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 .
Claims 1-11 and 14-21 are pending and under consideration in this action.
Response to Arguments
Applicant's arguments filed January 27, 2026 have been fully considered but they are not persuasive.
On pages 6-7 of the response, Applicant argues that JP2011094228 (“Shunsuke”) is limited to a method for recovering material from lithium cobaltate batteries rather than NMC batteries as now recited in claim 1. However, Shunsuke expressly states that the method can be used on waste material obtained from NMC batteries comprising nickel, manganese, and cobalt (see Shunsuke at paragraph [0012]). Given the clear teaching in Shunsuke that black mass comprising nickel, manganese, and cobalt with lithium can be used, arguments that Shunsuke is limited to lithium cobaltate batteries are not persuasive.
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 (i.e., changing from AIA to pre-AIA ) 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, 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.
Claim(s) 1-11, 14-16, and 20 are rejected under 35 U.S.C. 103 as being unpatentable over JP 2011094228 (“Shunsuke”, machine translation used for citations) in view of Jandová, et al. "Recovery of lithium from waste materials." Ceramics-silikaty 56.1 (2012): 50-54 (“Jandová”).
Regarding claim 1, Shunsuke teaches a method for recovering lithium from lithium ion batteries (see e.g. paragraph [0006]). Shunsuke teaches that the method can start with the pulverized product of a lithium ion secondary battery, which is the same as the claimed “black mass” as described in page 3, lines 10-14 of the instant Specification (see Shunsuke at paragraph [0011]). Shunsuke expressly teaches that the method can be performed on waste material from a battery stream comprising nickel manganese, and cobalt, which is a waste stream from NMC batteries (see e.g. paragraph [0012]). Shunsuke teaches that the method includes roasting the black mass at a temperature of between 500 °C and 700 °C (see e.g. paragraph [0011]). Shunsuke teaches that the roasting can be performed in an oxidizing atmosphere that is between 1-5 % oxygen in inert gas, which is a partial oxygen environment (see e.g. paragraph [0017]). Shunsuke teaches that the roasted material is then subjected to lithium leaching, which would leave behind the other metals including nickel, manganese, and cobalt (see e.g. paragraph [0019]).
Shunsuke teaches that the leached lithium solution is then subjected to any of various treatments to recover the lithium carbonate, but does not explicitly state that the lithium leach solution is heated (see e.g. paragraph [0019]). However, Jandová teaches a similar method for isolating lithium from battery waste (see e.g. page 51, first column, last paragraph, starting “The aim of this study…”). Jandová teaches that, to isolate the lithium, the leach solution is heated to the boiling point (see e.g. page 52, first column, second full paragraph, starting “Li2CO3 was separated…”). Jandová teaches that this method of isolating the lithium provides 99.5% of the lithium carbonate at higher than 95% purity (see e.g. page 53, second column, last paragraph, starting “Lithium salt containing…”). Accordingly, prior to the effective filing date of the invention, it would have been obvious to a person of ordinary skill in the art to heat the lithium leach solution to obtain the lithium carbonate as taught by Jandová in order to recover 99.5% of the lithium at a high purity.
Regarding claim 2, Shunsuke teaches that the roasting is performed in an atmosphere of between 1.0 – 5.0 % oxygen in inert gas, which is a lower oxygen concentration than atmospheric oxygen (see e.g. paragraph [0017]). Shunsuke teaches that the inert gas can be nitrogen, which means a the 99 – 95 % nitrogen environment, which is higher than atmospheric nitrogen (see e.g. paragraph [0017]).
Regarding claims 3-4, Shunsuke teaches that the roasting is performed in an atmosphere of between 1.0 – 5.0 % oxygen in inert gas, which overlaps significantly with the claimed ranges (see e.g. paragraph [0017]).
Regarding claim 5, Shunsuke teaches that the roasting is performed in an atmosphere of between 1.0 - 5.0 % oxygen in inert gas, which means that greater than 80% of the gas is an inert gas (see e.g. paragraph [0017]).
Regarding claim 6, Shunsuke teaches that the inert gas can be nitrogen (see e.g. paragraph [0017]).
Regarding claims 7-8, Shunsuke teaches that the heat treatment is at a temperature of between 500 °C and 700 °C, which overlaps with, or is entirely within, the claimed range (see e.g. paragraph [0011]).
Regarding claims 9-10, Shunsuke teaches that the black mass is roasted for 1-2 hours, which overlaps with, or is entirely within, the claimed ranges (see e.g. paragraph [0021]).
Regarding claim 11, Shunsuke teaches that the material can be leached with water (see e.g. paragraph [0019]).
Regarding claims 14-15, Shunsuke describes that the roasted black mass is added to water and agitated to leach the lithium (see e.g. paragraph [0019]). Given that Shunsuke does not teach heating or cooling the water during leaching, one of ordinary skill in the art would understand that the method of Shunsuke is to perform the leaching operation at room temperature, or about 20 - 25 °C, which is within the claimed ranges.
Regarding claim 16, Shunsuke teaches that the lithium is recovered as lithium carbonate (see e.g. paragraph [0007]).
Regarding claim 20, as noted by the instant application, lithium carbonate has a lower solubility at an increased temperature (see Specification at page 2, lines 16-19). As such, the precipitation of lithium carbonate while heating as taught by Jandová will necessarily be due to the solubility of lithium carbonate at the elevated temperature.
