[14236-1/9769733/1]

UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF FLORIDA (Ft. Lauderdale)

CASE NO.: 0:20-cv-61469-RS

Akai Custom Guns, LLC, et al.,

Plaintiffs,

vs.

KKM Precision, Inc., et al., 

Defendants.

/

DEFENDANTS’ JOINT REBUTTAL EXPERT WITNESS DISCLOSURE

COME NOW, Defendants, KKM Precision, Inc. and Shooters Connection, Inc., by and 

through the undersigned Counsel, and file this Rebuttal Expert Witness Disclosure and identify:

1. Lee A. Swanger, Ph.D., P.E. Dr. Swanger’s report is attached hereto as Exhibit “1” and 

contains Dr. Swanger’s deposition, trial, hearing, and arbitration testimony. Dr. Swanger’s 

curriculum vitae is attached hereto as Exhibit “2.” 

CERTIFICATE OF SERVICE

I HEREBY CERTIFY that a true and correct copy of the foregoing has been served via 

Email to Richard J. Fiato, Esq., Law Offices of Fiato, 550 W. Merrill St., Ste. 200, Birmingham, 

MI 48009 (fiatolaw@gmail.com); Edmund S. Yee, Esq., McKelvie, McKelvie, Yee & Epacs, P.C. 

280 W. Maple Rd., Ste. 220, Birmingham, MI 48009 (eyee@mmyelaw.com); John A. Chiocca, 

Esq., Cole, Scott & Kissane, P.A., 222 Lakeview Ave., Ste. 120, West Palm Beach, FL 33401 

(john.chiocca@csklegal.com; stephanie.chiocca@csklegal.com); Nicholas D. Freeman, Esquire 

and John Y. Benford, Esquire, Wilson, Elser, Moskowitz, Edelman & Dicker, LLP, 111 N. Orange 

Ave., Ste. 1200, Orlando, FL 32801 (nicholas.freeman@wilsonelser.com; 

John.bedford@wilsonelser.com), this 30th day of June, 2022.

/s/ Kevin Robinson

Kevin P. Robinson, Esquire

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[14236-1/9769733/1]

Florida Bar No.: 0014650

ZIMMERMAN, KISER & SUTCLIFFE, P.A.

315 E. Robinson St., Suite 600 (32801)

P.O. Box 3000

Orlando, FL 32802

Telephone: (407) 425-7010

Facsimile: (407) 425-2747

Counsel for Defendant, KKM Precision, Inc.

krobinson@zkslawfirm.com

jwenhold@zkslawfirm.com

service@zkslawfirm.com

KPR/kpr

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UNITED STATES DISTRICT COURT

FOR THE SOUTHERN DISTRICT OF FLORIDA

(Fort Lauderdale)

Case No.: 0:20-cv-61469-RS

AKAI CUSTOM GUNS, LLC, et al.

vs.

KKM PRECISION, INC., et al.

 Rule 26 Report of Lee A. Swanger 

June 30, 2022

EXHIBIT 1

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Introduction

This report submitted by Lee A. Swanger discloses the substance and opinions to which I expect 

to testify regarding the metallurgical properties of twelve exemplar KKM precision semiautomatic pistol barrels provided for analysis. This report also covers my background and 

qualifications, items reviewed, proposed exhibits, compensation, and previous testimony. 

My training, education, and experience are in the area of metallurgical and materials engineering

as well as mechanical engineering. I hold degrees through the Ph.D. in Materials Science and 

Engineering, and I am a Licensed Professional Engineer in Florida and nine other states in both 

Metallurgical Engineering and Mechanical Engineering, by examination. Details of my

background are presented in the attached professional resume. I have had extensive experience 

with metallurgical analysis of components of all types, including ferrous metals, ferritic and 

martensitic stainless steels, and gun barrels, utilizing the underlying scientific and engineering 

principals of mechanical engineering materials engineering, and metallurgy. I have been 

qualified as an expert in materials engineering, metallurgical engineering, and mechanical 

engineering in several courts, including State courts and Federal courts in Florida and elsewhere. 

Background

Exponent, Inc. was retained by attorneys for KKM Precision, Inc. and Shooters Connection, Inc.

to determine the metallurgical properties of twelve exemplar pistol barrels manufactured by 

KKM Precision (KKM). I have been informed that AKAI Custom Guns, LLC (AKAI) claims 

that the barrels supplied to it either directly by KKM or from Shooters Connection, Inc. 

(Shooters) are defective and cause functional issues or exhibit failures when installed in the 

semi-automatic pistols assembled by AKAI. Among the defective conditions alleged is a 

Rockwell “C” hardness (also known as HRC) that is too low for the application. In addition to 

the twelve exemplar barrels, I have been provided, or obtained, the documents listed below in the 

Materials Considered section of this report.

KKM pistol barrels are manufactured from a custom variation of 416 stainless steel alloy. 416 

stainless steel is described as a martensitic stainless steel, meaning that when it is properly heat 

treated by heating and quenching, the carbon in the alloy creates a unique crystal structure 

termed martensite, which is very hard and very strong, but somewhat brittle. The quenched 

martensite is then tempered, or heated to a lower temperature than the quenching temperature, to 

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allow the martensite to decompose into a very fine dispersion of iron carbide in ferrite (relative 

carbon-free alloy) resulting in a strong, ductile, tough final product. 

There are variations of 416 stainless steel generally identified as 416R, where the R stands for 

Restricted. There is no one type of 416R; various entities can create their own restrictions for 

their own 416R. In its RESPONSE TO PLAINTIFFS’ REQUEST FOR ADMISSIONS, KKM 

states its own specific 416 Restricted chemistry:

Carbon 0.08% - 0.15%

Phosphorus 0.01% - 0.06%

Silicon 0.3% - 1%

Nickel 0.15% - 0.7%

Copper 0.02% - 0.6%

Manganese 0.3% - 1.2%

Sulfur 0.15% - 0.375%

Chromium 12% - 14%

Cobalt 0.02% - 0.05%

Molybdenum 0.02% - 0.45%

Iron balance

Mr. Luke McIntire of KKM told me that this chemistry was derived from a U. S. Army 

specification for a 416R steel for pistol barrels, that was in existence long before Crucible Steel 

Co. introduced its own 416R product. Mr. McIntire also told be that the KKM internal 

specification for hardness of the finished product is a minimum HRC 39, and that HRC 42 in its 

promotional literature is a nominal value. 

My assignment was to review the documents provided, to examine and test the exemplar KKM 

pistol barrels, and to review and comment on the report of Professor Martin Crimp, dated March 

11, 2022. The twelve exemplar KKM barrels included eleven that were produced for 9 

millimeter ammunition, or equivalently marked as having a nominal 0.355 inch bore. One of the 

twelve KKM exemplar barrels was marked as 40 S&W, being somewhat larger bore of a 

nominal 10 millimeters.

Materials Considered

Complaint and Pleadings supplied by defendants

Report of Professor Martin Crimp dated March 11, 2022, including references

Exemplar KKM pistol barrels

KKM Rockwell Test Example

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KKM Rockwell Test Procedure

KKM Rockwell Test Results on Twelve Exemplar Barrels

KKM Description of typical KKM Barrel

416R Next Generation Metals

416R Data Sheet

Carpenter 416BQ Data Sheet

Carpenter Tech Guide 9.29.03BLK.pdf

Carpenter Stainless Steel Blue Book

Crucible 416R

Information from discussions with Luke McIntire

KKM stainless steel certification documents

Results of chemical analysis of twelve exemplar barrels

Results of metallographic analysis of five exemplar barrels

Results of hardness testing of twelve exemplar barrels

Testing of Exemplar Pistol Barrels

Chemistry: Twelve exemplar KKM pistol barrels were supplied by KKM for this analysis. 

Photographs of the barrels as-received are in the attached photograph compilation, in which 

unique identifying part numbers and Rockwell “C” hardness (HRC) values as determined by 

KKM are on the labels on the tubes in which the barrels were sent. KKM also supplied a test 

data sheet (attached) with the same information as is on the labels. 

Samples from the twelve exemplar KKM pistol barrels were sent to Element Materials 

Technology in Charlotte, NC for chemical analysis via Optical Emission Spectroscopy (OES). 

The report of results from Element is attached to this report. Of interest are the sulfur (S) and 

carbon (C) values. The sulfur combines with the manganese (Mn) in the stainless steel to create 

manganese sulfide inclusions, which are brittle compounds that fracture easily during machining, 

thus improving the machinability of the steel. The sulfur concentrations in the twelve KKM 

barrels ranges from 0.247% to 0.329%. Carbon is the element most responsible for the strength 

and hardness of tempered martensitic steels, and the carbon concentrations in the twelve KKM 

barrels ranged from 0.08% to 0.13%. 

Metallography: Five of the exemplar KKM pistol barrels were selected and sectioned for 

metallographic examination. The five selected were: AKAI with sleeve, CGABCN – 32, 

CGABRCT, CGASWN – 18, and CX1DBCT. After standard mounting and polishing, Fry’s 

Etch was selected as giving the best contrast between the tempered martensite phase and the 

delta ferrite phase. Examples of the photomicrographs of the CGABCN – 32 barrel are shown 

below in Figures 1 and 2. 

