Prosecution Insights
Last updated: July 17, 2026
Application No. 18/521,897

OPTICAL SYSTEM

Non-Final OA §102§103§112
Filed
Nov 28, 2023
Priority
Nov 28, 2022 — provisional 63/428,238
Examiner
DABBI, JYOTSNA V
Art Unit
2872
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
TDK Corporation
OA Round
1 (Non-Final)
62%
Grant Probability
Moderate
1-2
OA Rounds
8m
Est. Remaining
86%
With Interview

Examiner Intelligence

Grants 62% of resolved cases
62%
Career Allowance Rate
349 granted / 559 resolved
-5.6% vs TC avg
Strong +23% interview lift
Without
With
+23.2%
Interview Lift
resolved cases with interview
Typical timeline
3y 4m
Avg Prosecution
29 currently pending
Career history
589
Total Applications
across all art units

Statute-Specific Performance

§101
0.2%
-39.8% vs TC avg
§103
91.9%
+51.9% vs TC avg
§102
2.3%
-37.7% vs TC avg
§112
3.2%
-36.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 559 resolved cases

Office Action

§102 §103 §112
CTNF 18/521,897 CTNF 88566 DETAILED ACTION Notice of Pre-AIA or AIA Status 07-03-aia AIA 15-10-aia The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA. Election/Restrictions 08-06 AIA Claim s 3-6,11-20 , withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to a nonelected group , there being no allowable generic or linking claim. Election was made without traverse in the reply filed on 4/14/2026 . Claims 1-2,7-10 will be examined . Drawings The drawings with 10 Sheets of Figs. 1-10 received on 11/28/2023 are acknowledged and accepted. Double Patenting 08-33 AIA The nonstatutory double patenting rejection is based on a judicially created doctrine grounded in public policy (a policy reflected in the statute) so as to prevent the unjustified or improper timewise extension of the “right to exclude” granted by a patent and to prevent possible harassment by multiple assignees. A nonstatutory double patenting rejection is appropriate where the conflicting claims are not identical, but at least one examined application claim is not patentably distinct from the reference claim(s) because the examined application claim is either anticipated by, or would have been obvious over, the reference claim(s). See, e.g., In re Berg , 140 F.3d 1428, 46 USPQ2d 1226 (Fed. Cir. 1998); In re Goodman , 11 F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993); In re Longi , 759 F.2d 887, 225 USPQ 645 (Fed. Cir. 1985); In re Van Ornum , 686 F.2d 937, 214 USPQ 761 (CCPA 1982); In re Vogel , 422 F.2d 438, 164 USPQ 619 (CCPA 1970); In re Thorington , 418 F.2d 528, 163 USPQ 644 (CCPA 1969). A timely filed terminal disclaimer in compliance with 37 CFR 1.321(c) or 1.321(d) may be used to overcome an actual or provisional rejection based on nonstatutory double patenting provided the reference application or patent either is shown to be commonly owned with the examined application, or claims an invention made as a result of activities undertaken within the scope of a joint research agreement. See MPEP § 717.02 for applications subject to examination under the first inventor to file provisions of the AIA as explained in MPEP § 2159. See MPEP § 2146 et seq. for applications not subject to examination under the first inventor to file provisions of the AIA. A terminal disclaimer must be signed in compliance with 37 CFR 1.321(b). The USPTO Internet website contains terminal disclaimer forms which may be used. Please visit www.uspto.gov/patent/patents-forms. The filing date of the application in which the form is filed determines what form (e.g., PTO/SB/25, PTO/SB/26, PTO/AIA/25, or PTO/AIA/26) should be used. A web-based eTerminal Disclaimer may be filled out completely online using web-screens. An eTerminal Disclaimer that meets all requirements is auto-processed and approved immediately upon submission. For more information about eTerminal Disclaimers, refer to www.uspto.gov/patents/process/file/efs/guidance/eTD-info-I.jsp. 08-34 AIA Claim 1 , rejected on the ground of nonstatutory double patenting as being unpatentable over Claim 1 , of U.S. Patent No s. 12,510,728,12,449,716, 12,416,779, 12,379,570, 12,353,045, 12,313, 902, 12,287,526, 12,289,525, 12, 235, 510, 12,210,208, 12,181,631, 12,159, 752, 12,140,816, 11,988,847, 11,880, 087, 11,796,894, 11,719,996, since the claims, if allowed, would improperly extend the “right to exclude” already granted in the patent. The subject matter claimed in the instant application is fully disclosed in the patent and is covered by the patent since the patent and the application are claiming common subject matter . Although the claims at issue are not identical, they are not patentably distinct from each other because the patents claim an optical element driving mechanism comprising a movable portion, a fixed portion and a driving assembly . Furthermore, there is no apparent reason why applicant was prevented from presenting claims corresponding to those of the instant application during prosecution of the application which matured into a patent. See In re Schneller, 397 F.2d 350, 158 USPQ 210 (CCPA 1968). See also MPEP § 804 . Claim Rejections - 35 USC § 112 07-30-02 AIA The following is a quotation of 35 U.S.C. 112(b): (b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention. The following is a quotation of 35 U.S.C. 112 (pre-AIA), second paragraph: The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention. 