DETAILED ACTION
Notice of Pre-AIA or AIA Status
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Status of Claims
This is a final office action for application 17/801,970 in response to the amendment(s) filed on 11/07/2025. Claims 1-2, 7-16 are under examination. Claims 9-10 are still withdrawn from consideration.
Information Disclosure Statement
The information disclosure statement (IDS) submitted on 08/12/2025 is being considered by the examiner.
Response to Arguments
Applicant’s arguments filed on 11/07/2025 have been fully considered and do overcome the previous rejections under 35 U.S.C. 102(a)(1). However, with regard to the rejection under 35 U.S.C. 103 over Kawamura et al. (US-2016-0351905-A1), the amendments and arguments have not been found persuasive for the reasons set forth below.
Applicant argues that amended claim 1 now requires a lithium transition metal oxide having a two-element hetero composition that necessarily includes zinc (Zn) as a “main hetero element” and a sub element (M), and that Kawamura neither explicitly discloses nor suggests the importance of such a configuration (see e.g. pages 6-7 of Applicant’s arguments).
Examiner respectfully disagrees. As previously explained, Kawamura discloses a lithium transition metal oxide represented by the general formula LixAyBzO4, wherein A is at least one transition metal selected from Co and Fe, and B is at least one metal selected from Mn, Zn, Al, Ga, Ge, Ti, Si, Sn, Ce, Y, Zr, S, and Na (see e.g. claim 2 of Kawamura). Thus, Kawamura expressly teaches compositions including cobalt, zinc, and at least one additional metal selected from the same groups recited for M in amended claim 1.
The claimed distinction between a “main hetero element” and a “sub element” is not recited in the claims and therefore cannot patentably distinguish the claimed subject matter from the prior art. The selection of Zn together with another metal such as Al, Ti, or Zr from a finite list explicitly disclosed in Kawamura represents a routine selection within the disclosed genus. Accordingly, Kawamura teaches or renders obvious the claimed composition.
Applicant argues that the claimed composition achieves improved battery safety and cycle-life characteristics by suppressing gas generation, and that Kawamura fails to recognize or suggest this effect (see e.g. page 6, paragraph [0044] cited in Applicant’s arguments).
Examiner respectfully disagrees. Statements in the specification regarding alleged advantages do not overcome a prima facie case of obviousness absent a showing that such advantages are unexpected and commensurate in scope with the claims. Kawamura is directed to lithium transition metal oxides for use in secondary batteries and explicitly seeks to improve battery performance and stability. Therefore, any improvement in gas suppression or cycle characteristics resulting from routine dopant selection would have been reasonably expected by a person of ordinary skill in the art.
Moreover, the claims do not recite any functional limitation relating to gas suppression or cycle life, but merely recite the composition. As such, the asserted advantages do not distinguish the claimed subject matter from the prior art compositions disclosed by Kawamura.
Applicant argues that the experimental data demonstrate unexpected results, asserting that comparative examples corresponding to Kawamura compositions exhibit significantly higher gas generation than the claimed examples (see e.g. pages 7–8 of Applicant’s arguments).
Examiner respectfully disagrees. The submitted data are not commensurate in scope with amended claim 1. Claim 1 broadly encompasses lithium transition metal oxides wherein M may be any group 2 element, group 13 element, group 14 element, 5th period transition metal, or 6th period transition metal, across the full claimed compositional ranges. The examples provided are limited to a small subset of possible compositions and therefore do not establish that the alleged results would be obtained across the full scope of the claim.
Furthermore, Kawamura discloses compositional ranges that overlap with the claimed ranges. In cases where the prior art discloses ranges that overlap or encompass the claimed ranges, a prima facie case of obviousness exists. See MPEP 2144.05(I). Applicant has not provided sufficient evidence to rebut this prima facie case.
Applicant argues that there would have been no reasonable expectation of success in arriving at the claimed invention based on Kawamura (see e.g. page 8-9 of Applicant’s arguments citing MPEP 2143.02).
Examiner respectfully disagrees. Kawamura is directed to the same field of endeavor as the instant application and discloses lithium transition metal oxides having the same crystal structure, constituent elements, and intended battery applications. The modification of Kawamura’s disclosed compositions by selecting zinc together with another disclosed metal within overlapping compositional ranges would have been a predictable variation yielding a reasonable expectation of success. The cited case law relates to highly unpredictable arts and is not applicable to routine compositional optimization in lithium battery cathode materials.
In conclusion, for the reasons set forth above, the arguments submitted on 11/07/2025 do not overcome the rejection under 35 U.S.C. 103 over Kawamura et al. Accordingly, the rejections of claims 1–2, 7–8, and 11–16 are maintained and have been updated to reflect the claim amendments. See claims 1-2, 7-8 and 11-16 rejections below.
