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 .
Priority
Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55.
Claim Objections
Claim 3 objected to because of the following informalities: Applicant recites in line 3 that “…over the entire surface of wafer…”. Appropriate correction is required, such as for example amended this line to read “…over the entire surface of the wafer…” .
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, 3, 5-8, and 11-12 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.
Regarding claim 1, applicant uses the term “wafer-like” to describe the heterofibrous self-standing monolithic anode body. This term has been found to be indefinite, as it is not clear what applicant means by “wafer-like” and to what degree the anode body has properties similar to a wafer. For the purposes of examination, a layer composed of heterofibrous material shall be considered to be wafer-like.
Claim 3 recites the limitation “wafer”, in line 3. There is insufficient antecedent basis for this limitation in the claim. For the purposes of examination, examiner will consider this to be referencing the “heterofibrous wafer-like self-standing monolithic anode body”, as is claimed in claim 1.
Claim 5 recites a stoichiometric “access” of lithium. It is unclear what applicant intends this word to mean, and the word “access” does not appear in the instant specification in the context of lithium located in the negative electrode discrete interconnection points. For the purposes of examination, it is interpreted that this limitation shall be met if lithium sufficient to form the Li-group-IV semiconductor alloy is present in the negative electrode. Claim 5 is also rejected for including the term “the discrete points of interconnection”, which there is no antecedent basis for. For the purpose of examination, this shall be interpreted as being identical to the claimed discrete interconnection sites of claim 1.
Claim 6 recites the limitation "heterofibrous silicon wafer" in line 3. There is insufficient antecedent basis for this limitation in the claim. For the purposes of examination, examiner will only consider a “heterofibrous wafer-like self-standing monolithic anode body”, as is claimed in claim 1
Claim 7 recites the limitation "the discrete points of interconnection" in line 3. There is insufficient antecedent basis for this limitation in the claim. For the purpose of examination, this shall be interpreted as being identical to the claimed discrete interconnection sites of claim 1.
Claim 8 recites the limitation "the discrete points (or sites) of interconnection" in line 3. There is insufficient antecedent basis for term “the discrete points” in the claim (but not for “the discrete sites of interconnection”). For the purpose of examination, this shall be interpreted as being identical to the claimed discrete interconnection sites of claim 1.
Claim 11 recites the term “namely” in line 4, in the phrase “namely interconnected at multiple discrete interconnection sites”. By using the word “namely”, the claim is rendered indefinite because it is unclear if other methods besides the subsequently mentioned interconnection at discrete interconnection sites fall within the scope of the claims, or if the claimed spot fusing is limited solely to the claimed interconnection at discrete interconnection sites. For the purposes of examination, interconnection at the claimed discrete interconnection sites are the only forms of spot fusing that will be considered.
Regarding claim 12, the phrase "such as" in line 4 renders the claim indefinite because it is unclear whether the limitations following the phrase are part of the claimed invention. See MPEP § 2173.05(d). For the purposes of examination, it shall be interpreted that any SEI-layer forming dopant meets the claimed limitations. Claim 12 also recites the term “namely” in line 3, in the phrase “namely Li21X5”. By using the word “namely”, the claim is rendered indefinite because it is unclear if other lithiation-states besides the subsequently mentioned Li21X5 are considered appropriately over-lithiated and fall within the scope of the claims, or if the claimed state is limited solely Li21X5. For the purposes of examination, it shall be interpreted that Li21X5 and nearby lithiation states shall qualify as over-lithiated states.
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.
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.
Claim(s) 1-2 and 4-12 is/are rejected under 35 U.S.C. 103 as being unpatentable over Cui (US 20100330423 A1).
