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 .
Election/Restrictions
Claim 2 is withdrawn from further consideration pursuant to 37 CFR 1.142(b), as being drawn to a nonelected anode material species (Species A recited in the Requirement for Restriction filed on 06 May 2026) that comprises a secondary particle comprised of silicon primary nanoparticles that are monocrystalline silicon, there being no allowable generic or linking claim. Applicant timely traversed the restriction (election) requirement in the reply filed on 23 June 2026.
Applicant's election with traverse of the anode material species (Species B recited in the Requirement for Restriction filed on 06 May 2026) that comprises a secondary particle comprised of silicon primary nanoparticles that are polycrystalline silicon in the reply filed on 23 June 2026 is acknowledged. The traversal is on the ground that the core technical contribution does not reside in the distinction between the anode material comprising of monocrystalling silicon primary nanoparticles or polycrystalline silicon primary nanoparticles, but instead resides in optimizing the stress distribution during the lithium intercalation-deintercalation process, suppressing particle pulverization, and improving the structural stability and cycle performance of the anode material by controlling the crystallinity of the silicon primary nanoparticles. Applicant further remarks that the nanoparticle being comprised of monocrystalline silicon (crystallinity A=1) or polycrystalline silicon (crystallinity 1 < A ≤ 200) represent different embodiments under the same core inventive concept, and that a person skilled in the art would appreciate that the difference between monocrystalline and polycrystalline silicon is the presence or absence of grain boundaries among the silicon grains, which can be achieved by adjustment of process parameters and is an obvious variation.
This is not found persuasive because MPEP 806 holds “Where inventions are related as disclosed but are distinct as claimed, restriction may be proper.” and MPEP 806.04(b) holds “Where species under a claimed genus are not connected in any of design, operation, or effect under the disclosure, the species are independent inventions.” As applicant has included in the filed remarks, the anode material being comprised of monocrystalline silicon or of polycrystalline silicon are under the claimed genus of controlling the crystallinity of the silicon nanoparticles in which monocrystalline silicon has a crystallinity of A=1 and polycrystalline silicon has a crystallinity range of 1 < A ≤ 200. The crystallinity value(s) are not connected or do not overlap with each other, and are therefore distinct claimed embodiments of the instant invention, mutually exclusive from each other, and are independent inventions, which qualifies the species restriction requirement as proper.
The requirement is still deemed proper and is therefore made FINAL.
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.
Claim 17 is rejected under 35 U.S.C. 112(b) as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor regards as the invention.
Claim 17 recites the limitation “The anode material according to claim 13, wherein the specific surface area of the anode material”. There is insufficient antecedent basis for “the specific surface area” because claim 13 is currently recited to be cancelled. The examiner recommends amending claim 17 to recite “The anode material according to claim 10” because claim 10 recites “a specific surface area”. For purposes of compact prosecution, this Office Action assumes the recommended recitation of claim 17, which depends on claim 10 instead of claim 13 as currently recited.
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 is incorrect, any correction of the statutory basis 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.
Claims 1, 3, 10, 15 and 17 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Kim et al (US 2016/0156031 A1). This prior art reference being cited to as Kim hereinafter in this Office Action.
Regarding claim 1, Kim discloses an anode material (“an anode active material for a lithium secondary battery” [0069]), wherein the anode material comprises a secondary particle (“the anode active material includes a silicon secondary particle” [0070]), and the secondary particle comprises silicon primary nanoparticles (“the silicon secondary particle is an agglomerate of an amorphous silicon primary particle and a crystalline primary particle” [0070] with italics added for emphasis on the element corresponding to the claimed silicon primary nanoparticles, and “the size of the crystalline silicon primary particle may be, for example, an average diameter in a range of about 10 nm to about 10 µm” [0077], which reads on the disclosed primary particles being in the nanosized scale);
the silicon primary nanoparticles comprise at least one silicon grain (“The crystalline silicon primary particle is a crystalline particle formed of crystallites (also referred to as "grains”)” [0076]), an average particle size of the silicon grains is Ds nm (“the crystalline part of the silicon particle may include crystallites having an average diameter in a range of about 1 nm to about 100 nm” [0107]), and an average particle size of the silicon primary nanoparticles is Dn nm (“an agglomerate of silicon primary particles having an average particle diameter (D50) in a range of about 1 µm to about 10 µm” [0085]), an average particle size of the secondary particle is Dm nm (“an average particle diameter (D50) of the silicon secondary particle may be in a range of about 1.5 µm to about 15 µm” [0097]);
a crystallinity of the silicon primary nanoparticles is A, the A is equal to Dn/Ds, and the A is equal to or greater than 1 and equal to or less than 200 (from the particle size ranges cited for the last three claim limitations above, the disclosed range for the corresponding A is 100 to 1000);
a bulking density of the secondary particle is B, the B is equal to Dm/Dn, and the B is equal to or greater than 5 and equal to or less than 400 (from the particle size ranges cited for the last three claim limitations above, the disclosed range for the corresponding B is 0.15 to 15).
