Prosecution Insights
Last updated: August 17, 2026
Application No. 18/972,073

LENS UNIT AND LENS BARREL

Non-Final OA §102§103
Filed
Dec 06, 2024
Priority
Dec 07, 2023 — JP 2023-206966
Examiner
DEAN, RAY ALEXANDER
Art Unit
Tech Center
Assignee
Canon Inc.
OA Round
1 (Non-Final)
79%
Grant Probability
Favorable
1-2
OA Rounds
1y 5m
Est. Remaining
95%
With Interview

Examiner Intelligence

Grants 79% — above average
79%
Career Allowance Rate
98 granted / 124 resolved
+19.0% vs TC avg
Strong +16% interview lift
Without
With
+16.2%
Interview Lift
resolved cases with interview
Typical timeline
3y 1m
Avg Prosecution
41 currently pending
Career history
171
Total Applications
across all art units

Statute-Specific Performance

§101
0.9%
-39.1% vs TC avg
§103
57.7%
+17.7% vs TC avg
§102
25.5%
-14.5% vs TC avg
§112
14.4%
-25.6% vs TC avg
Black line = Tech Center average estimate • Based on career data from 124 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)(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) 1-7 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Koyama (JP 2007219405 A, See Espacenet Machine translation). Re claim 1, Koyama discloses, a lens unit (See Fig. 1) having a plurality of lenses (L1-L5), comprising: a holding frame (holding frame 119 and reinforcing plate 120)[Par 24] configured to hold a first lens (lens L4b) [Par 26] (lens L4b) [Par 26] among the plurality of lenses; a first adjustment frame (shake correction unit 110) [Par 42] that is configured to hold a first adjustment lens (lens 4a) [Par 24] among the plurality of lenses and is adjustable with respect to the holding frame in a direction orthogonal to an optical axis (“…correction unit 110 holds the fourth group lens L4a so that it can be driven in a direction perpendicular to the optical axis )[Par 24]; a second adjustment frame (holding frame 114 ) [Par 22] that is configured to hold a second adjustment lens (lens L5) [Par 61-62] among the plurality of lenses and is adjustable with respect to the holding frame in the direction orthogonal to the optical axis (“…holding frame 114 moves in a plane perpendicular to the optical axis”.) [Par 61]; a first fixing part (guide tube 106) [Par 20] configured to fix the first adjustment frame (shake correction unit 110) [Par 42] to the holding frame (See Fig. 1: where tube 106 connects to reinforcement plate 120)[Par 24]; and a second fixing part (Examiner annotated below as part A) configured to fix the second adjustment frame (holding frame 114 ) [Par 22] to the holding frame (Part A connects to holding frame 119)[Par 24], wherein the first adjustment frame (shake correction unit 110) [Par 42] is arranged on an object side in an optical axis direction with respect to the holding frame ( Fig. 1: correction unit 110 is on the object side of holding frame 119)[Par 24], wherein the second adjustment frame (holding frame 114 ) [Par 22] is arranged on an image side in the optical axis direction (frame 114 is on the image side of frame 119) with respect to the holding frame (holding frame 119)[Par 24], and wherein the first fixing part and the second fixing part are arranged so as not to overlap each other as viewed from the optical axis direction (Fig. 1: tube 106 is below the lenses from the perspective of Fig. 1 and part A is above the lenses, thus they do not overlap). Re claim 2, Koyama discloses, the lens unit according to claim 1, and further discloses on Fig. 1: further comprising: a first fastening member (bottom side of shake correction unit 110) [Par 42] configured to fix the first adjustment frame (shake correction unit 110) [Par 42], which has been adjusted in the direction orthogonal to the optical axis (“…correction unit 110 holds the fourth group lens L4a so that it can be driven in a direction perpendicular to the optical axis )[Par 24], to the first fixing part (guide tube 106) [Par 20]; and a second fastening member (Fig. 1: top of frame 114 connects to part A) configured to fix the second adjustment frame (holding frame 114 ) [Par 22], which has been adjusted in the direction orthogonal to the optical axis (“…holding frame 114 moves in a plane perpendicular to the optical axis”.) [Par 61], to the second fixing part (Examiner annotated as part A), wherein the first fastening member (bottom side of shake correction unit 110) [Par 42] and the second fastening member (Fig. 1: top of frame 114 connects to part A) (Fig. 1: top of frame 114 connects to part A) are accessible from mutually different directions (Fig. 1 shows that Part A is accessible from the top of the device, and tube 106 is accessible from the bottom). Re Claim 3, Koyama discloses, the lens unit according to claim 1, and Koyama further discloses on Fig. 1, wherein the first adjustment frame (shake correction unit 110) [Par 42] is held by the holding frame (holding frame 119 and reinforcement 120)[Par 24] by being fastened with a plurality of fastening members (bottom of shake