DETAILED ACTION
Claims 1 and 3-14 are presented for examination, wherein claims 1, 4, and 11-13 are currently amended. Claims 2 and 15-19 are cancelled.
The instant application is a continuation of 17/569905, issued as US 12,394,783 on August 19, 2025.
The March 16, 2026 Request to Participate in the Patent Prosecution Highway was granted by the USPTO on May 20, 2026.
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
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 5-8 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.
Claims 5-8 each recites the limitation “the Raman R value” (emphasis added). There is insufficient antecedent basis for this limitation in the claim. The examiner respectfully notes that the limitation of claim 4 does not provide support for said claims, since said claims do not depend from claim 4.
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 and 3-14 are rejected under 35 U.S.C. 103 as being unpatentable over Lee et al (KR 2016/0087121) in view of Nagai et al (US 2019/0198879) and Lee et al (US 2010/0193731, hereinafter “Lee II”).
Regarding independent claim 1, Lee teaches a negative electrode and a lithium secondary battery thereof, wherein said negative electrode comprises:
(i) a negative electrode current collector, which may be a film, sheet, or foil composed of e.g. copper, stainless steel, aluminum, or titanium; and,
(ii) a negative electrode mixture layer formed on said negative electrode current collector, wherein said negative electrode mixture layer comprises a structure of
(ii.a) a first coating layer applied directly on said current collector, acting as a primer coating layer to improve electrical conductivity as well as adhesion between said negative electrode mixture layer and said negative electrode current collector;
(ii.b) a second coating layer formed on said first coating layer, wherein said second coating layer may comprise a mixture of graphite, such as artificial and natural graphite, and said silicon-based material, a conductive material, plus a binder; wherein said silicon-based material may be silicon and/or silicon alloy; and, wherein a content of said silicon-based material may be 0.1-3 wt%; and,
(ii.c) a third coating layer formed on said second coating layer, wherein said third coating layer may comprise mixture of graphite, such as artificial and natural graphite, and silicon-based material, said conductive material, plus said binder; wherein said silicon-based material may be silicon and/or silicon alloy; and, wherein a content of said silicon-based material may be 5-20 wt%, such as 10-15 wt%,
said third coating layer has a relatively high content ratio of silicon-based material and a relatively low content ratio of carbon-based material compared to those of said second coating layer,
wherein a content of said silicon-based material present in each of said second and third coating layers is optimized to reduce stress caused by expansion of said silicon-based material during charging and discharging, thereby providing improved energy density and capacity
(e.g. ¶¶ 0001, 10-31, 33-41, 44, 47, 56, 59-60, 63, and 67), reading on “anode for a secondary battery,” said negative electrode comprising:
(1) said negative electrode current collector, which may be said film, sheet, or foil composed of e.g. copper, stainless steel, aluminum, or titanium; and,
(2) said negative electrode mixture layer formed on said negative electrode current collector, wherein said negative electrode mixture layer comprises said structure of:
(2.a) said first coating layer applied directly on said current collector, acting as said primer coating layer to improve electrical conductivity as well as adhesion between said negative electrode mixture layer and said negative electrode current collector;
(2.b) said second coating layer formed on said first coating layer, wherein said second coating layer may comprise said mixture of graphite, such as artificial and natural graphite, and said silicon-based material, said conductive material, plus said binder; wherein said silicon-based material may be silicon and/or silicon alloy; and, wherein said content of said silicon-based material may be 0.1-3 wt%; and,
(2c) said third coating layer formed on said second coating layer, wherein said third coating layer may comprise mixture of graphite, such as artificial and natural graphite, and silicon-based material, said conductive material, plus said binder; wherein said silicon-based material may be silicon and/or silicon alloy; and, wherein the content of said silicon-based material may be 5-20 wt%, such as 10-15 wt%
wherein said third coating layer has said relatively high content ratio of silicon-based material and said relatively low content ratio of carbon-based material compared to those of said second coating layer,
wherein said content of said silicon-based material present in each of said second and third coating layers is optimized to reduce stress caused by expansion of said silicon-based material during charging and discharging, thereby providing improved energy density and capacity (e.g. supra),
a combination of said taught first coating layer and said negative electrode current collector corresponds with the claimed “anode current collector,” as claimed;
said taught second coating layer corresponds with the claimed “first anode layer;” plus,
said third coating layer corresponds with the claimed “second anode layer,”
further regarding “active” in “carbon-based active material,” Lee teaches said graphite may be artificial graphite and/or natural graphite (e.g. supra), an identical/substantially identical carbon material as the instant invention (see e.g. instant specification, at e.g. ¶¶ 0023-24, 39-41, 77, and 108), establishing a prima facie case of anticipation/obviousness that said taught artificial and/or natural graphite are “carbon-based active material,” see also e.g. MPEP § 2112.01; and/or, the method of using said graphite as an “active material” (i.e. storing and releasing lithium ions) does not patentably distinguish the instantly claimed product, “anode,” see also e.g. MPEP § 2113,
reading on the newly amended limitations “an anode current collector;” “a first anode active material layer contacting a surface of the anode current collector;” “a second anode active material layer contacting the first anode active material layer and spaced apart from the anode current collector;” “each of the first anode active material layer and the second anode active material layer comprises a carbon-based active material and a silicon-based active material as an anode active material;” and “a weight-basis content of the silicon-based active material in the second anode active material layer is greater than a weight-basis content of the silicon-based active material in the first anode active material layer;” the newly added limitation “a content of the carbon-based active material in the first anode active material is greater than a content of the carbon-based active material in the second anode active material;” and, establishing a prima facie case of obviousness of the claimed range, see also e.g. MPEP § 2144.05(I), reading on the newly added limitation “a content of the silicon-based active material in the second anode active material layer is from 10 wt% to 20 wt%.”
