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 .
DETAILED ACTION
This Office Action is in response to the communication filed on 1/28/26. Applicant’s arguments have been considered but are not found persuasive in view of the new grounds of rejection. Claims 1-25 are pending. This Action is Non-FINAL.
Continued Examination Under 37 CFR 1.114
A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 1/28/26 has been entered.
Priority
The amended priority claim indicates that the present application is a continuation-in-part of US Application 16/430,306, filed on June 3, 2019. Kamath (US 2019/0355966) is the publication of US Application 16/430,306.
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:
Each of claims 1 and 17 have been amended to recite “wherein the current collector comprises a layer comprising a transition element and/or an alloy comprising the transition element on only one side of the current collector” and “wherein the non-porous carbon coating is provided on the one side of the current collector”. The specification does not provide proper antecedent basis for the added claimed subject matter.
Each of claims 16 and 24 has been amended to recite “the active material layer comprises alloy particles with a density per area of greater than 200 particles per mm2”. The specification does not provide proper antecedent basis for the added claim language.
Claim 25 has been amended to recite “wherein the copper current collector comprises a layer comprising copper and/or an alloy comprising copper on only one side of the copper current collector” and “wherein the non-porous carbon coating is provided on the one side of the copper current collector”. The specification does not provide proper antecedent basis for the added claimed subject matter.
Note this case is a CIP of 16/430,306 that provides support for the presently amended claims.
Claim Rejections - 35 USC § 112
The following is a quotation of the first paragraph of 35 U.S.C. 112(a):
(a) IN GENERAL.—The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor or joint inventor of carrying out the invention.
The following is a quotation of the first paragraph of pre-AIA 35 U.S.C. 112:
The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor of carrying out his invention.
Claims 1-25 are rejected under 35 U.S.C. 112(a) or 35 U.S.C. 112 (pre-AIA ), first paragraph, as failing to comply with the written description requirement. The claim(s) contains subject matter which was not described in the specification in such a way as to reasonably convey to one skilled in the relevant art that the inventor or a joint inventor, or for applications subject to pre-AIA 35 U.S.C. 112, the inventor(s), at the time the application was filed, had possession of the claimed invention.
Each of claims 1 and 17 recite “wherein the current collector comprises a layer comprising a transition element and/or an alloy comprising the transition element on only one side of the current collector” and “wherein the non-porous carbon coating is provided on the one side of the current collector”, which does not appear to comply with the written description requirement. The specification does not describe how a metal current collector has both “a layer comprising a transition element and/or an alloy comprising the transition element” and a “non-porous carbon coating” provided on only one side of the metal current collector. The present specification does not teach an embodiment wherein both the “layer comprising a transition element and/or an alloy comprising the transition element” and the “non-porous carbon coating” are both “on” (contacting) a single surface of the metal current collector.
Claim 25 recites “wherein the copper current collector comprises a layer comprising copper and/or an alloy comprising copper on only one side of the copper current collector” and “wherein the non-porous carbon coating is provided on the one side of the copper current collector”, which does not appear to comply with the written description requirement. The specification does not describe how a copper current collector has both “a layer comprising copper and/or an alloy comprising copper” and a “non-porous carbon coating” provided on only one side of the copper current collector. The present specification does not teach an embodiment wherein both the “layer comprising copper and/or an alloy comprising copper” and the “non-porous carbon coating” are both “on” (contacting) a single surface of the copper current collector.
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 1-25 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 applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention.
Each of claims 1 and 17 recite the limitation "the current collector" multiple times. There is insufficient antecedent basis for this limitation in the claims. Examiner suggests “the metal current collector”.
Each of claims 1 and 17 recite the limitation "the one side of the current collector" in lines 5-6. There is insufficient antecedent basis for this limitation in the claims. Examiner suggests “the only one side of the metal current collector”.
Each of claims 1 and 17 recite “wherein the current collector comprises a layer comprising a transition element and/or an alloy comprising the transition element on only one side of the current collector” and “wherein the non-porous carbon coating is provided on the one side of the current collector”. It is unclear how both the “layer comprising a transition element and/or an alloy comprising the transition element” and the “non-porous carbon coating” are both “on” (contacting) a single surface of the metal current collector. In addition, claims 1 and 17 further recite the active material layer is formed “on” the metal current collector, which is indefinite. The claims appear to recite specific layers/elements: a metal current collector, a layer, a non-porous carbon coating and an active material layer. The claims should clearly recite the structural relationship of the claimed layers/elements. See also claims 7 and 10-14.