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Figure 1. Transverse section of CGABCN – 32

Figure 2. Longitudinal section of CGABCN – 32

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The medium-gray solid areas in the micrographs are manganese sulfide. The light-gray solid 

areas are delta ferrite, and the highly textured majority of the view is tempered martensite. All 

five of the barrels examined showed similar microstructures, with small difference in the relative 

amount of delta ferrite present.

Standard computerized quantitative metallography software was used to estimate the percentage 

area of delta ferrite in each of the five KKM exemplar barrels examined. The results are:

AKAI with sleeve 14% delta ferrite

CGABCN – 32 10% delta ferrite

CGABRCT 13% delta ferrite

CGASWN – 18 12% delta ferrite 

CX1DBCT 7% delta ferrite

Delta ferrite is low in carbon, and does not have reinforcing iron carbide particles in it, so it is 

softer than the tempered martensite. Vickers 50 gram microhardness readings were obtained on 

all five metallographic samples. Typical Vickers indentations are shown in Figure 3.

Figure 3. Vickers microhardness indentations – typical

The larger indentation on the left is primarily in the delta phase, and the smaller indentation in 

the upper middle is in the tempered martensite. The average converted Rockwell hardness for 

the tempered martensite is HRC 43, and the average hardness of the delta phase is HRC < 20.

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Hardness: Rockwell “C” hardness readings were taken in three different ways to compare to 

the HRC hardness readings supplied by KKM with the twelve exemplar KKM pistol barrels. An 

initial screening of all twelve barrels was done by taking HRC readings on the round tubular 

portion of the as-received exemplar KKM barrels. This was done primarily as a screening test to 

compare the relative hardness of the barrels, since taking a Rockwell C reading on a tubular 

product is often inaccurate due to oval distortion of the tube under the 150 kilogram load of the 

Rockwell C test. Somewhat surprisingly, nine of the twelve barrels so tested gave reasonably 

good agreement with the hardness values provided by KKM, which were taken on the solid lug 

at the lower breech end of the barrels. 

Of note is the results on the exemplar KKM barrel identified as AKAI with sleeve. The hardness 

readings on the tubular barrel dropped off near the tungsten sleeve, with the lowest hardness 

reading of 25.2 HRC. 

Cross-sections of seven of the exemplar KKM barrels were prepared for Rockwell C testing, 

such that a solid column of steel was supporting the cut and ground surface that was tested. In 

theory this should be an accurate way to assess the true Rockwell hardness of the barrels. Four 

of the seven barrels thus tested were in good agreement with the values provided by KKM for 

the Rockwell hardness measured on the lower breech lugs, also a solid section of steel. The 

other three measurements were lower than that provided by KKM, most likely because the wall 

thickness of the barrel cross-sections required the Rockwell indentation to be away from the 

inner and outer edges of the toroidal cross-section. If the indentation is off just slightly toward 

either edge, the reading will be artificially low, as was the case for the three readings that were 

two to four Rockwell C points below the KKM values.

The lower lugs of five of the exemplar KKM barrels were removed as part of the preparation for 

chemical analysis, metallography, and cross-section testing. These removed lower lugs were 

tested for hardness via the Rockwell C technique, and all five were in agreement with the values 

provided by KKM. 

The summary of all the hardness tests discussed in this section are attached to this report as the 

chart labeled, “Results of Rockwell “C” hardness testing.” 

Microhardness testing using the 500 gram Knoop technique was attempted on the ground and 

polished cross-sections, but the results were unreliably both high and low compared to the KKM 

values provided. In light of the metallographic microstructure described above, this is consistent 

with the two-phase structure and would result in a high hardness when the tempered martensite 

was the majority of the area sampled, and a low hardness when a substantial fraction of the area 

sampled by the Knoop indenter included delta ferrite. Due to this unreliability, the Knoop 500 

gram results are not included in this report.

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Professor Crimp Report: The initial plan for this investigation was that Professor Crimp and I 

would jointly examine the allegedly defective KKM (AD-KKM) barrels provided to Prof. Crimp 

by AKAI. However, because my receipt of exemplar barrels from KKM was delayed, Prof. 

Crimp went ahead with testing of the AD-KKM barrels and presented his results and conclusions 

in his report dated March 11, 2022. Of the seven AD-KKM barrels examined by Prof. Crimp, 

three were the larger 40 S&W bore, and three were the 0.355 inch (nominal 9 mm) bore. His 

number 1 barrel was a broken 40 S&W CGDBRCN, fractured transversely at or ahead of the 

locking grooves on the top of the barrel. The forward portion of that barrel was not provided to 

Prof. Crimp. His number 4 barrel was a fractured 0.355 inch CXABRCT with the upper portion 

of the chamber at the breech missing. 

Prof. Crimp, apparently unaware of the KKM version of 416 Restricted martensitic stainless 

steel, uses a substantial portion of his report to criticize the value of sulfur that he found in four 

of the seven AD-KKM barrels that he submitted for chemical analysis. Those four samples 

ranged in sulfur concentration from 0.35% to 0.36%, complying with the KKM 416 Restricted 

composition. The carbon concentrations in those four barrels ranged from 0.08% to 0.11%, also 

in compliance with the KKM version of 416 Restricted stainless steel. All the other elements 

listed in Prof. Crimp’s Table V. comply with KKM 416 Restricted requirements. Prof. Crimp 

claims that his Reference 4, 2009 Guide to Selecting Carpenter Specialty Steels, imposes an 

upper limit of 0.35% sulfur on Carpenter’s 416BQ5 stainless steel. I have examined that 

reference in detail and the only limit on sulfur in that steel is a minimum concentration of 0.15%, 

with no upper limit. 

Prof. Crimp compares the chemical composition results he obtained to the specification for the 

Crucible version of 416R stainless steel. That steel, as currently defined in ASTM Standard 

A484, was developed for rifle barrels, not pistol barrels. If he had received the KKM Response 

to Request for Admissions dated May 12, 2022, containing the specification presented on page 3 

above, Prof. Crimp could have amended his report to make a comparison of his chemistry results 

to the correct specification. 

In particular, the sulfur content of the four AD-KKM barrels meets the KKM specific 

requirement for pistol barrels. 

Prof. Crimp referred to advertising information from KKM that indicates that its barrels are heat 

treated to HRC 42 as some how creating an engineering specification for KKM pistol barrels. 

Mr. Luke McIntire of KKM told me that KKM follows the Military Specification for stainless 

steel pistol barrels that requires a minimum hardness of 39 HRC, and that KKM aims for a 

hardness in the range of 40 to 42 HRC. Prof. Crimp described cutting transverse rings from the 

AD-KKM barrels for Rockwell testing, in a manner similar to what I had done. Similar to my 

findings, Prof. Crimp’s hardness readings on the round tubular barrels was consistent with the 

results he obtained on the cross-sectional rings. He did report that three of the four barrels tested 

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in this way were below 39 HRC, at 36.9 HRC (barrel 1), 35.1 HRC (barrel 2), and 38.0 HRC 

(barrel 6). He found that barrel 5 had a hardness of 44.5 HRC. 

The provenance of the AD-KKM barrels is unknown, but KKM alleges that AKAI modifies the 

KKM barrels that it acquires by additional machining, and in some instances heat-shrinking a 

tungsten sleeve onto the barrel to increase its mass. As shown above with the KKM exemplar 

AKAI with sleeve, the Rockwell hardness adjacent to the sleeve is substantially below the 39 

HRC minimum specified by KKM. 

The metallographic work described by Prof. Crimp is in agreement with the metallographic 

analysis of the exemplar KKM barrels described above in the Metallography section of this 

report. Prof. Crimp also found delta ferrite interspersed in the matrix of tempered martensite, but 

did not report and quantitative metallography to determine the percentage of delta ferrite present. 

He also identified stringers of manganese sulfide oriented longitudinally parallel to the axis of 

the bore of the barrels, consistent with the concentration of sulfur present in the AD-KKM 

barrels, which was essentially equal to the sulfur concentration in the exemplar KKM barrels. 

Microhardness readings on the AD-KKM barrel delta ferrite and the tempered martensite showed 

similar differences as shown in this report for the exemplar KKM barrels. Prof. Crimp attributes 

the decreased hardness in three of the four AD-KKM barrels tested to the presence of the delta 

ferrite. 

Prof. Crimp performed scanning electron microscope (SEM) fractography on the damaged 

number 1 and number 4 AD-KKM barrels. The number 1 barrel broke transversely, 

perpendicular to the barrel bore. This is the fracture direction that is least affected by the 

manganese sulfide stringers. The fractography revealed that the fracture was primarily a ductile 

fracture as denoted by the ductile dimples on the fracture surface, meaning that this was not a 

brittle fracture associated with excessive sulfur in the stainless steel. 

AD-KKM barrel number 4 apparently fractured starting at the upper breech with parallel 

fractures running forward and arresting at the first upper locking lug. The missing portion of the 

upper chamber was not provided to Prof. Crimp. The fractography of the fractures shows the 

expected smooth fractures adjacent to longitudinal manganese sulfide stringers, and ductile 

dimples in between the manganese sulfide. SEM fractography is not able to distinguish between 

ductile fracture in the tempered martensite and ductile fracture in the delta ferrite. 

