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`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and TrademarkOffice
`Address; COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`
`16/495,937
`
`09/20/2019
`
`Fumiharu NIINA
`
`P190906US00
`
`9499
`
`WESTERMAN, HATTORI, DANIELS & ADRIAN, LLP
`8500 LEESBURG PIKE
`SUITE 7500
`TYSONS, VA 22182
`
`WALLS, CYNTHIA KYUNG SOO
`
`ART UNIT
`1724
`
`PAPER NUMBER
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`NOTIFICATION DATE
`
`DELIVERY MODE
`
`09/28/2021
`
`ELECTRONIC
`
`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.
`
`Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the
`following e-mail address(es):
`
`patentmail @ whda.com
`
`PTOL-90A (Rev. 04/07)
`
`

`

`
`
`Disposition of Claims*
`1-5 is/are pending in the application.
`)
`Claim(s)
`5a) Of the above claim(s) ___ is/are withdrawn from consideration.
`C} Claim(s)
`is/are allowed.
`Claim(s) 1-5 is/are rejected.
`S)
`) © Claim(s)____is/are objected to.
`Cj) Claim(s
`are subjectto restriction and/or election requirement
`)
`S)
`* If any claims have been determined allowable, you maybeeligible to benefit from the Patent Prosecution Highway program at a
`participating intellectual property office for the corresponding application. For more information, please see
`http://www.uspto.gov/patents/init_events/pph/index.jsp or send an inquiry to PPHfeedback@uspto.gov.
`
`) )
`
`Application Papers
`10)(] The specification is objected to by the Examiner.
`11) The drawing(s) filed on 9/20/2019 is/are: a). accepted or b)@ 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:
`_—_c)L) None ofthe:
`b)L) Some**
`a)¥) All
`1.4) Certified copies of the priority documents have been received.
`2.2) Certified copies of the priority documents have been received in Application No.
`3.2.) Copies of the certified copies of the priority documents have been receivedin 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)
`
`Notice of References Cited (PTO-892)
`
`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) (J Interview Summary (PTO-413)
`Paper No(s)/Mail Date
`(Qj Other:
`
`4)
`
`PTOL-326 (Rev. 11-13)
`
`Office Action Summary
`
`Part of Paper No./Mail Date 20210923
`
`Application No.
`Applicant(s)
`16/495,937
`NIINA et al.
`
`Office Action Summary Art Unit|AIA (FITF) StatusExaminer
`CYNTHIA K WALLS
`1724
`Yes
`
`
`
`-- The MAILING DATEofthis communication appears on the cover sheet with the correspondence address --
`Period for Reply
`
`A SHORTENED STATUTORY PERIOD FOR REPLYIS SET TO EXPIRE 3 MONTHS FROM THE MAILING
`DATE OF THIS COMMUNICATION.
`Extensions of time may be available underthe provisions of 37 CFR 1.136(a). In no event, however, may a reply betimely filed after SIX (6) MONTHSfrom 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) MONTHSfrom 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, evenif timely filed, may reduce any earned patent term
`adjustment. See 37 CFR 1.704(b).
`
`Status
`
`1) Responsive to communication(s) filed on 9/20/2019.
`C} A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/werefiled on
`
`2a)L) This action is FINAL. 2b)¥)This action is non-final.
`3)02 An election was madeby the applicant in responseto a restriction requirement set forth during the interview
`on
`; the restriction requirement and election have been incorporated into this action.
`4\0) 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 Quayle, 1935 C.D. 11, 453 O.G. 213.
`
`

`

`Application/Control Number: 16/495,937
`Art Unit: 1724
`
`Page 2
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`Notice of Pre-AlA or AIA Status
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`The present application, filed on or after March 16, 2013,
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`is being examined
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`under the first inventor to file provisions of the AIA.
`
`Priority
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`Acknowledgement has been madeof applicant’s claim for priority under 35 USC
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`119 (a-d). The certified copy has been filed on 9/20/2019.
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`Information Disclosure Statement
`
`The Information Disclosure Statement (IDS) filed 10/17/2019 has been placed in
`
`the application file and the information referred to therein has been considered.
`
`The drawings received 9/20/2019 are acceptable for examination purposes.
`
`Drawings
`
`Claim Rejections - 35 USC § 112
`
`The following is a quotation of the second paragraph of 35 U.S.C. 112:
`
`The specifications hall conclude with one or more claims particulafypointing outand distinctly
`claiming the subject matter which the applicant regards ashis invention.
`
`Claim 5 is rejected under 35 U.S.C. 112, second paragraph, as being indefinite
`
`for failing to particularly point out and distinctly claim the subject matter which applicant
`
`regards as the invention.
`
`The range of claim 5 is indefinite.
`
`