The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
Claim Rejections - 35 USC § 103
Claim 1-2, 7-8 and 11-16 are rejected under 35 U.S.C. 103 as being unpatentable over Kawamura et al. (US-20160351905-A1).
Regarding Claim 1, Kawamura discloses a lithium transition metal oxide represented by the formula LixAyBzO4, where A is at least one transition metal selected from Co and Fe, and B is at least one metal selected from Mn, Zn, Al, Ga, Ge, Ti, Si, Sn, Ce, Y, Zr, S, and Na, where x = 4 to 7, y = 0.5 to 1.5, and z = 0.01 to 1.5 (see e.g. claim 2 of Kawamura).
The instant application claims the species Li6Co1-x-yZnxMyO4, wherein M is a group 2 element, a group 13 element, a group 14 element, a 5th period transition metal, or a 6th period transition metal, x is 0.1 to 0.7, and y is 0.01 to 0.2. If the lower and upper bounds of x and y are applied, the claimed composition ranges from Li6Co0.1-0.89Zn0.1-0.7M0.01-0.2O4.
It would be obvious to a person of ordinary skill in the art that if x = 6, y = 0.5 to 1.5, and z = 0.01 to 1.5 in the formula disclosed by Kawamura, then the composition simplifies to Li6A0.5-1.5BzO4. Furthermore, if A = Co and B = Zn and Al (for example and permitted by Kawamura), the equation further simplifies to Li6Co0.5-1.5Zn1-zAlzO4, where z = 0.01 to 1.5. This corresponds to a species falling directly within the scope of the claimed formula of the instant application.
Kawamura discloses a range that overlaps with the range claimed by the instant application. In the case where the prior art discloses a range that overlaps with the claimed range, a prima facie case of obviousness exists. See MPEP 2144.05(I).
Regarding Claim 2, Kawamura discloses the lithium transition metal oxide of claim 1 (see e.g. claim 1 rejection above). Kawamura further discloses that the group 13 element is at least one selected from the group consisting of Al and Ga (see e.g. " LixAyBzO4 (x=4 to 7, y=0.5 to 1.5, z=0.01 to 1.5, A is at least one metal selected from Co and Fe, and B is at least one metal selected from Mn, Zn, Al, Ga, Ge, Ti, Si, Sn, Ce, Y, Zr, S, and Na" in claim 2),
the group 14 element is at least one selected from the group consisting of Si, Ge and Sn (see e.g. " LixAyBzO4 (x=4 to 7, y=0.5 to 1.5, z=0.01 to 1.5, A is at least one metal selected from Co and Fe, and B is at least one metal selected from Mn, Zn, Al, Ga, Ge, Ti, Si, Sn, Ce, Y, Zr, S, and Na" in claim 2), and
the 5th period transition metal is at least one selected from the group consisting of Y and Zr (see e.g. "" LixAyBzO4 (x=4 to 7, y=0.5 to 1.5, z=0.01 to 1.5, A is at least one metal selected from Co and Fe, and B is at least one metal selected from Mn, Zn, Al, Ga, Ge, Ti, Si, Sn, Ce, Y, Zr, S, and Na" in claim 2).
Kawamura does not expressly disclose a lithium transition metal oxide comprising a group 2 element or a 6th period transition metal. However, claim 2 is drafted using the transitional phrase “at least one selected from the group consisting of,” such that the claim reads on embodiments wherein M is selected from the group 13 elements, group 14 elements, or 5th period transition metals alone.
As shown above, Kawamura explicitly discloses Al and Ga (group 13 elements), Si, Ge, and Sn (group 14 elements), and Y and Zr (5th period transition metals) as suitable components of the lithium transition metal oxide. Therefore, Kawamura teaches lithium transition metal oxides that fall within the scope of claim 2.
The fact that Kawamura does not disclose every alternative listed in claim 2 (i.e. group 2 elements or 6th period transition metals) does not render the claim nonobvious, as a reference need not disclose all alternatives of a claimed genus to render the claimed subject matter obvious.
Regarding Claim 7, Kawamura discloses the lithium transition metal oxide of claim 1 (see e.g. claim 1 rejection above). Kawamura further discloses that M is at least one selected from the group consisting of Al, Ti or Zr (see e.g. “B is at least one metal selected from… Zn, Al, Ga, Ge, Ti, Si, Sn, Ce, Y, Zr…” in claim 2).
