Prosecution Insights
Last updated: October 25, 2026
Application No. 18/842,844

AUTHENTICATION APPARATUS, AUTHENTICATION METHOD, AND RECORDING MEDIUM

Final Rejection §102§103
Filed
Aug 30, 2024
Priority
Mar 11, 2022 — nonprovisional of PCTJP2022010872
Examiner
LEIBY, CHRISTOPHER E
Art Unit
2621
Tech Center
2600 — Communications
Assignee
NEC Corporation
OA Round
2 (Final)
62%
Grant Probability
Moderate
3-4
OA Rounds
9m
Est. Remaining
84%
With Interview

Examiner Intelligence

Grants 62% of resolved cases
62%
Career Allowance Rate
629 granted / 1014 resolved
At TC average
Strong +22% interview lift
Without
With
+22.1%
Interview Lift
resolved cases with interview
Typical timeline
2y 11m
Avg Prosecution
24 currently pending
Career history
1049
Total Applications
across all art units

Statute-Specific Performance

§101
1.2%
-38.8% vs TC avg
§103
52.6%
+12.6% vs TC avg
§102
29.1%
-10.9% vs TC avg
§112
9.5%
-30.5% vs TC avg
Black line = Tech Center average estimate • Based on career data from 1014 resolved cases

Office Action

§102 §103
Notice of Pre-AIA or AIA Status 1. The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA . 2. Claims 1-15 are pending. Bolded claim language below regards newly amended subject matter with a corresponding new rejection citation. Newly amended subject matter that is not bolded does not comprise a new rejection citation (utilizes previous interpretation that is unchanged in view of the new language) or is a newly added claim. Claim Rejections - 35 USC § 102 3. 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 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. Claim(s) 1-3, 5-6, 9-10, and 13-15 is/are rejected under 35 U.S.C. 102a1 as being anticipated by Sakashita et al. (US Patent Application Publication 2019/0236376), herein after referred to as Sakashita. Regarding independent claim 1, Sakashita discloses an authentication apparatus (Figure 2 server 13 paragraphs [0014], [0017], [0024] uses information acquisition section 12 as an image pickup device for use in face authentication.) comprising: at least one memory (230) configured to store instructions ([0021] program); and at least one processor (100 [0021]) configured to execute the instructions to: authenticate a person (figure 3 S1), by using a first image (12) that is generated by an imaging apparatus (11+12) imaging the person before the person enters a target area (200) ([0015] card read 12 (described to be alternatively implemented as an image pickup device for face authentication [0017 and [0024]) is used to grant entry into room 200, figure 1); and perform counting processing (S3) for counting ([0027]-[0030] and [0040]-[0041] cameras 11 (figures 1-2) detects the number of persons in room 200) a number of persons staying in the target area (200), by using one or more second images (video by 11) generated by the imaging apparatus (11+12) imaging persons entering and leaving the target area (200) ([0013], [0028]-[0029], and [0040] the captured videos (plurality of sequential images) from the cameras 11 are used to detect individual persons including persons having entered/exited the room 200), the counting processing including: detecting (133), based on the one or more second images (video by 11), a person moving from outside the target area (200) to inside the target area (200) through an entrance (102) of the target area (200) ([0040] section 133 detects persons entering the room 200 based on videos captured by cameras 11. Entry is via gate 102 [0037].); and detecting, based on the one or more second images (video by 11), the person moving from inside the target area (200) to outside the target area (200) through the entrance (102) of the target area (200) ([0046] and S11 determine that a person has left the room. Entry is via gate 102 [0037].). Regarding claim 2, Sakashita discloses the authentication apparatus according to claim 1, wherein the at least one processor (100) is configured to execute the instructions ([0021]) to start the counting processing (S3) when authentication of the person is successful (S2 YES person is authenticated, [0040]-[0041]), and does not start the counting processing (S3) when the authentication of the person is not successful (S2 NO process is ended without performing S3 process of detecting room occupants, [0040]-[0041]). Regarding claim 3, Sakashita discloses the authentication apparatus according to claim 1, wherein a restriction object (automatic locking/unlocking mechanism on entrance gate 102) that is configured to restrict an entry of the person to the target area (200) ([0037]), is disposed (figure 1) between the target area (200) and an outside area of the target area (200) ([0037]), and the at least one processor (100) is configured to execute the instructions to start the counting processing (S3) when a state of the restriction object (102) is an unrestricted state (unlocked) in which the entry of the person to the target area (200) is not restricted (S2 YES user is approved/not restricted, [0040]-[0041]), and does not start the counting processing (S3) when the state of the restriction object (102) is a restricted state (locked) in which the entry of the person to the target area (200) is restricted (S2 NO process is ended without performing S3 process of detecting room occupants, [0040]-[0041]). Regarding claim 5, Sakashita