Case 1:17-cv-00770-JDW Document 224-19 Filed 10/05/23 Page 1 of 9 PageID #: 19032
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`Exhibit 49
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`Case 1:17-cv-00770-JDW Document 224-19 Filed 10/05/23 Page 2 of 9 PageID #: 19033
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`CONTAINS CONFIDENTIAL BUSINESS INFORMATION
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`UNITED STATES INTERNATIONAL TRADE COMMISSION
`WASHINGTON, D.C.
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`Before the Honorable David P. Shaw
`Administrative Law Judge
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`
`
`In the Matter of
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`CERTAIN ROAD MILLING MACHINES
`AND COMPONENTS THEREOF
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`Investigation No. 337-TA-1067
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`INITIAL WITNESS STATEMENT OF MR. CONWELL K. RIFE, JR.
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`RX-0988C.0001
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`RX-0988C
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`the marketing team where I was the Sales Support Manager. I stayed in that position utill
`October of 2016 when I returned back to Engineering as the Engineering Manager of
`Current Products. In January 2018 I took the role of World Wide Quality Manager.
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`Q22. Can you describe your education?
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`A:
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`I hold a Bachelor of Science in mechanical engineering degree from University of
`Maryland. I have a Master of Business Administration degree from St. Thomas
`University in Minnesota.
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`II.
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`PRIOR ART CATERPILLAR MACHINES
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`A.
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`PM-565
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`Q23. Mr. Rife, you mentioned the PM-565 earlier. Are you familiar with the Caterpillar
`PM-565 Cold Planer?
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`A:
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`Yes, I am. I was the lead engineer on the PM-565. I am very familiar with the design and
`functionality of the PM-565 cold planer.
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`Q24. I’m handing you RX-0001. Do you recognize this document?
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`A:
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`Yes. This is the PM-565 Cold Planer Operation & Maintenance Manual No. KEBU6664-
`02, dated January 1995. I may refer to RX-0001 as “PM-565 OMM.”
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`Q25. I’m handing you RX-0002. Do you recognize this document?
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`A:
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`Yes. This is the PM-565 Cold Planer Parts Manual No. KEBP0105-06, dated November
`1999. I may refer to RX-0002 as “PM-565 Parts.”
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`Q26. I’m handing you RX-0003. Do you recognize this document?
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`A:
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`Yes. This is the PM-565 Service Training Meeting Guide 9008 No. QESV9008, dated
`August 1993. I may refer to RX-0003 as “PM-565 STMG.”
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`Q27. What is your understanding of the general function of the PM-565 machine?
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`A:
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`The PM-565 is a front material discharge cold planer. The PM-565 operates by milling
`road surfaces to a specified grade and slope. The PM-565 has a rotor, which is
`surrounded by a rotor housing. The rotor has cutting bits which are used to mill road
`surfaces. The PM-565 also has other features that were designed to improve safety,
`comfort, and operator access to parts of the machine for maintenance.
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`Q28. Did the PM-565 have a scraper blade?
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`A:
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`Yes, it had a scraper door behind the rotor.
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`Q29. Why did the PM-565 have a scraper door?
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`3
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`RX-0988C.0004
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`could want to match an adjacent surface depth. Third, the operator could want to take
`some of the variability or bumps out of the road. Fourth, the operator could want to put in
`a slope or crown on the surface. The PM-565 was able to perform all of these modes to
`meet these needs.
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`Q46. When taking measurements and repositioning the rotor during milling on the PM-
`565, how many legs were used?
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`A:
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`On the PM-565, only the front two legs were used to adjust the cutting depth.
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`Q47. Are you familiar with the concept of kickback?
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`A:
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`Yes. The way I used the term is that kickback is an undesired motion when it strikes a
`hard object. If the drum encounters an obstacle, because the drum is rotating in the
`rearward direction, the machine could be propelled backwards very quickly.
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`Q48. Did the PM-565 have any features to prevent machine kickback?
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`A:
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`Yes, the PM-565 had a kickback ski.
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`Q49. What is a kickback ski in general?
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`A:
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`A kickback ski is a mechanical part that glides along the ground surface during milling
`operation.
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`Q50. Can you describe the design of the kickback ski on the PM-565?
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`A:
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`In the PM-565, the ski was mounted to the conveyor in front of the drum. The ski was
`weighted so that it would float along on the ground surface during milling. The entire ski
`assembly was hinged, and would hang down at an adjustable height. The ski had a plate
`and a proximity switch. If the ski moved forward relative to the chassis, the plate would
`move and trigger the proximity switch. That would trigger a kickback event. This
`disengages the clutch and stops the cutter drum. It would also cause the machine to stop
`moving forward.
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`Q51. How did the PM-565 execute the kickback functionality?
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`A:
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`It used software.
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`Q52. Are you familiar with that software?
