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IN THE UNITED STATES PATENT AND TRADEMARK OFFICE 



In re Patent Application of 
J. Bednorz et al. 



Date: December 15, 1998 



Serial No. 08/303,561 



Group Art Unit: 1105 



Filed: September 9, 1994 



Examiner: M. Kopec 



For: NEW SUPERCONDUCTIVE COMPOUNDS HAVING HIGH TRANSITION 
TEMPERATURE, AND METHODS FOR THEIR USE AND PREPARATION 



I, David B. Mitzi, being duly sworn, do hereby depose and state: 

That I received a B S. E. degree in Electrical Engineering/Engineering Physics (1985) from 
Princeton University and a PhD. degree, in Applied Physics (1990) from Stanford University, 
California. 

That I have worked as a research staff member in Solid State Chemistry at the Thomas Watson 
Research Center of the International Business Machines Corporation in Yorktown Heights, NY 
from 1 990 to the present. 

That I have worked in the fabrication of and characterization of high temperature superconductor 
and related materials from 1990 to the present. 

That I have reviewed the above-identified patent application and that I have reviewed the 
above-identified patent application and acknowledge that it represents the work of Bednorz and 



AFFIDAVIT UNDER 37 CFR 1.132 



Commissioner of Patents and Trademarks 
Washington, D. C 20231 



Sir: 



YO987-074BY 



Muller, which is generally recognized as the first discovery of superconductivity above 26°K and 
that subsequent developments in this field have been based on this work. 

That all the high temperature superconductors which have been developed based on the work of 
Bednorz and Muller behave in a similar manner, conduct current in a similar manner and have 
similar magnetic properties. 

That once a person of skill in the art knows of a specific transition metal oxide composition which 
is superconducting above 26°K, such a person of skill in the art, using the techniques described in 
the above-identified patent application, which includes all knows principles of ceramic fabrication 
known at the time the application was filed, can make the transition metal oxide compositions 
encomposed by the claims in the above identified application, without undue experimentation or 
without requiring ingenuity beyond that expected of a person of skill in the art. This is why the 
work of Bednorz and Muller was reproduced so quickly after their discovery and why so much 
additional work was done in this field within a short period of their discovery. 

The general principles of ceramic science referred to by Bednorz and Mueller in their patent 
application can be found in many books and articles published before their discovery. An 
exemplary list of books describing the general principles of ceramic fabrication are: 

1) Introduction to Ceramics, Kingery et al., Second Edition, John Wiley & Sons, 
1976, in particular pages 5-20, 269-319, 381-447 and 448-513, a copy of which is with 
the Affidavit of Thomas Shaw submitted December 15, 1998. 

2) Polar Dielectrics and Their Applications, Burfoot et al , University of California Press, 
1979, in particular pages 13-33, a copy of which is with the Affidavit of Thomas Shaw 
submitted December 15, 1998. 

3) Ceramic Processing Before Firing, Onoda et al., John Wiley & Sons, 1978, the entire 
book, a copy of which is with the Affidavit of Thomas Shaw submitted December 15, 
1998. 



YO987-074BY 





4) Structure, Properties and Preparation of Perovskite-Type Compounds, F.S. Glasso, 
Pergamon Press, 1969, in particular pages 159-186, a copy of which is with the Affidavit 
of Thomas Shaw submitted December 15, 1998. 

An exemplary list of articles applying their general principles of ceramic fabrication to the types of 
materials described in applicants' specification are (these references are cited on applicant's 1449 
form submitted August 5, 1987 and in PTO Form 892 in Paper # 20, Examiner's action dated 
August 8, 1990): 

1) Oxygen Defect K 2 NiF 4 - Type Oxides: The Compounds La 2x SrxCuO^*, Nguyen et 
al., Journal of Solid State Chemistry 39, 120-127 0981). 



2) The Oxygen Defect Perovskite BaLa4 Cu 5 0i 34 , A Metallic Conductor , C Michel et 
al , Mat. Res. Bull., Vol. 20, pp. 667-671, 1985. 

3) Oxygen intercalation in mixed valence copper oxides related to the perovskite, C. 
Michel et al., Revue de Chemie minerale, p. 407, 1984. 

4) Thermal Behaviour of Compositions in the Systems x BaTi0 3 + (1-x) Ba(Ln 0 5 B 0 5 ) 0 3 , 
V S. Chincholkar et al. Therm. Anal. 6th, Vol. 2., p. 251-6, 1980. 





David B. Mitzi 





DANIEL R MORRIS 
NOTARY PUBLIC, State of New York 
No. 4888676 

Qualified in Westchester County^ 



YO987-074BY 





IN THE UNITED STATES PATENT AND TRADEMARK OFFICE 



In re Patent Application of 
J. Bednorz et al. 



Date: December 15, 1998 



Serial No. 08/303,561 



Group Art Unit: 1105 



Filed: September 9, 1994 



Examiner: M. Kopec 



For: NEW SUPERCONDUCTIVE COMPOUNDS HAVING HIGH TRANSITION 
TEMPERATURE, AND METHODS FOR THEIR USE AND PREPARATION 



I, Timothy Dinger, being duly sworn, do hereby depose and state: 

That I received a B. S. degree in Ceramic Engineering (1981) from New York State College of 
Ceramics, Alfred University, an M. S. degree (1983) and a PhD. degree (1986), both in Material 
Science from the University of California at Berkley. 

That I have worked as a research staff member in Material Science at the Thomas Watson 
Research Center of the International Business Machines Corporation in Yorktown Heights, NY 
from 1 986 to the present. 

That I have worked in the fabrication of and characterization of high temperature superconductor 
materials from 1 987 to 1 99 1 . 

