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
Claims 12 and 13 withdrawn from further consideration pursuant to 37 CFR 1.142(b), as being drawn to a nonelected Groups II and III, there being no allowable generic or linking claim. Applicant timely traversed the restriction (election) requirement in the reply filed on 05/27/2026.
Applicant's election with traverse of Group I in the reply filed on 05/27/2026 is acknowledged. The traversal is on the grounds that Group I (i.e. claims 1-11, and 14-18) is directed to a method for preparing a layered cobalt-free positive electrode material and Group II (i.e. claim 12) is directed to a layered cobalt-free positive electrode material made by using the process as disclosed in claim 1.
Applicant’s traversal is based on 37 CFR 1.475(b). However, as the claims are drawn to more than “only one of the following combinations of categories”, the groups are not considered to have unity of invention based on 37 CFR 1.475(c). Additionally, assuming, arguendo, the groups were considered to possess unity of invention, a priori, the groups are not considered to possess unity of invention under 37 CFR 1.475(a) which states that “unity of invention shall be fulfilled only when there is a technical relationship among those inventions involving one or more of the same or corresponding special technical features” upon a posteriori analysis with the prior art.
Therefore, Applicant’s argument is not found persuasive because the groups still lack unity of invention as the common technical feature of, at most, a method for preparing a layered cobalt-free positive electrode material (claim 1), is not a special technical feature in view of Gao et al. (CN 111908519 A , see IDS filed 6/24/25) and Lyu et al. (CN 111244397 A, see IDS filed 6/24/25), as addressed in the rejections below.
The requirement is still deemed proper and is therefore made FINAL.
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.
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.
Claims 1-4, 6-10, and 14-18 are rejected under 35 U.S.C. 103 as being unpatentable over Gao et al. (CN 111908519 A , see IDS filed 6/24/25, English translation provided in office action mailed 04/14/26) in view of Lyu et al. (CN 111244397 A, see IDS filed 6/24/25; see attached English translation for citations).
Regarding claim 1, Gao discloses a method ([54]-[61]) for preparing a layered cobalt-free positive electrode material (i.e. cobalt-free nickel-rich cathode materials, [46]), wherein the method comprises the following steps:
Mixing a lithium salt (i.e. lithium hydroxide, [59]), a nickel source (i.e. nickel sulfate hydrate, [57]), a manganese source (i.e. magnesium sulfate hydrate, [57]), and a solvent (i.e. deionized water, [59]) and then carrying out a wet ball-milling (i.e. add solid and deionized water into ball mill tank, [59]) to obtain a mixed slurry (i.e. suspension with 15% solid content, [59]);
Spray drying the mixed slurry to obtain a precursor (i.e. spraying and granulating through a spray dryer, [59]); and
Carrying out a primary calcination (i.e. sintered in tube furnace at sintering temperature of 750°C, [61]) in an oxygen-containing atmosphere (i.e. continuously fed with oxygen, [61]) to obtain the layered cobalt-free positive electrode material (i.e. LiNi0.95Mg0.05O2, [61]).
Gao further discloses the nickel rich precursor, NixM1-x-(OH)2 wherein the metal M can be selected from one or more of Ni, Co, Mn, Mg, Al, Zr, Ti, W, Mo, Fe, Nb, Ir, Sn, etc. ([10];[29]).
Furthermore, Gao discloses that the nickel-rich cathode material prepared through this method is high-capacity and reduces the preparation cost of the layered cathode material ([8]).
Therefore, while Gao does not explicitly disclose step (1) including a dopant, or the formula for the layered cobalt-free positive electrode material is LiaNibMncMdO2 wherein M is a doping element and 0<d≤0.1 is satisfied, it would have to one of ordinary skill in the art to have selected an additional metal besides Ni or Co, e.g. Zr, W, or Nb, and in an amount within the encompassed portion of the claimed range, with reasonable expectation that such a selection would provide a successful cobalt-free nickel-rich precursor and active material which is high capacity and can be attained with reduced costs and shorter preparation time ([35];[46])
Additionally, Lyu teaches a cathode active material ([11]) and method of making ([68]) including a dopant where the doping element M’ is mixed in with the lithium source and high nickel ternary as an initial step ([69]).
Furthermore, Lyu teaches that cation doping can stabilize the crystal structure, expand the ion channel, and improve the ion conductivity of the positive electrode material, thereby improving the rate performance and cycle stability of the lithium-ion battery ([49]).