Regarding claim 3, Kim discloses the anode material of all the limitations set forth in claim 1 above, and wherein the crystallinity (A) of the silicon primary nanoparticles is greater than 1 and equal to or less than 200 (from the particle size ranges cited for the last three claim limitations above, the disclosed range for the corresponding A is 100 to 1000), and the silicon primary nanoparticles comprise polycrystalline silicon (“In the stream of argon (Ar) flow, polycrystalline silicon particle seeds were added to a fluidized bed reactor having an inner temperature at about 800° C. In the reactor, silicon produced by thermal decomposition of monosilane was precipitated on Surfaces of the seeds in the flow, and thus the seeds grew in this manner to form crystalline silicon primary particles.” [0141]).
Regarding claim 10, Kim discloses the anode material of all the limitations set forth in claim 1 above, and wherein the anode material comprises at least one of the following features:
(1) a mass content of carbon in the anode material is 5%-80%;
(2) a powder tap density of the anode material is 0.3 g/cm3-1.3 g/cm3;
(3) a powder compaction density of the anode material is 1.2 g/cm3-1.8 g/cm3;
(4) a median particle size of the anode material is 0.5 µm -25 µm (“an average particle diameter (D50) of the silicon secondary particle may be in a range of about 1.5 µm to about 15 µm” [0097]);
(5) a specific surface area of the anode material is 1.0 m2/g-50 m2/g (“The specific surface area of the silicon secondary particle as measured by Brunauer, Emmett & Teller (BET) measurement is in a range of about 2 m2/g to about 100 m2/g.” [0098]);
(6) a mass content of oxygen in the anode material is less than 15% (“As used herein, a ratio of the number of silicon (Si) atoms to the number of oxygen (O) atoms (Si/O, a normalized atomic ratio), as measured by an X-ray photoelectron spectroscopy (XPS) method, may be in a range of about 1 to about 4.” [0118], which corresponds to an oxygen mass content of 12.5%).
Regarding claim 15, Kim discloses a battery (“a lithium secondary battery” [0069]), wherein the battery comprises the anode material of all the limitations set forth in claim 1 set forth above (“including the anode active material” [0069]).
Regarding claim 17, Kim discloses the anode material of all the limitations set forth in claim 10 above, and wherein the specific surface area of the anode material is 2 m2/g – 15 m2/g (“The specific surface area of the silicon secondary particle as measured by Brunauer, Emmett & Teller (BET) measurement is in a range of about 2 m2/g to about 100 m2/g.” [0098]).
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 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 7-9 and 16 are rejected under 35 U.S.C. 103 as being unpatentable over Kim (US 2016/0156031 A1) in view of Pan et al (US 2019/0280301 A1). The latter prior art reference being cited to as Pan hereinafter in this Office Action.
Regarding claim 7, Kim discloses the anode material of all the limitations set forth in claim 1 above, but does not disclose wherein the anode material further comprises conductive layers located on at least partial surfaces of the silicon primary nanoparticles; wherein the anode material meets at least one of the following features:
(1) the conductive layers comprise at least one of an amorphous carbon material, a graphitized carbon material, and a conductive ceramic material;
(2) the conductive layers comprise a graphitized carbon material, the graphitized carbon material is graphene, and a layer number of the graphene is less than 20;
(3) a thickness of the conductive layers is 1 nm-200 nm;
(4) the conductive layers comprise a conductive ceramic material, and the conductive ceramic material comprises at least one of a metal oxide, a transition metal nitride, or a sulfide;
(5) the conductive layers comprise a conductive ceramic material, the conductive ceramic material comprises a metal oxide, and the metal oxide comprises at least one of V2O5, TiO2, Nb2O5, CdO, CsO, MoO3, WO3, BaO, SnO2, Cr2O3, MnO, Ag2O, CoO, NiO, Cu2O, and SnO;
(6) the conductive layers comprise a conductive ceramic material, the conductive ceramic material comprises a transition metal nitride, and the transition metal nitride comprises at least one of VN, TiN, CoN, Fe3N, Co4N, and WN.
