

identification number UN2031. The quantity ofthe material shown on the 

shipping papers was 2.5 L. The shipping papers improperly showed the quantity 

of the material to be within the limit allowed for transportation aboard passenger 

aircraft, i.e., 1 L, when, in fact, the quantity of the material exceeded the limit 

allowed for transportation on passenger aircraft. 

c. On or about October 18,2010, FedEx accepted a shipment ofNitric Acid (other 

than red fuming, 5% concentration) under assigned Air Waybill 796345436939. 

Nitric acid is in Hazard Class 8 (Corrosive material) and has an assigned 

identification number UN2031. The quantity of the material shown on the 

shipping papers was 2.5 L. The shipping papers improperly showed the quantity 

of the material to be within the limit allowed for transpmiation aboard passenger 

aircraft, i.e., 1 L, when, in fact, the quantity of the material exceeded the limit 

allowed for transportation on passenger aircraft. 

d. On or about October 18, 2010, FedEx accepted a shipment ofNitric Acid (other 

than red fuming, 5% concentration) under assigned Air Waybill 794012818136. 

Nitric acid is in Hazard Class 8 (Corrosive material) and has an assigned 

identification number UN2031. The quantity of the material shown on the 

shipping papers was 2.5 L. The shipping papers improperly showed the quantity 

of the material to be within the limit allowed for transportation aboard passenger 

aircraft, i.e., 1 L, when, in fact, the quantity of the material exceeded the limit 

allowed for transportation on passenger aircraft. 

e. On or about October 18, 2010, FedEx accepted a shipment of Nitric Acid (other 

than red fuming, 5% concentration) under assigned Air Waybill 794012759383. 

Nitric acid is in Hazard Class 8 (Corrosive material) and has an assigned 

identification number UN2031. The quantity of the material shown on the 

shipping papers was 2.5 L. The shipping papers improperly showed the quantity 

of the material to be within the limit allowed for transportation aboard passenger 

aircraft, i.e., 1 L, when, in fact, the quantity of the material exceeded the limit 

allowed for transportation on passenger aircraft. 

f. On or about October 25, 2010, FedEx accepted a shipment ofFlammable liquid, 

toxic, n.o.s. (Acetone/Toluene) under assigned Air Waybill 796375297331. 

Flammable liquid, toxic, n.o.s. has an assigned identification number UN1992. 
/ • 

The shipping papers improperly identified the number as 1993 and improperly 

omitted "UN" before the number. 

,.., 

.) 

g. On or about October 25, 2010, FedEx accepted a shipment of Flammable liquid, 

toxic, n.o.s. (Acetone/Toluene) under assigned Air Waybill 796375297331. 

Flammable liquid, toxic, n.o.s. has an assigned identification number UN1992. 

Flammable liquid, toxic, n.o.s. is in Hazard Class 3 (Flammable and combustible 

liquid) and the shipping paper identified the material as being in Packing Group 

II. The shipping paper improperly failed to include the required toxic subsidiary 

class or division number (6.1) in parentheses following the primary hazard class 

number. 

h. On or about October 25, 2010, FedEx accepted a shipment ofFlammable liquid, 

toxic, n.o.s. (Acetone/Dichloromethane) under assigned Air Waybill 

796375182575. Flammable liquid, toxic, n.o.s. as an assigned identification 

number UN1992. The shipping papers improperly identified the number as 1993 

and improperly omitted "UN" before the numbers. 

1. On or about October 25, 2010, FedEx accepted a shipment of Flammable liquid, 

toxic, n.o.s. (Acetone/Dichloromethane) under assigned Air Waybill 

796375182575: Flammable liquid, toxic, n.o.s. has an assigned identification 

number UN1992. Flammable liquid, toxic, n.o.s. is in Hazard Class 3 

(Flammable and combustible liquid) and the shipping paper identified the 

material as being in Packing Group II. The shipping paper improperly failed to 

include the required toxic subsidiary class or division number ( 6.1) in 

parentheses following the primary hazard class number. 

By reason ofthe foregoing, FedEx violated the following Department of Transportation 

Hazardous Materials Regulations: 

a. Section 175.3 [49 C.P.R.§ 175.3) in that it accepted hazardous materials for 

transportation aboard an aircraft when that material had not been prepared for 

shipment in accordance with the HMR. 

b. Section 175.30(a)(l) [ 49 C.P.R. § 175.30(a)(l )] in that it accepted hazardous 

material for transportation aboard an aircraft and failed to ensure that the 

materials were authorized and within the quantity limitations specified for 

caniage aboard an aircraft according to § 172.101 of the HMR. 

c. Section 175.30(a)(2) [ 49 C.P.R. § 175.30(a)(2)] in that it accepted hazardous 

material for transportation aboard an aircraft and failed to ensure that the material 

was described on a shipping paper in accordance with part 172 of the HMR. 
• 4 

NOW, THEREFORE, IT IS ORDERED, pursuant to Section 5123(a) ofthe federal 

hazardous materials transpmiation law, (49 U.S.C. § 5123(a)), that Fed Ex be, and hereby is, 

assessed a civil penalty in the amount of $24,500. 

Fed Ex is directed to pay the assessed amount by mailing or delivering a certified check, 

money order, or company check in the amount of $24,500 payable to the "Federal Aviation 

Administration" addressed to: 

Federal Aviation Administration 

Mr. Sonny Rogers, 

FAAIMMAC/AR, AMZ-350-SW 

P.O. Box 25770 

Oklahoma City, OK 73125-4915 

Please be sure to indicate the Case Number on the front of your check. 

We also accept payment by VISA or MasterCard. If you choose to make payment using the 

charge card method, check the appropriate box on the attached reply form and include the 

cardholder's name and credit card number. In the alternative, you may pay your civil 

penalty with a credit card over the Intemet. To pay electronically, visit the web site at 

https://www.pay.gov. For questions regarding electronic payments please contact FAA 

Account Receivable office at 1-405-954-4719 

The amount of civil penalty assessed in this Order constitutes a debt owed to the United 

States. Ifthis debt is not paid within 30 days ofFed Ex's receipt ofthis letter, the debt is 

delinquent. 

For delinquent debts, federal regulation (49 C.F.R. § 89.23) requires us to charge interest, 

from the date of this Order, at a fixed annual rate of 1.0%, along with an administrative 

charge of $12 per month, representing our costs of administrative collection. Furthermore, 

if the full amount assessed is not paid in full within 120 days of receipt of this letter, we are 

required to assess an additional penalty at an annual rate of 2.50%, accruing from the date 

of delinquency. 

DAVID L. DONNELL 

Regional Counsel 

Southwest Region 

By 

ric E. Anderson 

Attorney 

817.222.5078 

817.222.5092 (FAX) 
CERTIFICATE OF SERVICE 

I certify that this Order Assessing Civil Penalty has been sent this date via certified mail, 

return receipt requested, to: 

Marquitt obinson 

Paralegal Specialist 

December 5, 2011 

Mr. Cynthia A. Chandler-Snell, Esq. 

Senior Attorney 

Regulatory Affairs 

Legal Affairs 

Federal Express Corporation 

3620 Hacks Cross Road 

Building B, 3rd Floor 

Memphis, TN 3 8125 
U.S. Department 

of Transportation 

Federal Aviation 

Administration 

June 15, 2011 

Via Federal Express 

Southwest Region 

Arkansas, Louisiana, 

New Mexico, Oklahoma 

Texas 

Mr. Barry Brown 

Associate General Counsel 

Operations & Environment 

Southwest Airlines 

P.O. Box 36611 

2702 Love Field Drive 

Dallas, Texas 75235-1611 

Office of Regional Counsel, ASW-7 

2601 Meacham Blvd. 

Fort Worth, TX 76137 

(817) 222-5099 

(817) 222-5945/5092 FAX 

Re: Southwest Airlines Company, FAA Case No. 2010SW700184 

ORDER ASSESSING CIVIL PENALTY 

On February 23, 2011, Southwest Airlines Company was 

advised through an Amended Notice of Proposed Civil that the 

Federal Aviation Administration proposed to assess a civil 

penalty in the amount of $78,000.00. 

In order to avoid further litigation, the parties have 

agreed to settle this case for $62,000.00 and Southwest 

Airlines Company has agreed to waive any further rights of 

appeal. This order constitutes a finding by the Federal 

Aviation Administration of the facts and regulatory violations 

contained herein. It is determined that: 

1. On or about June 30, 2010 Southwest Airlines Company 

("Southwest") offered FedEx Corporation a package containing 

hazardous material for transportation by air from Dallas, Texas 

to Loves Park, Illinois. 

2. The shipment consisted of an aircraft main engine fuel 

control unit that contained fuel. Tag number 303273 was 

attached to the aircraft main engine fuel control unit. Written 

on this tag number 303273 was the language "NEEDS TO BE 

DRAINED". 

3. The aircraft main engine fuel control unit was inside of a 

fiberboard box. 
4. An aircraft main engine fuel control unit that contains fuel 

is classified as a hazardous material under the Department of 

Transportation Hazardous Material Regulations (49 C.F.R. § 

172.101). 

5. The proper shipping name for an aircraft main engine fuel 

control unit that contains fuel is Dangerous Goods in Machinery. 

It is a hazard class 9. Its UN identification number is UN3363. 

6. At all times mentioned herein, the above described box was 

not marked with the proper shipping name or UN identification 

number of the hazardous material. 

7. At all times mentioned herein, the above described box was 

not labeled with the proper hazardous material labels, was not 

accompanied by a shipper's declaration of dangerous goods, 

shipper's certification or other proper shipping documents 

containing the information, including emergency response 

information, required by the hazardous material regulations, and 

was not otherwise in a condition for transportation by air as 

required by the hazardous material regulations. 

8. The shipment was sent via FedEx "Express Saver" US air bill 

number 9757 0088 0799. The air bill did not identify the 

contents of the package. 

9. The shipper was listed as Shipping Dept., SWA/0204043, 2630 

Shorecrest Drive, Dallas, Texas 75235. 

10. The consignee was Rocky Garst, Woodward Governor Co., 

Aircraft Product Service Center, 5001 North 2nct Street, Loves 

Park, Illinois 61111-5808. 

11. The shipment was discovered leaking at the FedEx Alliance 

Regional Cargo Sort Center in Fort Worth, Texas. 