Therefore, it would have been further obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to have mixed a dopant with a lithium salt, nickel source, manganese source, and solvent in step (1), to achieve a stable crystal structure, expanded ion channel and improved ion conductivity of the positive electrode material, as taught by Lyu.
Lyu further teaches the dopant element M’ is selected from one or more of Mg, Ti, Zr, Al, Nb, B, F, and Cl ([46]), and the dopant is selected from one or more of MgO, TiO2, ZrO2, Al2O3 B2O3, Nb2O5, Mg(OH)2and Al(OH)3 ([55]).
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 selected ZrO2 as the dopant where the dopant element M is Zr, from the finite list of dopants provided by Lyu, with a reasonable expectation of achieving a successful doped positive electrode material.
Lyu further teaches the molar ratio for the positive active material to M’ is 1:(0.05-0.2) such that 0.05≤d≤0.2, which overlaps with the claimed, 0<d≤0.1.
Therefore, it would have further been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to have selected within the overlapping portion of the range for the amount of dopant (i.e. d) with reasonable expectation of arriving at a successful doped cobalt-free positive electrode active material.
Regarding claim 2-3, modified Gao discloses all limitations as set forth above.
Modified Gao disclose wherein the doping element M is Zr (Lyu, [46];[55]), as rendered obvious above, satisfying claims 2 and 3.
Regarding claim 4, and 14-15, modified Gao discloses all limitations as set forth above.
Modified Gao discloses wherein the dopant is an oxide of M (i.e. ZrO2, Lyu, [55]); the nickel source in step (1) is a nickel salt (i.e. nickel sulfate hydrate, Gao, [57]); the manganese source in step (1) is a manganese salt (i.e. magnesium sulfate, Gao, [57]); and the lithium salt is LiOH (i.e. lithium hydroxide, Gao, [59]).
Thus, modified Gao satisfies claims 4, 14, and 15.
Regarding claim 6, modified Gao discloses all limitations as set forth above.
Modified Gao further discloses the primary calcination (i.e. sintering process) is carried out at 700-850°C for 12-18 hours (Gao, [21]). 700-850°C is wholly within the claimed 700°C to 1100°C and 12-18 hours is wholly within the claimed 6 h to 20 h.
Modified Gao further discloses the sintering process is continuously fed with oxygen (Gao, [52]) but is not explicit about the volume fraction of oxygen in the oxygen containing atmosphere.
Lyu further teaches a similar calcination (i.e. sintering) process to attain a cathode active material ([90]-[91]) in which the oxygen atmosphere is a gas atmosphere with an oxygen concentration of 80-99%, which is within the claimed range of a volume fraction of greater than 20%.
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 selected within the overlapping portion of the range for the volume fraction of oxygen during the primary calcination, with reasonable expectation of achieving a successful cathode active material as this is a known gas composition in the art for calcination, as taught by Lyu.
Regarding claim 7, modified Gao discloses all limitations as set forth above.
Modified Gao does not disclose further performing a coating treatment on the layered cobalt-free electrode material following primary calcination on the precursor.
Lyu further teaches performing a coating treatment on the positive electrode material ([102]) following primary sintering ([96]) and crushing, sieving, washing and drying treatments ([97]).
Furthermore, Lyu teaches mixing the doped cathode material matrix with the coating material ([102]) then performing a secondary calcination (i.e. secondary sintering) in an oxygen atmosphere ([106]).
Lyu further teaches the coating layer coated on the surface of the doped cathode material substrate can effectively reduce the contact between the active material and the electrolyte, prevent the dissolution of the active material, and greatly improve cycle stability and charge-discharge performance under high rate ([103]-[104]).
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 utilized the coating layer and the method of forming the coating layer on the doped cathode material for the benefit of preventing dissolution of the active material and improve cycling, as taught by Lyu.
Lyu further teaches the coating element material is selected form one or more of MgO, Al2O3, Al(OH)3, B2O3, Co(OH)2, Co(OH)-2, Co(NO3)2 and Li3Bi3 ([63]).
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 selected Al2O3 from the finite list of coating materials provided by Lyu, with reasonable expectation of achieving a successful cathode active material.
Regarding claim 8, modified Gao discloses all limitations as set forth above.
Modified Gao further discloses a coating layer (Lyu, [104]) to prevent dissolution of the cathode active material and improve electrode cycle stability and charge-discharge performance (Lyu, [104]).
Lyu further teaches the mass ratio of the cathode active material substrate to the coating material is 1:(0-0.02) or 100:(0-2) which encompasses the claimed range of 100:(0.12-0.4).
