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 .
Response to Arguments
Applicant's arguments filed 01/29/2026 have been fully considered but they are not persuasive.
Applicant argues that You et al. does not disclose a parameter estimating unit arranged to estimate a value of an equivalent circuit model parameter of the battery from the sensed voltage and current, and specifically contends that the only mention of an equivalent circuit model in You et al. appears in connection with the SOC estimator rather than the SOH estimator. Applicant further asserts that the SOH estimator operates independently and does not utilize an equivalent circuit model, and therefore the Office has relied on Applicant’s specification in an impermissible hindsight reconstruction.
This argument is not persuasive. You et al. expressly disclose a battery management apparatus including voltage sensor 121, current sensor 122, and SOH estimator 133 that estimates a state of health of the battery based on sensed data including voltage, current, and temperature (see paragraphs [0037]–[0044]). You et al. further disclose that battery state estimation may be performed using various modeling techniques, including an equivalent circuit model (see paragraph [0043]). Although paragraph [0043] is presented in the context of SOC estimation, the disclosure clearly establishes that equivalent circuit modeling is a known and applicable technique for analyzing battery behavior based on sensed electrical signals. The SOH estimator 133 operates on the same sensed data inputs (voltage, current, and temperature) and applies estimation models to determine battery degradation (see paragraphs [0044], [0054]–[0065]). Under the broadest reasonable interpretation, the claimed “parameter estimating unit” does not require a specific structural separation between SOC and SOH estimation functions, nor does it exclude the use of modeling techniques disclosed elsewhere in the same system. A person of ordinary skill in the art would have recognized that equivalent circuit model parameters derived from voltage and current behavior are inherently relevant to both SOC and SOH estimation, as both relate to underlying battery electrochemical characteristics.
Applicant’s argument improperly attempts to import limitations from the specification into the claims by requiring that the equivalent circuit model be explicitly associated with the SOH estimator as a distinct module. However, the claims do not recite any requirement that the equivalent circuit model be implemented exclusively within a particular estimator block or that SOC and SOH estimators be structurally or functionally isolated. It is well established that although claims are interpreted in light of the specification, limitations from the specification are not to be read into the claims. See In re Van Geuns, 988 F.2d 1181, 26 USPQ2d 1057 (Fed. Cir. 1993). Accordingly, Applicant’s reliance on the specific architecture depicted in Figure 1 of You et al. is not commensurate with the scope of the claims.
Applicant further argues that the Office has relied on Applicant’s own specification to supply the use of equivalent circuit model parameters in SOH estimation and that such reliance constitutes impermissible hindsight under In re McLaughlin. This argument is not persuasive. The rejection relies on the express teachings of You et al. regarding model-based battery state estimation using sensed voltage and current, combined with the teachings of Lim et al., which disclose real-time updating of model parameters derived from voltage and current measurements using an adaptive recursive algorithm (see paragraphs [0049]–[0052]). The combination does not require any knowledge unique to Applicant’s disclosure, but rather reflects a predictable use of known battery modeling techniques and adaptive estimation methods within the level of ordinary skill in the art. The use of equivalent circuit parameters to characterize battery behavior, including degradation, was well known prior to the effective filing date and does not originate from Applicant’s specification.
Applicant also contends that Lim et al. fails to cure the alleged deficiencies of You et al. because Lim does not disclose an equivalent circuit model. This argument is not persuasive. Lim et al. disclose a battery system in which a microprocessor updates parameters representing battery behavior based on measured voltage and current using an adaptive recursive least squares algorithm (see paragraphs [0049]–[0052]). The parameters described in Lim et al., including G and H, represent relationships between voltage and current and correspond to battery internal characteristics such as resistance and dynamic response. Under the broadest reasonable interpretation, such parameters constitute equivalent circuit model parameters, as they describe the electrical behavior of the battery in response to current input. Therefore, Lim et al. explicitly teach real-time adaptive updating of model parameters derived from voltage and current, which directly addresses the claimed functionality.
Applicant further argues that SOC and SOH are distinct battery properties that are estimated using different processes, and therefore a person of ordinary skill in the art would not apply an equivalent circuit model used for SOC estimation to SOH estimation. This argument is not persuasive. While SOC and SOH represent different aspects of battery state, both are derived from analysis of the same underlying electrical behavior of the battery, including voltage and current responses. Equivalent circuit models characterize this behavior using resistive and capacitive elements that inherently reflect both instantaneous charge state and long-term degradation effects. A person of ordinary skill in the art would have recognized that such models are applicable to both SOC and SOH estimation and that improving parameter estimation accuracy, as taught by Lim et al., would benefit any model-based battery state estimation technique.