That I have reviewed the above-identified patent application and acknowledge that it represents 
the work of Bednorz and Muller, which is generally recognized as the first discovery of 



AFFIDAVIT UNDER 37 C F R. 1.132 



Commissioner of Patents and Trademarks 
Washington, D. C. 20231 



Sir: 



YO987-074BY 




superconductivity above 26°K and that subsequent developments in this field have been based on 
this work. 

That all the high temperature superconductors which have been developed based on the work of 
Bednorz and Muller behave in a similar way, conduct current in a similar manner and have similar 
magnetic properties. 

That once a person of skill in the art knows of a specific transition metal oxide composition which 
is superconducting above 26°K, such a person of skill in the art, using the techniques described in 
the above-identified patent application, which includes all knows principles of ceramic fabrication 
known at the time the application was filed, can make the transition metal oxide compositions 
encomposed by the claims in the above identified application, without undue experimentation or 
without requiring ingenuity beyond that expected of a person of skill in the art. This is why the 
work of Bednorz and Muller was reproduced so quickly after their discovery and why so much 
additional work was done in this field within a short period of their discovery. 

The general principles of ceramic science referred to by Bednorz and Mueller in their patent 
application can be found in many books and articles published before their discovery. An 
exemplary list of books describing the general principles of ceramic fabrication are: 

1) Introduction to Ceramics, Kingery et al, Second Edition, John Wiley & Sons, 
1976, in particular pages 5-20, 269-319, 381-447 and 448-513, a copy of which is with 
the Affidavit of Thomas Shaw submitted December 15, 1998 

2) Polar Dielectrics and Their Applications, Burfoot et al., University of California Press, 
1979, in particular pages 13-33, a copy of which is with the Affidavit of Thomas Shaw 
submitted December 15, 1998. 

3) Ceramic Processing Before Firing, Onoda et al., John Wiley & Sons, 1978, the entire 
book, a copy of which is with the Affidavit of Thomas Shaw submitted December 15, 

1998. 



YO987-074BY 





4) Structure, Properties and Preparation of Perovskite-Type Compounds, F.S. Glasso, 
Pergamon Press, 1969, in particular pages 159-186, a copy of which is with the Affidavit 
of Thomas Shaw submitted December 15, 1998. 

An exemplary list of articles applying their general principles of ceramic fabrication to the types of 
materials described in applicants' specification are (these references are cited on applicant's 1449 
form submitted August 5, 1987 and in PTO Form 892 in Paper # 20, Examiner's action dated 
August 8, 1990): 

1) Oxygen Defect K.2NiF 4 - Type Oxides: The Compounds La 2 . x Sr x CuO^*, Nguyen et 
al., Journal of Solid State Chemistry 39, 120-127 (1981). 

2) The Oxygen Defect Perovskite BaLa4 Cu5-0 134 , A Metallic Conductor , C. Michel et al., 
Mat. Res. Bull., Vol. 20, pp. 667-671, 1985. 

3) Oxygen intercalation in mixed valence copper oxides related to the perovskite, C. 
Michel et al., Revue de Chemie minerale, p. 407, 1984. 

4) Thermal Behaviour of Compositions in the Systems x BaTi0 3 + (1-x) Ba(Ln 0 5 B 0 5 ) 0 3 , 
V S. Chincholkar et al. Therm. Anal. 6th, Vol. 2., p. 251-6, 1980. 




Sworn to before me this 




Notary Public 



SANDRA M. EMMA 
Notary Public, State of New York 

No. 01PO4935290 
Qualified in Westchester County 
Commission Expires July 5, &&&~p 



YO987-074BY 



IN THE UNITED STATES PATENT AND TRADEMARK OFFICE 

In re Patent Application of 1C , nno 

J. Bednorz et al. Date: December 15, 1998 

Serial No. 08/303,561 Group Art Unit: 1105 

Filed: September 9, 1994 Examiner: M. Kopec 

For NEW SUPERCONDUCTIVE COMPOUNDS HAVING HIGH TRANSITION 
TEMPERATURE, AND METHODS FOR THEIR USE AND PREPARATION 

AFFIDAVIT UNDER 37 C F R. 1132 

Commissioner of Patents and Trademarks 
Washington, D. C. 20231 

Sir: 

I, Chang C. Tsuei, being duly sworn, do hereby depose and state: 

That I received a B. S. degree in Mechanical Engineering from National Taiwan University (1960) 
and M. S. and PhD. degrees, in Material Science (1963, 1966) respectively from California 
Institute of Technology. 

That I have worked as a research staff member and manager in the physics of superconducting, 
amorphous and structured materials at the Thomas Watson Research Center of the International 
Business Machines Corporation in Yorktown Heights, New York from 1973 to the present. (See 
attached Exhibit A for other professional employment history.) 

That I have worked in the fabrication of and characterization of high temperature superconductor 
and related materials from 1973 to the present. 

That I have reviewed the above-identified patent application and acknowledge that it represents 
the work of Bednorz and Muller, which is generally recognized as the first discovery of 
YO987-074BY 



superconductivity above 26°K and that subsequent developments in this field have been based on 
this work. 

That all the high temperature superconductors which have been developed based on the work of 
Bednorz and Muller behave in a similar manner, conduct current in a similar manner and have 
similar magnetic properties. 

That once a person of skill in the art knows of a specific transition metal oxide composition which 
is superconducting above 26°K, such a person of skill in the art, using the techniques described in 
the above-identified patent application, which includes all knows principles of ceramic fabrication 
known at the time the application was filed, can make the transition metal oxide compositions 
encomposed by the claims in the above identified application, without undue experimentation or 
without requiring ingenuity beyond that expected of a person of skill in the art. This is why the 
work of Bednorz and Muller was reproduced so quickly after their discovery and why so much 
additional work was done in this field within a short period of their discovery. 

