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`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 2231371450
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`15/753,772
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`02/20/2018
`
`NOIikO Manabe
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`P180158U500
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`8862
`
`38834
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`759°
`
`03/20/2019
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`WESTERMAN, HATTORI, DANIELS & ADRIAN, LLP
`
`8500 Leesburg Pike
`SUITE 7500
`
`Tysons VA 22182
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`WEI” ZHONGQING
`
`1727
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`PAPERNUMBER
`
`NOTIFICATION DATE
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`DELIVERY MODE
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`03/20/2019
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`ELECTRONIC
`
`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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`Notice of the Office communication was sent electronically on above—indicated "Notification Date" to the
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`following e—mail address(es):
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`patentmail@ whda.eom
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`PTOL-90A (Rev. 04/07)
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`

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`0/7709 A0170” Summary
`
`Application No.
`15/753,772
`Examiner
`ZHONGQING WEI
`
`Applicant(s)
`Manabe et al.
`Art Unit
`1727
`
`AIA (FITF) Status
`Yes
`
`- The MAILING DA TE of this communication appears on the cover sheet wit/7 the correspondence address -
`Period for Reply
`
`A SHORTENED STATUTORY PERIOD FOR REPLY IS SET TO EXPIRE g MONTHS FROM THE MAILING
`DATE OF THIS COMMUNICATION.
`Extensions of time may be available under the provisions of 37 CFR 1.136(a). In no event, however, may a reply be timely filed after SIX (6) 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
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`1). Responsive to communication(s) filed on 20 February 2018.
`[:1 A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/were filed on
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`2a)D This action is FINAL.
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`2b)
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`This action is non-final.
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`3)[:] 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.
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`4)[:] 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 Expat/7e Quay/e, 1935 CD. 11, 453 O.G. 213.
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`Disposition of Claims*
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`5)
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`Claim(s) fl is/are pending in the application.
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`5a) Of the above claim(s)
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`is/are withdrawn from consideration.
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`E] Claim(s)
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`is/are allowed.
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`Claim(s) fl is/are rejected.
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`Claim(s) 1 and 4 is/are objected to.
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`) ) ) )
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`6 7
`
`8
`
`
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`are subject to restriction and/or election requirement
`[:1 Claim(s)
`9
`* If any claims have been determined allowable, you may be eligible to benefit from the Patent Prosecution Highway program at a
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`participating intellectual property office for the corresponding application. For more information, please see
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`http://www.uspto.gov/patents/init events/pph/index.'sp or send an inquiry to PPeredback@uspto.gov.
`
`Application Papers
`10). The specification is objected to by the Examiner.
`
`11). The drawing(s) filed on 20 February 2018 is/are: a). accepted or b)C] 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).
`
`Priority under 35 U.S.C. § 119
`12). Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`Certified copies:
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`a). All
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`b)|:] Some”
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`c)C] None of the:
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`1.. Certified copies of the priority documents have been received.
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`21:] Certified copies of the priority documents have been received in Application No.
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`3D 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.
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`Attachment(s)
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`1)
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`Notice of References Cited (PTO-892)
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`Information Disclosure Statement(s) (PTO/SB/08a and/or PTO/SB/08b)
`2)
`Paper No(s)/Mail Date_
`U.S. Patent and Trademark Office
`
`3) C] Interview Summary (PTO-413)
`Paper No(s)/Mail Date
`4) D Other-
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`PTOL-326 (Rev. 11-13)
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`Office Action Summary
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`Part of Paper No./Mai| Date 20190311
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`

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`Application/Control Number: 15/753,772
`Art Unit: 1727
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`Page 2
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`NONA UEOUS ELECTROLYTE SECONDARY BATTERIES
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`DETAILED CORRESPONDENCE
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`Notice of Pre-AIA or AIA Status
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`1.
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`The present application, filed on or after March 16, 2013, is being examined under the
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`first inventor to file provisions of the AIA.
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`2.
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`Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55.
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`Priority
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`Information Disclosure Statement
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`3.
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`The information disclosure statement (IDS) submitted on February 20, 2018 is being
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`considered by the examiner.
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`Specification
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`4.
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`The title ofthe invention is not descriptive. A new title is required that is clearly
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`indicative of the invention to which the claims are directed.
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`Drawings
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`5.
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`The drawings are objected to under 37 CFR l.83(a). The drawings must show every
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`feature of the invention specified in the claims. Therefore, the ”a plane" recited in the claims 1
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`

