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[0001] This application claims priority from Japanese Patent Application No. 2003-284399 filed on Jul. 31, 2003, which is hereby incorporated by reference.
BACKGROUND OF THE INVENTION
[0002] 1. Field of the Invention
[0003] The present invention relates to an image projection apparatus, such as a liquid crystal projector, etc., and particularly relates to an image projection apparatus with an autofocusing function.
[0004] 2. Description of the Related Art
[0005] With regard to an AF (Auto Focus, referred to hereinafter as “AF”) operation of a conventional projector, an AF operation is started when a focus switch is pressed.
[0006] Known AF techniques include active methods, wherein AF operation is carried out upon performing distance determination by measuring the propagation time of an ultrasonic signal or based on the principles of triangulation using infrared light, and passive methods, wherein a lens is driven upon reading the contrast of brightness across a screen by means of a pair of light receiving line sensors and determining the distance by obtaining the correlation values of the respective pixel outputs, etc., (see Patent Document 1).
[0007] The abovementioned passive methods can be largely classified into two types, one type being the so-called two-image correlation (or displacement detection) AF method, wherein a pattern which is prepared in advance is read and projected and used as an AF chart to improve the precision of AF (see Patent Document 2), and the other type being the AF method called sharpness detection or contrast detection (hill-climbing) method, wherein the AF operation is performed by using an optical sensor with a one-dimensional or two-dimensional pixel configuration, and this type is used in many digital cameras and home videos.
[0008] Here, in the case where a projection light of the projector is used for focusing, though there will be no problem if the light source can provide adequate brightness without waiting from the turning ON of power, in the case where a high-pressure discharge lamp or other light source with a long required lighting time is used, there was the possibility for an AF operation being performed even when the brightness is inadequate for passive AF, thereby leading to erroneous AF operation.
[0009] The example proposed in Patent Document 3 may be cited as an example of an AF operation of an image reading apparatus wherein the AF operation is prohibited upon judging that the circumstances present a problem in terms of the precision of the AF operation.
[0010] Specifically, in an image reading apparatus having a reading unit that scans and reads in an enlarged projected image of a microfilm, the region in which the image is to be read is set and the reading unit performs sampling for autofocusing within the set region. A projection lens for projecting the enlarged projected image is made removable and when the projection lens is removed, the AF operation is restricted. Further, the AF operation is restricted when the occurrence of a system error is detected and the AF operation is restricted when the projection lens is not attached.
[0011] [Patent Document 1] Japanese Patent Application Laid-Open No. H4(1992)-338707
[0012] [Patent Document 2] Japanese Patent No. 3120526
[0013] [Patent Document 3] Japanese Patent Application Laid-Open No. 2000-295443
[0014] [Patent Document 4] Japanese Patent Application Laid-Open No. H11(1999)-109214
[0015] However, arts concerning reductions of the time required for ranging and driving operation have hardly been proposed for AF mechanisms of the projection type image display apparatus such as the projector. This is because with an image projection apparatus, AF operation is often performed just once at the beginning and arts for speeding up an AF process were thus not viewed with much importance.
[0016] Propositions have also not been made in regard to speeding up optimal AF and specifically in regard to a driving method for setting the initial lens position in a projector, which has unique equipment application restrictions in terms of usage conditions, projection size conditions, etc., and there were inadequacies in terms of repressing unnecessary operation and erroneous operation by judgment of the circumstances during an AF operation.
[0017] The abovementioned Patent Document 4 discloses a projector wherein, for the purpose of initialization for subsequent use, a lens is driven to a predetermined position when the power is turned off. However, with the projector, the abovementioned function does not operate when the power is turned off hastily during the time for waiting for the end of cooling, etc. Furthermore, in the arrangement of the projector of the abovementioned Patent Document 4, initialization is performed when full completion is carried out from the standby state that is entered after the end of cooling.
[0018] The above arrangement thus has the problem that initialization is not carried out when the power is turned off hastily during the time for waiting for the end of cooling, etc. Also, in the case where full completion is carried out normally from the standby state after the end of cooling, the full completion time may become elongated due to standby drive. Difficulties thus exist in either case.
SUMMARY OF THE INVENTION
[0019] An object of the present invention is to avoid problems due to performing focusing control in a state in which the light amount of a light source is inadequate in an image projection apparatus that performs focusing control.
[0020] Another object is to propose, in view of usage methods for actual use, projection size, etc., an image projection apparatus, which, upon the turning on of power, standbys at a lens distance that matches the usage conditions.
[0021] Yet another object is to propose, in an image projection apparatus, wherein unique restrictions exist in terms of the usage method, projection size, etc., a method of driving a lens to an optimal initial lens position.
[0022] In order to achieve the above objects, a first aspect of an image projection apparatus of the present invention comprises a discharge type light source; an image forming element, modulating light from the light source; a projection optical system, projecting the light from the image forming element onto a projection surface; a controller, performing focusing control of the projection optical system; and a brightness detector, detecting at least one of a brightness of the light source and a brightness of a reflected light on the projection surface. Here, after turning the light source on, the controller restricts the focusing control until the brightness detected by the brightness detector reaches a predetermined value.
[0023] Another aspect of an image projection apparatus of the present invention comprises a discharge type light source; an image forming element, modulating light from the light source; a projection optical system, projecting the light from the image forming element onto a projection surface; a light receiving element, receiving a reflected light on the projection surface; and a controller, performing focusing control of the projection optical system by using the output from the light receiving element. Here, after turning the light source on, the controller restricts the focusing control until a brightness of the reflected light detected based on the output of the light receiving element reaches a predetermined value.
[0024] Yet another aspect of an image projection apparatus of the present invention comprises a discharge type light source; an image forming element, modulating light from the light source; a projection optical system, projecting the light from the image forming element onto a projection surface; a controller, performing focusing control of the projection optical system; and a brightness detector, detecting at least one of a brightness of the light source and a brightness of a reflected light on the projection surface. Here, after turning the light source on, the controller displays that the focusing control is in a restricted state until the brightness detected by the brightness detector reaches a predetermined value.
[0025] Yet another aspect of an image projection apparatus of the present invention comprises a discharge type light source; an image forming element, modulating light from the light source; a projection optical system, projecting the light from the image forming element onto a projection surface; a light receiving element, receiving a reflected light on the projection surface; and a controller, performing focusing control of the projection optical system by using the output from the light receiving element. Here, after turning the light source on, the controller displays that the focusing control is in a restricted state until a brightness of the reflected light detected based on the output of the light receiving element reaches a predetermined value.
[0026] Yet another aspect of an image projection apparatus of the present invention comprises a discharge type light source; an image forming element, modulating light from the light source; a projection optical system, including a focusing lens and projecting the light from the image forming element onto a projection surface; a controller, performing focusing control of the projection optical system; and a brightness detector, detecting at least one of a brightness of the light source and a brightness of a reflected light on the projection surface. Here, after turning the light source on, the controller restricts the focusing control until the brightness detected by the brightness detector reaches a predetermined value and drives the focusing lens to a predetermined position.
[0027] Yet another aspect of an image projection apparatus of the present invention comprises a discharge type light source; an image forming element, modulating light from the light source; a projection optical system, including a focusing lens and projecting the light from the image forming element onto a projection surface; a light receiving element, receiving a reflected light on the projection surface; and a controller, performing focusing control of the projection optical system by using the output from the light receiving element. Here, after turning the light source on, the controller restricts the focusing control until a brightness of the reflected light detected based on the output of the light receiving element reaches a predetermined value and drives the focusing lens to a predetermined position.
[0028] Yet another aspect of an image projection apparatus of the present invention comprises a light source; an image forming element, modulating light from the light source; a projection optical system, including a focusing lens and projecting the light from the image forming element onto a projection surface; and a controller, controlling a drive of the focusing lens. Here, after turning one of the light source and the image projection apparatus on, the controller drives the focusing lens to a predetermined initial position at once.
BRIEF DESCRIPTION OF THE DRAWINGS
[0029] FIG. 1 is a block diagram of a liquid crystal projector provided with an AF function, which is Embodiment 1 of the present invention.
[0030] FIG. 2 is a block diagram of an AF sensor of the projector of Embodiment 1.
[0031] FIG. 3 is a schematic block diagram of an AF control circuit of the projector of Embodiment 1.
[0032] FIG. 4 illustrates a two-image correlation of the AF sensor.
[0033] FIG. 5 is a flowchart illustrating the operations of the projector of Embodiment 1.
[0034] FIG. 6 is a flowchart illustrating the operations of a liquid crystal projector, which is Embodiment 2 of the present invention.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
Embodiment 1
[0035] FIG. 1 shows a structure of a three-plate type liquid crystal projector (projection type image display apparatus) provided with an AF, which is Embodiment 1 of the present invention. In FIG. 1 , Reference Numeral 100 denotes a liquid crystal projector. Reference Numeral 110 denotes a light source, Reference Numeral 120 denotes a transmission type liquid crystal display panel, Reference Numeral 130 denotes a cross dichroic prism, Reference Numeral 140 denotes a zoom projection lens (projection optical system), Reference Numeral 150 denotes a motor driver, and Reference Numeral 160 denotes a controller made up of a microcomputer.
[0036] Reference Numeral 170 denotes an operation panel, Reference Numeral 180 denotes an image signal supply apparatus such as a personal computer (PC), video, DVD player, television tuner, etc., Reference Numeral 190 denotes an image processing circuit, Reference Numeral 200 denotes a screen, and Reference Numeral 300 denotes a passive AF sensor (photoreception sensor).