07-34-01 Claims 1,2,7-10, as best understood, rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention. Claim 1 recites the limitation "the first optical member" in line 3. There is insufficient antecedent basis for this limitation in the claim. For the purposes of examination, it is considered as --a first optical member--. Claims 2,7-10 are dependent on claim 1 and hence inherit its deficiencies. Claim Rejections - 35 USC § 102 07-06 AIA 15-10-15 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. 07-07-aia AIA 07-07 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 – 07-08-aia AIA (a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention. 07-15-aia AIA Claim(s) 1,2,7, as best understood , is/are rejected under 35 U.S.C. 102 (a)(1) as being anticipated by Hu et al (US 2021/0109368 A1) . Regarding Claim 1, Hu teaches (fig 1-2,4,8) an optical system (optical element driving mechanism 1-100, para 39), comprising: a first module (movable portion 1-M, para 40), comprising: a first movable portion (transmission element 1-50, para 39), configured to connect a first optical member (optical element, lens of the electronic device’s camera, para 3, aperture, shutter, para 39); a first fixed portion (fixed portion 1-F, “the case 1-10, the bottom plate 1-20, the frame 1-30, the base 1-60, the circuit board 1-90 may be called as a fixed portion 1-F”, para 40), wherein the first movable portion (transmission element 1-50, para 39) is movable relative to the first fixed portion (fixed portion 1-F )(“The blade assembly 1-40 and the transmission element 1-50 may be called as a movable portion 1-M which is movable relative to the fixed portion 1-F”, para 40); and a first driving assembly (driving assembly 1-D, para 40), configured to drive the first movable portion to move relative to the first fixed portion (“The magnetic element 1-80 and the coil 1-82 may be called as a driving assembly 1-D used for driving the transmission element 1-50 to move relative to the fixed portion 1-F”, para 40). Regarding Claim 2, Hu teaches the optical system as claimed in claim 1, wherein the first fixed portion (fixed portion 1-F, “the case 1-10, the bottom plate 1-20, the frame 1-30, the base 1-60, the circuit board 1-90 may be called as a fixed portion 1-F”, para 40) comprises a first opening (first opening surface 1-10A, para 46) and a second opening (second opening surface 1-30A, para 46), and the first opening and the second opening correspond to a light (incident light along main axis 1-o) (“the case 1-10 includes a first opening surface 1-10A, the frame 1-30 includes a second opening surface 1-30A”, para 46), wherein the light enters the first module (movable portion 1-M, para 40) via the first opening (first opening surface 1-10A) along an incident light axis (incident light along main axis 1-o), and when viewed from the incident light axis (incident light along main axis 1-o), a center of the first opening and a center of the second opening do not overlap (centers of first opening and second opening surfaces 1-10A and 1-30A do not overlap as in fig 4A). Regarding Claim 7, Hu teaches the optical system as claimed in claim 2, wherein the first driving assembly (driving assembly 1-D, para 40) comprises at least one electromagnetic driving member (magnetic member 1-80, para 39) and at least one electromagnetic driving element (coil 1-82, para 39) respectively disposed on the first fixed portion (fixed portion 1-F, “the case 1-10, the bottom plate 1-20, the frame 1-30, the base 1-60, the circuit board 1-90 may be called as a fixed portion 1-F”, para 40) and the first movable portion (transmission element 1-50, para 39), (“The magnetic element 1-80 may be disposed on the transmission element 1-50, and may move with the transmission element 1-50. The coil 1-82 may be disposed on the base 1-60”, “In some embodiments, the position of the magnetic element 1-80 and the coil 1-82 are interchangeable”, para 42) wherein the first fixed portion (fixed portion 1-F, “the case 1-10, the bottom plate 1-20, the frame 1-30, the base 1-60, the circuit board 1-90 may be called as a fixed portion 1-F”, para 40) includes a recess (base opening 1-62, para 66) formed on a surface of the first fixed portion (base 1-60) facing the first optical member (optical element, lens of the electronic device’s camera, para 3, aperture, shutter, para 39), and the electromagnetic driving member (magnetic member 1-80, para 39) is accommodated in the recess (“the base 1-60 may have a base opening 1-62, and the transmission element 1-50 and the magnetic element 1-80 disposed on the transmission element 1-50 may be disposed in the base opening 1-62”, para 66, also coil 1-82 is fit into the opening 1-62, fig 8) . Claim Rejections - 35 USC § 103 07-20-aia AIA 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. 