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 . If status of the application as subject to 35 U.S.C. 102 and 103 is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) for the rejection will not be a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status.
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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 8/12/2026 has been entered.
Status of Claims
Claims 1-4, 6-17, & 20 are pending in the application. Claims 7-17 & 20 are withdrawn. Claims 1-4 & 6 were rejected in the office action mailed 4/28/2026. Claims 1-4 & 6 are presently examined.
Response to Amendment / Arguments
The 7/15/2026 amendment, in response to the 4/28/2026 office action, has been entered. Applicant’s arguments and claim amendments overcame the 35 U.S.C. 112(b) rejections.
Applicant's arguments, regarding the 35 U.S.C. 103 rejections, have been fully considered but they are not persuasive.
Applicant argues:
“Referring now to claim 1, Hong does not disclose or suggest the above-noted features of claim 1.” Remarks p. 8.
It is unclear which specific features Applicant is referring to here; however, Hong teaches all claim 1 limitations, as discussed under the 35 U.S.C. 102 rejection below.
Applicant argues:
“Hong's lithium layer thickness of 1 to 12 μm in paragraph 32 is prior to the pre-lithiation process.” Remarks p. 8.
Examiner disagrees with this interpretation of the present claim and of Hong. As discussed in the Claim Interpretation section below, pre-lithiation has occurred when at least one atom of lithium is transferred to the pre-lithiation layer. This transfer of an atom of the pre-lithiated active material will not change the thickness of Hong's lithium layer to any measurable amount.
Applicant argues:
“after the pre-lithiation process, Hong is totally silent regarding what amount of the lithium layer remains” Remarks p. 8.
With the above interpretation, that pre-lithiation occurs upon transfer of at least one atom of lithium, Hong doesn’t need to discuss the amount of remaining lithium. The remaining amount is all except for one atom of lithium.
Claim Interpretation
Claim 1 recites:
“a pre-lithiation layer formed on the lithium metal layer, wherein the pre-lithiation layer comprises a pre-lithiated active material…
“the lithium metal layer exists after pre-lithiation”
There is no requirement in the claim, and Examiner couldn’t find any special definition in the specification, that “pre-lithiation” requires a specific amount of transfer of lithium atoms. This claim limitation is interpreted as follows: The pre-lithiation layer is formed when it comprises at least one atom of the pre-lithiated active material (lithium) from the lithium metal layer.
Claim 1 states that “the lithium metal layer exists after pre-lithiation acting as a negative electrode active material”. The present specification provides the following guidance for a link between lithium and active material:
“the lithium metal layer may have at least a thickness of 1 μm or more, 5 μm or more, 10 μm or more, 20 μm or more… When the thickness of the lithium metal layer is too thin and outside the above range, lithium may not be sufficient as an active material” page 7, lines 19-
According to this specification quotation, lithium definitely acts as an active material if there is at least 1 μm thickness of lithium. It is unclear whether or not lithium will act as an active material if there less than 1 μm thickness of lithium.
Claim Rejections - 35 USC § 102
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.
(a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
The claims are in bold font, the prior art is in parentheses.
Claims 1-4 & 6 are rejected under 35 U.S.C. 102(a)(2) as being anticipated by US20200403230A1 (Hong).
Hong teaches the following claim 1 limitations:
A negative electrode (paragraph 30, figure 1: negative electrode 100) for a lithium metal battery (paragraph 30: lithium secondary battery), comprising:
a metal current collector substrate (paragraph 30, figure 1: negative electrode current collector 110);
a lithium metal layer (paragraph 30, figure 1: lithium layer 130) formed on at least one surface of the metal current collector substrate (110);
wherein the lithium metal layer has a thickness of 1 μm to 100 μm (paragraph 32: 1 µm to 12 µm),
a pre-lithiation layer (paragraphs 30 & 62, figure 1: negative electrode active material layer 120 after at least one atom of lithium has diffused from the lithium layer 130) formed on the lithium metal layer (130), wherein the pre-lithiation layer (120) comprises a pre-lithiated active material (paragraph 54: “lithium ions in the lithium layer are diffused into the negative electrode active material layer, and thus pre-lithiation of the negative electrode active material may be achieved”)
Claim 1 also recites:
a lithium electrodeposition layer formed on the pre-lithiation layer
The present specification teaches that “the lithium electrodeposition layer is formed by charging a lithium metal battery” (page 12, lines 18-19). Hong fails to explicitly describe a lithium electrodeposition layer. Hong, however, teaches charging the lithium secondary battery (paragraph 31). Hong’s negative electrode therefore includes a lithium electrodeposition layer, according to the teachings of the present specification.