12. Southwest offered hazardous material for transportation by 

air when the material was not properly classed, described, 

packaged, marked, labeled, and in a condition for shipment as 

required or authorized by applicable requirements of the 

hazardous material regulations. 

13. Southwest offered hazardous material for transportation by 

air when the shipping papers did not include: 

(a) the identification number prescribed for the 

material as shown in Column (4) of the§ 172.101 

2 
table; 

(b) the proper shipping name prescribed for the 

material in Column (2) of the § 172.101 table; 

(c) the hazard class or division number prescribed 

for the material, as shown in Column (3) of the 

§ 172.101 table; 

(d) the packing group in Roman numerals, as 

designated for the hazardous material in Column (5) of 

the§ 172.101 table; 

(e) the total net mass per package, must be shown 

unless a gross mass is indicated in Columns (9A) 

or (9B) of the § 172.101 table in which case the total 

gross mass per package must be shown; 

(f) An estimate of the individual total quantities or an 

estimate of the individual total quantity of dangerous 

goods in its liquid state contained in the article. 

(g) the number and type of packages must be 

indicated. 

14. Southwest offered hazardous material for transportation by 

air and failed to certify by printed certification, in the 

manner allowed by 49 C.F.R. §§ 172.204(a) (1), (2) or 

172.204(c) (1), that the material was offered for transportation 

in accordance with the hazardous material regulations. 

15. Southwest offered hazardous material for transportation by 

air when it failed to provide two copies of the certification 

showing that the materials were in accordance with the 

certification set forth in § 172.204 (a) ( 1), (2) or § 

172.204(c) (1) of the hazardous materials regulations. 

16. Southwest offered hazardous material for transportation in 

air commerce in non-bulk packaging and failed to mark the 

package with the proper shipping name and identification number 

for its contents. 

17. Southwest offered hazardous material for transportation by 

air and failed to label the package or containment device with 

the label specified in Section 172.101 (49 C.F.R. § 172.101). 

3 
18. Southwest offered hazardous material for transportation by 

air and failed to make emergency response information 

immediately available for use at all times the hazardous 

material was present. 

19. Southwest offered hazardous material for transportation by 

air and failed to make emergency response information, including 

an emergency response telephone number, required by this subpart 

immediately available to any person who, as a representative of 

a Federal, State, or local government agency, responds to an 

incident involving a hazardous material, or is conducting an 

investigation, which involves a hazardous material. 

20. Southwest offered hazardous material for transportation by 

air and failed to provide and maintain emergency response 

information that includes the minimum information set forth in 

this section, 172.602(a) (1-7)). 

21. Southwest offered hazardous material for transportation by 

air and failed to provide an emergency response telephone number 

immediately available for use away from the package containing 

the hazardous material. 

22. Southwest offered hazardous material for shipment by air 

when emergency response information was not presented on a 

shipping paper. 

23. Southwest offered hazardous material for shipment by air and 

failed to provide an emergency response telephone number 

(including area code) for use in the event of an emergency 

involving hazardous material that is monitored at all times that 

the material is in transportation, including storage incidental 

to transportation. 

24. Southwest offered hazardous material for shipment by air and 

·failed to provide an emergency response telephone number of a 

person knowledgeable of the hazardous material being shipped and 

who has comprehensive emergency response and incident mitigation 

information for that material, or has immediate access to a 

person possessing such knowledge and information. 

25. Southwest offered hazardous material for transportation by 

air and failed to provide an emergency response telephone 

number, for use in the event of an emergency involving the 

hazardous material, and entered on a shipping paper immediately 

following the description of the hazardous material required by 

4 
subpart C of this part, or entered once on the shipping paper in 

a clearly visible location. 

26. Southwest offered hazardous material for shipment by air and 

failed to class and describe the hazardous material in 

accordance with parts 172 and 173 of Subpart B, Preparation of 

Hazardous Materials for Transportation. 

27. Southwest offered hazardous material for shipment by air and 

failed to use packaging that was designed, constructed, 

maintained, filled, its contents so limited, and closed so that 

under conditions normally incident to transportation there was 

no identifiable release of hazardous materials to the 

environment. 

28. By reason of the above, Southwest violated the following 

Department of Transportation Hazardous Materials Regulations 

(Title 49 of the Code of Federal Regulations): 

a. Section 171.2(e) (49 C.F.R. § 171.2(e)), in that Southwest 

offered hazardous material for transportation by air in commerce 

when the material was not properly classed, described, packaged, 

marked, labeled, and in a condition for shipment as required or 

authorized by applicable requirements of the hazardous material 

regulations. 

b. Section 172.200(a) (49 C.F.R. § 172.200(a)), which requires 

that each person offering a hazardous material for 

transportation to properly describe the hazardous material on 

the shipping papers. 

c. Section 172.202(a) (1) (49 C.F.R. § 172.202(a) (1)) in that it 

offered hazardous material for transportation in air commerce 

when the required hazardous material description on the shipping 

papers did not include the identification number prescribed for 

the material as shown in Column 4 of the§ 172.101 Table. 

d. Section 172.202(a) (2) (49 C.F.R. § 172.202(a) (2)) in that it 

offered hazardous material for transportation in air commerce 

when the required hazardous material description on the shipping 

papers did not include the proper shipping name prescribed for 

the material in Column 2 of the § 172.101 Table. 

e. Section 172.202(a) (3) (49 C.F.R. § 172.202(a) (3)) in that 

it offered hazardous material for transportation in air commerce 

when the required shipping papers did not include the hazard 

class or division number prescribed for the material, as shown 

5 
in Column (3) in the Hazardous Materials Table, referenced in 

section 172.101. 

f. Section 172.202(a) (4) (49 C.F.R. § 172.202(a) (4)) in that 

it offered hazardous material for transportation in air commerce 

when the required shipping papers did-not include the Packing 

Group, in Roman numerals, prescribed for the material in Column 

5 of the§ 172.101 Table. 

g. Section 172.202(a) (6) (49 C.F.R. § 172.202(a) (6)) in that 

it offered hazardous material for transportation in air commerce 

and failed to describe on the shipping papers the total net mass 

per package, unless a gross mass is indicated in Columns (9A) or 

(9B) of the§ 172.101 Table. 

h. Section 172.202(a) (6) (iii)) (49 C.F.R. § 172.202(a) (6)(iii)) 

in that it offered hazardous material for transportation in air 

commerce and failed to describe on the shipping papers the total 

net mass per package, unless a gross mass is indicated in 

Columns (9A) or (9B) of the § 172.101 Table. 

i. Section 172.202(a)(7) (49 C.F.R. § 172.202(a)(7)) in that 

it offered hazardous material for transportation in air commerce 

and failed to describe on the shipping papers the number and 

type of packages. 

j. Section 172.204(a) (49 C.F.R. § 172.204(a)) in that it 

offered hazardous material for transportation by air and failed 

to certify by printed certification, in the manner allowed by 49 

C.F.R. §§ 172.204(a) (1) or 172.204(a) (2), or 172.204(c) (1) that 

the material was offered for transportation in accordance with 

the hazardous material regulations. 

k. Section 172.204(c) (2) (49 C.F.R. § 172.204(c) (2) in that it 

offered hazardous material for transportation by air when it 

failed to provide two copies of the certification showing that 

the materials were in accordance with the certification set 

forth in§ 172.204 (a) (1), (2) or§ 172.204 (c) (1) of the hazardous 

materials regulations. 

l. Section 172.300 (49 C.F.R. § 172.300), which requires that 

each person offering a hazardous material for transportation to 

properly mark each package, freight container, and transport 

vehicle containing the hazardous material. 

m. Section 172.301(a) (49 C.F.R. § 172.301(a)) in that it 

offered a hazardous material for transportation in air commerce 

6 
in non-bulk packaging and failed to mark the package with the 

proper shipping name and identification number for its contents. 

n. Section 172.400(a) (49 C.F.R. § 172.400(a)) in that it 

offered hazardous material requiring labeling under the 

hazardous material regulations for transportation in air 

commerce and failed to label the package or containment device 

with the label specified in Section 172.101 (49 C.F.R. § 

172.101). 

o. Section 172.600 (49 C.F.R. § 172.600)), which requires that 

each person offering a hazardous material for transportation to 

provide and maintain emergency response information during 

transportation and at the facility where hazardous materials are 

loaded for transportation, stored incidental to transportation 

or otherwise handled during any phase of transportation. 

p. Section 172.600(c) (1)) (49 C.F.R. § 172.600(c) (1)) in that 

it offered hazardous material for transportation by air and 

failed to make emergency response information immediately 

available for use at all times the hazardous material was 

present. 

q. Section 172.600(c) (2)) (49 C.F.R. § 172.600(c) (2)) in that 

it offered hazardous material for transportation by air and 

failed to make emergency response information, including 

emergency response telephone number, required by this subpart 

immediately available to any person who, as a representative of 

a Federal, State, or local government agency, responds to an 

incident involving a hazardous material, or is conducting an 

investigation which involves a hazardous material. 

r. Section 172.602(a) (1-7)) (49 C.F.R. § 172.602(a)) in that 

it offered a hazardous material for transportation by air and 

failed to provide and maintain emergency response information 

that includes the minimum information set forth in this section, 

172.602(a) (1-7)). 

s. Section 172.602(b) (2)) (49 C.F.R. § 172.602(b) (2)) in that 

it offered hazardous material for transportation by air and 

failed to provide an emergency response telephone number 

immediately available for use away from the package containing 

the hazardous material. 

t. Section 172.602(b) (3) (i)) (49 C.F.R. § 172.602(b) (3) (i) in 

that it offered hazardous material for shipment by air when 

7 
emergency response information was not presented on a shipping 

paper. 

u. Section 172.604(a) (1)) (49 C.F.R. § 172.604(a) (1)) in that 

it offered hazardous material for shipment by air and failed to 

provide an emergency response telephone number (including area 

code) for use in the event of an emergency involving hazardous 

material that is monitored at all times that the material is in 

transportation, including storage incidental to transportation. 

v. Section 172.604(a) (2)) (49 C.F.R. § 172.604(a) (2)) in that 

it offered hazardous material for transportation by air and 

failed to provide an emergency response telephone number of a 

person knowledgeable of the hazardous material being shipped and 

who has comprehensive emergency response and incident mitigation 

information for that material, or has immediate access to a 

person possessing such knowledge and information. 

w. Section 172.604(a) (3)) (49 C.F.R. § 172.604(a) (3)) in that 

it offered hazardous material for transportation by air and 

failed to provide an emergency response telephone number, for 

use in the event of an emergency involving the hazardous 

material, and entered on a shipping paper immediately following 

the description of the hazardous material required by subpart C 

of this part, or entered once on the shipping paper in a clearly 

visible location. 

x. Section 173.1(b) (49 C.F.R. § 173.1(b), which prohibits the 

shipment of hazardous material by air that was not paGked in 

packaging specified in Part 173. 

y. Section 173.22(a) (1)) (49 C.F.R. § 173.22(a) (1)) in that it 

offered hazardous material for shipment by air and failed to 

class and describe the hazardous material in accordance with 

parts 172 and 173 of Subpart B, Preparation of Hazardous 

Materials for Transportation. 

z. Section 173.24(b) (1)) (49 C.F.R. § 173.24(b) (1)) in that it 

offered hazardous material for shipment by air and failed to use 

packaging that was designed, constructed, maintained, filled, 

its contents so limited, and closed so that under conditions 

normally incident to transportation there was no identifiable 

release of hazardous materials to the environment. 