However, Pan discloses an anode material (“an anode active material” [0081]) wherein the anode material comprises a secondary particle (“multiple particulates of an anode active material” [0081]; Fig. 4), and the secondary particle comprises silicon primary nanoparticles (“a plurality of particles of an anode active material” [0081] where “The second is a multiple-particle particulate containing multiple anode active material particles 14 (e.g. Si nanoparticles), optionally along with other active materials (e.g. particles of graphite or hard carbon, not shown) or conductive additive, which are encapsulated by an inorganic filler reinforced elastomer shell 16.” and “The fourth is a multiple-particle particulate containing multiple anode active material particles 24 (e.g. Si nanoparticles) coated with a conductive protection layer 26, optionally along with other active materials (e.g. particles of graphite or hard carbon, not shown) or conductive additive, which are encapsulated by an inorganic filler reinforced elastomer shell 28.” [0089] with italics added for emphasis on the element that corresponds to the claimed silicon primary nanoparticles).
Pan teaches the anode material further comprises conductive layers located on at least partial surfaces of the silicon primary nanoparticles (16, 26 and 28 shown in Fig. 4; “an inorganic filler reinforced elastomer shell 16 … a conductive protection layer 26, optionally along with other active materials (e.g. particles of graphite or hard carbon, not shown) or conductive additive,
which are encapsulated by an inorganic filler reinforced elastomer shell 28” [0089]; wherein the anode material meets at least one of the following features:
(1) the conductive layers comprise at least one of an amorphous carbon material, a graphitized carbon material (“conductive protection layer 26, optionally along with other active materials (e.g. particles of graphite or hard carbon, not shown)” [0089]), and a conductive ceramic material (“an inorganic filler reinforced elastomer shell 16 … an inorganic filler reinforced elastomer shell 28” [0089] and “The inorganic filler is preferably selected from an oxide , carbide , boride , nitride , sulfide , phosphide , or selenide of a transition metal” [0037] with italics added for emphasis on the compounds that correspond to the claimed conductive ceramic material because it is known in the art that transition metal oxides, carbides, borides, nitrides, sulfides, and phosphides are conductive ceramics);
(2) the conductive layers comprise a graphitized carbon material, the graphitized carbon material is graphene, and a layer number of the graphene is less than 20 (“the inorganic filler-reinforced elastomer further contains an electron-conducting filler dispersed in the elastomer matrix material wherein the electron-conducting filler is selected from …, graphene, or a combination thereof . … More preferably, the graphene sheets contain graphene planes, most preferably 1 - 3 graphene planes (i.e. single-layer, double-layer, or triple-layer graphene)” [0088]);
(3) a thickness of the conductive layers is 1 nm-200 nm (“the encapsulating thin layer of inorganic filler - reinforced elastomer has a thickness from 1 nm to 10 µm” [0037]);
(4) the conductive layers comprise a conductive ceramic material, and the conductive ceramic material comprises at least one of a metal oxide, a transition metal nitride, or a sulfide (“The inorganic filler is preferably selected from an oxide , carbide , boride , nitride , sulfide , phosphide , or selenide of a transition metal” [0037] with italics added for emphasis on the compounds that correspond to the claimed conductive ceramic material because it is known in the art that transition metal oxides, carbides, borides, nitrides, sulfides, and phosphides are conductive ceramics);
(5) the conductive layers comprise a conductive ceramic material, the conductive ceramic material comprises a metal oxide, and the metal oxide comprises at least one of V2O5, TiO2, Nb2O5, CdO, CsO, MoO3, WO3, BaO, SnO2, Cr2O3, MnO, Ag2O, CoO, NiO, Cu2O, and SnO (“The inorganic filler is preferably selected from … oxide … of a transition metal … the transition metal is selected from Ti , V , Cr , Mn , Fe , Co , Ni , Cu , Zn , Y , Zr , Nb , Mo , Pd , Ag , Cd , La , Ta , W , Pt , Au , Hg , a combination thereof , or a combination thereof with Al , Ga , In , Sn , Pb , Sb , or Bi” [0037] with italics added);
(6) the conductive layers comprise a conductive ceramic material, the conductive ceramic material comprises a transition metal nitride, and the transition metal nitride comprises at least one of VN, TiN, CoN, Fe3N, Co4N, and WN (“The inorganic filler is preferably selected from … nitride … of a transition metal … the transition metal is selected from Ti , V , Cr , Mn , Fe , Co , Ni , Cu , Zn , Y , Zr , Nb , Mo , Pd , Ag , Cd , La , Ta , W , Pt , Au , Hg , a combination thereof , or a combination thereof with Al , Ga , In , Sn , Pb , Sb , or Bi” [0037] with italics added).
