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`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria1 Virginia 22313- 1450
`wwwnsptogov
`
`APPLICATION NO.
`
`
`
`
`
` F ING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`
`
`
`
`CONF {MATION NO.
`
`12/757,108
`
`04/09/2010
`
`Hizuru Koshina
`
`PESL—115US
`
`1994
`
`EXAMINER
`RATNERPRESTIA —
`09mm —
`7590
`52473
`PO. BOX 980
`BARCENA, CARLOS
`VALLEY FORGE, PA 19482-0980
`
`PAPER NUMBER
`
`ART UNIT
`
`1731
`
`MAIL DATE
`
`09/10/2012
`
`DELIVERY MODE
`
`PAPER
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`The time period for reply, if any, is set in the attached communication.
`
`PTOL—90A (Rev. 04/07)
`
`

`

`
`
`Office Action Summary
`
`Application No.
`
`Applicant(s)
`
`12/757,108
`
`KOSHINA, HIZURU
`
`Examiner
`CARLOS BARCENA
`
`Art Unit
`1731
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address --
`Period for Reply
`
`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.
`-
`- 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).
`
`Status
`
`1)IZI Responsive to communication(s) filed on 05 September 2012.
`
`2a)IZ| This action is FINAL.
`
`2b)I:l This action is non-final.
`
`3)I:I An election was made by the applicant in response to a restriction requirement set forth during the interview on
`
`
`; the restriction requirement and election have been incorporated into this action.
`
`4)|:l Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
`
`closed in accordance with the practice under Exparte Quay/e, 1935 CD. 11, 453 O.G. 213.
`
`Disposition of Claims
`
`5)IZI Claim(s) 1-14 is/are pending in the application.
`
`5a) Of the above claim(s) _ is/are withdrawn from consideration.
`
`6)I:I Claim(s) _ is/are allowed.
`
`7)|Zl Claim(s)_1-14 is/are rejected.
`
`8)I:I Claim(s) _ is/are objected to.
`
`9)I:l Claim(s) _ are subject to restriction and/or election requirement.
`
`Application Papers
`
`10)I:I The specification is objected to by the Examiner.
`
`11)|X| The drawing(s) filed on 09 AQI’i/ 2010 is/are: a)lZ| accepted or b)|:l objected to by the Examiner.
`
`Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
`
`Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121 (d).
`
`12)I:I The oath or declaration is objected to by the Examiner. Note the attached Office Action or form PTO-152.
`
`Priority under 35 U.S.C. § 119
`
`13)I:I Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`
`a)I:I AII
`
`b)I:I Some * c)|:l None of:
`
`1.I:I Certified copies of the priority documents have been received.
`
`2.I:I Certified copies of the priority documents have been received in Application No. _
`
`3.|:I Copies of the certified copies of the priority documents have been received in this National Stage
`
`application from the International Bureau (PCT Rule 17.2(a)).
`
`* See the attached detailed Office action for a list of the certified copies not received.
`
`Attachment(s)
`
`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
`
`4) D Interview Summary (PTO-413)
`Paper N°(5 )/Mai| Date. _
`5)I:I Notice of Informal Patent Application
`)6|:| Other:
`
`PTOL-326 (Rev. 03-11)
`
`Office Action Summary
`
`Part of Paper No./Mai| Date 20120906
`
`
`
`

`

`Application/Control Number: 12/757,108
`
`Page 2
`
`Art Unit: 1731
`
`DETAILED ACTION
`
`Status of Claims
`
`1.
`
`2.
`
`The amendment filed 09/05/2012 has been entered. Claims 1—14 remain pending.
`
`The previous objection to the drawings is Withdrawn for the blank text box not intended
`
`to have text.
`
`3.
`
`Applicant's arguments with respect to claims 1— 14 have been fully considered but they are
`
`not persuasive. All previous art rejections have been maintained and reiterated below. See
`
`Response to Arguments.
`
`Claim Rejections - 35 USC § 102
`
`4.
`
`The text of those sections of Title 35, US. Code not included in this action can be found
`
`in a prior Office action.
`
`5.
`
`Claims 1-5, 7, 8, and 10-13 are rejected under 35 U.S.C. 102(b) as being anticipated
`
`by Omanda et al. (J. Electrochem. Soc. 2004, 151(6), A922-A929).
`
`Regarding claims 1, 4, 7, and 8, Omanda discloses a protective SiOX coating for positive
`
`(cathode) electrodes in lithium batteries comprising:
`
`0 metallic lithium as the negative electrode (p. A923, Electrochemical tests);
`
`0
`
`positive electrode comprising aluminum substrate (current collector) fabricated by
`
`mixing together active material, the active material being a lithium transition metal
`
`complex oxide (e. g. L1N10,8C00,202) and a coated lithium transition metal complex oxide
`
`(e. g. L1N10,8C00,202) coated on the current collector (p. A923, Electrochemical tests);
`
`0
`
`the coating being SiOX, (x < 2) (abstract); and
`
`

