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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
`
`17/282,094
`
`04/01/2021
`
`Hiroyuki Okuda
`
`P210273US00
`
`6857
`
`WHDA, LLP
`8500 LEESBURG PIKE
`SUITE 7500
`TYSONS, VA 22182
`
`ERWIN, JAMES M
`
`1725
`
`PAPER NUMBER
`
`NOTIFICATION DATE
`
`DELIVERY MODE
`
`10/16/2023
`
`ELECTRONIC
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`Thetime 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*
`1-6 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`5a) Of the above claim(s) ___ is/are withdrawn from consideration.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) 1-6 is/are rejected.
`S)
`) © Claim(s)____is/are objected to.
`C} 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:/Awww.uspto.gov/patents/init_events/pph/index.jsp or send an inquiry to PPHfeedback@uspto.gov.
`
`) )
`
`Application Papers
`10)C2 The specification is objected to by the Examiner.
`11)M The drawing(s) filed on 04/01/2021 is/are: a)(] accepted or b)M 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)[VM. Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d)or (f).
`Certified copies:
`c)Z None ofthe:
`b)() Some**
`a) All
`1... Certified copies of the priority documents have been received.
`2.1) Certified copies of the priority documents have beenreceived in Application No.
`3.4% 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 05/10/2021.
`U.S. Patent and Trademark Office
`
`3)
`
`(LJ Interview Summary (PTO-413)
`Paper No(s)/Mail Date
`4) (J Other:
`
`PTOL-326 (Rev. 11-13)
`
`Office Action Summary
`
`Part of Paper No./Mail Date 20231010
`
`Application No.
`Applicant(s)
`47/282,094
`Okuda etal.
`
`Office Action Summary Art Unit|AIA (FITF) StatusExaminer
`JAMES M ERWIN
`1725
`Yes
`
`
`
`-- The MAILING DATEof this 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)C Responsive to communication(s) filed on
`C) A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/werefiled on
`
`2a)C) This action is FINAL. 2b)¥)This action is non-final.
`3) 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\() 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: 17/282,094
`Art Unit: 1725
`
`Page 2
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`DETAILED ACTION
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`Notice of Pre-AlA orAIA Status
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`1.
`
`The present application,filed on or after March 16, 2013, is being examined under the first
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`inventorto file provisions of the AIA.
`
`Priority
`
`2.
`
`Applicant’s claim for the benefit of a prior-filed application under 35 U.S.C. 119(e) or under 35
`
`U.S.C. 120, 121, 365(c), or 386(c) is acknowledged. Applicant has complied with all of the conditions for
`
`receiving the benefit of an earlier filing date under 35 U.S.C. 119(e).
`
`Receipt is acknowledged of certified copies of papers required by 37 CFR1.55.
`
`Information Disclosure Statement
`
`3.
`
`The information disclosure statement (IDS) submitted on 05/10/2021 is in compliance with the
`
`provisions of 37 CFR 1.97. Accordingly, the information disclosure statementis being considered by the
`
`examiner.
`
`Drawings
`
`4.
`
`The drawings are objected to under 37 CFR 1.83(a). The drawings must show everyfeature of
`
`the invention specified in the claims. Therefore, the features of “region A” (claims 1 and 2), “diameter
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`L1” and “diameter L2” (claim 3) must be shown or the feature(s) canceled from the claim(s). No new
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`matter should be entered.
`
`Corrected drawing sheets in compliance with 37 CFR 1.121(d) are required in reply to the Office
`
`action to avoid abandonmentof the application. Any amended replacement drawing sheet should
`
`include all of the figures appearing on the immediate prior version of the sheet, even if only one figureis
`
`being amended. Thefigure or figure number of an amended drawing should not be labeled as
`
`“amended.”If a drawing figure is to be canceled, the appropriate figure must be removed from the
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`replacement sheet, and where necessary, the remaining figures must be renumbered and appropriate
`
`