Regarding each of claims 1 and 17, the structure of the metal current collector is indefinite as the “metal” of the metal current collector may be a transition metal such as copper resulting in both sides of the current collector containing a transition element (transition metal).
Each of claims 1 and 17 recite “metal in or from the metal current collector” in the last three lines. It is unclear if “metal’ is in reference to the “metal” current collector and/or the transition element (all transition elements are metals). There is insufficient antecedent basis for the limitation “metal” in the claims.
Claim 2 recites “the metal current collector comprises copper or copper alloy”, which is indefinite as copper is both a “metal” and a “transition element”. It is unclear if the claim requires a copper current collector or that the transition element is copper.
Claim 17 recites the limitation "pyrolyzed, heat-treated carbon-coating" in lines 11-12. There is insufficient antecedent basis for this limitation in the claim. Examiner suggests the claim be amended to clearly recite the carbon coating the silicon particles is the claimed “first carbon”.
Claim 18 recites “the metal current collector comprises copper”, which is indefinite as copper is both a “metal” and a “transition element”. It is unclear if the claim requires a copper current collector or that the transition element is copper.
Claim 25 recites “wherein the copper current collector comprises a layer comprising copper and/or an alloy comprising copper on only one side of the current collector” and “wherein the non-porous carbon coating is provided on the one side of the copper current collector”. It is unclear how both the “layer comprising copper and/or an alloy comprising copper” and the “non-porous carbon coating” are both “on” (contacting) a single surface of the copper current collector. In addition, claim 25 further recites the active material layer is formed “on” the copper current collector, which is indefinite. The claim appears to recite specific layers/elements: a copper current collector, a layer, a non-porous carbon coating and an active material layer. The claim should clearly recite the structural relationship of the claimed layers/elements.
Claim 25 recites “metal in or from the metal current collector” in the last three lines. It is unclear if “metal’ is in reference to the “copper” current collector and/or the layer comprising “copper” and/or an alloy of “copper”. There is insufficient antecedent basis for the limitation “metal” in the claims.
Claim 25 recites the limitation "the one side of the copper current collector" in lines 5-6. There is insufficient antecedent basis for this limitation in the claim. Examiner suggests “the only one side of the copper current collector”. It is unclear how copper is only on one side of the copper current collector.
Regarding claim 25, the structure of the copper current collector is indefinite as the “copper” of the copper current collector and the layer comprising copper result in both sides of the copper current collector containing copper.
Claim 25 recites the limitation "the active material layer" in line 13. There is insufficient antecedent basis for this limitation in the claim.
Claim 25 recites the limitation "the first carbon encapsulating the thermally treated carbon-coated, encapsulated silicon particles" in the last two lines. However, the first carbon does not encapsulate “the thermally treated carbon-coated, encapsulated silicon particles” as the first carbon forms the carbon-coated silicon particles (see at least lines 8-9).
To the extent the claims are understood in view of the 35 USC 112 rejections above, note the following prior art rejections.
Claim Rejections - 35 USC § 103
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, 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.
Claims 1-4, 6, 9-14, 16-20, 22 and 24-25 are rejected under 35 U.S.C. 103 as being unpatentable over Suzuki, US 6,413,672 B1 in view of Ariga, JP 2009-266466 A, and further in view of Hisamitsu, US 2008/0305394 A1.
The following citations for Ariga, JP 2009-266466 A are in reference to the machine translation (copy of which has been provided in the parent case) by Espacenet and the figures in the original document.
