Prosecution Insights
Last updated: August 16, 2026
Application No. 18/906,946

OPTICAL SYSTEM

Non-Final OA §102§103
Filed
Oct 04, 2024
Priority
Oct 06, 2023 — provisional 63/588,441
Examiner
PARBADIA, BALRAM T
Art Unit
Tech Center
Assignee
TDK Corporation
OA Round
1 (Non-Final)
75%
Grant Probability
Favorable
1-2
OA Rounds
10m
Est. Remaining
95%
With Interview

Examiner Intelligence

Grants 75% — above average
75%
Career Allowance Rate
408 granted / 545 resolved
+14.9% vs TC avg
Strong +20% interview lift
Without
With
+19.9%
Interview Lift
resolved cases with interview
Typical timeline
2y 8m
Avg Prosecution
29 currently pending
Career history
568
Total Applications
across all art units

Statute-Specific Performance

§101
0.4%
-39.6% vs TC avg
§103
58.6%
+18.6% vs TC avg
§102
32.6%
-7.4% vs TC avg
§112
7.5%
-32.5% vs TC avg
Black line = Tech Center average estimate • Based on career data from 545 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 . 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)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention. Claims 1-6 are rejected under 35 U.S.C. 102(a)(2) as being anticipated by Liu et al. (2024/0134167). Regarding claim 1, Liu discloses an optical system (at least Figures 3 and 20), comprising: a system base (60, carrier), connected to a first optical element (30, optical path folding element), wherein the system base comprises a first connecting structure corresponding to the first optical element (Figure 20 depicts a housing structure on the left hand side of 60, carrier corresponding to 30d, optical path folding element; see Figure B, above). [AltContent: textbox (Second optical module)] [AltContent: arrow] [AltContent: textbox (First optical element)][AltContent: textbox (First optical module)] [AltContent: textbox (Second axis)][AltContent: textbox (First axis)][AltContent: arrow][AltContent: arrow][AltContent: arrow][AltContent: arrow][AltContent: textbox (Second optical element)][AltContent: arrow] PNG media_image1.png 399 676 media_image1.png Greyscale Figure A: Liu et al.’s Figure 3 with Examiner annotations [AltContent: textbox (First connecting surface30, optical path folding element)][AltContent: arrow][AltContent: arrow][AltContent: textbox (First connecting structure)][AltContent: oval][AltContent: arrow][AltContent: textbox (Second optical module)][AltContent: textbox (System housing first top surface)][AltContent: arrow][AltContent: textbox (System housing)][AltContent: arrow][AltContent: textbox (Second connecting structure)][AltContent: arrow][AltContent: oval][AltContent: arrow][AltContent: textbox (System base)] PNG media_image2.png 800 483 media_image2.png Greyscale Figure B: Liu's Figure 20 with Examiner annotations Regarding claim 2, Liu discloses the optical system as claimed in claim 1, wherein the system base further comprises a second connecting structure (Figure 20 depicts a framed portion on the right hand side of 60, carrier corresponding; see Figure B, above) corresponding to a second optical element (40, second optical path folding element), wherein the first optical element is not in contact with the second optical element (Figure 3). Regarding claim 3, Liu discloses the optical system as claimed in claim 2, wherein the system base is connected to a first optical module (20, second lens assembly), and the first optical module carries a first optical module optical element (210, second lens element), wherein the first optical module optical element is disposed between the first optical element and the second optical element (Figure 3), wherein there is a gap between the first optical module optical element and the first optical element (Figure 3), wherein there is a gap between the first optical module optical element and the second optical element (Figure 3). Regarding claim 4, Liu discloses the optical system as claimed in claim 3, further comprising: a system housing (Figure 20 depicts an overall housing as the topmost image; see Figure B, above), comprising a system housing first top surface (accommodation surface which accommodates 10, first lens assembly; see Figure B, above), wherein a second optical module is disposed on the system housing first top surface (10, first lens assembly), wherein the first optical element and the second optical module are arranged along a first axis (OA1, first optical axis). Regarding claim 5, Liu discloses the optical system as claimed in claim 4, wherein the first optical module optical element moves along a second axis that is perpendicular to the first axis (at least [0087] teaches 20, second lens assembly, is movable with respect to 50, image surface). Regarding claim 6, Liu discloses the optical system as claimed in claim 4, wherein the system base comprises a system base abutment portion (for exemplary purposes, at least Figure 31 depicts a barrel/housing), and the system base abutment portion abuts the first optical element, the first optical module, and the second optical module (for exemplary purposes, at least Figure 31 depicts the barrel/housing abuts 30e, optical path folding element, 20, second lens assembly, and 10, first lens assembly). 