`

`Application/Control Number: 17/282,094
`Art Unit: 1725
`
`Page 3
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`changes madeto the brief description of the several views of the drawingsfor consistency. Additional
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`replacement sheets may be necessary to show the renumbering of the remaining figures. Each drawing
`
`sheet submitted after the filing date of an application must be labeled in the top marginas either
`
`“Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by
`
`the examiner, the applicant will be notified and informed of any required corrective actionin the next
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`Office action. The objection to the drawings will not be held in abeyance.
`
`Specification
`
`The specification filed on 04/01/2021 was reviewed andis acceptable.
`
`Claim Rejections - 35 USC § 102
`
`Inthe event the determination of the status of the application as subject to AIA35 U.S.C. 102
`
`5.
`
`6.
`
`and 103 (or as subject to pre-AlA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory
`
`basis (i.e., changing from AIA to pre-AlA) 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.
`
`7.
`
`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 ina printed publication, or in public use, on sale,
`or otherwise available to the public before the effectivefiling date of the claimed invention.
`
`(a}(2) the claimed invention was described ina 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 maybe, names another inventor and was effectively filed before the effective filing date of
`the claimed invention.
`
`8.
`
`Claim(s) 1 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Matsushitaetal.
`
`(US 2014/0141303 A1).
`
`

`

`Application/Control Number: 17/282,094
`Art Unit: 1725
`
`Page 4
`
`Regarding claim1, Matsushita et al. discloses a cylindrical secondary battery (as shown in Fig 1)
`
`comprising:
`
`a wound electrode assembly (20) formed by winding a positive electrode (cathode 21) having a
`
`positive electrode active material (cathode mixture layer 21b) disposed on a positive electrode current
`
`collector (cathode current collector 21a), a negative electrode (anode 22) having a negative electrode
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`active material (anode mixture layer 22b) disposed on a negative electrode current collector (anode
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`current collector 22a), and aseparator(separator 23) interposed between thepositive electrode and
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`the negative electrode ([0044)]);
`
`a positive electrode tab (lead 25) connected to the positive electrode (as shown in Fig 4A);
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`a cylindrical case body (battery can 11) that houses the positive electrode and the negative
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`electrode (as shown in Fig 1); and
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`a sealing assembly (battery cover 14) that seals an opening of the case body (as shown in Fig 1),
`
`wherein
`
`the negative electrode has, ata winding end of the negative electrode, (corresponding with non-
`
`coating section 2251, as shown in Fig 4B), an exposed portion (non-coating section 22b1) of the negative
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`electrode current collector in which no negative electrode active material is disposed ([0069]), and the
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`exposed portion of the negative electrode current collector is disposed in contact with an inner surface
`
`of the case body (as shown in Fig 1),
`
`the electrode assembly has a region A in which the number oflayers of the positive electrodein
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`a radial direction is smallerthan in another region on a winding cross section of the electrode assembly
`
`(as shown in annotated Fig 3 below), and
`
`the positive electrode is disposed at a longitudinal center of the positive electrode (as shown in
`
`Fig 4A) and disposed in the region A (as shown in annotatedFig 3 below).
`
`

`

`Application/Control Number: 17/282,094
`Art Unit: 1725
`
`Page5S
`
`
`
`
`More J
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`Claim Rejections - 35 USC § 103
`
`9.
`
`Inthe event the determination of the status of the application as subject to AIA35 U.S.C. 102
`
`and 103 (or as subject to pre-AlA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory
`
`basis (i.e., changing from AIA to pre-AlA) 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.
`
`10.
`
`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 claimedinvention is
`not identically disclosed as set forthin 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 skillin the art to which the
`claimed invention pertains. Patentability shall not be negated by the manner in which the invention
`was made.
`
`11.
`
`The factual inquiries for establishing a background for determining obviousness under 35 U.S.C.
`
`103 are summarized as follows:
`
`

`

`Application/Control Number: 17/282,094
`Art Unit: 1725
`
`Page 6
`
`1. Determining the scope and contents of the prior art.
`
`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.
`
`4. Considering objective evidence present in the application indicating obviousness or
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`nonobviousness.
`
`12.
`
`This application currently names joint inventors. In considering patentability of the claims the
`
`examiner presumesthat the subject matter of the various claims was commonly owned as of the
`
`effective filing date of the claimed invention(s) 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 ownedas 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.
`
`13.
`
`Claim(s) 2 is/are rejected under 35 U.S.C. 103 as being unpatentable over Matsushita et al. (US
`
`2014/0141303 A1), as applied to claim 1 above,in view of Sawaet al. (US 2013/0266834 A1).
`
`Regarding claim 2, Matsushita et al. discloses all of the claim limitations as set forth above.
`
`Matsushita et al. discloses that an angle formed by a straight line connecting one end of the
`
`region A andawinding center of the positive electrode and a straight line connecting the other end of
`
`the region A and the winding center of the positive electrode is about 180° (as shown in annotated Fig 3
`
`above), and therefore does not explicitly disclose a range of 10 to 120°.
`
`Sawaet al. teaches a lithium secondary battery (Title). Sawa et al. teaches a wound electrode
`
`assembly having a region A (as shown in annotated Fig 2 below).
`
`It is submitted that the recited angle
`
`reasonably appears to be about 120°, and further submitted that neither Sawa et al. nor Matsushita et
`
`al. reasonably appear to describe any importanceto said angle,i.e. neither describes any importance to
`
`where the central winding portion begins.
`
`