[0037] The basic structure of the abovementioned projector 100 is a general structure as a three-plate type liquid crystal projector. That is, three transmission type liquid crystal panels 120 (only one channel is shown in the figure) are used, and the illumination light from the light source (discharge type light source such as a high-pressure mercury lamp, metal halide lamp, xenon lamp, or discharge type light source of short arc length) 110 is separated by a dichroic mirror (not shown) into color light components of the three channels; red R, green G, and blue B to illuminate each of the three liquid crystal display panels 120 .
[0038] The liquid crystal display panel 120 is driven by an LCD driver 121 based on an image signal supplied from the image signal supply apparatus 180 and displays an original image of each channel corresponding to the image signals. When the abovementioned separated color light components are introduced into these liquid crystal display panels 120 , the light components are modulated in accordance with the original images and then emerged from the liquid crystal display panels 120 .
[0039] The color light components that have passed through the respective liquid crystal display panels 120 are color-combined by the cross dichroic prism 130 in such a way that their optical axes are aligned with one another, and enlarged and projected onto the screen 200 through the projection lens 140 .
[0040] As indicated by the symbol 145 , the optical axis 102 of the projection lens 140 is shifted upward (rises) with respect to the optical axis 101 of the illumination system. By thus shifting the position of the lens optical axis 102 , the image that is projected onto the screen 200 is projected upward with respect to the lens optical axis 102 , and in a case where projection is performed with the projector being set on a desk, it is possible to reduce screen vignetting by the desk itself.
[0041] The projection lens 140 is a zooming lens and the projection field-angle is changed on the screen 200 from the telephoto end to the wide-angle end as indicated by the arrow in the process of zooming. The distance from the optical axis 102 of the projection lens 140 to the screen end is enlarged or reduces in proportion to the magnification varying rate by zooming, and therefore the movement of the screen end on the lower side close to the optical axis 102 is relatively small.
[0042] On the outer circumference of the projection lens 140 , a focus operation ring 146 and a zoom operation ring 147 each having an outer circumferential gear portions are provided. The focusing lens 148 and an unillustrated zooming lens making up part of the projection hens 140 are driven in the direction of the optical axis by the rotation of these operation rings 146 and 147 , therefore focusing and field angle adjustment are performed, respectively.
[0043] The outer circumferential gear portions of these two operation rings 146 and 147 are respectively engaged with output pinion gears of a focusing motor 141 and a zooming motor 143 , each of which is a geared motor that is integrated with a speed deceleration unit for electromotive drive. The operation rings 146 and 147 are electrically driven through outputs of the motors 141 and 143 and the focusing lens 148 and the zooming lens are driven. Focusing and zooming operation can also be performed through manual operations of the focus operation ring 146 and zoom operation ring 147 .
[0044] For detecting the absolute positions of the operation rings 146 and 147 (that is, absolute positions of the focusing lens 148 and zooming lens), the outer circumferential gear portions of the operation rings 146 and 147 are respectively connected to potentiometer-type rotary encoders 142 and 144 via pinion gears (not shown), and these rotary encoders 142 and 144 output signals indicating the position of the current focusing lens 148 and the position of the zooming lens to the controller 160 .
[0045] The focusing motor 141 and zooming motor 143 are driven and controlled by the controller 160 via a motor driver 150 .
[0046] An image that is projected by the projector of this embodiment is selected by a switching circuit 6 from among an image based on the image signal from the image signal supply apparatus 180 , an image based on the image signal from a character generator 7 , which is used for OSD (onscreen display) of the operation mode, etc., and is often provided for a latest projector, and an image based on the image signal in an unillustrated memory. The selected image signal is subjected to a resolution conversion, gamma processing, non-interlace processing, etc., in accordance with the type of the image signal by the image processing circuit 190 , and are then input into the liquid crystal display panels 120 after passing through an LCD driver 121 for the respective channels of R, G, and B.
[0047] The operation panel 170 is placed on the outer surface of the projector 100 and a group of switches for the turning ON/OFF of power, selection of the supply source of the projected image (that is, the original image), power zooming operation, power focusing operation, autofocus ON/OFF operation, and various mode settings are concentrated thereon. Also, the supply source of the selected projected image, the autofocus ON/OFF state, the mode that is set, etc., are displayed on the operation panel 170 .
[0048] FIG. 2 shows a schematic structure example of the passive AF sensor 300 . The passive AF sensor 300 receives reflected light from an area (field of view) including the lower side of the area where the image is projected on the screen 200 (image projection area), that is, the boundary between the image projection area and the non-image area where no image is projected.
[0049] The passive AF sensor 300 is designed to receive the abovementioned reflected light at a pair of line sensor R 36 and line sensor L 37 via a pair of lenses 31 and 32 , which are placed apart by a predetermined distance that corresponds to be a base line length, a pair of mirrors 33 and 34 , and furthermore via the reflecting surfaces of a prism 35 .
[0050] The passive AF sensor 300 is placed in the vicinity of the projection lens 140 and its detection area set in such a way as to cross over part of the lower side of the image projection area on the screen 200 . The base line length direction of the passive AF sensor 300 extends in the vertical direction and is substantially orthogonal to the lower side of the image projection area. The central axis of the field of view of the passive AF sensor 300 is substantially parallel to the optical axis 102 of the projection lens 140 .
[0051] By positioning the passive AF sensor 300 inside the projector 100 in this manner, waste is reduced in terms of spatial efficiency because the passive AF sensor 300 is generally structured in a substantially quadratic prism shape.
[0052] FIG. 3 shows a schematic structure of the circuit concerned with AF control. The controller 160 not only controls the entire projector system but also controls AF. The controller 160 has a CPU 41 as well as a memory A 42 , a memory B 43 , a shift register 44 and a ROM 45 .
[0053] Here, the memory A 42 and the memory B 43 individually store the image signals photoelectrically converted by the abovementioned line sensor R 36 and line sensor L 37 of the passive AF sensor 300 . By performing gain switching in accordance with the signal level, saturation is repressed and the dynamic range of signals is expanded.
[0054] The shift register 44 is designed to be fed with, for example, image data of the memory A 42 and sequentially shift the input image data. The CPU 41 then compares the data of the shift register 44 and the data of the memory B 43 to detect a match between both data. The CPU 41 compares the shift amount at this time with the content of ROM 45 to determine the distance up to the screen 200 , and sends the output for driving the focusing lens 148 to the motor driver 150 .
[0055] Here, the ROM 45 stores the relationship between the shift amount of the shift register 44 and the distance to the screen 200 in the form of a table. The system can also be structured in such a way that a plurality of such table data are provided, data can be selected from the table using temperature as a parameter. An unillustrated temperature sensor may be added to the vicinity of the passive AF sensor 300 inside the projector 100 so that focusing variation due to temperature is reduced by selection of a lens drive amount calculation table or a drive amount calculation factor table. Good AF accuracy can thereby be secured in the projector in which temperature rise tends to occur.
[0056] Reference Numeral 5 denotes an AF switch that is provided on the operation panel 170 . The operation signal of the AF switch 5 is sent to the switching circuit 6 via the controller 160 . The switching circuit 6 switches the image signal, which is the source of the original image to be displayed on each liquid crystal display panels 120 , from a video signal to a content of the projected image using a hardware background generation function of the character generator 7 in response to the operation of the AF switch 5 .
[0057] In this case, the character generator 7 sends image signal, which indicate full white image without any non-background character display pattern or full gray image or image signal which indicate an image for AF detection equivalent to such images, to the LCD driver 121 in accordance with the instruction of the controller 160 and makes an original image, corresponding to the abovementioned image for AF detection, be displayed on the liquid crystal display panels 120 .
[0058] The AF operation of the projector 100 arranged as described above shall now be described. This AF operation is preferably carried out before a normal video image is projected and displayed.
[0059] First, when the AF switch 5 provided on the operation panel 170 is operated and the switching circuit 6 switches to a state in which the character generator 7 is selected, the controller 160 outputs the content of the character generator 7 to the LCD driver 121 . The abovementioned original image for AF detection is thereby displayed on each liquid crystal display panel 120 and the AF detection image is projected onto the screen 200 .
[0060] Here, since the optical axis 102 of the projection lens 140 is shifted to the position at which the ratio of upper size to the lower size within the effective display area of the liquid crystal display panel 120 is 1 to 19, the projected image on the screen 200 is shifted with respect to the optical axis 102 of the projection lens 140 so that the ratio of the upper size to the lower size is 19 to 1. And the projected image is projected with an apparent angle of elevation so that there is not distortion.
[0061] The detection angle of the passive AF sensor 300 is set to approximately 10 degrees in the base line length direction and the lower side of the projected image is included in the detection area of the passive AF sensor 300 .
[0062] On the boundary between “the image projection area” and “the non-image area” outside this image projection area on the screen 200 , for example, “an area with a full white image with maximum brightness that can be projected” exists adjacent to “an area with lower brightness than the case where a black level image is projected”.
[0063] Here, the black level image is brighter than the non-image area, because this is a general characteristic of the transmission type liquid crystal panels 120 and there is inevitably leakage of light in a totally closed state. The flare of the projection lens 140 , or the leakage of light around the dichroic prism 130 , etc., will also inevitably increase the brightness of the black level image. Such factors of lowering of contrast due to causes of the optical system will likewise exist in any display element other than a transmission type liquid crystal display panel, for example, an image display element, such as a reflection type micro-mirror driving element, an LCOS or other reflection type liquid crystal, an EL element, etc., and generally with an image projection apparatus, a black level image within the projected image area will inevitably be brighter than the non-image area.
