DETAILED ACTION
Notice of Pre-AIA or AIA Status
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Election/Restrictions
Applicant’s election without traverse of Group I, claims 1-11 and 17-20, in the reply filed on 10/10/2025 is acknowledged. Claims 12-16 are withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to a nonelected invention/species, there being no allowable generic or linking claim. Applicant’s election with traverse of species group I-A, claims 1-11, in the reply filed on 10/10/2025 is also acknowledged. After further consideration, the requirement for an election between species group I-A and species group I-B is withdrawn. Claims 1-11 and 17-20 are currently examined on the merits.
Drawings
The drawings are objected to under 37 CFR 1.83(a). The drawings must show every feature of the invention specified in the claims. Therefore, the “feed tube” must be shown or the feature(s) canceled from the claim(s). No new matter should be entered.
Corrected drawing sheets in compliance with 37 CFR 1.121(d) are required in reply to the Office action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. The figure or figure number of an amended drawing should not be labeled as “amended.” If a drawing figure is to be canceled, the appropriate figure must be removed from the replacement sheet, and where necessary, the remaining figures must be renumbered and appropriate changes made to the brief description of the several views of the drawings for consistency. Additional replacement sheets may be necessary to show the renumbering of the remaining figures. Each drawing sheet submitted after the filing date of an application must be labeled in the top margin as either “Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance.
Specification
The specification is objected to as failing to provide proper antecedent basis for the claimed subject matter. See 37 CFR 1.75(d)(1) and MPEP § 608.01(o). Correction of the following is required: Claim 2 recites “… the synthetic liner has a first thickness and wherein the thickness of the crystalized layer is greater than the first thickness”, which is not disclosed in specification. Claim 18 recites “… the synthetic liner has a first thickness and wherein the thickness of the crystalized layer is greater than the first thickness”, which is not disclosed in specification. No new matter can be introduced.
Claim Objections
Claim 1 is objected to because of the following informalities:
Claim 1 recites “A method for producing a single crystal silicon ingot… pulling a single crystal silicon ingot...” which should read “A method for producing a single crystal silicon ingot… pulling [[a]] the single crystal silicon ingot...”
Appropriate correction is required.
Claim Rejections - 35 USC § 112
The following is a quotation of 35 U.S.C. 112(b):
(b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention.
The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph:
The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention.
Claims 1-11 are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor, or for pre-AIA the applicant regards as the invention.
Claim 1 recites the limitation "the ingot puller". There is insufficient antecedent basis for this limitation in the claim.
The recited in claim 1 “A method for producing a single crystal silicon ingot … an ingot puller apparatus…” constitutes an indefinite subject matter. While reciting “A method for producing a single crystal silicon ingot”, claim 1 recites “an ingot puller apparatus”. Therefore, claim 1 embraces the apparatus and process limitations in the same claim, thus failing to clearly recite the boundaries sought for protection. Claims 2-11 are rejected because they depend on claim 1.
The term "substantially" in claim 3 is a relative term which renders the claim indefinite. The term "substantially" is not defined by the claim, the specification does not provide a standard for ascertaining the requisite degree, and one of ordinary skill in the art would not be reasonably apprised of the scope of the invention.
The recited in claim 10 “…a desired end thickness of the crystallized layer…” constitutes an indefinite subject matter. Parent claim 1 already recites “the crystallized layer having a thickness less than 700 microns.” It is not clear whether the “desired end thickness of the crystallized layer” refers to the previously recited “the thickness less than 700 microns” or not. Therefore, the metes and bounds of claim 10 are not readily ascertainable. Clarification and/or correction are/is required. Claim 11 is rejected because they depend on claim 10.
The term "substantially" in claim 19 is a relative term which renders the claim indefinite. The term "substantially" is not defined by the claim, the specification does not provide a standard for ascertaining the requisite degree, and one of ordinary skill in the art would not be reasonably apprised of the scope of the invention.
Claim Rejections - 35 USC § 102
In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status.
The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless –
(a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale or otherwise available to the public before the effective filing date of the claimed invention.
Claim Rejections - 35 USC § 103
In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status.
The following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action:
A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102 of this title, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
The factual inquiries set forth in Graham v. John Deere Co., 383 U.S. 1, 148 USPQ 459 (1966), that are applied for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
Claims 1, 3 and 8-10 are rejected under 35 U.S.C. 102 (a)(1) as being anticipated by Richarch Lee Hansen (US 20190062943 A1, “Hansen”).