Claims 17-19 and 21 are rejected under 35 U.S.C. 103 as being unpatentable over Shunsuke in view of Jandová as applied to claim 1 above, and further in view of JP 2012091999 (“Toshiji”, machine translation used for citations).
Regarding claim 17, Shunsuke in view of Jandová teach the limitations of claim 1 as described above. Shunsuke does not teach combining the recovered lithium with carbon dioxide for selective dissolution and filtering the undissolved impurity solids. However, Toshiji teaches a method for further purification of lithium carbonate having impurities, similar to the product from the method of Shunsuke (see e.g. paragraph [0001]). Toshiji teaches combining carbon dioxide with the lithium solution to convert the lithium to lithium bicarbonate in water (see e.g. paragraph [0022]). Toshiji teaches that the solution, now containing lithium bicarbonate, is then filtered to remove the impurity solids (see e.g. paragraph [0023]). Toshiji teaches that this method provides high purity lithium carbonate with few impurities, capable of use for batteries (see e.g. paragraph [0002]). As such, prior to the effective filing date of the invention, it would have been obvious to a person of ordinary skill in the art to use the method of Toshiji for further purification of the product from Shunsuke in order to result in battery grade lithium carbonate.
Regarding claim 18, Toshiji teaches that the filtered solution contains lithium bicarbonate (see e.g. paragraphs [0022]-[0023]).
Regarding claim 19, Toshiji teaches heating the solution to 70-100 °C, which overlaps with the claimed range, and filtering to obtain the purified lithium carbonate (see e.g. paragraph [0013]).
Regarding claim 21, Shunsuke teaches a method for recovering lithium from lithium ion batteries (see e.g. paragraph [0006]). Shunsuke teaches that the method can start with the pulverized product of a lithium ion secondary battery, which is the same as the claimed “black mass” as described in page 3, lines 10-14 of the instant Specification (see Shunsuke at paragraph [0011]). Shunsuke expressly teaches that the method can use waste material from NMC batteries comprising nickel, manganese, and cobalt (see e.g. paragraph [0012]). Shunsuke teaches that the method includes roasting the black mass at a temperature of between 500 °C and 700 °C, which includes the entirety of the claimed range (see e.g. paragraph [0011]). Shunsuke teaches that the roasting can be performed in an oxidizing atmosphere that is between 1-5 % oxygen, which overlaps with the claimed range, in an inert gas such as nitrogen, which results in a nitrogen content above 80% (see e.g. paragraph [0017]). Shunsuke teaches that the roasting can be performed for 1 hour, which is within the claimed range (see e.g. paragraph [0021]). Shunsuke teaches leaching the roasted black mass in water while agitating for 30 minutes, which is within the claimed range (see e.g. paragraph [0030]). Given that Shunsuke does not teach heating or cooling the water during leaching, one of ordinary skill in the art would understand that the method of Shunsuke is to perform the leaching operation at room temperature, or about 20 - 25 °C, which is within the claimed ranges. Shunsuke teaches that the lithium leach solution is then filtered for removal of unleached solids, which would include the nickel, manganese, and cobalt (see e.g. paragraph [0019]).
Shunsuke teaches that the leached lithium solution is then subjected to any of various treatments to recover the lithium carbonate, but does not explicitly state that the lithium leach solution is heated (see e.g. paragraph [0019]). However, Jandová teaches a similar method for isolating lithium from battery waste (see e.g. page 51, first column, last paragraph, starting “The aim of this study…”). Jandová teaches that the lithium is harvested by heating the leach solution to the boiling point, which would be at a temperature above 90 °C (see e.g. page 52, first column, second full paragraph, starting “Li2CO3 was separated…”). Jandová teaches that this method of isolating the lithium provides 99.5% of the lithium carbonate at higher than 95% purity (see e.g. page 53, second column, last paragraph, starting “Lithium salt containing…”). Accordingly, prior to the effective filing date of the invention, it would have been obvious to a person of ordinary skill in the art to heat the lithium leach solution to obtain the lithium carbonate as taught by Jandová in order to recover 99.5% of the lithium at a high purity.
Toshiji teaches a method for further purification of lithium carbonate having impurities, similar to the product from the method of Shunsuke (see e.g. paragraph [0001]). Toshiji teaches combining carbon dioxide in water, which is a carbonized solution, with the lithium solution to convert the lithium to lithium bicarbonate in water (see e.g. paragraph [0022]). Toshiji teaches that the solution, now containing lithium bicarbonate, is then filtered to remove the impurity solids (see e.g. paragraph [0023]). Toshiji teaches heating the solution to 70-100 °C, which overlaps with the claimed range, and filtering to obtain the purified lithium carbonate (see e.g. paragraph [0013]). Toshiji teaches that this method provides high purity lithium carbonate with few impurities, capable of use for batteries (see e.g. paragraph [0002]). As such, prior to the effective filing date of the invention, it would have been obvious to a person having ordinary skill in the art to use the method of Toshiji to further purify the lithium from the method of Shunsuke in order to result in battery grade lithium carbonate.
Conclusion
THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action.
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/E.S.S./Examiner, Art Unit 1736
/ANTHONY J ZIMMER/Supervisory Patent Examiner, Art Unit 1736