Prosecution Insights
Last updated: April 19, 2026
Application No. 19/039,059

OPTICAL SYSTEM AND OBSERVATION APPARATUS HAVING THE SAME

Non-Final OA §102§103§DP
Filed
Jan 28, 2025
Examiner
AU, SCOTT D
Art Unit
2624
Tech Center
2600 — Communications
Assignee
Canon Kabushiki Kaisha
OA Round
2 (Non-Final)
77%
Grant Probability
Favorable
2-3
OA Rounds
3y 0m
To Grant
88%
With Interview

Examiner Intelligence

Grants 77% — above average
77%
Career Allow Rate
397 granted / 518 resolved
+14.6% vs TC avg
Moderate +11% lift
Without
With
+11.4%
Interview Lift
resolved cases with interview
Typical timeline
3y 0m
Avg Prosecution
18 currently pending
Career history
536
Total Applications
across all art units

Statute-Specific Performance

§101
2.3%
-37.7% vs TC avg
§103
66.0%
+26.0% vs TC avg
§102
18.1%
-21.9% vs TC avg
§112
7.8%
-32.2% vs TC avg
Black line = Tech Center average estimate • Based on career data from 518 resolved cases

Office Action

§102 §103 §DP
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 . Information Disclosure Statement The information disclosure statement (IDS) submitted on 01/28/2025 and 03/18/2025 have/has been placed in record and considered by the examiner. Priority Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55. Double Patenting The nonstatutory double patenting rejection is based on a judicially created doctrine grounded in public policy (a policy reflected in the statute) so as to prevent the unjustified or improper timewise extension of the “right to exclude” granted by a patent and to prevent possible harassment by multiple assignees. A nonstatutory obviousness-type double patenting rejection is appropriate where the conflicting claims are not identical, but at least one examined application claim is not patentably distinct from the reference claim(s) because the examined application claim is either anticipated by, or would have been obvious over, the reference claim(s). See, e.g., In re Berg, 140 F.3d 1428, 46 USPQ2d 1226 (Fed. Cir. 1998); In re Goodman, 11 F.3d 1046, 29 USPQ2d2010 (Fed. Cir. 1993); In re Long!, 759 F.2d 887, 225 USPQ 645 (Fed. Cir. 1985); In re Van Ornum, 686 F.2d 937, 214 USPQ 761 (CCPA 1982); In re Vogel, 422 F.2d 438, 164 USPQ 619 (CCPA 1970); and In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969). “Thus, the generic invention is ‘anticipated’ by the species of the patented invention” and the instant “application claims are generic to species of invention covered by the patent claim, and since without terminal disclaimer, extant species claims preclude issuance of generic application claims”). A timely filed terminal disclaimer in compliance with 37 CFR 1.321 (c) or 1.321 (d) may be used to overcome an actual or provisional rejection based on a nonstatutory double patenting ground provided the conflicting application or patent either is shown to be commonly owned with this application, or claims an invention made as a result of activities undertaken within the scope of a joint research agreement. Effective January 1, 1994, a registered attorney or agent of record may sign a terminal disclaimer. A terminal disclaimer signed by the assignee must fully comply with 37 CFR 3.73(b). Claims 19-35 are rejected on the ground of nonstatutory obviousness-type double patenting as being unpatentable over claims 1-18, respectively, of US Patent 12,242,061 B2. Limitations of the present invention and corresponding US Patent 12,242,061 B2 are listed in the following table for claim 19. Claim 19 of Present Invention Claim 1 of Patent 12, 242,061 B2 An optical system configured to form an enlarged image of a display surface of an image display element, the optical system comprising, in order from a side of an exit pupil to a side of the display surface, a first half-transmissive reflective surface and a second half-transmissive reflective surface, wherein all lenses disposed at the optical system are cemented at least one side of an exit pupil or a side of a display surface, wherein the optical system has: An optical system configured to form an enlarged image of a display surface of an image display element, the optical system comprising, in order from a side of an exit pupil to a side of the display surface, a first half-transmissive reflective surface and a second half-transmissive reflective surface, wherein the optical system has: a first optical path on which light from the display surface transmits through the second half-transmissive reflective surface, is reflected by the first half- transmissive reflective surface, is reflected by the second half-transmissive reflective surface, transmits through the first half-transmissive reflective surface, and is guided to the exit pupil, a first optical path on which light from the display surface transmits through the second half-transmissive reflective surface, is reflected by the first half-transmissive reflective surface, is reflected by the second half-transmissive reflective surface, transmits through the first