correction unit 110 and bottom of reinforcement plate 120) to a plurality of fastening parts (tube 106, fixing tube 102, and unlabeled part that examiner annotated as part B)[Par 20] that is provided on the holding frame (Fig. 1 shows reinforcement plate 120 is fastened to tube 106 and part B)[Par 24] and extends in the optical axis direction (Tube 106 and Part B extend in the optical axis direction), and wherein the second adjustment frame (holding frame 114 ) [Par 22] is held by the holding frame (holding frame 119)[Par 24] via a plurality of adjustment members (Fig. 1 shows unlabeled parts examiner annotated as Part C as well as adjustment member 116 which can be seen in Fig. 2-3) [Par 50-51]. Re Claim 4, Koyama discloses, the lens unit according to claim 3, and further discloses on Fig., 1-3, wherein the adjustment members (Fig. 1-2: part C and adjustment member 116) are rotatable about an axis line along the direction orthogonal to the optical axis (Fig. 2:adjustment member 116 connects to engagement portions 115, which can be seen in Fig. 1 connecting to part C and control the movement of frame 114) [Par 50-52] on an outer periphery of the holding frame (“…portion 116a centered on an axis extending radially “ from holding frame 119)[Par 24], and have a part that is eccentric to the axis line (Fig. 2-3: eccentric shaft portion 116b)[Par 50] Re Claim 5, Koyama discloses, the lens unit according to claim 3, and Koyama further discloses on Fig. 1 and 3, wherein the fastening parts (Fig. 1: tube 106, fixing tube 102, and unlabeled part that examiner annotated as part B) [Par 20] and the adjustment members (Fig. 1-2: part C and adjustment member 116) are arranged at intervals on a circumference centered around the optical axis (Fig 1 shows tube 102 and 106 are at interval radial locations and Fig. 3 shows adjustment member 116 is at interval radial locations), and wherein the fastening parts and the adjustment members are arranged so as not to overlap each other as viewed from the optical axis direction (Fig. 1 and 3 show that tubes 102 and 106 do not overlap with adjustment members 116 and part C) [Par 22]. Re Claim 6, Koyama discloses, the lens unit according to claim 1, and further discloses on Fig. 1, wherein the second adjustment frame (holding frame 114 ) [Par 22] has a cylindrical extension part (tube 106 connects to frame 114 through board 136) that extends toward the object side centered around the optical axis (tube 106 extends to the object side), and wherein the extension part is arranged so as to overlap a part of the holding frame as viewed from the direction orthogonal to the optical axis (tube 106 overlaps holding frame 119 from an orthogonal direction; vertical from the perspective of Fig. 1)[Par 37]. Re claim 7, Koyama discloses, the lens unit according to claim 1, wherein the holding frame (holding frame 119)[Par 24] is movable by a guide bar (Cam cylinder 108 and unshown zoom key) [Par 44] in the optical axis direction (During zooming all lenses move in an optical axis direction) [Par 16]. Claim Rejections - 35 USC § 103 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) 8-10 are rejected under 35 U.S.C. 103 as being unpatentable over Koyama in view of Miyamoto (US 20060209437 A1). Re Claim 8, Koyama discloses, on Fig. 1, a lens barrel (Fig. 1) comprising: a lens unit having a plurality of lenses (L1-L5), comprising: a holding frame (holding frame 119 and reinforcing plate 120)[Par 24] configured to hold a first lens (lens L4b) [Par 26] among the plurality of lenses; a first adjustment frame (shake correction unit 110) [Par 42] that is configured to hold a first adjustment lens (lens 4a) [Par 24] among the plurality of lenses and is adjustable with respect to the holding frame (holding frame 119)[Par 24] in a direction orthogonal to an optical axis “…correction unit 110 holds the fourth group lens L4a so that it can be driven in a direction perpendicular to the optical axis )[Par 24]; a second adjustment frame (holding frame 114 ) [Par 22] that is configured to hold a second adjustment lens (lens L5) [Par 61-62] among the plurality of lenses and is adjustable with respect to the holding frame (holding frame 119)[Par 24] in the direction orthogonal to the optical axis (“…holding frame 114 moves in a plane perpendicular to the optical axis”.) [Par 61]; a first fixing part (guide tube 106) [Par 20] configured to fix the first adjustment frame (shake correction unit 110) [Par 42] to the holding frame (holding frame 119)[Par 24]; and a second fixing part (Examiner annotated as part A) configured to fix the second adjustment frame (holding frame 114 ) [Par 22] (holding frame 114 ) [Par 22](holding frame 114 ) [Par 22](holding frame 114 ) [Par 22](holding frame 114 ) [Par 22]to the holding frame (holding frame 119)[Par 24], wherein the first adjustment frame (shake correction unit 110) [Par 42] is arranged on an object side in an optical axis direction with