Suzuki teaches a lithium secondary battery with a cathode and an anode, each electrode containing an active material capable of incorporating and releasing lithium ions. The anode includes a sintered material which contains 50 to 99 % by weight of silicon and 1 to 50% by weight of carbon material, and has an electrical conductivity not less than 1 S/cm. By employing the anode including the sintered material containing silicon as the anode active material and carbon material, an increased packing density of the active material and an increased capacity per volume can be obtained. Furthermore, the anode conductivity of not less than 1S/cm can provide a high capacity and improved cycle property (abstract). Suzuki teaches a method of forming the electrode (Col. 3, lines 42-58), the method comprising:
providing a current collector, wherein the current collector comprises a transition element (forming a coated film on the current collector, Col. 3, lines 42-58, indicating a current collector is provided, where the current collector of the anode may be a metal selected from a group including copper, Col. 5, lines 22-28, such that the current collector comprises copper);
providing a mixture on the current collector, a mixture comprising a carbon precursor and silicon particles (where the coated film applied to the current collector consists of silicon powder and a binder that forms hard carbon through heat treatment, where the binder includes polymers such as polyimide, Col. 3, lines 42-58 and Col. 6, lines 6-10, indicating that the binder is a precursor that will be converted to carbon, and
where the particle size of the silicon powder ranges from 0.5 microns to 100 microns, Col. 5, lines 10-15, indicating the silicon in the mixture includes silicon particles, and where the anode is produced by preparing a coating solution by adding silicon powder and an organic material that turns to carbonaceous material through heat treatment to a solvent and coating the solution onto the current collector, Col. 6, lines 49-57, such that the coating solution is understood to be a slurry mixture comprising the silicon particles and the precursor or organic material that becomes a carbonaceous material since it includes solids in solvent); and pyrolysing the mixture to convert the precursor into one or more types of carbon phases to form a composite material comprising the one or more types of carbon phases as a substantially continuous phase with the silicon particles distributed throughout the composite material, and to adhere the composite material to the current collector (where the coating is sintered so that the binder forms hard carbon, Col. 3, lines 42-58, indicating that the mixture is pyrolyzed on the current collector, and where the silicon contained in the sintered material exists in the form of particles that are covered with the carbonaceous material, Col. 2, lines 52-57, indicating that the sintered material forms a composite material comprising a carbon phase containing silicon particles, and where the sintered material has a structure such as a dispersed phase of silicon existing in the continuous phase of the carbonaceous material, Col. 6, lines 57-60, indicating that the carbonaceous material is a continuous phase with the silicon particles distributed throughout). Since the pyrolyzing process converts the binder to carbon it will result in forming a composite material comprising carbon of the second carbon precursor.
Suzuki further teaches that the current collector of the anode may be a metal selected from a group including copper, where the metal may be used in the form of a foil (Col. 5, lines 22-28). Suzuki teaches forming the anode for a lithium secondary battery where the cathode and anode are cable of incorporating and releasing lithium ions, such that it is a lithium ion battery (abstract). Suzuki further teaches that in addition to the binder, graphite may be added to increase the conductivity of the sintered material (Col. 6, lines 21-26). They teach that since the binder is carbonized to form a solid phase when the current collector and the coated film are in close contact with each other, adhesion between the current collector and the sintered material is improved and the contact resistance between the current collector and the sintered material is decreased, thereby improving the battery capacity and the cycle property (Col. 3, line 62-Col. 4, line 2). The anode may have a density of 1.4 g/cm3 with a copper foil that carries the active material and is covered by the carbonaceous material (Embodiment2).
They do not teach that the metal current collector comprises a layer comprising a transition metal/transition metal alloy on only one side of the metal current collector.
Suzuki teaches forming the anode for a lithium secondary battery where the cathode and anode are capable of incorporating and releasing lithium ions, such that it is a lithium ion battery (abstract).
Hisamitsu teaches a secondary battery having a stack structure sequentially including a positive electrode layer, a separator layer, and a negative electrode layer, where the battery includes a lithium ion secondary battery (abstract, 0037, 0092, and 0095). They teach that the negative electrode layer includes a current collector (0069). They teach that the material for the current collector is not specifically limited, where examples include at least one selected from the group consisting of iron, chromium, nickel, manganese, titanium, molybdenum, vanadium, niobium, aluminum, copper, silver, gold, platinum and carbon (0069). They teach that the material is more preferably at least one selected from the group consisting of aluminum, titanium, copper, nickel, silver, and stainless (0069). They teach that the materials for the current collector may have a single-layer structure or a multi-layer structure including different types of materials (0069). They teach that a clad material coated with the above materials may also be use (0069). They teach that a plating material which is a combination of the above collector materials may be preferably used (0069). They teach that metal foils which are two or more of the above current collector materials may be attached and mated for forming the current collector to be used (0069). They teach that the above materials are excellent in corrosion resistance, conductivity, machinability and the like (0069).
From the teachings of Hisamitsu, it would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to have modified the process of Suzuki to have formed the current collector from layers of at least two materials selected from copper, stainless steels (stainless or SUS), nickel, chromium, iron, vanadium, molybdenum, niobium, or combinations thereof because Hisamitsu indicates that such materials are excellent in corrosion resistance conductivity, machinability and the like for use as current collector for an anode of a lithium ion battery, where the metals can be included as a multi-layered structure. Therefore, the current collector will comprise layers of copper and/or nickel and a transition element that is neither copper or nickel, i.e. chromium, iron, molybdenum, vanadium, and/or niobium such that a first portion of the current collector is different from a second portion of the current collector based on the material of the collector due to the multi-layered structure where the first portion is one side of the current collector and the second portion is the other side of the current collector due to the layered structure.