NOW, THEREFORE, IT IS ORDERED, pursuant to 49 U.S.C. § 

5123(a), that Southwest be and is hereby, assessed a civil 

penalty of $62,000.00. 

8 
Southwest is hereby ordered to pay, immediately, the 

assessed amount by mailing or delivering a certified check, 

money order, or company check in the amount of $62,000.00 

payable to the "Federal Aviation Administration" addressed to: 

Federal Aviation Administration 

DOT/FAA MMAC AMZ-350 

PO BOX 25770 

Oklahoma City, Oklahoma 73125-5082 

ATTN: Sonny Rogers 

As an alternative method of payment, civil penalties may be paid 

with a credit card at the following website: 

http://www.pay.gov 

The amount of civil penalty assessed in this order 

constitutes a debt owed to the United States. Southwest has now 

exhausted its right to seek review of the validity or amount of 

this debt. If this debt is not paid in full within 30 days of 

Southwest's receipt of this letter, the debt is delinquent. 

For delinquent debts, federal regulation (49 C.F.R. § 

89.23) requires us to charge interest, from the date of this 

Order, at a fixed annual rate of 1.0%, along with an 

administrative charge of $12 per month, representing our costs 

of administrative collection. Furthermore, if the full amount 

assessed is not paid in full within 120 days of Southwest's 

receipt of this letter, we are required to assess an additional 

penalty at an annual rate of 2.625%, accruing from the date of 

delinquency. 

Delinquent debts may be reported to consumer reporting 

agencies or commercial credit bureaus, which could adversely 

affect Southwest's credit rating. Nonpayment of this debt may 

ultimately result in a referral to a collection agency, or the 

United States Department of Justice for enforced collection. 

Upon our receipt of Southwest's payment in the amount of 

$62,000.00 Southwest may consider this matter closed. 

9 
DAVID DONNELL 

Regional Counsel 

Southwest Region 

Archier, Attorney 

222-5074 (Phone) 

222-5945/5092 (Fax) 

cc: FAA/MMAC Accounts Receivable 

CERTIFICATE OF SERVICE 

I certify that this order has been sent on June 15, 2011 by 

Federal Express to: 

ames 

Mr. Barry Brown 

Associate General Counsel 

Operations & Environment 

Southwest Airlines 

P.O. Box 36611 

2702 Love Field Drive 

Dallas, Texas 75235-1611 

Dated: June 15, 2011 

Federal Aviation Administration 

Office of the Regional Counsel 

Southwest Region 

2601 Meacham Blvd., 

Fort Worth, Texas 76193-0007 

(817) 222-5074 

10 
(\t'-l) ~'fDV. 

l'~f\tJ~ U.S. Department 

of Transportation 

Southwest Region 

Arkansas, Louisiana, 

New Mexico, Oklahoma 

Texas 

Office of Regional Counsel, ASW-7 

2601 Meacham Blvd. 

Federal Aviation 

Administration 

June 21, 2011 

Fort Worth, TX 76137 

(817) 222-5099 

(817) 222-5945/5092 FAX 

Certfied Mail Return Receipt 7003 2260 0004 1705 8717 

Mr. Gerald F. Murphy 

Crowell & Moring LLP 

1001 Pennsylvania Avenue, NW 

Washington, DC 20004 

Certfied Mail Return Receipt 7003 2260 0004 1705 8724 

Mr. Brad Sheehan 

Director of Safety 

Atlantic Southeast Airlines & ExpressJet 

9090 Toffie Terrace 

Atlanta, Georgia 30354 

Re: ExpressJet Airlines, Inc., ·FAA Case No. 2010SW700147 

(Hazardous Material Enforcement Case) 

ORDER ASSESSING CIVIL PENALTY 

On August 30, 2010, Express Jet Airlines, Inc., was advised 

through a Notice of Proposed Civil Penalty that the Federal 

Aviation Administration proposed to assess a civil penalty in 

the amount of $5,550.00. 

In order to avoid further litigation, the parties have 

agreed to settle this case for $5,000.00 and Express Jet 

Airlines, Inc., has agreed to waive any further rights of 

appeal. This order constitutes a finding by the Federal 

Aviation Administration of the facts and regulatory violations 

contained herein. It is determined that: 

1. Between May 10, and May 16, 2010, at George Bush 

Intercontinental Airport, Houston, Texas, the Federal Aviation 

Administration conducted a comprehensive hazardous material 

inspection. 

2. During the hazardous material shipping inspection, the 

inspectors reviewed Continental Airlines airway bill 

00506916512. 
3. Express Jet Airlines was listed as the shipper and consignee 

on airway bill 00506916512. 

4. This airway bill listed Oxygen, Compressed, hazard class 

2 . 2, ( 5. 1) , UN 10 7 2 . 

5. The airway bill 00506916512 was not signed and dated by 

Express Jet Airlines. 

6. On FedEx Express air waybill numbers 987781588078 and 

987881590582 Express Jet Airlines indicated "RQ" in the 

hazardous material description for materials that were not 

hazardous substances as described in 49 C.F.R. § 172.201(a) (4). 

7. By reason of the above, ExpressJet Airlines violated the 

following Department of Transportation Hazardous Materials 

Regulations (Title 49 of the Code of Federal Regulations): 

a. Section 171.2(e) (49 C.F.R. § 171.2(e)), in that Express 

Jet Airlines offered hazardous material for transportation by 

air in commerce when the material was not properly classed, 

described, packaged, marked, labeled, and in a condition for 

shipment as required or authorized by applicable requirements of 

the hazardous material regulations. 

b. Section 172.201(e) (49 C.F.R. § 172.201(e)), in that it 

offered hazardous material for shipment by air and failed to 

ensure that the airway bill was dated. 

c. Section 172.203(c) (2) (49 C.F.R. § 172.203(c) (2)), in that 

it offered hazardous material for transportation by air and 

improperly placed "RQ" in front of the hazardous material 

descriptions on the airway bills. 

d. Section 172.204(d) (49 C.F.R. § 172.204(d)), in that it 

offered hazardous material for shipment by air and failed to 

sign the shipper's certification 

NOW, THEREFORE, IT IS ORDERED, pursuant to 49 U.S.C. § 

5123(a), that Express Jet Airlines be and is hereby, assessed a 

civil penalty of $5,000.00. 

Express Jet Airlines is hereby ordered to pay, immediately, 

the assessed amount by mailing or delivering a certified check, 

money order, or company check in the amount of $5,000.00 payable 

to the "Federal Aviation Administration" addressed to: 

2 
Federal Aviation Administration 

DOT/FAA MMAC AMZ-350 

PO BOX 25770 

Oklahoma City, Oklahoma 73125-5082 

ATTN: Sonny Rogers 

As an alternative method of payment, civil penalties may be paid 

with a credit card at the following website: 

http://www.pay.gov 

The amount of civil penalty assessed in this order 

constitutes a debt owed to the United States. Express Jet 

Airlines has now exhausted its right to seek review of the 

validity or amount of this debt. If this debt is not paid in 

full within 30 days of Express Jet Airlines's receipt of this 

letter, the debt is delinquent. 

For delinquent debts, federal regulation (49 C.F.R. § 

89.23) requires us to charge interest, from the date of this 

Order, at a fixed annual rate of 1.0%, along with an 

administrative charge of $12 per month, representing our costs 

of administrallve collecllou. Furllle_r_more, l[ Lhe full dltlOU!lL 

assessed is not paid in full within 120 days of Express Jet 

Airlines's receipt of this letter, we are required to assess an 

additional penalty at an annual rate of 2.625%, accruing from 

the date of delinquency. 

Delinquent debts may be reported to consumer reporting 

agencies or commercial credit bureaus, which could adversely 

affect Express Jet Airlines's credit rating. Nonpayment of this 

debt may ultimately result in a referral to a collection agency, 

or the United States Department of Justice for enforced 

collection. 

Upon our receipt of Express Jet Airlines's payment in the 

amount of $5,000.00 Express Jet Airlines may consider this 

matter closed. 

3 
DAVID DONNELL 

Regional Counsel 

Southwest Region 

\ 

·. ) fr ~/, '( 

By· ·,_'>/~:-//·.·/ !(./}>.(!_ ./{{f .. ) • ------ ----- / ;t:..t,. l· ·_ .. <?- .. ' -· .. 

,. .. Ji)l'fleS Archier, Attorney 

_/· )'B17) 222-5074 (Phone) 

(~/- (817) 222-5945/5092 (Fax) 

cc: FAA/MMAC Accounts Receivable 

4 
CERTIFICATE OF SERVICE 

I certify that this order has been sent on June 21, 2011 by 

certified mail to: 

Certfied Mail Return Receipt 7003 2260 0004 1705 8717 

Mr. Gerald F. Murphy 

Crowell & Moring LLP 

1001 Pennsylvania Avenue, NW 

Washington, DC 20004 

Certfied Mail Return Receipt 7003 2260 0004 1705 8724 

Mr. Brad Sheehan 

Director of Safety 

Atlantic Southeast Airlines & ExpressJet 

9090 Toffie Terrace 

Atlanta, Georgia 30354 

.. ····--

) 

Dated: June 21, 2011 

/ J es Archier . 