07-21-aia AIA Claim (s) 8-10, as best understood , is/are rejected under 35 U.S.C. 103 as being unpatentable over Hu et al (US 2021/0109368 A1) and further in view of Hu et al (US 2021/0191073 A1, hereafter Hu’073) . Regarding Claim 8, Hu teaches the optical system as claimed in claim 2, wherein the first driving assembly comprises: a first electromagnetic driving element (left side coil 1-82, para 39, fig 2), disposed on the first movable portion (transmission element 1-50, para 39); a first electromagnetic driving member (left side magnetic member 1-80, para 39, fig 2), disposed on the first fixed portion (fixed portion 1-F, “the case 1-10, the bottom plate 1-20, the frame 1-30, the base 1-60, the circuit board 1-90 may be called as a fixed portion 1-F”, para 40) and corresponding to the first electromagnetic driving element (left side magnetic member 1-80); second electromagnetic driving element (right side coil 1-82, para 39, fig 2), disposed on the first movable portion (transmission element 1-50, para 39); a second electromagnetic driving member (right side magnetic member 1-80, para 39, fig 2), disposed on the first fixed portion (fixed portion 1-F, “the case 1-10, the bottom plate 1-20, the frame 1-30, the base 1-60, the circuit board 1-90 may be called as a fixed portion 1-F”, para 40) and corresponding to the second electromagnetic driving element (right side magnetic member 1-80); (“The magnetic element 1-80 may be disposed on the transmission element 1-50, and may move with the transmission element 1-50. The coil 1-82 may be disposed on the base 1-60”, “In some embodiments, the position of the magnetic element 1-80 and the coil 1-82 are interchangeable”, para 42). However, Hu does not teach a third electromagnetic driving element, disposed on the first movable portion; a third electromagnetic driving member, disposed on the first fixed portion and corresponding to the third electromagnetic driving element, wherein a length of the first electromagnetic driving element in a light axis is greater than a length of the second electromagnetic driving element in the light axis, and the light axis is perpendicular to the incident light axis. Hu and Hu’073 are related as optical element driving assemblies. Hu’073 teaches (fig 1-5) a third electromagnetic driving element (second coil 2-C2, para 42), disposed on the first movable portion (movable part 2-30, para 43, “the movable part 2-30 includes an optical element holder 2-31”, para 41) (second coil 2-C2 is disposed on optical element holder 2-31 as in fig 3,5); a third electromagnetic driving member (second magnetic member 2-M2, para 42), disposed on the first fixed portion (fixed part 2-10, para 38) and corresponding to the third electromagnetic driving element (second coil 2-C2), wherein a length of the first electromagnetic driving element (third coil 2-C3, para 42) in a light axis (X-axis) is greater than a length of the second electromagnetic driving element (first coil 2-C1, para 42) in the light axis (as in fig 3), and the light axis is perpendicular to the incident light axis (Y-axis). Therefore, 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 driving assembly of Hu to include the driving assembly of Hu’073 for the purpose of utilizing a common setup for moving the optical element in three dimensions (para 44). Regarding Claim 9, Hu-Hu’073 teaches the optical system as claimed in claim 8. However, Hu does not teach wherein the first driving assembly further comprises a controller disposed on the first movable portion, and the third electromagnetic driving element is disposed between the first electromagnetic driving element and the controller, wherein when viewed from an output light axis of the light, a center of the first electromagnetic driving element is disposed between a center of the second electromagnetic driving element and a center of the controller. Hu and Hu’073 are related as optical element driving assemblies. Hu’073 teaches (fig 1-5) wherein the first driving assembly further comprises a controller (first control unit 2-CN, para 53) disposed on the first movable portion (movable part 2-30, para 43, “the movable part 2-30 includes an optical element holder 2-31”, para 41) (as in fig 3,5), and the third electromagnetic driving element (second coil 2-C2, para 42) is disposed between the first electromagnetic