Prosecution Insights
Last updated: July 17, 2026
Application No. 18/901,102

OPTICAL APPARATUS AND IMAGE PICKUP APPARATUS HAVING THE SAME

Non-Final OA §102§112
Filed
Sep 30, 2024
Priority
Oct 06, 2023 — JP 2023-174175
Examiner
PINKNEY, DAWAYNE
Art Unit
Tech Center
Assignee
Canon Inc.
OA Round
1 (Non-Final)
81%
Grant Probability
Favorable
1-2
OA Rounds
7m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 81% — above average
81%
Career Allowance Rate
1384 granted / 1716 resolved
+20.7% vs TC avg
Strong +18% interview lift
Without
With
+18.1%
Interview Lift
resolved cases with interview
Typical timeline
2y 4m
Avg Prosecution
41 currently pending
Career history
1761
Total Applications
across all art units

Statute-Specific Performance

§101
0.2%
-39.8% vs TC avg
§103
73.7%
+33.7% vs TC avg
§102
22.3%
-17.7% vs TC avg
§112
1.0%
-39.0% vs TC avg
Black line = Tech Center average estimate • Based on career data from 1716 resolved cases

Office Action

§102 §112
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 09/30/2024 has been considered by the examiner. Claim Rejections - 35 USC § 112 The following is a quotation of the first paragraph of 35 U.S.C. 112(a): (a) IN GENERAL.—The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor or joint inventor of carrying out the invention. The following is a quotation of the first paragraph of pre-AIA 35 U.S.C. 112: The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor of carrying out his invention. Claims 1-11 are rejected under 35 U.S.C. 112(a) or 35 U.S.C. 112 (pre-AIA ), first paragraph, as failing to comply with the written description requirement. The claim(s) contains subject matter which was not described in the specification in such a way as to reasonably convey to one skilled in the relevant art that the inventor or a joint inventor, or for applications subject to pre-AIA 35 U.S.C. 112, the inventor(s), at the time the application was filed, had possession of the claimed invention. Regarding independent claims 1 and 11, the applicant claims “an adjustment mechanism”, however, the instant specification does not describe or disclose “an adjustment mechanism”. Namely, the Examiner points out that Para. 0033 of the instant specification only describes “a torque adjustment mechanism” which is a “linear movement ring 23 and the spring washer 25 constituting the torque adjustment mechanism” and Para. 0019 of the instant specification discloses “a linear movement ring (third member)”, however, it is unclear to the Examiner how the “linear movement ring (third member)” can simultaneously be the claimed “third member” and be part of a separate “torque adjustment member” that are disclosed as two different elements that perform two different functions. Therefore, the claimed “adjustment mechanism” was not described in the specification in such a way as to reasonably convey to one skilled in the relevant art that the inventor or a joint inventor, or for applications subject to pre-AIA 35 U.S.C. 112, the inventor(s), at the time the application was filed, had possession of the claimed invention. 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. Claim 11 is 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. Regarding claim 11, the applicant claims “the first member is rotatable…by a drive unit” in lines 9 and 12 and “the image pickup apparatus comprises a drive unit” in line 16, however, it is unclear to the Examiner as to whether or not the claimed “drive unit” in lines 9 and 12 is the same “drive unit” referred to and claimed in line 16 or if the claimed “drive unit” in lines 9 and 12 are different and distinct from the “drive unit” referred to and claimed in line 16. For purposes of expediting prosecution, the Examiner interprets that --the claimed “drive unit” in lines 9 and 12 is the same “drive unit” referred to in line 16--. Claim Rejections - 35 USC § 102 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. Claims 1-11 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Konishi (JP 2015014722; already of record). Regarding claim 1, Konishi discloses, an optical apparatus (Para. 0001, 0011 and Figs. 1-9) comprising: a first member (4c) rotatable (Para. 0012) about an optical axis, a second member (4b) rotatable (Para. 0012) about the optical axis, a third member (4a) movable (Para. 0012) in an optical axis direction, a first biasing member (8a, b) biasing the first member and configured to apply a rotational load to the first member (Para. 0014 and 0017-0018), and an adjustment mechanism (6a, 6b, 9a, 9b, 20a, 71a, 71b, 72a, 72b) configured to adjust the rotational load, wherein the first member is rotatable manually or by a drive unit (11, 30) detachable from the optical apparatus (Para. 0008 and 0016-0018), wherein the optical apparatus includes an operation member that is operated in conjunction with attachment of the drive unit to the optical apparatus (Para. 0008 and 0016-0018), and wherein the adjustment mechanism rotates the second member about the optical axis by operating the operation member, moves the third member in the optical axis direction by rotating, and changes the rotational load (Para. 0020-0022 and 0033). Regarding claim 2, Konishi discloses, the second member includes projections that protrude in the optical axis direction and come into contact with the third member, and the third member has a slope portion inclined with respect to the optical axis direction (Para. 0016-0018), wherein the adjustment mechanism changes a biasing force of the first