~ ederal Aviation Administration 

1/ //Office of the Regional Counsel 

,~ Southwest Region 1 2601 Meacham Blvd., 

Fort Worth, Texas 76193-0007 

(817) 222-5074 

5 
RESPONSE TO 1.13 

RESPONSE TO 1.14 

RESPONSE TO 1.15 
U.S. Department 

of Transportation 

Federal Aviation 

Administration 

December 1, 2008 

Southwest Region 

Arkansas, Louisiana, 

New Mexico, Oklahoma 

Texas 

Office of Regional Counsel 

Fort Worth, TX 76193-0007 

(817) 222-5099 

(817) 222-5945/5092 FAX 

Certified Mail Return Receipt 7004 2510 0005 6023 1037 

Mr_ Francis C. Heil, Esquire 

Senior Attorney 

American Airlines Legal Department 

P.O. Box 619616 

MD 5675 

DFW Airport, TX 75261-9616 

Re: American Airlines, Inc., FAA Case No. 2008SW700060 

ORDER ASSESSING CIVIL PENALTY 

On June 16, 2008, American Airlines, Inc., was advised 

through a Notice of Proposed Civil Penalty that the Federal 

Aviation Administration proposed to assess a civil penalty 

in the amount of $49,000.00. 

After considering all the available information, the 

parties have agreed to settle this case for $41,500.00 and 

American Airlines, Inc., has agree to a finding of 

violations as alleged and to waive any further rights of 

appeal. It has been determined that: 

1. From January 22, 2008 to February 12, 2008, a special 

agent from the Federal Aviation conducted a hazardous 

materials assessment of American Airlines, Inc., 

(hereinafter "American"). 

2. During this assessment, the special agent discovered 

that American failed to properly complete the Notification 

to Pilot-In-Command (hereinafter "NOPIC") for hazardous 

materials American transported via passenger-carrying 

aircraft flights from Dallas/Fort Worth International 

Airport (hereinafter "DFW"), Texas. 

3. On February 6, 2008, American failed to include the 

technical name for Flammable Solid, Organic, N.O.S., 4.1 

UN1325, PG III on the Notification to Pilot-In-Command for 

flight 50 from DFW to London Gatwick International Airport, 
• 

London, England. The technical name for this hazardous 

material is "iron oxide and aluminumu. 

4. On February 6, 2008, American failed to include the 

technical name for Polyamines, Liquid, Corrosive N.O.S., 8, 

UN2735, PG III on the Notification to Pilot-In-Command for 

flight 925 from DFW to Miami International Airport, Miami, 

Florida. The technical name is trithylene tetramine, 

metaxylenediamine. 

5. On February 5, 2008, American failed to identify the 

location of COMAT, described as Dangerous Goods in 

Machinery, hazard class 9, UN3363, on the Notification to 

Pilot-In-Command form for flight 1499 from DFW to Norman Y. 

Mineta International Airport, San Jose, California 

6. On February 5, 2008, American failed to identify the 

location of COMAT, described as Adhesives, hazard class 3, 

UN1133, Packing Group II on the Notification to Pilot-InCommand form, for flight 1046 from DFW to Miami 

International Airport, Miami, Florida. 

7. On February 6, 2008, American failed to identify the 

location of COMAT, described as batteries, wet filled with 

alkali, hazard class 8, UN2795, on the Notification to 

Pilot-In-Command form for flight 739 from DFW to Los 

Angeles International Airport, Los Angeles, California. 

8. On February 7, 2008, American failed to identify the 

location of COMAT, described as Dangerous Goods in 

Machinery, hazard class 9, UN3363 on the Notification to 

Pilot-In-Command form for flight 559 from DFW to Austin 

Bergstrom International Airport, Austin, Texas. 

9. On February 7, 2008, American failed to identify the 

location of COMAT, described as Paint, hazard class 3, 

UN1263, Packing Group II on the Notification to Pilot-InCommand form for flight 1672 from DFW to Tulsa 

International Airport, Tulsa, Oklahoma. 

10. American transported hazardous material in air commerce 

when it failed to provide the technical name of the 

hazardous materials on the Notification to Pilot-In-Command 

form. 

2 
• 

11. American transported COMAT in air commerce when it 

failed to identify the location of the COMAT on its 

Notification to Pilot-In-Command form. 

12. By reason of the facts and circumstances described in 

paragraphs 1 through 11 above, American violated the 

following Department of Transportation Hazardous Materials 

Regulations (Title 49 of the Code of Federal Regulations): 

a. Section 175.1(b)) (49 C.F.R. § 175.1(b)), in that 

American transported hazardous material in air commerce 

when it did not comply with the requirements of Subpart A 

of Part 175. (49 C.F.R. § 175, et seq.). 

b. Section 175.33(a) (1) (i) (49 C.F.R. § 

17 5. 33 (a) ( 1) ( i) ) , in that American transported hazardous 

material in air commerce when it failed to provide 

additional description requirements provided in§§ 172.202 

and 172.203 on the Notification to Pilot-In-Command form. 

c. Section 175.33(a) (4) (49 C.F.R. § 175.33(a) (4)), 

in that American transported hazardous material in air 

commerce when it failed to identify the location of COMAT 

on the Notification to Pilot-In-Command form. 

NOW, THEREFORE, IT IS ORDERED, pursuant to 49 U.S.C. § 

5123, that American be and is hereby, assessed a civil 

penalty of $41,500.00. 

American is hereby ordered to pay, immediately, the 

assessed amount by mailing or delivering a certified check, 

money order, or company check in the amount of $41,500.00 

payable to the "Fed.eral Aviation Administration" addressed 

to: 

DOT/FAA/MMAC, 

Accounts Receivable, 

AMZ-310, P.O.BOX 25082 

Oklahoma City, Oklahoma 73125-5082 

The amount of civil penalty assessed in this Order 

constitutes a debt owed to the United States. American has 

now exhausted its right to seek review of the validity or 

amount of this debt. If this debt is not paid in full 

within 30 days of American's receipt of this letter, the 

debt is delinquent. 

3 
• 

For delinquent debts, federal regulation (49 C.F.R. § 

89.23) requires us to charge interest, from the date of 

this Order, at a fixed annual rate of 5.125%, along with an 

administrative charge of $12 per month, representing our 

costs of administrative collection. Furthermore, if the 

full amount assessed is not paid in full within 120 days of 

American's receipt of this letter, we are required to 

assess an additional penalty at an annual rate of 3.0%, 

accruing from the date of delinquency. 

Delinquent debts may be reported to consumer reporting 

agencies or commercial credit bureaus, which could 

adversely affect American's credit rating. Nonpayment of 

this debt may ultimately result in a referral to a 

collection agency, or the United States Department of 

Justice for enforced collection. 

Upon our receipt of American's payment in the amount 

of $41,500.00 American may consider this matter closed. 

LYNETTE WORD 

Regional Counsel 

Southwest Region 

s Archier, Attorney 

222-5074 (Phone) 

222-5945/5092 (Fax) 

4 
•, 

CERTIFICATE OF SERVICE 

I certify that this Order has been sent on December 1, 2008 

by certified mail, return receipt requested to: 

mes 

Mr. Francis C. Heil, Esquire 

Senior Attorney 

American Airlines Legal Department 

P.O. Box 619616 

MD 5675 

DFW Airport, TX 75261-9616 

Dated: December 1, 2008 

F;ederal Aviation Administration 

1

6ffice of the Regional Counsel 

/ Southwest Region 

2601 Meacham Blvd., 

Fort Worth, Texas 76193-0007 

(817) 222-5074 

-------- .. ·-·---·----·····-----

5 
U.S. Department 

of Transportation 

·Federal Aviation 

Administration 

March 12, 2009 

Southwest Region 

Arkansas, Louisiana, 

New Mexico. Oklahoma 

Texas 

Office of Regional Counsel 

Fort Worth, TX 76193-0007 

(817) 222-5099 

(817) 222-5945/5092 FAX 

Certified Mail Return Receipt 7004 2510 0005 6023 9606 

Mr. Francis Heil 

Senior Attorney 

American Airlines Legal Department 

P.O. Box 619616 

MD 5675 

DFW Airport, Texas 75261-9616 

Re: American Airlines, Inc., FAA Case No. 2008SW700102 

ORDER ASSESSING CIVIL PENALTY 

On July 10, 2008, American Airlines, Inc., 

(hereinafter "American") was advised through a Notice of 

Propbsed Civil Penalty that the Federal Aviation 

Administration proposed to assess a civil penalty in the 

amount of $63,600.00. 

After considering all the available information, the 

parties have agreed to settle this case for $45,000.00 and 

American has agreed to waive any further rights of appeal. 

This Order constitutes a finding by the Federal Aviation 

Administration of the facts and regulatory violations 

contained herein. 

1. On or about April 11, 2008, a special agent from the 

Federal Aviation Administration conducted a supplementary 

hazardous material assessment of American Airlines, Inc., 

(hereinafter "American"). 

2. At all relevant times, American was the holder of Air 

Carrier Operating Certificate No. AALA025A and Operations 

Specifications issued under Part 121 of the Federal 

Aviation Administration. 

3. During this assessment, the special agent discovered 

that American failed to properly complete the Notification 

to the Pilot-In-Command (hereinafter "NOPIC") for hazardous 
materials American transported via passenger-carrying 

aLrcraft flights from Dallas/Fort Worth International 

Airport (hereinafter "DFW"), Texas. 

4. On March 2, 2008, the NOPIC for American flight number 

1299 from DFW to Miami International Airport, Miami, 

Florida failed to include the packing group for a shipment 

described as Seat-belt pretensioners, hazard class 9, 

UN3268, PG II as required by hazardous material 

regulations. 

5. On March 3, 2008, on the NOPIC for American flight 48, 

DFW to Paris Charles De Gaulle Airport, Paris, France, the 

basic description provided for a package containing items 

classified as Aerosols, Flammable, 2.1 UN1950 and Flammable 

Liquid, N.O.S., 3, UN1993, PG II failed to include the 

technical name of the material and the packing group as 

required. 