`

`Application/Control Number: 17/282,094
`Art Unit: 1725
`
`Page 7
`
`Figure 2
`2a
`
`Region &
`
`say,
`
`SArypiaaatiOORTey
`
`aN,Se
`
`Matsushita et al. and Sawaet al. are analogous prior art to the current invention because they
`
`are concerned with the samefield of endeavor, namely wound electrode assemblies.
`
`Before the effective filing date of the current invention, it would have been obvious to one
`
`having ordinaryskill in the art that the beginning of the winding portion of the electrode assembly does
`
`not reasonably appear to be particularly important, and would thusfind it obvious to routinely select
`
`such a beginning point such that the angle so formed would be ~120°, as suggested by Sawaet al.
`
`Furthermore, absent any demonstrationofcriticalityto the claimed angle range,it would have
`
`been further obvious to one having ordinary skill in the art before the time of the effectivefiling date of
`
`the current invention to routinely select the beginning of the winding portion such that the angle
`
`formed would be moreorless than 120°, e.g. greater than 0° but lesserthan 180°, and thus to select the
`
`overlapping portions of the disclosed ranges because selection of overlapping portions of ranges has
`
`been held to be a prima facie case of obviousness (see MPEP 2144.05(I)).
`
`

`

`Application/Control Number: 17/282,094
`Art Unit: 1725
`
`Page 8
`
`14.
`
`Claim(s) 3 is/are rejected under 35 U.S.C. 103 as being unpatentable over Matsushita et al. (US
`
`2014/0141303 A1), as applied to claim 1 above,in view of Schafer (US 2014/0045036 A1).
`
`Regarding claim 3, Matsushita et al. discloses all of the claim limitations as set forth above.
`
`Matsushita etal. discloses that the electrode assembly is housed in the case body (as shown in
`
`Fig 1), but does not explicitly disclose any form fit between the electrode assembly and the case body,
`
`and therefore does not explicitly disclose that a ratio of a diameter L1 of the electrode assembly to an
`
`inner diameter L2 of the case body is in a range of 0.97 to 1.03.
`
`Schafer teaches a converter cell and cell housing (Title). Schafer teachesthat it is particularly
`
`preferential for the cell housing to receive an electrode assembly in a form-fit manner ([0035]).
`
`Matsushita et al. and Schafer are analogous prior art to the current invention because they are
`
`concerned with the samefield of endeavor, namely electrode assemblies and cell housings.
`
`Before the effective filing date of the current invention, it would have been obvious to one
`
`having ordinaryskill in the art that the electrode assembly of Matsushita et al. must necessarily be
`
`accommodatedin the cell housing in some manner (Matsushita: as shownin Fig 1), and would therefore
`
`find it obvious to accommodate the electrode assembly in a form-fit manner, as suggested by Shafer.
`
`Accordingly, the skilled artisan would find it obvious that a form-fit between the electrode
`
`assembly and the cell housing would correspond to approximately equal diameters, and would
`
`therefore find it obvious that a ratio of diameters, i.e. L1/L2, would be ~1.0, which falls within the
`
`recited range.
`
`15.
`
`Claim(s) 4 and 5 is/are rejected under 35 U.S.C. 103 as being unpatentable over Matsushita et
`
`al. (US 2014/0141303 A1), as applied to claim 1 above.
`
`Regarding claim 4, Matsushita et al. discloses all of the claim limitations as set forth above.
`
`Matsushita etal. discloses a round cross-section of the electrode assembly (as shown in Fig 3),
`
`but does not explicitly disclose a roundness of 0.98 or more.
`
`