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`A:
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`Yes, I am familiar with it. I helped develop the software requirements, but I did not
`personally write the software. I do understand how the software functioned.
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`Q53. Can you describe the software for the kickback functionality in more detail?
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`7
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`RX-0988C.0008
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`A:
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`It was on sale throughout the 1990’s and into the 2000’s. As shown in RPX-0003C, at
`least sixty-five PM-565 machines were sold in the United States between 1993 and 2000.
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`Q64. I’m handing you RX-1158C and RX-0129C. Do you recognize these documents?
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`A:
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`Yes, these are invoices for sales of PM-565 machines.
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`Q65. What do these invoices describe?
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`A:
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`These are invoices from several sales of PM-565 machines in the United States in the
`1990’s. RX-1158C shows that the PM-565 machine with Serial Number 3TK00084 was
`sold in the United States by Caterpillar dealer Ziegler Inc. to customer Midwest Asphalt
`on March 15, 1995. RX-0129C shows that the PM-565 machine with Serial Number
`3TK00096 was initially loaned from Caterpillar Inc. to Louisiana Machinery Co. on
`September 15, 1995. RPX-0003C shows that this machine was later purchased on
`October 28, 1995.
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`Q66. How do you know that the specific features described in the manuals RX-0001, RX-
`0002, and RX-0003 were present in the PM-565 machine during the 1990s?
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`A:
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`I know from personal experience. For instance, the rear door design, the rotor turning
`device design, and the kickback ski design remained the same throughout the production
`of the PM-565. The manuals described the features of the particular machines with the
`applicable Serial Number range listed in the manual. For example, by looking at the
`manual, you can tell that PM-565 OMM applied to machines with Serial Numbers 3TK1
`and up. By looking at the manual, you can see that PM-565 Parts applied to machines
`with Serial Numbers 3TK1-112. And by looking at the manual, you can also see that PM-
`565 STMG applied to machines with Serial Numbers 3TK00040 and up. As you can see
`in RPX-0003C, fifty-seven PM-565 machines were sold prior to June 19, 1997 that fell
`within Serial Number ranges 3TK00040 through 3TK00112. Each manual listed applies
`to each of the two specific PM-565 machines we talked about earlier (3TK00084 and
`3TK00096). So based on my understanding of the design and functionality of the PM-
`565, and based on what I have seen in these manuals, I can confirm that the features
`described in the manuals were present in PM-565 machines sold during the 1990’s.
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`Q67. I’m handing you RX-0062C and RX-0085. Do you recognize these documents?
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`A:
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`Yes, these are Caterpillar documents that I have reviewed. RX-0062C is a document
`showing a Caterpillar corporate policy. RX-0085 is a screenshot from Caterpillar’s
`website showing Caterpillar manuals available for sale.
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`Q68. Referring back to RX-0001, RX-0002, and RX-0003, do you know whether these
`PM-565 manuals are publicly available?
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`A:
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`Yes, they are publicly available. First of all, every Caterpillar machine sold is sent to the
`dealer and customer with a copy of the OMM and Parts Manuals. This is a Caterpillar
`policy reflected in RX-0062C. Also, any individual could purchase the OMM and Parts
`Manual from Caterpillar dealers or from the Caterpillar website. RX-0085 shows that the
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`RX-0988C.0010
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`manuals are still available for purchase today. The PM-565 STMG was given to
`customers, students, dealers, and training staff.
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`Q69. Do you know whether RX-0001, RX-0002, and RX-0003 were publicly available
`prior to 2000?
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`A:
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`Yes. Each of the PM-565 machines that were sold beginning in 1992 came with a copy of
`the OMM and Parts Manuals. Members of the public could obtain these manuals by
`purchasing a PM-565 machine. Also, as I mentioned, these manuals were separately
`available for purchase from Caterpillar dealers. The PM-565 STMG was available to
`customers, students, dealers, and training staff during that time, as part of training
`sessions.
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`B.
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`PM-465
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`Q70. Are you familiar with the Caterpillar PM-465 Cold Planer?
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`A:
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`Yes, I am. I did not personally develop the PM-465, but I am familiar with it.
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`Q71. I’m handing you RX-0027. Do you recognize this document?
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`A:
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`Yes. This is the PM-465 Operation and Maintenance Manual No. KEBU6879-02, dated
`June 2003. I may refer to RX-0027 as “PM-465 OMM.”
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`Q72. I’m handing you RX-0028. Do you recognize this document?
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`A:
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`Yes. This is the PM-465 Service Training Meeting Guide 9459 No. QESV9459, dated
`December 1998. I may refer to RX-0028 as “PM-465 STMG.”
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`Q73. What is your understanding of the general function of the PM-465 machine?
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`A:
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`Generally, the PM-465 has the same functionality as the PM-565.