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 selected within the overlapping portion of the ranges with reasonable expectation of achieving a successful coating layer for a cathode active material that is capable of preventing dissolution of the active material and improving cycle stability and charge-discharge performance of the battery.
Regarding claims 9 and 16, modified Gao discloses all limitations as set forth above.
Modified Gao further discloses the secondary calcination (i.e. secondary sintering) is carried out at 200-800°C at a heating rate of 1-10 min under an oxygen atmosphere, calcined and kept for 1-24 hours, more preferably, the temperature is at 300-720°C for 2 to 14 hours (Lyu, [109]-[111]). 300-720°C is within the claimed range of 300°C to 900°C, and 2 to 14 hours encompasses the claimed range of 3 h to 10 h of claims 9 and 16.
Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date, to selected within the overlapping portion of the ranges for the claimed temperature and time period of the secondary calcination with reasonable expectation of achieving a successful coating layer and cathode active material.
Regarding claims 10, and 17-18, modified Gao discloses all limitations as set forth above.
Modified Gao further discloses the steps of crushing and sieving are carried out on the layered cobalt-free positive electrode material before the coating treatment (Gao, [27]; Lyu, [97]). Thus, claims 10 and 17-18 are satisfied.
Claim 5 is rejected under 35 U.S.C. 103 as being unpatentable over Gao et al. (CN 111908519 A) and Lyu et al. (CN 111244397 A) as applied to claim 1 above, and in further view of Liu et al. (CN 111342041 A).
Regarding claim 5, modified Gao discloses all limitations as set forth above.
Modified Gao discloses the wet ball-milling in step (1) is carried out 500 rpm for 2 hours ([59]). Furthermore, modified Gao discloses that the ball milling mixing and spray granulation allows the cathode material to have uniform morphology and excellent electrochemical performance, and is also conducive to industrialization.
Liu discloses a similar nickel-rich cathode active material and method of making wherein step(1) including mixing the salts in deionized water through ball milling where the rotation speed is 1500-2500 rpm, which overlaps with the claimed range of 2000 r/min to 3000 r/min, for 0.5 to 2 hours, which encompasses the claimed range of 1 h to 2 h. ([11];[18]). Liu further discloses the ball mill spray method is used to prepare the cathode active material with uniform distribution ([25]).
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 arrived at the claimed range for the ball milling speed and time period, in order to achieve greater uniform distribution, as taught by Liu and desired by Gao.
Claim 11 is rejected under 35 U.S.C. 103 as being unpatentable over Gao et al. (CN 111908519 A) and Lyu et al. (CN 111244397 A) as applied to claim 1 above, and in further view of Liu et al. (CN 111342041 A) and Kim et al. (“Effect of mixing sequences on the electrode characteristics of lithium-ion rechargeable batteries”).
Regarding claim 11, modified Gao discloses all limitations as set forth above.
Modified Gao discloses the method comprises formulating the lithium salt (i.e. lithium hydroxide, Gao, [59]), nickel source (i.e. nickel sulfate hydrate, Gao, [57]), the manganese source, and the dopant MOx (i.e. ZrO2, Lyu, [55]), wherein the molar ratio a:b:c:d of lithium to nickel to manganese to M is 1:0.95:0.05:(0.05-0.1), as rendered obvious in claim 1 above.
Modified Gao further discloses adding the lithium salt, nickel source, manganese source, and dopant MOx to deionized water (Gao, [59]) to form a suspension (Gao, [59]) and that the solid and deionized water are added to the ball mill tank at the same time, but does not disclose adding the materials into the deionized water in sequence to for uniform mixing.
Kim teaches different mixing sequences, such as adding materials all at once compared to in sequence (i.e. method 3 vs. method 4 , pg. 109, Fig.4 ), impacts properties of the resulting slurry such as viscosity, liquid absorption, and dispersion state (Table 2, pg. 111, col. 2, para. 2), and in turn, battery performance (pg. 112, col. 2, para. 2).
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 added the lithium salt, nickel source, manganese source, and dopant into the deionized water in sequence, in order the achieve the desired slurry characteristics such as viscosity, liquid absorption, and dispersion state, as taught by Kim.
Modified Gao further discloses adding the suspension into a ceramic griding machine (i.e. planetary ball mill, Gao, [18]) and the wet ball-milling in step (1) is carried out 500 rpm for 2 hours (Gao, [59]). Furthermore, modified Gao discloses that the ball milling mixing and spray granulation allows the cathode material to have uniform morphology and excellent electrochemical performance, and is also conducive to industrialization (Gao, [36]).