They do not teach that the current collector comprises a current collector coated with a polymer film.
Ariga teaches a non-aqueous electrolyte secondary battery in which a carbon material such as amorphous carbon is formed on a negative electrode current collector (0001). They teach that the adhesiveness between the negative electrode active material and the negative electrode current collector (graphite and copper), which are different materials is inferior to that of the negative electrode active material (graphite and graphite) (0004). They teach providing a carbon coating on the negative electrode current collector formed of a copper foil by thermal decomposition of a carbon precursor resin (0010). They teach that in a secondary batter in which graphite is used as the negative electrode active material, a copper foil coated with carbon on the negative electrode current collector is used to improve the electrical properties of the negative electrode layer and the surface of the electrode current collector (0013). They teach that the process provides a non-aqueous electrolyte secondary battery that reduces cycle capacity deterioration by improving adhesion while maintaining contact and suppressing an increase resistance between the negative electrode layer and the surface of the negative electrode current collector due to the charge/discharge cycle (0013 and 0023). They teach that by using a copper foil coated with carbon on the negative electrode current collector, good electrical contact and adhesiveness between the negative electrode layer and the negative electrode current collector can be imparted (0023).
From the teachings of Ariga, it would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to have modified the process of Suzuki to have coated the current collector with a carbon precursor resin (first carbon precursor resin) and then to have applied the mixture comprising the second carbon precursor and silicon particles followed by carbonizing the first and second carbon precursors so as to form the active layer and a carbon layer on the current collector foil because Ariga teaches that forming a negative electrode current collector by coating a copper foil, i.e. current collector, with a resin followed by carbonizing the resin to form a carbon layer provides the benefits of improved adhesion with an electrode layer containing graphite, as well as reducing cycle capacity deterioration and suppressing an increase resistance between the negative electrode layer and the surface of the negative electrode current collector due to the charge/discharge cycle and Suzuki provides a process of forming active layer on a current collector by applying a coating solution containing a binder, silicon particles, and graphite followed by pyrolyzing the binder to form carbon where pyrolyzing the binder when in close contact with the current collector improves adhesion such that it will be expected to provide the benefits of improved adhesion due to the first carbon precursor layer as well as pyrolyzing the first and second precursors together (since Suzuki indicates pyrolyzing in close contact improves adhesion), and also provide the benefits described by Ariga, i.e. reducing cycle capacity deterioration and suppressing an increase resistance between the negative electrode layer and the surface of the negative electrode current collector due to the charge/discharge cycle.
Therefore, in the process of Suzuki and Ariga the current collector will be provided with a first carbon precursor, a mixture comprising a second carbon precursor and silicon particles will be provided on the first carbon precursor, and the first and second carbon precursors will be sintered together, i.e. in the same heat treatment as presently claimed, to provide improved adhesion between the layers, improve the efficiency of the process by requiring only one pyrolysis step, and providing the desired and predictable result of forming the first carbon layer on the current collector as suggested by Ariga and the active layer containing silicon particles in a continuous carbon phase as desired by Suzuki.
Further, Suzuki teaches using binders, i.e. carbon precursors, such as phenolformaldehyde resin, epoxy resin, polyimide resin, etc. (Col. 6, lines 6-20). They teach sintering (pyrolyzing) the organic material that turns to carbonaceous material (i.e. binder) at a temperature ranging from 400-1400, °C, 800-1200°C, or more preferably 700-850°C (Col. 4, line 57-Col. 5, line 2, and Col. 6, line 40-Col. 7, line 5). They also provide an example of a sintering temperature of 800°C (Col. 8, lines 36-51). Suzuki teaches that the binder of non-graphitizable carbon is added for the purpose of forming amorphous carbon (Col. 3, lines 42-57).