Claim 1 also recites:
lithium of the lithium metal layer is intercalated into the pre-lithiation layer during pre-lithiation
Regarding “intercalated”, the present specification teaches:
“By ‘is pre-lithiated’ is meant herein a form in which lithium is diffused and intercalated between active materials capable of occluding and releasing lithium, or lithium is combined with the active materials.” p.9, lines 9-11
Thus, according to the present specification, pre-lithiation includes intercalation. Hong teaches pre-lithiation of the negative electrode active material layer [claimed pre-lithiation layer] from the lithium layer [claimed lithium metal layer] (paragraph 54). Hong’s teaching of pre-lithiation must include intercalation.
Claim 1 also recites:
the lithium metal layer exists after pre-lithiation so that a thickness ratio of the lithium metal layer and the formed pre-lithiation layer is 1:1.1 to 1:99, and wherein the lithium metal layer exists after pre-lithiation acting as a negative electrode active material of the negative electrode for the lithium metal battery
Hong’s negative electrode active material layer 120 becomes the presently claimed formed pre-lithiation layer as soon as Hong’s negative electrode active material layer 120 includes at least one atom of lithium from Hong’s lithium layer 130. Hong teaches this diffusion of lithium into the negative electrode active material layer 120 (paragraphs 54 & 62). After one atom of lithium, from Hong’s lithium layer 130, has diffused into the negative electrode active material layer 120, Hong’s lithium layer 130 remains / exists, because it must have many more atoms of lithium than this first diffused atom.
Regarding the “1:1.1 to 1:99” limitation, for comparison with Hong, the claimed ratios are converted to fractions: 1/1.1 = 0.909 and 1/99 = 0.010.
Hong’s lithium layer thickness is 1 to 12 µm (paragraph 32). Hong’s negative electrode active material thickness is 50 to 80 µm (paragraph 24). Hong’s fractions are 12/50 = 0.240 and 1/80 = 0.013, which are within the claimed range of 0.909 to 0.010.
Regarding “acting as a negative electrode active material”, Hong’s negative electrode active material layer can act as a negative electrode active material because it is designed this way, both before and after pre-lithiation (paragraphs 5-6 & 21). The pre-lithiation process improves battery capacity, so there isn’t a required minimum transfer of lithium ions to the negative electrode active material layer for it to function. Thus, before and after transfer of at least one atom of lithium to the negative electrode active material layer from the lithium layer, Hong’s negative electrode active material layer acts as a negative electrode active material.
With regard to claim 2, Hong teaches the limitations of claim 1 as noted above. Hong also teaches the following claim 2 limitation:
the pre-lithiated active material comprises a carbon-based material, a lithium metal oxide, a metallic compound capable of alloying with lithium, a metal oxide, a lithium-metal alloy, or a mixture of two or more thereof (paragraph 21: “the negative electrode active material may include a carbon material”)
With regard to claims 3-4, Hong teaches the limitations of claim 1 as noted above. Hong also teaches the following limitations of claims 3-4:
Claim 3
the metal current collector substrate comprises one selected from the group consisting of copper, stainless steel, aluminum, nickel, titanium, calcined carbon, copper that is surface-treated with dissimilar metal, stainless steel that is surface-treated with dissimilar metal, and an aluminum-cadmium alloy (paragraph 78: copper current collector)
Claim 4
the metal current collector substrate comprises a metal including copper (paragraph 78: copper current collector)
With regard to claim 6, Hong teaches the limitations of claim 1 as noted above. Hong also teaches the following claim 6 limitation:
the pre-lithiation layer further comprises a binder and a conductive material (paragraphs 26, 48, & 51: negative electrode active material, conductive material, binder mixed)
Conclusion
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/R.G.W./Examiner, Art Unit 1721
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