[0064] Meanwhile since the lower side of the projected image is positioned close to the optical axis 102 of the projection lens 140 , this is the location where the white with the highest brightness is easily obtained within the entire projected image.
[0065] Thus when a sensor output is obtained with this position included in the detection area of the passive AF sensor 300 , the abovementioned boundary shows the maximum contrast that can be formed through projection by the projector. Even in a case where the projected image is a full gray image, since the brightness in the non-image area is low, an sufficiently high contrast can be obtained in the detection area of the passive AF sensor 300 .
[0066] Also, even when the projection lens 140 is zoomed between the telephoto end and the wide-angle end, since the positional variation of the lower side of the projected image is small as described above, the abovementioned boundary will constantly be contained in the detection area of the passive AF sensor 300 without the need to adjust the center (optical axis) in the base line length direction of the detection area of the passive AF sensor 300 upward or downward.
[0067] The reflected light from detection area of the passive AF sensor 300 incident on the passive AF sensor 300 is received by the line sensor R 36 and the line sensor L 37 respectively via the abovementioned lenses 31 and 32 , mirrors 33 and 34 , and prism 35 shown in FIG. 2 . The image data based on the signals obtained by photoelectrically conversion at the respective pixels of the line sensor R 36 and line sensor L 37 are then respectively stored in the memory A 42 and memory B 43 of the controller 160 .
[0068] FIG. 4 shows a two-image correlation formed on the abovementioned line sensor R 36 and line sensor L 37 .
[0069] In this case, images in the detection area of the passive AF sensor 300 are formed on the line sensor R 36 and the line sensor L 37 as shown FIG. 4A and FIG. 4B , respectively, and signals shown in FIG. 4C and FIG. 4D are output from the pixels group making up the respective line sensors. Image data shown in FIG. 4E and FIG. 4F , which correspond to the output signals shown in FIG. 4C and FIG. 4D , are stored respectively in the memory A 42 and memory B 43 .
[0070] Then, the data in the memory A 42 of this image data is input to the shift register 44 as shown in FIG. 4G , and the content of the shift register 44 is shifted sequentially in the direction of the arrow in the figure.
[0071] In this state, the CPU 41 compares the data pattern in the shift register 44 with the data pattern in the memory B 43 (see FIG. 4H ). When a match between both data pattern is detected by using a known judgment methods, such as the minimization of difference (=OR−AND), the maximization of AND, the minimization of OR, etc., the shift amount at this time is compared with the content stored in the ROM 45 to determine the distance to the screen 200 . If necessary, the focusing accuracy is improved by using a data to be compared which is obtained by determining the differences between the data of respective adjacent pixels and then performing a correlation comparison process (differentiation process).
[0072] The data for which differences are to be determined do not have to be adjacent data, and difference between pixels that are separated by one pixel or difference between pixels that are separated by n pixel may be used. On the contrary, it may be performed the correlation comparison process to data group which is obtained by sequentially adding a plurality of data within a predetermined interval.
[0073] By then outputting the distance data to the motor driver 150 , the focusing lens 148 is driven and focusing operation is performed.
[0074] By thus selecting an image generated by hardware in advance, projecting this image onto the screen 200 and enabling AF control, the focusing accuracy can be improved drastically without the need to waste extra memory and reduce burden in terms of cost.
[0075] The abovementioned embodiment has described the case of performing AF control by projecting a hardware-generated image of a character generator for OSD (onscreen display) that is equipped as a standard function of a projector, for AF detection, AF control may also be carried out by projecting a normal video image or other moving image formed by image signals from the image signal supply apparatus 180 or a computer monitor image.
[0076] FIG. 5 is a flowchart showing a control algorithm for initial position drive of the focusing lens and AF enabling operation in this embodiment.
[0077] In FIG. 5 , when the power switch of the operation panel 170 is turned on (when the power is turned on) (step (indicated hereinafter as “S”) 101 ), the controller 160 performs an initialization operation (S 102 ). Then, controller 160 starts up an unillustrated light source control circuit and makes an unillustrated stabilizer operate to generate a high-pressure lamp lighting voltage necessary for lighting up the light source 110 (which is a high-pressure mercury lamp here) and applies this voltage to the electrodes of the light source 110 . Lamp lighting is thereby started (S 102 ).
[0078] Also in the step S 102 , the controller 160 projects a full white image of the abovementioned character generator function or projects the characters of “Preparing for AF” (display indicating a state where AF control is restricted) on a projection image area other than the detection area for AF with a full white image as a background, from the point immediately after the lighting of the light source 101 until the AF enabling judgment is made in a subsequent step.
[0079] Thereafter, the state of an unillustrated AF mode switch which is provided on the operation panel 170 and operated to make the AF function effective (hereinafter referred to as “AF mode”) or make the AF function ineffective, is detected. The AF mode switch is a mechanical, two-position slide type switch and may be of a simple structure so that a 1-bit signal is output. The controller 160 judges whether or not the AF mode is set on the basis of the ON/OFF state of the AF mode switch (S 103 ).
[0080] If the AF mode is not set, the encoder data corresponding to the infinity position that is stored in the ROM 45 is selected as the initial position of the focusing lens 148 (S 104 ). If the AF mode is set, an AF initial position data, stored in the ROM (memory) 45 as an initial value position of the focusing lens 148 suited for the AF mode, is selected and set (S 105 ).
[0081] Here, as the initial position of the focusing lens 148 that is suited for the AF mode, in the projector of this embodiment, a substantially central position between the in-focus position of the focusing lens 148 with respect to the screen 200 when an image of the maximum dimensions is projected via the projection lens 140 , that is, when the image is projected at the wide angle end, and the in-focus position of the focusing lens 148 with respect to the screen 200 when an image of the minimum dimensions is projected via the projection lens 140 , that is, when the image is projected at the telephoto end, may be selected. A position of the focusing lens 148 when any image dimension within 40 inches to 100 inches is projected or the in-focus position of the focusing lens 148 for infinity may be selected as well.
[0082] This selection of the initial position of the focusing lens 148 may be carried out by a user when a mode in which the various conditions of the projector can be set is set by pressing an unillustrated menu mode switch.
[0083] The state of an initial position drive mode switch 170 a (see FIG. 3 ), for setting whether or not the initial position drive is to be performed after the turning on of power, is then detected (S 106 ). This switch 170 a has the same structure as the abovementioned AF mode switch and is arranged on the operation panel 170 . If the initial position drive mode switch 170 a is in the disabled state, that is, in the case where the controller 160 judges that the initial position drive is not performed on the basis of the output signal of the initial position drive mode switch 170 a, the process advances to step S 112 .
[0084] If the initial position drive mode switch 170 a is ON, that is, in the state in which the initial position drive is enabled, the initial position data that is set in the AF mode judging process (S 103 ) is read (S 107 ), and the current lens position data is calculated on the basis of output signals of the encoders 142 and 144 provided on the projection lens 140 (S 108 ).
[0085] The initial position data and the current position data are then compared, and if these data match, the process advances to step S 112 . If these data do not match, a drive amount of focusing lens 148 corresponding to the difference between these data is calculated (S 110 ), drive of the focusing lens 148 is performed (S 111 ). And the process returns to step S 108 and the abovementioned operations are repeated until the current position data of the focusing lens 148 matches the initial position data.
[0086] When the current position data matches the initial position data and the initial position drive is completed, the detection of the brightness data is started (S 112 ).
[0087] Next, as the lamp brightness data, temperature data which is high correlative with the lamp brightness is obtained from an unillustrated temperature sensor provided near the lamp (light source 110 ) to estimate and the lamp brightness is estimated (S 113 ). Here, since a temperature sensor is required in terms of securing safety in using the lamp, which becomes high in temperature, and is always provided in the projector. It is thus rational and also effective in cost that the temperature sensor is used to judge the brightness (estimate from the correlation).
[0088] If a temperature close to room temperature is detected by the temperature sensor after the elapse of a predetermined time from the start of the lighting operation of the lamp (light source 101 ), it can be estimated that the lamp is unlit. On the other hand, if a temperature rise is detected after a predetermined time from the start of the lamp lighting operation, it is assumed that the lamp has become lit. And it is judged whether or not the estimated temperature is a temperature corresponding to a brightness with which the focusing accuracy can be reliable and which is determined on the basis of the correlation data of temperature and brightness, by using a predetermined value. The general brightness in the projection environment, including fluctuating factors such as the lowering of brightness due to the screen gain and lamp life, etc., can thus be judged. If the judgment result does not reach the predetermined value (that is, while the lamp brightness has not reached the predetermined value), the process waits at step S 113 , that is, the focusing control is restricted. When the judgment result (lamp brightness) reaches the predetermined value, the process advances to step S 114 .
[0089] At step S 114 , brightness data on the reflected light of the projected light from the screen 200 is obtained to judge whether or not the brightness of the reflected light has reached a predetermined value.
[0090] In this embodiment, a predetermined number of the light receiving elements in the two line sensors 36 and 37 provided in the passive AF sensor 300 are used and the outputs thereof are subject to A/D conversion to evaluate the brightness of the abovementioned reflected light. Though the description of the two-image correlation of FIG. 4 concerned the comparison of 1-bit data string for the sake of convenience, here, conversion to digital data of plurality of bits is carried out to perform brightness evaluation of brightness states with a wide dynamic range.
[0091] By acquiring the brightness data a plurality of times while changing the accumulation time (gain) as necessary, the required dynamic range is obtained.
