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 claims 19-26 and 32-38 in the reply filed on 12/1/2025 is acknowledged.
Claims 27-31 is withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to a nonelected Group II, the method for preparing a material for a positive electrode, there being no allowable generic or linking claim. Election was made without traverse in the reply filed on 12/1/2025.
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.
This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
The factual inquiries 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 19, 20, 22, 23, 24, 25, 26, 32, 33, 34, 35, 36, and 37 are rejected under 35 U.S.C. 103 as being unpatentable over the machine translation of Yuan (CN 104300123 B) and further in view of Qian (Qian, Guannan et al. “Single-Crystal Nickel-Rich Layered-Oxide Battery Cathode Materials: Synthesis, Electrochemistry, and Intra-Granular Fracture.” Energy Storage Materials, vol. 27, 23 January 2020, pp. 140–149.), Yoshida (US-20150270544-A1), and the machine translation of Li (CN 105406069 A).
Regarding claim 19, Yuan teaches a material for a positive electrode of a battery, comprising a ternary material (para. 10, [nickel cobalt manganese ternary material]) and a phase-transition material (para. 10, [lithium manganese iron phosphate]); the ternary material has a crystal structure (para. 11, [the nickel cobalt manganese ternary material is a layered crystal structure]), the phase-transition material has a crystal structure (para. 13, [the lithium manganese iron phosphate is a an …olivine crystal structure]); a weight ratio of the ternary material to the phase-transition material is 80:20-99.8:0.2 (para. 9, [50:50 to 90:10]).
Yuan is silent regarding if the ternary material and the phase-transition materials have a single crystal structure.
Qian, teaches that ternary NMC materials that have single crystal structure (abstract).
It would have been obvious to a person of ordinary skill in the art, before the effective filing date of the claimed invention, to have used a single crystal NMC material in Yuan’s cathode, as taught by Qian. Qian teaches that single crystal NMC materials show high specific capacity, excellent capacity retention, and are stable against intra-granular fracture (abstract).
Qian does not teach regarding phase-transition materials, however teaches the benefits of single crystal structure vs a polycrystalline structure when it comes to particle fracture (Qian, pg. 141, third paragraph, [SC (single crystal) particles eliminates the risk of inter granular fracture faced by polycrystalline particles]). Therefore, one skilled in the art would have made Yuan’s phase-transition material to have a single crystal structure, in order to eliminated the risk of intergranular fracture that would be faced by polycrystalline particles.
Yuan does not teach:
the ternary material has a D50 of 3.0-6.0 µm and primary particles in the phase-transition material have a D50 of 10-50 nm.
Yoshida, in the same field of endeavor, ternary materials such as Li-NMC and LFMP materials for cathodes, teaches a cathode active material consisting of first cathode material (para. 0058, [LFMP]) and a second cathode material (para. 0066, [Li-NMC material]). Yoshida teaches that the ternary material has a D50 of 3.0-6.0 µm (Yoshida, para. 0160, the second cathode material – which is the NMC ternary material in Yoshida’s invention - [the materials had an average particle diameter of 2 to 10µm]) and primary particles in the phase-transition material have a D50 of 10-50 nm (Yoshida, para.60, [it is preferable that the first cathode active material [lithium iron manganese phosphate as taught in para. 0059] is 15 microns or less).
In the case where the claimed ranges “overlap or lie inside ranges disclosed by the prior art” a prima facie case of obviousness exists. In re Wertheim, 541 F.2d 257, 191 USPQ 90 (CCPA 1976); In re Woodruff, 919 F.2d 1575, 16 USPQ2d 1934 (Fed. Cir. 1990) [MPEP 2144.05].
It would have been obvious to a person of ordinary skill in the art, before the effective filing date of the claimed invention, to have selected the particle size range of the ternary material and the phase transition material of Yuan’s cathode material, as taught by Yoshida. Yoshida teaches that when the diameter of the first cathode active material [LFMP] is adjusted to 100 nm or less, an increase in the Li diffusion resistance can be suppressed. Yoshida further teaches that when the first and second cathode active materials are mixed (LFMP and the Li-NMC) it is required that diffusion of Li into the first cathode active material 142 is easily caused, and, by providing a geometric characteristic where the diameter of the primary particles is adjusted to 100 nm or less, an increase in the Li diffusion resistance is suppressed, and therefore Yoshida provides the particle sizes as discussed above.