discloses the authentication apparatus according to claim 3, wherein the at least one processor (100) is configured to execute the instructions to switch the state of the restriction object (102) to the restricted state (locked), when authentication of the person is successful (Figure 3 S2 user is authenticated YES, however the user is refused entry (restricted) in S8 after authentication S2 because the priority for entry is lower S7 than those in the room). Regarding claim 6, Sakashita discloses the authentication apparatus according to claim 1, wherein the person performs a first procedure ([0024] pre-stored face image) for entering the target area (200) before entering the target area (200) ([0024] S2 for determining if imaged person int target area is matched with pre-approved stored image), the person performs a second procedure (S10) for ending a use of the target area (200) when ending the use of the target area (200) ([0046]), and the at least one processor (100) is configured to execute the instructions to start the counting processing (S2) when the person completes the first procedure (pre-stored face image) ([0024] S2 started after pre-approved face image is matched with image of user entering target area 200), and ends the counting processing (S2) when the person completes the second procedure (S10) (Figure 3 after S10 is completed the process ends until a new entry applicant is detected.). Regarding independent claim 9, Sakashita discloses an authentication method (Figure 3 [0017]) comprising: authenticating a person (figure 3 S1), by using a first image (12) that is generated by an imaging apparatus (11+12) imaging the person before the person enters a target area (200) ([0015] card read 12 (described to be alternatively implemented as an image pickup device for face authentication [0017 and [0024]) is used to granted entry into room 200); and performing counting processing (S3) for counting ([0027]-[0030] and [0040]-[0041] cameras 11 (figures 1-2) detects the number of persons in room 200) a number of persons staying in the target area (200), by using one or more second images (video by 11) generated by the imaging apparatus (11+12) imaging persons entering and leaving the target area (200) ([0013], [0028]-[0029], and [0040] the captured videos (plurality of sequential images) from the cameras 11 are used to detect individual persons including persons having entered/exited the room 200), the counting processing including: detecting (133), based on the one or more second images (video by 11), a person moving from outside the target area (200) to inside the target area (200) through an entrance (102) of the target area (200) ([0040] section 133 detects persons entering the room 200 based on videos captured by cameras 11. Entry is via gate 102 [0037].); and detecting, based on the one or more second images (video by 11), the person moving from inside the target area (200) to outside the target area (200) through the entrance (102) of the target area (200) ([0046] and S11 determine that a person has left the room. Entry is via gate 102 [0037].). Regarding independent claim 10, Sakashita discloses a non-transitory recording medium on which a computer program ([0021]) that allows a computer to execute an authentication method (figure 3) is recorded, the authentication method including: authenticating a person (figure 3 S1), by using a first image (12) that is generated by an imaging apparatus (11+12) imaging the person before the person enters a target area (200) ([0015] card read 12 (described to be alternatively implemented as an image pickup device for face authentication [0017 and [0024]) is used to granted entry into room 200); and performing counting processing (S3) for counting ([0027]-[0030] and [0040]-[0041] cameras 11 (figures 1-2) detects the number of persons in room 200) a number of persons staying in the target area (200), by using one or more second images (video by 11) generated by the imaging apparatus (11+12) imaging persons entering and leaving the target area (200) ([0013], [0028]-[0029], and [0040] the captured videos (plurality of sequential images) from the cameras 11 are used to detect individual persons including persons having entered/exited the room 200), the counting processing including: detecting (133), based on the one or more second images (video by 11), a person moving from outside the target area (200) to inside the target area (200) through an entrance (102) of the target area (200) ([0040] section 133 detects persons entering the room 200 based on videos captured by cameras 11. Entry is via gate 102 [0037].); and detecting, based on the one or more second images (video by 11), the person moving from inside the target area (200) to outside the target area (200) through the entrance (102) of the target area (200) ([0046] and S11 determine that a person has left the room. Entry is via gate 102 [0037].). Regarding claim 13, Sakashita discloses the authentication apparatus according to claim 1, wherein the one or more second images comprise a plurality of second images that correspond to time-series data ([0029] cameras 11 capture videos (plurality of sequential images)), the counting processing (S3) is performed based on the plurality of second images ([0013], [0028]-[0029], and [0040] the captured videos (plurality of sequential