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`Q74. Did the PM-465 also have a kickback ski?
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`A:
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`Yes, it did. The kickback ski on the PM-465 was very similar to the PM-565. The major
`difference was the location of the ski. On the PM-465, the kickback ski was located
`behind the drum and was mounted on the rear door of the machine, rather than on the
`conveyor. Otherwise, the kickback ski worked the same way.
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`Q75. Do you know whether the PM-465 had any software relating to the kickback
`functionality?
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`A:
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`Yes, it did.
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`Q76. Are you familiar with that software?
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`A:
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`Yes, I am familiar with it at a high level.
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`10
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`RX-0988C.0011
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`Q77. Can you describe how it functioned?
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`A:
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`The software for the PM-465 was similar to the software for the PM-565. Like in the PM-
`565, if a kickback event occurs, the software causes the machine to stop, disengage the
`clutch, and apply the brakes to the rotor.
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`Q78. Do you know when the PM-465 machine was first placed on sale in the United
`States?
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`A:
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`The PM-465 was first sold in the United States in 1997. It continued to be sold
`throughout the 1990’s and 2000’s. RPX-0003C shows that at least forty-seven PM-465
`machines were sold in the United States between 1997 and 2004.
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`Q79. I’m handing you RX-0221C and RX-0223C. Do you recognize these documents?
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`A:
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`Yes, these are screenshot from Caterpillar’s CMOPS database.
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`Q80. What is CMOPS?
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`A:
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`CMOPS is used at Caterpillar to track the sale and delivery of machines.
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`Q81. Do these CMOPS printouts show any specific sales of PM-465 machines in the
`United States?
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`A:
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`Yes, they do. Just as one example, RX-0221C shows that the PM-465 with Serial
`Number 5ZS00121 was sold and shipped to Foley, Inc. in New Jersey on July 14, 1997.
`RX-223 shows that the PM-465 with Serial Number 5ZS00133 was sold and shipped to
`Cashman Equipment Company in Las Vegas, NV, on July 13, 1999. This information is
`also shown in RPX-0003C, which we discussed earlier.
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`Q82. How do you know that the features described in the manuals RX-0027 and RX-0028
`were present in the PM-465 machines sold during the relevant time period?
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`A: Well, I know that the reverse travel feature of the PM-465 did not change from its release
`through the end of its production. Also, by using the serial number ranges, I can tell that
`the manuals describe the features of the machines. Specifically, the PM-465 OMM, dated
`June 2003, applied to machines with Serial Numbers 5ZS1 and up. RPX-0003C shows
`that each of the PM-465 machines listed was sold prior to the release date of this manual
`in June 2003, and had ascending Serial Numbers. That is how I know that the PM-465
`OMM described the features of each of these prior-art machines. Similarly, PM-465
`STMG describes the reverse travel feature of PM-465 in detail. I can confirm that this
`description is accurate based on my understanding of the machine’s functionality.
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`Q83. Do you know whether the PM-465 manuals were publicly available?
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`A:
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`Yes, I do. The PM-465 manuals were publicly available. All Caterpillar machines sold
`are sent to the dealer and customer with a copy of the OMM. As we discussed earlier, this
`is Caterpillar policy that is in writing in RX-0062C. So, all forty-seven customers who
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`RX-0988C.0012
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`purchased a PM-465 Cold Planer during the relevant time period would have received
`this manual. The PM-465 OMM could also be bought from Caterpillar dealers or from
`the Caterpillar website. The PM-465 STMG was given to customers, students, dealers,
`and training staff at informational training sessions.
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`III. Conclusion
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`Q84. Please look at the documents that have been marked as indicated below. Do these
`exhibits correspond to the documents you referenced in your answers?
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`RX-0001
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`RX-0002
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`RX-0003
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`RX-0027
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`RX-0028
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`RX-0062C
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`RX-0085
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`RX-0129C
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`RX-0221C
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`RX-0223C
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`RX-1158C
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`RPX-0003C
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`A:
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`Yes, they do.
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`Q85. Does this statement contain your own answers to the questions from counsel?
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`A:
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`Yes, it does.
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`Q86. Are your answers to the questions from counsel true and correct to the best of your
`knowledge and belief?
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`A:
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`Yes, they are.
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`12
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`RX-0988C.0013
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`Case 1:17-cv-00770-JDW Document 224-19 Filed 10/05/23 Page 9 of 9 PageID #: 19040
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`Case 1:17-cv-00770-JDW Document 224-19 Filed 10/05/23 Page 9 of 9 PagelD #: 19040
`RX-0988C.0014
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`CONTAINS CONFIDENTIAL BUSINESS INFORMATION
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`Dated: March 13, 2018
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`#
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`Conwell K. Rife, Jr.
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` ee
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`C Orrl Ki LY
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`,
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`aoe
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`RX-0988C.0014
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