The general principles of ceramic science referred to by Bednorz and Mueller in their patent 
application can be found in many books and articles published before their discovery. An 
exemplary list of books describing the general principles of ceramic fabrication are: 

1) Introduction to Ceramics, Kingery et al., Second Edition, John Wiley & Sons, 
1976, in particular pages 5-20, 269-319, 381-447 and 448-513, a copy of which is with 
the Affidavit of Thomas Shaw submitted December 15, 1998. 

2) Polar Dielectrics and Their Applications, Burfoot et al., University of California Press, 
1979, in particular pages 13-33, a copy of which is with the Affidavit of Thomas Shaw 
submitted December 15, 1998. 

3) Ceramic Processing Before Firing, Onoda et al., John Wiley & Sons, 1978, the entire 
book, a copy of which is with the Affidavit of Thomas Shaw submitted December 15, 

1998. 



YO987-074BY 



4) Structure, Properties and Preparation of Perovskite-Type Compounds, F.S. Glasso, 
Pergamon Press, 1969, in particular pages 159-186, a copy of which is with the Affidavit 
of Thomas Shaw submitted December 15, 1998. 

An exemplary list of articles applying their general principles of ceramic fabrication to the types of 
materials described in applicants' specification are (these references are cited on applicant's 1449 
form submitted August 5, 1987 and in PTO Form 892 in Paper # 20, Examiner's action dated 
August 8, 1990): 

1) Oxygen Defect K 2 NiF 4 - Type Oxides: The Compounds La 2 .* Sr x CuO^*, Nguyen et 
al., Journal of Solid State Chemistry 39, 120-127 (1981). 

2) The Oxygen Defect Perovskite BaLa4 Cu 5 -0 13 4, A Metallic Conductor , C. Michel et al., 
Mat. Res. Bull., Vol. 20, pp. 667-671, 1985. 

3) Oxygen intercalation in mixed valence copper oxides related to the perovskite, C 
Michel et al., Revue de Chemie minerale, p. 407, 1984. 

4) Thermal Behaviour of Compositions in the Systems x BaTi0 3 + (1-x) Ba(Ln 05 B 0 5 ) 
0 3 ,V.S. Chincholkar et al. Therm. Anal 6th, Vol. 2., p 251-6, 1980. 



By: - — ~ c / 



Swoni to before me this 



Chang C Tsuei 

is day of ()o.OOnJ,^U . M f 




Notary Public 



SANDRA M.EMMA 
Notary Public, State of New York 

NO.01PO4935290 
Oualified in Westchester County 
Commission Expires July 5, rtftfrp 



YO987-074BY 




CHANG C. TSUEI 
Education 

California Institute of Technology, M.S. (1963), Ph.D. (1966) 
National Taiwan University, B . S . ( 1 960) 

Professional Employment 

1993 - present - Research Staff Member 
1983 - 1993 - Manager, Physics of Structured Materials 
1979 - 1983 - Manager, Physics of Amorphous Materials 
1974 - 1975 - Acting Manager, Superconductivity 
1973 - 1979 - Research Staff Member 

Harvard University: 1 980 (Summer) 

Visiting Scholar in Applied Physics 

Stanford University: 1982 (Sept.) - 1983 (April) 
Visiting Scholar in Applied Physics 

California Institute of Technology 

1972 - 1973 - Senior Research Associate in Applied Physics 
1969 - 1972 - Senior Research Fellow in Materials Science 
1966 - 1969 - Research Fellow in Materials Science 

Exhibit A 



YO987-074BY 





IN THE UNITED STATES PATENT AND TRADEMARK OFFICE 



Applicants: J. Bednorz et al. 



Date: December 15, 1998 



Serial No. 08/303,561 



Group Art Unit: 1105 



Filed: September 9, 1994 



Examiner: M. Kopec 



For: NEW SUPERCONDUCTIVE COMPOUNDS HAVING HIGH 
TRANSITION TEMPERATURE, AND METHODS FOR THEIR 
USE AND PREPARATION 



The Commissioner of Patents and Trademarks 
Washington, D.C. 20231 



Sir: 

I, Thomas M. Shaw, being duly sworn, do hereby depose and state: 

I received a B.S. degree in Metallurgy from the University of Liverpool, Liverpool, 
England and a M.S. and PhD. degree in Materials Science (1981) from the University 
of California, Berkeley. 

I have worked as a postdoctoral researcher in the Material Science Department of 
Cornell University from 1981-1982. I worked at Rockwell International Science Center 
in Thousand Oaks, California from 1982-1984 as a ceramic scientist. I have worked as 
a research staff member in Ceramics Science at the Thomas J. Watson Research 



AFFIDAVIT UNDER 37 CFR 1.132 



YO987-074BY 



1 




Center of the International Business Machines Corporation in Yorktown Heights, N Y. 
from 1 984 to the present. 

I have worked in the fabrication of and characterization of ceramic materials of various 
types, including superconductors and related materials from 1984 to the present. 

Attached is a resume of my publications. I have reviewed the above-identified patent 
application and acknowledge that it represents the work of Bednorz and Mueller, which 
is generally recognized as the first discovery of superconductivity above 26°K and that 
subsequent developments in this field have been based on this work. 

That all the high temperature superconductors which have been developed based on 
the work of Bednorz and Mueller behave in a similar manner, conduct current in a 
similar manner and have similar magnetic properties. 

That once a person of skill in the art knows of a specific transition metal oxide 
composition which is superconducting above 26°K, such a person of skill in the art, 
using the techniques described in the above-identified patent application, which 
includes all known principles of ceramic fabrication known at the time the application 
was filed, can make the transition metal oxide compositions encompassed by the 
claims in the above-identified application, without undue experimentation or without 
requiring ingenuity beyond that expected of a person of skill in the art. This is why the 



YO987-074BY 



2 



work of Bednorz and Mueller was reproduced so quickly after their discovery and why 
so much additional work was done in this field within a short period of their discovery. 

