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 .
Restriction Requirement
Applicant’s election of Group I in the restriction requirement filed 4/25/2026 is acknowledged.
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.
(a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
Claim 1 is rejected under 35 U.S.C. 102(a)(2) as being anticipated by Han (Mater. Adv., 2023). Han teaches Hexagonal-phase NaYF4:Er@NaGdF4:Yb@NaYF4:Er core/shell/shell upconversion nanoparticles with a core shell/shell structure (a core-double shell structure), comprising: a core layer; an inorganic host matrix outer shell layer; and a transition layer positioned between the core layer and the outer shell layer and functioning as an energy transfer network, wherein the core layer, the outer shell layer, and the transition layer comprise nanoparticles doped with lanthanide ions, and are biodegradable, and NaYF4:Er@NaGdF4:Yb@NaYF4:Er (Gadolinium is a lanthanide). the size of the core layer is larger than the sizes of the outer shell layer and the transition layer (Abstract; Results and discussion).
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.
Claims 1-7 are rejected under 35 U.S.C. 103 as being unpatentable over Lv (ACS Appl. Nano Mater. 2022) in view of Peng ACS Nano 2020) in further view of Ha (Mater. Adv., 2023)). Lv teaches Rare earth (RE)-based inorganic upconversion nanoparticles (UCNPs) have huge potency for applications varying from bioimaging to theranostics of tumors (abstract), and further teaches a tunable biodegradation rate for UCNPs, a class of core−shell-structured nanoparticles is invented by heteroepitaxially growing a CaF2:Yb shell with varying Zr4+ doping content on a biodegradable Na3ZrF7:Yb,Er core. The CaF2:Yb,Zr shell can not only enhance the emission intensity but also ensure the overall biodegradation of the nanocrystals. The degradation rate of core−shell UCNPs can be easily modulated by changing the Zr4+ doping content in the shell, and the degradation rate is pH-responsive; thus, tumor acidity-triggered degradation can be realized. When sodium alginate (SA)-modified UCNPs are used for the bioimaging of tumors, the intracellularly degraded metal ions and the released SA molecules can self-assemble through a coordination cross-linking effect, thereby improving the tumor retention of the nanosystems (Abstract; Results and Discussion). Lv teaches that using a Na₃ZrF₇:Yb,Er,Ca biodegradable core to achieve optical bioimaging without long-term tissue toxicity (Result and discussion), and further teaches utilizing zirconium-based frameworks such as Na₃ZrF₇ to prepare upconversion nanoparticles that safely degrade in biological environments. Lanthanide dopants, such as Ytterbium and Erbium, embed into this specific lattice to produce clear upconversion luminescence while allowing the particle to break down under mild physiological acidity.
Lv fails to teach inclusion of a second shell layer.
Peng teaches Lanthanide-doped inorganic upconversion nanocrystals as fluorescent diagnostic and therapeutic agents for in vivo applications ranging from biological imaging to disease theranostics (abstract). Peng teaches a class of reemitting biodegradable UCNCs based on Yb3+/Er3+-doped inorganic potassium heptafluozirconate (K3ZrF7:Yb/Er) that features a dynamically soft” crystal lattice containing watersoluble [ZrF7]3− cluster and a K+ cation. The red-emitting K3ZrF7:Yb/Er UCNCs exhibit a pH-dependent biodegradation capability upon exposure to water both in vitro and in vivo, and the rapid biodegradation rate, monitored using the intrinsic red upconversion luminescence, can be tuned particularly in a mild acidic tumor microenvironment (pH ∼5−6). The final biodegradation products of K3ZrF7:Yb/Er UCNCs can be excreted from the body of mice in a short period of time with no evidence of toxicity, in stark contrast to the nondegradable β-NaYF4:Yb/Er UCNCs that primarily accumulate in the main organs of mice (abstract; Results and Discussion).
Han teaches Hexagonal-phase NaYF4:Er@NaGdF4:Yb@NaYF4:Er core/shell/shell upconversion nanoparticles with a core shell/shell structure (a core-double shell structure), comprising: a core layer; an inorganic host matrix outer shell layer; and a transition layer positioned between the core layer and the outer shell layer and functioning as an energy transfer network, wherein the core layer, the outer shell layer, and the transition layer comprise nanoparticles doped with lanthanide ions, and are biodegradable, and NaYF4:Er@NaGdF4:Yb@NaYF4:Er (Gadolinium is a lanthanide). the size of the core layer is larger than the sizes of the outer shell layer and the transition layer (Abstract; Results and discussion).
It would have been obvious to one of ordinary skill in the art at the time the invention was filed to incorporate a second shell layer in the structure of Lv. The motivation or this would have been tot take the multi-shell, efficient energy transfer architecture of NaYF₄ transition and outer shells taught by Lv and Peng, and substitute the traditional stable core with the biodegradable Na₃ZrF₇ core taught Han. The motivation to would be to create an upconversion nanoparticle that possesses both the superior luminescent brightness provided by the multi-shell energy network and the safe, non-toxic clearance properties provided by the degradable zirconium framework of Lv.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to PAUL W DICKINSON whose telephone number is (571)270-3499. The examiner can normally be reached on M-F 9 AM to 7:30 PM.
If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Michael Hartley can be reached on 571-272-0616. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/PAUL W DICKINSON/Primary Examiner, Art Unit 1618
July 11, 2026
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