[0092] Since the lower end of the projected image (the boundary between the interior and the exterior of the projected image) is included at a middle part along the length in the line direction of the line sensor and the respective ends of the line sensor outputs the signal corresponding to the light imaged in the detection area at the interior and the exterior of projected image, the data of light receiving elements of the line sensor which is located at the respective sides of the abovementioned boundary are used for brightness evaluation. The brightness difference data between the brightness data of the projected image area and the brightness data of the non-image area can thereby be obtained at the same time.
[0093] Here, since the projected image is the full white image, the brightness data of the projected image area will be data with which the projected light of the maximum brightness is superposed with the environmental light and the brightness data of the non-image area will be data due only to the environmental light. The difference between the two brightness data will thus be the brightness due to projection by the projector, that is, the data of the projector brightness.
[0094] Furthermore, the abovementioned brightness evaluation is performed immediately after the lighting of the lamp as well, in this case, it is preferable to use data at the respective ends of the line sensor to increase the probability that the two data are the brightness data of the projected image area and the brightness data of the non-image area. Then, the brightness data of the screen (and the nearby environment onto which an image will be projected) 200 due to only the environmental light is obtained and stored. The rise of brightness can be detected from a comparison with brightness data obtained after the elapse of a predetermined lighting time.
[0095] In an infrared ray projection type active AF method or a passive AF method in the visible light aided light projection mode, which are often used in lens shutter cameras, there is an art of performing so-called external light elimination by emitting a projection light intermittently and performing a comparison calculation of the sensor outputs when light is projected and when light is not projected to eliminate the environmental light and improve the AF accuracy. However, with the AF method of this embodiment for a projector, the light source which is difficult to perform the high-speed blinking, such as the high-pressure mercury lamp, is used. Since the projection light is high in light amount and wide in projection range, high-speed blinking may cause discomfort of users. Thus, the above art cannot be employed. In a projector with which intermittent emission of the projection light cannot be performed, since the object onto which focusing is to be performed is a screen and does not move and vary in comparison with the object of camera, even if the span of intermittent emission along a time sequence is expanded, it is possible to perform the same type of external light elimination process. That is, the elimination of environmental light components by the detection of the brightness rise by comparison of data which are obtained by brightness measurements immediately after lighting and upon elapse of predetermined lighting durations at intervals of 10 seconds to 30 or more seconds is useful for AF of the projector.
[0096] Furthermore, in the case where the reflected light of the projected image area-and the non-image area differ adequately in brightness from the point immediately after lighting of the lamp, the possibility that the exterior of the screen is black can be assumed, and, as the data pattern obtained by the detection operation after the rise of brightness, a white screen surface in the full white image projection area; a white screen surface outside the projection area; a black area at the periphery of the screen; and the conflicting distance parts of a wall surface or the interior of a room at the outer side of the screen; line up in that order from the inner side of the image and along the detection area. Also, in the case where the projection image is projected in a state of over-scan with respect to the white part of the screen (the effective range of projection is overlapped with a black part at the outer periphery of the screen), a white screen surface in the full white image projection area; a peripheral black area outside the screen and within the projected area; and the conflicting distance parts of a wall surface or the interior of a room at the outer side of the screen; line up along the detection area.
[0097] When a part of the line sensor, at which the first large variation occurs with respect to the pixel corresponding to the white screen surface of the full white image projection area, that is, the pixel at the end corresponding to the inner side of the image, is used for AF, the AF accuracy is improved since the contrast is high.
[0098] Also, even if the data of the respective ends of a line sensor are not used, the rise of the projection brightness can be detected by comparing the maximum value of the line sensor output immediately after the lighting of the lamp and the maximum value of the line sensor output after the elapse of a predetermined time.
[0099] Here, there is a possibility of erroneous judgment due to variation of the detection area of the passive AF sensor which is occurred by a position setting operation being performed from immediately after the lighting up of the lamp. To repress the erroneous judgement, position variation and orientation variation are detected by using an unillustrated detection sensor for detecting the setting state of the projector, such as a vibration detection sensor, direction detection sensor, GPS absolute position detection sensor, elongation position detection sensor for the projector's angle adjustment feet, angle sensor, vibration gyro sensor, etc., the abovementioned variation is monitored continuously, and it is assumed that the setting of the projector is completed at the point at which the variation has settled down. In the case where the abovementioned variation from the lighting up of the lamp to the completion of setting of the projector is no less than a predetermined value, the abovementioned estimation value obtained by comparing the brightness rise with data immediately after lighting should be deemed as being low in reliability and eliminated from the judgment algorithm. Also, in the case where the variation of the setting state of the projector continues after the start of the judgment of whether or not the lamp brightness has reached a predetermined value and the judgment of whether or not the brightness of the screen reflected light has reached a predetermined value, the flow may be looped so that the process at step S 114 is performed again.
[0100] The detection of the completion of setting may be added as an AND condition (logical multiplication) for the start of judging of the brightness of the screen reflected light.
[0101] Since AF operation is not performed at a point at which the completion of setting is detected, the information on the distance to the screen 200 is not obtained at this point. In the usage environment of the projector, the projection distance is extremely limited. For example, since the projection distance has become shortened with the recent realization of wide-angle lenses, the percentage of use under circumstances such that an image of a size of 50 to 100 inches is projected from a distance of 1.5 m to 3 m is high, and the brightness due to such differences in image size will only fall within the range of a fourfold difference.
[0102] Thus for example, as a threshold value, 20% of the in-image brightness in the case of projection onto the screen at a gain of 1 and at the low brightness side of the abovementioned brightness range is stored in the ROM 45 and used in judgment as the abovementioned predetermined value.
[0103] At this level of brightness, a user can adequately recognize the projected image area and the AF accuracy will fall within a practical range.
[0104] With respect to an image boundary focusing method in this embodiment and the focusing method by using projected pattern (chart image), indicated as a prior-art, when the off-image brightness is high (the environment is bright), the contrast of the boundary of the image drops and the focusing accuracy degrades. Thus by judging whether or not the brightness difference between the interior and exterior of an image is adequate, along with judging whether or not the in-image brightness is no less than a predetermined value, a judgment of whether or not good focusing conditions have been attained can be made.
[0105] When as a result of the above-described judgment, the brightness of the screen reflected light is no less than the predetermined value, the process advances to step S 115 . If the brightness of the screen reflected light is not more than the predetermined value, the process returns to step S 114 again.
[0106] At step S 115 , the controller 160 enables the acceptance of the AF operation. That is, the restriction of the focusing control is canceled. Here, the display of the full white image or the character display of “Preparing for AF” on a full white background is ended, and by the switching circuit 6 of FIG. 3 , an image corresponding to the image signals from the image signal supply apparatus 180 is displayed.
[0107] At the same time, the controller 160 makes active the AF switch on the operation panel 170 . The state of the AF switch is then detected in step S 116 .
[0108] If the AF switch is ON, the full white image is projected again and then the AF action process (S 117 ) is started, while if the AF switch is OFF, the process returns to step S 114 . As described above, in the AF action process, data on the distance to the screen 200 is obtained based on the outputs from the passive AF sensor 300 and output to the motor driver 150 to drive the focusing lens 148 .
[0109] Though in the flow of FIG. 5 , the AF control is started in accordance with the will of the operator who operates the AF switch, the flow may be modified in a manner such that when after the setting of the projector, the projection brightness becomes no less than a predetermined value and the completion of setting is detected, the AF operation is started automatically without waiting for the judgment of the AF switch.
[0110] Also, though with this embodiment, the case where the characters of “Preparing for AF” are projected and displayed on the screen 200 is described, the characters of “Preparing for AF” or other mark may be displayed on a display unit such as a liquid crystal panel (for example, the operation panel 170 ) provided on the projector.
[0111] Also, in this embodiment, the case where “Preparing for AF” is displayed while AF control is actually being restricted, that is, the case where a display indicating a state in which the AF control is restricted is performed is described. Just the display of “Preparing for AF” may be performed without restricting AF control and a display indicating a state in which AF control should be restricted may be performed. Though in both cases, the “state of restriction for AF control” is indicated, in the latter case, a user can be notified that though AF control can be performed, the AF accuracy cannot be guaranteed.
[0112] Also, though with this embodiment, the case where the brightness data of the reflected light of the projected light is obtained based on signals from the AF sensor, that is, the case where the AF sensor is used in common for brightness detection is described, a dedicated brightness detection sensor for obtaining the brightness data may be provided instead.
Embodiment 2
[0113] FIG. 6 is a flowchart illustrating the control algorithm for the initial position drive of the focusing lens and electromotive manual focusing operation in Embodiment 2 of the present invention. The flowchart of this embodiment applies to the operations of a projector, shown in FIG. 1 , that does not have the AF function, or of a projector that has the AF function but is in a state in which a mode of not using AF function is set. Components in common to Embodiment 1 are provided with the same symbols as those of Embodiment 1.
[0114] In FIG. 6 , when a power switch of an operation panel 170 is turned on (when the power is turned on (S 201 ), a controller 160 performs an initialization operation (S 202 ), and thereafter starts up an unillustrated control circuit and makes a stabilizer operate to generate a high-pressure lamp lighting voltage necessary for lighting up a light source 110 (which is a high-pressure mercury lamp here) and applies this voltage to the electrodes of the lamp 110 . Lamp lighting is thereby started (S 202 ).
[0115] Also in step S 202 , the controller 160 projects, by using the abovementioned character generator function, a full white image.
[0116] Thereafter, as in Embodiment 1, the state of an initial position drive mode switch 170 a, which sets whether or not an operation of driving a focusing lens 148 to an initial position is performed after the turning on of power and disposed on the operation panel 170 , is detected (S 203 ). If the initial position drive mode switch 170 a is set to the disabled state (the state in which the abovementioned operation of driving the focusing lens 148 is not performed), the process advances to step S 209 .