Regarding Claim 8, Kawamura discloses the lithium transition metal oxide of claim 1 (see claim 1 rejection above). Kawamura further discloses a lithium transition metal oxide represented by the formula LixAyBzO4, where A is at least one transition metal selected from Co and Fe, and B is at least one metal selected from Mn, Zn, Al, Ga, Ge, Ti, Si, Sn, Ce, Y, Zr, S, and Na, where x = 4 to 7, y = 0.5 to 1.5, and z = 0.01 to 1.5 (see e.g. claim 2).
The instant application claims at least one compound selected from the group consisting of, for example, Li6Co0.77Zn0.2Al0.03O4. The elements Co, Zn, and Al are each disclosed in Kawamura (see e.g. Co as A in claim 2 of Kawamura, and Zn and Al as B in claim 2 of Kawamura). The stoichiometry of , Li6Co0.77Zn0.2Al0.03O4 yields a total transition metal content (excluding lithium) of Co + Zn + Al = 1.0. This fits within the general formula of LixAyBzO4 disclosed by Kawamura, where A = Co and B = Zn and Al where x = 4 to 7, y = 0.5 to 1.5, and z = 0.01 to 1.5.
It would be obvious to a person of ordinary skill in the art to select stoichiometries disclosed by Kawamura such that x = 6, y = 0.77 (Co), and z = 0.23 (combined Zn + Al), where Zn = 0.2 and Al = 0.03, resulting in a compound of the formula Li6Co0.77Zn0.2Al0.03O4. Such a compound is a species of the composition range disclosed by Kawamura and within the scope of LixAyBzO4, where x = 6, y = 0.5 to 1.5, and z = 0.01 to 1.5. Therefore, Li6Co0.77Zn0.2Al0.03O4 is an example of the same species disclosed in Kawamura being claimed by the instant application.
Regarding Claim 11, Kawamura discloses a positive electrode additive for a lithium secondary battery (see e.g. "A nonaqueous electrolyte secondary battery comprising: a positive electrode containing a positive electrode active material" in claim 1), comprising the lithium transition metal oxide (see e.g. "Examples of the positive electrode active material include: lithium-containing complex metal oxides... LiNiCoAlO2" in paragraph [0019]) of claim 1 (see e.g. claim 1 rejection above).
Regarding Claim 12, Kawamura discloses a positive electrode for a lithium secondary battery, comprising a positive electrode active material (see e.g. "A nonaqueous electrolyte secondary battery comprising: a positive electrode containing a positive electrode active material" in claim 1), a binder, a conductive material (see e.g. "The positive electrode active material layer may further contain, in addition to the positive electrode active material and the positive electrode additive, a conductive agent, a binder," in paragraph [0022]), and the lithium transition metal oxide of claim 1 (see e.g. claim 1 rejection above).
Regarding Claim 13, Kawamura discloses a positive electrode for a lithium secondary battery, comprising a positive electrode active material, a binder, a conductive material, and the positive electrode additive (see e.g. "The positive electrode active material layer may further contain, in addition to the positive electrode active material and the positive electrode additive, a conductive agent, a binder," in paragraph [0022]) for the lithium secondary battery of claim 11 (see e.g. claim 11 rejection above).
Regarding Claim 14, Kawamura discloses a lithium secondary battery, comprising the positive electrode for the lithium secondary battery of claim 12 (see e.g. claim 12 rejection above); a negative electrode (see e.g. "a negative electrode" in claim 1); a separator (see e.g. "with polyolefin-made fine porous separators" in paragraph [0039]); and an electrolyte (see e.g. " nonaqueous electrolyte" in paragraph [0039]).
Regarding Claim 15, Kawamura discloses the lithium secondary battery of claim 14 (see e.g. claim 14 rejection above). Kawamura further discloses that the negative electrode comprises at least one negative electrode active material selected from the group consisting of a carbonaceous material and a silicon compound (see e.g. "the negative electrode active material include carbon-based active materials... examples of the alloy-based active material include silicon-based active materials containing silicon" in paragraph [0026]).
Regarding Claim 16, Kawamura discloses a lithium secondary battery comprising the positive electrode for the lithium secondary battery of claim 13 (see e.g. claim 13 rejection above); a negative electrode (see e.g. "a negative electrode" in claim 1); a separator (see e.g. "with polyolefin-made fine porous separators" in paragraph [0039]); and an electrolyte (see e.g. " nonaqueous electrolyte" in paragraph [0039]).
Conclusion
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 nonprovisional extension fee (37 CFR 1.17(a)) 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 mailing date of this final action.
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/J.J.E./Examiner, Art Unit 1723
/TONG GUO/Supervisory Patent Examiner, Art Unit 1723