6. On March 6, 2008, on the NOPIC for American flight 

number 2344, DFW to Chicago O'Hare International Airport, 

Chicago, Illinois, the basic description provided for a 

shipment of items classified as Amines, Liquid, Corrosive 

N.O.S., hazard class 8, UN2735, packing group II, failed to 

include the technical name of the material as required. 

7. On March 6, 2008, the NOPIC for American flight number 

1299, DFW to Miami International Airport, Miami, Florida 

failed to include the packing group for a shipment 

described as Extracts, flavoring liquid, hazard class 3, 

UN1197, as required. The NOPIC also incorrectly referred 

to this material having a hazard class "3" subsidiary risk. 

8. On March 8, 2008, the NOPIC for American flight number 

474 DFW to Hartsfield-Jackson International Airport, 

Atlanta, Georgia failed to include the packing group for a 

shipment described as Extracts, flavoring liquid, hazard 

class 3, UN1197, packing group II, as required. 

9 On March 9, 2008, the NOPIC for American flight number 

536, DFW to Hartsfield-Jackson International Airport, 

Atlanta, Georgia failed to include the proper hazard class 

for a shipment described as Extracts, flavoring liquid, 

hazard class 3, UN1197, packing group II, as required. 

10. By reason of the facts and circumstances described in 

paragraphs 1 through 10 above, American violated the 

2 
following Department of Transportation Hazardous Materials 

Regulations (Title 49 of the Code of Federal Regulations): 

a. Section 175.1(b)) (49C.F.R. § 175.l(b)), in that 

American transported hazardous material in air commerce 

when it did not comply with the requirements of Subpart A 

of Part 175. (49 C.F.R. § 175, et seq.). 

b. Section 175.33(a) (1)) (49 C.F.R. § 175.33(a) (1), 

in that American transported hazardous material in air 

commerce when it failed to provide the proper shipping 

name, hazard class, and identification number on the 

Notification to Pilot-In-Command form. 

c. Section 175.33(a) (1) (i) (49 C.F.R. § 

175.33(a) (1) (i)), in that American transported hazardous 

material in air commerce when it failed to provide 

additional description requirements provided in§§ 172.202 

and 172.203 on the Notification to Pilot-In-Command form. 

NOW, THEREFORE, IT IS ORDERED, pursuant to 49 U.S.C. § 

5123, that American be and is hereby, assessed a civil 

penalty of $45,000.00. 

American is hereby ordered to pay, immediately, the 

assessed amount by mailing or delivering a certified check, 

money order, or company check in the amount of $45,000.00 

payable to the "Federal Aviation Administration" addressed 

to: 

DOT/FAA/MMAC, 

Accounts Receivable, 

AMZ-310, P.O.BOX 25082 

Oklahoma City, Oklahoma 73125-5082 

The amount of civil penalty assessed in this Order 

constitutes a debt owed to the United States. American has 

now exhausted its right to seek review of the validity or 

amount of this debt. If this debt is not paid in full 

within 30 days of American's receipt of this letter, the 

debt is delinquent. 

For delinquent debts, federal regulation (49 C.F.R. § 

89.23) requires us to charge interest, from the date of 

this Order, at a fixed annual rate of 5.125%, along with an 

administrative charge of $12 per month, representing our 

costs of administrative collection. Furthermore, if the 

3 
full amount assessed is not paid in full within 120 days of 

American's receipt of this. letter, we are required to 

assess an additional penalty at an annual rate of 3.0%, 

accruing from the date of delinquency. 

Delinquent debts may be reported to consumer reporting 

agencies or commercial credit bureaus, which could 

adversely affect American's credit rating. Nonpayment of 

this debt may ultimately result in a referral to a 

collection agency, or the United States Department of 

Justice for enforced collection. 

Upon our receipt of American's payment in the amount 

of $45,000.00 American may consider this matter closed. 

LYNETTE WORD 

Regional Counsel 

American Region 

/" ' ' \. ~·· /t{ '/, '· JJ '·[ } ·13 y-:··~·"-- #1t. / L / t/C>- 'i--l/(_ ..,/ 

James Archier, Attorney 

(817) 222-5074 (Phone) 

(817) 222-5945/5092 (Fax) 

4 
• 

CERTIFICATE OF SERVICE 

I certify that this Order has been sent on March 12, 2009 

by certified mail, return receipt requested to: 

Mr. Francis Heil 

Senior Attorney 

American Airlines Legal Department 

P.O. Box 619616 

MD 5675 

DFW Airport, Texas 75261-9616 

""~ ) 1~ fi I , ;, 

By: /#flc~ ({ U .. ///lL{/1 Dated: March 12, 2009 

/"'_/ /

1 James Archier 

Federal Aviation Administration 

Office of the Regional Counsel 

I / American Region :__....../ 

2601 Meacham Blvd., 

Fort Worth, Texas 76193-0007 

(817) 222-5074 

5 
U.S. Department 

of Transportation 

Federal Aviation 

Administration 

May 13, 2011 

• 

Southwest Region 

Arkansas, Louisiana, 

New Mexico, Oklahoma 

Texas 

Office of Regional Counsel. ASW-7 

2601 Meacham Blvd. · 

Fort Worth, TX 76137 

(817) 222-5099 

(817) 222-5945/5092 FAX 

Certified Mail Return Receipt 7004 1160 0002 0277 0698 

Mr. Francis C. Heil 

Senior Attorney 

American Airlines 

P.O. Box 619616 

Dallas/Fort Worth Airport 

Texas 75261-9616 

Re: American Airlines, Inc., FAA Case No. 2010SW700123 

ORDER ASSESSING CIVIL PENALTY 

On August 11, 2010, American Airlines, Inc., was 

advised through a Notice of Proposed Civil Penalty that the 

Federal Aviation Administration proposed to assess a civil 

penalty in the amount of $32,500.00. 

In order to avoid further litigation, the parties have 

agreed to settle this case for $22,500.00 and American 

Airlines, Inc., has agreed to waive any further rights of 

appeal. This order constitutes a finding by the Federal 

Aviation Administration of the facts and regulatory 

violations contained herein. It is determined that: 

l. From April 6, 2010 to April 19, 2010, the Federal 

Aviation Administration conducted a comprehensive hazardous 

material inspection at Dallas/Fort Worth International 

Airport ("DFW"), Texas. 

2. At all relevant times, American Airlines, Inc., 

("American") was the holder of Air Carrier Operating 

Certificate No. AALA025A and Operations Specifications 

issued under Part 121 of the Federal Aviation 

Administration. 

3. During the inspection American routinely failed to 

properly complete the Notification to the Pilot-In-Command 
( "NOPIC') pr.ovided to the Captain of American flights as 

follows: 

a. On March 16, 2010, for American Flight Number 

1482 (DFW to Tampa, Florida ("TPA") ), featured the 

basic description provided for a shipment, offered 

on AWB 8276-8420 (2 packages total), for items 

classified as Radioactive Material, Type A Package, 

7, UN2915. The NOPIC failed to include the proper 

shipping name as required. 

b. On February 2, 2010, the NOPIC for American 

Flight 2167 (DFW to San Jose, Costa Rica (SJO)) 

featured the basic description for a shipment 

offered on AWB 001-9657-6292 (1 package), for items 

classified as Phosphoric Acid Solution, 8, UN1805, 

PG III and Corrosive Liquid, N.O.S., 8, UN1760, PGIII. 

the NOPIC failed to include the technical name of 

the latter item as required. 

c. On February 6, 2010, the NOPIC for American 

Flight 1690 (DFW to Miami International Airport 

("MIA"), Miami, Florida featured the description 

for a shipment offered on AWB 001-8247-3603 (2 

packages total), for items classified as Air Bag 

Modules, 9, UN3268. The NOPIC failed to include the 

packing group and "EX number" as required. 

d. On February 9, 2010, the NOPIC for American 

Flight Number 433 (DFW to Mexico City, Mexico ("MEX") 

featured the description for a shipment offered on AWB 

001-3790-0214 (3 packages total) for items classified 

as Corrosive Solid, N.O.S. 8, UN1759. The NOPIC 

failed to include the complete proper shipping name 

as required. 

e. On February 13, 2010, the NOPIC for American 

Flight Number 409 (DFW to Mexico City, Mexico ("MEX")) 

featured the description for a shipment offered on 

AWB 001-8208-3750 (1 package), for items classified as 

Phosphoric Acid Solution, 8, UN1805, PG III and 

Corrosive Liquid, N.O.S., 8, UN1760, PGIII. The 

NOPIC failed to include the packing group of the 

latter item as required. 

f. On February 16, 2010, the NOPIC for American 

Flight Number 1549 (DFW to Houston, Texas (IAH)), 

2 
• 

Featured the description for a shipment offered on 

AWB 001-77290566 (5 packages), for items classified as 

Gas Oil, 3, UN1202. The NOPIC failed to include the 

packing group as required. 

g. On February 24, 2010, the NOPIC for American 

Flight Number 48 (DFW to Paris, France ("COG")), 

featured the description for a shipment offered on AWB 

7796-9043 (1 package), for an item classified as 

Adhesives, 3, UN1133, PGII. The NOPIC failed to 

include the packing group as required. 

h. On February 28, 2010, the NOPIC for American 

Flight Number 36 (DFW to Madrid, Spain ("MAD")), 

featured the description for a shipment offered on 

AWB 001-7878-3983 (1 package), of an item classified 

as Amines, Liquid, Corrosive, N.O.S., 8, UN2735, PG 

II. The NOPIC failed to include the packing group as 

required. 

i. On March 6, 2010, the NOPIC for American Flight 

Number 963 (DFW to Sao Paulo, Brazil (GRU) ), featured 

the description for a shipment offered on AWB 001-

96383-416 (1 Package), for an item classified as 

Acetonitrile, 3 UN1648, PGII. The NOPIC failed to 

include the packing group as required. 

j. On March 12, 2010, the NOPIC for American Flight 

651, 1266, and 1238 (DFW to Miami, Florida ("MIA")) 

Featured the description for a shipment offered on 

AWB 001-9642-1555 (3 packages total, 1 package was 

transported on each flight), for items classified as 

Printing Ink, 3, UN1210, PG III. The NOPIC failed to 

include the packing group as required. 

k. On March 16, 2010, the NOPIC for American Flight 

Number 2479 (DFW to Los Angeles, California (LAX)), 

featured the description for a shipment offered on 

AWB 001-9987-7606 (1 package), for items classified as 

Cartridges, Power Device, 1.4S, UN0323. The NOPIC 

failed to include the "EX number" as required. 