`

`Application/Control Number: 17/282,094
`Art Unit: 1725
`
`Page 9
`
`Matsushita et al. is analogous prior art to the current invention because they are concerned
`
`with the same field of endeavor, namely wound electrode assemblies.
`
`Before the effective filing date of the current invention, it would have been obvious to one
`
`having ordinaryskill in the art that the electrode assembly of Matsushita et al. reasonably appears to be
`
`a circle, and would thusfind it obvious that the roundness would be ~1.0, which falls within the recited
`
`range.
`
`Regarding claim5, Matsushita et al. discloses all of the claim limitations as set forth above.
`
`Matsushita et al. discloses that the positive electrode active material layer includes a composite
`
`oxide including Ni, Co, Li, and Mn or Al (see [0055] which describes LiNi,;Coy;M,102, wherein M is Al or
`
`e.g. Mnand O<x1<1, 0<y1<1, and 0<z1<1), but does not explicitly disclose an example wherein the
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`contentof Ni is at least 91 mol%.
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`Matsushita et al. is analogous prior art to the current invention because they are concerned
`
`with the same field of endeavor, namely lithium ion secondary batteries.
`
`Absent any demonstration ofcriticalityto the claimed angle range, it would have been obvious
`
`to one having ordinary skill in the art before the time of the effectivefiling date of the current invention
`
`to select the overlapping portions of the disclosed ranges (0<x1<1 overlaps with 0.91 or more) because
`
`selection of overlapping portions of ranges has been held to be a prima facie case of obviousness (see
`
`MPEP 2144.05(I)).
`
`16.
`
`Claim(s) 6 is/are rejected under 35 U.S.C. 103 as being unpatentable over Matsushita et al. (US
`
`2014/0141303 A1), as applied to claim 1 above,in view of Yamada etal. (US 2016/0218368 A1).
`
`Regarding claim 6, Matsushita et al. discloses all of the claim limitations as set forth above.
`
`Matsushita et al. discloses that the negative electrode active material layer includes a negative
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`electrode active material including graphite (e.g. artificial or natural graphite, [0079]) and a Si compound
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`(e.g. silicon, [0081]), but does not disclose an appropriate amount of the Si compound, and therefore
`
`

`

`Application/Control Number: 17/282,094
`Art Unit: 1725
`
`Page 10
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`does not explicitly disclose a ratio of the Si compound to a total mass of the negative electrode active
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`material is 5.5 mass% or more.
`
`Yamadaet al. teaches ananode for a secondary battery (Title). Yamada et al. teaches that, as an
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`anode active material, artificial graphite was used, anda mixtureofartificial graphite and silicon was
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`used with a weight ratio of 50:50 ([0231]).
`
`Matsushita et al. and Yamada et al. are analogous prior art to the current invention because
`
`they are concerned with the same field of endeavor, namely anodes for secondary batteries.
`
`Before the effective filing date of the current invention, it would have been obvious to one
`
`having ordinaryskill in the art that the anode active materials of Matsushita et al. must necessarily be
`
`included in some amount, and would therefore find it obvious to include the artificial graphite and
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`silicon in a weight ratio of 50:50, as suggested by Yamada etal.
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`Accordingly, the skilled artisan would find it obvious that the silicon is included in ratioof 5.5
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`mass% or more, e.g. ~50 mass%.
`
`Conclusion
`
`17.
`
`The prior art made of recordand notrelied upon is considered pertinent to applicant's
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`disclosure:
`
`Kusagawaetal. (US 2021/0119263 A1) discloses a nonaqueous electrolyte secondary battery.
`
`18.
`
`Anyinquiry concerning this communication or earlier communications from the examiner
`
`should be directed to JAMES M ERWIN whose telephone number is (571)272-3101. The examiner can
`
`normally be reached Monday-Friday: 6am-3pm PDT.
`
`Examiner interviews are available via telephone, in-person, and video conferencing using a
`
`USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use
`
`the USPTO Automated Interview Request (AIR) at http://www. uspto.gov/interviewpractice.
`
`

`

`Application/Control Number: 17/282,094
`Art Unit: 1725
`
`Page 11
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`If attempts to reachthe examiner by telephone are unsuccessful, the examiner’s supervisor,
`
`Basia Ridley can be reached on (571)272-1453. The fax phone number for the organization where this
`
`application or proceeding is assigned is 571-273-8300.
`
`Information regarding the status of published or unpublished applications may be obtained from
`
`Patent Center. Unpublished application information in Patent Center is available to registered users. To
`
`file and manage patent submissionsin Patent Center,visit: https://patentcenter.us pto.gov.Visit
`
`https ://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and
`
`https ://www.uspto.gov/patents/docx for information aboutfiling in DOCX format. For additional
`
`questions, contact the Electronic Business Center (EBC) at 866-217-9197(toll-free). If you would like
`
`assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA)or
`
`571-272-1000.
`
`/JAMES MERWIN/
`Primary Examiner, Art Unit 1725
`10/11/2023
`
`