driving element (third coil 2-C3, para 42) and the controller (first control unit 2-CN, para 53) (as in fig 3), wherein when viewed from an output light axis of the light (along y axis), a center of the first electromagnetic driving element (right side third coil 2-C3, para 42) is disposed between a center of the second electromagnetic driving element (right side first coil 2-C1, para 42) and a center of the controller (first control unit 2-CN, para 53). Therefore, 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 driving assembly of Hu to include the driving assembly of Hu’073 for the purpose of utilizing a common setup for moving the optical element in three dimensions (para 44). Regarding Claim 10, Hu-Hu’073 teaches the optical system as claimed in claim 8. However, Hu does not teach wherein a thickness of the first electromagnetic driving member in an output light axis is greater than a thickness of the second electromagnetic driving member in the output light axis, and the output light axis is parallel to the incident light axis. Hu and Hu’073 are related as optical element driving assemblies. Hu’073 teaches (fig 1-5) wherein a thickness of the first electromagnetic driving member (third magnet 2-M3, para 42) in an output light axis is smaller than a thickness of the second electromagnetic driving member (first magnet 2-M1, para 42) in the output light axis, and the output light axis is parallel to the incident light axis. Therefore, 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 driving assembly of Hu to include the driving assembly of Hu’073 for the purpose of utilizing a common setup for moving the optical element in three dimensions (para 44). However, Hu-Hu’073 does not teach wherein a thickness of the first electromagnetic driving member is greater than a thickness of the second electromagnetic driving member in the output light axis. However, 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 (C.C.P.A. 1955). Hu’073 teaches that the thickness of the first electromagnetic driving member is in a range of values. An increase in the ratio of thicknesses of first and second driving members will help in stronger drive force along first dimension while making it weaker along second dimension and a decrease in the ratio would make a weaker drive force along first dimension while making stronger force along first dimension. Therefore, the ratio of the thicknesses between the driving members is a result effective variable. It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have the claimed thickness relationship of first and second driving members, and one would have chosen the thickness of first being higher than the thickness of the second driving member according to a result effective variable balancing the need to improving image quality with directional drives. One would have been motivated to have thickness ratio to be within the claimed range balancing a desired image quality with directional use Conclusion 07-96 AIA The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Hu et al (US 2021/0109307) teaches optical element driving mechanism. Any inquiry concerning this communication or earlier communications from the examiner should be directed to JYOTSNA V DABBI whose telephone number is (571)270-3270. The examiner can normally be reached M-Fri: 9:00am-5:00pm. 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, STEPHONE ALLEN can be reached at 571-272-2434. 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. /JYOTSNA V DABBI/Primary Examiner, Art Unit 2872 6/9/2026 Application/Control Number: 18/521,897 Page 2 Art Unit: 2872 Application/Control Number: 18/521,897 Page 3 Art Unit: 2872 Application/Control Number: 18/521,897 Page 4 Art Unit: 2872 Application/Control Number: 18/521,897 Page 5 Art Unit: 2872 Application/Control Number: 18/521,897 Page 6 Art Unit: 2872 Application/Control Number: 18/521,897 Page 7 Art Unit: 2872 Application/Control Number: 18/521,897 Page 8 Art Unit: 2872 Application/Control Number: 18/521,897 Page 9 Art Unit: 2872 Application/Control Number: 18/521,897 Page 10 Art Unit: 2872 Application/Control Number: 18/521,897 Page 11 Art Unit: 2872 Application/Control Number: 18/521,897 Page 12 Art Unit: 2872 Application/Control Number: 18/521,897 Page 13 Art Unit: 2872 Application/Control Number: 18/521,897 Page 14 Art Unit: 2872
Read full office action

Prosecution Timeline

Nov 28, 2023
Application Filed
Jun 17, 2026
Non-Final Rejection mailed — §102, §103, §112 (current)

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Prosecution Projections

1-2
Expected OA Rounds
62%
Grant Probability
86%
With Interview (+23.2%)
3y 4m (~8m remaining)
Median Time to Grant
Low
PTA Risk
Based on 559 resolved cases by this examiner. Grant probability derived from career allowance rate.

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