[0117] If the initial position drive mode switch 170 a is ON, that is, if the initial position drive is enabled, the ∞ (infinity) position (or, in the case where a rotation angle of a focus operation ring 146 has an infinity side tolerance angle, the position of a mechanical stopper end at the infinity side), which is the initial position data of the focusing lens 148 , is read from a ROM 45 (S 204 ), and the current lens position data is obtained from encoders 142 and 144 (see FIG. 1 ) provided on a projection lens 140 (S 205 ).
[0118] The initial position data and the current position data are then compared, and if these data match, the process advances to step S 209 . If these data do not match, a drive amount corresponding to the difference between these data is calculated (S 207 ), drive of the focusing lens 148 is performed (S 208 ), and the process returns to step S 205 and the processes from step S 206 to step S 208 are repeated until the current position data matches the initial position data.
[0119] When the current position data matches the initial position data and the initial position drive of the focusing lens 148 is completed, the detection of the lamp brightness data is started.
[0120] Since the electromotive focusing drive of the projector is set so that the drive of the entire drive range is performed in a few seconds, the operations up to this point will be completed within such a time even at the longest. However, the lamp 110 is still dark at this point and is not yet in a state in which a user can perform focusing manually.
[0121] Thus as in Embodiment 1, temperature data, which is high in correlation with the lamp brightness, is obtained as the lamp brightness data from an unillustrated temperature sensor provided near the lamp to estimate the lamp brightness and judge whether or not the lamp brightness is no less than a predetermined value (S 209 ). If the lamp brightness rises after a predetermined amount of time from the start of lamp lighting, it is assumed that lighting is successful and by using the abovementioned predetermined value, it is judged whether or not the temperature is that corresponding to a brightness which is determined from the correlation data of the rises in temperature and brightness and with which the manual focusing precision can be expected to be reliable.
[0122] Adequate judgment of the general brightness of the projection environment, including such fluctuating factors as the screen gain, lowering of brightness due to lamp life, etc., can thus be made. If the lamp brightness is less than the predetermined value, the process waits at step S 209 , that is, the focusing control is restricted, and when the lamp brightness reaches the predetermined value, the process advances to step S 210 . Electromotive focusing is thereby enabled.
[0123] Operations that are carried out in accordance with operations of unillustrated electromotive focus drive operation switches, which are provided on the operation panel 170 , are indicated in step S 210 onwards.
[0124] First, whether or not a focus infinity direction drive switch (not shown) is pressed is judged (S 210 ), and if it is pressed, the output of the focus encoder 142 is read (S 211 ) and whether or not the current position of the focusing lens 148 is the infinity end is judged (S 212 ). If the focusing lens 148 is already at the infinity end, it is not driven and the process returns to step S 210 . In other cases, the focusing lens 148 is driven in the infinity direction (S 213 ) and the process returns to step S 210 .
[0125] If it is judged in step S 210 that the focus infinity direction drive switch is not pressed, whether or not the focus close distance direction drive switch (not shown) is pressed is judged (S 214 ), and if it is pressed, the output of the focus encoder 142 is read (S 215 ) and whether or not the focusing lens 148 is currently positioned at the close distance position is judged (S 216 ). If the focusing lens 148 is already at the close distance position, it is not driven and the process returns to step S 210 . In other cases, the focusing lens 148 is driven in the close distance direction (S 217 ) and the process returns to step S 210 .
[0126] By setting the initial position of the focusing lens 148 at the infinity end as described above, when electromotive focus is to be performed upon setting of the projector, the focusing lens 148 will already be set at the infinity end when a user operates a drive switch in either the infinity or the close distance direction and the focusing lens 148 will thus always move in the direction in which the in-focus state is achieved when it operates in accordance with the switch operation. Furthermore, since the operation starts from the infinity position, the probability that the in-focus position will be reached in a shorter time than when the operation is started from the close distance end will be high for distances up to normal projection distances for a large screen.
[0127] Even if the initial position of the focusing lens 148 is set to the close distance end, the in-focus state is achieved within a time difference corresponding to the difference in the amount of extension to the normal projection distance with respect to the case where the initial position is set at the infinity end, and the effect that the in-focus state is approached in a single operation direction is likewise obtained.
[0128] Also, though the description provided here concerned operations with a projector having an electromotive manual focus mechanism, by setting the initial position of the focusing lens at the infinity end, rapid focusing, due to the abovementioned effects of “always moving in the direction in which the in-focus state is achieved” and “the amount of extension to a normal projection distance being small,” is also enabled during manual focusing in the case where a mode of not using AF function is set in a projector with an AF function and an electromotive manual focus mechanism, in the case of a projector that enables both AF and manual focusing, and in the case where, with a projector enabling focusing by electromotive and manual operations and having a projection lens that is arranged to enable operation of a manual ring, focusing is performed by operation of the manual ring.
[0129] The structure of the projector and AF method described in the respective embodiments above are simple examples and other structures and AF methods may be used instead.
[0130] As described above, with each of the above-described embodiments, the focusing control is restricted during the time for waiting for the brightness of discharge type light source such as a short arc length discharge type light source to rise.
[0131] That is, by restricting focusing control prior to the point at which a brightness state appropriate for focusing control is obtained, focusing control that may occur unstable or erroneous actions may be avoided in advance.
[0132] Also by displaying that a state is one in which focusing control should be restricted, a user can be made to recognize the reason why focusing control is not performed or that even if focusing control is performed, the focusing accuracy is not guaranteed.
[0133] Also with each of the embodiments described above, the restriction of focusing control is carried out as described above and the focusing lens is driven prior to focusing control to a predetermined drive position stored in a memory.
[0134] Here, the predetermined drive position may be set to a substantially central position of the total driving area of the focusing lens or at an hyperfocal distance upon setting the field angle at the wide-angle end at which the maximum projection size can be checked readily for adjusting the screen projection position under the initial settings. That is, the abovementioned predetermined drive position is preferably at substantially the center between a focus position when an image having the maximum dimensions is projected and a focus position when an image having the minimum dimensions is projected.
[0135] Also, the abovementioned predetermined drive position may be set a focus position corresponding to the projection distance for any of the image dimensions among a plurality of image size (for example of approximately 40 inches to 100 inches) that are determined by the vertical dimensions of a screen that can be taken up for practical purposes in a living space with a roof height of approximately 2.2 m to 3 m, which will be applicable to most projection environments, and the projection image aspect ratio of the projection type image display apparatus.
[0136] Since the initial position of the focusing lens (predetermined drive position) that satisfies the above conditions is high in the probability of existence of the projection distance for use and is high in the probability that the remaining drive amount of the focusing lens for focusing will be low, the focusing control can be performed rapidly.
[0137] Also, the predetermined drive position may be set to the infinity end, placing priority on the balance of operability during manual focusing by a user (for making the best in-focus position be always approached by rotation in one direction and making rotation in a reverse direction impossible, a movement end is preferable as the initial position of the focusing lens, and even if a directional indication is provided when manual focusing is performed, since the defocus direction will be unknown anyway, the wasteful reverse direction operation that occurs at a probability of ½ is consequently eliminated) and the effect of reducing the drive amount for focusing (since projection to a screen size of a minimum of several dozen inches is performed in most cases with a projector for large images, the extension amount to a position corresponding the abovedescribed projection distance from the infinity end is generally lower than that from the close distance end). That is, in the case where a mode of not performing focusing control can be set, the abovementioned predetermined drive position can be set to the infinity position when this mode is set.
[0138] The setting of the abovementioned predetermined drive position at the infinity position is thus advantageous for speeding up manual focusing and eliminating uncomfortable focus operations in the reverse direction and enables improvement of the operability in performing focusing operation by means of a motor or by hand.
[0139] By enabling a user to select the initial position of focusing lens, initial position setting that corresponds to the choices of the user and normally-used projection distance is enabled.
[0140] Also, even if focusing control is not performed, the focusing lens may be driven to the abovementioned predetermined drive position stored in the memory in accordance with the turning on of the power of the apparatus.
[0141] By thus driving the focusing lens to the predetermined drive position upon turning on of the power, it becomes possible to perform subsequent apparatus setting work, AF operation, manual focusing operation, etc., rapidly.
[0142] By equipping such functions as described above, high focusing accuracy can be maintained constantly during use and a projection type image display apparatus or the entirety of an image display system that includes the projection type image display apparatus can be made high in performance. | An image projection apparatus is disclosed with which problems, caused by performing focusing control in a state in which the light amount of a light source is insufficient, can be avoided. The image projection apparatus comprises a controller, performing focusing control of a projection optical system, and a brightness detector which detects at least one of a brightness of the light source and a brightness of a reflected light on a projection surface. After turning the light source on, the controller restricts the focusing control until the brightness detected by the brightness detector reaches a predetermined value. | 65,060 |
[0001] This application is based upon and claims the benefit of priority from Japanese patent application No. 2011-267988, filed on Dec. 7, 2011, the disclosure of which is incorporated herein in its entirety by reference.
BACKGROUND OF THE INVENTION
[0002] 1. Field of the Invention
[0003] This invention relates to a semiconductor device.
[0004] 2. Description of Related Art
[0005] In recent years, with miniaturization of electronic equipment embedding semiconductor devices or the like, demand for fining of the semiconductor devices has been intensifying. Therefore, development of the semiconductor devices advances in which a plurality of semiconductor chips are stacked over and the plurality of semiconductor chips are connected via penetration electrodes.
