Prosecution Insights
Last updated: May 29, 2026
Application No. 18/333,899

ARTICLE AND OPTICAL APPARATUS

Non-Final OA §103
Filed
Jun 13, 2023
Priority
Jun 16, 2022 — JP 2022-097571
Examiner
BYRD, EUGENE G
Art Unit
3675
Tech Center
3600 — Transportation & Electronic Commerce
Assignee
Canon Kabushiki Kaisha
OA Round
4 (Non-Final)
70%
Grant Probability
Favorable
4-5
OA Rounds
0m
Est. Remaining
79%
With Interview

Examiner Intelligence

Grants 70% — above average
70%
Career Allowance Rate
587 granted / 843 resolved
+17.6% vs TC avg
Moderate +10% lift
Without
With
+9.6%
Interview Lift
resolved cases with interview
Typical timeline
2y 9m
Avg Prosecution
19 currently pending
Career history
873
Total Applications
across all art units

Statute-Specific Performance

§103
90.8%
+50.8% vs TC avg
§102
6.9%
-33.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 843 resolved cases

Office Action

§103
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 . Claim Rejections - 35 USC § 103 In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) 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. 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) 18, 31-42 and 47-55 is/are rejected under 35 U.S.C. 103 as being unpatentable over Matsuda et al. (JP 19950248606) in view of Ogatsu (US 9432491). Regarding claim 18, Matsuda et al. discloses an optical apparatus Fig. 2 comprising a lens arranged on an optical axis of the optical apparatus; and a lens barrel including a plurality of components 1 Fig. 5, wherein the lens barrel has first portions (1a of Annotated Fig. 5, below), 2 opposing each other in a first direction, the first direction being substantially along the optical axis, the first portions being disposed with a first gap d4 therebetween wherein a first component 1 of the plurality of components and a second component 1 of the plurality of components have second portions 3, (3b of Annotated Fig. 5, below) opposing each other in a second direction, the second direction being non-parallel to the first direction, the second portions being disposed with a second gap d0 therebetween, wherein the lens barrel has third portions (4a, 4b of Annotated Fig. 5, below) opposing each other with a third gap d1 therebetween, the third gap d1 being arrange closer to the optical axis than the first gap is, and wherein the second component is an operation ring movable against the first component and rotatable about the optical axis of the lens while the second gap remains. However, Matsuda et al. fails to explicitly disclose wherein a depression-protrusion structure is provided on at least one of the second portions. Ogatsu, an optical apparatus, shows this to be well known in the art. Ogatsu discloses the use of a depression-protrusion structure 10, 11 Fig. 5 provided on at least one of a plurality of portions 2, 3. Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of claimed invention to provide the portions of Matsuda et al. with a depression-protrusion structure as taught by Ogatsu in order to further suppress entry of water to the gap. (Abstract of Ogatsu) PNG media_image1.png 708 383 media_image1.png Greyscale Regarding claim 31, the combination discloses wherein the depression-protrusion structure (5, 6 of Ogatsu) is capable of providing a lotus effect. Regarding claim 32, the combination discloses wherein the first component 1 and the second component 1 opposes each other with a third gap d1 having a width of 0.05 mm or more and 2 mm or less. PNG media_image2.png 857 884 media_image2.png Greyscale Regarding claim 33, the combination discloses wherein a pitch between protrusion portions in the depression-protrusion structure or a pitch between depression portions in the depression-protrusion structure (5, 6 of Ogatsu) is 70 μm or less. Regarding claim 34, the combination discloses the invention as claimed above but fails to explicitly disclose wherein a height of at least one of the protrusion portions or a depth of at least one of the depression portions is 1 μm or more, and a width of at least one of the protrusion portions or a width of at least one of the depression portions is 100 μm or less. Nevertheless, 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 height, depth, width of depressions and protrusions to any number of ranges (i.e. 1 μm or more, 100 μm or less, etc.) disclosed by Applicant, since it has been held that where the general conditions of a claim are disclosed in the prior art, discovering the optimum or workable ranges involves only routine skill in the art. In re Aller, 105 USPQ 233. Regarding claim 36, the combination discloses wherein depression-protrusion structure (6 of Ogatsu) includes a first depression-protrusion structure (5 of Ogatsu) provided on the second portion of the first component 1 and a second depression-protrusion structure (11 of Ogatsu) provided on the second portion of the second component, and wherein the first depression-protrusion structure and the second depression-protrusion structure opposes each other (Fig. 5 of Ogatsu). Regarding claim 37, the combination discloses wherein the protrusion portions (5, 6 of Ogatsu) or the depression portions in the depression-protrusion structure are arranged in a honeycomb arrangement. Regarding claim 38, the combination discloses wherein the protrusion portions (5, 6 of Ogatsu) or the depression portions in the depression-protrusion structure each have a circular cylindrical shape, a conical shape, or a truncated cone shape (Fig. 18C of Ogatsu). Regarding claim 39, the combination discloses wherein the depression-protrusion (10, 11 of Ogatsu) is formed of a material including resin (Col. 8, Ln. 15 of Ogatsu). Regarding claim 40, the combination discloses wherein the resin includes at least one polymer