Regarding claim 1, Cui discloses a negative electrode [0072] for use in an alkali-ion rechargeable battery (claim 20 discloses a lithium-ion battery, title discloses a rechargeable battery), comprising;
an electrochemically active material of the anode,
wherein the active material is selected from the group IV semiconductors (claim 17 discloses, for example, silicon),
wherein the active material is provided as a heterofibrous wafer-like self-standing monolithic body ([0029] discloses an electrode layer that has interconnected hollow nanostructures, (which include fibers or hollow tubes, thus satisfying the limitation of fibrous. [0027] discloses that the nanotubes can have variable lengths/sizes, such as having lengths of up to 50 micrometers or “sometimes even longer”, with an inner diameter of up to 5 micrometers (5 micrometers or less), thus satisfying the limitation that the fibers are “heterofibrous” (pg. 7 of the instant specification defines heterofibrous as referring to possible variation in length and/or diameter of the fiber)), and also a template containing multiple template structures, the template including multiple randomly oriented fibers. Fig. 2b depicts the fibers/template structures conglomerated into a wafer-like self-standing monolithic body, see also fig. 3b. [0027] additionally discloses that the hollow nanostructures may be formed from silicon),
wherein the anode body comprises at least 2 layers of aligned and/or stacked and/or interlaced fibers ([0030] discloses multiple coating layers comprising individual fibers, and discloses that the coating layers are deposited such that at least some of the layers overlap and form joint structures),
wherein the at least two layers are arranged parallel on top of each other (see [0030], see also fig. 3A and 3B, which depict the layer forming process, fig. 3B specifically which depicts joint structure 308 which connects layers 306a and 306b together, layers 306a and 306b being arranged parallel on top of each other),
wherein the layers are interconnected at multiple discrete interconnection sites, via metallurgical bonds ([0063] discloses that the joint structures provide metallurgical bonding between the adjacent nanostructures),
wherein the metallurgical bonds comprise or consist of Li-group-IV-semiconductor alloy and/or lithium or a mixture of the two ([0046] discloses that the joint structures are formed naturally when two coating layers overlap, providing both mechanical support and electronic pathways between the lithiation sites and substrate, while [0063] discloses that the joint structures provide metallurgical bonding. While the composition of the joint structures is not explicitly discussed, a person of ordinary skill in the art before the effective filing date of the claimed invention would have understood that in a lithium-ion battery, the type of metallurgical bonds which would naturally occur between two silicon fibers would comprise or consist of Li-silicon semiconductor alloy and/or lithium or a mixture of the two, satisfying the claimed limitation),
wherein the discrete interconnection sites are spread across the anode body, hence discretely distributed over the area of the layers ([0044] discloses the formation of multiple joint structures, and [0047] discloses that it is desirable to make use of additional types of structures in order to increase the number of joint structures. While Cui does not explicitly disclose that the joint structures are spread across the anode body, Cui does not teach localizing the joint structures to one area of the anode, and it would be obvious to a person of ordinary skill in the art before the effective filing date of the claimed invention that the disclosed benefits of increased mechanical support and increased electronic pathways would be beneficial in all areas of the anode. Therefore, a POSITA would have found it obvious to construct the anode such that the joint structures were distributed across the template structures, rather than localized),
and wherein the metallurgical bonds extend in an out-of-plane direction with respect to the individual layers and are spacers between the layers (fig. 3b depicts an embodiment wherein the joint structure 308 connects two adjacent layers 306a and 306b. As can be seen in the figure, the joint structures/metallurgical bonds extend in an out-of-plane direction and are spacers between the layers).
