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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria1 Virginia 22313- 1450
`wwwnsptogov
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`APPLICATION NO.
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` F ING DATE
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`FIRST NAMED INVENTOR
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`ATTORNEY DOCKET NO.
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`CONF {MATION NO.
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`12/757,108
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`04/09/2010
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`Hizuru Koshina
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`PESL—115US
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`1994
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`EXAMINER
`RATNERPRESTIA —
`09mm —
`7590
`52473
`PO. BOX 980
`BARCENA, CARLOS
`VALLEY FORGE, PA 19482-0980
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`PAPER NUMBER
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`ART UNIT
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`1731
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`MAIL DATE
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`09/10/2012
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`DELIVERY MODE
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`PAPER
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`Please find below and/or attached an Office communication concerning this application or proceeding.
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`The time period for reply, if any, is set in the attached communication.
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`PTOL—90A (Rev. 04/07)
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`Office Action Summary
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`Application No.
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`Applicant(s)
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`12/757,108
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`KOSHINA, HIZURU
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`Examiner
`CARLOS BARCENA
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`Art Unit
`1731
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`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address --
`Period for Reply
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`A SHORTENED STATUTORY PERIOD FOR REPLY IS SET TO EXPIRE 3 MONTH(S) OR THIRTY (30) DAYS,
`WHICHEVER IS LONGER, FROM THE MAILING DATE OF THIS COMMUNICATION.
`Extensions of time may be available under the provisions of 37 CFR1. 136( a).
`In no event however may a reply be timely filed
`after SIX () MONTHS from the mailing date of this communication.
`If NO period for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHS from the mailing date of this communication.
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`- Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133).
`Any reply received by the Office later than three months after the mailing date of this communication, even if timely filed, may reduce any
`earned patent term adjustment. See 37 CFR 1.704(b).
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`Status
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`1)IZI Responsive to communication(s) filed on 05 September 2012.
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`2a)IZ| This action is FINAL.
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`2b)I:l This action is non-final.
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`3)I:I An election was made by the applicant in response to a restriction requirement set forth during the interview on
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`; the restriction requirement and election have been incorporated into this action.
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`4)|:l Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
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`closed in accordance with the practice under Exparte Quay/e, 1935 CD. 11, 453 O.G. 213.
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`Disposition of Claims
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`5)IZI Claim(s) 1-14 is/are pending in the application.
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`5a) Of the above claim(s) _ is/are withdrawn from consideration.
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`6)I:I Claim(s) _ is/are allowed.
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`7)|Zl Claim(s)_1-14 is/are rejected.
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`8)I:I Claim(s) _ is/are objected to.
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`9)I:l Claim(s) _ are subject to restriction and/or election requirement.
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`Application Papers
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`10)I:I The specification is objected to by the Examiner.
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`11)|X| The drawing(s) filed on 09 AQI’i/ 2010 is/are: a)lZ| accepted or b)|:l objected to by the Examiner.
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`Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
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`Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121 (d).
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`12)I:I The oath or declaration is objected to by the Examiner. Note the attached Office Action or form PTO-152.
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`Priority under 35 U.S.C. § 119
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`13)I:I Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
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`a)I:I AII
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`b)I:I Some * c)|:l None of:
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`1.I:I Certified copies of the priority documents have been received.
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`2.I:I Certified copies of the priority documents have been received in Application No. _
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`3.|:I Copies of the certified copies of the priority documents have been received in this National Stage
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`application from the International Bureau (PCT Rule 17.2(a)).
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`* See the attached detailed Office action for a list of the certified copies not received.
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`Attachment(s)
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`1) I] Notice of References Cited (PTO-892)
`2) D Notice of Draftsperson‘s Patent Drawing Review (PTO-948)
`3) El Information Disclosure Statement(s) (PTO/SB/OS)
`Paper No(s)/Mai| Date _.
`US. Patent and Trademark Office
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`4) D Interview Summary (PTO-413)
`Paper N°(5 )/Mai| Date. _
`5)I:I Notice of Informal Patent Application
`)6|:| Other:
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`PTOL-326 (Rev. 03-11)
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`Office Action Summary
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`Part of Paper No./Mai| Date 20120906
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`Application/Control Number: 12/757,108
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`Page 2
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`Art Unit: 1731
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`DETAILED ACTION
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`Status of Claims
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`1.
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`2.
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`The amendment filed 09/05/2012 has been entered. Claims 1—14 remain pending.