In his conclusions, Prof. Crimp states that the AD-KKM barrels were not manufactured from 

416R stainless steel, as he understands 416R stainless steel. He also states that the amount of 

manganese sulfide stringers makes the AD-KKM barrels to not be fit for use in firearm barrels.

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Discussion

Chemistry: The chemical composition of both the set of AD-KKM barrels tested by Prof. Crimp 

and the twelve exemplar KKM barrels tested by Exponent meet all the chemical composition 

requirements of the KKM-specific 416 Restricted specification. This is derived from a U.S. 

Army specification for pistol barrels, meaning the KKM barrels are acceptable for use in semiautomatic pistols if the basic properties of the KKM barrels are not altered.

The Crucible version of 416R stainless steel that Prof. Crimp discusses was developed for rifle 

barrels, not pistol barrels, and was developed well after the U.S. Army developed its 

specification for pistol barrels, on which the KKM 416 Restricted specification listed on page 3 

above was based. Since the chamber pressures in high-power center fire rifles are much higher 

than the chamber pressures in semi-automatic pistols, the requirements of the rifle barrel steel are 

more robust than those for pistol barrel steel. Prof. Crimp’s suggestion that Crucible 416R, as 

currently defined in ASTM Standard A484 should be the steel used in KKM pistol barrels is 

incorrect. 

Metallography: Prof. Crimp and I are in agreement as to the factual data from our 

metallographic examinations of the respective sets of KKM barrels. However, the significance 

of the data is different. Prof. Crimp states that there is excessive manganese sulfide, making the 

barrels more prone to fracture, although five of the AD-KKM barrels were not fractured. Prof. 

Crimp also identifies the delta ferrite as the cause of his hardness readings to be low, but he does 

not know the provenance of the AD-KKM barrels. I have made a quantitative determination of 

the percentage of delta ferrite in five of the exemplar KKM barrels and the table below shows the 

corresponding hardness values.

Table 1. Comparison of percentage of delta ferrite to KKM hardness values

Percent delta ferrite: 7% 10% 12% 13% 14%

Rockwell hardness HRC: 38.9 39.1 42.1 41.7 39.9

There is no correlation between the percentage of delta ferrite and the Rockwell hardness. To 

examine this further, I looked at a comparison of carbon content to Rockwell hardness: Table 2.

Table 2. Comparison of carbon content to KKM hardness values

Carbon %: 0.08 0.09 0.09 0.09 0.10 0.11 0.12 0.13

Rockwell HRC: 38.9 39.9 41.7 42.1 39.1 44.2 44.1 43.6

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There is a general trend of increasing carbon content resulting in increasing hardness after 

quenching and tempering, which is consistent with accepted metallurgical science. Variations in 

geometry of the barrels, in amount of other alloying elements, and normal batch-to-batch 

variations in heat treating parameters would account for the scatter along the trend line. Delta 

ferrite is not a deterrent to achieving the correct hardness, but carbon content will be the major 

determinant of hardness, all other factors being equal. It should be noted that the only exemplar 

KKM barrel that did not meet KKM’s own specification of 39 HRC was the only one with a 

carbon content at the extreme low end of KKM’s chemistry specification, 0.08% carbon. 

Hardness: The above discussions have already alluded to the difference in hardness between 

the set of AD-KKM barrels examined by Prof. Crimp and the exemplar KKM barrels tested by 

Exponent. Prof. Crimp did not do any direct Rockwell hardness tests on the lower lug, where 

KKM performs its tests. My hardness testing confirmed that testing on the lower lug is the best 

way to evaluate the hardness of the barrels post heat treating. Only one of the exemplar KKM 

barrels as tested by KKM was below its internal specification of 39 HRC, at 38.9 HRC. KKM is 

to be commended for delivering that barrel to me, knowing it was very slightly below its internal 

specification. Rockwell C hardness testing is generally accepted to by accurate to within 0.5 

HRC points, so most metallurgists would accept that a reading of 38.9 HRC is within 

experimental error of the specified 39 HRC. Also as mentioned above, the provenance of the 

AD-KKM barrels is unknown, so the hardness of those barrels at arrival at AKAI is also 

unknown. This is further explored in the section below concerning fracture analysis.

Prof. Crimp’s Fracture Analysis: The two barrels with damage examined by Prof. Crimp offer 

different modes of failure. AD-KKM barrel number 1 broke transversely just ahead of the upper 

locking lugs, as shown in Prof. Crimp’s Figure 1 on page 4 of his March 11, 2022, report. ADKKM barrel number 2 experienced longitudinal cracking at the breech above the chamber. 

As noted above, the provenance of the number 1 AD-KKM barrel is unknown, but there is 

evidence that suggests the circumstances leading to this failure. Figure 4 below shows the 

exemplar KKM barrel provided to me identified as AKAI with tungsten sleeve. Figure 5 below 

shows a closer view of the breech end of the barrel in Figure 4, compared to the AD-KKM barrel 

number 1.

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Figure 4. Exemplar KKM barrel – AKAI with tungsten sleeve

Figure 5. Exemplar KKM barrel (above) and Prof. Crimp No. 1 AD-KKM barrel (below)

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Note the similarity in geometry of these two barrels. In particular there is a machined reduction 

in diameter of the barrel concentric with the bore of the barrel, directly ahead of the forward 

upper locking lug in both barrels in Figure 5. None of the other eleven exemplar KKM barrels 

provided show such a machined reduction in diameter, and none of the barrels shown on the 

KKM website show such a sharp machined diameter reduction either. The discoloration in the 

forward upper locking groove of the AD-KKM number 1 barrel is similar to the discoloration 

shown on the exemplar KKM AKAI tungsten sleeved barrel. 

The conclusion from this comparison is that the AD-KKM barrel had been machined by AKAI 

in preparation for heat-shrinking a tungsten sleeve onto it. As mentioned above, the heat from 

the heat shrinking of the sleeve had reduced the hardness of the exemplar AKAI with sleeve 

barrel to 25.2 HRC adjacent to the sleeve. Thus it is my opinion that AD-KKM barrel number 1 

was machined to a smaller diameter, modified by application of a tungsten sleeve weakening that 

barrel at exactly the point where if fractured. The fracture of this barrel is due entirely to actions 

of AKAI, and not to any deficiency in the barrel as manufactured by KKM.

I understand KKM and Shooters Connection have retained a firearms expert to address the 

firearms related issues in this matter. With respect to AD-KKM barrel number 4, I will just 

observe that the failure resembles a failure from overpressure in the chamber, whether from an 

extra-hot reloaded cartridge or an obstruction in the barrel. The fractography presented by Prof. 

Crimp did not identify any deficiency in the steel, considering that the allowed sulfur content 

under the KKM specific 416 Restricted specification is up to 0.375% sulfur. Prof. Crimp did not 

present a chemical analysis of the steel in this barrel, and did not present any hardness data other 

than his preliminary screening values. 

Conclusions

The twelve exemplar KKM barrels provided to Exponent for evaluation met the chemistry and 

hardness requirements of KKM specifications. They are suitable for use in the semi-automatic 

pistols for which they are intended, if not modified other than specific gunsmithing to match 

corresponding components in the subject pistol.

Prof. Crimp has not demonstrated that the AD-KKM barrels that he examined were defective as 

manufactured by KKM. The AD-KKM barrels all meet the requirements of the KKM specific 

416 Restricted chemistry. Without hardness testing performed on the lower lugs in the asmanufactured condition, as done by KKM, there is no evidence that they did not meet the 39 

HRC requirement of KKM. The advertising of a nominal hardness of 42 HRC does not create a 

specification for KKM barrels. 

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The failure of the number on AD-KKM barrel was due to substantial modification via machining 

and heat-shrinking of a tungsten sleeve onto it. It was not due to any condition in the asmanufactured KKM barrel. 

Opinions and Bases Therefore

Based on my review of materials supplied to date, examination of the exemplar KKM pistol 

barrels, and my background, training, and experience, I anticipate testifying to the following 

opinions which I hold to at least a reasonable degree of scientific and engineering certainty.

• The KKM barrels are produced to KKM’s own custom specifications, and meet those 

specifications.

• The subject KKM barrels are not defective in design or manufacture.

• The failed AD-KKM barrels number one and four examined by Prof. Crimp failed due to 

circumstances unrelated to their condition when they left the control of KKM and Shooters 

Connection. 

• The failed number one AD-KKM barrel was caused by machining the barrel to a wall 

thickness below that when it was manufactured by KKM, and by heat-shrinking a tungsten 

sleeve on that barrel, weakening the excessively thin barrel at exactly the point where it broke. 

• The methodology I employed in conducting this examination and reaching my opinions was to 

follow the generally accepted practices of failure investigation, which follows the scientific 

method, by gathering information, identifying hypotheses that might explain the incident, and 

applying generally accepted scientific, engineering, and metallurgical principles to identify to a 

reasonable degree of metallurgical engineering probability, best explanation for the failure of the 

AD-KKM number one barrel. 

• The opinions expressed throughout this report, including but not limited to this section of this 

report, are based on my review of the documents in this case, my examination of exemplar KKM 

pistol barrels, my analysis and calculations, and my background, education, training, and 

experience.