Regarding claim 2, Cui discloses the negative electrode according to claim 1, characterized in that the anode body is unevenly lithiated with non-lithiated and/or deficiently lithiated and/or stoichiometrically lithiated areas (pg. 9, lines 9-10 of the instant application discloses that unevenly distributed lithiation can also be referred to as anisotropic lithiation, and that both comprise non-lithiated, deficiently lithiated, and stoichiometrically lithiated areas. Pg. 5, paragraph 4 of the instant specification discloses that due to the properties of silicon, and specifically the preference of lithium atoms to diffuse in the <110> direction with regard to Si surface orientation, silicon exhibits a non-uniform anisotropic discrepancy in diffusion at a particle level. This, coupled with the fact that Cui discloses negative electrode of claim 1, would lead a person of ordinary skill in the art before the effective filing date of the claimed invention to conclude that a prima facie case of obviousness exists that the anode body of Cui would exhibit the claimed unevenness in lithiation. Where the claimed and prior art products are identical or substantially identical in structure or composition, or are produced by identical or substantially identical processes, a prima facie case of either anticipation or obviousness has been established. In re Best, 562 F.2d 1252, 1255, 195 USPQ 430, 433 (CCPA 1977). "When the PTO shows a sound basis for believing that the products of the applicant and the prior art are the same, the applicant has the burden of showing that they are not." See MPEP § 2112- 2112.02.).
Regarding claim 4, Cui discloses the negative electrode according to claim 1, characterized in that the group IV semiconductor is silicon or comprises silicon (see claim 1 rejection above).
Regarding claim 5, as best understood based on examiner’s interpretation of claim language (see 35 USC 112 rejection of claim 5 above), Cui discloses the negative electrode according to claim 1, characterized in that at the discrete points of interconnection of the layers, a stoichiometric access of lithium is located with respect to the amount of lithium needed to form a Li-group-IV semiconductor ally within the metallurgical bond (as discussed in the claim 1 rejection above, Cui discloses in ([0046] that the joint structures are formed naturally when two coating layers overlap, providing both mechanical support and electronic pathways between the lithiation sites and substrate, while [0063] discloses that the joint structures provide metallurgical bonding. While the composition of the joint structures is not explicitly discussed, a person of ordinary skill in the art before the effective filing date of the claimed invention would have understood that in a lithium-ion battery, the type of metallurgical bonds which would naturally occur between two silicon fibers would comprise or consist of Li-silicon semiconductor alloy. The fact that the metallurgical bonds are formed necessitates an appropriate stoichiometric access of lithium needed for such bonds to occur located at the regions where the discrete interconnection points are located).
Regarding claim 6, Cui discloses the negative electrode according to claim 1, characterized in that the length of the fibers is between 120nm and 15 µm (claim 12 of Cui, see also claim 1 rejection above) and wherein the thickness of the heterofibrous wafer-like self-standing monolithic anode body is between 10 µm and 800 µm thick (see claim 4 of Cui).
Regarding claim 7, Cui discloses the negative electrode according to claim 1, characterized in that the individual Li-Group-IV-Semiconductor-alloy bonds, thus the discrete points of interconnection, are provided as placeholders between the layers such that the layers experience at least partially a void between them at least in a discharged state (see [0046], fig. 3B, and claim 1 rejection above, which shows that the two layers are connected via the joint structures/discrete interconnection sites, see also [0046], which discloses that the two template structures are spaced apart from each other less than two coating thicknesses in order to facilitate the creation of the joint structures. As a result, it can be seen that there is a spacing distance between the two fibrous silicon layers, with the discrete points of interconnection provided as a placeholder between said layers. As a result, it would be obvious to a person of ordinary skill in the art before the effective filing date of the claimed invention that in a discharged state, there would be at least partially a void between the two layers, as the active material in the joint structures reverts the swelling that occurs during full lithiation and the space between the layers returns), wherein the voids are at least partially filled with the active material in a charged state of the anode (during lithiation, swelling occurs in active material of the joint structures, which would result in the voids that are present during a discharged state being at least partially filled with active material during a charged state of the anode).
Regarding claim 8, Cui discloses the negative electrode according to claim 1, characterized in that the discrete interconnection points or sites are in the shape of dots and/or lines and/or pillars and/or patches (Cui does not use the word “patches” to describe the joint structures, however, as can be seen in fig. 3b, the joint structures take the form of portion between the two silicon fiber layers which have grown and melded into each other which could reasonably be considered a “patch” shape.