selected from the group consisting of polycarbonate, polystyrene, and polypropylene (Col. 8, Ln. 15 of Ogatsu). Regarding claim 41, the combination discloses wherein a contact angle of the depression-protrusion structure is 100° or more (Col. 8, Ln. 25 of Ogatsu). Regarding claim 42, the combination discloses wherein the first portions 11a, 12a, are movable against each other. Regarding claim 47, the combination discloses wherein the first component 1 is a ring. Regarding claim 48, the combination discloses wherein the second 1 component has one of the first portions 1a. Regarding claim 49, the combination discloses wherein the second 1 component has one of the third portions 4a, 4b. Regarding claim 50, the combination discloses wherein a width of the first gap d4 is a width capable of causing a capillary action of water. Regarding claims 51 and 52, the combination discloses the invention as claimed above but fails to explicitly disclose wherein a width of the second gap is smaller than a width of the first gap. Nevertheless, 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 width of the gaps to any number of ranges (i.e. smaller than, etc.) disclosed by Applicant, since it has been held that where the general conditions of a claim are disclosed in the prior art, discovering the optimum or workable ranges involves only routine skill in the art. In re Aller, 105 USPQ 233. Regarding claim 53, the combination discloses wherein the third portions 4a, 4b opposes each other with the third gap d1 therebetween in a third direction non-parallel to the second direction. Regarding claim 54, the combination discloses wherein the second direction is perpendicular to the optical axis Fig. 5. Regarding claim 55, the combination discloses wherein the depression-protrusion structure (10, 11 of Ogatsu) is formed by an injection molding. Claim(s) 43-46 is/are rejected under 35 U.S.C. 103 as being unpatentable over Matsuda et al. (JP 19950248606) in view of Ogatsu and further in view of Kunihiro et al. (JP 5-64811). Regarding claim 43, Matsuda et al. and Ogatsu disclose the invention as claimed above but fails to explicitly disclose the water preventing structure being applied a lens barrel comprising a fixed barrel; and an exterior ring which is an outer appearance part of the lens barrel, wherein the exterior ring is held by the fixed barrel, and wherein the second component is arranged to cover an outer periphery of the fixed barrel at a position different than the exterior ring. Kunihiro et al., an optical apparatus having a water preventing structure comprises: a fixed barrel (202 of Annotated Fig. 5, below); and an exterior ring (201 of Annotated Fig. 5, below) which is an outer appearance part of the lens barrel, wherein the exterior ring is held by the fixed barrel, and wherein the second component 2 is arranged to cover an outer periphery of the fixed barrel at a position different than the exterior ring. Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to provide a water preventing structure of Matsuda et al. and Ogatsu within an optical apparatus as taught by Kunihiro in order to improve water repellent functioning within an optical apparatus. PNG media_image3.png 635 1012 media_image3.png Greyscale Regarding claim 44, the combination discloses wherein the lens barrel comprises: a fixed barrel 202; and a front ring (200 of Annotated Fig. 1, above) which is arranged between the fixed barrel 202 and the optical axis, wherein a part of the lens is arranged between the front ring and the optical axis. Regarding claim 45, the combination discloses wherein the lens barrel comprises a fixed barrel 202, and wherein the first component 1 engages with the fixed barrel, and the fixed barrel is arranged between the second component 2 and the optical axis. Regarding claim 46, the combination discloses a lens mount (203 of Annotated Fig. 1, above), wherein the optical apparatus is attachable to and detachable from an imaging apparatus by the lens mount. Response to Arguments Applicant’s arguments with respect to claim(s) 1-31 have been considered but are moot because the new ground(s) of rejection. Conclusion Applicant's submission of an information disclosure statement under 37 CFR 1.97(c) with the timing fee set forth in 37 CFR 1.17(p) on 4/10/26 prompted the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 609.04(b). 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 EUGENE G BYRD whose telephone number is (571)270-1824. The examiner can normally be reached Monday-Friday 9am-5:30pm. 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. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Kristina Fulton can be reached at 5712727376. 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 submissions in Patent Center, visit: https://patentcenter.uspto.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 about filing 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. /EUGENE G BYRD/Primary Examiner, Art Unit 3675
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Prosecution Timeline

Show 4 earlier events
Jun 02, 2025
Final Rejection mailed — §103
Oct 08, 2025
Request for Continued Examination
Oct 11, 2025
Response after Non-Final Action
Nov 05, 2025
Non-Final Rejection mailed — §103
Mar 12, 2026
Applicant Interview (Telephonic)
Mar 12, 2026
Examiner Interview Summary
Apr 01, 2026
Response Filed
May 18, 2026
Final Rejection mailed — §103 (current)

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

4-5
Expected OA Rounds
70%
Grant Probability
79%
With Interview (+9.6%)
2y 9m (~0m remaining)
Median Time to Grant
High
PTA Risk
Based on 843 resolved cases by this examiner. Grant probability derived from career allowance rate.

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