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`The previous objection to the drawings is Withdrawn for the blank text box not intended
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`to have text.
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`3.
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`Applicant's arguments with respect to claims 1— 14 have been fully considered but they are
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`not persuasive. All previous art rejections have been maintained and reiterated below. See
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`Response to Arguments.
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`Claim Rejections - 35 USC § 102
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`4.
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`The text of those sections of Title 35, US. Code not included in this action can be found
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`in a prior Office action.
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`5.
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`Claims 1-5, 7, 8, and 10-13 are rejected under 35 U.S.C. 102(b) as being anticipated
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`by Omanda et al. (J. Electrochem. Soc. 2004, 151(6), A922-A929).
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`Regarding claims 1, 4, 7, and 8, Omanda discloses a protective SiOX coating for positive
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`(cathode) electrodes in lithium batteries comprising:
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`0 metallic lithium as the negative electrode (p. A923, Electrochemical tests);
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`0
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`positive electrode comprising aluminum substrate (current collector) fabricated by
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`mixing together active material, the active material being a lithium transition metal
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`complex oxide (e. g. L1N10,8C00,202) and a coated lithium transition metal complex oxide
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`(e. g. L1N10,8C00,202) coated on the current collector (p. A923, Electrochemical tests);
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`0
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`the coating being SiOX, (x < 2) (abstract); and
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`Application/Control Number: 12/757,108
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`Page 3
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`Art Unit: 1731
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`0
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`an electrolyte comprising at least one lithium salt (e. g. LiPF6) and at least one solvent
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`(e. g. ethylene carbonate/diethyl carbonate) (p. A923, Electrochemical tests).
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`Regarding claims 2 and 3, instant claims are proviso upon limitation (c) wherein the
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`oxide is deposited as a coating on the surface of a coating of the active cathode material
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`comprised of the lithium transition metal complex, a conductive material, and a binder not
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`required by the independent claim; therefore, the limitations of instant claims do not come into
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`force.
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`Regarding claim 5, Omanda discloses LiCoOz (p. A922, 1St col., line 3—5).
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`Regarding claims 10 and 13, the positive electrode comprising SiOX is expected to
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`generate less heat relative to a positive electrode Without such a coating (or is up to 50% less)
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`because products of identical chemical composition cannot have mutually exclusive properties.
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`A chemical composition and its properties are inseparable. Therefore, if the prior art teaches the
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`identical chemical structure, the properties applicant discloses and/or claims are necessarily
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`present. See MPEP 2112.01 I—ll.
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`Regarding claim 11, Omanda discloses positive electrode comprising aluminum substrate
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`(current collector) fabricated by mixing together active material, the active material being a
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`lithium transition metal complex oxide (e. g. LiNiggCoogOz), a coated lithium transition metal
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`complex oxide (e. g. LiNiggCoogOz), carbon black (conductive material), and PVdF (binder)
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`coated on the current collector (p. A923, Electrochemical tests); the coating being SiOX, (x < 2)
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`(abstract).
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`Regarding claim 12, Omanda discloses the coating is 3—5 nm thick (abstract), which lies
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`Within Applicant's claimed range of less than about 100 nm.
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`Application/Control Number: 12/757,108
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`Page 4
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`Art Unit: 1731
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`Claim Rejections - 35 USC § 103
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`6.
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`The text of those sections of Title 35, US. Code not included in this action can be found
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`in a prior Office action.
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`7.
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`Claims 6, 9, and 14 are rejected under 35 U.S.C. 103(3) as being unpatentable over
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`Omanda et al. (J. Electrochem. Soc. 2004, 151(6), A922-A929) in View of Idota et al. (US
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`5,686,203).
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`Regarding claim 6, Omanda teaches the negative electrode is metallic lithium.
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`Omanda does not teach the negative electrode comprises graphite and/or lithium alloy
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`comprising Si, Sn, Al, Pb, Bi, In, Ag, Pt, and Ti.
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`Idota, directed to an non—aqueous battery comprising positive electrode active material
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`and oxides (e.g. SiOz; col. 12, lines 52—65), teaches the negative electrode is elemental lithium
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`and lithium alloys (e.g. Li—Al) and carbonaceous compounds (col. 18, lines 14—16).
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`It would have been obvious to one of ordinary skill in the art at the time of invention to
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`substitute a lithium alloy for elemental lithium in a negative electrode because the prior art
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`recognizes both as materials used for the same purpose. These types of materials normally
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`associated with the negative electrode are well known in the art and are understood by those of
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`ordinary skill in this art.