Applicant additionally relies on alleged advantages described in the specification, including improved robustness and stability resulting from the use of equivalent circuit model parameters in SOH estimation. This argument is not persuasive. Statements of advantages in the specification, without objective evidence demonstrating unexpected results or criticality, are insufficient to overcome a prima facie case of obviousness. The combination of known modeling techniques with known adaptive parameter updating methods represents a predictable improvement in estimation accuracy and does not rise to the level of nonobviousness.
With respect to claim 12, Applicant argues that neither You et al. nor Lim et al. discloses specific equivalent circuit model parameters such as characterization time (R1C1), diffusion capacitance (C1), ohmic resistance (R0), and diffusion resistance (R1). This argument is not persuasive. You et al. disclose the use of equivalent circuit models for battery analysis (see paragraph [0043]), and such models are well understood in the art to include resistive and capacitive elements corresponding to ohmic resistance, diffusion resistance, capacitance, and time constants. A person of ordinary skill in the art would recognize these parameters as standard components of equivalent circuit models used to represent battery dynamics. The absence of explicit enumeration of each parameter in You et al. does not negate their disclosure under the broadest reasonable interpretation, as implicit disclosure and common knowledge in the art are sufficient to meet the claim limitations.
Applicant’s arguments further improperly attack the references individually rather than addressing the combined teachings relied upon in the rejection. It is well established that one cannot show nonobviousness by attacking references individually where the rejection is based on a combination of references. See In re Keller, 642 F.2d 413, 208 USPQ 871 (CCPA 1981); In re Merck & Co., 800 F.2d 1091, 231 USPQ 375 (Fed. Cir. 1986). The rejection is based on the combined teachings of You et al. and Lim et al., wherein You et al. provide the framework for model-based SOH estimation using sensed battery data, and Lim et al. provide the teaching of adaptively updating model parameters in real time using recursive computation. Applicant has not demonstrated that the combined teachings fail to meet the claimed limitations.
Accordingly, for the reasons set forth above, Applicant’s arguments have been fully considered but are not persuasive, and the rejection of claims 1–4, 9, 11–20, 22-23, and 26 under 35 U.S.C. 103 as being unpatentable over You et al. in view of Lim et al. is maintained.
Claim Rejections - 35 USC § 103
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 claimed invention is not identically disclosed as set forth in 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 skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
Claim(s) 1-4, 9, 11-20, 22-23 & 26 is/are rejected under 35 U.S.C. 103 as being unpatentable over You et al. (U.S. 2017/0123009 A1, previously cited) in view of Lim et al. (U.S. 2022/0082626 A1, previously cited).
Regarding claim 1, You et al. ( 37–45, 48–65, 70–74, Figs. 1–4) disclose an apparatus for determining a state of health of a battery, the apparatus comprising: a voltage sensor (121) arranged to sense a voltage of the battery (see [0037 & 0039], voltage sensor 121); a current sensor (122) arranged to sense a current through the battery (see [0037 & 0039], current sensor 122); a parameter estimating unit arranged to estimate a value of an equivalent circuit model parameter of the battery from the sensed voltage and current, wherein the equivalent circuit model parameter is based at least in part on an internal capacitance of the battery (see [0043–0045 & 0049], SOH estimator 133 using equivalent circuit model data including R0, R1, R1C1, and C1); a storage unit arranged to store a predetermined relationship between the equivalent circuit model parameter and the battery state of health (see [00441, 0054–0055], buffer 131 and model store 220 storing SOH estimation models); and a SOH calculation unit arranged to calculate a state of health of the battery based on the estimated value of the equivalent circuit model parameter using the predetermined relationship between the equivalent circuit model parameter and the battery state of health (see [0061–0065], estimator 230 applying SOH models 431–433).
However, You et al. do not explicitly disclose that the equivalent circuit model parameter is updated in real time using an adaptive recursive computation process.
In a related art, U.S. 2022/0082626 A1, Lim et al. disclose the equivalent circuit model parameter is updated in real time using an adaptive recursive computation process (see Figs. 2, 5-8 & [0049-0052] wherein equivalent circuit 140 continuously updating model parameters using an adaptive recursive least-squares (RLS) algorithm based on measured voltage and current data, thereby refining equivalent circuit model parameters during operation and improving SOH estimation accuracy [0102-0104).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the SOH estimation system taught by You et al. by incorporating the equivalent circuit model parameter updating method of Lim et al., as doing so would provide an improved and automated means of updating the equivalent circuit model parameters in real time, thereby enhancing estimation accuracy and responsiveness to battery degradation (see Lim’s [0029-0030 & 0104]).