Ariga teaches using a carbon precursor resin where the resin can be a phenol resin or the like and where the carbon material is amorphous carbon (0001, 0010, and 0015). From this, it would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to have used the same material for the first and second precursor and to have heated the precursors at a temperature ranging from 400-1400°C, 800-1200°C, or 700-850°C because Suzuki provides materials that form amorphous carbon under heat treatment and Ariga desires materials that form amorphous carbon under heat treatment where they both indicate that phenolic resins are suitable, and Suzuki indicates that a sintering or pyrolysis temperature ranging from 400-1400°C, 800-1200°C, or 700-850°C is suitable for forming the carbon phase such that it will be expected to provide the first carbon layer on the current collector and the continuous carbon phase containing the silicon particles while ensuring that the materials pyrolyze together at the same temperature for more efficient processing. Therefore, in the process of Suzuki and Ariga, the pyrolysis temperature for the first and second carbon precursors are within the ranges of and/or overlap the ranges of claims 10-14, where the same precursor is used for the first and second precursor, i.e. they will be chemically the same.
*
Claims 5, 7, 8, 15, 21 and 23 is/are rejected under 35 U.S.C. 103 as being unpatentable over Suzuki, US 6,413,672 B1 in view of Ariga, JP 2009-266466 A and Hisamitsu, US 2008/0305394 A1, and further in view of Lin et al., US 2020/0358088.
See discussion of Suzuki, Ariga and Hisamitsu above regarding at least claims 1 and 17. They do not explicitly teach the active material layer comprises aluminum carbide. However, the invention as a whole would have been obvious because Lin teaches an anode active material such as oxides and carbides of Al are known for use in battery anodes comprising carbon coated silicon particles. Lin teaches combinations of anode active materials may be used. See abstract and [0027] of Lin. One of skill would have found it obvious to combine the aluminum carbide disclosed as an active material of Lin with the carbon coated silicon active material of Suzuki and Ariga because Lin teaches such combinations are known in the art.
They do not explicitly teach the coating of the carbon is performed using physical vapor deposition or atomic layer deposition. However, the invention as a whole would have been obvious to one having ordinary skill in the art at the time the invention was made because Lin teaches encapsulating the silicon material with carbon may be performed using physical vapor deposition, chemical vapor deposition, sputtering, polymer coating and pyrolyzation, ball-milling, spray drying, pan-coating, air-suspension coating, centrifugal extrusion or vibration-nozzle encapsulation [0038]. One of skill would have been motivated to use a known method of coating carbon on an active material to coat carbon on the active material of Suzuki. Lin teaches particles of anode active material may be lithiated and un-lithiated oxides, carbides, nitrides, sulfides, phosphides, selenides, and tellurides of Si, Ge, Sn, Pb, Sb, Bi, Zn, Al, Ti, Fe, Ni, Nb, Co, or Cd, and their mixtures, composites, or lithium-containing composites [0045].
Response to Arguments
Applicant's arguments filed 1/28/26 have been fully considered but they are not persuasive in view of the new grounds of rejection. The previous 35 USC 103 rejections of record are withdrawn. Hisamitsu has been cited in combination with Suzuki and Ariga to teach the newly added limitations of at least amended claims 1, 17 and 25.
The previous 35 USC 112 rejection of claims 16 and 24 in the Office Action of 8/28/25 has been withdrawn. However, the claims remain rejected under 35 USC 112 based on a new grounds of rejection.
Regarding the 35 USC 103 rejections, Applicant cites case law at pages 9-10 of the response. However, Applicant does not provide any analysis regarding how the case law is assertedly applicable to the rejections of record.
Applicant asserts “the combination of Suzuki and Ariga does not teach or suggest all the limitations of claims 1, 17 and 25, as pending when the Final Action was issued”. However, no evidence or support has been provided for this assertion.
Applicant states claims 1, 17 and 25 have been amended and argues the claim amendments render the 35 USC 103 rejections moot. However, the new grounds of rejection relies on Hisamitsu, US 2008/0305394 A1 in combination with Suzuki and Ariga to teach the newly added limitations of at least amended claims 1, 17 and 25.
Applicant states Suzuki and Ariga do not teach or suggest the subject matter of claims 1, 17 and 25. However, the current rejection relies on Hisamitsu and the teachings of Hisamitsu have not been addressed by Applicant. Furthermore, claims 1, 17 and 25 have been rejected under 35 USC 112. See above rejections. Applicant does not argue the dependent claims separately. Thus, there is nothing further for the Examiner to rebut.
Conclusion
The present application is a CIP of US Application 16/430,306, now abandoned, wherein a decision was issued by the Board of Patent Appeals on 5/21/25. The Examiner was affirmed in the parent application.
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/TRACY M DOVE/Primary Examiner, Art Unit 1725