Regarding the claim limitation:
the ternary material has a nanohardness of 0.001-5 GPa, and the phase-transition material has a nanohardness of 0.01-10 GPa;
Yuan teaches that the ternary material is a NCM material (para. 51, 65, and 79) and the phase-transition material is a lithium manganese iron phosphate (Yuan, para. 52, 66, and 80). Similarly, the instant teaches that the ternary material can be an NCM material and the phase-transition material can be lithium manganese iron phosphate (Instant, para. 0046 and Instant, Table 1, column 2).
The instant specification also teaches that nanohardness is related to the selected crystal plane (para. 0119).
Since Yuan teaches the NCM material and the LFMP material as the instant specification; Yuan, therefore, teaches that the ternary material has a nanohardness of 0.001-5 GPa, and the phase-transition material has a nanohardness of 0.01-10 GPa.
Examiner notes that nanohardness is an intrinsic property of a material.
Modified Yuan does not teach:
the phase-transition material is coated on a surface of the ternary material.
Li, in the same field of endeavor, coating of ternary materials, teaches coating a ternary material with lithium manganese iron phosphate (Li, para. 17).
It would have been obvious to a person of ordinary skill in the art, before the effective filing date of the claimed invention, to have further coated Yuan’s positive active material (which consists of NMC) with lithium manganese iron phosphate (LFMP), as taught by Li, in order to inhibit the further increase of residual alkali in NMC material during storage and effectively reduce the alkalinity of the composite material, as taught by Li (para. 23). Furthermore, Li teaches that coating the surface of NMC with LFMP can inhibit the chain reaction of ternary materials in the case of thermal runaway to a certain extent, and the gas production problem of the cell is also reduced to some extent, thus improving the cell's safety (para. 24).
Regarding the claim limitation:
wherein the phase-transition material undergoes phase transition in a charge/discharge voltage window of the ternary material
Modified Yuan teaches the phase transition material of LMFP (para. 10, [lithium manganese iron phosphate]) similar to the instant specification (instant, LMFP, para. 0044) (instant, para. 0045 the phase transition material may undergo phase transition between 4.0 and 2.0 V), and therefore teaches wherein the phase-transition material undergoes phase transition in a charge/discharge voltage window of the ternary material. Examiner notes that the charge/discharge voltage window of which the phase transition occurs is an inherent property of LFMP.
Regarding claim 20, modified Yuan teaches the material according to claim 19.
Regarding the claim limitation:
the nanohardness of the ternary material is 0.2-1.4 GPa, and the nanohardness of the phase-transition material is 1.5-3.5 GPa.
Yuan teaches that the ternary material is a NCM material (para. 51, 65, and 79) and the phase-transition material is a lithium manganese iron phosphate (Yuan, para. 52, 66, and 80). Similarly, the instant teaches that the ternary material can be an NCM material and the phase-transition material can be lithium manganese iron phosphate (Instant, para. 0046 and Instant, Table 1, column 2).
The instant specification also teaches that nanohardness is related to the selected crystal plane (para. 0119).
Since Yuan teaches the NCM material and the LFMP material as the instant specification; Yuan, therefore, teaches that the nanohardness of the ternary material is 0.2-1.4 GPa, and the nanohardness of the phase-transition material is 1.5-3.5 GPa.
Examiner notes that nanohardness is an intrinsic property of a material.
Regarding claim 22, modified Yuan teaches the material according to claim 19, wherein the D50 of the ternary material is 3.5- 5.0 µm (Yoshida, para. 0160, the second cathode material – which is an NMC ternary material in Yoshida’s invention, [the materials had an average particle diameter of 2 to 10µm]), and the D50 of the primary particles in the phase-transition material is 20-40 µm (Yoshida, para.60, [it is preferable that the first cathode active material [lithium iron manganese phosphate as taught in para. 0059] is 15 microns or less).
In the case where the claimed ranges “overlap or lie inside ranges disclosed by the prior art” a prima facie case of obviousness exists. In re Wertheim, 541 F.2d 257, 191 USPQ 90 (CCPA 1976); In re Woodruff, 919 F.2d 1575, 16 USPQ2d 1934 (Fed. Cir. 1990) [MPEP 2144.05].
Regarding claim 23, modified Yuan teaches the material according to claim 19, wherein the ternary material has a chemical formula of LiNixCoyMzO2, wherein x+y+z=1, and M comprises Mn (para. 51, [LiNi0.5Co0.2Mn0.3O2]).
Regarding claim 24, modified Yuan teaches the material according to claim 19, wherein the ternary material comprises a nickel-cobalt-manganese ternary material (para. 51, [LiNi0.5Co0.2Mn0.3O2]).