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As to claim 2, You et al. disclose apparatus according to claim 1, wherein the equivalent circuit model parameter is one of characterization time (R1C1) and diffusion capacitance (C1)(see [0043–0045 & 0054–0056] which disclose that the equivalent circuit model parameter used in SOH estimation includes time-constant and capacitance terms corresponding to characterization time R1C1 and diffusion capacitance C1 within the equivalent circuit model).
As to claim 3, You et al. disclose apparatus according to claim 1, wherein the value of the equivalent circuit model parameter is estimated from a response to a step change in current through the battery (see [0043–0045 & 0054–0056], which disclose that SOH estimation is derived from transient battery responses following a current step change, using voltage relaxation curves measured by sensors 121 and 122).
As to claim 4, You et al. disclose apparatus according to claim 13 , wherein the step change in current is a drop in charging current during charging of the battery, or a drop in current caused by vehicle shut off (see [0043–0045 & 0054–0056], which disclose that characterization occurs during current transitions, such as charge cut-off or current drop events associated with charging or system shutoff).
As to claim 9, You et al. ( 45, 54–56) disclose apparatus according to claim 1, means for updating the relationship between the equivalent circuit model parameter and the battery state of health stored in the storage unit (220)(see [0043-0045] & [0054-0056] wherein battery manager 134 and SOH estimator 133 update relationships in model store 220).
As to claim 11, You et al. disclose apparatus according to claim 1 as seen in Fig. 2, wherein: the parameter estimating unit is arranged to estimate values of a plurality of equivalent circuit model parameters of the battery from the sensed voltage and current; and the SOH calculating unit is arranged to calculate a state of health of the battery based on the estimated values of the plurality of equivalent circuit model parameters (see [0043, 0045] & [0048–0052], Fig. 2, disclose estimator 133 determining multiple circuit parameters such as R0, R1, R1C1, and C1 from sensed voltage 121 and current 122, and estimator 230 calculating SOH from multiple parameter values).
As to claim 12, You et al. disclose apparatus according to claim 11, wherein the equivalent circuit model parameters are selected from: characterization time (R1C1); diffusion capacitance (C1); ohmic resistance (R0); and diffusion resistance (R1)( (see [0043, 0045] & [0048–0052], Fig. 2, which disclose an equivalent circuit model including multiple resistive and capacitive elements R0, R1, R1C1, and C1 used for battery SOH estimation).
As to claim 13, You et al. ( 43–45, Fig. 1) disclose apparatus according to claim 11, wherein the equivalent circuit model parameters comprise ohmic resistance (R0) and the value of the ohmic resistance is estimated from an initial change in voltage following a step change in current. (see [0043–0045] & Fig. 1, which disclose determining internal ohmic resistance R0 from instantaneous voltage response to a current change measured by sensors 121 and 122.)
As to claim 14, You et al. disclose apparatus according to claim 11, wherein the equivalent circuit model parameters comprise ohmic resistance (R0) and the value of the ohmic resistance is estimated from an initial change in voltage following a step change in current. (see [0043–0045] & Fig. 1, disclose determining internal ohmic resistance R0 from instantaneous voltage response to a current change measured by sensors 121 and 122).
As to claim 15, You et al. ( 43–45, Fig. 1) disclose apparatus according to claim 11, wherein the equivalent circuit model parameters comprise diffusion capacitance (C1) and the value of diffusion capacitance is estimated from values of diffusion resistance (R1) and characterization time (R1C1)(see [0043–0045 & [0054–0056], disclose computing diffusion capacitance C1 as a function of time constant R1C1 and diffusion resistance R1 derived from measured transient response data).
As to claim 16, You et al. disclose apparatus according to claim 11, wherein the state of health is calculated using predetermined relationships between each of the equivalent circuit model parameters and the battery state of health (see Fig. 1 [0054–0056, 0061–0065, disclose storing predetermined SOH models/relationships in model store 220 and calculating SOH using those relationships for parameters including R0, R1, R1C1, C1).
As to claim 17, You et al. disclose apparatus according to claim 11, wherein the SOH calculating unit is arranged to calculate a plurality of state of health values, each state of health value being calculated based on an estimated value of one of the equivalent circuit model parameters. (see [0048–0056] & [0061–0065], which disclose estimator 230 configured to compute multiple SOH results, each derived from a corresponding equivalent circuit model parameter such as R0, R1, R1C1, and C1, before combining them for overall battery health assessment).
