Prosecution Insights
Last updated: July 17, 2026
Application No. 18/768,604

OPTICAL SCANNING APPARATUS

Non-Final OA §102§103
Filed
Jul 10, 2024
Priority
Jul 31, 2023 — JP 2023-124032
Examiner
PARBADIA, BALRAM T
Art Unit
2872
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
Brother Kogyo Kabushiki Kaisha
OA Round
1 (Non-Final)
75%
Grant Probability
Favorable
1-2
OA Rounds
8m
Est. Remaining
95%
With Interview

Examiner Intelligence

Grants 75% — above average
75%
Career Allowance Rate
402 granted / 539 resolved
+6.6% vs TC avg
Strong +20% interview lift
Without
With
+20.0%
Interview Lift
resolved cases with interview
Typical timeline
2y 8m
Avg Prosecution
22 currently pending
Career history
567
Total Applications
across all art units

Statute-Specific Performance

§101
0.2%
-39.8% vs TC avg
§103
73.3%
+33.3% vs TC avg
§102
25.8%
-14.2% vs TC avg
§112
0.3%
-39.7% vs TC avg
Black line = Tech Center average estimate • Based on career data from 539 resolved cases

Office Action

§102 §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 . Priority Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55. Information Disclosure Statement The information disclosure statement (IDS) submitted on 07/10/2024 is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered by the examiner. Claim Rejections - 35 USC § 102 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 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. Claims 1, 3, 7, 8, and 10-13 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Tanaka et al. (2021/0080712). Regarding claim 1, Tanaka discloses an optical scanning apparatus (for exemplary purposes, at least Figure 1, 101, scanner unit; Examiner notes that Tanaka's third embodiment is relied upon for the mapping of the rejection, but for illustrative purposes, Figures 1 and 11 have also been utilized, which are viewed to be similar components to the third embodiment), comprising: a semiconductor laser (1, semiconductor laser unit); a coupling lens configured to convert light emitted from the semiconductor laser into a light beam (at least 2, composite anamorphic collimator lens; [0023]); a deflector configured to deflect the light beam passed through the coupling lens into a main scanning direction (5, deflection unit; [0022, 0023]), the deflector including a polygon mirror (4, rotating polygon mirror), the polygon mirror being rotatable about a rotation axis extending in a first direction (4, rotating polygon mirror, rotates about 5a, rotating shaft, which extends vertically); a scanning optical system configured to form an image of the light beam deflected by the deflector on an image surface (at least 7, fθ lens; [0023] teaches L, laser beam, moves in the main scanning direction by rotation of 4, rotating polygon mirror, and is incident on 7, fθ lens, and exits from an exit port and forms an image on 103, photosensitive member); a frame including a base board, on which the deflector is mounted (at least 8, optical box; [0022]); and a cover covering the deflector from a side opposite to the base board (at least 9, cover; [0022]), wherein the frame includes a first wall extending in a direction from the base board toward the cover (Figure 11 depicts a wall at least on the left hand side which includes an opening that allows light to pass from 101, scanner unit, to 103, photosensitive member), the first wall including an opening, through which the light beam deflected by the deflector toward the scanning optical system passes (Figure 11 depicts an opening on the left hand side which allows light to pass from 101, scanner unit, to 103, photosensitive member), and a first cutout located apart from the opening in a second direction, the second direction being parallel to the main scanning direction (Figure 8, 16b, hole, extending horizontally), wherein the cover includes a second wall (Figure 9A, 17a, outer wall), the second wall covering an entirety of the first cutout in a view along a third direction, the third direction intersecting orthogonally with the first direction and the second direction (Figure 9A). [AltContent: arrow][AltContent: arrow][AltContent: oval][AltContent: oval][AltContent: arrow]Regarding claim 3, Tanaka discloses the optical scanning apparatus according to claim 1, wherein the first wall is located between at least a part of the second wall and the deflector in the third direction (see Figure A, below, wherein the right hand side portion of the first wall is disposed between the second wall and the deflection unit). [AltContent: textbox (Second wall)][AltContent: textbox (First wall)][AltContent: textbox (Figure A: Annotated Tanaka Figure 11)] PNG media_image1.png 438 527 media_image1.png Greyscale Regarding claim 7, Tanaka discloses the optical scanning apparatus according to claim 1, wherein the scanning optical system includes a first scanning lens (2, composite anamorphic collimator lens) and a second scanning lens (7, fθ lens), the second scanning lens being located downstream from the first scanning lens in a traveling direction of the light beam ([0023]), the first wall overlaps the second scanning lens in a view along the third direction (Figures 1 and 11), and the first cutout overlaps a sideward region of the second scanning lens in the view along the third direction (Figures 1 and 11), the sideward region being apart from a center of the second scanning lens in the second direction (Figures 1 and 11). Regarding claim 8, Tanaka discloses the optical scanning apparatus according to claim 7, wherein the first scanning lens is situated to close the opening (Figure 11). Regarding claim 10, Tanaka discloses the optical scanning apparatus according to claim 1, wherein the frame includes an outer wall (Figure 