Liu discloses a similar nickel-rich cathode active material and method of making wherein step (1) including mixing the salts in deionized water through ball milling where the rotation speed is 1500-2500 rpm, which encompasses the claimed range of 2000 r/min, for 0.5 to 2 hours, which encompasses the claimed 1 h. ([11];[18]). Liu further discloses the ball mill spray method is used to prepare the cathode active material with uniform distribution ([25]).
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 arrived at the claimed ball milling speed and time period, with reasonable expectation of success in achieving a successful cathode active material, and in order to achieve greater uniform distribution, as taught by Liu and desired by Gao.
Modified Gao further discloses spray drying the slurry to obtain a powder (i.e. spraying and granulating, Gao, [59]); calcinating the powder at a temperature of 700-850°C for 12-18 hour where oxygen is continuously supplied (Gao, [14]). 700-850 °C overlaps with the claimed temperature range of 800°C to 950°C, and 12-18 hours overlaps with the claimed time period range of 8-15 hours.
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 selected within the overlapping portion of the ranges for the calcinating temperature and time period, with reasonable expectation of achieving a successful cathode active material.
Modified Gao further discloses cooling, crushing and sieving following calcination (Gao, [61]) and the layered positive electrode material Lia-NibMncMdO2, wherein 1.0≤a≤1.2, 0≤b≤1.0, 0≤c≤1.0, b+c=1, and 0<d≤0.1, wherein the dopant is an oxide of Zr (i.e. ZrO2, Lyu, [55]) as rendered obvious in claim 1 above.
Modified Gao does not disclose formulating the positive electrode material and a coating agent, mixing and calcinating the mixture to obtain a coated layered positive electrode material.
Lyu further teaches performing a coating treatment on the positive electrode material ([102]) following primary sintering ([96]) and crushing, sieving, washing and drying treatments ([97]).
Furthermore, Lyu teaches mixing the doped cathode material matrix with the coating material ([102]) then performing a secondary calcination (i.e. secondary sintering) in an oxygen atmosphere ([94]). Lyu teaches oxygen atmosphere is a gas atmosphere with an oxygen concentration of 80-99% which reads on the claim limitation “air atmosphere” as interpreted broadly, air is a mixture of gases (see Merriam-Webster definition of “air”).
Lyu further teaches the coating layer coated on the surface of the doped cathode material substrate can effectively reduce the contact between the active material and the electrolyte, prevent the dissolution of the active material, and greatly improve cycle stability and charge-discharge performance under high rate ([103]-[104]).
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 utilized the coating layer and the method of forming the coating layer on the doped cathode material for the benefit of preventing dissolution of the active material and improve cycling, as taught by Lyu.
Lyu further teaches the coating layer is created through a secondary calcination (i.e. secondary sintering) carried out at 200-800°C at a heating rate of 1-10 min in an air atmosphere (i.e. oxygen atmosphere with 80%-99% oxygen concentration, [106];[112]), calcined and kept for 1-24 hours, more preferably, the temperature is at 300-720°C for 2 to 14 hours ([109]-[111]). 300-720°C overlaps the claimed temperature range of 500°C to 800°C, and 2 to 14 h encompasses the claimed time period range of 4 to 7 hours.
Lyu further teaches the coating layer prevents dissolution of the cathode material and improves electrochemical performance of the lithium-ion battery through improving cycle stability and charge-discharge performance under high rate ([107]).
Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date, to have utilized the coating layer and method taught Lyu for the benefit of preventing dissolution of the cathode material and improving battery performance. It would have further been obvious to have arrived at the claimed temperature and time period of the secondary calcination with reasonable expectation of achieving a successful coating layer and cathode active material.
Lyu further teaches the coating element material is selected form one or more of MgO, Al2O3, Al(OH)3, B2O3, Co(OH)2, Co(OH)-2, Co(NO3)2 and Li3Bi3 ([63]).
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 selected Al2O3 from the finite list of coating materials provided by Lyu, with reasonable expectation of arriving at a successful coated cathode active material.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to ESTHER J TAN whose telephone number is (571)272-3479. The examiner can normally be reached M-F 7:30 AM-4:30PM.
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/E.J.T./Examiner, Art Unit 1751
/JONATHAN G LEONG/Supervisory Patent Examiner, Art Unit 1751 06/29/2026
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