[0006] In general, in the semiconductor device in which the plurality of semiconductor chips are stacked over, in order to prevent bumps for connecting the semiconductor chips from rupturing resulting from a warp of the semiconductor chip, dummy bumps or reinforcing bumps (which will later be called “dummy bumps” also including the reinforcing bumps) are formed on each semiconductor chip (see, JP-A 2010-161102 which will be called Patent Document 1 and which corresponds to US 2010/0171208 A1).
[0007] However, in a case where semiconductor chips having different sizes such as a logic chip and a memory chip of Patent Document 1 are stacked over, dummy bumps formed on one semiconductor chip may be positioned to edges (edge portions) of another semiconductor chip and it is feared that crack occurs in the edge portions of the other semiconductor chip in the manner which will later be described in conjunction with FIGS. 9A and 9B .
SUMMARY
[0008] In one aspect of the present invention, there is provided a device that includes first and second semiconductor chips. The first semiconductor chip includes an edge defining a periphery of the first semiconductor chip. The second semiconductor chip is greater in size than the first semiconductor chip. The second semiconductor chip is stacked over the first semiconductor chip so that the second semiconductor chip hangs over from the edge of the first semiconductor chip. The second semiconductor chip includes a plurality of upper layer wiring patterns, a first insulating film, and one or more main surface bump electrodes. The plurality of upper layer wiring patterns includes a first wiring pattern that positions over the edge of the first semiconductor chip. The first insulating film covers the upper layer wiring patterns. The first insulating film includes one or more holes that expose one or more the upper layer wiring patterns. The one or more main surface bump electrodes are formed on the one or more the upper layer wiring patterns. Remaining one or ones of the upper layer wiring patterns are kept covered by the first insulating layer. The remaining one or ones of the upper layer wiring patterns include the first wiring pattern.
[0009] In another aspect of the present invention, there is provided a device that includes first and second semiconductor chips. The first semiconductor chip includes an edge defining a periphery of the first semiconductor chip. The second semiconductor chip is greater in size than the first semiconductor chip. The second semiconductor chip is stacked over the first semiconductor chip so that the second semiconductor chip hangs over from the edge of the first semiconductor chip. The second semiconductor chip includes a plurality of upper layer wiring patterns, one ore more main surface bump electrodes. The upper layer wiring patterns include a first wiring pattern that positions over the edge of the first semiconductor chip. The one or more main surface bump electrodes are formed on one or more the upper layer wiring patterns to be in contact respectively with the one or more the upper layer wiring patterns. Remaining one or ones of the upper layer wiring patterns are free from being in contact with any one of the main surface bump electrodes.
BRIEF DESCRIPTION OF THE DRAWINGS
[0010] The above features and advantages of the present invention will be more apparent from the following description of certain preferred embodiments taken in conjunction with the accompanying drawings, in which:
[0011] FIG. 1 is a sectional view of a semiconductor device according to a first exemplary embodiment of this invention;
[0012] FIG. 2 is a plan vies of a semiconductor chip according to a first exemplary embodiment of this invention;
[0013] FIG. 3A is a sectional view of the semiconductor chip according to the first exemplary embodiment of this invention;
[0014] FIG. 3B is a bottom view of the semiconductor chip according to the first exemplary embodiment of this invention;
[0015] FIG. 4A is a sectional view of the semiconductor chip according to the first exemplary embodiment of this invention;
[0016] FIG. 4B is a bottom view of the semiconductor chip according to the first exemplary embodiment of this invention;
[0017] FIG. 4C is a plan view showing a stacked state of the semiconductor chip according to the first exemplary embodiment of this invention;
[0018] FIG. 5A is a sectional view of the semiconductor chip according to a second exemplary embodiment of this invention;
[0019] FIG. 5B is a bottom view of the semiconductor chip according to the second exemplary embodiment of this invention;
[0020] FIG. 5C is a plan view showing a stacked state of the semiconductor chip according to the second exemplary embodiment of this invention;
[0021] FIG. 6A is a sectional view of a design stage of the semiconductor chip according to a second exemplary embodiment of this invention;
[0022] FIG. 6B is a bottom view of the design stage of the semiconductor chip according to the second exemplary embodiment of this invention;
[0023] FIG. 6C is a plan view showing a stacked state of the design stage of the semiconductor chip according to the second exemplary embodiment of this invention;
[0024] FIG. 7 is a sectional view of the semiconductor chip according to the second exemplary embodiment of this invention;
[0025] FIG. 8A is a plan view of a semiconductor chip according to an exemplary embodiment of this invention;
[0026] FIG. 8B is a plan view of a semiconductor chip according to an exemplary embodiment of this invention;
[0027] FIG. 9A is a plan view of a related semiconductor chip; and
[0028] FIG. 9B is a sectional view of a stacked state of the related semiconductor chip.
DETAILED DESCRIPTION OF PREFERRED EMBODIMENTS
[0029] Before describing of the present invention, the related art will be explained in detail with reference to FIGS. 9A and 9B in order to facilitate the understanding of the present invention.
[0030] A related semiconductor device comprises a first semiconductor chip 101 and two second semiconductor chips 102 each of which has a plane size larger than that of the first semiconductor chip 101 . The first semiconductor chip 101 has edges 101 a which extend parallel to each other in a predetermined direction. Each second semiconductor chip 102 comprises dummy bumps 103 .
[0031] When the two second semiconductor chips 102 are stacked over the first semiconductor chip 101 , there is a case where the dummy bumps 103 of a lower one of the second semiconductor chips 102 make contact with the edges 101 a of the first semiconductor chip 101 that are disposed in the inside of the second semiconductor chips 102 on viewing a plane. As a result, it is feared that any crack occurs the first semiconductor chip 101 . In FIG. 9A , the first semiconductor chip 101 is depicted at a broken line.
[0032] The invention will be now described herein with reference to illustrative embodiments. Drawings used in the following description are for describing configurations of exemplary embodiments of this invention, and therefore sizes, thicknesses, dimensions, or the like of respective parts illustrated may be different from relationships of actual sizes. In addition, materials or the like illustrated in the following description are one examples, this invention is not always limited thereto. Those skilled in the art will recognize that many alternative embodiments can be accomplished using the teachings of the present invention and that the invention is not limited to the embodiments illustrated for explanatory purposes.
FIRST EXEMPLARY EMBODIMENT
[0033] As shown in FIG. 1 , a semiconductor device 1 according to a first exemplary embodiment of this invention comprises a wiring substrate 2 having a main surface 2 a and a rear surface 2 b, a plurality of semiconductor chips 3 , 4 , and 5 which are stacked over the main surface 2 a (one surface) of the wiring substrate 2 , a sealing resin 6 which is formed on the main surface 2 a of the wiring substrate 2 and which covers the respective semiconductor chips 3 , 4 , and 5 , and external terminals 7 formed on the rear surface 2 b (another surface) of the wiring substrate 2 .
[0034] The wiring substrate 2 may comprise a circuit board, for example, an interposer or the like, comprising a resin in which a re-wiring layer is formed. Though the re-wiring layer formed in the wiring substrate 2 , the semiconductor chip 3 stacked over the main surface 2 a of the wiring substrate 2 and the external terminals 7 formed on the rear surface 2 b of the wiring substrate 2 are electrically connected to each other.
[0035] The semiconductor chip 3 , that is stacked on the wiring substrate 2 , comprises a logic chip such as, for example, a system on chip (SOC). The semiconductor chip 4 , that is stacked on the semiconductor chip 3 , comprises a memory chip such as, for example, a dynamic random access memory (DRAM). he semiconductor chip 5 , that is stacked on the semiconductor chip 4 , similarly comprises a memory chip such as, for example, a dynamic random access memory (DRAM).
[0036] The semiconductor chip 4 and the semiconductor chip 5 are substantially equal in size to each other. Compared with the semiconductor chips 4 and 5 , the semiconductor chip 3 has a smaller plane size. Specifically, on viewing cross section, the semiconductor chip 3 has a length in a width direction (a transversal direction in FIG. 1 ) which is shorter than that of each of the semiconductor chips 4 and 5 .
[0037] The semiconductor chips 3 , 4 , and 5 respectively have main surfaces 3 a, 4 a, and 5 a (one surfaces) on which a plurality of main surface bump electrodes 8 , 9 , and 10 are formed, respectively. The semiconductor chips 3 , 4 , and 5 respectively have rear surfaces 3 b, 4 b, and 5 b (other surfaces) on which a plurality of rear surface bump electrodes 11 , 12 , and 13 are formed, respectively. Although FIG. 1 illustrates an example in which the respective semiconductor chips 3 , 4 , and 5 are implemented so that the main surfaces 3 a, 4 a, and 5 a (the one surfaces) of the respective semiconductor chips 3 , 4 , and 5 are disposed to upper side while the rear surfaces 3 b, 4 b, and 5 b (the other surfaces) of the respective semiconductor chips 3 , 4 , and 5 are disposed to lower side, namely, illustrates an example in which the respective semiconductor chips 3 , 4 , and 5 are implemented in a face-up type, this invention is not limited thereto. Specifically, the respective semiconductor chips 3 , 4 , and 5 may be implemented so that the rear surfaces 3 b, 4 b, and 5 b (the other surfaces) of the respective semiconductor chips 3 , 4 , and 5 are disposed to upper side while the main surfaces 3 a, 4 a, and 5 a of the respective semiconductor chips 3 , 4 , and 5 are disposed to lower side, namely, the respective semiconductor chips 3 , 4 , and 5 may be implemented in a flip-chip type.