As to claim 18, You et al. ( 43–45, Fig. 1) disclose apparatus according to claim 17, wherein the state of health is calculated using predetermined relationships between each of the equivalent circuit model parameters and the battery state of health (see [0054–0056] & [0061–0065], which disclose storing predetermined SOH models/relationships in model store 220 and calculating SOH using those relationships for parameters including R0, R1, R1C1, C1).
As to claim 19, You et al. disclose apparatus according to claim 18, that the combining unit is arranged to combine the state of health values based on variances of the relationships between the equivalent circuit model parameters and the battery state of health (see Fig. 2 & [0061–0065]).
As to claim 20, You et al. disclose apparatus according to claim 1, further comprising a temperature sensor (123) for sensing arranged to sense a temperature of the battery, wherein the value of the equivalent circuit model parameter is estimated based further on a sensed temperature (123)(You et al., 37–39 disclose temperature sensor (123) 123; 0042 buffer stores sensed temperature; 0044 SOH/parameter estimation uses sensed voltage, current, and temperature; 0045 battery manager utilizes temperature data.)
As to claim 22, You et al. disclose apparatus according to claim 21 as seen in Fig. 2, that the parameter estimating unit is arranged to estimate values of a plurality of equivalent circuit model parameters of each of the plurality of cells or groups of cells (see [0038]) from the sensed voltage of that cell or group of cells and the sensed current (SOH estimator 133 determining multiple parameters R0, R1, R1C1, C1 for each cell using sensed data); and the SOH calculating unit is arranged to calculate a state of health of each of the plurality of cells or groups of cells based on the estimated values of the plurality of equivalent circuit model parameters of that cell or group of cells (estimator 230 applying multiple model relationships to compute per-cell SOH, also see [0049-0052] & [0064–0065]).
As to claim 23, You et al. disclose apparatus according to claim 22, that the combining unit is arranged to combine the state of health values based on variances of the relationships between the equivalent circuit model parameters and the battery state of health (see [0061–0065]).
Regarding claim 26, You et al. ( 37–45, 48–65, 70–74, Figs. 1–4) disclose a method of determining a state of health of a battery, the method comprising: sensing a voltage of the battery (see [0037 & 0039], voltage sensor 121); sensing a current through the battery (see [0037 & 0039], current sensor 122); estimating a value of an equivalent circuit model parameter of the battery from the sensed voltage and current (see [0043–0045 & 0049], SOH estimator 133 using equivalent circuit model data including resistance and capacitance parameters R0, R1, R1C1, and C1); storing a predetermined relationship between the equivalent circuit model parameter and the battery state of health (see [00441, 0054–0055], buffer 131 and model store 220 storing SOH estimation models); and calculating a state of health of the battery based on the estimated value of the equivalent circuit model parameter using the predetermined relationship between the equivalent circuit model parameter and the battery state of health (see [0061–0065], estimator 230 applying SOH models 431–433).
You et al. do not explicitly disclose that adaptively updating the equivalent circuit model parameter in real time using recursive computation.
In a related art, Lim et al. disclose adaptively updating the equivalent circuit model parameter in real time using recursive computation (see Fig. 2 & [0049-0052] 0103-0105], wherein adaptively updating the equivalent circuit model parameter in real time using recursive computation).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the SOH estimation method of You et al. to include the adaptive recursive parameter-updating process of Lim et al., as doing so would provide an improved and automated means of refining equivalent circuit model parameters in real time, leading to more accurate and responsive SOH calculations for the battery. Both references belong to the same technical field of model-based SOH estimation and perform analogous computations using sensed voltage and current data (see Lim’s [0029-0030 & 0104]).
Allowable Subject Matter
Claims 5 & 21 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims.
The following is a statement of reasons for the indication of allowable subject matter:
In terms of claim 5, the prior art of record does not teach alone or in combination of “wherein the equivalent circuit model parameter is characterization time and the value of the characterization time is estimated from the time taken for the voltage to decay to a predetermined value following the step change in current” in combination with all other elements in claims 1 & 3.
In terms of claim 21, the prior art of record does not teach alone or in combination of “wherein the battery comprises a plurality of battery cells; the apparatus comprises a plurality of voltage sensors, the plurality of voltage sensors arranged to sense a voltage of each of a plurality of cells or groups of cells; the parameter estimating unit is arranged to estimate a value of an equivalent circuit model parameter of each of the plurality of cells or groups of cells from the sensed voltage of that cell or group of cells and the sensed current; and the SOH calculation unit is arranged to calculate a SOH value of each of the plurality of cells or groups of cells based on the estimated value of the equivalent circuit model parameter of that cell or group of cells” in combination with all other elements in claims 1.