9A, 16a, outer wall), the outer wall extending in the first direction and surrounding the scanning optical system (at least Figures 9A and 11), and the cover includes an engageable part configured to engage with the frame in a state where the cover is attached to the frame (Figure 9A, corner portion of 17a, outer wall, engages with top portion of 16a, outer wall). Regarding claim 11, Tanaka discloses the optical scanning apparatus according to claim 10, wherein the outer wall includes a second cutout (Figure 1, 8n, space; additionally, any of the holes depicted in Figure 1 along 8b, outer wall, can be considered as cutouts), and the cover includes a third wall (9b, outer wall), the third wall covering an entirety of the second cutout in a view along the third direction (Figure 1, [0026]). Regarding claim 12, Tanaka discloses the optical scanning apparatus according to claim 11, wherein the scanning optical system includes a first scanning lens (2, composite anamorphic collimator lens) and a second scanning lens (7, fθ lens), the second scanning lens being located downstream from the first scanning lens in a traveling direction of the light beam ([0023]), the outer wall overlaps the second scanning lens in the view along the third direction (Figures 1 and 11), and the second cutout overlaps a sideward region of the second scanning lens in the view along the third direction (Figures 1 and 11), the sideward region being apart from a center of the second scanning lens in the second direction (Figures 1 and 11). Regarding claim 13, Tanaka discloses an optical scanning apparatus (for exemplary purposes, at least Figure 1, 101, scanner unit; Examiner notes that Tanaka's third embodiment is relied upon for the mapping of the rejection, but for illustrative purposes, Figures 1 and 11 have also been utilized, which are viewed to be similar components to the third embodiment), comprising: a light source emitting a light beam (1, semiconductor laser unit, emitting L, laser beam); a polygon mirror deflecting the light beam into a main scanning direction (4, rotating polygon mirror; [0022, 0023]), the polygon mirror being rotatable about a rotation axis (4, rotating polygon mirror, rotates about 5a, rotating shaft); a motor rotating the polygon mirror (5m, motor unit; [0022]); a scanning optical system converging the light beam deflected by the polygon mirror on an image surface (at least 7, fθ lens; [0023] teaches L, laser beam, moves in the main scanning direction by rotation of 4, rotating polygon mirror, and is incident on 7, fθ lens, and exits from an exit port and forms an image on 103, photosensitive member); a frame including a base board, on which the motor is mounted (at least 8, optical box; [0022]); and a cover covering the polygon mirror from a side opposite to the base board (at least 9, cover; [0022]), wherein the frame includes a partition wall extending in a direction from the base board toward the cover (Figure 11 depicts a wall at least on the left hand side which includes an opening that allows light to pass from 101, scanner unit, to 103, photosensitive member, and on the right hand side; Figure 9A, 16a, outer wall), the partition wall surrounding a chamber which accommodates the polygon mirror (Figure 9A), the partition wall including a first cutout located outside of a scanning range of the light beam in the main scanning direction (Figure 8, 16b, hole, extending horizontally), and wherein the cover includes a second wall (Figure 9A, 17a, outer wall), the second wall closing the first cutout (Figure 9A). 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. Claims 2, 4, and 5 are rejected under 35 U.S.C. 103 as being unpatentable over Tanaka et al. (2021/0080712) in view of Ozawa (2015/0370065). Regarding claim 2, Tanaka discloses the optical scanning apparatus according to claim 1, but fails to teach wherein the second wall is at least partly located between the first wall and the deflector in the third direction. Tanaka and Ozawa are related because both teach an optical scanning apparatus. Ozawa teaches an optical scanning apparatus wherein the second wall is at least partly located between the first wall and the deflector in the third direction (Figure 5, 92, side wall portion, and 93, rib; 93, rib, is provided on an inner side of 82, housing-side wall portion, thus considered to be partly between a first wall and a deflector in the third direction). It would have been obvious to one having ordinary skill in the art at the time the invention was filed to have modified Tanaka to incorporate the teachings of Ozawa and provide wherein the second wall is at least partly located between the first wall and the deflector in the third direction. Doing so would allow for improved suppression of pollution and dust in the optical scanning apparatus. Regarding claim 4, Tanaka the optical scanning apparatus according to claim 1, but fails to teach wherein the second wall includes: a first part located between the first wall and the deflector in the third direction; and a second part located apart from the first part in the third direction, and the first wall is located between the first part and the second part in the third direction. Tanaka and Ozawa are related because both teach an optical scanning apparatus. Ozawa teaches an optical scanning apparatus wherein the second wall includes: a first part located between the first wall and the deflector in the third direction (Figure 5, 92, side wall portion, and 93, rib; 93, rib, is provided on an inner side of 82, housing-side wall portion, thus considered to be partly between a first wall and a deflector in the third direction); and a second part located apart from the first part in the third