Alternatively regarding the newly amended limitation “a weight-basis content of the silicon-based material in the second anode active material layer is greater than a weight-basis content of the silicon-based active material in the first anode active material layer” and the newly added limitation “a content of the silicon-based active material in the second anode active material layer is from 10 wt% to 20 wt%,” Lee teaches the concentration of silicon-based active material in each of the second and third coating layers is result-effective on the stress caused by expansion of said silicon-based material during charging and discharging within each of said layers (e.g. supra).
As a result, it would have been obvious to optimize the concentration of silicon-based material within each of said second and third coating layers to within the claimed relationship and/or range to optimize the stress caused by expansion of said silicon-based material during charging and discharging within each of said layers, see also MPEP § 2144.05(II).
Lee teaches said second coating layer comprises said mixture including said conductive material plus said third coating layer comprises said mixture including said silicon-based material, wherein said silicon-based material may be silicon and/or silicon alloy (e.g. supra), but does not expressly teach the limitation “each of the first anode active material layer and the second anode active material layer comprises … a carbon nanotube as a conductive material.”
However, Nagai teaches a conductive composition for battery electrodes, said conductive composition comprising carbon black and multi-walled carbon nanotubes (hereinafter “MWCNT”), wherein said MWCNT has a D/G value of 0.8-1.3 as measured by Raman spectrometric measurement, said MWCNT having improved conductivity and crystallinity, noting that with lower D/G values, the crystallinity of MWCNT increases, resulting in increased conductivity of MWCNT; whereas with D/G value higher than 1.3, the bending of the MWCNT is increased to generate complicated entanglement between the MWCNT and a high possibility that aggregates of the MWCNT in the electrode, so electrical conductivity becomes uneven (e.g. ¶¶ 0001, 45, 53, and 113-114).
As a result, it would have been obvious to use the conductive composition Nagai, which has MWCNT with D/G value of 0.8-1.3, for said conductive particles of said mixture of said second coating layer of Lee, said layer is adjacent to said first coating layer of Lee, since Nagai teaches said MWCNT has improved conductivity and/or more uniform electrical conductivity (noting the taught D and G values reads on the claimed ID and IG values, see e.g. ¶¶ 0113-114 and instant specification, at e.g. ¶0053), reading on “each of the first anode active material layer … comprises … a carbon nanotube as a conductive material.”
Further, Lee II teaches an improved composite anode active material including a metal core particle composed of e.g. silicon or silicon alloy, said metal core covalently bonded with single-wall carbon nanotubes (hereinafter “SWCNT”), wherein said SWCNT is covalently bonded to said metal core particle by a physical mixing process to improve conductivity of said particle and further prevent separation of said SWCNT from said particle, thereby facilitating electron migration and prevent reduction of battery efficiency,
wherein said SWCNT has a D/G ratio value of 0.2 or less, said value obtained from Raman spectra, noting if said ratio value is greater than 0.2, the crystallinity of said carbon nanotubes is relatively low, such that lithium ions are more liable to irreversibly react with said SWCNT during charging and discharging, said composite anode active material providing improved electrical conductivity while suppressing volumetric expansion (e.g. ¶¶ 0003, 06-07, 15, 22-23, 25-27, and 62-63 plus e.g. Figure 2).
As a result, it would have been obvious to substitute said composite anode active material of Lee II, which includes said silicon metal or silicon alloy core particle covalently bonded with said SWCNT with said D/G ratio value of 0.2 or less for the silicon or silicon alloy of said mixture of said third coating layer of Lee as modified, said layer is the outermost layer understood to be adjacent to electrolyte, since Lee II teaches said composite anode active material provides suppressed volumetric expansion, and/or reduced irreversible reaction of lithium ions with said SWCNT during charging and discharging (noting the taught D and G values reads on the claimed ID and IG values, see e.g. Figure 2 and instant specification, at e.g. ¶0053);
alternatively, it would have been obvious to a person of ordinary skill in the art to covalently bonded the SWCNT of Lee II to the silicon and/or silicon alloy of Lee, since Lee II teaches covalently bonding said SWCNT to a silicon/silicon alloy metal core particle by a physical mixing process improves conductivity of said particle, thereby facilitate electron migration and prevent reduction of battery efficiency,
reading “each of … the second anode active material layer comprises … carbon nanotube as a conductive material.”
Lee as modified reading on “each of the first anode active material layer and the second anode active material layer comprises … carbon nanotube as a conductive material.”
