PROTOCOL UNDER NHTSA PRESERVATION ORDER
 

Pursuant to Paragraphs 18 and 21 of the Preservation Order and Testing Control Plan issued by 

the National Highway Traffic Safety Administration (“NHTSA”) on February 25, 2015 (the 

“Preservation Order”), TK Holdings Inc. (“Takata”) submits this Protocol to detail the current 

procedures for preservation and testing of inflators within Takata’s possession, custody, and 

control under the Preservation Order and establish a framework under which the ten vehicle 

manufacturers identified in Paragraphs 2 and 17 of the Preservation Order (hereinafter, the 

“OEMs”), private parties to civil litigation, or a consortium of the OEMs or private parties may 

apply for and potentially receive Takata inflators for testing provided they satisfy certain legal 

and safety requirements. 

Takata acknowledges that NHTSA reserves the right to revisit this Protocol should it determine 

that changes to this Protocol are warranted based upon later-acquired information or changes in 

circumstances. Takata will make prompt and reasonable efforts to accommodate any such 

changes in response to a written request from NHTSA. 

Takata will train relevant employees to ensure that they understand and can apply the Protocol 

consistent with the Preservation Order. 

This Protocol is organized around the inflator categories as defined in Paragraphs 3 and 4 of the 

Preservation Order and contains the specific steps for the preservation and proposed testing 

discussed in Paragraphs 14-17 and the procedural requirements set forth in Paragraph 18. 

Ruptured Inflators (¶ 4) 

Except for testing, inspection, or analysis, as provided for by the terms of the Preservation Order, 

Takata will take actions reasonably designed to ensure that ruptured inflators from field events 

currently in Takata’s possession or that may come into Takata’s possession are secured and 

preserved in unaltered form, including by storing them in a locked, secured, heated area in 

Michigan with access limited to members of Takata’s Product Safety Group (“PSG”) and other 

authorized personnel. Takata will provide NHTSA with the list of designated employees 

separately upon NHTSA’s request. Components of ruptured inflators are and will be kept in 

separate totes identified by, to the extent available, automobile model and model year, inflator 

type, inflator serial number, an internal reference number, and, where applicable, case or 

claimant name. To the extent the aforementioned information is not available, Takata generally 

takes the following steps to identify that information: (i) requesting the applicable VIN number 

from OEMs and/or (ii) seeking the missing information from a third-party source, such as 

Carfax. Ruptured components are and will be logged in and out of the secure storage area for 

inspection. The access log will be retained and available for inspection by NHTSA. Any 

inspection of ruptured components must be witnessed and supervised by an authorized Takata 

employee. 
Recalled or Returned Inflators (¶ 3) 

For recalled or returned inflators, within the meaning of Paragraph 3 of the Preservation Order, 

received by and within the possession, custody, and control of Takata, Takata gathers the 

following information upon intake: inflator serial number; replacement kit serial number; name 

of OEM; dealer zip code; and date received. To the extent available, Takata also collects upon 

intake the automobile model and model year. Takata currently relies on shipping carrier data for 

shipping dates and stores such data in a manner that is not dependent on access by the carrier. 

Takata has a system in place to track the physical location of all recalled or returned inflators. 

Except for testing, inspection, or analysis, as provided for by the terms of the Preservation Order, 

Takata will take actions reasonably designed to ensure that the inflators are secured and 

preserved in unaltered form, including by storing them in a locked, secured, heated facility in 

Michigan. Access to recalled or returned inflators is limited to warehouse employees, members 

of PSG, and other authorized personnel. 

In the event Takata deems it necessary or appropriate to send recalled or returned inflators 

outside of the United States for testing or analysis, Takata will ensure that the inflator 

components are returned to Takata’s facility in Michigan, along with any test results. Takata 

will also inform the Director of the Office of Defects Investigation at NHTSA, in writing, that it 

is sending such inflators outside the United States for testing. All test data is currently being 

maintained on Takata servers. Takata is providing all test data to NHTSA on a regular basis, 

including any data from any tests requested by an OEM, and it will continue to do so. 

Documents, data, and tangible things reasonably anticipated to be relevant to the subject of 

NHTSA’s investigation, including records and materials associated with Takata’s testing of 

recalled or returned inflators, are currently being preserved under Takata’s internal litigation 

hold and the NHTSA Preservation Order. Test results and data (including photographs or video, 

if any) are currently captured and saved on a Takata business server in Armada, Michigan. 