Regarding claim 25, modified Yuan teaches the material according to claim 19, wherein the phase-transition material has an olivine structure (para. 52, [lithium iron manganese phosphate is an … olivine crystal structure]), and the phase-transition material has a chemical formula of LiAvBwPO4, wherein v+w=1, A comprises Mn and B comprises Fe (para. 52, [LiMn0.7Fe0.3PO4]).
Regarding claim 26, modified Yuan teaches the material according to claim 25, wherein the phase-transition material comprises lithium manganese iron phosphate (para. 52, [LiMn0.7Fe0.3PO4]).
Regarding claim 32, modified Yuan teaches a positive electrode plate for the battery, comprising a current collector and the material according to claim 19 provided on the current collector (para. 19, the slurry obtained … is coated on a current collector … and the positive sheet is obtained …) (the slurry obtained refers to the ternary material of para. 11 and the lithium manganese iron phosphate of para. 13).
Regarding claim 33, modified Yuan teaches the positive electrode plate according to claim 32.
Yuan is silent regarding the intensity ratio of crystallographic orientation after the positive electrode plate is compacted.
However, Yuan teaches that the ternary material is a NCM material (para. 51, 65, and 79) and the phase-transition material is a lithium manganese iron phosphate (Yuan, para. 52, 66, and 80). Similarly, the instant teaches that the ternary material can be an NCM material and the phase-transition material can be lithium manganese iron phosphate (Instant, para. 0046 and Instant, Table 1, column 2).
The instant specification also teaches that crystallographic orientation is tested according to x-ray polycrystalline diffractometry (para. 0120).
Examiner notes that the NCM material of both the instant and Yuan’s material inherently have the same crystal plane. Similarly the LFMP having an olivine structure of both the instant and Yuan’s material have the same crystal plane.
Therefore, absent a showing of persuasive secondary considerations, it would have been obvious to one of ordinary skill in the art at the time the instant invention was filed to have arrived at an intensity ratio of crystallographic orientation 003 to crystallographic orientation 110 to be 10-100 after the positive electrode plate is compacted, particularly given that the crystal structures of Yuan’s materials and the instant’s materials are similar.
Regarding claim 34, Yuan teaches a battery (para. 25), comprising: a positive electrode plate (para. 25), a negative electrode plate (para. 25), and a separator provided between the positive electrode plate and the negative electrode plate (para. 25 and para. 28, [… are stacked on one another]), the positive electrode plate comprising a current collector (para. 15 defines the positive electrode sheet and para. 19 describes the collector used for the positive electrode sheet)and a material provided on the current collector (para. 19, [slurry coated on current collector]),
comprising a ternary material (para. 10, [nickel cobalt manganese ternary material]) and a phase-transition material (para. 10, [lithium manganese iron phosphate]); the ternary material has a crystal structure (para. 11, [the nickel cobalt manganese ternary material is a layered crystal structure]), the phase-transition material has a crystal structure (para. 13, [the lithium manganese iron phosphate is a an …olivine crystal structure]); a weight ratio of the ternary material to the phase-transition material is 80:20-99.8:0.2 (para. 9, [50:50 to 90:10]).
Yuan is silent regarding if the ternary material and the phase-transition materials have a single crystal structure.
Qian, teaches that ternary NMC materials that have single crystal structure (abstract).
It would have been obvious to a person of ordinary skill in the art, before the effective filing date of the claimed invention, to have used a single crystal NMC material in Yuan’s cathode, as taught by Qian. Qian teaches that single crystal NMC materials show high specific capacity, excellent capacity retention, and are stable against intra-granular fracture (abstract).
Qian does not teach regarding phase-transition materials, however teaches the benefits of single crystal structure vs a polycrystalline structure when it comes to particle fracture (Qian, pg. 141, third paragraph, [SC (single crystal) particles eliminates the risk of inter granular fracture faced by polycrystalline particles]). Therefore, one skilled in the art would have made Yuan’s phase-transition material to have a single crystal structure, in order to eliminated the risk of intergranular fracture that would be faced by polycrystalline particles.
Yuan does not teach:
the ternary material has a D50 of 3.0-6.0 µm and primary particles in the phase-transition material have a D50 of 10-50 nm.