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46
2104592.000 - 9271 Page 15

Other Information

Attached to the report are my professional resume and a listing of my testimony in the past fouryear period. Exponent, Inc. charges for my time at the rate of $630 per hour.

At trial I would intend to use as exhibits:

Photographs of exemplar KKM pistol barrels

Data and results from testing of exemplar KKM pistol barrels

Excerpts from reference books, treatises, and standards

Excerpts from documents produced by all parties in this matter

Charts and diagrams illustrating my analysis, calculations, and opinions

I understand that discovery is ongoing in this case. If and/or when additional information is made 

available or as new facts are determined during the investigation and discovery process, my

professional opinions may change or be modified or refined to incorporate the new information, 

and this report may be supplemented to reflect such changes. The opinions in this report, however, 

are current as of this date and accurately present my conclusions based on the items and information 

reviewed, my background, education and training, experience, and my analysis performed up to 

this date. All opinions expressed herein are held by me to at least a reasonable degree of scientific 

and engineering certainty.

Signed:

 June 30, 2022

_______________________________________________________

Lee A. Swanger, Ph.D., P.E. date

Principal Engineer, 

Exponent Failure Analysis Associates, Inc. 

Attachments: Professional Resume, List of Previous Testimony, Photographs, Data

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Lee Swanger, Ph.D., P.E.

09/19 | Page 1

Professional Profile

Dr. Swanger is the Director of Exponent's Miami, Florida, office. His consulting work centers on the 

application of the principles of mechanical engineering, metallurgical and materials engineering, 

thermodynamics, and design engineering to issues related to incidents involving performance of 

engineered products and systems, accident reconstruction, and failure or fracture of system components. 

He also consults on issues of patent infringement and patent validity in the mechanical and materials arts. 

More specifically, Dr. Swanger’s experience includes the analysis of machinery dynamics and kinetics as 

exemplified by internal combustion engines of both piston and turbine configuration, as well as related 

compressor designs. His materials and metallurgical experience includes alloy applications, heat 

treatment, electrochemistry and corrosion, welding and brazing, and materials testing. He applies his 

combined expertise in both mechanical engineering and materials/metallurgical engineering to issues of 

fatigue and fracture, and mechanical joining via threaded fasteners.

Applications of these disciplines include systems in nuclear and fossil power plants, components of 

transportation systems on land, sea, and air, industrial manufacturing processes, components of 

commercial and residential buildings, materials used in the petroleum and chemical industries, machinery 

and processes for vapor degreasing and dry cleaning, and consumer products including sports equipment 

and kitchen appliances. 

Dr. Swanger has a particular interest in engine design and performance, with an emphasis on 

combustion, operational stresses, lubrication and bearing design and performance. He received a U.S. 

Patent for his engine bearing material and fabrication process.

Academic Credentials & Professional Honors

Ph.D., Materials Science and Engineering, Stanford University, with distinction, 1972

M.B.A., Marketing/Finance, Cleveland State University, 1982

M.S., Materials Science and Engineering, Stanford University, 1969

B.S., Metallurgy, Case Institute of Technology, with highest honors, 1968

Hertz Foundation Graduate Fellowship, 1970-1972

Member, Board of Directors of the Fannie and John Hertz Foundation

Lee A. Swanger, Ph.D., P.E.

Principal Engineer & Office Director | Materials & Corrosion Engineering 

4101 Southwest 71st Ave | Miami, FL 33155

(305) 661-1000 tel | lswanger@exponent.com 

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Lee Swanger, Ph.D., P.E.

09/19 | Page 2

Licenses and Certifications

Licensed Professional Engineer, Alabama, #29848-E

Licensed Professional Mechanical Engineer, California, #M23275

Licensed Professional Engineer, Florida, #37207

Licensed Professional Engineer, Georgia, #PE036205

Licensed Metallurgical Engineer, Louisiana, #34064

Licensed Professional Engineer, Mississippi, #25349

Licensed Professional Engineer, New York, #93691

Licensed Professional Metallurgical Engineer, Ohio, #44024

Licensed Professional Engineer, Virginia, #15492

Licensed Mechanical Engineer, Wyoming, #11899

Prior Experience

Adjunct Professor, Mechanical Engineering Department, University of Miami, 1999-2008

Director of Research and Development, Engine Parts Division, Imperial Clevite, 1979-1983

Lecturer, Mechanical Engineering Department, Cleveland State University, 1978-1982

Project Manager, Gould Labs for Materials Research, Gould Inc., 1975-1979

Associate Sr. Research Metallurgist, General Motors Research Labs, 1973-1975

Patents

Patent 4,333,215: Bearing Material and Method of Making, issued June 8, 1982.

Publications

Rogers G, Swanger L, Wells C. The Role of testing programs in verifying structural integrity of medium 

speed diesel generator components. Institute for Electrical and Electronics Engineers Transaction on 

Nuclear Science 1985; NS-32(1), February. 

Swanger L. Inhomogeneous thermodynamics and spinodal decomposition. Ph.D. Dissertation, Stanford 

University, August 1972. 

Swanger L, Rhines W. On the necessary conditions for homogeneous nucleation of gas bubbles in 

liquids. Journal of Crystal Growth 1972; 12:323-326. 

Barnett D, Swanger L. The elastic energy of a straight dislocation in an infinite anistropic elastic medium. 

Physica Status Solidi (B) 1971; 48:419-428, 1971. 

Swanger L, Cooper A, Gupta P. Computer simulation of one-dimensional spinodal decomposition. Acta 

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Lee Swanger, Ph.D., P.E.

09/19 | Page 3

Metallurgica 1970; 18:9-14.

Presentations

Swanger L. Expert witnesses in patent infringement litigation. Presented to Cleveland Ad-Hoc Patent 

Litigators Council, Cleveland, OH, December 2004. 

Swanger L. Early assessment of product liability claims, the role of the engineering consultant. Presented 

to TriMas Litigation Conference, Detroit, MI, June 2002. 

Swanger L. How to solve your bearings' problems. Presented at Joint Emergency Diesel Generator 

Owners Group Conference, Chicago, IL, June 1997. 

Swanger L, Vogler M, Rau S. Investigation of the reliability of solid aluminum main bearings in emergency 

diesel generators. 9th International Conference on Structural Mechanics in Reactor Technology, Volume 

D, Lausanne, Switzerland, August 1987. 

Johnston P, Shusto L, Swanger L. Analysis of diesel engine crankshaft torsional vibrations. 9th 

International Conference on Structural Mechanics in Reactor Technology, Volume D, Lausanne, 

Switzerland, August 1987. 

Swanger L. Advanced techniques of accident investigation. Presented at Occupational Safety and Health 

Administration Training Institute, Des Plaines, IL, March, June, and September 1986. 

Swanger L, Harris D, Johnston P, Derbalian G. Advanced methods for diesel component life prediction. 

Society for Automotive Engineers Paper 860885, Marine Propulsion Technology Conference, 

Washington, DC, May 1986. 

McCarthy R, McCarthy G, Swanger L. Reliability and service life of steel truck wheels. Annual Reliability 

and Maintainability Symposium, Las Vegas, NV, January 1986. 

Rogers G, Wells C, Swanger L. Design analysis of emergency diesel generator components to establish 

reliability under operating conditions. 8th International Conference on Structural Mechanics in Reactor 

Technology, Brussels, Belgium, August 1985. 

Swanger L. Bearing materials update. Presented to Society of Automotive Engineers Off-Highway 

Conference, Milwaukee, WI, September 1981. 

Swanger L. Developments in bearings and pistons. Presented at O Motor no Futuro (The Engine of the 

Future), Sao Paulo, Brazil, September 1980. 

Swanger L. Selection of crankshaft materials for optimum bearing performance. Presented to Society of 

Manufacturing Engineers Conference, CM80-392, Los Angeles, CA, June 1980. 

Swanger L. Heavy duty bearings: Materials and process. Presented at Carnegie-Mellon University, 

Pittsburgh, PA, March 1980.

Reports

Swanger L. Rule 26 Report of Lee A. Swanger In the Matter of Darrell W. Hartman v. Caterpillar Inc., et. 

al., May 28, 2010.

Swanger L. Rule 26 Report of Lee A. Swanger In the Matter of Innovative Fuel Products, LLC vs. BP 

Products North America Inc., December 23, 2010.

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Lee Swanger, Ph.D., P.E.

09/19 | Page 4

Swanger L. Report of Lee A. Swanger In the Matter of Questar Gas Management Co. v. Waukesha and 

Stewart & Stevenson, March 13, 2009.

Swanger L. Expert Report of Lee A. Swanger, Ph.D. P.E. Regarding Invalidity of U.S. Patent No. 

6,979,117 and U.S. Patent No. 7, 281,842, K-TEC, Inc. vs. Vita-Mix Corporation, January 15, 2010.

Swanger L. Expert Report on Patent Infringement Pursuant to Rule 26(A)(2)(B) by Lee A. Swanger, 

Ph.D., P.E., Vita-Mix Corporation vs. Basic Holding, Inc., Focus Products Group, LLC, Focus Electrics, 

LLC, and West Bend Housewares, LLC, December 17, 2007.

