Paper No. ________
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________
`
`AVX Corporation
`Petitioner
`v.
`
`Samsung Electro-Mechanics Co., LTD.
`Patent Owner
`
`Patent No. 9,326,381
`Issue Date: April 26, 2016
`Title: MULTILAYER CERAMIC CAPACITOR AND BOARD
`HAVING THE SAME MOUNTED THEREON
`_______________
`
`Post-Grant Review No. PGR2017-00010
`____________________________________________________________
`
`DECLARATION OF STEVE SHIPMAN
`
`1
`
`Exhibit 1013
`PGR2017-00010
`AVX CORPORATION
`
`000001
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________
`
`AVX Corporation
`Petitioner
`v.
`
`Samsung Electro-Mechanics Co., LTD.
`Patent Owner
`
`Patent No. 9,326,381
`Issue Date: April 26, 2016
`Title: MULTILAYER CERAMIC CAPACITOR AND BOARD
`HAVING THE SAME MOUNTED THEREON
`_______________
`
`Post-Grant Review No. PGR2017-00010
`____________________________________________________________
`
`DECLARATION OF STEVE SHIPMAN
`
`1
`
`Exhibit 1013
`PGR2017-00010
`AVX CORPORATION
`
`000001
`
`
`
`1.
`
`I, Steve Shipman, resident at 108 Comstock Ct, Greer, SC, hereby
`
`declare as follows:
`
`2.
`
`I am a Quality Assurance Manager for the Ceramics Division at AVX
`
`Corporation in Fountain Inn, South Carolina. I have held this position since 2005.
`
`My principle job is to manage activities related to the quality of our products.
`
`Prior to that, I was the Quality Assurance Manager for the AVX facility in Raleigh,
`
`NC. As part of my employment at AVX Corporation (“AVX”) and in my role as
`
`Quality Assurance Manager, I am aware that, as a normal part of their business
`
`practices, AVX maintains business records to keep track of things like their sales
`
`and shipments of capacitor products. As one example, AVX maintains a database
`
`of electronic records (hereinafter referred to as the “business records database”) to
`
`document business transactions and from which business records and information
`
`may be queried. The business records database is used to maintain a variety of
`
`information and business records including product information and codes,
`
`manufacturing information and records, shipping information and records,
`
`transaction information and records, customer information, and various additional
`
`information related to the business dealings of AVX. This information includes
`
`manufacturing, sale, and shipping records and information related to surface mount
`
`capacitors. During the normal course of business, such information is routinely
`
`stored in the business records database and may be readily queried with an
`
`2
`
`000002
`
`
`
`associated user interface. As part of my employment at AVX and in my role as
`
`Quality Assurance Manager, I routinely access and utilize the business records
`
`database.
`
`3.
`
`In early January of 2017, I was contacted by Mr. Andy Ritter
`
`regarding various information associated with a reel of capacitors acquired by Mr.
`
`John Galvagni. I was provided with an internal AVX specification number
`
`(32180272) and a shop order number (2104531170) that were on the label on the
`
`reel of capacitors. Using the AVX specification number, I queried AVX’s
`
`business records database to obtain the manufacturing, transaction, and shipment
`
`information associated with the reel of capacitors obtained by Mr. Galvagni. The
`
`business records database provided various information in the form of a
`
`spreadsheet. A compilation of the information obtained from my query of the
`
`business records database is provided below in Table A:
`
`
`
`
`
`
`
`
`
`
`
`3
`
`000003
`
`
`
`2104531170
`SHOP_ORDER_NBR
`P8229X099
`LOT_NBR
`6539703
`PACKSLIP_NUM
`201239
`DATE_CODE_WK
`8,000
`INV_QTY
`20120928
`SHIP_TRANS_DTE
`32180272
`AVX_SPEC_NBR
`CATALOG_PART_NBR 0612YC105KAT2A
`CUST_PART_NBR
`0612YC105KAT2A
`CUST_PO
`RV00306
`CUST_NBR
`1000010703
`AVX CZECH-
`CUST_NAME
`REPUBLIC SRO
`
`Table A
`
`
`
`4.
`
`As shown in Table A, my query showed that the capacitors on the reel
`
`labeled with the AVX specification number of 32180272 and the shop order
`
`number of 2104531170 have a catalog part number of 0612YC105KAT2A and
`
`were part of a lot number (LOT_NBR) P8229X099. A lot number is a unique
`
`number assigned at the start of production to each group of capacitors that were
`
`manufactured together as a single lot. A single lot includes only capacitors of the
`
`same catalog part number.
`
`5.
`
`As further shown in Table A, my query also produced search results
`
`showing that the capacitors obtained by Mr. Galvagni had a manufacturing date
`
`code (DATE_CODE_WK) of 201239. The manufacturing date code of 201239
`
`represents the 39th week of 2012, thus indicating that the reel and its capacitors
`
`4
`
`000004
`
`
`
`were completely manufactured, tested, and ready for sale during the 39th week of
`
`2012. In addition, the business records from my query further included
`
`information regarding two separate shipments of the capacitors to customer, “AVX
`
`Czech-Republic SRO.” The first shipment had associated with it a shipment date
`
`(SHIP_TRANS_DTE) of 20120928, an inventory quantity (INV_QTY) of 8,000, a
`
`customer purchase order number (CUST_PO) of RV00306, and a customer name
`
`(CUST_NAME) of AVX Czech-Republic SRO. The second shipment had
`
`associated with it a shipment date (SHIP_TRANS_DTE) of 20120928, an
`
`inventory quantity (INV_QTY) of 8,000, a customer purchase order number
`
`(CUST_PO) of RV00308, and a customer name (CUST_NAME) of AVX Czech-
`
`Republic SRO. The shipment date code of 20120928 represents the date of
`
`September 28, 2012, thus indicating that the reel and its capacitors were shipped to
`
`the customer on September 28, 2012. The inventory quantity code of 8,000
`
`indicates that 8,000 products were shipped to the customer. The customer
`
`purchase order number codes indicate that the customer purchase order codes for
`
`the various shipments were RV00306 and RV00308, and the customer name was
`
`“AVX Czech-Republic SRO.