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`Regarding claim 9, Omanda teaches a mixture of ethylene carbonate and diethyl
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`carbonate.
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`Omanda does not teach the mixture is ethylene carbonate and ethyl methyl carbonate.
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`Idota teaches the solvents may be selected from ethylene carbonate and methylethyl
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`carbonate and used alone or in combination (col. 14, lines 17—30).
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`Application/Control Number: 12/757,108
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`Page 5
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`Art Unit: 1731
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`It would have been obvious to one of ordinary skill in the art at the time of invention to
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`substitute a one solvent for another because the prior art recognizes these materials used for the
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`same purpose. These types of materials normally associated with the electrolyte are well known
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`in the art and are understood by those of ordinary skill in this art.
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`Regarding claim 14, the combination of Omanda and Idota recite all limitations for
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`instant claim as rejected in claims 1, 4, 6, and 10 above.
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`Response to Arguments
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`8.
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`Applicant argues Omanda discloses a protective SiOX coating for positive electrodes in
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`lithium batteries. The SiOX —coated powder is then combined with carbon black, PVdF, and
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`solvent to form a coating on an aluminum substrate. This is in contrast to Applicant's claimed
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`invention wherein the Si1_xGexOy is present in different locations as compared to Omanda as
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`recited in the amended claims, specifically forms a), b), or c).
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`9.
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`In response, while Examiner can appreciate the claimed differences, the claims as
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`currently amended are still met by Omanda. For example, while a coated lithium transition metal
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`complex oxide (e. g. core—shell type particle) may not necessarily be viewed as mixture in itself,
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`Omanda discloses mixing together both coated and uncoated LiNiggCoogOg powder and
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`fabricating a positive electrode (p. A923, Electrochemical tests). This mixture reads on at least
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`forms a) and b) of claim 1. For a), uncoated L1N103COQQOZ powder (lithium transition metal
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`complex oxide) is mixed with coated LiNiggCoogOz powder (i.e. SiOX). This mixture reads on
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`SiOX mixed with LiNiOgCoogOg. For b), the layer comprises both coated and uncoated
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`LiNiOgCoogOg powder (i. e. SiOX) coated on the current collector. For claim 11, similar
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`arguments can be made as for b). The coating of Omanda comprises a lithium transition metal
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`Application/Control Number: 12/757,108
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`Page 6
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`Art Unit: 1731
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`complex oxide, carbon black, a binder and SiOX particles on the current collector. Accordingly,
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`for claim 14, the same type of arguments can be made and for these reasons the rejection to
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`Omanda is maintained.
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`Conclusion
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`10.
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`Applicant's amendment necessitated the new ground(s) of rejection presented in this
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`Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a).
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`Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
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`A shortened statutory period for reply to this final action is set to expire THREE
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`MONTHS from the mailing date of this action. In the event a first reply is filed Within TWO
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`MONTHS of the mailing date of this final action and the advisory action is not mailed until after
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`the end of the THREE—MONTH shortened statutory period, then the shortened statutory period
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`Will expire on the date the advisory action is mailed, and any extension fee pursuant to 37
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`CFR 1.136(a) Will be calculated from the mailing date of the advisory action. In no event,
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`however, Will the statutory period for reply expire later than SIX MONTHS from the date of this
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`final action.
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`11.
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`Any inquiry concerning this communication or earlier communications from the
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`examiner should be directed to CARLOS BARCENA Whose telephone number is (571)270—
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`5780. The examiner can normally be reached on Monday through Thursday 8AM — 5PM EST.
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`If attempts to reach the examiner by telephone are unsuccessful, the examiner’s
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`supervisor, Roy King can be reached on (571) 272—1244. The fax phone number for the
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`organization Where this application or proceeding is assigned is 571—273—8300.
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`Application/Control Number: 12/757,108
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`Page 7
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`Art Unit: 1731
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`Information regarding the status of an application may be obtained from the Patent
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`Application Information Retrieval (PAIR) system. Status information for published applications
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`may be obtained from either Private PAIR or Public PAIR. Status information for unpublished
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`applications is available through Private PAIR only. For more information about the PAIR
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`system, see http://pair—direct.uspto.gov. Should you have questions on access to the Private PAIR
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`information system, call 800—786—9199 (IN USA OR CANADA) or 571—272—1000.
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`/Carlos Barcena/
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`Examiner, Art Unit 1731
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