Swanger L. Expert Report on Rebuttal of "Expert Report of Majid Rashidi, Ph.D., P.E." Dec. 17, 2007 

Regarding the Invalidity of U.S. Patent No. 5,302,021 and "Expert Report of Thomas F. Smegal, Jr." Dec. 

13, 2007 Regarding Inequitable Conduct During Prosecution of U. S. Patent No. 5,302,021, Pursuant To 

Rule 26(A)(2)(B) by Lee A. Swanger, Ph.D., P.E., Vita-Mix Corporation vs. Basic Holding, Inc. f/k/a Back 

to Basics Products, Inc., Focus Products Group, LLC, Focus Electrics, LLC, and West Bend Housewares, 

LLC, January 7, 2008.

Swanger L. Rule 26 Report of Lee A. Swanger In the Matter of Horton, Inc. v. NSK Corporation, Inc., 

American Arbitration Association Case No. 65 181 Y 00320 05, October 9, 2006.

Swanger L. Report of Lee A. Swanger In the Matter of Lloyd Cunningham v. Henry Repeating Arms Co. 

et.al. pursuant to Federal Rule 26, July 28, 2006.

Swanger L. Expert Report on Patent Infringement Pursuant To Rule 26(A)(2)(B) by Lee A. Swanger, 

Ph.D., P.E., Fellowes, Inc. vs. Michilin Prosperity Company Ltd. & Intek America, Inc., January 26, 2007.

Swanger L. Expert Report on Rebuttalof January 26, 2007 "Expert Report of Elliot L. Stern, Ph.D., On 

The Invalidity of U.S. Patent Nos. 6,260,780 And 7,040,559" Pursuant To Rule 26(A)(2)(B) by Lee A. 

Swanger, Ph.D., P.E., Fellowes, Inc. vs. Michilin Prosperity Company Ltd. & Intek America, Inc., February 

26, 2007.

Swanger L. Report of Lee A. Swanger Responsive to Judge Tarnow's Order of June 5, 2006, James W. 

Jaikins v. Caterpillar, Inc., Case No. 04-73404, December 3, 2006.

Swanger L. Bearing and Valve Investigation, Wartsila 18V46 - DG-02, Central Electrica Talnique, El 

Salvador, Prepared for: Inversiones Energéticas S.A. de C.V., September 22, 2009.

Swanger L. Hydrodynamic Crankshaft Bearings in Nordberg Emergency Diesel Generators, Prepared for 

Engineering Staff, Brunswick Nuclear Plant, Progress Energy, Southport, NC, February 17, 2011.

Swanger L. Rule 26 Report of Lee A. Swanger In the Matter of Douglas P. DeMasi v. United States of 

America, Case No. 3:09-cv-868-J-32JRK, October 14, 2010.

Swanger L. Response to Expert Report of Michael Thuma Pursuant to Rule 26(A)(2)(B) By Lee A. 

Swanger, Ph.D., P.E., Sunbeam Products, Inc. d/b/a Jarden Consumer Solutions vs. Homeland 

Housewares, LLC, et al., Case No. 3:09-CV-00791 REP, October 18, 2010.

Swanger L, McDaniel D. Nordberg ductile iron piston evaluation. Prepared for Progress Energy 

Brunswick Nuclear Station, January 5, 2006.

Swanger L. Report of Lee A. Swanger, Ph.D., P.E. In the Matter of Verve L.L.C. v Crane Cams, et. al. 

Reference U.S. Patent 4,850,315, January 24, 2005.

Swanger L. Report of Lee A. Swanger In the Matter of Vine Street, L.L.C. v. James R. Keeling et. al. Rule 

26 report regarding Perchloroethylene Dry Cleaning machine function, Eastern District of Texas, 

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Lee Swanger, Ph.D., P.E.

09/19 | Page 5

September 10, 2004.

Swanger L. Declaration of Lee A. Swanger, Ph.D., P.E. re: U.S. Patent 6,071,062. PODS, Inc. v. Porta 

Stor, Inc. et. al., September 9, 2004.

Swanger L. Declaration of Lee A. Swanger, Ph.D., P.E. in Opposition to Plaintiffs' Motion for Preliminary 

Injunction. Honeywell International Inc., et. al. v. ABB Inc., et. al., reference U.S. Patent 5,193,989, May 

19, 2003.

Swanger L. Report of Lee A. Swanger, Ph.D., P.E. In the Matter of Air Turbine Technology v. Atlas 

Copco. Reference U.S. Patent 5,439,346, November 21, 2002.

Swanger L. Report of Lee A. Swanger, Ph.D., P.E. In the Matter of Marshalltown Trowel v. Lowe's re U.S. 

Patent 5,615,445. March 20, 2001.

Swanger L. Declaration of Lee A. Swanger, Ph.D., P.E. In the Matter of Monte J. Solazzi, et. al. v. 

Premier Lab Supply, Inc. et. al. Reference U.S. Patents 5,451,375 and 5.630,989, July 20, 2000.

Swanger L, Davy R, Eberly P, Waters L. Teledyne continental camshaft and lifter performance: The 

influence of lubricating oil on surface conditions. Technical Report to Special Masters in Gross v. Mobil, 

November 1996.

Johnston P, Shusto L, Swanger L. Evaluation of diesel generator Number 1 at Brunswick Nuclear Plant. 

Failure Analysis Associates, Inc., Technical Report, January 1993.

Swanger L. Investigation of repeated Number 5 main bearing degradation by flashing, Fairbanks Morse 

opposed piston auxiliary diesel on the Emory S. Land. Failure Analysis Associates, Inc., Technical 

Report, January 1992.

Scheibe R, Kadlec R, Swanger L, Littmann W, Clark R, Johnston P, Hayes D. Generator Bearing 

condition assessment: Unit DG-1, WPPSS WNP-2. Failure Analysis Associates, Inc., Technical Report, 

June 1991.

Swanger L, Mercaldi D, Bisbee L, Booth A, Vetter J. DC Motor Control Center 2PB-1 Fire at Fermi II 

Nuclear Plant. Failure Analysis Associates, Inc., Technical Report, March 1987.

Swanger L, Webb W, Bisbee, L. Failure Investigation of North Hot Reheat Line, Detroit Edison Monroe 

Unit #1. Failure Analysis Associates, Inc., Technical Report, September 1986.

Swanger L, Vogler M. Investigation of surface scoring of main bearings: Fairbanks Morse 38TD8-1/8 

diesels at Fermi II Power Plant. Failure Analysis Associates, Inc., Technical Report, June 1986.

Swanger L. Design review of connecting rod bearing shells for Transamerica Delaval Enterprise Engines. 

Failure Analysis Associates, Inc., Technical Report, March 1984. 

Swanger L, Bisbee L, Webb W. Evaluation of piston and bearing from the Baltimore Gas and Electric 

Hunt Valley Inn cogeneration system. Failure Analysis Associates, Inc., Technical Report, June 1992.

Swanger L. Review of performance problems, Occidental Chemical M/V Julius Hammer and M/V Frances 

Hammer, Colt-Pielstick, PC 2.5 diesel engines. Failure Analysis Associates Report, April 1986.

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Photographs of Twelve Exemplar KKM Pistol Barrels

As-received Condition

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aILlI\Int vrrlrr- rnasarf Jlrrcr@ lnnovatest Europe BV

Borgharenweg 140

6222 AA - Maastricht

The Netherlands

+31 43 3520060

Tester lnfo

Type

Date

Operator

Test

Dwelltime

Cp

VERZUS 72ORS

February 24,2A22

KKM

HRC

4 sec.

1.06

Statistics

Nr of measurements

Max

Min

Average

Std.dev

cpk

Range

12

44.24

38.91

41.66

1.89

1.00

5.33

Sample test of barrels produced from 2010 lo 2022

Carpenter Project 70+ Range (39-42RC) *Cryo Treated

Outokumpu Range (42-46RC)

C-_qrp_enlq BQS Range (42-46RC)

'i il

Pairii'lr

50

4E

{-} trf

="d 3o

{h&

€x$

=is

0

'l A, :, g

? l,/

I

t

,-/

P

?

1 41.75 HRC depth:116.5 4:27:58 PM

Comment 0

70+ CGABRCT (No Cryo Treat

2

Comment

41.32 HRC depth: 117.4 4:32:07 PM

CSABWN 9X19 (No Cryo

3 39.94 HRC depth: '120.1 4:34:08 PM

Comment AKAI TUNGSTEN SLEEVED

FAILED BARREL

4 39.14 HRC depth: '121.7 4:4201 PM

Comment

5 HRC deplh:122.2 4:48:09 PM

Comment

2018 OUTOKUMPU

CGABRWN gMM ment

43.94 HRC depth: 1'12.1 4:55:48 PM

Page 1

i

70+ CGABCN gMM

38.91

CX1 DBCT

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46
7 43.64 HRC depth: 112.7 3:37:13 PM

Comment 2017 OUTOKUMPU

CXlABRWT

8 40.9 HRC depth:118.2 3:43:39 PM

Comment

PROJECT 70+ CGASWN .355

1-32"

?