images) from the cameras 11 are used to detect individual persons including persons having entered/exited the room 200). Regarding claim 14, Sakashita discloses the authentication method according to claim 9, wherein the one or more second images comprise a plurality of second images that correspond to time-series data ([0029] cameras 11 capture videos (plurality of sequential images)), the counting processing (S3) is performed based on the plurality of second images ([0013], [0028]-[0029], and [0040] the captured videos (plurality of sequential images) from the cameras 11 are used to detect individual persons including persons having entered/exited the room 200). Regarding claim 15, Sakashita discloses the non-transitory recording medium according to claim 10, wherein the one or more second images comprise a plurality of second images that correspond to time-series data ([0029] cameras 11 capture videos (plurality of sequential images)), the counting processing (S3) is performed based on the plurality of second images ([0013], [0028]-[0029], and [0040] the captured videos (plurality of sequential images) from the cameras 11 are used to detect individual persons including persons having entered/exited the room 200). Claim Rejections - 35 USC § 103 4. 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) 4 and 7 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sakashita in view of Watanabe (US Patent Application Publication 2023/0162503). Regarding claim 4, Sakashita discloses the authentication apparatus according to claim 3, wherein the target area (200) includes a [ ] room (room 200) of an [ ] facility (figure 1), and the restriction object (102) includes a lockable door of the [ ] room ([0037]). Sakashita does not specifically disclose the room to be a guest room of an accommodation facility. Watanabe discloses a target area includes a guest room of an accommodation facility ([0067]-[0068] describes a hotel comprising image monitoring units 25d and 314d, via cameras 2, to count the number of people in and out of each guest room.). It would have been obvious to one skilled in the art before the effective filing date of the current application to enable Sakashita’s target area room with lockable door with the known technique of being a guest room of an accommodation facility yielding the predictable results of detecting suspicious persons/behavior for increased security of guests as disclosed by Watanabe ([0068]). Regarding claim 7, Sakashita discloses the authentication apparatus according to claim 6, wherein the target area (200) includes a [ ] room (room 200) of an [ ] facility (figure 1), and the first procedure includes a check-in procedure ([0024] pre-stored face image, if the face is not matched in S2 the user is unable to enter the room, therefore pre-stored face image is considered within a scope of “check-in” procedure for a facility) to the [ ] facility, and the second procedure (S10) includes a check-out procedure from the [ ] facility ([0046]). Sakashita does not specifically disclose the room to be a guest room of an accommodation facility. Watanabe discloses A target area includes a guest room of an accommodation facility ([0067]-[0068] describes a hotel comprising image monitoring units 25d and 314d, via cameras 2, to count the number of people in and out of each guest room.). It would have been obvious to one skilled in the art before the effective filing date of the current application to enable Sakashita’s target area room with lockable door with the known technique of being a guest room of an accommodation facility yielding the predictable results of detecting suspicious persons/behavior for increased security of guests as disclosed by Watanabe ([0068]). Allowable Subject Matter 5. Claims 8 and 11-12 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. Response to Arguments 6. Applicant's arguments filed 8/27/2026 have been fully considered but they are not persuasive. Applicant argues the newly amended subject matter. Please refer to the above office action as rebuttal. This action is final necessitated by amendment. Conclusion 7. The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Gu et al. (US Patent 10,997,835) mirrors to widen views of a cameras (column 2 lines 35-50) 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. Any inquiry concerning this communication or earlier communications from the examiner should be directed to CHRISTOPHER E LEIBY whose telephone number is (571)270-3142. The examiner can normally be reached 11-7. 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, Amr Awad can be reached at 571-272-7764. 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. /CHRISTOPHER E LEIBY/Primary Examiner, Art Unit 2621
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Prosecution Timeline

Aug 30, 2024
Application Filed
May 28, 2026
Non-Final Rejection mailed — §102, §103
Aug 27, 2026
Response Filed
Oct 14, 2026
Final Rejection mailed — §102, §103 (current)

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Prosecution Projections

3-4
Expected OA Rounds
62%
Grant Probability
84%
With Interview (+22.1%)
2y 11m (~9m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 1014 resolved cases by this examiner. Grant probability derived from career allowance rate.

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