direction, and the first wall is located between the first part and the second part in the third direction (92, side wall portion; 82, housing-side wall portion, is considered to be located between 93, rib, and 92, side wall portion). It would have been obvious to one having ordinary skill in the art at the time the invention was filed to have modified Tanaka to incorporate the teachings of Ozawa and provide wherein the second wall includes: a first part located between the first wall and the deflector in the third direction; and a second part located apart from the first part in the third direction, and the first wall is located between the first part and the second part in the third direction. Doing so would allow for improved suppression of pollution and dust in the optical scanning apparatus. Regarding claim 5, the modified Tanaka the optical scanning apparatus according to claim 4, but fails to teach wherein a dimension of the first part in the first direction is greater than a dimension of the second part in the first direction. However, Examiner notes that it would have been obvious to one having ordinary skill in the art at the time the invention was filed to adjust the size of the first part and the second part such that the dimension of the first part is greater than the dimension of the second part, since it has been held that discovering an optimum value of a result effective variable involves only routine skill in the art, and that such modifications would have involved a mere change in the size of a component - a change in size is generally recognized as being within the level of ordinary skill in the art and since such a modification would have involved a mere change in the proportions of components - a change in proportion is generally recognized as being within the level of ordinary skill in the art. In re Boesch, 617 F.2d 272, 205 USPQ 215 (CCPA 1980); In re Rose, 105 USPQ 237 (CCPA 1955); In re Reese, 129 USPQ 402. Doing so would allow for secure fitting to ensure a dust free sealing. Claim 9 is rejected under 35 U.S.C. 103 as being unpatentable over Tanaka et al. (2021/0080712) in view of Tomioka (2015/0062679). Regarding claim 9, Tanaka discloses the optical scanning apparatus according to claim 1, but fails to teach wherein one of the frame and the cover includes a boss, the boss extending in the first direction, and the other of the frame and the cover includes a cylindrical part, in which the boss is configured to be inserted when the cover is attached to the frame. Tanaka and Tomioka are related because both teach an optical scanning apparatus. Tomioka teaches an optical scanning apparatus wherein one of the frame and the cover includes a boss (Figure 1, 11, housing, includes 23, claws), the boss extending in the first direction (Figure 1, 23, claws, are depicted to extend in the first direction), and the other of the frame and the cover includes a part, in which the boss is configured to be inserted when the cover is attached to the frame (12, lid member, includes 23, engaging portions, which include holes). It would have been obvious to one having ordinary skill in the art at the time the invention was filed to have modified Tanaka to incorporate the teachings of Tomioka and provide wherein one of the frame and the cover includes a boss, the boss extending in the first direction, and the other of the frame and the cover includes a part, in which the boss is configured to be inserted when the cover is attached to the frame. Doing so would allow for improved securing of the frame and the cover. The modified Tanaka fails to teach that the part is a cylindrical part. However, Examiner notes that it would have been an obvious matter of design choice to one having ordinary skill in the art at the time the invention was filed to make the different portions of the hole of whatever form or shape was desired or expedient, in this case adjust the shape of the hole from rectangular to cylindrical. A change in form or shape is generally recognized as being within the level of ordinary skill in the art, absent any showing of unexpected results. In re Dailey et al., 149 USPQ 47. See also In re Seid, 161 F.2d 229, 73 USPQ 431 (CCPA 1947). Doing so would allow for easy attachment and detachment of the frame and cover. Allowable Subject Matter Claim 6 is 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: the prior art fails to teach or suggest the limitations of claim 6, along with the structural limitations positively recited in claims 1 and 4, in a manner that would be appropriate under 35 U.S.C. 102 or 103. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Sugiyama (2012/0307329), Obara (2010/0033790), Kim (2007/0058231), Kato (2006/0139720), and Abe (2005/0213177) disclose relevant optical scanning devices. Any inquiry concerning this communication or earlier communications from the examiner should be directed to BALRAM T PARBADIA whose telephone number is (571)270-0602. The examiner can normally be reached 9:00 am - 5:00 pm, Monday - Friday. 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, Bumsuk Won can be reached at (571) 272-2713. 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. /BALRAM T PARBADIA/Primary Examiner, Art Unit 2872
Read full office action

Prosecution Timeline

Jul 10, 2024
Application Filed
Jun 22, 2026
Non-Final Rejection mailed — §102, §103 (current)

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Prosecution Projections

1-2
Expected OA Rounds
75%
Grant Probability
95%
With Interview (+20.0%)
2y 8m (~8m remaining)
Median Time to Grant
Low
PTA Risk
Based on 539 resolved cases by this examiner. Grant probability derived from career allowance rate.

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