[0038] Among the plurality of bump electrodes 8 to 13 , the bump electrodes electrically connected to internal circuits 14 formed in the respective semiconductor chips 3 , 4 , and 5 serve as a part of penetration electrodes 15 (Through Silicon Via; TSV). That is, the bump electrodes electrically connected to the internal circuits 14 formed in the respective semiconductor chips 3 , 4 , and 5 act to convey, to the internal circuits, signals and power supply voltages supplied from the external of the semiconductor chips via the external terminals or the other semiconductor chips.
[0039] On the other hand, the bump electrodes, which are not electrically connected to the internal circuits 14 , are dummy bump electrodes 16 . The dummy bump electrodes 16 are so that edge portions 3 c, 4 c, and 5 c of the respective semiconductor chips 3 , 4 , and 5 do not hit to each other in a case of stacking over the semiconductor chips 3 , 4 , and 5 . In the embodiment, the dummy bump electrodes 16 are disposed so as to not overlap (hit) with the edge portions 3 c of the semiconductor chip 3 , this will be described in detail, below.
[0040] Although FIG. 1 illustrates an example where the dummy bump electrodes 16 are not electrically connected to the internal circuits, this invention is not limited thereto. It may be also possible to give still further stability to a power supply potential of the semiconductor device 1 by configuring so that the dummy bump electrodes are connected to power supply lines within the semiconductor chips. In either case, the dummy bump electrodes 16 have a function so that the edge portions 3 c, 4 c, and 5 c of the respective semiconductor chips 3 , 4 , and 5 do not hit to each other in the case of stacking over the semiconductor chips 3 , 4 , and 5 .
[0041] Although the description has been made about a case where the three semiconductor chips are stacked over the wiring substrate 2 in this exemplary embodiment, the number of the semiconductor chips is not limited thereto, and any number of the semiconductor chips may be stacked over the wring substrate 2 . In addition, although the description has been made about a case where the semiconductor chip disposed to the wiring substrate 2 at the closest position comprises the logic chip in this exemplary embodiment, alternatively the semiconductor chip in question may comprise a memory chip and the logic chip may be disposed between the memory chips.
[0042] Now, the description will proceed to a configuration in a plane of the semiconductor chip 4 .
[0043] As illustrated in FIG. 2 , the semiconductor chip 4 has a configuration of the so-called Wide-IO DRAM and has a configuration where two or more (four in FIG. 2 ) DRAMs are disposed on a semiconductor substrate. In the description below, the description will be made as regards such that the respective DRAMs are referred to as first through fourth channels 21 A, 21 B, 21 C, and 21 D, respectively,
[0044] Each of the first through the fourth channels 21 A to 21 D comprises a penetration electrode array (TSV array) 22 in which the penetration electrodes 15 comprising a plurality of terminals for transmitting and receiving data, a command, and an address are disposed, and a storage area portion 23 including an internal control circuit and a memory cell array.
[0045] Each of the first through the fourth channels 21 A to 21 D can independently operate various operations such as a read operation, a write operation, a refresh operation, and so on under a control of a control circuit in the semiconductor chip 3 disposed at a lower side of the semiconductor chip 4 .
[0046] The semiconductor chip 4 comprises two or more (four in FIG. 4 ) dummy bump array areas (DB arrays) 24 each of which includes a plurality of dummy bump electrodes 16 .
[0047] Each of the dummy bump array areas 24 is provided for a corresponding one of the first through the fourth channels 21 A to 21 D. Each of the dummy bump array areas 24 is disposed between the storage area portion 23 of the corresponding one of channels 21 A to 21 D and a circumferential edge portion of the semiconductor chip 4 . In other words, the internal control circuit and the memory cell array are not disposed between each dummy bump array area 24 and a peripheral portion of the semiconductor chip 4 that is closest thereto.
[0048] Although FIG. 2 illustrates a case where the dummy bump array areas 24 are disposed in proximity to respective four corners of the semiconductor chip 4 having a rectangular shape, this invention is not limited thereto.
[0049] For example, it is acceptable to configure so that the respective dummy bump areas 24 are disposed only in proximity to a pair of (two) corners in the four corners of the semiconductor chip 4 having the rectangular shape that are positioned in a diagonal line.
[0050] Although a chip configuration of the Wide-IO DRAM is illustrated as an example of the semiconductor chip 4 , this invention is not limited thereto.
[0051] Now, the description will proceed to a cross-sectional configuration of the storage area portion 23 of the semiconductor chip 4 .
[0052] As shown in FIGS. 3A and 3B , the storage area portion 23 of the semiconductor chip 4 comprises the semiconductor substrate 31 , first through fifth interlayer insulating films 32 , 33 , 34 , 35 , and 36 , first through fourth wiring layers 37 , 38 , 39 , and 40 constituting a multi-level wiring structure, a polyimide layer 41 , a rear surface insulating layer 42 , a plurality of main surface bump electrodes 9 , a plurality of rear surface bump electrodes 12 , a plurality of substrate through conductors 17 , and insulating rings 43 formed in the semiconductor substrate 31 .
[0053] The first interlayer insulating film 32 is provided on a main surface 31 a (one surface) of the semiconductor substrate 31 , the first wiring layer 37 having a predetermined pattern is formed on the first interlayer insulating film 32 and serves as lower layer wiring patterns 51 . In addition, the second interlayer insulating film 33 is provided on the first interlayer insulating film 32 so as to cover the first wiring layer 37 , and the second wiring layer 38 having a predetermined pattern is formed on the second interlayer insulating film 33 .
[0054] Likewise, the third interlayer insulating film 34 is provided on the second interlayer insulating film 33 so as to cover the second wiring layer 38 , the third wiring layer 39 is formed on the third interlayer insulating film 34 , the fourth interlayer insulating film 35 is provided on the third interlayer insulating film 34 so as to cover the third wiring layer 39 , the fourth wiring layer 40 is formed on the fourth interlayer insulating film 35 , and the fifth interlayer insulating film 36 (the insulating film) is provided on the fourth interlayer insulating film 35 so as to cover the fourth wiring layer 40 .
[0055] In addition, the second, the third, and the fourth wiring layers 38 , 39 , and 40 comprise layers including first intermediate layer wiring patterns 52 , second intermediate layer wiring patterns 53 , and upper layer wiring patterns 54 , respectively.
[0056] In addition, the polyimide layer 41 is formed on the fifth interlayer insulating film 36 . The polyimide layer 41 has opening portions 41 a at positions corresponding to the upper layer wiring patterns 54 . The rear surface insulating film 42 is formed on a rear surface 31 b (another surface) of the semiconductor substrate 31 that is on the other side of the main surface 31 a thereof. The rear surface insulating film 42 has opening portions 42 a at positions corresponding to the lower layer wiring patterns 51 .
[0057] The main surface bump electrodes 9 are formed in the opening portions 41 a. The main surface bump electrodes 9 are electrically connected to the upper layer wiring patterns 54 by penetrating the fifth interlayer insulating film 36 .
[0058] In addition, the substrate through conductors 17 and the rear surface bump electrodes 12 are formed in the opening portions 42 a. The substrate through conductors 17 and the rear surface bump electrodes 12 are electrically connected to the lower layer wiring patterns 51 by penetrating the semiconductor substrate 31 and the first interlayer insulating film 32 . The rear surface bump electrodes 12 are exposed from the rear surface 31 b of the semiconductor substrate 31 .
[0059] Within the semiconductor chip 4 , the internal circuits 14 are mainly provided in the semiconductor substrate 31 and in the first interlayer insulating film 32 . The internal circuits 14 , the main surface bump electrodes 9 , and the rear surface bump electrodes 12 are electrically connected to each other via various types of plugs, the first through the fourth wiring layers 37 to 40 , and the substrate through conductors 17 . In the manner which is described above, the bump electrodes 9 , 12 and the substrate through conductors 17 , which are formed in the storage area portion 23 , are electrically connected to the internal circuits 14 , and therefore serve as the penetration electrodes 15 .
[0060] In addition, the insulating rings 43 are formed in the semiconductor substrate 31 so as to surround the substrate through conductors 17 . The insulating rings 43 have a function for preventing currents flowing through the substrate through conductors 17 from flowing in the semiconductor substrate 31 .
[0061] Now, the description will proceed to a cross-sectional configuration of the dummy bump array area 24 of the semiconductor chip 4 .
[0062] As shown in FIGS. 4A and 4B , the dummy bump array area 24 of the semiconductor chip 4 also comprises the semiconductor substrate 31 , the first through the fifth interlayer insulating films 32 to 36 , the first through the fourth wiring layers 37 to 40 , the polyimide layer 41 , the rear surface insulating layer 42 , the plurality of main surface bump electrodes 9 , the plurality of rear surface bump electrodes 12 , the plurality of substrate through conductors 17 , and the insulating rings 43 formed in the semiconductor substrate 31 . The dummy bump array area 24 is basically similar in structure to the storage area portion 23 . Hereafter, the description will be omitted as regards parts similar to the storage area portion 23 as appropriate.
[0063] In the dummy bump array area 24 , the main surface bump electrodes 9 , the rear surface bump electrodes 12 , and the substrate through conductors 17 are not electrically connected to the internal circuits 14 , and serve as the dumpy bump electrodes 16 .
[0064] FIG. 4A illustrates an example where first through third main surface bump electrodes 9 a, 9 c, and 9 d, first through third rear surface bump electrodes 12 a, 12 c, and 12 d, and first through third substrate through conductors 17 a, 17 c, and 17 d are formed. It will be assumed that a distance between the first rear surface bump electrode 12 a and the second rear surface bump electrode 12 c is represented by b while a distance between the second rear surface bump electrode 12 c and the third rear surface bump electrode 12 d is represented by a. Under the circumstances, the distance b is longer than the distance a and it is preferable that the distance b is longer than a distance obtained by adding a diameter of the rear surface bump electrode 12 to a length which is double in the distance a.