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 7, 10, and 13-17 are rejected under 35 U.S.C. 103 as being unpatentable over Liu et al. (2024/0134167) in view of Sharma et al. (2023/0100382). Regarding claim 7, Liu discloses the optical system as claimed in claim 4, wherein the second optical module receives a light and transmits the light to the first optical element (Figure 3), wherein the first optical element transmits the light to the first optical module optical element (Figure 3), wherein the first optical module optical element transmits the light to the second optical element (Figure 3). Liu fails to teach wherein the second optical element transmits the light to a third optical module, wherein the second optical element and the third optical module are arranged along the first axis. Liu and Sharma are related because both teach an optical system. Sharma teaches an optical system wherein the second optical element transmits the light to a third optical module (524, image sensor), wherein the second optical element and the third optical module are arranged along the first axis (Figure 5 depicts 522, prism, and 524, image sensor, are arranged along the first axis, or the vertical axis). It would have been obvious to one having ordinary skill in the art at the time the invention was filed to have modified Liu to incorporate the teachings of Sharma and provide wherein the second optical element transmits the light to a third optical module, wherein the second optical element and the third optical module are arranged along the first axis. Doing so would allow for reliable image capturing of the light that passes through the optical system. Regarding claim 10, Liu discloses the optical system as claimed in claim 4, but fails to teach wherein the system base further comprises: a system base first surface, facing a third optical module; and a system base second surface, facing the third optical module, wherein the system base first surface and the system base second surface face the same direction, wherein the system base first surface and the system base second surface face are perpendicular to the first axis, wherein when viewed along a second axis that is perpendicular to the first axis, the system base first surface does not overlap the system base second surface. Liu and Sharma are related because both teach an optical system. Sharma teaches an optical system (Figure 5), wherein the system base further comprises: a system base first surface (Figure 5, see Figure C, below, which is an Examiner provided annotation of Figure 5), facing a third optical module (524, image sensor); and a system base second surface (Figure 5, see Figure C, below, which is an Examiner provided annotation of Figure 5), facing the third optical module (524, image sensor), wherein the system base first surface and the system base second surface face the same direction (Figure 5, see Figure C, below, which is an Examiner provided annotation of Figure 5), wherein the system base first surface and the system base second surface face are perpendicular to the first axis (Figure 5, see Figure C, below, which is an Examiner provided annotation of Figure 5), wherein when viewed along a second axis that is perpendicular to the first axis, the system base first surface does not overlap the system base second surface (Figure 5). It would have been obvious to one having ordinary skill in the art at the time the invention was filed to have modified Liu to incorporate the teachings of Sharma and provide wherein the system base further comprises: a system base first surface, facing a third optical module; and a system base second surface, facing the third optical module, wherein the system base first surface and the system base second surface face the same direction, wherein the system base first surface and the system base second surface face are perpendicular to the first axis, wherein when viewed along a second axis that is perpendicular to the first axis, the system base first surface does not overlap the system base second surface. Doing so would allow for a durable design that protects the components within the optical system. [AltContent: textbox (Second axis)][AltContent: arrow][AltContent: textbox (First axis)][AltContent: arrow][AltContent: textbox (System base second surface)][AltContent: textbox (System base first surface)][AltContent: arrow][AltContent: arrow][AltContent: oval][AltContent: oval][AltContent: textbox (Figure C: Sharma's Figure 5 with Examiner annotations)] PNG media_image3.png 817 609 media_image3.png Greyscale Regarding claim 13, the modified Liu discloses the optical system as claimed in claim 10, wherein a first connecting surface of the first connecting structure faces the first optical element (diagonal surface of the labeled first connecting structure in Figure B; see Figure B, above), wherein the first connecting structure supports the first optical element (the diagonal surface is viewed to support 30, optical path folding element, from the side), wherein the first connecting surface faces is not perpendicular or parallel to the system base first surface (Examiner notes that because the diagonal surface is diagonally oriented, it is not perpendicular or parallel to the system base first surface shown in