Yoshida, in the same field of endeavor, ternary materials such as Li-NMC and LFMP materials for cathodes, teaches a cathode active material consisting of first cathode material (para. 0058, [LFMP]) and a second cathode material (para. 0066, [Li-NMC material]). Yoshida teaches that the ternary material has a D50 of 3.0-6.0 µm (Yoshida, para. 0160, the second cathode material – which is the NMC ternary material in Yoshida’s invention - [the materials had an average particle diameter of 2 to 10µm]) and primary particles in the phase-transition material have a D50 of 10-50 nm (Yoshida, para.60, [it is preferable that the first cathode active material [lithium iron manganese phosphate as taught in para. 0059] is 15 microns or less).
In the case where the claimed ranges “overlap or lie inside ranges disclosed by the prior art” a prima facie case of obviousness exists. In re Wertheim, 541 F.2d 257, 191 USPQ 90 (CCPA 1976); In re Woodruff, 919 F.2d 1575, 16 USPQ2d 1934 (Fed. Cir. 1990) [MPEP 2144.05].
It would have been obvious to a person of ordinary skill in the art, before the effective filing date of the claimed invention, to have selected the particle size range of the ternary material and the phase transition material of Yuan’s cathode material, as taught by Yoshida. Yoshida teaches that when the diameter of the first cathode active material [LFMP] is adjusted to 100 nm or less, an increase in the Li diffusion resistance can be suppressed. Yoshida further teaches that when the first and second cathode active materials are mixed (LFMP and the Li-NMC) it is required that diffusion of Li into the first cathode active material 142 is easily caused, and, by providing a geometric characteristic where the diameter of the primary particles is adjusted to 100 nm or less, an increase in the Li diffusion resistance is suppressed, and therefore Yoshida provides the particle sizes as discussed above.
Regarding the claim limitation:
the ternary material has a nanohardness of 0.001-5 GPa, and the phase-transition material has a nanohardness of 0.01-10 GPa;
Yuan teaches that the ternary material is a NCM material (para. 51, 65, and 79) and the phase-transition material is a lithium manganese iron phosphate (Yuan, para. 52, 66, and 80). Similarly, the instant teaches that the ternary material can be an NCM material and the phase-transition material can be lithium manganese iron phosphate (Instant, para. 0046 and Instant, Table 1, column 2).
The instant specification also teaches that nanohardness is related to the selected crystal plane (para. 0119).
Since Yuan teaches the NCM material and the LFMP material as the instant specification; Yuan, therefore, teaches that the ternary material has a nanohardness of 0.001-5 GPa, and the phase-transition material has a nanohardness of 0.01-10 GPa.
Examiner notes that nanohardness is an intrinsic property of a material.
Modified Yuan does not teach:
the phase-transition material is coated on a surface of the ternary material.
Li, in the same field of endeavor, coating of ternary materials, teaches coating a ternary material with lithium manganese iron phosphate (Li, para. 17).
It would have been obvious to a person of ordinary skill in the art, before the effective filing date of the claimed invention, to have further coated Yuan’s positive active material (which consists of NMC) with lithium manganese iron phosphate (LFMP), as taught by Li, in order to inhibit the further increase of residual alkali in NMC material during storage and effectively reduce the alkalinity of the composite material, as taught by Li (para. 23). Furthermore, Li teaches that coating the surface of NMC with LFMP can inhibit the chain reaction of ternary materials in the case of thermal runaway to a certain extent, and the gas production problem of the cell is also reduced to some extent, thus improving the cell's safety (para. 24).
Regarding the claim limitation:
wherein the phase-transition material undergoes phase transition in a charge/discharge voltage window of the ternary material
Modified Yuan teaches the phase transition material of LMFP (para. 10, [lithium manganese iron phosphate]) similar to the instant specification (instant, LMFP, para. 0044) (instant, para. 0045 the phase transition material may undergo phase transition between 4.0 and 2.0 V), and therefore teaches wherein the phase-transition material undergoes phase transition in a charge/discharge voltage window of the ternary material. Examiner notes that the charge/discharge voltage window of which the phase transition occurs is an inherent property of LFMP.
Regarding claim 35, modified Yuan teaches the battery according to claim 34.
Yuan is silent regarding the intensity ratio of crystallographic orientation after the positive electrode plate is compacted.
However, Yuan teaches that the ternary material is a NCM material (para. 51, 65, and 79) and the phase-transition material is a lithium manganese iron phosphate (Yuan, para. 52, 66, and 80). Similarly, the instant teaches that the ternary material can be an NCM material and the phase-transition material can be lithium manganese iron phosphate (Instant, para. 0046 and Instant, Table 1, column 2).
The instant specification also teaches that crystallographic orientation is tested according to x-ray polycrystalline diffractometry (para. 0120).