Regarding claim 3, Lee as modified teaches the negative electrode of claim 1, wherein said second coating layer may comprise said mixture of graphite, such as artificial and natural graphite, and said silicon-based material, said conductive material, plus said binder; wherein said silicon-based material may be silicon and/or silicon alloy; and, wherein said content of said silicon-based material may be 0.1-3 wt% (e.g. supra), establishing a prima facie case of obviousness of the claimed range, see also e.g. MPEP § 2144.05(I), reading on “the content of the silicon-based active material in the first anode active material layer is from 1 wt% to 5 wt%.”
Regarding claims 4-10, Lee as modified teaches the negative electrode of claim 1, wherein said second coating layer includes said MWCNT with D/G value of 0.8-1.3; plus, said third coating layer includes said SWCNT with said D/G ratio value of 0.2 or less (e.g. supra), noting the method of measuring the Raman values in “the Raman R value is defined as a ratio (ID/IG) of an intensity (ID) of a D band and an intensity of a G band (IG) in a Raman spectrum obtained by a Raman spectroscopy” (claim 4) does not patentably distinguish the claimed product, “anode,” see e.g. MPEP § 2113, reading on “a Raman R value of the carbon nanotube included in the second anode active material layer is smaller than a Raman R value of the carbon nanotube included in the first anode active material layer, and the Raman R value is defined as a ratio (ID/IG) of an intensity (ID) of a D band and an intensity of a G band (IG) in a Raman spectrum obtained by a Raman spectroscopy” (claim 4); “the carbon nanotube included in the second anode active material layer includes a single-walled carbon nanotube (SWCNT)” (claim 9); “the carbon nanotube included in the first anode active material layer includes a multi-wall carbon nanotube (MWCNT)” (claim 10); plus, severably establishing a prima facie case of obviousness of the claimed ranges, see also e.g. MPEP § 2144.05(I), reading on “the Raman R value of the carbon nanotube included in the second anode active material layer is less than 0.5” (claim 5); “the Raman R value of the carbon nanotube included in the second anode active material layer is from 0.01 to 0.1” (claim 6); “the Raman R value of the carbon nanotube included in the first anode active material layer is greater than 0.1, and less than or equal to 1.8” (claim 7); plus, “the Raman R value of the carbon nanotube included in the first anode active material layer is from 0.12 to 1.4” (claim 8).
Regarding claim 11, Lee as modified teaches the negative electrode of claim 1, wherein said second coating layer and said third coating layer may each comprise said mixture of graphite, such as artificial and natural graphite, and said silicon-based material, wherein said silicon-based material may be silicon and/or silicon alloy (e.g. supra), reading on “the silicon-based active material comprises at least one selected from the group consisting of silicon (Si), a silicon alloy, SiOx (0<x<2), and a SiOx (0<x<2) compound containing a lithium compound.”
Regarding claim 12, Lee as modified teaches the negative electrode of claim 1, wherein said second coating layer and said third coating layer may each comprise said mixture of graphite, such as artificial and natural graphite, and said silicon-based material, wherein said (e.g. supra), reading on “the carbon-based active material comprises artificial graphite.”
Regarding claim 13, Lee as modified teaches the negative electrode of claim 12, wherein said second coating layer and said third coating layer may each comprise said mixture of graphite, such as artificial and natural graphite, and said silicon-based material (e.g. supra), wherein it would have been obvious to incorporate an equal amount of each of said artificial graphite and natural graphite since Lee recognized said artificial graphite and natural graphite may be equivalent negative electrode materials, see e.g. MPEP § 2144.06(I), wherein an equal amount of each of said artificial graphite and natural graphite is sufficiently close to the claimed relationship of ranges to establish a prima facie case of obviousness, see also e.g. MPEP § 2144.05(I), reading on “the carbon-based active material further comprises natural graphite, and a weight of artificial graphite in the carbon-based active material is greater than a weight of natural graphite,” as claimed.
Regarding independent claim 14, Lee, Nagai, and Lee II are applied as provided supra, with the following modifications.
Still regarding claim 14, Lee teaches said lithium secondary battery including said negative electrode, a positive electrode, and a separator therebetween, wherein said positive electrode may comprise active material such as lithium nickel oxide (e.g. LiNi1-xMxO2), lithium manganese oxide (e.g. LiMn2-xMxO2), and lithium manganese composite oxide (e.g. LiNixMn2-xO4) (e.g. ¶¶ 0003, 43, and 48-49), reading on “lithium secondary battery, comprising: the anode according to claim 1; and a cathode facing the anode and comprising a lithium-transition metal composite oxide.”
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure:
Zeng et al (US 2021/0391572);
Kim et al (US 2020/0403231); and,
Pan et al (US 2011/0123866).
Any inquiry concerning this communication or earlier communications from the examiner should be directed to YOSHITOSHI TAKEUCHI whose telephone number is (571)270-5828. The examiner can normally be reached M-F, 8-4.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, TIFFANY LEGETTE-THOMPSON can be reached at (571)270-7078. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/YOSHITOSHI TAKEUCHI/Primary Examiner, Art Unit 1723
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