Prosecution Insights
Last updated: October 26, 2026
Application No. 18/215,906

ELECTRODE ASSEMBLY AND ELECTROCHEMICAL APPARATUS

Final Rejection §103§112
Filed
Jun 29, 2023
Priority
Dec 30, 2020 — continuation of PCTCN2020141276
Examiner
BUCHANAN, JACOB
Art Unit
1725
Tech Center
1700 — Chemical & Materials Engineering
Assignee
Ningde Amperex Technology Limited
OA Round
2 (Final)
56%
Grant Probability
Moderate
3-4
OA Rounds
2m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 56% of resolved cases
56%
Career Allowance Rate
342 granted / 610 resolved
-8.9% vs TC avg
Strong +45% interview lift
Without
With
+44.7%
Interview Lift
resolved cases with interview
Typical timeline
3y 6m
Avg Prosecution
32 currently pending
Career history
660
Total Applications
across all art units

Statute-Specific Performance

§101
2.3%
-37.7% vs TC avg
§103
56.5%
+16.5% vs TC avg
§102
13.8%
-26.2% vs TC avg
§112
20.9%
-19.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 610 resolved cases

Office Action

§103 §112
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 . This office action addresses pending claims 1-19. Claim 1 was amended, claims 15-19 were added, and the specification was amended in the response filed 6/29/2026. Specification The specification was amended on 6/29/2026, and the amendment addresses and corrects the specification objection. As such, the objection to the specification was been withdrawn. Information Disclosure Statement The information disclosure statement (IDS) submitted on 6/30/2026 was filed after the mailing date of the non-final office action on 4/1/2026. The submission is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered by the examiner. 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 17-19 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. Claim 17 recites the limitation "the first insulator has a length of L4" in line 2. There is insufficient antecedent basis for this limitation in the claim as there is no previous recitation of a first insulator. As it is unclear as to what is being referred and required of the claim, the claim and its dependents have not been treated on the merits. Claims 18-19 are rejected for being dependent thereon. Claim Rejections - 35 USC § 103 The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action. Claim(s) 1-5 and 13 is/are rejected under 35 U.S.C. 103 as being unpatentable over Fujikawa et al. (US 2007/0172736) in view of Kobayashi et al. (JP 2010/055906, see machine translation). Regarding claim 1, Fujikawa discloses a battery comprising an electrode group comprising a positive electrode 10,10’ and a negative electrode 20,20’ ([0007], [0062], [0068], Fig 6). The positive electrode 10 includes a positive electrode current collector 12 and positive electrode active material layers 13 ([0064]). The negative electrode 20 includes a negative electrode current collector 22 and a negative electrode active material 23 ([0066]). A separator is disposed between the positive electrode and negative electrode ([0021], [0068]). A positive electrode current collecting lead 14 [tab] is electrically connected to the positive current collector 12 ([0065], [0096], Fig 6). The positive electrode active material 13 is provided with a center exposed portion 12a [first groove], and one end of the positive electrode current collecting lead 14 [tab] is disposed in the exposed portion 12a [first groove] and is electrically connected to the positive electrode current collector 12 ([0065], Fig 6). The negative electrode active material 23 is provided with a center exposed portion 22a [second groove] ([0066], [0096], Fig 6), wherein the center exposed portion 22a [second groove] extends along a thickness direction of the electrode assembly to the negative electrode current collector 22 ([0096], Fig 6). A first heat resistant layer 30 [first protective adhesive] is disposed inside the center exposed portion 22a [second groove] ([0089]-[0090], [0096], Fig 6). The first heat resistant layer 30 can be a tape ([0031]) or includes a binder to make a paste or slurry ([0041], [0049]), and therefore it is considered the first heat resistant layer 30 is adhesive; in addition, the heat resistant layer can prevent short circuits and provides excellent safety ([0012]), and is therefore considered protective, and therefore is a protective adhesive layer. While Fujikawa teaches that the heat resistant layer can be formed as a paste, filler, or tape ([0030]-[0031], [0067]), Fujikawa does not explicitly disclose wherein the first protective adhesive layer is directly on the negative electrode current collector. Kobayashi discloses a secondary battery that suppresses a short-circuit using an insulating tape (abstract). The insulating tape 25a with an adhesive 26 is disposed to cover an electrode tab 11a disposed in an exposed portion 11d of the active material 11b, where the insulating tape 25a with adhesive 26 directly contacts the underlying electrode core 11c [current collector] ([0034]-[0035], see Fig 2). Kobayashi further teaches that the negative electrode with tape can be configured in the same way as the positive electrode ([0015]). Kobayashi teaches that the direct contacting the insulating tape and adhesive to the current collector can suppress short circuits from burrs that are generated when cutting the current collector tab ([0014]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the teaching of the insulating tape with adhesive directly contacting the current collector as taught by Kobayashi with the heat