half-transmissive reflective surface, and is guided to the exit pupil, and a second optical path on which light from the side of the exit pupil transmits through the first half-transmissive reflective surface, transmits through the second half-transmissive reflective surface, and is guided to an image sensor. and a second optical path on which light from the side of the exit pupil transmits through the first half-transmissive reflective surface, transmits through the second half-transmissive reflective surface, and is guided to an image sensor, wherein the following inequality is satisfied: 0.5<Cx/Ltp<1.5 where Ltp is a distance on an optical axis of the first optical path from a surface closest to the exit pupil to the second half-transmissive reflective surface, and Cx is a distance on the optical axis of the first optical path from a surface closest to the exit pupil to a center of the image sensor. Dependent and Independent Claims 19-35 of the present invention can mapped to Claims 1-18 of US Patent 12,242,061 B2. Although the conflicting claims are not identical, they are not patentably distinct from each other because: The patent claims include all of the limitations of the instant application claims, respectively. The patent claims also include additional limitations. Hence, the instant application claims are generic to the species of invention covered by the respective patent claims. As such, the instant application claims are anticipated by the patent claims and are therefore not patentably distinct therefrom. (See Eli Lilly and Co. v. Barr Laboratories Inc., 58 USPQ2d 1869, “a later genus claim limitation is anticipated by and therefore not patentably distinct from, an earlier species claim’, In re Goodman, 29 USPQ2d 2010, “Thus, the generic invention is ‘anticipated’ by the species of the patented invention” and the instant “application claims are generic to species of invention covered by the patent claim, and since without terminal disclaimer, extant species claims preclude issuance of generic application claims’). 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 19-22, 28-29, and 34-35 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Bierhuizen et al. (US 2018/0239146 hereinafter Bierhuizen). Referring to claim 19, Bierhuizen discloses an optical system configured to form an enlarged image of a display surface of an image display element ([0004]; The head-mounted display assembly may include an image projecting device operable to display image content to at least one eye-piece in the head-mounted display assembly. Thus, Examiner interprets that when an image is projected, the image is enlarged), the optical system comprising, in order from a side of an exit pupil to a side of the display surface ([0079], Fig. 3; The transmitted light, after passing through another optional linear polarizer 312, can be refracted by a lens/group of lenses 210 to form a virtual image to be presented to an eyepiece of an HMD device and the eye of the user.), a first half-transmissive reflective surface (Fig. 3; 208, Filter stack II. Thus, the Filter stack II is able to transmit and reflect light, it is called as a half-transmissive reflective) and a second half-transmissive reflective surface (Fig. 3; 206, Filter stack I. Thus, the Filter stack I is able to transmit and reflect light, it is called as a half-transmissive reflective) ([0154]; In particular, the coating may allow for half of the light to pass through the combined transflective lens/filter stack 1202 and 1210 and half of the light to be reflected from the lens. In general, the visible light paths 1212a-1212e have wavelengths, optical paths, and efficiencies that are different than the IR light paths 1214.), wherein all lenses disposed at the optical system are cemented at least one side of an exit pupil or a side of a display surface ([0079], Fig. 3; The transmitted light, after passing through another optional linear polarizer 312, can be refracted by a lens/group of lenses 210 to form a virtual image to be presented to an eyepiece of an HMD device and the eye of the user…. and [0118], Fig. 8; The optical assembly 800 includes (or is adjacent to) the display panel 804. As shown, the optical assembly 800 includes a first filter stack 806, a second filter stack 808, a lens 810, a lens 812, and a prism 814. The optical assembly 800 can function to fold the optical path of light presented by display panel 804 and through the filter stacks 806 and 808. Thus, the lenses 810 and 812 are attached to the one side of an exit pupil or a side of a display surface.), wherein the optical system has: a first optical path ([0073-0079], Fig. 3; path 300) on which light from the display surface transmits through the second half-transmissive reflective surface (Fig. 3; 206, Filter stack I. Thus, the Filter stack I is able to transmit and reflect light, it is called as a half-transmissive reflective), is reflected by the first half-transmissive reflective surface (Fig. 3; 208, Filter