Takata is providing such test results and data to NHTSA on a regular and as-requested basis. 

Relevant Takata employees are being reminded on a regular basis regarding the obligation to 

preserve documents, materials, and data related to inflator testing. 

Takata is currently working to implement a data vault system related to inflator testing. The data 

vault system will be supported with a master database in Armada, Michigan that will be 

replicated to a redundant database in Auburn Hills, Michigan. Some test data and results will be 

added directly to the Armada database without any human involvement (Takata employees can 

add or view data but not delete it). Other test data that requires manual input will be added to the 

Armada database. Once added, the data cannot be modified or deleted. Images of inflators from 

Takata’s CT Imaging Unit or received from an outside source will be added to the Armada 

database. Once images are added to the database they cannot be deleted or modified. Following 

initial roll-out of this data vault model, historic test and CT data will be added to the Armada 

master database, which again will be replicated on the redundant Auburn Hills database. Takata 

is currently working to develop a parallel data vault model for any testing that occurs in Moses 

Lake, Washington. The data vault system will bolster Takata’s current preservation efforts and 

enhance Takata’s ability to report test data to NHTSA as required. Finally, internal Takata 

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written communications regarding testing requests or results will be limited to email. Email is 

being preserved by the end user for litigation or investigation purposes. 

Takata has developed classifications for all recalled or returned inflators in Takata’s possession, 

custody, or control using the following criteria: inflator type, OEM, State (as defined in 49 

U.S.C. § 30102(a)(10)), year of inflator manufacture, and, where the information is available, 

automobile model and model year. Ten percent of each of these individual inflator inventory 

classifications will be set aside as specified in the Preservation Order. For the purpose of 

achieving reasonable diversity of inflators within these classifications, inflators in each 

classification will be selected for set-aside on a random basis. 

Takata is in the process of developing inventory control numbers for recalled or returned 

inflators in Takata’s possession, custody, or control. Takata anticipates that the inventory control 

numbers for returned or recalled inflators received by Takata will continue to increase for the 

foreseeable future as additional inflators are received. Those inventory control numbers will be 

used to block or prevent the pulling or shipment of any inflators for testing by Takata or an OEM 

that would impact the set-aside for one or more classifications. Takata will not pull or ship any 

inflators for testing by private plaintiffs in any civil litigation to the extent that fulfilling the 

request would reduce the number of inflators that have been set aside in any classification below 

70 percent of the number of inflators then remaining in the relevant set-aside at the time the 

request is fulfilled (the “specified minimum”). With the approval of NHTSA, Takata may adjust 

this specified minimum up or down as necessary to allow sufficient inflators in particular 

classifications to be available to fulfill future requests from private plaintiffs. 

The automobile model and model year of the recalled or returned inflators is the type of 

information that is in the exclusive possession of OEMs. Takata has previously requested that 

OEMs provide in electronic form the automobile model and model year for the returned or 

recalled inflators. Takata will reiterate its request to the OEMs for that information. Takata has 

also recently developed replacement inflator kits that will enable it to reasonably estimate the 

automobile model of the returned or recalled inflator. For that reason, Takata proposes to rely on 

randomized selection of inflators for set aside within each classification as the method to help 

achieve the reasonable diversity of set-aside inflators contemplated by Paragraph 16. 

Other Ammonium Nitrate-Containing Inflators (¶ 4) 

For other ammonium nitrate-containing inflators removed from vehicles in the United States 

within the meaning of Paragraph 4 of the Preservation Order and received by Takata and within 

Takata’s possession, custody, or control, Takata gathers the following information upon intake: 

inflator serial number; replacement kit serial number; name of OEM; dealer zip code; and date 

received. To the extent available, Takata also collects upon intake the automobile model and 

model year. Takata currently relies on shipping carrier data for shipping dates and stores such 

data in a manner that is not dependent on access by the carrier. Takata is able to track the 

physical location of all such other ammonium nitrate-containing inflators in its possession. 

Except for testing, inspection, or analysis, as provided for by the terms of the Preservation Order, 

Takata will take actions reasonably designed to ensure that the inflators are secured and 

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preserved in unaltered form, including by storing them in a locked, secured, heated area with 

access limited to warehouse employees, members of PSG, and other authorized personnel. 