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`Application/Control Number: 15/753,772
`Art Unit: 1727
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`Page 3
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`and 4 must be shown or the feature(s) canceled from the claim(s). No new matter should be
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`entered.
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`Corrected drawing sheets in compliance with 37 CFR 1.121(d) are required in reply to
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`the Office action to avoid abandonment of the application. Any amended replacement drawing
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`sheet should include all of the figures appearing on the immediate prior version of the sheet,
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`even if only one figure is being amended. The figure or figure number of an amended drawing
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`should not be labeled as ”amended." If a drawing figure is to be canceled, the appropriate
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`figure must be removed from the replacement sheet, and where necessary, the remaining
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`figures must be renumbered and appropriate changes made to the brief description of the
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`several views of the drawings for consistency. Additional replacement sheets may be necessary
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`to show the renumbering of the remaining figures. Each drawing sheet submitted after the
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`filing date of an application must be labeled in the top margin as either ”Replacement Sheet" or
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`”New Sheet" pursuant to 37 CFR 1.121(d). |fthe changes are not accepted by the examiner, the
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`applicant will be notified and informed of any required corrective action in the next Office
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`action. The objection to the drawings will not be held in abeyance.
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`6.
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`Claims 1 and 4 are objected to because of the following:
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`Claim Objections
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`The unit of pressure, MPa/cmz, recited in claims 1 and 4, is incorrect.
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`|n claim 4, the full name of the abbreviated name of SOC should be provided.
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`Appropriate correction is required.
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`

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`Application/Control Number: 15/753,772
`Art Unit: 1727
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`Page 4
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`Claim Rejections - 35 USC § 103
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`7.
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`The following is a quotation of 35 U.S.C.103 which forms the basis for all obviousness
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`rejections set forth in this Office action:
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`A patent for a claimed invention may not be obtained, notwithstanding that the claimed
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`invention is not identically disclosed as set forth in section 102, if the differences
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`between the claimed invention and the prior art are such that the claimed invention as
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`a whole would have been obvious before the effective filing date of the claimed
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`invention to a person having ordinary skill in the art to which the claimed invention
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`pertains. Patentability shall not be negated by the manner in which the invention was
`made.
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`8.
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`The factual inquiries set forth in Graham v. John Deere C0,, 383 U.S. 1, 148 USPQ 459
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`(1966), that are applied for establishing a background for determining obviousness under 35
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`U.S.C.103 are summarized as follows:
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`1. Determining the scope and contents of the prior art.
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`2. Ascertaining the differences between the prior art and the claims at issue.
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`3. Resolving the level of ordinary skill in the pertinent art.
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`4. Considering objective evidence present in the application indicating obviousness or
`nonobviousness.
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`9.
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`Claims 1-2 and 4-5 are rejected under 35 U.S.C. 103 as being unpatentable over
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`Miyawaki et 0/. (JP 2009076373 A, for citation purposes its English machine translation is being
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`used in this Office correspondence, hereafter Miyawaki) in view of Kokado et 0/. (WO
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`2013125426 A1, for citation purposes its U.S. equivalent US 9991505 B2 is being used in this
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`correspondence, hereafter Kokado).
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`Regarding claim 1, Miyawaki teaches a nonaqueous electrolyte secondary battery
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`(Abstract) comprising an electrode assembly (”electrode unit", ”a winding structure, a
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`laminated structure and the like", [0031]) that comprises a positive electrode (at least [0028])
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`including a positive electrode current collector (at least [0028]) and a positive electrode mixture
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`