stack II. Thus, the Filter stack II is able to transmit and reflect light, it is called as a half-transmissive reflective), is reflected by the second half-transmissive reflective surface (Fig. 3; 206, Filter stack I. Thus, the Filter stack I is able to transmit and reflect light, it is called as a half-transmissive reflective), transmits through the first half-transmissive reflective surface (Fig. 3; 208, Filter stack II. Thus, the Filter stack II is able to transmit and reflect light, it is called as a half-transmissive reflective), and is guided to the exit pupil ([0073] FIG. 3 is a diagram depicting an example polarization path 300 of light transmitted through the optical assembly 200 illustrated in FIG. 2. Here, the filter stacks 206 and 208 are shown disposed between the display panel 204 and the lens 210. A camera 212 is shown below the lens 210 to capture an image of a reflection of the user's eye (not shown at the left of the lens 210) through the lens 210….and [0079]; The transmitted light, after passing through another optional linear polarizer 312, can be refracted by a lens/group of lenses 210 to form a virtual image to be presented to an eyepiece of an HMD device and the eye of the user.), and a second optical path (Fig. 8; Path 822) on which light from the side of the exit pupil transmits through the first half-transmissive reflective surface (Fig. 8; Filter stack II. Thus, the Filter stack II is able to transmit and reflect light, it is called as a half-transmissive reflective), transmits through the second half-transmissive reflective surface (Fig. 8; Filter stack I. Thus, the Filter stack I is able to transmit and reflect light, it is called as a half-transmissive reflective), and is guided to an image sensor (Fig. 8; 818) ([0127], Fig. 8; The camera 818 can capture movement of the eye 802 (e.g., capture images for eye tracking purposes). The light directed to the eye 802 can be reflected, as shown by path 820. The reflection of the light can be transmitted through lens 810, and filter stack 808 and can be captured by camera 818 as an image. As shown by path 822, the reflection can be provided through lens 810 into prism 814 and bounce off of IR filter 816 and back through prism 814 to be captured by camera 818.). Referring to claim 20, Bierhuizen discloses further comprising a refractive area (Fig. 8; 810) disposed outside an optically effective area of the first optical path ([0125], Fig. 8; lower part of refracting lens 810 is outside of the first path 300 of Fig. 3) and inside an optically effective area of the second optical path ([0125], see Fig. 8 below; refracting lens 810 is inside the second path 822). PNG media_image1.png 403 974 media_image1.png Greyscale Referring to claim 21, Bierhuizen discloses wherein in the second optical path (Fig. 8; Path 822), the light from the side of the exit pupil transmits through the first half-transmissive reflective surface (Fig. 8; Filter stack II. Thus, the Filter stack II is able to transmit and reflect light, it is called as a half-transmissive reflective…and [0127], Fig. 8; The camera 818 can capture movement of the eye 802 (e.g., capture images for eye tracking purposes). The light directed to the eye 802 can be reflected, as shown by path 820. The reflection of the light can be transmitted through lens 810, and filter stack 808 and can be captured by camera 818 as an image. As shown by path 822, the reflection can be provided through lens 810 into prism 814 and bounce off of IR filter 816 and back through prism 814 to be captured by camera 818), transmits through the second half-transmissive reflective surface (Fig. 8; Filter stack I. Thus, the Filter stack I is able to transmit and reflect light, it is called as a half-transmissive reflective), transmits through the refractive area, and is guided to the image sensor (As shown by path 822, the reflection can be provided through lens 810 into prism 814 and bounce off of IR filter 816 and back through prism 814 to be captured by camera 818.). Referring to claim 22, Bierhuizen discloses wherein the refractive area is a refractive surface ([0125], Fig. 8; refracting lens 810). Referring to claim 28, Bierhuizen discloses wherein the first half- transmissive reflective surface (Fig. 3; 208, Filter stack II. Thus, the Filter stack II is able to transmit and reflect light, it is called as a half-transmissive reflective) is a plane ([0101]; In some implementations, the filter stack 606 may be adapted to be oriented in the first direction at an angle from about zero to about 12.5 degrees from the normal direction to the plane along the surface of the display panel 604. The filter stack 608 may be adapted to be tilted in the second direction at an angle from about zero to about 12.5 degrees from the normal direction to the plane of the display panel.). Referring to claim 29, Bierhuizen discloses wherein the first half-transmissive reflective surface (Fig. 3; 208, Filter stack II. Thus, the Filter stack II is able