The prior art of record, including You et al. and Lim et al., while generally disclosing the use of equivalent circuit models and parameter estimation based on voltage and current measurements, does not clearly teach or suggest determining a characterization time specifically based on a time required for a voltage decay to reach a predetermined value following a step change in current.
You et al. disclose estimation of battery state based on sensed voltage and current and application of models to divided data regions (see [0043]–[0045], [0054]–[0065]); however, You et al. do not explicitly describe extracting a time constant parameter by measuring a time duration associated with a voltage decay reaching a predefined threshold after a step current event (of claim 5) and the parameter estimating unit is arranged to estimate a value of an equivalent circuit model parameter of each of the plurality of cells or groups of cells from the sensed voltage of that cell or group of cells and the sensed current; and the SOH calculation unit is arranged to calculate a SOH value of each of the plurality of cells or groups of cells based on the estimated value of the equivalent circuit model parameter of that cell or group of cells (of claim 21). Rather, the disclosures in You et al. are directed to model-based estimation using segmented data and trained models, without specifying this particular temporal extraction methodology tied to a predetermined voltage decay point.
Similarly, Lim et al. disclose real-time adaptive updating of parameters using recursive estimation techniques (see [0049]–[0052]), but do not teach or suggest that such parameters include a characterization time derived from a measured time interval required for voltage decay to reach a predetermined value following a step change in current and the parameter estimating unit is arranged to estimate a value of an equivalent circuit model parameter of each of the plurality of cells or groups of cells from the sensed voltage of that cell or group of cells and the sensed current; and the SOH calculation unit is arranged to calculate a SOH value of each of the plurality of cells or groups of cells based on the estimated value of the equivalent circuit model parameter of that cell or group of cells. Lim et al. focus on recursive updating of parameters such as G and H based on voltage-current relationships, without disclosing this specific manner of deriving a time constant parameter.
Accordingly, the combination of You et al. and Lim et al. fails to explicitly disclose or render obvious the particular limitation of claim 5 directed to estimating characterization time based on a time taken for voltage decay to a predetermined value following a step change in current. This limitation represents a more specific and constrained manner of parameter extraction than the general model-based estimation techniques disclosed in the cited prior art.
Any comments considered necessary by applicant must be submitted no later than the payment of the issue fee and, to avoid processing delays, should preferably accompany the issue fee. Such submissions should be clearly labeled "Comments on Statement of Reasons for Allowance."
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
U.S. 2024/0337701 A1 to Kim et al. disclose an apparatus and method for detecting a deteriorated battery cell including a measurement unit that measures a state of a battery, an estimation unit that estimates a state of health (SOH) of the battery, a diagnosis setting unit that sets a diagnosis start condition, a diagnosis section, and a determination condition of the deteriorated battery cell according to the SOH of the battery, a diagnosis performance decision unit that determines a detection performance condition of the deteriorated battery cell after an end of charging/discharging of the battery, and a deterioration determination unit that determines the deteriorated battery cell by calculating a voltage difference in the charging and discharging end section and comparing the measurement value with a set value.
U.S. 2024/0125865 A1 to Li et al. disclose systems, methods, and other implementations, including a method for managing battery performance that includes measuring voltage response data for a lithium-ion battery in response to a current pulse perturbation injected into the lithium-ion battery, and determining in real-time, based on the measured voltage response data, resultant degradation data representative of estimated physical degradation of the lithium-ion battery.
U.S. 2023/0273267 A1 to Arai et al. disclose estimate the state of deterioration and service life of a secondary battery having a negative electrode free of a negative electrode active material using a simple configuration. One aspect of the present invention is a state-of-deterioration estimating device in a secondary battery having a negative electrode free of a negative electrode active material, the state-of-deterioration estimating device comprising: an acquiring unit that acquires a post-discharge OCV that is an open circuit voltage (OCV) in the state after a predetermined amount of time or more has elapsed since the discharge was stopped; a calculating unit that calculates the state of deterioration of the secondary battery based on the acquired post-discharge OCV by referencing characteristic information indicating the change in a predetermined deterioration index that indicates the degree of deterioration in the secondary battery relative to the change in the post-discharge OCV of the secondary battery; and an output unit that outputs the state of deterioration that has been calculated.
THIS ACTION IS MADE FINAL. 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.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to TRUNG NGUYEN whose telephone number is (571)272-1966. The examiner can normally be reached on Mon- Friday 8AM - 4:00PM Eastern Time. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Huy Phan can be reached on 571-272-7924. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. 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.
Examiner: /Trung Q. Nguyen/- Art 2858
April 23, 2026
/GIOVANNI ASTACIO-OQUENDO/ Primary Examiner, Art Unit 2858 4/24/2026
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