biasing member by rotating the second member by operating the operation member and moving the third member in the optical axis direction by the slope portion with which the projections come into contact (Para. 0016-0018). Regarding claim 3, Konishi discloses, the operation member includes a swing shaft portion (12a, b), a first contact portion extending from the swing shaft portion (Para. 0014 and 0017), and a second contact portion positioned in a direction perpendicular to the first contact portion and abutting on the second member (Para. 0014 and 0017), wherein when the drive unit is attached on the optical apparatus, the first contact portion is pressed, the operation member rotates about the swing shaft portion, and the second contact portion rotates the second member (Para. 0014 and 0017). Regarding claim 4, Konishi discloses, a second biasing member (8a, b) is attached to the second member, and a biasing force (100, 200) applied to the third member by the second biasing member is larger than a biasing force by the first biasing member (Para. 0024-0025 and see 100, 200). Regarding claim 5, Konishi discloses, a biasing force (100, 200) of the first biasing member changes in accordance with a rotation angle when the second member is within a predetermined range of rotation angle, and the biasing force of the first biasing member does not change when the second member is outside the predetermined range of rotation angle (Para. 0024-0025 and see 100, 200). Regarding claim 6, Konishi discloses, an opening portion (10a, 23a) for operating the operation member (60a) is provided in an outer peripheral portion of the optical apparatus, and when the drive unit is attached, an action portion provided in the drive unit passes through the opening portion and presses the operation member, and when the drive unit is detached, the second biasing member acts and the operation member closes the opening portion (Para. 0016-0018 and 0022). Regarding claim 7, Konishi discloses, even when the drive unit is attached to the optical apparatus, a biasing force of the first biasing member acts on the first member (Para. 0020-0022 and see 100, 200). Regarding claim 8, Konishi discloses, the first member is a zoom operation ring for moving an optical system having an optical axis in the optical apparatus, the second member is a rotary ring held rotatably about the optical axis, and the third member is a linear movement ring that moves linearly along the optical axis (Para. 0016 and 0033-0036). Regarding claim 9, Konishi discloses, a friction member (9a, b, 71a, b, 72a, b) configured to apply the rotational load to the first member, and wherein the first biasing member is in contact with the friction member at a plurality of points (Para. 0014, 0017 and 0033-0034). Regarding claim 10, Konishi discloses, an attaching portion for fixing the drive unit (Para. 0017 and see where 11, 30 are attached to the 4a, b, c). Regarding claim 11, Konishi discloses, an image pickup apparatus (Para. 0001, 0011 and Figs. 1-9) comprising: an optical apparatus (Para. 0001, 0011 and Figs. 1-9) comprising: a first member (4c) rotatable (Para. 0012) about an optical axis, a second member (4b) rotatable (Para. 0012) about the optical axis, a third member (4a) movable (Para. 0012) in an optical axis direction, a first biasing member (8a, b) biasing the first member and configured to apply a rotational load to the first member (Para. 0014 and 0017-0018), and an adjustment mechanism (6a, 6b, 9a, 9b, 20a, 71a, 71b, 72a, 72b) configured to adjust the rotational load, wherein the first member is rotatable manually or by a drive unit (11, 30) detachable from the optical apparatus (Para. 0008 and 0016-0018), wherein the optical apparatus includes an operation member that is operated in conjunction with attachment of the drive unit to the optical apparatus (Para. 0008 and 0016-0018), and wherein the adjustment mechanism rotates the second member about the optical axis by operating the operation member, moves the third member in the optical axis direction by rotating, and changes the rotational load (Para. 0020-0022 and 0033), wherein the image pickup apparatus comprises the drive unit (11, 30) configured to rotationally drive the first member, and an image pickup element (Para. 0011 and see 100 of Fig. 1) configured to capture an image formed by the optical apparatus (Para. 0011 and see 100 of Fig. 1). Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Takanashi (US 2006/0177206) discloses an optical apparatus a first member, a second member, a third member, a first biasing member an adjustment mechanism. Any inquiry concerning this communication or earlier communications from the examiner should be directed to DAWAYNE A PINKNEY whose telephone number is (571)270-1305. The examiner can normally be reached M-F 9-5. 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, Pinping Sun can be reached at 571-270-1284. 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. /DAWAYNE PINKNEY/Primary Examiner, Art Unit 2872 06/08/2026
Read full office action

Prosecution Timeline

Sep 30, 2024
Application Filed
Jun 11, 2026
Non-Final Rejection mailed — §102, §112 (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

1-2
Expected OA Rounds
81%
Grant Probability
99%
With Interview (+18.1%)
2y 4m (~7m remaining)
Median Time to Grant
Low
PTA Risk
Based on 1716 resolved cases by this examiner. Grant probability derived from career allowance rate.

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