The general principles of ceramic science referred to by Bednorz and Mueller in their 
patent application can be found in many books and articles published before their 
discovery. An exemplary list of books describing the general principles of ceramic 
fabrication are: 

1) Introduction to Ceramics, Kingery et al., Second Edition, John Wiley & Sons, 
1976, in particular pages 5-20, 269-319, 381-447 and 448-513, a copy of 
which is attached herewith. 

2) Polar Dielectrics and Their Applications, Burfoot et al., University of California 
Press, 1979, in particular pages 13-33, a copy of which is attached herewith. 

3) Ceramic Processing Before Firing, Onoda et al., John Wiley & Sons, 1978, 
the entire book, a copy of which is attached herewith. 

4) Structure, Properties and Preparation of Perovskite-Type Compounds, 
F.S. Glasso, Pergamon Press, 1969, in particular pages 159-186, a copy of 
which is attached herewith. 

An exemplary list of articles applying their general principles of ceramic fabrication to 
the types of materials described in applicants' specification are (these references are 
cited on applicant's 1449 form submitted August 5, 1987 and in PTO Form 892 in 
Paper # 20, Examiner's action dated August 8, 1 990): 

1) Oxygen Defect K 2 NiF 4 - Type Oxides: The Compounds La 2 . x Sr x Cu0 4 -^ + 5, Nguyen et 
al., Journal of Solid State Chemistry 39, 120-127 (1981). 

2) The Oxygen Defect Perovskite BaLa 4 Cu 5 -0 13 . 4 , A Metallic Conductor , C. Michel et 
al., Mat. Res. Bull., Vol. 20, pp. 667-671, 1985. 



YO987-074BY 



3 



3) Oxygen intercalation in mixed valence copper oxides related to the perovskite, C. 
Michel et aL, Revue de Chemie minerale, p. 407, 1984. 



4) Thermal Behaviour of Compositions in the Systems x BaTiOa + (1-x) Ba(Ln 05 Bos) 0 3 . 
VS. Chincholkar et al. Therm. Anal. 6th, Vol. 2., p. 251-6, 1980. 



By: ^P^yu^t< ^A- ( y^L*,<A 
Thomas M. Shaw 



Sworn to before me this /V^ day of l/H&LHcMt , 1 9 




f^Mj^ (rf, 



Notary Public 



SANDRA M. EMMA 
Notary Public, State of New York 

No.01P04935290 
Qualified in Westchester County 
Commission Expires July %. sLu~Q1< . 



YO987-074BY 



4 



IN THE UNITED STATES PATENT AND TRADEMARK OFFICE 



Applicants: J. Bednorz et al. 



Date: December 18, 1998 



Serial No. 08/303,561 



Group Art Unit: 1105 



Filed: September 9, 1994 



Examiner: M. Kopec 



For: NEW SUPERCONDUCTIVE COMPOUNDS HAVING HIGH 
TRANSITION TEMPERATURE, AND METHODS FOR THEIR 
USE AND PREPARATION 



The Commissioner of Patents and Trademarks 
Washington, D.C. 20231 



Sir: 

I, Peter R. Duncombe, being duly sworn, do hereby depose and state: 

I received a B.A. degree in Chemistry from the State University of New York at New 
Paltz, New Paltz, N Y. and a M.S. degree in Chemical Engineering (1983) from the 
State University of New York at Buffalo, Buffalo, N.Y. 

I have worked as a graduate research assistant in the Chemical Engineering 
Department of SUNY at Buffalo from 1980-1983. I have worked as a chemical 
engineer in Ceramics Science at the Thomas J. Watson Research Center of the 
International Business Machines Corporation in Yorktown Heights, N.Y. from 1984 to 
the present. 

YO987-074BY 1 



AFFIDAVIT UNDER 37 CFR 1.132 



I have worked in the fabrication of and characterization of ceramic materials of various 
types, including superconductors and related materials from 1984 to the present. 

Attached is a resume of my publications (Attachment A). 

I have reviewed the above-identified patent application and acknowledge that it 
represents the work of Bednorz and Mueller, which is generally recognized as the first 
discovery of superconductivity above 26°K and that subsequent developments in this 
field have been based on this work. 

That all the high temperature superconductors which have been developed based on 
the work of Bednorz and Mueller behave in a similar manner, conduct current in a 
similar manner and have similar magnetic properties. 

That once a person of skill in the art knows of a specific transition metal oxide 
composition which is superconducting above 26°K, such a person of skill in the art, 
using the techniques described in the above-identified patent application, which 
includes all known principles of ceramic fabrication known at the time the application 
was filed, can make the transition metal oxide compositions encompassed by the 
claims in the above-identified application, without undue experimentation or without 
requiring ingenuity beyond that expected of a person of skill in the art This is why the 



YO987-074BY 



2 



work of Bednorz and Mueller was reproduced so quickly after their discovery and why 
so much additional work was done in this field within a short period of their discovery. 

The general principles of ceramic science referred to by Bednorz and Mueller in their 
patent application can be found in many books and articles published before their 
discovery. An exemplary list of books describing the general principles of ceramic 
fabrication are: 

1) Introduction to Ceramics, Kingery et al., Second Edition, John Wiley & Sons, 
1976, in particular pages 5-20, 269-319, 381-447 and 448-513, a copy of 
which is attached herewith. 

2) Polar Dielectrics and Their Applications, Burfoot et al., University of California 
Press, 1979, in particular pages 13-33, a copy of which is attached herewith. 