`

`Application/Control Number: 16/495,937
`Art Unit: 1724
`
`Page 3
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`Claim Rejections - 35 USC § 103
`
`The following is a quotation of 35 U.S.C. 103(a) which forms the basisforall
`
`obviousness rejections set forth in this Office action:
`
`(a) A patent may not be obtained though the invention is notidenticallydisclosedor described as set
`forth in section 102ofthis title, if the differences between the subject matter soughtto be patented and
`the prior art are such that the subject matter as a whole would have been obvious atthe time the
`invention was made to a person having ordinaryskillin the art to whichs aid subject matter pertains.
`Patentabilityshall notbe negatived by the mannerin whichthe invention was made.
`
`Claims 1, 4, 5 are rejected under 35 U.S.C. 103(a) as being unpatentable over
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`Kuriyama (US 2016/0308202) in view of Ma (US 2013/0252031).
`
`Regarding claim 1, Kuriyama discloses a nonaqueous electrolyte secondary
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`battery comprising:
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`a positive electrode containing a lithium transition metal oxide as a positive
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`electrode active material;
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`a negative electrode containing a carbon material as a negative electrode
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`active material; and
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`a nonaqueous electrolyte,
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`wherein the lithium transition metal oxide contains W and Si [0012];
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`Regarding claim 4, the lithium transition metal oxide contains 10 mol% or moreof
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`Mn relative to the total amount of transition metals, Kuriyama disclosesalithium
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`manganese cobalt composite, LiMnxCo1-xO2, O0<x<1 [0023]. Given the broadness of
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`the claimed range, to make the composite oxide with a 10 mol% or more of Mn would
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`have been within the skill of an ordinary artisan, absent unexpected results.
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`Regarding claim 5, the average particle diameter of primary particles
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`constituting the lithium transition metal oxide is 1 um or more, Kuriyama discloses the
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`thickness of the electrode mixture layer is preferably 20 .mu.m to 100 .mu.m [0027].
`
`

`

`Application/Control Number: 16/495,937
`Art Unit: 1724
`
`Page 4
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`Given the broadness of the claimed range, to form the particles of Kuriyama less than
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`the thickness of the electrode mixture layer would have been within the skill of an
`
`ordinary artisan, absent unexpected results.
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`Regarding claim 1, Kuriyama discloses carbon as the negative electrode material
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`[0123], but does not disclose W and Si adhereto the surface of the carbon material; and
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`the amount of W adhering to the surface of the carbon material is 2 times or less
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`in terms of a molar ratio to the amount of Si adhering to the surface of the carbon
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`material. Ma teaches a core composedof the carbon material may be used as a
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`skeleton of the negative active material, thus effectively avoiding agglomeration of
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`nanometer materials and providing excellent electron conductive channels. The
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`intermediate layer composedofthe first material is coated onto the surface of the core,
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`and the first material may be at least one material that can form an alloy with lithium,
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`thus ensuring high capacity of the negative active material. The second material forming
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`the outmost layer coated on the surface of the intermediate layer may be at least one
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`selected from the group consisting of transition metal oxides, transition metal nitrides
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`and transition metal sulfides; and the transition metal oxides, transition metal nitrides or
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`transition metal sulfides may form a dynamic solid electrolyte layer during charging and
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`discharging, thus further improving the cycling performance of the negative active
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`material and effectively avoiding side reactions caused by volume change ofthe first
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`material in the charging and discharging process [0014].
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`It would have been obvious to
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`one of ordinary skill in the art at the time the invention was made to add an intermediate
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`

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`Application/Control Number: 16/495,937
`Art Unit: 1724
`
`Page 5
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`layer and an outermost layer on the carbon of Kuriyama, as taught by Ma,for the
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`benefit of protecting the active material and avoiding any side reactions.
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`Allowable Subject Matter
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`Claims 2, 3 are objected to as being dependent upon a rejected base claim, but
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`would be allowable if rewritten in independent form including all of the limitations of the
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`base claim and anyintervening claims.
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`The following is a statement of reasons for the indication of allowable subject
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`matter:
`
`The closestprior art is Ma (US 2013/0252031).
`
`Ma discloses a negative electrode containing a carbon material and, W and Si
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`adhere to the surface of the carbon material [0013, 0018, 0019], but does not disclose:
`
`the amount of Si adhering to the surface of the carbon material is 50 x 10” or less
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`in terms of molar ratio to the carbon material, as claimed in claim 2.
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`The closestprior art is Kuriyama (US 2016/0308202).
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`Kuriyama discloses a positive electrode containingalithium transition metal
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`oxide containing W and Si, but does not disclose:
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`the lithium transition metal oxide contains W and Si as a solid solution, as
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`claimed in claim 3.
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`Regarding claim 3, the instant Specification states:
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`[0022] W and Si containedin the lithium transition metal oxide may adhereto the surfacesof
`
`oxide particles, but are preferably present as a solid solution in the composite oxide. In the case of a solid
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`solution of W and 51 in the composite oxide, the effect of improving the low-temperature regeneration
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`

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`Application/Control Number: 16/495,937
`Art Unit: 1724
`
`Page 6
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`characteristics becomes more remarkable. The term “solid solution of W_and Si* represents a state
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`state of being
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`presentin a crystal) where W_and Si are present by
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`partially
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`substituting the transition
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`metal elements in the composite oxide. The presence and amountof a solid solution of W and Si can be
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`confirmed by cutting the oxide particles or scraping the surfaces at the particles and performing Auger
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`electron spectroscopy {AES} or transmission electron microscope {TEM)-enerqy dispersive K-
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`ray spectrometry {EDX} of the insides of the particles (emphasis addec).
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`Conclusion
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`Any inquiry concerning this communication or earlier communications from the
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`examiner should be directed to CYNTHIA KYUNG SOO WALLS whose telephone
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`number is (571)272-8699. The examiner can normally be reached on M-F until 5pm.
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`If attempts to reach the examiner by telephone are unsuccessful, the examiner's
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`supervisor, Miriam Stagg can be reached at 571-270-5256. The fax phone numberfor
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`the organization where this application or proceeding is assigned is 571-273-8300.
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`
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`
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`
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`
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`
`/CYNTHIA K WALLS/
`Primary Examiner, Art Unit 1724
`
`