`
`6.
`
`The search results from my query also produced information
`
`indicating that additional capacitors were produced and sold to customer TTI, Inc.,
`
`as part of the same lot having lot number P8229X099. The capacitors sold to TTI,
`
`5
`
`000005
`
`
`
`Inc., had the same came catalog part number 0612YC105KAT2A as the capacitors
`
`sold to AVX Czech-Republic SRO. By virtue of these capacitors having the same
`
`lot number and catalog part number as those capacitors, it is apparent that the
`
`capacitors sold to TTI, Inc., were the same product as the capacitors on the reel
`
`obtained by Mr. Galvagni. A compilation of the information obtained from the
`
`business records database regarding the sale and shipment of capacitors having the
`
`lot number P8229X099 and the catalog part number 0612YC105KAT2A is
`
`provided below in Table B:
`
`2104359120
`SHOP_ORDER_NBR
`P8229X099
`LOT_NBR
`6568061
`PACKSLIP_NUM
`201239
`DATE_CODE_WK
`4,000
`INV_QTY
`20121004
`SHIP_TRANS_DTE
`32180272
`AVX_SPEC_NBR
`CATALOG_PART_NBR 0612YC105KAT2A
`CUST_PART_NBR
`0612YC105KAT2A
`CUST_PO
`209860
`CUST_NBR
`01009120021
`CUST_NAME
`TTI INC
`
`Table B
`
`
`
`7.
`
`As indicated in Table B, the shipment to TTI, Inc., had a shipment
`
`date (SHIP_TRANS_DTE) of 20121004, an inventory quantity (INV_QTY) of
`
`4,000, a customer purchase order number (CUST_PO) of 209860, and a customer
`
`name (CUST_NAME) of TTI INC. The shipment date code of 20121004
`
`6
`
`000006
`
`
`
`represents the date of October 4, 2012, thus indicating that capacitors were shipped
`
`to TTI, Inc. on October 4, 2012. The inventory quantity code of 4,000 indicates
`
`that 4,000 capacitors were shipped to TTI, Inc.
`
`8.
`
`Regarding this sale of parts to TTI, I was able to locate a record of the
`
`original invoice for this shipment, which is attached as Exhibit 1018. This record
`
`was located through a request to the AVX Management Information Services
`
`Department. I am familiar with AVX’s invoices in general and the process for
`
`storing and accessing these invoices, because I have been involved in accessing
`
`and reviewing such invoices to resolve inquiries or discrepancies related to specific
`
`product orders. It is AVX’s normal business practice for sales of its capacitor
`
`products to be accompanied and documented with a customer invoice, and the
`
`invoice attached as Exhibit 1018 was such a document that was kept in the
`
`ordinary course of AVX’s business. Exhibit 1018 shows that TTI was invoiced on
`
`October 4, 2012, for the shipment of 4,000 units of AVX part number
`
`0612YC105KAT2A, which is the same part and from the same lot as the reel
`
`obtained by Mr. Galvagni.
`
`9.
`
`My search results further revealed that multiple transactions, each
`
`involving the sale of 2,000 capacitors corresponding to the part number
`
`0612YC105KAT2A and to the internal AVX specification number 32180272,
`
`7
`
`000007
`
`
`
`were conducted with customer Flextronics Technologies Mexico on each of the
`
`following dates: April 20, 2012; May 16, 2012; June 21, 2012; June 26, 2012; July
`
`11, 2012; July 12, 2012; August 2, 2012; August 24, 2012; and September 13,
`
`2012. The capacitors sold to Flextronics Technologies Mexico had the same came
`
`catalog part number 0612YC105KAT2A and the same internal AVX specification
`
`number 32180272 as the capacitors originally sold to AVX Czech-Republic SRO,
`
`which were eventually obtained by Mr. Galvagni. By virtue of these capacitors
`
`having the same AVX specification number and catalog part number as the
`
`capacitors obtained by Mr. Galvagni, it is apparent that the capacitors sold to
`
`Flextronics Technologies Mexico were the same product as the capacitors obtained
`
`by Mr. Galvagni.
`
`10.
`
`The above information from AVX’s business records database is
`
`consistent with product having part number 0612YC105KAT2A being offered for
`
`sale by AVX, and shows that over ten thousand units were sold to various
`
`customers during 2012.
`
`11.
`
`I hereby declare under penalty of perjury under the laws of the United
`
`States of America that the foregoing is true and correct, and that all statements
`
`made of my own knowledge are true and that all statements made on information
`
`8
`
`000008
`
`
`
`and belief are believed to be true. I understand that willful false statements and the
`
`like are punishable by fine or imprisonment, or both (18 U.S.C. § 1001).
`
`Executed on January 25, 2017
`
`Steve ‘Shipman
`
`9
`000009
`
`000009
`
`
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