Regarding claim 1, Hansen teaches a method for producing a single crystal silicon ingot from a silicon melt held within a crucible positioned within an ingot puller apparatus, the method comprising providing the crucible within an inner chamber of the ingot puller apparatus/furnace (0065, 0066), the crucible 10 including an inner surface 16/18 and a coating layer 26 of devitrification agent (synthetic liner) on the inner surface 16/18 (fig 1, 0009, 0010, 0014, 0016, 0017, 0036, 0037, 0050, claims 1, 5, 6, 10, 14 and 15); firstly charging/loading/adding polysilicon (an initial charge of polysilicon) to the crucible (0036, 0050, 0059, 0062, 0064-0066); melting the initial charge of polysilicon to cause the silicon melt to form in the crucible (0014, 0062, 0064, 0065 and claim 10); melting (dissolving) a devitrification agent (melt modifier) into the silicon melt to devitrify the synthetic liner and form a devitrified inner layer (crystallized layer) on the crucible (0006, 0014, 0026, 0051, 0056, 0057, 0061, 0062, 0066, 0067, 0072 and claim 10), the crystallized layer having a thickness less than 700 microns (0072), and pulling a single crystal silicon ingot from the silicon melt (0002, 0014, claim 10).
Regarding claim 3, Hansen teaches that the crucible 10 includes a body having a bottom wall 12 and a sidewall 14 extending from the bottom wall 12 to define a cavity within the body of the crucible (fig 1, 0037), the inner surface extending along the bottom wall and the sidewall (fig 1, 0037), wherein the synthetic liner/coating 26 extends continuously across the sidewall and bottom wall to substantially cover the inner surface 16 of the body (fig 1, 0037, 0061).
Regarding claim 8, Hansen teaches adding a melt modifier precursor into the crucible (0009, 0010, 0017, 0038, 0040, 0042, claims 10 and 15); forming the melt modifier by decomposing the melt modifier precursor in the melt (0053 and 0056); and releasing (venting) waste gas released from the decomposing out of the crucible (0053 and 0056).
Regarding claim 9, Hansen teaches that the melt modifier precursor is barium carbonate and wherein the melt modifier is barium oxide (0038, 0040, 0053, 0078, claims 18 and 20).
Regarding claim 10, Hansen teaches controlling (selecting) a starting thickness of the synthetic liner based on a desired end thickness of the crystalized layer (0069 and 0072); and forming the synthetic liner on the crucible to have the starting thickness (0069 and 0072).
Claims 2, 7 and 11 are rejected under 35 U.S.C. 103 as being unpatentable over Hansen as applied to claims 1 and 10 above.
Regarding claim 2, Hansen teaches the synthetic liner (apparently having a/first thickness) and the crystallized layer having the thickness being formed by dissolving the melt modifier (denitrifying/denitrification agent) into the silicon melt as addressed above, and further teaches the melt modifier (denitrifying/denitrification agent) comprises barium, same denitrifying agent as instantly recited in the specification (for example [0006] of instant PGPUB US 2024/0035198 A1). Therefore, “the synthetic liner having a first thickness and the thickness of the crystalized layer being greater than the first thickness” is reasonably expected because a similar process/method is expected to produce similar results/effects. It is also well established that if the composition is physically the same, it must have the same properties. “Products of identical chemical composition cannot have mutually exclusive properties.” A chemical composition and its properties are inseparable. Therefore, if the prior art teaches the identical chemical structure, the properties applicant discloses and/or claims are necessarily present. In re Spada, 911 F.2d 705, 709, 15 USPQ2d 1655, 1658 (Fed. Cir. 1990). MPEP 2112.01 II.