1. On April 9, 2010, the NOPIC for American Flight 

Number 963 (DFW to Sao Paulo, Brazil (GRU)), featured 

The description for a shipment offered on AWB 1306-

5113 (1 package), for an item classified as Flammable 

Liquid, Corrosive, N.O.S., 3 (8), UN2924, PG II. The 
• 

NOPIC failed to include the subsidiary hazard class 

name of the material as required. 

4. On April 13, 2010, American failed to properly 

monitor the telephone number indicated on the Notice to 

Pilot in Command as required by the hazardous material 

regulations. 

5. By reason of the facts and circumstances described in 

paragraphs 1 through 10 above, American violated the 

following Department of Transportation Hazardous Materials 

Regulations (Title 49 of the Code of Federal Regulations): 

a. Section 175.1(b)) (49 C.F.R. § 175.1(b)), in that 

American transported hazardous material in air commerce 

when it did not comply with the requirements of Subpart A 

of Part 175. (49 C.F.R. § 175, et seq.). 

b. Section 175.33(a) (1)) (49 C.F.R. § 175.33(a) (1), 

in that American transported hazardous material in air 

commerce when it failed to provide the proper shipping 

name, hazard class, and identification number on the 

Notification to Pilot-In-Command form. 

c. Section 175.33(a) (1) (i) (49 C.F.R. § 

17 5. 33 (a) ( 1) ( i)), in that American transported hazardous 

material in air commerce when it failed to provide 

additional description requirements provided in§§ 172.202 

and 172.203 on the Notification to Pilot-In-Command form. 

d. Section 175.33(a) (8)) (49 C.F.R. § 175.33(a) (8), 

in that American transported hazardous material in air 

commerce when it failed to provide a telephone number of a 

person not aboard the aircraft whom the information from 

the pilot-in-command can be obtained and the phone number 

is monitored at all times the aircraft is in flight. 

NOW, THEREFORE, IT IS ORDERED, pursuant to 49 U.S.C. § 

5123(a), that American be and is hereby, assessed a civil 

penalty of $22,500.00. 

American is hereby ordered to pay, immediately, the 

assessed amount by mailing or delivering a certified check, 

money order, or company check in the amount of $22,500.00 

payable to the "Federal Aviation Administration" addressed 

to: 

4 
• 

Federal Aviation Administration 

DOT/FAA MMAC AMZ-350 

PO BOX 25770 

Oklahoma City, Oklahoma 73125-5082 

ATTN: Sonny Rogers 

As an alternative method of payment, civil penalties may be 

paid with a credit card at the following website: 

http://www.pay.gov 

The amount of civil penalty assessed in this order 

constitutes a debt owed to the United States. American has 

now exhausted its right to seek review of the validity or 

amount of this debt. If this debt is not paid in full 

within 30 days of American's receipt of this letter, the 

debt is delinquent. 

For delinquent debts, federal regulation (49 C.F.R. § 

89.23) requires us to charge interest, from the date of 

this Order, at a fixed annual rate of 1.0%, along with an 

administrative charge of $12 per month, representing our 

costs of administrative collection. Furthermore, if the 

full amount assessed is not paid in full within 120 days of 

American's receipt of this letter, we are required to 

assess an additional penalty at an annual rate of 2.625%, 

accruing from the date of delinquency. 

Delinquent debts may be reported to consumer reporting 

agencies or commercial credit bureaus, which could 

adversely affect American's credit rating. Nonpayment of 

this debt may ultimately result in a referral to a 

collection agency, or the United States Department of 

Justice for enforced collection. 

Upon our receipt of American's payment in the amount 

of $22,500.00 American may consider this matter closed. 

5 
• 

DAVID DONNELL 

Acting Regional Counsel 

Southwest Region 

- ·---.......... _\ 

l? i ~ 'L 

BY : ~<'-":j:J.L.f_ £_,!.c:..)~~'--/-Yto:_-~ -_· ...:..:!_-{.,"'--1.41L:.::-;..:...(.-='-/_j'-- ;· __ 

,James 'Ar"'chier, Attorney 

(817) 222-5074 (Phone) 

(817) 222-5945/5092 (Fax) 

cc: FAA/MMAC Accounts Receivable 

CERTIFICATE OF SERVICE 

I certify that this order has been sent on May 13, 2011 by 

certified mail to: 

Mr. Francis C. Heil 

Senior Attorney 

American Airlines 

P.O. Box 619616 

Dallas/Fort Worth Airport 

Texas 75261-9616 

- ----....._ 

( . . · ) ;) /). 

~-dtL-/ tt_u/(&.(./; Dated: May 13, 2011 

//\Ya:mes Archier 

// /F~deral Aviation Administration 

_,/Office of the Regional Counsel / 

~/ Southwest Region 

. ~ 2601 Meacham Blvd., 

~ Fort Worth, Texas 76193-0007 

(817) 222-5074 

6 
U.S. Department 

of Transportation 

Federal Aviation 

Administration 

December 7, 2011 

Via Federal Express 

Southwest Region 

Arkansas, Louisiana, 

New Mexico, Oklahoma 

Texas 

Mr. Jonathan T. Linde 

Managing Director & Senior Counsel 

Regulatory 

United Airlines, Inc. 

77 W. Wacker Drive 

. 16th Floor HDQLD 

Chicago, Illinois 60601 

Office of Regional Counsel, ASW-7 

2601 Meacham Blvd. 

Fort Worth, TX 76137 

(817) 222-5099 

(817) 222-5945/5092 FAX 

Re: Continental Airlines, Inc., FAA Case No. 2010SW700146 

ORDER ASSESSING CIVIL PENALTY 

On September 1, 2011, Continental Airlines, Inc., was 

advised through an Amended Notice of Proposed Civil Penalty that 

the Federal Aviation Administration proposed to assess a civil 

penalty in the amount of $35,850. 

In order to avoid further litigation, the parties have 

agreed to settle this case for $32,000 and Continental Airlines, 

Inc., has agreed to waive any further rights of appeal. This 

order constitutes a finding by the Federal Aviation 

Administration of the facts and regulatory violations contained 

herein. It is determined that: 

1. From May 10, 2010 to May 18, 2010 the Federal Aviation 

Administration ("FAA") conducted a comprehensive hazardous 

material inspection of Continental Airlines, Inc. 

("Continental") at George Bush Intercontinental Airport, 

Houston, Texas. 

2. During this inspection the FAA inspector observed numerous 

discrepancies involving incorrect preparation of Notice to Pilot 

In Command, improper shipping paper acceptance and preparation, 

and lack of an emergency response telephone number on shipping 

papers. 
• • 

3. On or about April 20, 2010, the Notice to Pilot In Command 

for Continental for Flight 632 from Houston, Texas to LaGuardia, 

New York, via air waybill number 00557301893 lacked the prefix 

"UN" in the identification number used for the basic description 

of Dry Ice, UN1845. 

4. On or about March 26, 2010, the Notice to Pilot In Command 

for Continental Flight 146 from Houston, Texas to Chicago, 

Illinois failed to include the technical name description for 

Gas N.O.S., 2.2 on air way bill number 60794707491. 

5. On or about April 9, 2010, the Notice to Pilot In Command 

for Continental Flight Number 1586 from Houston, Texas to 

Orlando, Florida failed to include the loading location for 

items classified as Dangerous Goods in Machinery, hazard class 

9, UN3363 on air waybill 005IAH34342453. 

6. On or about March 24, 2010, the Notice to Pilot In Command 

for Continental Flight Number 1195 from Houston, Texas to Los 

Angeles, California used an incomplete shipping name for Carbon 

Dioxide Solid, hazard class 9, UN1845 on air waybill 

00579051442. 

7. On or about March. 30, 2010 the Notice to Pilot In Command 

for Continental Flight Number 34 from Houston, Texas to London, 

England failed to include the notation for a Limited Quantity 

Shipment for Adhesive, hazard class 3, Packing Group II that was 

offered on air waybill 00595479414. 

8. On or about July 20, 2009, Charles Justice prepared and 

offered a shipping paper on behalf of Continental with air 

waybill 005IAH34369543 for the transport of Flammable Liquid 

NOS, hazard class 3, Packing Group II from Houston, Texas to 

Cleveland, Ohio that did not include the required emergency 

response telephone number. 

9. On or about July 16, 2009 Continental accepted a shipping 

paper, in conjunction with air waybill 00517004470, that lacked 

the identification number, proper shipping name and hazard class 

for Paint, hazard class 3, packing group III. 

10. On or about April 26, 2009, Pedro Berrios prepared a 

shipping paper for Continental that was used in conjunction with 

air waybill 613260736946 to transport Life Saving Appliances, 

self-inflating, hazard class 9 from Houston, Texas to Newark, 

New Jersey. The hazardous material shipping description 

improperly included the notation "RQ". 

2 
• 

11. By reason of the above, Continental violated the following 

Department of Transportation Hazardous Materials Regulations 

(Title 49 of the Code of Federal Regulations): 

a. Section 171.2(e) (49 C.F.R. § 171.2(e)), in that 

Continental offered hazardous material for transportation by air 

in commerce when the material was not properly classed, 

described, packaged, marked, labeled, and in a condition for 

shipment as required or authorized by applicable requirements of 

the hazardous material regulations. 

b. Section 172.200(a) (49 C.F.R. § 172.200(a)), which requires 

that each person offering a hazardous material for 

transportation to properly describe the hazardous material on 

the shipping papers. 

c. Section 172.201(a) (4) (49 C.F.R. § 172.20l(a) (4)) in that 

it offered hazardous material for transportation in air commerce 

when the shipping paper provided additional information that was 

inconsistent with the required description. 

d. Section 172.20l(d)) (49 C.F.R. § 172.201(d))) in that it 

offered hazardous material for transportation in air commerce 

and failed to include an emergency response telephone number on 

the shipping paper as prescribed in subpart G. 

e. Section 172.202(a)(1)(49 C.F.R. § 172.202(a)(l)) in that it 

offered hazardous material for transportation in air commerce 

when the required hazardous material description on the shipping 

papers did not include the identification number prescribed for 

the material as shown in Column 4 of the§ 172.101 Table. 

f. Section 172.202(a) (2) (49 C.F.R. § 172.202(a) (2)) in that it 

offered hazardous material for transportation in air commerce 

when the required hazardous material description on the shipping 

papers did not include the proper shipping name prescribed for 

the material in Column 2 of the§ 172.101 Table. 

g. Section 172.202(a) (3) (49 C.F.R. § 172.202(a) (3)) in that 

it offered hazardous material for transportation in air commerce 

when the required shipping papers did not include the hazard 

class or division number prescribed for the material, as shown 

in Column (3) in the Hazardous Materials Table, referenced in 

section 172.101. 