3) Ceramic Processing Before Firing, Onoda et al., John Wiley & Sons, 1978, 
the entire book, a copy of which is attached herewith. 

4) Structure, Properties and Preparation of Perovskite-Type Compounds, 
F.S. Glasso, Pergamon Press, 1969, in particular pages 159-181, a copy of 
which is attached herewith. 

An exemplary list of articles applying their general principles of ceramic fabrication to 
the types of materials described in applicants' specification are (these references are 
cited on applicant's 1449 form submitted August 5, 1987 and in PTO Form 892 in 
Paper # 20, Examiner's action dated August 8, 1 990): 

1) Oxygen Defect K 2 NiF 4 - Type Oxides: The Compounds La 2 . x Sr x CuO^+c Nguyen et 
al., Journal of Solid State Chemistry 39, 120-127 (1981 ). 

2) The Oxygen Defect Perovskite Bal_a 4 Cu 5 -0i 3 .<, A Metallic Conductor , C. Michel et 
al., Mat. Res. Bull., Vol. 20, pp. 667-671, 1985. 



YO987-074BY 



3 



3) Oxygen intercalation in mixed valence copper oxides related to the perovskite, C. 
Michel et al., Revue de Chemie minerale, p. 407, 1984. 

4) Thermal Behaviour of Compositions in the Systems x BaTiOa + (1-x) Ba(Ln 05 Bos) 0 3 . 

V.S. Chincholkar et al. Therm. Anal. 6th, Vol. 2., p. 251-6, 1980. 

I have recorded research notes relating to superconductor oxide (perovskite) 
compounds in technical notebook IV with entries from November 12, 1987 to June 14, 
1988 and in technical notebook V with entries continuing from June 7, 1988 to May 2, 
1 989. Complete copies of each of these notebooks are attached - Attachment B - Book 
IV and Attachment C - Book V. Below is a listing of some of the compounds I prepared 
and recorded in these notebooks according to the teaching as described in the 
Bednorz and Mueller patent application using the general principles of ceramic science 
as described in the books and articles listed above. 

In Book IV, Y,Ba 2 Cu 3 O x batch C1 pellet pressing, sintering notes and powder 
processing specifications start on page 2 and continue intermittently to pg. 40 (pg. 13 
has superconductive susceptibility curves for pellet 9). Batch C2 Y^CuaOa detailed 
from pages 14 to 47. 

In Book V green phase (Y 2 BaCuO x ) microstructural photomicrographs are logged on 
pages 15-17 with notes continuing to pg. 19. The perovskite superconductor BiSrCaCu 
oxide (Bi 2 .i 5 Sr 1 .66Ca,.7Cu 2 0 8+8 ) and related perovskites Ca (2 . x) Sr x CuOx and Bi 2 Sr 2 CuO x 
synthesis notations start and continue through pg. 61 with microstructural 
photomicrographs. 

YO987-074BY 4 



A series of YiBa 2 Cu 3 O x stoichiometric perturbations to study compositional effects on 
2nd phase or grain boundary phases and their effect on conductivity (resistivity), 
sintering behavior etc., continue until the end of the book notes on the page dated May 
2, 1989 (page not numbered). These are typical perovskite synthetic procedures, 
microstructural photomicrographs, powder processing methods, characteristic 
susceptibility curve(s), sintering behavior and the like. Additional notes may be 
available in later notebooks. 

The undersigned affiant swears further that all statements made herein of his own 
knowledge are true and that all statements made on information and belief are believed 
to be true; and further that these statements were made with the knowledge that willful 
false statements and the like so made are punishable by fine or imprisonment, or both, 
under Section 1001 of Title 18 of the United States Code and that such willful false 
statements may jeopardize the validity of the application or patent issuing thereon. 




Peter R. Duncombe 




Sworn to before me this 




_ day of / JQJPQ HU^t 



Notary Public 



SANDRA M.EMMA 



Notary Public, State of New York 



N0.01PO4935290 



Qualified in Westchester County 
Commission Expires July 5, p? 



YO987-074BY 



5 




ATTACHMENT A 



1. Compensation doping of BaO. 7Sr0.3TiO3 thin films 
Copel, M Baniecki, JD Duncombe, PR Kotecki, D 
Laibowitz, R Neumayer, DA Shaw, TM 
APPLIED PHYSICS LETTERS V73 NI3 SEP 28 1998 PI 832- 1834 



2. Method for Forming Noble Metal Oxides and Structures Formed Thereof. June 1998. 
Duncombe, P. R. Hummel, J. P. Laibowitz, R. B. 
Neumayer, D. A. Saenger, K. L. Schrott, A. G. 
RC 98A 41575 



3. Growth of Bismuth Titanate Films By Chemical Vapor Deposition and Chemical Solution 
Deposition. March 1998. RC-21124 

Neumayer, D. A. Duncombe, P. R. Laibowitz, R. B. 
Shaw, T. Purtell, R. Grill, A. 