`

`Application/Control Number: 12/757,108
`
`Page 3
`
`Art Unit: 1731
`
`0
`
`an electrolyte comprising at least one lithium salt (e. g. LiPF6) and at least one solvent
`
`(e. g. ethylene carbonate/diethyl carbonate) (p. A923, Electrochemical tests).
`
`Regarding claims 2 and 3, instant claims are proviso upon limitation (c) wherein the
`
`oxide is deposited as a coating on the surface of a coating of the active cathode material
`
`comprised of the lithium transition metal complex, a conductive material, and a binder not
`
`required by the independent claim; therefore, the limitations of instant claims do not come into
`
`force.
`
`Regarding claim 5, Omanda discloses LiCoOz (p. A922, 1St col., line 3—5).
`
`Regarding claims 10 and 13, the positive electrode comprising SiOX is expected to
`
`generate less heat relative to a positive electrode Without such a coating (or is up to 50% less)
`
`because products of identical chemical composition cannot have mutually exclusive properties.
`
`A chemical composition and its properties are inseparable. Therefore, if the prior art teaches the
`
`identical chemical structure, the properties applicant discloses and/or claims are necessarily
`
`present. See MPEP 2112.01 I—ll.
`
`Regarding claim 11, Omanda discloses positive electrode comprising aluminum substrate
`
`(current collector) fabricated by mixing together active material, the active material being a
`
`lithium transition metal complex oxide (e. g. LiNiggCoogOz), a coated lithium transition metal
`
`complex oxide (e. g. LiNiggCoogOz), carbon black (conductive material), and PVdF (binder)
`
`coated on the current collector (p. A923, Electrochemical tests); the coating being SiOX, (x < 2)
`
`(abstract).
`
`Regarding claim 12, Omanda discloses the coating is 3—5 nm thick (abstract), which lies
`
`Within Applicant's claimed range of less than about 100 nm.
`
`

`

`Application/Control Number: 12/757,108
`
`Page 4
`
`Art Unit: 1731
`
`Claim Rejections - 35 USC § 103
`
`6.
`
`The text of those sections of Title 35, US. Code not included in this action can be found
`
`in a prior Office action.
`
`7.
`
`Claims 6, 9, and 14 are rejected under 35 U.S.C. 103(3) as being unpatentable over
`
`Omanda et al. (J. Electrochem. Soc. 2004, 151(6), A922-A929) in View of Idota et al. (US
`
`5,686,203).
`
`Regarding claim 6, Omanda teaches the negative electrode is metallic lithium.
`
`Omanda does not teach the negative electrode comprises graphite and/or lithium alloy
`
`comprising Si, Sn, Al, Pb, Bi, In, Ag, Pt, and Ti.
`
`Idota, directed to an non—aqueous battery comprising positive electrode active material
`
`and oxides (e.g. SiOz; col. 12, lines 52—65), teaches the negative electrode is elemental lithium
`
`and lithium alloys (e.g. Li—Al) and carbonaceous compounds (col. 18, lines 14—16).
`
`It would have been obvious to one of ordinary skill in the art at the time of invention to
`
`substitute a lithium alloy for elemental lithium in a negative electrode because the prior art
`
`recognizes both as materials used for the same purpose. These types of materials normally
`
`associated with the negative electrode are well known in the art and are understood by those of
`
`ordinary skill in this art.
`
`Regarding claim 9, Omanda teaches a mixture of ethylene carbonate and diethyl
`
`carbonate.
`
`Omanda does not teach the mixture is ethylene carbonate and ethyl methyl carbonate.
`
`Idota teaches the solvents may be selected from ethylene carbonate and methylethyl
`
`carbonate and used alone or in combination (col. 14, lines 17—30).
`
`