Pan further teaches that the conductive layers prevents the exposure of the silicon nanoparticles to electrolyte, which prevents the silicon nanoparticles from undergoing undesirable reactions with electrolyte during repeated charges and discharges of a secondary battery that the anode material is applied in ([0090]), by imparting high elasticity properties through the shell created around the silicon nanoparticles that is fully recoverable upon release of mechanical stress ([0096]).
Therefore, it would have been obvious for a person having ordinary skill in the art to add conductive layers located on at least partial surfaces of the silicon primary nanoparticles of Kim in view of Pan, in order to achieve an anode material that comprises silicon primary nanoparticles that are protected from exposure to an electrolyte through the conductive layers high elasticity properties, which prevents undesirable reactions between the anode electrode and the electrolyte during repeated charges and discharges of a secondary battery that the anode is applied into.
Regarding claim 8, modified Kim discloses the anode material of all the limitations set forth in claim 7 above, and wherein the conductive layers comprise a conductive ceramic material (Pan “The inorganic filler is preferably selected from an oxide , carbide , boride , nitride , sulfide , phosphide , or selenide of a transition metal” [0037] with italics added for emphasis on the compounds that correspond to the claimed conductive ceramic material because it is known in the art that transition metal oxides, carbides, borides, nitrides, sulfides, and phosphides are conductive ceramics), the conductive ceramic material comprises a sulfide, and the sulfide comprises at least one of CdS, Ag2S, Sb2S3, TiS2, and Li2S (Pan “The inorganic filler is preferably selected from … sulfide … of a transition metal … the transition metal is selected from Ti , V , Cr , Mn , Fe , Co , Ni , Cu , Zn , Y , Zr , Nb , Mo , Pd , Ag , Cd , La , Ta , W , Pt , Au , Hg , a combination thereof , or a combination thereof with Al , Ga , In , Sn , Pb , Sb , or Bi” [0037] with italics added).
Regarding claim 9, Kim discloses the anode material of all the limitations set forth in claim 1 above, but does not disclose wherein the anode material further comprises a coating layer located on at least a partial surface of the secondary particle, the anode material comprises at least one of the following features:
(1) the coating layer comprises at least one of an amorphous carbon material, a graphitized carbon material, and a polymer;
(2) the coating layer comprises a polymer, and the polymer comprises at least one of polyacrylic acid, polyacrylonitrile, polyimide, polyurethane, polydopamine, xanthan gum, polypyrrole, polythiophene, polyphenylacetylene, polyaniline, polyacetylene, and tannic acid;
(3) the coating layer comprises a polymer, and a mass content of the polymer in the anode material is 1%-20%;
(4) the coating layer comprises a graphitized carbon material, and a thickness of the coating layer is 5 nm-100 nm;
(5) the coating layer comprises an amorphous carbon material, and a thickness of the coating layer is 10 nm-500 nm;
(6) the coating layer comprises a polymer, and a thickness of the coating layer is 5 nm- 300 nm.
However, Pan discloses an anode material (“an anode active material” [0081]) wherein the anode material comprises a secondary particle (“multiple particulates of an anode active material” [0081]; Fig. 4), and the secondary particle comprises silicon primary nanoparticles (“a plurality of particles of an anode active material” [0081] where “The second is a multiple-particle particulate containing multiple anode active material particles 14 (e.g. Si nanoparticles), optionally along with other active materials (e.g. particles of graphite or hard carbon, not shown) or conductive additive, which are encapsulated by an inorganic filler reinforced elastomer shell 16.” and “The fourth is a multiple-particle particulate containing multiple anode active material particles 24 (e.g. Si nanoparticles) coated with a conductive protection layer 26, optionally along with other active materials (e.g. particles of graphite or hard carbon, not shown) or conductive additive, which are encapsulated by an inorganic filler reinforced elastomer shell 28.” [0089] with italics added for emphasis on the element that corresponds to the claimed silicon primary nanoparticles).