3 
• • 

h. Section 172.203(b) (49 C.F.R. § 172.203(b)) in that it 

offered hazardous material for transportation in air commerce as 

"limited quantity" without providing the language "Limited 

Quantity" or "Ltd Qty" following the basic description. 

i. Section 172.600 (49 C.F.R. § 172.600) ), which requires that 

each person offering a hazardous material for transportation to 

provide and maintain emergency response information during 

transportation and at the facility where hazardous materials are 

loaded for transportation, stored incidental to transportation 

or otherwise handled during any phase of transportation. 

j. Section 172.604(a) (1)) (49 C.F.R. § 172.604(a) (1)) in that 

it offered hazardous material for shipment by air and failed to 

provide an emergency response telephone number (including area 

code) for use in the event of an emergency involving hazardous 

material that is monitored at all times that the material is in 

transportation, including storage incidental to transportation. 

k. Section 175.30(a) (2) (49 C.F.R. § 175.30(a) (2) in that it 

accepted hazardous material aboard an aircraft and failed to 

ensure that the hazardous material was described and certified 

on a shipping paper prepared in duplicate in accordance with 

part 172 of this subchapter or as authorized by subpart C of 

part 171 of this subchapter. 

1. Section 175.33(a) (1) (49 C.F.R. § 175.33(a) (1) in that it 

accepted hazardous material aboard an aircraft for 

transportation by air and failed to provide the pilot-in-command 

the proper shipping name, hazard class and identification number 

of the hazardous material aboard the aircraft. 

m. Section 175.33(a) (2) (49 C.F.R. § 175.33(a) (2) in that it 

accepted hazardous material aboard an aircraft for 

transportation by air and the operator of the aircraft failed to 

inform the pilot in command of the location of the hazardous 

materials. 

NOW, THEREFORE, IT IS ORDERED, pursuant to 49 U.S.C. § 

5123(a), that Continental be and is hereby, assessed a civil 

penalty of $32,000.00. 

Continental is hereby ordered to pay, immediately, the 

assessed amount by mailing or delivering a certified check, 

money order, or company check in the amount of $32,000.00 

payable to the "Federal Aviation Administration" addressed to: 

4 
c--...~---·· 

• • 

Federal Aviation Administration 

DOT/FAA MMAC AMZ-350 

PO BOX 25770 

Oklahoma City, Oklahoma 73125-5082 

ATTN: Sonny Rogers 

As an alternative method of payment, civil penalties may be paid 

with a credit card at the following website: http://www.pay.gov 

The amount of civil penalty assessed in this order constitutes a 

debt owed to the United States. Continental has now exhausted 

its right to seek review of the validity or amount of this debt. 

If this debt is not paid in full within 30 days of Continental's 

receipt of this letter, the debt is delinquent. 

For delinquent debts, federal regulation (49 C.F.R. § 

89.23) requires us to charge interest, from the date of this 

Order, at a fixed annual rate of 1.0%, along with an 

administrative charge of $12 per month, representing our costs 

of administrative collection. Furthermore, if the full amount 

assessed is not paid in full within 120 days of Continental's 

receipt of this letter, we are required to assess an additional 

penalty at an annual rate of 2.50%, accruing from the date of 

delinquency. 

Delinquent debts may be reported to consumer reporting 

agencies or commercial credit bureaus, which could adversely 

affect Continental's credit rating. Nonpayment of this debt may 

ultimately result in a referral to a collection agency, or the 

United States Department of Justice for enforced collection. 

Upon our receipt of Continental's payment in the amount of 

$32,000.00 Continental may consider this matter closed. 

DAVID DONNELL 

Regional Counsel 

Southwest Region 

~. 

Archier, Attorney 

222-5074 (Phone) 

222-5945/5092 (Fax) 

5 
l 

• • 

cc: FAA/MMAC Accounts Receivable 

CERTIFICATE OF SERVICE 

I certify that this order has been sent on December 7, 2011 by 

Federal Express to: 

Mr. Jonathan T. Linde 

Managing Director & Senior Counsel 

Regulatory 

United Air Lines, Inc. 

77 W. Wacker Drive 

16th Floor HDQLD 

Chicago, Illinois 60601 

( 

~\ ff/. ~ Dated: December 7, 2011 

~ s Archier 

~ ~ deral Aviation Administration 

/ Office of the Regional Counsel 

j' Southwest Region 

· 2601 Meacham Blvd., 

Fort Worth, Texas 76193-0007 

(817) 222-5074 

6 
U.S. Department 

of Transportation 

Federal Aviation 

Administration 

• 

February 26, 2009 

Southwest Region 

Arkansas, Louisiana, 

New Mexico, Oklahoma 

Texas 

Office of Regional Counsel 

Fort Worth, TX 76193-0007 

(817) 222-5099 

(817) 222-5945/5092 FAX 

Certified Mail - Return Receipt 7004 2510 0005 6023 9842 

Ms. Ann M. Aktabowski 

Vice President, Customer Services 

World Airways, Inc. 

101 World Drive 

HLH Building 

Peachtree, Georgia 30269 

Re: World Airways, Inc., FAA Case No. 2007SW700311 

ORDER ASSESSING CIVIL PENALTY 

On January 27, 2009, World Airways, Inc., (hereinafter 

"World Airways") was advised through a Notice of Proposed 

Civil Penalty that the Federal Aviation Administration 

proposed to assess a civil penalty in the amount of 

$32,500.00. 

After considering all the available information 

presented in the Informal Conference on February 25, 2009, 

the parties agreed to settle this case for $25,000.00 and 

World Airways has agreed to waive any further rights of 

appeal. This Order constitutes a finding by the Federal 

Aviati~n Administration of the facts and regulatory 

violations contained herein. The Administrator has 

determined that: 

1. On or about November 5, 2006, World Airways accepted 

and transported a hazardous material shipment from Luanda, 

Angola to Houston, Texas. 

2. The Federal Aviation Administration (hereinafter "FAA") 

became aware of this shipment on October 9, 2008. 

3. The shipment consisted of a package of human blood 

samples suspected of containing Marburg Virus, an 

infectious substance. 
• 

4. The human blood samples, suspected of containing 

Marburg Virus, were inside of box and placed in the 

overhead storage compartment of a passenger aircraft. Dry 

ice was used to cool the sample. 

5. The package was labeled with a "bio hazard sticker." 

6. Marburg Virus is classified as a hazardous material 

under the Department of Transportation Hazardous Material 

Regulations (49 C.F.R. § 172.101). 

7. The proper shipping name for Marburg virus is 

Infectious Substances, affecting humans, 6.2, UN2814. 

8. The package was shipped under Etiological Permit number 

2006-02-077. 

8. The package did not contain a shipper's declaration. 

9. World Airways transported a hazardous material in 

commerce that failed to comply with the applicable 

requirements of subchapter C, subpart A of the hazardous 

material regulations. 

10. World Airways accepted a hazardous material for 

transportation aboard an aircraft when the aircraft 

operator failed to ensure that the hazardous material was 

described and certified on a shipping paper prepared in 

duplicate in accordance part 172 of this subchapter or as 

authorized by subpart C of part 171 of this subchapter. 

11. World Airways accepted hazardous material for 

transportation by air and failed to provide the pilot-incommand with a shipping paper that provided the proper 

shipping name, hazard class, and identification number of 

the material. 

12. World Airways accepted and transported hazardous 

material in the cabin of a passenger-carrying aircraft. 

13. By reason of the foregoing facts and circumstances, 

World Airways violated the following sections of the 

Department of Transportation Hazardous Materials 

Regulations (49 C.F.R. § 171 et.seq. 

a. Section 171.2(f) (49 C.F.R. § 171.2(f) in that it 

transported a hazardous material in commerce that failed to 

2 
• 

comply with the applicable requirements of subchapter C, 

subpart A of the hazardous material regulations. 

b. Section 175.30(a) (2) (49 C.F.R. § 175.30(a) (2) in 

that it accepted a hazardous material for transportation 

aboard an aircraft when the aircraft operator failed to 

ensure that the hazardous material was described and 

certified on a shipping paper prepared in duplicate in 

accordance with p~rt 172 of this subchapter or as 

authorized by subpart C of part 171 of this subchapter. 

c. Section 175.33(a) (1) (49 C.F.R. § 175.33(a) (1) 

accepted hazardous material for transportation by air and 

failed to provide the pilot-in-command with a shipping 

paper that provided the proper shipping name, hazard class, 

and identification number of the material. 

d. Section 175.75(b) (49 C.F.R. § 175.75(b) accepted 

and transported hazardous material in the cabin of a 

passenger-carrying aircraft. 

NOW, THEREFORE, IT IS ORDERED, pursuant to 49 U.S.C. § 

5123, that World Airways be and is hereby, assessed a civil 

penalty of $25,000.00. 

World Airways is hereby ordered to pay, immediately, 

the assessed amount by mailing or delivering a certified 

check, money order, or company check in the amount of 

$25,000.00 payable to the "Federal Aviation Administration" 

addressed to: 

DOT/FAA/MMAC, 

Accounts Receivable, 

AMZ-310, P.O.BOX 25082 

Oklahoma City, Oklahoma 73125-5082 

The amount of civil penalty assessed in this Order 

constitutes a debt owed to the United States. World 

Airways has now exhausted its right to seek review of the 

validity or amount of this debt. If this debt is not paid 

in full within 30 days of World Airways' receipt of this 

letter, the debt is delinquent. 