12 44.24 HRC depth: 1'll .5 3:48:41

2022 OUTOKUMPU

cxlABR'!cT.3551-16"

I

Comment

42.08 HRC depth:115.8 3:45:26 PM

USAMU 2015 CARPENTER

PROJECT 70+ CGASWN .355

1-18'

10 39.89 HRC depth: 120.2 3:46:33 PM

Comment PROJECT 70+

gMM 1-18"

11 44.17 HRC depth: 111.7 3:47:34 PM

Comment BQ5

1-16"

Page 2

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46
Contact: David Wills 

Exponent, Inc. 

4101 SW 71 Ave. 

MIAMI, FL 33155

TEST REPORT — EAR-CONTROLLED DATA

Date: 6/14/2022 

P.O. No.: 00066684

W/O No.: EXP023-06-10-73527-1

The information contained in this certification represents only the material submitted and is certified only for the 

quantities tested. Unless otherwise specified, measurement uncertainty was not taken into account when

making statements of conformity to a specification. Test results relate only to the items tested as prepared 

from the “as received” sample. Reproduction except in full is reserved pending written approval. The recording 

of false, fictitious, or fraudulent statements or entries on the certificate may be punishable as a felony under 

federal law. All testing was performed in a mercury-free environment. All testing was performed in accordance 

with the latest edition of the applicable ASTM or other Federal Test Method in effect at the time of test. 

Element Charlotte 

1200 Westinghouse Blvd. Suite A 

Charlotte, NC 28273 

Respectfully Submitted 

Page 1 of 1 

Description: 416 SS Test Samples 

Part No.: CX1ABR1CT; CGASWN-32; AKAI-SLEEVE; CSABWN; CGASWN-18; CGABWN; CGABRWN; 

CX1DBCT; CGABCN-O; CX1ABRWT; CGABRCT; CGABCN-32; 

416

Element CX1ABR1CT CGASWN32 

AKAISLEEVE CSABWN CGASWN18 CGABWN Min % Max % 

C = 0.11 0.09 0.09 0.09 0.09 0.09 0.00 0.15 

Mn = 0.74 0.42 0.40 0.40 0.42 0.40 0.00 1.25 

P = 0.019 0.018 0.018 0.019 0.019 0.019 0.000 0.060 

S = 0.302 0.307 0.270 0.326 0.329 0.319 0.150 NS 

Si = 0.38 0.63 0.63 0.62 0.62 0.62 0.00 1.00 

Cr = 13.29 13.14 13.05 13.27 13.19 13.23 12.00 14.00 

Ni = 0.48 0.22 0.21 0.21 0.21 0.22 0.00 NS 

Mo = 0.04 0.07 0.08 0.07 0.07 0.07 0.00 NS 

Cu = 0.05 0.09 0.07 0.08 0.08 0.08 0.00 NS 

Fe = Balance Balance Balance Balance Balance Balance Balance Balance 

Element CGABRWN CX1DBCT CGABCN-O CX1ABRWT CGABRCT CGABCN-32 Min % Max % 

C = 0.10 0.08 0.12 0.13 0.09 0.10 0.00 0.15 

Mn = 0.71 0.41 0.34 0.71 0.40 0.38 0.00 1.25 

P = 0.019 0.018 0.018 0.019 0.018 0.018 0.000 0.060 

S = 0.277 0.329 0.247 0.251 0.313 0.254 0.150 NS 

Si = 0.38 0.68 0.63 0.38 0.65 0.64 0.00 1.00 

Cr = 13.08 13.19 12.93 13.07 13.05 13.01 12.00 14.00 

Ni = 0.30 0.32 0.35 0.31 0.21 0.29 0.00 NS 

Mo = 0.04 0.07 0.03 0.04 0.12 0.07 0.00 NS 

Cu = 0.06 0.10 0.07 0.06 0.06 0.10 0.00 NS 

Fe = Balance Balance Balance Balance Balance Balance Balance Balance 

TEST METHOD: ASTM E415 

This document contains technical data whose export and re-export/ retransfer is subject to control by the U.S. Department of Commerce under the Export Administration Act 

and the Export Administration Regulations. The Department of Commerce’s prior written approval may be required for the export or re-export/retransfer of such technical data 

to any foreign person, foreign entity or foreign organization whether in the United States or abroad. 

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46
Results of Rockwell "C" hardness testing

Sample

Corrected 

Hardness 

HRC

KKM HRC 

HRC CrosssectionLwr Lug 

HRC

1 CGABWN 1-18" 39.7 39.9 40.1

2 CGASWN 1-32" 40.9 40.9 40.3

3 CGABRWN 9mm 43.4 43.9

4 CGABCN 9mm 1-32" 38.2 39.1 38.6

5 CGABCN 44.7 44.1

6 CGABRCT Exp 2 37.8 41.7 39.3

7 CX1DBCT Exp 1 36.3 38.9 36.6

 40 S&W

8 CGASWN 1-18" 37.9 42.1 38.1 40.5

9 CSABWN 9x19 43.0 41.3

10 Akai W Sleeve 37.1 39.9 39.5 38.9

11 CX1ABR1CT 45.3 44.2 43.9 44.1

12 CX1ABRWT 42.8 43.6 43

All HRC tests performed on a calibrated LECO RT-120A Hardness tester

and checked against certified 52.86 HRC calibration block # 3593948

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Deposition, Trial (T), Hearing (H), and Arbitration (A) Testimony of

Lee A. Swanger, Ph.D., P.E.

FaAA CASE # LITIGANTS SUBJECT OF P COUNSEL JURISDICTION VENUE DATE OF

Project TESTIMONY or D TESTIMONY

1609531 01-15-004-9938 GE Transportation Metallurgical and P John Scalzo American Arbitration Assoc. Cleveland, OH 4/24/2017

Consolidated Precision Products Mechanical Engineering Brian Rose Int'l Centre for Dispute Resol.

1605143 3:15-13328 Sigman, et al. Metallurgical Engineering D. Blayne Honeycutt U.S. District Court Southern District of West Virginia 2/2/2018

CSX Transportation D Robert Massie Huntington Division

Sperry Rail Service D John D. "Jack" Hoblitzell, III

1701076 CV-2017-900038 Pettway Materials Engineering Robert Mitchell Circuit Court Mobile County 2/19/2018

Vac-Con, Inc., et al. D Michael Truncale Alabama

1708681 2012-CA-011871-O Rutledge Mechanical Engineering P W. Andrew Rariden Circuit Court Orange County 4/5/2018

Probus Online, Inc. Michael J. Merrill 9th Judicial Circuit Florida

1705741 2016-03483 Sandbox Logistics Materials Engineering Matthew P. Whitley Texas State Court Harris County 4/18/2018

Arrows Up, Inc Mechanical and D Stephen Loftin 334th Judicial District Texas

1804105 8:16-CV-1241-T-17JSS Lidey Mechanical Engineering Jonathan D. Rubinstein U.S. District Court Middle District of Florida 6/6/2018

Luehrs' Ideal Rides, Inc. D James R. Brown Tampa Division

1705741 2016-03483 Sandbox Logistics Mechanical and Matthew P. Whitley Texas State Court Harris County 6/28/2018

Arrows Up, Inc. Materials Engineering D Stephen Loftin 334th Judicial District Texas T

1801641 16-02709-MD-W-GAF Browning Mechanical and Ryan Casey U.S. District Court Western District of Missouri 7/18/2018

Dollar General Corp. Metallurgical Engineering D R. Trent Taylor Missouri

1708681 2012-CA-011871-O Rutledge Mechanical Engineering P Andy Rariden Florida State Court Orange County 10/23/2018

Central Florida Injury Ronald Harrop Ninth Judicial Circuit Florida T

Probus Online Michael Merrill

1904058 BC 646594 Mamdouh Habib Mechanical Engineering Raphael Metzger California Superior Court Los Angeles, CA 6/20/2019

RR Street D John Thomas Los Angeles Central District

1903771 18-009614 Akif Ali Metallurgical Engineering Geoffrey Gilbert Circuit Court 17th Judicial Dstrt Broward County, FL 8/23/2019

GeoVera Specialty Insurance D Karen Brimmer Broward County, FL

1505127 2017-025835-CA-01 D Miami Investment Inc. Mechanical Engineering Natasha Rivera Circuit Court 11th Circuit Miami, FL 9/6/2019

NCH Pumbing, Inc. Materials Engineering D Alexander Alvarez Miami-Dade County, FL

1907404 1:19-cv-01611-DCN Terves LLC Metallurgical Engineering P David Cupar US District Court Northern Ohio Cleveland, OH June 3, 2020

Yueyang Aerospace & Ecometal Patent Infringement Evan Talley Eastern District 

1907404 1:19-cv-01611-DCN Terves LLC Metallurgical Engineering P David Cupar US District Court Northern Ohio Cleveland, OH 12-Oct-20

Yueyang Aerospace & Ecometal Patent Infringement Evan Talley Eastern District 

2008119 20-cv-21586-JEM Milner Metallurgical Engineering Maximo Santiago U S District Court - Florida Miami-Dade County 2/9/2021

Scottsdale Insurance D Joseph Miele Southern District

1707055 CACE 18 - 026778 Hollinger and McKenzie Metallurgical Engineering Joseph Slama 17th Judicial Circuit Broward County FL 2/22/2021

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Deposition, Trial (T), Hearing (H), and Arbitration (A) Testimony of

Lee A. Swanger, Ph.D., P.E.