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`Application/Control Number: 15/753,772
`Art Unit: 1727
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`Page 5
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`layer (”positive electrode active material" and ”binder", [0028]) disposed on the positive
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`electrode current collector (at least [0028]), a negative electrode (at least [0016]—[0018])
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`including a negative electrode current collector (at least [0018]) and a negative electrode
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`mixture layer (”SiOX" combined with ”a carbon material" and ”binder”, at least [0016]—[0017])
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`disposed on the negative electrode current collector (at least [0018]), and a separator (at least
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`[0029], [0031]), wherein
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`the negative electrode mixture layer comprises a carbon material (at least [0017]) and a
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`silicon compound (e.g., SiOX, at least [0017]).
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`Miyawaki teaches that cycle characteristics of the battery can be improved by
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`optimizing surface pressure imposed on the electrode unit/assembly (at least, [0043], [0031]—
`
`[0033]). For instance, Miyawaki teaches that the electrode unit is pressurized with a pressure of
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`3 kgf/cm2 (z 0.29 MPa) or more (at least Abstract, [0043], [0031]—[0033]). One skilled in the art
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`would readily appreciate the pressure imposed on the electrode assembly would necessarily
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`impose on ”a plane in which the positive electrode and the negative electrode are opposed to
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`each other through the separator" because the plane is inside the electrode assembly. Thus,
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`the surface pressure imposed on the said plane is a result—effective variable. It would have been
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`obvious to one of ordinary skill in the art, before the effective filing date of the instant
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`invention, to have optimized the surface pressure imposed on the said plane to be ”not less
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`than 0.1 MPa" as instantly claimed, in order to achieve remarkable effects such as improved
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`cycle characteristics (at least [0043]). Moreover, It is well—established that ”[W]here the general
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`conditions of a claim are disclosed in the prior art, it is not inventive to discover the optimum or
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`

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`Application/Control Number: 15/753,772
`Art Unit: 1727
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`Page 6
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`workable ranges by routine experimentation." In reAller, 220 F.2d 454, 456, 105 USPQ 233, 235
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`(CCPA 1955).
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`Miyawaki further teaches the positive electrode mixture layer comprises a lithium
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`transition metal oxide containing Ni (e.g., ”lithium composite nickel oxide", [0028]), but does
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`not appear to expressly teach ”an attached element belonging to Group VI ofthe periodic
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`table" that is attached on the surface of the lithium transition metal oxide. However, in the
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`same field of endeavor, Kokado discloses that a positive electrode material formed by attaching
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`(See, e.g., Fig. 1) lithium tungstates, such as LizWO4, Li4WO5 and Li6W209 (col. 4, lines 34—39), to
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`the particle surfaces of lithium metal composite oxide represented by a general formula LizNi1_x_
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`yCoXMyOZ (0.103x30.35, 03y30.35, 0.973z3l.20, and M may be Al) (col. 4, lines 11—25) is capable
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`of achieving both high capacity and high output when used as a positive electrode for
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`nonaqueous electrolyte secondary batteries (See at least Abstract). Therefore it would have
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`been obvious to one of ordinary skill in the art, before the effective filing date of the instant
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`invention, to have used Kokado’s positive electrode material described above as an alternative
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`to the positive electrode active material of Miyawaki, in order to achieve both high capacity and
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`high output when used in the nonaqueous electrolyte secondary battery.
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`Further, for the formula LizNi(1—x—y)CoxMy02, when x=0.10 and y=0, (1—x—y)=0.9. Thus,
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`the molar fraction of Ni relative to the total molar amount of metal elements except lithium is
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`0.9/(0.1+0+0.9)=90%, within the instantly claimed range of ”not less than 80 mol%".
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`Regarding claim 2, Miyawaki in view of Kokado teaches the nonaqueous electrolyte
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`secondary battery according to claim 1, wherein the lithium transition metal oxide is
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`

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`Application/Control Number: 15/753,772
`Art Unit: 1727
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`Page 7
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`represented by the general formula LizNi1-X-yCoXMy02 (0.103x30.35, OSySO.35, 0.97stl.20, and
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`M may be Al) (col. 4, lines 11—25, Kokado).
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`LiaNixC0(1—x)AI(1—x)02
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`0.953a31.2
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`(claimed)
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`0.853x31.0
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`03(1-x)30.15
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`03(1-x)30.15
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`(prior art, Kokado)
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`LizNi(1—x—y)C0xMy02
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`0.97323120
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`0.33(1—x-y)30.9
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`0.103x30.35
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`As clearly seen from the data above, the molar range of each of elements in Kokado’s
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`formula overlaps that of each corresponding elements in the claimed formula, respectively. In
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`the case where the claimed ranges ”overlap or lie inside ranges disclosed by the prior art", a
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`primafacie case of obviousness exists. (MPEP 2144.05 (I) or 213l.03(|l)).
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`Regarding claim 4, Miyawaki in view of Kokado teaches the nonaqueous electrolyte
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`secondary battery according to claim 1, Miyawaki teaches that cycle characteristics of the
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`battery can be improved by optimizing surface pressure imposed on the electrode
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`unit/assembly (at least, [0043], [0031]—[0033]). For instance, Miyawaki teaches that the
`
`electrode unit is pressurized with a pressure of 3 kgf/cm2 (z 0.29 MPa) or more (at least
`
`Abstract, [0043], [0031]—[0033]). One skilled in the art would readily appreciate the pressure
`
`imposed on the electrode assembly would necessarily impose on ”a plane in which the positive
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`electrode and the negative electrode are opposed to each other at an outermost periphery of
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`the electrode assembly" because the said plane is part of or inside the electrode assembly.
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`