to transmit and reflect light, it is called as a half-transmissive reflective) is a surface provided on a polarization-selective reflection type polarizing element ([0060]; In one example, the filter 215 may be coated on a side of a polarizer within the stack 208 facing the lens 210.). Referring to claim 34, Bierhuizen discloses further comprising: an eyepiece optical system that is a coaxial optical system using the first optical path ([0067]; In one example, the optical assembly 200 can be a head-mounted display assembly configured to be installed in an HMD device. The assembly 200 may include an image projecting device (e.g., display panel 204) operable to display image content to at least one eye-piece in the HMD device.); and an imaging optical system using the second optical path ([0127]; The reflection of the light can be transmitted through lens 810, and filter stack 808 and can be captured by camera 818 as an image. As shown by path 822, the reflection can be provided through lens 810 into prism 814 and bounce off of IR filter 816 and back through prism 814 to be captured by camera 818.). Referring to claim 35, Bierhuizen discloses an observation apparatus comprising: an image display element (Fig. 3; 404); an image sensor (Fig. 8; 818); and an optical system configured to form an enlarged image of a display surface of the image display element ([0004]; The head-mounted display assembly may include an image projecting device operable to display image content to at least one eye-piece in the head-mounted display assembly. Thus, Examiner interprets that when an image is projected, the image is enlarged), the optical system comprising, in order from a side of an exit pupil to a side of the display surface ([0079], Fig. 3; The transmitted light, after passing through another optional linear polarizer 312, can be refracted by a lens/group of lenses 210 to form a virtual image to be presented to an eyepiece of an HMD device and the eye of the user.), a first half-transmissive reflective surface (Fig. 3; 206, Filter stack II. Thus, the Filter stack II is able to transmit and reflect light, it is called as a half-transmissive reflective) and a second half-transmissive reflective surface (Fig. 3; 208, Filter stack I. Thus, the Filter stack I is able to transmit and reflect light, it is called as a half-transmissive reflective), wherein all lenses disposed at the optical system are cemented at least one side of an exit pupil or a side of a display surface ([0079], Fig. 3; The transmitted light, after passing through another optional linear polarizer 312, can be refracted by a lens/group of lenses 210 to form a virtual image to be presented to an eyepiece of an HMD device and the eye of the user…. and [0118], Fig. 8; The optical assembly 800 includes (or is adjacent to) the display panel 804. As shown, the optical assembly 800 includes a first filter stack 806, a second filter stack 808, a lens 810, a lens 812, and a prism 814. The optical assembly 800 can function to fold the optical path of light presented by display panel 804 and through the filter stacks 806 and 808. Thus, the lenses 810 and 812 are attached to the one side of an exit pupil or a side of a display surface.), wherein that the optical system has: a first optical path ([0073-0079], Fig. 3; path 300) on which light from the display surface transmits through the second half-transmissive reflective surface (Fig. 3; 206, Filter stack I. Thus, the Filter stack I is able to transmit and reflect light, it is called as a half-transmissive reflective), is reflected by the first half- transmissive reflective surface (Fig. 3; 208, Filter stack II. Thus, the Filter stack II is able to transmit and reflect light, it is called as a half-transmissive reflective), is reflected by the second half-transmissive reflective surface (Fig. 3; 206, Filter stack I. Thus, the Filter stack I is able to transmit and reflect light, it is called as a half-transmissive reflective), transmits through the first half-transmissive reflective surface (Fig. 3; 208, Filter stack II. Thus, the Filter stack II is able to transmit and reflect light, it is called as a half-transmissive reflective), and is guided to the exit pupil ([0073] FIG. 3 is a diagram depicting an example polarization path 300 of light transmitted through the optical assembly 200 illustrated in FIG. 2. Here, the filter stacks 206 and 208 are shown disposed between the display panel 204 and the lens 210. A camera 212 is shown below the lens 210 to capture an image of a reflection of the user's eye (not shown at the left of the lens 210) through the lens 210….and [0079]; The transmitted light, after passing through another optional linear polarizer 312, can be refracted by a lens/group of lenses 210 to form a virtual image to be presented to an eyepiece of an HMD device and the eye of the user.), and a second optical path (Fig. 8; Path 822) on which light from the side of the exit pupil transmits through the first half-transmissive