Regarding claim 9, Cui discloses the negative electrode according to claim 1, characterized in that the layers are spaced apart from each other ([0046] discloses that the two template structures are spaced apart from each other less than two coating thicknesses in order to facilitate the creation of the joint structures).
Regarding claim 10, Cui discloses the negative electrode according to claim 1, characterized in that the discrete interconnection sites are at least partially located between the layers as spacers (see [0046], fig. 3B, and claim 1 rejection above, which shows that the two layers are connected via the joint structures/discrete interconnection sites, see also [0046], which discloses that the two template structures are spaced apart from each other less than two coating thicknesses in order to facilitate the creation of the joint structures, and as a result the joint structures can be considered to function as spacers).
Regarding claim 11, Cui discloses a method of manufacture of the anode body according to claim 1 [0005], wherein at least one Group IV semiconductor material is provided as individual layers of aligned and/or stacked and/or interlaced fibers, ([0030] discloses multiple coating layers comprising individual fibers, and discloses that the coating layers are deposited such that at least some of the layers overlap and form joint structures, [0027] additionally discloses that the hollow nanostructures may be formed from silicon, a group IV semiconductor material), wherein the layers are arranged parallel to each other and spot-fused together, namely interconnected at multiple discrete interconnection sites ([0030], see also fig. 3A and 3B, which depict the layer forming process, fig. 3B specifically which depicts joint structure 308 which connects layers 306a and 306b together, layers 306a and 306b being arranged parallel on top of each other. The joint structure in this case can be considered the discrete interconnection sites, and [0044] discloses multiple joint structures), via metallurgical bonds ([0063] discloses that the joint structures provide metallurgical bonding between the adjacent nanostructures) that comprise or consist of Li-group-IV-semiconductor-alloy and/or lithium or a mixture of the two ([0046] discloses that the joint structures are formed naturally when two coating layers overlap, providing both mechanical support and electronic pathways between the lithiation sites and substrate, while [0063] discloses that the joint structures provide metallurgical bonding. While the composition of the joint structures is not explicitly discussed, a person of ordinary skill in the art before the effective filing date of the claimed invention would have understood that in a lithium-ion battery, the type of metallurgical bonds which would naturally occur between two silicon fibers would comprise or consist of Li-silicon semiconductor alloy and/or lithium or a mixture of the two, satisfying the claimed limitation, see also claim 1 rejection above), and are formed by Li fusing (Cui does not explicitly use the term “Li-fusing”, however, the metallurgical bonds which form to fuse the two layers together at the joint structure are created by the introduction of lithium to the silicon fiber anode, and results in metallurgical bonds that comprise lithium and silicon, and therefore can reasonably be considered Li-fusing), wherein the discrete interconnection sites are introduced across the anode body, hence discretely distributed over the area of the layers ([0044] discloses the formation of multiple joint structures, and [0047] discloses that it is desirable to make use of additional types of structures in order to increase the number of joint structures. While Cui does not explicitly disclose that the joint structures are spread across the anode body, Cui does not teach localizing the joint structures to one area of the anode, and it would be obvious to a person of ordinary skill in the art before the effective filing date of the claimed invention that the disclosed benefits of increased mechanical support and increased electronic pathways would be beneficial in all areas of the anode. Therefore, a POSITA would have found it obvious to construct the anode such that the joint structures were distributed across the template structures, rather than localized),
and wherein the metallurgical bonds are provided in such a way that they extend in an out-of-plane direction with respect to the individual layers thus form spacers between the layers (fig. 3b depicts an embodiment wherein the joint structure 308 connects two adjacent layers 306a and 306b. As can be seen in the figure, the joint structures/metallurgical bonds extend in an out-of-plane direction and function as spacers between the layers).