Regarding claim 7, Hansen teaches dissolving/melting the melt modifier into the silicon melt as addressed above, and further teaches a concentration of the modifier/promotor in silicon (0026, 0051, 0055, 0060, 0070), and the concentration/ amount of the modifier/promotor affects the uniformity of inner surface of crucible, which is further affect the quality of the pulled crystal (0051, 0052, 0057, 0061-0063). e.g., the concentration of the melt modifier is result effective variable. Therefore, it would have been obvious that one of ordinary skill in the art before the effective filing date of the claimed invention would have modified Hansen, and obtained various concentration of the melt modifier including the instantly claimed “concentration of about 0.013 milligrams of melt modifier per kilogram of silicon” in order to produce crystal with reduced defects, by conducting routine experimentation of a result effective variable. See MPEP 2144.05 (II) (A-B). Further, it is well-established that “[W]here the general conditions of a claim are disclosed in the prior art, it is not inventive to discover the optimum or workable ranges by routine experimentation.” In reAller, 220 F.2d 454, 456, 105 USPQ 233, 235 (CCPA 1955).
Regarding claim 11, Hansen teaches the crystallized layer having the thickness less than 700 microns formed by the synthetic liner as addressed above, and further teaches the melt modifier (denitrifying/denitrification agent) comprises barium, same denitrifying agent as instantly recited in the specification (for example [0006] of instant PGPUB US 2024/0035198 A1). Therefore, “the starting thickness is less than 500 microns” is reasonably expected because a similar process/method is expected to produce similar results/effects. It is also well established that if the composition is physically the same, it must have the same properties. “Products of identical chemical composition cannot have mutually exclusive properties.” A chemical composition and its properties are inseparable. Therefore, if the prior art teaches the identical chemical structure, the properties applicant discloses and/or claims are necessarily present. In re Spada, 911 F.2d 705, 709, 15 USPQ2d 1655, 1658 (Fed. Cir. 1990). MPEP 2112.01 II.
Claims 4 and 5 are rejected under 35 U.S.C. 103 as being unpatentable over Hansen as applied to claim 1 above, and further in view of Kemmochi et al (US 20030012899 A1, “Kemmochi”).
Regarding claim 4, Hansen teaches the synthetic liner/coating includes a silica material (0051), but does not explicitly teach that the synthetic liner includes a synthetic silica material. However, Kemmochi teaches a method, wherein an inner layer comprises synthetic silica (0051, 0059, 0069, 0103, 0107 and claim 20). Therefore, it would have been obvious that one of ordinary skill in the art before the effective filing date of the claimed invention would have modified Hansen per teachings of Kemmochi in order to provide a crucible with reinforced rigidity and improved useful life (Kemmochi abstract, 0002, 0004, 0066, 0113). Further, it is well-established that the selection of a known material based on its suitability for its intended use supported a prima facie obviousness determination in Sinclair & Carroll Co. v. Interchemical Corp., 325 U.S. 327, 65 USPQ 297 (1945). Also see MPEP 2144.07.
Regarding claim 5, Hansen further teaches the crucible being formed by a fusion process (0055, 0070, 0074), but does not explicitly teach that forming the crucible with the synthetic liner by an arc fusion process. However, Kemmochi teaches a method, wherein a synthetic liner of a crucible is formed by an arc fusion process (0050-0052). Therefore, it would have been obvious that one of ordinary skill in the art before the effective filing date of the claimed invention would have modified Hansen per teachings of Kemmochi in order to provide suitable conditions forming a crucible with reinforced rigidity and improved useful life (Kemmochi abstract, 0002, 0004, 0051, 0052, 0066, 0113).
Claims 6 are rejected under 35 U.S.C. 103 as being unpatentable over Hansen as applied to claim 1 above, and further in view of Haringer et al (US 20190136406 A1, “Haringer”).
Regarding claim 6, Hansen further teaches adding the melt modifier to the melt (abstract, 0058, 0063-0066), but does not explicitly teach a feed tube. However, it is a known practice that a feed tube is used to add a solid to a melt as taught by Haringer (0010-0012). Therefore, it would have been obvious that one of ordinary skill in the art before the effective filing date of the claimed invention would have modified Hansen per teachings of in order to provide controllable conditions for supplying material to the melt (Haringer 0002). Regarding the feed tube limitation, it is an apparatus limitation in a process claim. Unless the apparatus limitations affect the process in a manipulative sense, they may have little weight in the process claims. In re Leeson Corp. 185 USPQ 156; In re Tarczy-Hornoch 158 USPQ 141, 150; In re Edwards 128 USPQ 387; Stalego v. Heymes 120 USPQ 473, 478 (CCPA); Ex parte Hart 117 USPQ 193; In re Freeman 44 USPQ 116 (CCPA); In re Sweeney 72 USPQ 501 (CCPA).