In the event Takata deems it necessary or appropriate to send recalled or returned inflators 

outside of the United States for testing or analysis, Takata will ensure that the inflator 

components are returned to Takata’s facility in Michigan, along with any test results. All test 

data is currently being maintained on Takata servers. Takata is providing all test data to NHTSA 

on a regular basis, including any data from any tests requested by an OEM, and it will continue 

to do so. 

Requests By OEMs And By Private Plaintiffs to Takata for Non-Takata Testing 

Attached to this Protocol is an application packet, which includes the following: written 

application for shipment of inflators for testing; certification or satisfactory proof that the 

recipient is qualified to safely handle and test the requested inflators; agreement to be responsible 

for shipping and handling costs; the Acknowledgement of Preservation Obligation attached to 

the Preservation Order; and a Release of Takata. 

The written application will require the applicant to identify the name of the person or entity 

submitting the request; address; phone number; email address; and the number of inflators that it 

is requesting. The applicant shall also have the opportunity, but is not required, to identify the 

inflators requested for testing purposes by the following classifications: inflator type, OEM, 

State from which the inflator was obtained, year of inflator manufacture, automobile model, and 

automobile model year. If an applicant is requesting inflators from one or more classification, it 

shall indicate the number requested from each such classification. In addition, consistent with 

Paragraph 18.d of the Preservation Order, the application will require the applicant to provide the 

name, address, telephone number, and email address of the person or entity responsible for 

providing information on the applicant’s inspection, testing or analysis to NHTSA. Pursuant to 

Paragraph 18.c of the Preservation Order, the applicant shall also submit an executed copy of 

Exhibit A to the Preservation Order along with the written application. 

Following receipt of a complete application, Takata will determine whether it has sufficient 

inflators in the relevant classification(s) in its inventory to fulfill the request in a manner that is 

consistent with the terms of the Preservation Order and this Protocol. If a request from a private 

plaintiff would cause the number of inflators in any classification to fall below the relevant 

specified minimum described above for recalled or returned inflators, Takata will deny or modify 

such request unless the private plaintiff obtains written approval from NHTSA to receive 

inflators from the preservation inventory in response to such request. 

Takata will endeavor to respond to completed written applications in seven (7) business days. In 

some instances, Takata may need to communicate directly with the applicant in order to properly 

process the application. The time spent in addressing such issues shall extend Takata’s response 

time. Takata will endeavor to ship the requested inflators within five (5) business days of 

approval of an application. These time periods may need to be extended depending on work 

mandated by the current recalls and other safety actions or by the volume of requests for inflators 

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for testing. Takata will track the applications and its responses and initially provide weekly 

status reports to NHTSA. This schedule may be modified by NHTSA as it deems appropriate. 

Takata will be entitled to reject or modify an application for a number of reasons including, but 

not limited to: incomplete application; insufficient information to permit Takata to accurately 

identify the requested inflators; refusal to pay the costs associated with the shipping and handling 

of the requested inflators to the applicant; or a substantial risk that fulfilling the request will 

result in insufficient inflator inventory to respond to anticipated future requests. 

In an effort to address any potential concerns on the part of the Pipeline and Hazardous Materials 

Safety Administration of the U.S. Department of Transportation (“PHMSA”) and the Bureau of 

Alcohol, Tobacco, Firearms, and Explosives of the U.S. Department of Justice, Takata will ship 

the requested inflators in accordance with applicable regulations. Takata will communicate 

directly with and obtain approvals from PHMSA at DOT headquarters regarding the permitting 

and transportation of inflators pursuant to the Preservation Order. The shipment will be 

accompanied by a letter identifying the classifications of inflators shipped to the applicant, if 

applicable, (e.g., inflator serial number; replacement kit serial number; name of OEM; dealer zip 

code; date, and/or automobile model and model year) and a reminder of the obligations imposed 

by the NHTSA Preservation Order. 

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APPLICATION PACKET
 

[Requesting Applicant’s name and address] 

[Date] 

TK Holdings Inc. 

2500 Takata Drive 

Auburn Hills, MI 48326 

Attn: Inflator Request Dept. 

Re: Application to Receive Inflators for Inspection, Testing, or Analysis 

Dear Takata: 

Pursuant to the Preservation Order and Testing Control Plan issued by the National 

Highway Traffic Safety Administration (“NHTSA”) on February 25, 2015 (the “Preservation 

Order”), the undersigned Applicant hereby requests inflators collected by TK Holdings Inc. 