Regarding claim 12, as best understood based on the 35 USC 112 issues laid out above, Cui discloses the method of manufacture of the anode body according to claim 10, characterized in that the anode body is lithiated to an over-lithiated state, namely Li21X5 ([0002] discloses that during lithiation, silicon swells as much as 400% during lithiation to its theoretical capacity of Li4.4Si, which is a higher lithiation state than Li-21X5-, and thus can be considered “over-lithiated” and [0003]-[0004] discloses that the nanostructures of Cui are designed so as to have a hollow space to accommodate such swelling of Si during battery cycling. From this, a person of ordinary skill in the art before the effective filing date of the claimed invention would have found it obvious that Cui envisions an anode which is fully lithiated or close to fully lithiated, and thus would have the anode body provided in a highly lithiated form that can reasonably be considered the claimed “over-lithiated” state when in the maximum lithiated state), wherein X is at least one of the group IV semiconductor elements (X is Si, see claim 1 rejection above), and treated with one or several SEI-layer forming dopants, such as a SEI-layer forming electrolyte, ([0074] discloses a liquid electrolyte comprising one or more solvents and one or more salts, which can partially decompose on the electrode surface to form a SEI layer), wherein an artificial SEI-layer is formed on an anode in its maximum volumetric expansion state ([0074] discloses an embodiment wherein a SEI layer is formed on the anode during the first charge cycle (maximum volumetric expansion state).
Claim(s) 3 is/are rejected under 35 U.S.C. 103 as being unpatentable over Cui (US 20100330423 A1) in view of Yushin (US 20120251886 A1).
Regarding claim 3, Cui discloses the negative electrode according to claim 1, characterized in that the anode body has an SEI layer over the entire surface of the heterofibrous wafer-like self-standing monolithic anode body ([0009] discloses that a coating is formed over the interconnected hollow nanostructures, the coating being configured to improve SEI characteristics, with [0074] disclosing that during the first charge cycle, the solvent in the electrolyte can decompose to form a SEI layer on the negative electrode surface), the volume/extension of which is adapted to the volume of the anode in the maximum lithiated state and/or which is provided in a highly lithiated state of the anode, that is higher than Li15S4 ([0002] discloses that during lithiation, silicon swells as much as 400% during lithiation to its theoretical capacity of Li4.4Si, which is a higher lithiation state than Li15S4, and [0003]-[0004] discloses that the nanostructures of Cui are designed so as to have a hollow space to accommodate such swelling of Si during battery cycling. From this, a person of ordinary skill in the art before the effective filing date of the claimed invention would have found it obvious that Cui envisions an anode which is fully lithiated or close to fully lithiated, and thus would have the active silicon, including in the SEI layer, provided in a highly lithiated form that is higher than Li-15S4 when in the maximum lithiated state.
Cui does not explicitly disclose that the lithiation and SEI formation occurs either in-situ or ex-situ, however lithiation and SEI formation via either in-situ processes or ex-situ processes were known in the art before the effective filing date of the claimed invention and would have been obvious to a person of ordinary skill in the art before the effective filing date of the claimed invention to routinely select as alternatives to each other.
For example, Yushin discloses a silicon-comprising anode [0057], and discloses that initial lithium insertion can be performed in a variety of ways, including both in-situ and a variety of ex-situ methods, including gas-phase reactions, or via spreading of lithium foil/powder on the anode surface [0110]. [0110] also discloses that if done in the presence of a solvent, an SEI layer may be simultaneously pre-formed on the anode surface. As a result, it would have been obvious for a person of ordinary skill in the art before the effective filing date of the claimed invention to select an ex-situ method of lithium insertion and SEI formation, and would be nothing more than the routine selection of one known method in the art for another.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to ZACKARY R COCHENOUR whose telephone number is (703)756-1480. The examiner can normally be reached 1-9:00PM ET.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Nicholas Smith can be reached at (571) 272-8760. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/ZACKARY RICHARD COCHENOUR/Examiner, Art Unit 1752
/NICHOLAS A SMITH/Supervisory Primary Examiner, Art Unit 1752