Claims 17 and 19 are rejected under 35 U.S.C. 102 (a)(1) as being anticipated by Richarch Lee Hansen (US 20190062943 A1, “Hansen”).
Regarding claim 17, Hansen teaches a method for producing a single crystal silicon ingot from a silicon melt held within a crucible. the method comprising providing the crucible within an inner chamber of an ingot puller (apparatus/furnace) (0065, 0066), the crucible 10 including an inner surface 16/18 and a coating layer 26 of devitrification agent (synthetic liner) on the inner surface 16/18 (fig 1, 0009, 0010, 0014, 0016, 0017, 0036, 0037, 0050, claims 1, 5, 6, 10, 14 and 15); firstly charging/loading/adding polysilicon (an initial charge of polysilicon) to the crucible (0036, 0050, 0059, 0062, 0064-0066); adding a melt modifier precursor to the crucible (0009, 0010, 0017, 0038, 0040, 0042, claims 10 and 15); melting the initial charge of polysilicon to cause the silicon melt to form in the crucible (0014, 0062, 0064, 0065 and claim 10); melting (dissolving) a devitrification agent (melt modifier) in the silicon melt to release a concentration of melt modifier into the silicon melt (0026, 0051, 0055, 0060, 0070), the concentration of melt modifier devitrifying the synthetic liner and form a crystallized layer on the crucible (0006, 0014, 0026, 0051, 0055, 0056, 0057, 0060, 0061, 0062, 0066, 0067,0070, 0072 and claim 10), the crystallized layer having a thickness less than 700 microns (0072).
Regarding claim 19, Hansen teaches that the crucible 10 includes a body having a bottom wall 12 and a sidewall 14 extending from the bottom wall 12 to define a cavity within the body of the crucible (fig 1, 0037), the inner surface extending along the bottom wall and the sidewall (fig 1, 0037), wherein the synthetic liner/coating 26 extends continuously across the sidewall and bottom wall to substantially cover the inner surface 16 of the body (fig 1, 0037, 0061).
Claim 18 is rejected under 35 U.S.C. 103 as being unpatentable over Hansen as applied to claims 17 and 10 above.
Regarding claim 18, Hansen teaches the synthetic liner (apparently having a/first thickness) and the crystallized layer having the thickness being formed by dissolving the melt modifier (denitrifying/denitrification agent) into the silicon melt as addressed above, and further teaches the melt modifier (denitrifying/denitrification agent) comprises barium, same denitrifying agent as instantly recited in the specification (for example [0006] of instant PGPUB US 2024/0035198 A1). Therefore, “the synthetic liner having a first thickness and the thickness of the crystalized layer being greater than the first thickness” is reasonably expected because a similar process/method is expected to produce similar results/effects. It is also well established that if the composition is physically the same, it must have the same properties. “Products of identical chemical composition cannot have mutually exclusive properties.” A chemical composition and its properties are inseparable. Therefore, if the prior art teaches the identical chemical structure, the properties applicant discloses and/or claims are necessarily present. In re Spada, 911 F.2d 705, 709, 15 USPQ2d 1655, 1658 (Fed. Cir. 1990). MPEP 2112.01 II.
Claim 20 is rejected under 35 U.S.C. 103 as being unpatentable over Hansen as applied to claim 17 above, and further in view of Kemmochi et al (US 20030012899 A1, “Kemmochi”).
Regarding claim 20, Hansen teaches the synthetic liner/coating includes a silica material (0051), but does not explicitly teach that the synthetic liner includes a synthetic silica material. However, Kemmochi teaches a method, wherein an inner layer comprises synthetic silica (0051, 0059, 0069, 0103, 0107 and claim 20). Therefore, it would have been obvious that one of ordinary skill in the art before the effective filing date of the claimed invention would have modified Hansen per teachings of Kemmochi in order to provide a crucible with reinforced rigidity and improved useful life (Kemmochi abstract, 0002, 0004, 0066, 0113). Further, it is well-established that the selection of a known material based on its suitability for its intended use supported a prima facie obviousness determination in Sinclair & Carroll Co. v. Interchemical Corp., 325 U.S. 327, 65 USPQ 297 (1945). Also see MPEP 2144.07.
Conclusion
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/HUA QI/ Primary Examiner, Art Unit 1714