4. Dielectric relaxation of Ba0.7Sr0.3TiO3 thin films from 1 mHz to 20 GHz Baniecki, JD 
Laibowitz, RB Shaw, TM Duncombe, PR 

Neumayer, DA Kotecki, DE Shen, H Ma, QY 
APPLIED PHYSICS LETTERS V72 N4 JAN 26 1998 P498-500 

5. Contrasting magnetic and structural properties of two La manganites with the same 
doping levels 

McGuire, T.R. Duncombe, P.R. Gong, G.Q. Gupta, A. Li, X.W. Pickart, S.J. Crow, M.L. 
J. Appl. Phys. (USA) Vol.83, No.l 1 1 June 1998 P7076-8 

6. Effects of Annealing Conditions on Charge Loss Mechanisms in MOCVD (Ba0.7,Sr0.3)TiO3 
Thin Film Capacitors. 

Baniecki, J.D., Laibowitz, RB Shaw, TM Duncombe, PR Saenger, KL Cabral C 
Kotecki, DE , Shen, H , Lian, J., Ma, QY 

7. Low Operating Voltage and High Mobility Field Effect Transistors Comproising Pentacene 
and Relatively High Dielectric Constant Insulators RC2 1233(94806) 7/17/98 
Dimitrakopoulos, CD Purushothaman S , Kymissis J. Callegari A. , Neumayer DA, 
Duncombe PR, Laibowitz RB, Shaw JM 

8. Maximum Magnetorsistance in Granular Manganite/Insulator System close to Percolation 
Threshold PACS 10/06/98 

DK Petrov, L Krusin-Elbaum, JZ Sun, C Feild, & PR Duncombe 

9. Magnetorsistance and Hall Effect of Chromium Dioxide Epitaxial Thin Films 
X.W. Li, A. Gupta, T.R. McGuire, P.R. Duncombe, Gang Xiao 

10. Progress Report on High-k dielectric material: amorphous BST from solgel (09/98) 

P. Andry, D. Neumayer, P. Duncombe, C. Dimitrakopoulos, F. Libsch, A. Grill, R. Wisnieff 



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Personal Inventor History 

Name:Duncombe, P.R. Serial : 155139 Loc : RES YORKTOWN 

Patent Pts:36 TDB Pts : 1 Total Pts:37 Plateau Lvl : 3 

Plateau Da te : 10/24/9 8 File Update : 11/02/9 8 

Awards Due: None 



Title: NOVEL METAL ALKOXYALKOXIDECARBOXYLATES AND USE TO FORM FILMS 

^JL7/9j Opened as Disci YO8980231 Status: Filed 

06/22/98 Disci Review ~"** - Action: File ' 

Qj 09/04/98 Filed as Docket Y0998254 in US Rating: 2 Pts:3 

Co- inventors : Neumayer, D . A . 

Title: SELECTIVE GROWTH OF FERROMAGNETIC FILMS FOR MAGNETIC MEMORY, STORAGE - BASED 
DEVICES , AND OTHER DEVICES 

06/17/98 Opened as Disci YO8980225 Status:Filed 

® 06/29/98 Disci Review Action:File 
10/15/98 Filed as Docket Y0998268 in US Rating: 2 Pts: 3 

Co-inventors: Guha , S. Gupta, A. Bojarczuk, N . A . Karasinski, J.M. 

Title: BEOL DECOUPLING CAPACITOR MATERIALS 

01/28/98 Opened as Disci YO8980024 in US Status : Opened 

06/24/98 Disci Review Action:File 

Co-inventors: Rosenberg, R. Ning, T.H. Shaw, T.M. Edelstein, D.C. Neumayer, D . A . 
Laibowitz, R.B. ^ 

10/01/97 Opened as Disci YO8970512 in US Status : Opened 

09/16/98 Disci Review Action: File 

3} f\ /^J?/WY e ^^ : -r-S h£w ' Tr-Hi s Neumayer. D.A. Laibowitz, R.B. 

Title: CAPACITORS WITH AMORPHOUS DIELECTRICS AND IMPROVED DIELECTRIC PROPERTIES MADE 
USING SILICON SURFACES AS ELECTRODES 

06/06/97 Opened as Disci YO8970261 in US Status : Opened 

Co -inventors: Shaw, T.M. Neumayer, D.A. Laibowitz, R.B. 

Title: FABRICATION OF THIN FILM FIELD EFFECT TRANSISTOR COMPRISING AN ORGANIC 
SEMICONDUCTOR AND CHEMICAL SOLUTION DEPOSITED METAL OXIDE 
03/25/97 Opened as Disci YO8970113 Status: Filed 

03/25/97 Disci Review Action: File * 

03/25/97 Filed as Docket YO997083 in UjS Rating: 2 Pts:3 

,03/24/98 Filed as Docket YO997083 inJTA"" Rating: 2 

03/16/98 Filed as Docket YO997083 in TA^ Rating: 2 

"03/12/98 Filed as Docket YO997083 in KO ' Rating: 2 

'04/24/98 Last Office Action 

Co- inventors : Purushothaman, S. Dimi trakopoulos , CD. Furman, B.K. Neumayer, D.A. 
Laibowitz, R.B. 



Title: NOVEL ALKOXYALKOXIDES AND USE TO FORM FILMS 
10/30/96 Opened as Disci YO8960411 Status:Filed 
03/10/97 Disci Review Action:File 
01/30/98 Filed as Docket YO997069 in US Rating: 2 Pts:3 

Co - inventors : Neumayer, D.A. 



I of 3 



11/3/98 2:40 PM 



Title: THIN- FILM FIELD - EFFECT TRANSISTOR WITH ORGANIC SEMICONDUCTOR REQUIRING LOW 
OPERATING VOLTAGES 



09/11/96 Opened as Disci YO8960358 
03/04/97 Disci Review 

03/25/97 Filed as Docket YO997057 in US 
03/12/98 Filed as Docket YO997057 in KO. 
04/10/98 Last Office Action 
Co-inventors: Purushothaman , S. Dimi trakopoulos , CD 
Laibowitz, R.B. 



StatusrFiled 
Action : Fi le 
Rating: 2 
Rating: 2 



Pts : 3 



Furman, B.K. Neumayer, D.A. 



