Prosecution Insights
Last updated: May 29, 2026
Application No. 18/215,906

ELECTRODE ASSEMBLY AND ELECTROCHEMICAL APPARATUS

Non-Final OA §102§103
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
1 (Non-Final)
56%
Grant Probability
Moderate
1-2
OA Rounds
7m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 56% of resolved cases
56%
Career Allowance Rate
332 granted / 593 resolved
-9.0% vs TC avg
Strong +44% interview lift
Without
With
+44.0%
Interview Lift
resolved cases with interview
Typical timeline
3y 6m
Avg Prosecution
20 currently pending
Career history
634
Total Applications
across all art units

Statute-Specific Performance

§101
1.7%
-38.3% vs TC avg
§103
85.6%
+45.6% vs TC avg
§102
1.4%
-38.6% vs TC avg
§112
0.9%
-39.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 593 resolved cases

Office Action

§102 §103
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 . Specification The disclosure is objected to because of the following informalities: paragraph [0056] should be amended to “a projection of the first groove 13 overlaps a projection of the third grove”. Appropriate correction is required. Claim Rejections - 35 USC § 102 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 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. Claim(s) 1-5 and 13 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Fujikawa et al. (US 2007/0172736). 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. Regarding claim 2, 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, 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, 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, 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, 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 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. 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. 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. Claim(s) 6-12 and 14 is/are rejected under 35 U.S.C. 103 as being unpatentable over Fujikawa et al. (US 2007/0172736), as applied to claim 1 above, and further in view of Qu et al. (CN 110729447, see machine translation). Regarding claims 6-7, 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, 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]). Conclusion 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 — §102, §103 (current)

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

1-2
Expected OA Rounds
56%
Grant Probability
99%
With Interview (+44.0%)
3y 6m (~7m remaining)
Median Time to Grant
Low
PTA Risk
Based on 593 resolved cases by this examiner. Grant probability derived from career allowance rate.

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