FaAA CASE # LITIGANTS SUBJECT OF P COUNSEL JURISDICTION VENUE DATE OF

Project TESTIMONY or D TESTIMONY

CACE 18 - 026917 Qualitiy Steel Corporation D Robin Rothman Broward County, Florida

2002150 CGC-98-999345 City of Modesto, CA Mechanical and Duane Miller State of California County of San Francisco 5/6/2021

and CGC-98-999643 DOW and PPG Materials Engineering D Genaro Filice County of San Francisco

1600068 5:14 - CV-01872-DSF Betty Goldberg & Al Goldberg Mechanical and P Bret Stone U S District Court - California Santa Barbara, CA 5/18/2021

Goss-Jewett Co. Materials Engineering Chris Johnson Central District T

1809042 18-003983 CA 01 Jesus Carbonell, Jr. Mechanical Engineering J.C. Gonzalez 11th Judicial Circuit Miami-Dade County, Florida 6/11/2021

Alvaco Enterprises, Inc. D Anthony Torrente Miami-Dade County

1908910 2:18-cv-00456 Eric Stevens et al. Class Action Mechanical Engineering Lauren Akers US District Court - Texas Corpus Christi Division 6/29/2021

Ford Motor Company Materials - Tribology D Cole Geddy Southern District

1705257 6:18-CV-00213 Stone Energy Corp. Materials - Corrosion P Matt Jones US District Court - Louisiana Lafayette Division 7/20/2021

Nippon Steel and Sumitomo Meghan Senter Western District

2006400 CA-No. 20-1862 Atlantic Specialty for CANDIES Mechanical Engineering Alfred Ruffy US District Court - Louisiana New Orleans 8/25/2021

Caterpillar, Inc. Metallurgy - Tribology D Deirdre McGlinchey Eastern District

1801682 18SL-CC00140 Warren Benning Mechanical and Andrew Martin Circuit Court - St. Louis County St. Louis 10/13/2021

Division No. 18 Dorel Home Furnishings Materials Engineering D Rachel Remke Armbrust Missouri

1907404 1:19-cv-1611-DCN Terves Metallurgical Engineering P David Cupar US District Court - Ohio Eastern Division, Cleveland OH 10/18/2021

Ecometal and Yueyang Aerospace Corrosion Engineering Ed White Northern District

1903210 14-3681 CA 30 Greeen Mechanical Engineering P Curtis Mase 11th Judicial Circuit Miami-Dade County, Florida 11/16/2021

Ultra Music Festival et al. Metallurgical Engineering Addison Meyers Miami-Dade County

2104177 2:19-cv-00513-GEKP Penn Engineering & Manufacturing Mechanical Engineering Joseph Konieczny US District Court -Pennsylvania Philadelphia 12/23/2021

Peninsula Components, Inc. D Samuel Silver Eastern District

2009939 5:20-cv-00177 James Walker Metallurgical Engineering Jorge Mares US District Court - Florida Panama City Division 2/24/2022

Precision Gears, Inc. D Corey Wright Northern District 

2200371 2020 30762 CICI Michael Carroll Mechanical Engineering Perry Nava 7th Judicial Circuit Volusia County, Florida 4/6/2022

Thomas Gillikin D Blake Gaffney Volusia County

2111401 1:20-cv-00887-CFC Victaulic Company Mechanical Engineering P Benjamin Kiersz US District Court Delaware 5/11/2022

ASC Engineered Solutions Coby Nixon District of Delaware

2005777 2019-9502 CA 01 Michael Moore Materials Engineering Marcel Flemming 11th Judicial Circuit Miami-Dade County, Florida 5/24/2022

Courtyard Management Corp. Antwon Emery Miami-Dade County

Daniel Moore Chairs D Craig Montz

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Lee Swanger, Ph.D., P.E.

09/19 | Page 1

Professional Profile

Dr. Swanger is the Director of Exponent's Miami, Florida, office. His consulting work centers on the 

application of the principles of mechanical engineering, metallurgical and materials engineering, 

thermodynamics, and design engineering to issues related to incidents involving performance of 

engineered products and systems, accident reconstruction, and failure or fracture of system components. 

He also consults on issues of patent infringement and patent validity in the mechanical and materials arts. 

More specifically, Dr. Swanger’s experience includes the analysis of machinery dynamics and kinetics as 

exemplified by internal combustion engines of both piston and turbine configuration, as well as related 

compressor designs. His materials and metallurgical experience includes alloy applications, heat 

treatment, electrochemistry and corrosion, welding and brazing, and materials testing. He applies his 

combined expertise in both mechanical engineering and materials/metallurgical engineering to issues of 

fatigue and fracture, and mechanical joining via threaded fasteners.

Applications of these disciplines include systems in nuclear and fossil power plants, components of 

transportation systems on land, sea, and air, industrial manufacturing processes, components of 

commercial and residential buildings, materials used in the petroleum and chemical industries, machinery 

and processes for vapor degreasing and dry cleaning, and consumer products including sports equipment 

and kitchen appliances. 

Dr. Swanger has a particular interest in engine design and performance, with an emphasis on 

combustion, operational stresses, lubrication and bearing design and performance. He received a U.S. 

Patent for his engine bearing material and fabrication process.

Academic Credentials & Professional Honors

Ph.D., Materials Science and Engineering, Stanford University, with distinction, 1972

M.B.A., Marketing/Finance, Cleveland State University, 1982

M.S., Materials Science and Engineering, Stanford University, 1969

B.S., Metallurgy, Case Institute of Technology, with highest honors, 1968

Hertz Foundation Graduate Fellowship, 1970-1972

Member, Board of Directors of the Fannie and John Hertz Foundation

Lee A. Swanger, Ph.D., P.E.

Principal Engineer & Office Director | Materials & Corrosion Engineering 

4101 Southwest 71st Ave | Miami, FL 33155

(305) 661-1000 tel | lswanger@exponent.com 

EXHIBIT 2

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Lee Swanger, Ph.D., P.E.

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Licenses and Certifications

Licensed Professional Engineer, Alabama, #29848-E

Licensed Professional Mechanical Engineer, California, #M23275

Licensed Professional Engineer, Florida, #37207

Licensed Professional Engineer, Georgia, #PE036205

Licensed Metallurgical Engineer, Louisiana, #34064

Licensed Professional Engineer, Mississippi, #25349

Licensed Professional Engineer, New York, #93691

Licensed Professional Metallurgical Engineer, Ohio, #44024

Licensed Professional Engineer, Virginia, #15492

Licensed Mechanical Engineer, Wyoming, #11899

Prior Experience

Adjunct Professor, Mechanical Engineering Department, University of Miami, 1999-2008

Director of Research and Development, Engine Parts Division, Imperial Clevite, 1979-1983

Lecturer, Mechanical Engineering Department, Cleveland State University, 1978-1982

Project Manager, Gould Labs for Materials Research, Gould Inc., 1975-1979

Associate Sr. Research Metallurgist, General Motors Research Labs, 1973-1975

Patents

Patent 4,333,215: Bearing Material and Method of Making, issued June 8, 1982.

Publications

Rogers G, Swanger L, Wells C. The Role of testing programs in verifying structural integrity of medium 

speed diesel generator components. Institute for Electrical and Electronics Engineers Transaction on 

Nuclear Science 1985; NS-32(1), February. 

Swanger L. Inhomogeneous thermodynamics and spinodal decomposition. Ph.D. Dissertation, Stanford 

University, August 1972. 

Swanger L, Rhines W. On the necessary conditions for homogeneous nucleation of gas bubbles in 

liquids. Journal of Crystal Growth 1972; 12:323-326. 

Barnett D, Swanger L. The elastic energy of a straight dislocation in an infinite anistropic elastic medium. 

Physica Status Solidi (B) 1971; 48:419-428, 1971. 

Swanger L, Cooper A, Gupta P. Computer simulation of one-dimensional spinodal decomposition. Acta 

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Metallurgica 1970; 18:9-14.

Presentations

Swanger L. Expert witnesses in patent infringement litigation. Presented to Cleveland Ad-Hoc Patent 

Litigators Council, Cleveland, OH, December 2004. 

Swanger L. Early assessment of product liability claims, the role of the engineering consultant. Presented 

to TriMas Litigation Conference, Detroit, MI, June 2002. 

Swanger L. How to solve your bearings' problems. Presented at Joint Emergency Diesel Generator 

Owners Group Conference, Chicago, IL, June 1997. 

Swanger L, Vogler M, Rau S. Investigation of the reliability of solid aluminum main bearings in emergency 

diesel generators. 9th International Conference on Structural Mechanics in Reactor Technology, Volume 

D, Lausanne, Switzerland, August 1987. 

Johnston P, Shusto L, Swanger L. Analysis of diesel engine crankshaft torsional vibrations. 9th 

International Conference on Structural Mechanics in Reactor Technology, Volume D, Lausanne, 

Switzerland, August 1987. 

Swanger L. Advanced techniques of accident investigation. Presented at Occupational Safety and Health 

Administration Training Institute, Des Plaines, IL, March, June, and September 1986. 

Swanger L, Harris D, Johnston P, Derbalian G. Advanced methods for diesel component life prediction. 

Society for Automotive Engineers Paper 860885, Marine Propulsion Technology Conference, 

Washington, DC, May 1986. 