reflective surface (Fig. 8; Filter stack II. Thus, the Filter stack II is able to transmit and reflect light, it is called as a half-transmissive reflective), transmits through the second half-transmissive reflective surface (Fig. 8; Filter stack I. Thus, the Filter stack I is able to transmit and reflect light, it is called as a half-transmissive reflective ), and is guided to an image sensor ([0127], Fig. 8; The camera 818 can capture movement of the eye 802 (e.g., capture images for eye tracking purposes). The light directed to the eye 802 can be reflected, as shown by path 820. The reflection of the light can be transmitted through lens 810, and filter stack 808 and can be captured by camera 818 as an image. As shown by path 822, the reflection can be provided through lens 810 into prism 814 and bounce off of IR filter 816 and back through prism 814 to be captured by camera 818.). 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. Claims 23-24 are rejected under 35 U.S.C. 103 as being unpatentable over Bierhuizen et al. (US 2018/0239146 hereinafter Bierhuizen) in view of Togino Takayoshi (DE 69734638 hereinafter Takayoshi). Referring to claim 23, Bierhuizen as applied above does not specifically disclose wherein the refractive surface is rotationally symmetrical with respect to an optical axis of the first optical path. In an analogous art, Takayoshi discloses wherein the refractive surface is rotationally symmetrical with respect to an optical axis of the first optical path (Takayoshi-see attachment highlighted section; at a rotationally symmetrical optical system comprising a refraction lens, which from a surface is formed, which is rotationally symmetric about an optical axis, An optical path is formed along a straight line.). Therefore, it would have been obvious to one of ordinary skill in the art to apply the technique of Takayoshi to the system of Bierhuizen in order to provide a compact optical system to provide, even at a wide field angle can provide a clear picture with minimal distortion. Referring to claim 24, Bierhuizen as modified by Takayoshi discloses wherein the refractive surface is a plane (Takayoshi-see attachment highlighted section; an optical system device having a first surface which is symmetric only with respect to a plane of symmetry, and a second surface which is symmetric only with respect to the plane of symmetry, the first plane being a reflective, concave surface and is inclined relative to a reference axis beam which is in the plane of symmetry.). Therefore, it would have been obvious to one of ordinary skill in the art to apply the technique of Takayoshi to the system of Bierhuizen in order to provide a compact optical system to provide, even at a wide field angle can provide a clear picture with minimal distortion. Claim Objections Claims 25-27 and 30-33 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. Referring to claim 25, the following is a statement of reasons for the indication of allowable subject matter: the prior art fail to suggest limitations “further comprising an optical element that is rotationally asymmetric and disposed closer to the image sensor than the refractive surface in the second optical path”. Referring to claims 26-27 are objected upon dependent claim 25. Referring to claim 30, the following is a statement of reasons for the indication of allowable subject matter: the prior art fail to suggest limitations “further comprising a circular polarization conversion element disposed closer to the display surface than the second half-transmissive reflective surface”. Referring to claims 31-32 are objected upon dependent claim 30. Referring to claim 33, the following is a statement of reasons for the indication of allowable subject matter: the prior art fail to suggest limitations “wherein the following inequality is satisfied: 0.5 < Cx/Ltp < 1.5 where Ltp is a distance on an optical axis of the first optical path from a surface closest to the exit pupil to the second half-transmissive reflective surface, and Cx is a distance on the optical axis of the first optical path from a surface closest to the exit pupil to a center of the image sensor”. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to SCOTT D AU whose telephone number is (571)272-5948. The examiner can normally be reached M-F. General 8am-5pm. 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, Matthew Eason can be reached at 571-270-7230. 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. /SCOTT D AU/Examiner, Art Unit 2624
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Prosecution Timeline

Jan 28, 2025
Application Filed
Sep 18, 2025
Non-Final Rejection — §102, §103, §DP
Jan 20, 2026
Response Filed
Apr 10, 2026
Non-Final Rejection — §102, §103, §DP (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

2-3
Expected OA Rounds
77%
Grant Probability
88%
With Interview (+11.4%)
3y 0m
Median Time to Grant
Moderate
PTA Risk
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