For delinquent debts, federal regulation (49 C.F.R. § 

89.23) requires us to charge interest, from the date of 

this Order, at a fixed annual rate of 5.125%, along with an 

administrative charge of $12 per month, representing our 

3 
l 

• 

costs of administrative collection. Furthermore, if the 

full amount assessed is not paid in full within 120 days of 

World Airways' receipt of this letter, we are required to 

assess an additional penalty at an annual rate of 3.0%, 

accruing from the date of delinquency. 

Delinquent debts may be reported to consumer reporting 

agencies or commercial credit bureaus, which could 

adversely affect World Airways' credit rating. Nonpayment 

of this debt may ultimately result in a referral to a 

collection agency, or the United States Department of 

Justice for enforced collection. 

Upon our receipt of World Airways' payment in the 

amount of $25,000.00 World Airways may consider this matter 

closed. 

LYNETTE WORD 

Regional Counsel 

Southwest Region 

By: _- )a~Lu!/1 -o--~.m~s ArCJ:er; Attorney 

(81 7) 222-507 4 (Phone) 

(817) 222-5945/5092 (Fax) 

4 
• ' 

CERTIFICATE OF SERVICE 

I certify that this Order has been sent on February 26, 

2009 by certified mail, return receipt requested to: 

( 

Ms. Ann M. Aktabowski 

Vice President, Customer Services 

World Airways, Inc. 

101 World Drive 

HLH Building 

Peachtree, Georgia 30269 

\..._..._ 

B ~~-____-;· ·>fit-7 Dated: February 26, 2009 

..--.---- Ja es Archier 

~ ~deral Aviation Administration 

~/ Office of the Regional Counsel 

' Southwest Region 

2601 Meacham Blvd., 

Fort Worth, Texas 76193-0007 

(817) 222-5074 

5 
• 

RESPONSE TO 1.17 
. !. ·. Part 175 · Carriage by Aircra' ~ ~board an a1rcraft unless the package, o s1de conta1ner, or overpack IS shown on shipping papers by subpart c of part 171 f . ff 

Inspected by the ?pera~or of the aircraft immediately before placing it: subchapter must also be shown in the notification. 

0 

th,s .tl!!l!l 

75.31 

(1) Aboar~ the aJrc~aft, or . - . . (2) The total number of packages; 't'J 

(2} In a unit load devtc~ or on a pallet pn?rto /oadmg aboa~d the atrcra~. (3) The net quantity or gross weight, as applicable, for each ac • 

(c) A hazardous .maten.al may be earned aboard an a1rcra~ only 1f, age except those containing Class 7 (radioactive) materialp F k- ~ b~sed on the 1nspect1on. ~y the operator, the package, outs1de con- a shipment consisting of multiple packages containing has. or 41 

ta1ner, or overpack conta1n1ng the hazardous material: ous materials bearing the same proper shipping name zard- II!F£ 

(1) Has no holes, l~akage or other indication that its integrity has identificat.ion number, only the total quantity and an indicatio~~~ • 

been compromised; and· the quantity of the largest and smallest package at each load· "!1 

(2) For,C(ass 7 (radioactive) materials, does not have a broken location need to be provided; lng 11M 

~eal, except pac~ages. contained in overpacks ·need not be (4) The location of the packages aboard the aircraft; ~ mspected for sealmtegnty. , (5) Confinnation that no damaged or leaking packages have been • 

(d) The requirements of paragraphs (b) and (c) of this section do loaded on the aircraft; \'l 

not apply to Dry ice _(c~rbon dioxide, solid}. . . (6) For Class 7 (rad~oactive) "!aterials, the number of packages ~ 

{e) An overpack contammg packages of hazardous matenals may overpacks or fre1ght contamers, their category, transport inde~ ~ be acc::epted only if the operator has taken all reasonable steps to (if applicable), and their location aboard the aircraft; .t 

establish that: . 1 _ , . (7) The date of the flight; ~ 

(1) The overpack doe~ not contain a package bearing the' "CARGO (8) The teleph~ne num~er of a P.erso~ not aboard the aircraft from 1 

AIRCRAFT ONLY label unless- whom the mformat1on contamed 1n the notification of pilot-in- " 

(i) The overpack affords clear visibility of and easy access to command can be obtained. The aircraft operator must ensure Iii 

the package; t~e telephone number is monitored at all times the aircraft is in ~ 

(ii) ~he package contains a materia/which may be carried inacces- flig~t. T~e teleph.on~ number is n~t required to be placed on the ej 

s1bly under the provisions of §175.75(e); or not1fi?at1~:m of Pllot-1~-con:mand 1f the phone number is in a ~ 

(iii) Not more than one package is overpacked. locat~on m. the cockpit available and known to the flight crew. llliii 

(2) The proper shipping names, identification numbers, labels and (9) G_onftrm_a~ton that the p~ckage must be carried only on cargo '.: 

special handling instructions appearing on the inside packages are aJrc~aft If ~ts transportation aboard passenger-carrying aircraft is .a 

clearly visible or reproduced on the outside of the overpack, and forbl~de~, a_nd . ".! 

(3) Has determined that word "OVERPACK': or until October 1, (10) A~ mdtcat!on, when applicable, th~t a haz_ardous material is iii 

2007 a statement to the effect that the inside packages comply betng earned under terms of a spec1al perm1t. ~ 

with the prescribed specifications, appears on the outside of the (11) For UN1845, C?a~bon dioxide, solid (dry ice), only the UN num- .llliii 

overpack, when specification packagings are prescribed. ber, proper sh1pp1n~ name, hazard class, total quantity in each ~ hold aboard the a1rcraft, and the airport at which the pack- •. 

§175.31 Reports of discrepancies. age(s) is to be unloaded must be provided. ~ 

(a) Each person who discovers a discrepancy, as defined in para- (b) A copy of the written notification to pilot-in-command shall be a 

graph_ (b) of t~is ~ection, relative to the shipf!lent of a hazardous readily av~ilable t~ the pilo!-in-command during flight. Emergency ..:: 

matenal followmg 1ts acceptance for transportation aboard an aircraft response mformat1on reqwed by Subpart G of Part 172 of this 

shall, as soon as practicable, notify the nearest FAA Regional or Field subchapter must be maintained in the same manner as the written @ 

Security Office by telephone or electronically, and shall provide the notification to pilot-in-command during transport of the hazardous Iii 

following information: material aboard the aircraft. ~ 

( 1) Name and telephone number of the person reporting the discrepancy. (c) The aircraft operator must - ail 

(2) Nam~ of the ~ircraft oper~tor. (1) Retain~ Cf?PY of the shipping r:aper required by §175.30(a)(2) or an "'= 

(3) Spectfic location of the shtpment concerned. electromc 1n:age thereof, that 1s accessible at or through its principal •. 

( 4) Name of the shipper. place of bus1ness and must make the shipping paper available upon 

(5) Nature of discrepancy. request, to an authorized official of a federal, state, or local g~vem- (6) Address of the shipper or person responsible for the discrep- ment agency a! r~asonable times and locations. For a hazardous @ 

ancy, if known, by the air carrier. waste, each s~lp~lng paper copy must be retained for three years " 

(b) Discrepancies which must be reported under paragraph (a) of after the mat~nal· IS acce~te~ by the initial carrier. For all_ other haz- .., 

this section are those involving hazardous materials which are ardous matenals, each sh1pp1ng pap~r ~PY must be reta1n.~. by the 

improperly described, certified, labeled, marked, or packaged, in a ~perator for ~:m~ year after the maten~l1s accepted by the Initial car- 4 

manner not ascertainable when accepted under the provisions of ner. Each s_hlpping paper copy mu~t !~elude the date of acceptance 

§175.30(a) of this subchapter including packages or baggage which by_ the can:er. The ~ate o~ the sh1pp~ng pa~er may be the date a 4l 

are found to contain hazardous materials subsequent to their being ~hipper ~ot~fies the air cam.er t_hat a ~h1pmen_t 1s ready for transporta- ... 

offered and accepted as other than hazardous materials. tJon, as Jndlcat~d on th.e a~r bill or bill of lad1ng, as an alternative to t' 

the_ d.~te the _shipment IS p1cked up or accepted by the carrier. Only 

§175.33 Shipping paper and notification of 

pilot-in-command. 

(a) When a hazardous material subject to the provisions of this subchapter is carried in an aircraft, a copy of the shipping paper required 

by §175.30(a)(2) must accompany the shipment it covers during 

transportation aboard the aircraft, and the operator of the aircraft 

must provide the pilot-in-command with accurate and legible written 

information as early as practicable before departure of the aircraft, 

which specifies at least the following: 

(1) The proper shipping name, hazard class and identification number of the material, including any remaining aboard from prior 

stops, as specified in § 172.1 01 of this subchapter or the ICAO 

Technical Instructions. In the case of Class 1 materials, the 

compatibility group letter also must be shown. If a hazardous 

material is described by the proper shipping name, hazard 

class, and identification number appearing in: 

(i) Section 172. 101 of this subchapter. Except for the requirement to indicate the type of package, any additional description requirements provided in §§172.202, and 172.203 of 

this subchapter must also be shown on the notification. 

(ii) The /GAO Technical instructions (IBR, see §171.7 of this 

subchapter), any additional information required to be 

an l~ltJal earner ~ust receive and retain a copy of the shipper's certi- lli1ii 

ticat1on, as reqUired by §172.204 of this subchapter. • 

(2) Ret~i~ a copy of each notification of pilot-in-command, an elec- .; 

tromc 1mage thereof, or the information contained therein for 90 'I!!! 

days ~t the airport of departure or the operator's principal place .ali 

of busmess. • 

( 3) Hav~ the inforrr:ation required to be retained under this paragraph •.· 

readily ac?ess1ble at the airport of departure and the intended air- W 

port of arnval for the duration of the flight leg. •. 

(4) Make available, upon request, to an authorized official of a Fed- ll!!!' 

era!, State, or local government agency (including an emer- .&_· 

gency responder(s)) at reasonable times and locations the 'I! 

documents or information required to be retained by this paragraph. In the event of a reportable incident, as defined in • 

§171.15 of this subchapter, make immediately available to an .& 

authorize.d official of a Federal, State, or local government 'l!!l ag~ncy (m~luding an emergency responders), the documents 

or mformat1on required to be retained by this paragraph. i 

(d) The docume~ts re_quired by paragraphs (a) and (b) this section 8 

may be combmed mto one document if it is given to the pilot-in- • 

command before departure of the aircraft. •