Pan teaches wherein the anode material further comprises a coating layer located on at least a partial surface of the secondary particle (“an inorganic filler reinforced elastomer shell” [0089] where “0.01% to 50% by weight of particles of an inorganic filler dispersed in an elastomeric matrix material” [0043], denoted as 12, 16, 22, and 28 in Fig. 4), the anode material comprises at least one of the following features:
(1) the coating layer comprises at least one of an amorphous carbon material, a graphitized carbon material (“the inorganic filler - reinforced elastomer further contains an electron - con ducting filler dispersed in the elastomer matrix material wherein the electron - conducting filler is selected from a carbon nanotube , carbon nanofiber , nanocarbon particle , metal nanoparticle , metal nanowire , electron - conducting polymer , graphene , or a combination thereof” [0088]), and a polymer (“A broad array of inorganic filler reinforced elastomers can be used to encapsulate an anode active material particle or multiple particles … The elastomeric matrix material may be selected from … polyurethane [0098] and “The elastomeric matrix material may contain an electron-conducting polymer selected from polyaniline, polypyrrole, polythiophene, polyfuran” [0118]);
(2) the coating layer comprises a polymer, and the polymer comprises at least one of polyacrylic acid, polyacrylonitrile, polyimide, polyurethane, polydopamine, xanthan gum, polypyrrole, polythiophene, polyphenyl acetylene, polyaniline, polyacetylene, and tannic acid (“A broad array of inorganic filler reinforced elastomers can be used to encapsulate an anode active material particle or multiple particles … The elastomeric matrix material may be selected from … polyurethane [0098] and “The elastomeric matrix material may contain an electron-conducting polymer selected from polyaniline, polypyrrole, polythiophene, polyfuran” [0118]);
(3) the coating layer comprises a polymer, and a mass content of the polymer in the anode material is 1%-20%;
(4) the coating layer comprises a graphitized carbon material (“the inorganic filler - reinforced elastomer further contains an electron - con ducting filler dispersed in the elastomer matrix material wherein the electron - conducting filler is selected from a carbon nanotube , carbon nanofiber , nanocarbon particle , metal nanoparticle , metal nanowire , electron - conducting polymer , graphene , or a combination thereof” [0088]), and a thickness of the coating layer is 5 nm-100 nm (“a thin layer of inorganic filler - reinforced elastomer ( the encapsulating shell ) that has thickness from 1 nm to 10 µm” [0081]);
(5) the coating layer comprises an amorphous carbon material, and a thickness of the coating layer is 10 nm-500 nm;
(6) the coating layer comprises a polymer (“A broad array of inorganic filler reinforced elastomers can be used to encapsulate an anode active material particle or multiple particles … The elastomeric matrix material may be selected from … polyurethane [0098] and “The elastomeric matrix material may contain an electron-conducting polymer selected from polyaniline, polypyrrole, polythiophene, polyfuran” [0118]), and a thickness of the coating layer is 5 nm- 300 nm (“a thin layer of inorganic filler - reinforced elastomer ( the encapsulating shell ) that has thickness from 1 nm to 10 µm” [0081]).
Pan further teaches that that the coating layer is of high strength and stiffness that it helps to refrain the anode material particles from expanded to an excessive extent ([0011]).
Therefore, it would have been obvious for a person having ordinary skill in the art to add a coating layer located on at least partial surfaces of the silicon primary nanoparticles of Kim in view of Pan, in order to achieve an anode material that is refrained from being excessively expanded.
Regarding claim 16, modified Kim discloses the anode material of all the limitations set forth in claim 7 above, and wherein the conductive layers have porous structures (Kim “The silicon secondary particle includes pores” [0110] and “Each of the silicon secondary particles has a core-shell structure, in which a shell partis agglomerated on a surface of the core part and includes pores.” [0143]).
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to CHARLENE BERMUDEZ whose telephone number is (571)272-0610. The examiner can normally be reached Mondays through Thursdays generally from 12 PM to 5 PM Eastern Time.
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/CHARLENE BERMUDEZ/Examiner, Art Unit 1721
/ALLISON BOURKE/Supervisory Patent Examiner, Art Unit 1721
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