McCarthy R, McCarthy G, Swanger L. Reliability and service life of steel truck wheels. Annual Reliability 

and Maintainability Symposium, Las Vegas, NV, January 1986. 

Rogers G, Wells C, Swanger L. Design analysis of emergency diesel generator components to establish 

reliability under operating conditions. 8th International Conference on Structural Mechanics in Reactor 

Technology, Brussels, Belgium, August 1985. 

Swanger L. Bearing materials update. Presented to Society of Automotive Engineers Off-Highway 

Conference, Milwaukee, WI, September 1981. 

Swanger L. Developments in bearings and pistons. Presented at O Motor no Futuro (The Engine of the 

Future), Sao Paulo, Brazil, September 1980. 

Swanger L. Selection of crankshaft materials for optimum bearing performance. Presented to Society of 

Manufacturing Engineers Conference, CM80-392, Los Angeles, CA, June 1980. 

Swanger L. Heavy duty bearings: Materials and process. Presented at Carnegie-Mellon University, 

Pittsburgh, PA, March 1980.

Reports

Swanger L. Rule 26 Report of Lee A. Swanger In the Matter of Darrell W. Hartman v. Caterpillar Inc., et. 

al., May 28, 2010.

Swanger L. Rule 26 Report of Lee A. Swanger In the Matter of Innovative Fuel Products, LLC vs. BP 

Products North America Inc., December 23, 2010.

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Lee Swanger, Ph.D., P.E.

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Swanger L. Report of Lee A. Swanger In the Matter of Questar Gas Management Co. v. Waukesha and 

Stewart & Stevenson, March 13, 2009.

Swanger L. Expert Report of Lee A. Swanger, Ph.D. P.E. Regarding Invalidity of U.S. Patent No. 

6,979,117 and U.S. Patent No. 7, 281,842, K-TEC, Inc. vs. Vita-Mix Corporation, January 15, 2010.

Swanger L. Expert Report on Patent Infringement Pursuant to Rule 26(A)(2)(B) by Lee A. Swanger, 

Ph.D., P.E., Vita-Mix Corporation vs. Basic Holding, Inc., Focus Products Group, LLC, Focus Electrics, 

LLC, and West Bend Housewares, LLC, December 17, 2007.

Swanger L. Expert Report on Rebuttal of "Expert Report of Majid Rashidi, Ph.D., P.E." Dec. 17, 2007 

Regarding the Invalidity of U.S. Patent No. 5,302,021 and "Expert Report of Thomas F. Smegal, Jr." Dec. 

13, 2007 Regarding Inequitable Conduct During Prosecution of U. S. Patent No. 5,302,021, Pursuant To 

Rule 26(A)(2)(B) by Lee A. Swanger, Ph.D., P.E., Vita-Mix Corporation vs. Basic Holding, Inc. f/k/a Back 

to Basics Products, Inc., Focus Products Group, LLC, Focus Electrics, LLC, and West Bend Housewares, 

LLC, January 7, 2008.

Swanger L. Rule 26 Report of Lee A. Swanger In the Matter of Horton, Inc. v. NSK Corporation, Inc., 

American Arbitration Association Case No. 65 181 Y 00320 05, October 9, 2006.

Swanger L. Report of Lee A. Swanger In the Matter of Lloyd Cunningham v. Henry Repeating Arms Co. 

et.al. pursuant to Federal Rule 26, July 28, 2006.

Swanger L. Expert Report on Patent Infringement Pursuant To Rule 26(A)(2)(B) by Lee A. Swanger, 

Ph.D., P.E., Fellowes, Inc. vs. Michilin Prosperity Company Ltd. & Intek America, Inc., January 26, 2007.

Swanger L. Expert Report on Rebuttalof January 26, 2007 "Expert Report of Elliot L. Stern, Ph.D., On 

The Invalidity of U.S. Patent Nos. 6,260,780 And 7,040,559" Pursuant To Rule 26(A)(2)(B) by Lee A. 

Swanger, Ph.D., P.E., Fellowes, Inc. vs. Michilin Prosperity Company Ltd. & Intek America, Inc., February 

26, 2007.

Swanger L. Report of Lee A. Swanger Responsive to Judge Tarnow's Order of June 5, 2006, James W. 

Jaikins v. Caterpillar, Inc., Case No. 04-73404, December 3, 2006.

Swanger L. Bearing and Valve Investigation, Wartsila 18V46 - DG-02, Central Electrica Talnique, El 

Salvador, Prepared for: Inversiones Energéticas S.A. de C.V., September 22, 2009.

Swanger L. Hydrodynamic Crankshaft Bearings in Nordberg Emergency Diesel Generators, Prepared for 

Engineering Staff, Brunswick Nuclear Plant, Progress Energy, Southport, NC, February 17, 2011.

Swanger L. Rule 26 Report of Lee A. Swanger In the Matter of Douglas P. DeMasi v. United States of 

America, Case No. 3:09-cv-868-J-32JRK, October 14, 2010.

Swanger L. Response to Expert Report of Michael Thuma Pursuant to Rule 26(A)(2)(B) By Lee A. 

Swanger, Ph.D., P.E., Sunbeam Products, Inc. d/b/a Jarden Consumer Solutions vs. Homeland 

Housewares, LLC, et al., Case No. 3:09-CV-00791 REP, October 18, 2010.

Swanger L, McDaniel D. Nordberg ductile iron piston evaluation. Prepared for Progress Energy 

Brunswick Nuclear Station, January 5, 2006.

Swanger L. Report of Lee A. Swanger, Ph.D., P.E. In the Matter of Verve L.L.C. v Crane Cams, et. al. 

Reference U.S. Patent 4,850,315, January 24, 2005.

Swanger L. Report of Lee A. Swanger In the Matter of Vine Street, L.L.C. v. James R. Keeling et. al. Rule 

26 report regarding Perchloroethylene Dry Cleaning machine function, Eastern District of Texas, 

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September 10, 2004.

Swanger L. Declaration of Lee A. Swanger, Ph.D., P.E. re: U.S. Patent 6,071,062. PODS, Inc. v. Porta 

Stor, Inc. et. al., September 9, 2004.

Swanger L. Declaration of Lee A. Swanger, Ph.D., P.E. in Opposition to Plaintiffs' Motion for Preliminary 

Injunction. Honeywell International Inc., et. al. v. ABB Inc., et. al., reference U.S. Patent 5,193,989, May 

19, 2003.

Swanger L. Report of Lee A. Swanger, Ph.D., P.E. In the Matter of Air Turbine Technology v. Atlas 

Copco. Reference U.S. Patent 5,439,346, November 21, 2002.

Swanger L. Report of Lee A. Swanger, Ph.D., P.E. In the Matter of Marshalltown Trowel v. Lowe's re U.S. 

Patent 5,615,445. March 20, 2001.

Swanger L. Declaration of Lee A. Swanger, Ph.D., P.E. In the Matter of Monte J. Solazzi, et. al. v. 

Premier Lab Supply, Inc. et. al. Reference U.S. Patents 5,451,375 and 5.630,989, July 20, 2000.

Swanger L, Davy R, Eberly P, Waters L. Teledyne continental camshaft and lifter performance: The 

influence of lubricating oil on surface conditions. Technical Report to Special Masters in Gross v. Mobil, 

November 1996.

Johnston P, Shusto L, Swanger L. Evaluation of diesel generator Number 1 at Brunswick Nuclear Plant. 

Failure Analysis Associates, Inc., Technical Report, January 1993.

Swanger L. Investigation of repeated Number 5 main bearing degradation by flashing, Fairbanks Morse 

opposed piston auxiliary diesel on the Emory S. Land. Failure Analysis Associates, Inc., Technical 

Report, January 1992.

Scheibe R, Kadlec R, Swanger L, Littmann W, Clark R, Johnston P, Hayes D. Generator Bearing 

condition assessment: Unit DG-1, WPPSS WNP-2. Failure Analysis Associates, Inc., Technical Report, 

June 1991.

Swanger L, Mercaldi D, Bisbee L, Booth A, Vetter J. DC Motor Control Center 2PB-1 Fire at Fermi II 

Nuclear Plant. Failure Analysis Associates, Inc., Technical Report, March 1987.

Swanger L, Webb W, Bisbee, L. Failure Investigation of North Hot Reheat Line, Detroit Edison Monroe 

Unit #1. Failure Analysis Associates, Inc., Technical Report, September 1986.

Swanger L, Vogler M. Investigation of surface scoring of main bearings: Fairbanks Morse 38TD8-1/8 

diesels at Fermi II Power Plant. Failure Analysis Associates, Inc., Technical Report, June 1986.

Swanger L. Design review of connecting rod bearing shells for Transamerica Delaval Enterprise Engines. 

Failure Analysis Associates, Inc., Technical Report, March 1984. 

Swanger L, Bisbee L, Webb W. Evaluation of piston and bearing from the Baltimore Gas and Electric 

Hunt Valley Inn cogeneration system. Failure Analysis Associates, Inc., Technical Report, June 1992.

Swanger L. Review of performance problems, Occidental Chemical M/V Julius Hammer and M/V Frances 

Hammer, Colt-Pielstick, PC 2.5 diesel engines. Failure Analysis Associates Report, April 1986.

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