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`Application/Control Number: 15/753,772
`Art Unit: 1727
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`Page 8
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`Thus, the surface pressure imposed on the said plane is a result—effective variable. It would
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`have been obvious to one of ordinary skill in the art, before the effective filing date of the
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`instant invention, to have optimized the surface pressure imposed on the said plane to be ”not
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`less than 0.1 MPa at 100% SOC (”in the charging completed state", [0031])" as instantly
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`claimed, in order to achieve remarkable effects such as improved cycle characteristics (at least
`
`[0043]). Moreover, It is well—established that ”[W]here the general conditions of a claim are
`
`disclosed in the prior art, it is not inventive to discover the optimum or workable ranges by
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`routine experimentation." In reAller, 220 F.2d 454, 456, 105 USPQ 233, 235 (CCPA 1955).
`
`Regarding claim 5, Miyawaki in view of Kokado teaches the nonaqueous electrolyte
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`secondary battery according to claim 1, and the instantly claimed ”the positive electrode
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`mixture layer has a volume resistivity under a load of 20 kN of higher than 6.1 Qcm" is
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`considered as the characteristic or property of the positive electrode mixture layer. Since
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`Miyawaki as modified teaches a positive electrode mixture layer having a composition
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`containing Ni and tungstate substantially similar to the claimed (See at least: lines 11—39 of col.
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`4 of Kokado, instant Table 7, and the rejection of claim 1), the claimed volume resistivity is
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`reasonably expected to one of ordinary skill in the art.
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`”Products of identical chemical composition cannot have mutually exclusive properties"
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`(MPEP 2112.01). The applicant’s product and that of the prior art are identical or substantially
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`identical, the burden shifts to the applicant to overcome the rejection by providing evidence
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`that the prior art product does not necessarily or inherently possess a relied—upon characteristic
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`of the applicant’s claimed product. See In re Fitzgerald, 619 F.2d 67, 70, 205 USPQ 594, 596
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`(CCPA 1980); In re Best, 562 F.2d 1252, 1255, 195 USPQ 430, 433—34 (CCPA 1977).
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`

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`Application/Control Number: 15/753,772
`Art Unit: 1727
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`Page 9
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`10.
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`Claim 3 is rejected under 35 U.S.C. 103 as being unpatentable over Miyawaki in view of
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`Kokada, as applied to claim 1 above, and further in view of Ueda et al. (US 20120009452 A1,
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`hereafter Ueda).
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`Regarding claim 3, Miyawaki in view of Kokado teaches the nonaqueous electrolyte
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`secondary battery according to claim 1, but is silent to the amount ratio of silicon compound to
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`the total amount of the carbon material and the silicon compound present in the negatiave
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`electrode mixture layer.
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`However, Ueda discloses a nonaqueous electrolyte secondary battery having improved
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`energy density (at least, Abstract, [0047], [0078]) by using a negative electrode material
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`containing 20% or less by weight of silicon compound (silicon oxide SiO, [0078]) and 80% or
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`more by weight ([0078]).
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`It would have been obvious to one of ordinary skill in the art, before the effective filing
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`date ofthe instant invention, to have used Ueda’s negative electrode material as an alternative
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`to the negative electrode material of Miyawaki as modified, for the benefit of achieving an
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`improved energy density.
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`Contact Information
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`11.
`
`Any inquiry concerning this communication or earlier communications from the
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`examiner should be directed to ZHONGQING WEI whose telephone number is (571)272—4809.
`
`The examiner can normally be reached on Mon — Fri 9:30 — 6:00.
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`Examiner interviews are available via telephone, in—person, and video conferencing
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`using a USPTO supplied web—based collaboration tool. To schedule an interview, applicant is
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`

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`Application/Control Number: 15/753,772
`Art Unit: 1727
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`Page 10
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`encouraged to use the USPTO Automated Interview Request (AIR) at
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`If attempts to reach the examiner by telephone are unsuccessful, the examiner’s
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`
`/ZHONGQING WEI/
`
`Examiner, Art Unit 1727
`
`