resistant layer of the negative electrode of Fujikawa for the purpose of suppressing short circuits and suppressing short circuits from the collector tab. Regarding claim 2, modified Fujikawa discloses all of the claim limitations as set forth above. As seen in Figure 6, the thickness of the first heat resistant layer 30 (first protective adhesive) is less than or equal to a depth of the second groove [exposed portion 22a]. Regarding claim 3, modified Fujikawa discloses all of the claim limitations as set forth above. As seen in Figure 6, the positive electrode 10 comprises a first end and a second end disposed opposite to each other, and in a direction from the first end to the second end, a width of the positive electrode tab 14 is less than width of the second groove [exposed portion 22a of negative electrode]. Regarding claim 4, modified Fujikawa discloses all of the claim limitations as set forth above. As seen in Figure 6, the first heat resistant layer 30 (first protective adhesive) has peripheries that are in contact with the negative electrode active material. Regarding claim 5, modified Fujikawa discloses all of the claim limitations as set forth above. Fujikawa teaches the positive electrode and negative electrode are spirally wound with a separator interposed therebetween ([0021], [0068]). Regarding claim 13, modified Fujikawa discloses all of the claim limitations as set forth above. Fujikawa teaches a battery having a cylindrical battery case [packaging case] with the electrode group [electrode assembly] according to claim 1, wherein the electrode group [electrode assembly] is accommodated in the battery case [packaging case] ([0068]-[0069]). Claim(s) 6-12 and 14-16 is/are rejected under 35 U.S.C. 103 as being unpatentable over Fujikawa et al. (US 2007/0172736) in view of Kobayashi et al. (JP 2010/055906, see machine translation), as applied to claim 1 above, and further in view of Qu et al. (CN 110729447, see machine translation). Regarding claims 6-7, modified Fujikawa discloses all of the claim limitations as set forth above. However, Fujikawa does not explicitly disclose (claim 6) wherein the positive electrode plate is provided with a first insulator, and the first insulator covers the first groove; or (claim 7) wherein the first insulator covers a part of the positive electrode active substance layer. Qu discloses a battery comprising an anode plate [negative electrode], a cathode plate [positive electrode], and a separation membrane disposed therebetween (page 4 of translation). The anode plate 6 and cathode plate 7 each include a pole piece with [active material] coated areas 1 and a hollow foil areas 2 [grooves], wherein the hollow foil areas have an electrode tab 8,9 which are covered by a first insulating glue 3 and a second insulating glue 5 (pages 6-7 and 9-10, Figs 3-4). Qu teaches the first and second insulating glues can avoid generating lithium precipitation and thereby reduces the potential safety hazard problem (pages 3 and 5). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the first 3 or second 5 insulating glue over the cathode [positive electrode] tab as taught by Qu with the positive electrode current collecting lead [tab] of Fujikawa for the purpose of avoiding generating lithium precipitation and thereby reducing the potential safety hazard problem. Regarding claims 8-9, modified Fujikawa discloses all of the claim limitations as set forth above. However, Fujikawa does not explicitly disclose (claim 8) wherein the negative electrode plate is provided with a second insulator, and the second insulator covers the second groove; or (claim 9) wherein the second insulator covers a part of the negative electrode active substance layer. Qu discloses a battery comprising an anode plate [negative electrode], a cathode plate [positive electrode], and a separation membrane disposed therebetween (page 4 of translation). The anode plate 6 and cathode plate 7 each include a pole piece with [active material] coated areas 1 and a hollow foil areas 2 [grooves], wherein the hollow foil areas have an electrode tab 8,9 which are covered by a first insulating glue 3 and a second insulating glue 5 (pages 6-7 and 9-10, Figs 3-4). Qu teaches the first and second insulating glues can avoid generating lithium precipitation and thereby reduces the potential safety hazard problem (pages 3 and 5). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the second 5 insulating glue over the first 3 insulating glue and the anode [negative electrode] hollow foil area [second groove] as taught by Qu with the first heat resistant layer and negative electrode current collecting lead [tab] of Fujikawa for the purpose of avoiding generating lithium precipitation and thereby reducing the potential safety hazard problem. Regarding claim 10, modified Fujikawa discloses all of the claim limitations as set forth above. However, modified Fujikawa does not explicitly disclose wherein along the thickness direction of the electrode assembly, a projection area of the first insulator [of the positive electrode] is greater than a projection area of the second insulator [of the second groove of the negative electrode]. However, Qu teaches that the length of the first 3 and second 5 insulating adhesives can be greater or less than the other (page 8), and that the length of the first insulating adhesive 3 affects the lithium precipitation generation and thereby affects the potential safety (page 8). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have a first 3 insulating adhesive [first insulator] on the positive electrode be longer or greater in length than a first 3 or second 5 insulating adhesive [second insulator] of the negative electrode for the purpose of avoiding generating lithium precipitation problems on the positive electrode. Regarding claims 11-12, modified Fujikawa discloses all of the claim limitations as set forth above. However, Fujikawa does not explicitly disclose (claim 11) wherein a second protective adhesive is provided inside the first groove; or (claim 12) wherein a periphery of the second protective adhesive is in contact with the positive electrode active substance layer. Qu discloses a battery comprising an anode plate [negative electrode], a cathode plate [positive electrode], and a separation membrane disposed therebetween (page 4 of translation). The anode plate 6 and cathode plate 7 each include a pole piece with [active material] coated areas 1 and a hollow foil areas 2 [grooves], wherein the hollow foil areas have an electrode tab 8,9 which are covered by a first insulating glue 3 and a second insulating glue 5 (pages 6-7 and 9-10, Figs 3-4). As seen in Figure 4, the first 3 and second 5 insulating glue 5 are provided within the area of the hollow foil areas 2 and contact the positive electrode active material. Qu teaches the first and second insulating glues can avoid generating lithium precipitation and thereby reduces the potential safety hazard problem (pages 3 and 5). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the first 3 or second 5 insulating glue over the cathode [positive electrode] tab as taught by Qu with the positive electrode current collecting lead [tab] of Fujikawa for the purpose of avoiding generating lithium precipitation and thereby reducing the potential safety hazard problem. Regarding claim 14, modified Fujikawa discloses all of the claim limitations as set forth above. Modified Fujikawa teaches a battery having a cylindrical battery case [packaging case] with the electrode group [electrode assembly] according to claim 7, wherein the electrode group [electrode assembly] is accommodated in the battery case [packaging case] ([0068]-[0069]). Regarding claims 15-16, modified Fujikawa discloses all of the claim limitations as set forth above. However, Fujikawa does not explicitly disclose (claim 15) wherein the positive electrode plate is provided with a first insulator, a width of the first insulator is W4, a width of the second groove is W2, and W2≤W4; or (claim 16) wherein the width of the first protective adhesive is W1, W1≤W4. Qu discloses a battery comprising an anode plate [negative electrode], a cathode plate [positive electrode], and a separation membrane disposed therebetween (page 4 of translation). The anode plate 6 and cathode plate 7 each include a pole piece with [active material] coated areas 1 and a hollow foil areas 2 [grooves], wherein the hollow foil areas have an electrode tab 8,9 which are covered by a first insulating glue 3 and a second insulating glue 5 (pages 6-7 and 9-10, Figs 3-4). Qu teaches the first and second insulating glues can avoid generating lithium precipitation and thereby reduces the potential safety hazard problem (pages 3 and 5). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the first 3 or second 5 insulating glue over the cathode [positive electrode] tab as taught by Qu with the positive electrode current collecting lead [tab] of Fujikawa for the purpose of avoiding generating lithium precipitation and thereby reducing the potential safety hazard problem. With regards to the width relationship limitations, Qu teaches that the first 3 and second 5 insulating glue extends beyond the first and second hollow foil areas 2 [grooves] (see Figs 3-4). Therefore, the width of the first insulator W4 is larger than the width of the groove W2, and therefore satisfies W2≤W4. Further, as Fujikawa teaches first heat resistant layer 30 as within the center exposed portion 22a ({0089]-[0090], [0096], Fig 6), the width of the first protective adhesive W1 is smaller than the width of the first insulator W4, therefore satisfies W1≤W4, because the insulator extends beyond the groove/hollow foil areas. Response to Arguments Applicant’s arguments with respect to claim(s) 1 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument. Conclusion Applicant's amendment necessitated the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). 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. Any inquiry concerning this communication or earlier communications from the examiner should be directed to JACOB BUCHANAN whose telephone number is (571)270-1186. The examiner can normally be reached M-F 8:00-5:00 PM (ET). Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Nicole Buie-Hatcher can be reached at 571-270-3879. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /JACOB BUCHANAN/ Examiner, Art Unit 1725 /NICOLE M. BUIE-HATCHER/ Supervisory Patent Examiner, Art Unit 1725
Read full office action

Prosecution Timeline

Jun 29, 2023
Application Filed
Apr 01, 2026
Non-Final Rejection mailed — §103, §112
Jun 29, 2026
Response Filed
Oct 01, 2026
Final Rejection mailed — §103, §112 (current)

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Prosecution Projections

3-4
Expected OA Rounds
56%
Grant Probability
99%
With Interview (+44.7%)
3y 6m (~2m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 610 resolved cases by this examiner. Grant probability derived from career allowance rate.

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