Figure C). Regarding claim 14, the modified Liu discloses the optical system as claimed in claim 10, wherein the system housing first top surface and the system base first surface face the same direction (Figures B and C, above). Regarding claim 15, the modified Liu discloses the optical system as claimed in claim 10, wherein when viewed along the second axis, the system housing first top surface does not overlap with the system base first surface (Figures B and C, above), wherein when viewed along the second axis, the system housing first top surface does not overlap with the system base second surface (Figures B and C, above), wherein when viewed along the second axis, the system base first surface is located between the system housing first top surface and the system base second surface (Figures B and C, above). Regarding claim 16, the modified Liu discloses the optical system as claimed in claim 10, wherein the third optical module is located in an accommodating space formed by the system base and the system housing (Figures B and C, above). Regarding claim 17, the modified Liu discloses the optical system as claimed in claim 16, wherein the second optical module is not located in the accommodation space (Figures B and C, above). Claims 8 and 9 are rejected under 35 U.S.C. 103 as being unpatentable over Liu et al. (2024/0134167) in view of Nomura et al. (2016/0116758). Regarding claim 8, Liu discloses the optical system as claimed in claim 4, but fails to teach wherein the second optical module further comprises: a second optical module movable part, connected to a second optical module optical element; a second optical module base, wherein the second optical module movable part is movable relative to the second optical module base; and a second optical module driving assembly, driving the second optical module movable part to move around the first axis. Liu and Nomura are related because both teach an optical system. Nomura teaches an optical system (Figure 4) wherein the second optical module further comprises: a second optical module movable part (at least Figure 4, 30, first lens frame; [0067 teaches 30, first lens frame, is a movable member), connected to a second optical module optical element (L1, first lens element); a second optical module base (31, sensor holder), wherein the second optical module movable part is movable relative to the second optical module base ([0067] teaches 30, first lens frame, is capable of performing a spherical swinging operation relative to 31, sensor holder); and a second optical module driving assembly ([0068] teaches an electromagnetic actuator which drives 30, first lens frame), driving the second optical module movable part to move around the first axis ([0068] teaches an electromagnetic actuator which drives 30, first lens frame; [0067] teaches 30, first lens frame, is capable of performing a spherical swinging operation relative to 31, sensor holder). It would have been obvious to one having ordinary skill in the art at the time the invention was filed to have modified Liu to incorporate the teachings of Nomura and provide wherein the second optical module further comprises: a second optical module movable part, connected to a second optical module optical element; a second optical module base, wherein the second optical module movable part is movable relative to the second optical module base; and a second optical module driving assembly, driving the second optical module movable part to move around the first axis. Doing so would allow for improved image quality by incorporating an image stabilization feature. Regarding claim 9, the modified Liu discloses the optical system as claimed in claim 8, wherein the second optical module driving assembly comprises a second optical module driving magnet (Nomura: Figure 15, 81, permanent magnet, and 82, permanent magnet), wherein when viewed along the first axis, the second optical module driving magnet has an arc shape (Nomura: Figure 15). Allowable Subject Matter Claims 11, 12, and 18-20 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. The following is a statement of reasons for the indication of allowable subject matter: the prior art fails to teach the limitations of claims 11, 12, and 18, along with the structural limitations positively recited in the claims from which they depend, 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. Yeh (2024/0280789), Obikane (2023/0359006), Mireault (2022/0321746), Toriumi (2022/0086316), Yao (2021/0026117), Bachar (2020/0400926), Yao (2019/0196148), and Nomura (2014/0212119) disclose relevant optical systems. 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
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Prosecution Timeline

Oct 04, 2024
Application Filed
Jul 22, 2026
Non-Final Rejection mailed — §102, §103 (current)

Precedent Cases

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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
75%
Grant Probability
95%
With Interview (+19.9%)
2y 8m (~10m remaining)
Median Time to Grant
Low
PTA Risk
Based on 545 resolved cases by this examiner. Grant probability derived from career allowance rate.

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