(“Takata”) as part of certain recalls or other safety actions being conducted by certain vehicle 

manufacturers in the United States for inspection, testing, and/or analysis. The number of 

inflators requested and, should the Applicant desire specific types of inflators, the 

classification(s) of inflators requested, including the number of inflators from each classification, 

are set out below or on an attached spreadsheet containing the specified information. 

Number of inflators requested: ________________________________________________ 

Inflator type(s): ______________________________________________________________ 

State(s) from which inflators were obtained: _______________________________________ 

Inflator year(s) of manufacture: _________________________________________________ 

OEM(s): _____________________________________________________________________ 

Other (e.g., inflator serial number range):__________________________________________ 

Pursuant to paragraph 18 of the Preservation Order, Applicant hereby certifies that it is 

qualified to safely handle and test inflators in accordance with all applicable laws and 

regulations. Applicant further certifies that it has agreed to provide to NHTSA, upon NHTSA’s 

request, all data and other records reflecting the results of inspection, testing, or analysis of 

Takata inflators conducted by Applicant in accordance with the terms of Exhibit A to the 

Preservation Order, and that it has included with this application an executed copy of Exhibit A 

to the Preservation Order. Applicant also agrees to pay all costs associated with the shipping and 

handling of the requested inflators to Applicant. The individuals responsible for providing 

information regarding Applicant’s inspection, testing, or analysis of Takata inflators to NHTSA 

are: 

Name(s): _____________________________________________________________________ 

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Address(es): __________________________________________________________________ 

Phone number(s): _____________________________________________________________ 

Email address(es): _____________________________________________________________ 

Your signature below indicates that the facts stated above are true to the best of your 

knowledge and your agreement to abide by the terms set forth herein. 

 Sincerely,

 By:___________________________ 

Name of Applicant: 

 Name of Authorized Representative: 

 Address:

 Phone: 

 Email: 
 

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RELEASE OF TAKATA 

WHEREAS, pursuant to the Preservation Order and Testing Control Plan issued by the 

National Highway Traffic Safety Administration (“NHTSA”) on February 25, 2015 (the 

“Preservation Order”), the undersigned Applicant has requested that TK Holdings Inc. 

(“Takata”) provide it for inspection, testing, and/or analysis certain inflators collected by Takata 

as part of certain recalls or other safety actions being conducted by certain vehicle manufacturers 

in the United States; 

WHEREAS, if Applicant’s request is approved by Takata, Applicant will take into its 

possession, custody, and control certain inflators provided by Takata pursuant to the Preservation 

Order; 

WHEREAS, neither Takata nor any of its parents, subsidiaries, or affiliates will retain 

custody or control over the inflators provided to Applicant pursuant to the Preservation Order; 

WHEREAS, neither Takata nor any of its parents, subsidiaries, or affiliates will 

participate in any storage, handling, inspection, or testing of such inflators transferred to 

Applicant; 

WHEREAS, such storage, handling, inspection, and testing may involve both known and 

unknown risks of injury to persons or property, as well as the potential for destruction, 

degradation, or loss of the inflator units; 

NOW THEREFORE, Applicant, on behalf of its parents, subsidiaries, affiliates, officers, 

successors, or assigns, does hereby agree to release and discharge Takata, as well as all of its 

parents, subsidiaries, affiliates, officers, employees, agents, successors, or assigns, from any and 

all liabilities, claims, demands, actions, or causes of action of any kind or nature, whether in law 

or in equity, whether anticipated or unanticipated, that may in any manner arise out of or relate to 

Applicant’s possession, custody, or control of such inflators, including but not limited to the 

storage, handling, testing, or inspection of such inflators, from the date of the signing of this 

Release forward. Any storage, handling, inspection, testing, or related activities shall be 

undertaken entirely at the discretion of the Applicant and with full intent to assume any related 

risks, including but not limited to risks of injury or death to persons or of damage to property that 

might occur in the course of storing, handling, inspecting, or testing such inflators. 

Applicant further agrees that prior to having its employees, agents, experts, and/or other 

third-party contractors handle, inspect, and/or test the inflators, it will require such employees, 

agents, experts, and/or other third-party contractors to agree, in writing, to comply with, and be 

bound by, this Release. 

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Dated:________________ 

APPLICANT 

By:___________________________ 

Name of Applicant:_______________________ 

Name of Authorized 

Representative:__________________________ 

Address:_______________________________ 

Phone: ________________________________ 

Email:_________________________________ 

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