Title: HIGH DIELECTRIC CONSTANT, BARIUM LANTHANUM TITANATE THIN FILM CAPACITORS por 
RANDOM ACCESS rUK 
06/20/96 Opened as Disci YO8960255 in US 



Co-inventors : Gupta, A. Shaw, T . M . Laibowitz, R.B 



Status : Opened 



Title: METHOD FOR FORMING NOBLE METAL OXIDES AND STRUCTURES FORMED THEREOF 
10/30/95 Opened as Disci YO8950450 Status:Filed 
11/12/96 Disci Review Action: File 



11/05/97 Filed as Docket Y0996239 in US 
10/20/98 Filed as Docket Y0996239 in JA 
07/30/98 Filed as Docket Y0996239 in TA 
Co-inventors: Schrott, A . G. Saenger, K.L. 
Laibowitz, R.B. 



Rating: 2 
Rating: 2 
Rating: 2 
Hummel, J. P. 



Pts: 3 



Neumayer, D.A. 



Title: PEROXIDE ETCHANT PROCESS FOR PEROVSKITE - TYPE OXIDES 
10/23/95 Opened as Disci YO8950434 Status* Filed 

©08/08/97 Disci Review Action: File 

04/08/98 Filed as Docket Y0997256 in US Rating: 2 

Co-inventors: Rosenberg, R. Cooper, E.I. Laibowitz, R.B. 



Pts: 3 



Title: RF TRANSPONDER FOR METALLIC SURFACES 
08/02/95 Opened as Disci YO8950329 in US 
Co-inventors: Af zali - ardakani , A. Feild, C.A. 
Moskowitz, P. A. 



Status : Opened 
Duan, D.W. Brady, M.J. 



Title: METHOD FOR CLEANING THE SURFACE OF 
09/06/95 Opened as Disci FI8950292 
09/06/95 Sent to Evaluator 
02/05/96 Evaluated 
04/19/96 Disci Revi ew 

12/06/96 Filed as Docket FI996047 in US 
11/29/97 Filed as Docket FI996047 in KO 
05/26/97 Filed as Docket FI996047 in TA 
06/11/98 Last Office Action 
Co -inventors: Kotecki, D.E. Wildman, H.S. 



A DIELETRIC 

Status : Filed 

Action : Search 

Action: File 
Rating: 2 
Rating: 2 
Rating: 2 



Pts: 3 



Yu, C. Natzle, W. Laibowitz, R.B. 



Title: NANO PHASE FABRICATION OF COPPER-GLASS CERAMIC COMPOSITE VIAS IN CORDIERITF 
SUBSTRATES 

10/05/92 Opened as Disci YO8920907 in US Status : Published 

10/08/92 Sent to Evaluator 

12/17/92 Disci Review Action: Publish 

01/06/93 Mailed to Tech Disci Bulletin 09/02/93 Published Pts:l 

Co-inventors: Kang, S.K. Shaw, T.M. Brady, M.J. 



Title: METHOD OF SINTERING ALUMINUM NITRODE 
11/06/92 Opened as Disci FI8920668 in US 
11/06/92 Sent to Evaluator 
12/18/92 Closed 

Co- inventors : Takamori , T. Shinde, S.L. 



Status :Closed 



Title: METHOD OF SINTERING ALUMINUM NITRIDE 



2 of 3 



I 1/3/98 2:40 PN 



11/06/92 Opened as Disc^p8920667 in US 
11/06/92 Sent to Evaluator 
12/18/92 Closed 

Co - inventors : Takamori , T. Shinde, S.L. 



Stat^^Closed 



Title: ALUMINUM NITRIDE BODY AND METHOD FOR FORMING SAID BODY UTILIZING 
SINTERING ADDITIVE 

08/13/92 Opened as Disci FI8920525 
08/17/92 Sent to Evaluator 
09/29/92 Evaluated 
12/23/92 Disci Review 

05/10/95 Filed as Docket FI992168B in US Rating: 2 *Pts:3 

05/28/96 Issued as Patent 5520878 in US 
Co- inventors : Takamori, T. Shinde, S.L. 



A VITREOUS 



Status : Filed 

Action: Search 

Action: File 
Rating: 2 



Title: ALUMINUM NITRIDE BODY AND METHOD FOR FORMING SAID BODY UTILIZING 
SINTERING ADDITIVE 

08/13/92 Opened as Disci FI8920525 Status:Filed 
08/17/92 Sent to Evaluator 

09/29/92 Evaluated Action: Search 

12/23/92 Disci Review Action: File 

12/22/93 Filed as Docket FI992168A in US Rating: 2 Pts : 3 

01/09/96 Issued as Patent 5482903 in US 
Co - inventors : Takamori, T. Shinde, S.L. 



A VITREOUS 



Title: GOLD DOPING OF YBA2CU307-8 AS A MEANS OF INCREASING TRANSPORT CRITICAL 
CURRENT DENSITY 

02/12/92 Opened as Disci YO8920161 in US Status : Closed 

02/14/92 Sent to Evaluator 
05/15/92 Closed 

Co -inventors: Daeumling, M. Shaw, T.M. 

Title: PROCESS FOR PRODUCING CERAMIC CIRCUIT STRUCTURES HAVING CONDUCTIVE VIAS 



07/19/89 Opened as Disci YO8890552 
07/25/89 Sent to Evaluator 
08/10/89 Evaluated 
07/30/90 Disci Review 

12/17/92 Filed as Docket YO990091B in US 
08/16/94 Issued as Patent 5337475 in US 
Co-inventors: Vallabhaneni , R.V. Giess, 



Status : Filed 

Action: Search 

Action: File 
Rating: 2 



Pts: 3 



Vanhise, J. A. 
Neisser, M.O. 



Aoude , F . Y . 
Park, J.M. 



E.A. Farooq, S. 



Muller- landau, F. Shaw, R.R. 



Cooper, E.I. 
Walker, G.F. 



Kim, 
Rita, 



Shaw, T.M. Brownlow, J.M. Kim, J. Knickerbocker, 



Y.H. 
R. A. 
S . H . 