`

`Application/Control Number: 12/757,108
`
`Page 5
`
`Art Unit: 1731
`
`It would have been obvious to one of ordinary skill in the art at the time of invention to
`
`substitute a one solvent for another because the prior art recognizes these materials used for the
`
`same purpose. These types of materials normally associated with the electrolyte are well known
`
`in the art and are understood by those of ordinary skill in this art.
`
`Regarding claim 14, the combination of Omanda and Idota recite all limitations for
`
`instant claim as rejected in claims 1, 4, 6, and 10 above.
`
`Response to Arguments
`
`8.
`
`Applicant argues Omanda discloses a protective SiOX coating for positive electrodes in
`
`lithium batteries. The SiOX —coated powder is then combined with carbon black, PVdF, and
`
`solvent to form a coating on an aluminum substrate. This is in contrast to Applicant's claimed
`
`invention wherein the Si1_xGexOy is present in different locations as compared to Omanda as
`
`recited in the amended claims, specifically forms a), b), or c).
`
`9.
`
`In response, while Examiner can appreciate the claimed differences, the claims as
`
`currently amended are still met by Omanda. For example, while a coated lithium transition metal
`
`complex oxide (e. g. core—shell type particle) may not necessarily be viewed as mixture in itself,
`
`Omanda discloses mixing together both coated and uncoated LiNiggCoogOg powder and
`
`fabricating a positive electrode (p. A923, Electrochemical tests). This mixture reads on at least
`
`forms a) and b) of claim 1. For a), uncoated L1N103COQQOZ powder (lithium transition metal
`
`complex oxide) is mixed with coated LiNiggCoogOz powder (i.e. SiOX). This mixture reads on
`
`SiOX mixed with LiNiOgCoogOg. For b), the layer comprises both coated and uncoated
`
`LiNiOgCoogOg powder (i. e. SiOX) coated on the current collector. For claim 11, similar
`
`arguments can be made as for b). The coating of Omanda comprises a lithium transition metal
`
`

`

`Application/Control Number: 12/757,108
`
`Page 6
`
`Art Unit: 1731
`
`complex oxide, carbon black, a binder and SiOX particles on the current collector. Accordingly,
`
`for claim 14, the same type of arguments can be made and for these reasons the rejection to
`
`Omanda is maintained.
`
`Conclusion
`
`10.
`
`Applicant's amendment necessitated the new ground(s) of rejection presented in this
`
`Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a).
`
`Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
`
`A shortened statutory period for reply to this final action is set to expire THREE
`
`MONTHS from the mailing date of this action. In the event a first reply is filed Within TWO
`
`MONTHS of the mailing date of this final action and the advisory action is not mailed until after
`
`the end of the THREE—MONTH shortened statutory period, then the shortened statutory period
`
`Will expire on the date the advisory action is mailed, and any extension fee pursuant to 37
`
`CFR 1.136(a) Will be calculated from the mailing date of the advisory action. In no event,
`
`however, Will the statutory period for reply expire later than SIX MONTHS from the date of this
`
`final action.
`
`11.
`
`Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to CARLOS BARCENA Whose telephone number is (571)270—
`
`5780. The examiner can normally be reached on Monday through Thursday 8AM — 5PM EST.
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiner’s
`
`supervisor, Roy King can be reached on (571) 272—1244. The fax phone number for the
`
`organization Where this application or proceeding is assigned is 571—273—8300.
`
`

`

`Application/Control Number: 12/757,108
`
`Page 7
`
`Art Unit: 1731
`
`Information regarding the status of an application may be obtained from the Patent
`
`Application Information Retrieval (PAIR) system. Status information for published applications
`
`may be obtained from either Private PAIR or Public PAIR. Status information for unpublished
`
`applications is available through Private PAIR only. For more information about the PAIR
`
`system, see http://pair—direct.uspto.gov. Should you have questions on access to the Private PAIR
`
`system, contact the Electronic Business Center (EBC) at 866—217—9197 (toll—free). If you would
`
`like assistance from a USPTO Customer Service Representative or access to the automated
`
`information system, call 800—786—9199 (IN USA OR CANADA) or 571—272—1000.
`
`/Carlos Barcena/
`
`Examiner, Art Unit 1731
`
`

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