Examiner notes that the NCM material of both the instant and Yuan’s material inherently have the same crystal plane. Similarly the LFMP having an olivine structure of both the instant and Yuan’s material have the same crystal plane.
Therefore, absent a showing of persuasive secondary considerations, it would have been obvious to one of ordinary skill in the art at the time the instant invention was filed to have arrived at an intensity ratio of crystallographic orientation 003 to crystallographic orientation 110 to be 10-100 after the positive electrode plate is compacted, particularly given that the crystal structures of Yuan’s materials and the instant’s materials are similar.
Regarding claim 36, modified Yuan teaches the battery according to claim 34, wherein the ternary material has a chemical formula of LiNixCoyMzO2, wherein x+y+z=1, and M comprises Mn (para. 51, [LiNi0.5Co0.2Mn0.3O2]).
Regarding claim 37, modified Yuan teaches the battery according to claim 34, wherein the phase-transition material has an olivine structure, (para. 52, [lithium iron manganese phosphate is an … olivine crystal structure]), and the phase-transition material has a chemical formula of LiAvBwPO4, wherein v+w=1, A comprises Mn and B comprises Fe (para. 52, [LiMn0.7Fe0.3PO4]).
Claims 21 and 38 are rejected under 35 U.S.C. 103 as being unpatentable over the machine translation of Yuan (CN 104300123 B) and further in view of Qian (Qian, Guannan et al. “Single-Crystal Nickel-Rich Layered-Oxide Battery Cathode Materials: Synthesis, Electrochemistry, and Intra-Granular Fracture.” Energy Storage Materials, vol. 27, 23 January 2020, pp. 140–149.), Yoshida (US-20150270544-A1), and the machine translation of Li (CN 105406069 A), Kosova (Kosova, Nina V., et al. “Different Electrochemical Responses of LiFe0.5Mn0.5PO4 Prepared by Mechanochemical and Solvothermal Methods.” Journal of Alloys and Compounds, vol. 742, Apr. 2018, pp. 454–465), Zeng, (Zheng, Honghe, et al. “Correlation between Dissolution Behavior and Electrochemical Cycling Performance for LiNi1/3Co1/3Mn1/3O2-Based Cells.” Journal of Power Sources, vol. 207, June 2012, pp. 134–140), and Theivanayagam (US 20160149205 A1).
Regarding claim 21, modified Yuan teaches the material according to claim 19.
Modified Yuan does not teach wherein the ternary material has a tap density of 2.0-2.8 g/cm3 and the phase-transition material has a tap density of 0.8-1.5 g/cm3.
Modified Yuan does not teach wherein the ternary material has a tap density of 2.0-2.8 g/cm3 and the phase-transition material has a tap density of 0.8-1.5 g/cm3.
Theivanayagam, in the same field of endeavor, NCM and LFMP materials, teaches wherein the ternary material has a tap density of 2.0-2.8 g/cm3 and the phase-transition material has a tap density of 0.8-1.5 g/cm3. (Theivanayagam, Table 1, LiNMC – 2.2 g/cc and LMFP – ranges from 0.7 to 1.1 g/cc.)
It would have been obvious to a person of ordinary skill in the art, before the effective filing date of the claimed invention, to have Yuan’s cathode materials to have a specific tap density, as taught by Theivanayagam, in order to achieve suitable densities on a metal foil when making the cathode, as taught by Theivanayagam (para. 0033).
Regarding claim 38, modified Yuan teaches the battery according to claim 34.
Modified Yuan does not teach wherein the ternary material has a tap density of 2.0-2.8 g/cm3 and the phase-transition material has a tap density of 0.8-1.5 g/cm3.
Theivanayagam, in the same field of endeavor, NCM and LFMP materials, teaches wherein the ternary material has a tap density of 2.0-2.8 g/cm3 and the phase-transition material has a tap density of 0.8-1.5 g/cm3. (Theivanayagam, Table 1, LiNMC – 2.2 g/cc and LMFP – ranges from 0.7 to 1.1 g/cc.)
It would have been obvious to a person of ordinary skill in the art, before the effective filing date of the claimed invention, to have Yuan’s cathode materials to have a specific tap density, as taught by Theivanayagam, in order to achieve suitable densities on a metal foil when making the cathode, as taught by Theivanayagam (para. 0033).
Conclusion
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/V.G./Examiner, Art Unit 1721
/ALLISON BOURKE/Supervisory Patent Examiner, Art Unit 1721