respect to the holding frame ( Fig. 1: correction unit 110 is on the object side of holding frame 119)[Par 24], wherein the second adjustment frame (holding frame 114 ) [Par 22] is arranged on an image side in the optical axis direction (frame 114 is on the image side of frame 119) with respect to the holding frame (holding frame 119)[Par 24], and wherein the first fixing part (guide tube 106) [Par 20] and the second fixing part (Examiner annotated as part A) are arranged so as not to overlap each other as viewed from the optical axis direction (Fig. 1: tube 106 is below the lenses from the perspective of Fig. 1 and part A is above the lenses, thus they do not overlap), a first lens unit being the lens unit (Fig. 1: L1-L5 is the only lens unit). But Koyama does not explicitly disclose, a second lens unit that is arranged on the image side of a first lens unit, the first unit being the lens unit, wherein the first lens unit and the second lens unit are movable by the same guide bar in the optical axis direction. However, within the same field of endeavor, Miyamoto teaches, on Fig. 1 and 5, that it is desirable in optical systems to include wherein a second lens unit (Fig. 1: Lens unit 50) is arranged on the image side of a first lens unit (Fig. 1: lens unit 40), wherein the first lens unit and the second lens unit are movable by the same guide bar in the optical axis direction (Fig. 5: “The guide shaft 4 guides a second lens unit 40 and a third lens unit 50 to be detailed later along the direction of the optical axis.”) [Par 32]. Therefore, it would have been obvious to one of ordinary skill in the art before the filing date of the invention to modify the system of Koyama with Miyamoto in order to prevent rotation of the lenses, as taught by Miyamoto [Par 78]. Re Claim 9, Koyama in view of Miyamato, obviates, the lens barrel according to claim 8, wherein Koyama further teaches on Fig. 1, wherein the second adjustment frame (holding frame 114) [Par 22] is held by the holding frame (holding frame 119)[Par 24] via a plurality of adjustment members (Fig. 1 shows unlabeled parts examiner annotated as Part C as well as adjustment member 116 which can be seen in Fig. 2-3) [Par 50-51], wherein the first unit (See Fig. 1 of Koyama) includes an engagement part (Fig. 1 and 3: inner cam cylinder 133 which engages with cam cylinder 108 which serves as the guide bar) [Par 37] and a plurality of adjustment members (Part C and member 116) arranged so as not to overlap each other as viewed from the optical axis direction (Part C and members 116 do not overlap cylinder 133 as can be seen in Fig. 1 where cam cylinder 133 is radially inside members 116 and radially outside of Part C) and Miyamoto further teaches on Fig. 3 and 8, further comprising a plurality of guide bars (guide shaft 4 and rotation preventing shaft 5)[Par 32 and 40], wherein the first lens (lens unit 40) and the second lens unit (lens unit 50) each have a plurality of engagement parts (Fig. 3 and 8: holder 41 has engagement parts 41a-41b and holder 51 has nut 52 and spring 52a ) that is guided by the plurality of guide bars (guide bar 4 and rotation preventing shaft 5 guide portions 41a-41b and 52-52a) [Par 37-40]. Where said combination would be motivated by the same reasons as those stated above. Re Claim 10, Koyama in view of Miyamoto, obviates the lens barrel according to claim 8, and Miyamoto further discloses, wherein the first lens unit (unit 40) and the second lens unit (unit 50) are independently movable (optical elements are independently movable) in the optical axis direction [Par 32] and are movable to positions where the first lens unit and the second lens unit partially overlap as viewed from the direction orthogonal to the optical axis (Fig. 3 shows that lens units 40 and 50 overlap from the perspective of the optical axis). Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Ito (US 20110044672 A1) similarity teaches a zooming lens system with a shake correction lens (lens moves orthogonal to the optical axis). . . Any inquiry concerning this communication or earlier communications from the examiner should be directed to RAY ALEXANDER DEAN whose telephone number is (571)272-4027. The examiner can normally be reached Monday-Friday 7:30-5:00. 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. /RAY ALEXANDER DEAN/Examiner, Art Unit 2872 /BUMSUK WON/Supervisory Patent Examiner, Art Unit 2872
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Prosecution Timeline

Dec 06, 2024
Application Filed
Jul 22, 2026
Non-Final Rejection mailed — §102, §103 (current)

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Prosecution Projections

1-2
Expected OA Rounds
79%
Grant Probability
95%
With Interview (+16.2%)
3y 1m (~1y 5m remaining)
Median Time to Grant
Low
PTA Risk
Based on 124 resolved cases by this examiner. Grant probability derived from career allowance rate.

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