Title: VIA PASTE COMPOSITIONS AND USE THEREOF TO FORM CONDUCTIVE VIAS 
CERAMIC SUBSTRATES 

07/19/89 Opened as Disci YO8890552 
07/25/89 Sent to Evaluator 
08/10/89 Evaluated 
07/30/90 Disci Review 

03/20/91 Filed as Docket YO990091A in US 
02/01/94 Issued as Patent 5283104 in US 
Co-inventors: Vallabhaneni, R.V. Giess. 
Vanhise, J. A. Aoude, F.Y. Muller - landau , 



IN CIRCUITIZED 



Status: Filed 

Action : Search 

Action: File 
Rating: 2 



Pts: 3 



E.A. 
F. 



Farooq, S. 
Shaw, R.R. 



Cooper, E.I 



Walker, G.F. 



Kim, 
Rita, 



Neisser, M.O. Park, J.M. Shaw, T.M. Brownlow, J.M. Kim, J. Knickerbocker, 

Call your award coordinator, IPL department, or T/L 826-2680 for help. 



H . 
A . 
H. 



MAIN I OTHER 
MENU I OPTIONS 



3 Of 3 



1 1/3/98 2:40 P 



A-ME: Puncombe Peter R 



Emp. Sen 155P I 



Date: 10/23/95 



• T.R. McGuire, A. Gupta, P.R. Duncombe, Mj^TTz"^ r r r Z ' Z — 

"Magnetoresistance and Magnetic Properies of (LaT^S F^M^ P^6 & ^ ^ 

• T.R. McGuire, P.R. Duncombe, G.Q. Gong, A. Gupta X W Li & G -m 
of (U,..)Mna. (Vacancy) Bulk Materia,*" H^M conf M^„J!Sr S,Mee & Maene " C Pr0PCrtieS 

• J.Z. Sun, L. Krusin-Elbaum, A. Gupta G Xiao P R rw™ u „, , „ „ 

in Doped Mangana.e Perovkites" 3M ^oo^^^^,^ & & " "^neto-Transport 

• P. Lecoeur, A. Gupta, P.R. Duncombe, G. Gong & G Xian "R mc ■ c a- c 

during Pulsed User Deposition Managanates in 02 & mn A < T ^ ° f ^ CMas * ° xidation ^n 

aiiagdnates in VI & N20 Atmospheres JAP 80(1) 7/1/96 

• J.Z. Sun, L. Krusin-Elbaum, P.R. Duncombe A Gnnta & t> q i u ■ 

Perovskite Mandate Tn.ayer Junctions" APL submission H/96 * Sp ' n - P ° lar ' 2ed tunneling in Doped 

• T.R. McGuire, P.R. Duncombe, C.Q. Gong A Guota. X W I i ; g, r v «, . 
Magnetoresistance Of LCMO/LSMO 67/ 3 f U^J^l III^ ^ C ° UP " ng & 

• R.B. Laibowitz, T.M. Shaw, D.E. Kotecki S TiwaH a r , * ^ -., 

Applications of Thin Fi, mS of Lead U ^ll7^^r{l B ' ^ ^ 
3/18-22/96 ( LT) and Banum Stront.um Titanate (BST) APS mtg 

' SSSSS^S^, 1 - T,l -° ri " A '"™ «** »* - «™. Additiv , 

• D.E. Kotecki, R.B. Laibowitz, W. Natzie C Yu H w.m™ d d 

BST P„o, ,o ElMode Depose A^V^S^* " " *— * 

' D.A. Neomaycr, P.R. Duncombe, R.B. Loibowie 4 A Grill "<o,i f i> 

In.ema.io,,, Symposium on tasted Fen-oetori,* (Mfl^slZTtl, u '° 

SoCoeTS SSSS*I S£" ^ " T '°" — «~ - <— „. o, 

CD. Dimitrakopoulos, P.R. Duncombe BK Furman RR i *k , x, 

^^Sr- " DU " COmbe T — ***** Piie ,„ 



IBM Commitments: To Win 



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C0HPS SCRIPT A 1 dated 67/12/02 14:32:25 Page 1 ' 



Date: 2 [leceaber 1987, 13:24:31 EST 
Proas: PLECHAT at YKTVHZ 
To: PRD 

The laboratory results on your samples arc 



tf CI 


Y 

0 


-03 


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X 



during weighing of sample I / 



Date: 21 October 1987, 10:45:18 EOT 
From: PLECHAT at YKTVHZ 
To: PRD 

The laboratory results on your samples are: 





CI 


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2 


21 


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HHP 

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the formula: Y Ba Cu 0 . If interested- get in touch 

12 3 X 
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MSG: FROM: SARDESAI - -FSHVMCC TO: MDT 
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— YKTVMT 



05/18/88 12:39:40 



From: Viraj Sardesai 

ss-S - '« ss^ss. :-ss!i^ 

SUBJECT. BHF concentrations used in SCL 
Michael, 

pfc:r :1 BHF for pre piati — -*»« -c— ox r e moval and for . netal 

Both N^4F and KF £ r^™ lu ££ ° f 49 " P " " S °* u »°»- 

tion to 0.61 to 0.77^ moles P./ltt^ipSSfr^^r C ° nCent "- 
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similarly and quenched in ,0:1 NH«H solution < vl £ 

diluted t/lO ti.es its vo.» e iTZlteJ 1 L NH4 ° H S ° 1UCi ° n 

HOUGHTON- -FSHVMCC 1 ^ 



cc: S2ECSY — FSHVMCC 

Regards , 
VIRAJ 

FSHVMCC(SARDESAI).D/ilG B/322 Z/5T1 

OUR TEAMWORK MAKES THE DIFFERENCE 1 
^ _.um concentrations used in SCL 



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