[0065] The illustrated dummy bump array area 24 of the semiconductor chip 4 comprises lower layer wiring patterns 51 a, 51 b, 51 c, 51 d, first intermediate layer wiring patterns 52 a, 52 b, 53 c, 53 d, second intermediate layer wiring patterns 53 a, 53 b, 53 c, 53 d, and upper layer wiring patterns 54 a, 54 b, 54 c, 54 d (a plurality of wiring patterns). Hereafter, a particular lower layer wiring pattern 51 n (n=a, b, c, d), the first intermediate layer wiring pattern 52 n (n=a, b, c, d) positioned thereabove, the second intermediate layer wiring pattern 53 n (n=a, b, c, d) positioned thereabove, the upper layer wiring pattern 54 n (n=a, b, c, d) positioned thereabove, and the plugs for electrically connecting them are collectively called a wiring pattern portion 55 n (n=a, b, c, d). The description will be made on the assumption that the illustrated dummy bump array area 24 comprises four wiring pattern portions 55 n (n=a, b, c, d).
[0066] The four lower layer wiring patterns 51 a, 51 b, 51 c, 51 d are spaced uniformly and are disposed so that a distance between adjacent two of the lower layer wiring patterns 51 a, 51 b, 51 c, 51 d is equal to a 1 . Likewise, the four upper layer wiring patterns 54 a, 54 b, 54 c, 54 d are spaced uniformly and are disposed so that a distance between adjacent two of upper layer wiring patterns 54 a, 54 b, 54 c, 54 d is equal to a 2 .
[0067] Herein, it is preferable that the distance a between the rear surface bump electrode 12 c and the rear surface bump electrode 12 d is shorter than the distance a 1 between the adjacent two of the lower layer wiring patterns 51 a, 51 b, 51 c, 51 d, namely, the rear surface bump electrode 12 is larger in size than the lower layer wiring patterns 51 a, 51 b, 51 c, 51 d.
[0068] Among the four wiring pattern portions 55 a, 55 b, 55 c, 55 d, the first, the third, and the fourth wiring pattern portions 55 a, 55 c, and 55 d are connected to the first through the third main surface bump electrodes 9 a, 9 c, and 9 d, respectively, and are connected to the first through the third rear surface bump electrodes 12 a, 12 c, and 12 c, respectively.
[0069] On the other hand, the remaining one wiring pattern portion 55 b (the second wiring pattern portion from the left in FIG. 4A ) is not provided with the main surface bump electrode, with the substrate through conductor, and with the rear surface bump electrode.
[0070] In addition, the second wiring pattern portion 55 b is configured so as to be disposed over the edge 3 c of the semiconductor chip 3 (see, FIG. 1 ) which is disposed at the lower side of the semiconductor chip 4 . In other words, a second lower layer wiring pattern 51 b (the second wiring portion 55 b ) is disposed at a position which overlaps to the edge 3 c of the semiconductor chip 3 on viewing plane as shown in FIG. 4C .
[0071] In the manner which is described above, in this exemplary embodiment, the dummy bump array area 24 is configured to comprise at least one of the plurality of lower layer wiring patterns 51 that is not connected to the substrate through conductors, and to the rear surface bump electrodes.
[0072] As a result, upon stacking over the semiconductor chip 4 , the lower layer wiring patterns 51 , which are not connected to the rear surface bump electrodes, are disposed over the edge 3 c of the semiconductor chip 3 disposed at the lower side thereof, it is therefore possible to prevent any crack from occurring in the edge portion 3 c of the semiconductor chip 3 disposed at the lower side thereof.
[0073] Furthermore, in the manner which is described above, in this exemplary embodiment, the dummy bump array area 24 is configured to comprise at least one of the plurality of upper layer wiring patterns 54 that are not connected to the main surface bump electrodes.
[0074] As a result, upon stacking over the semiconductor chip 4 over the semiconductor chip 3 in the flip-chip type, it is possible to prevent any crack from occurring in the edge 3 c of the semiconductor chip 3 disposed at the lower side thereof, it is therefore possible to prevent any crack from occurring in the edge 3 c of the semiconductor chip 3 disposed at the lower side thereof.
[0075] In addition, in structure of the semiconductor chip 4 according to this exemplary embodiment, it is possible to design, in a designing stage, the semiconductor chip 4 so that the plurality of main surface bump electrodes 9 and the plurality of rear surface bump electrodes 12 are disposed at substantially equal intervals (a in FIG. 4A ) and thereafter to do not provide with only the main surface bump electrodes 9 , the rear surface bump electrodes 12 , and the substrate through conductors 17 which are scheduled to provide at the positions overlapping to the edge 3 c of the semiconductor chip 3 in plane with regard to a size of the semiconductor chip 3 stacked.
[0076] And, at this time, by stopping only formation of the main surface bump electrodes 9 , the rear surface bump electrodes 12 , and the substrate through conductors 17 while leaving the wiring pattern portions 55 without deleting the wiring pattern portions 55 , it is possible to enjoy an effect so as to circumvent the need to redesign wiring layers included in the multi-level wiring structure and to change mask for manufacturing the wiring layers included in the multi-level wiring structure.
SECOND EXEMPLARY EMBODIMENT
[0077] Referring now to FIG. 5A , 5 B, 5 C, 6 A, FIGS. 6B , and 6 C, the description will proceed to a semiconductor device according to a second exemplary embodiment of this invention. The second exemplary embodiment is a modified example of the first exemplary embodiment and therefore the description will be omitted as regards to similar parts as appropriate. Also in the second exemplary embodiment, the description will proceed to the semiconductor device in which a semiconductor chip 4 A is stacked over the semiconductor chip 3 as shown in FIG. 1 .
[0078] The dummy bump array area 24 of the semiconductor chip 4 A according to the second exemplary embodiment is different from that according to the first exemplary embodiment and is formed so that each of a lower layer wiring pattern 61 , a first intermediate layer wiring pattern 62 , a second intermediate layer wiring pattern 63 , and an upper layer wiring pattern 64 is continuous (contiguous).
[0079] Other configurations are similar to those of the first exemplary embodiment. A distance between the first rear surface bump electrode 12 a and the second rear surface bump electrode 12 c is equal to b while a distance between the second surface bump electrode 12 c and the third rear surface bump electrode 12 d is equal to a. Specifically, the dummy bump array area 24 of the semiconductor chip 4 A according to the second exemplary embodiment is configured so that only one of the rear surface bump electrodes 12 spaced uniformly (one depicted at a broken line at the second position from the left in FIG. 5A ) is eliminated.
[0080] As shown in FIG. 5C , upon stacking the semiconductor chip 4 A over the semiconductor chip 3 , the semiconductor device according to the second exemplary embodiment is configured so that the rear surface bump electrode 12 is not provided to at a position which overlaps to the edge portion 3 c of the semiconductor chip 3 on viewing plane.
[0081] In the manner which is similar to the first exemplary embodiment, in the second exemplary embodiment, it is possible to prevent any crack from occurring in the edge portion 3 c of the semiconductor chip 3 disposed at the lower side because the bump electrodes are not connected above the edge portion 3 c of the semiconductor chip 3 disposed to the lower side upon stacking over the semiconductor chip.
[0082] Inasmuch as the semiconductor device according to the second exemplary embodiment is configured so that the respective wiring patterns 61 to 64 become continuous wiring layers, it is possible to provide the main surface bump electrodes 9 , the rear surface bump electrodes 12 , and the substrate through conductors 17 at any positions in the dummy bump array area 24 without redesigning the wiring layers included in the multi-level wiring structure and without changing masks for manufacturing the multilayer wiring layer.
[0083] In the first exemplary embodiment, the description has been made about that it is possible to prevent any edge crack of the semiconductor chip 3 without redesigning the wiring layers included in the multi-level wiring structure by deleting only the main surface bump electrodes 9 , the rear surface bump electrodes 12 , and substrate through conductors 17 which are located at the position overlapping to the edge portion 3 c of the semiconductor chip 3 in plane.
[0084] It is perfectly understandable that the number of the bump electrodes 9 and 12 decrease by deleting the bump electrodes 9 and 12 , and it is therefore feared that the entire strength for supporting the semiconductor chip 5 stacked over the semiconductor chip 4 decreases.
[0085] Hence, the semiconductor device according to the second exemplary embodiment not only deletes the bump electrodes 9 and 12 located at the position overlapping to the edge portion 3 c of the semiconductor chip 3 in plane but also can make alternative bump electrodes 9 and 12 and alternative substrate through conductors 17 at positions which do not overlap to the edge portion 3 c of the semiconductor chip 3 instead of the deleted bump electrodes 9 and 12 .
[0086] More specifically, the semiconductor device first is designed in a design stage so that a plurality of bump electrodes are disposed at substantially equal intervals one another as shown in FIGS. 6A , 6 B, and 6 C. Subsequently, if the bump electrodes overlap to the edge portion 3 c of the semiconductor chip 3 stacked in plane, only the overlapped bump electrodes 9 and 12 and overlapped substrate through conductors 17 may be moved to other positions as shown in an arrow X of FIG. 5A .
[0087] In other words, the semiconductor chip 4 A is configured so as to easily move the bump electrodes 9 and 12 and the substrate through conductors 17 to any positions in the predetermined dummy bump array area 24 .
[0088] For this reason, even if the edge portion 3 c of the semiconductor chip 3 and the rear surface bump electrodes 12 of the semiconductor chip 4 A overlap to each other, it is possible to prevent any crack of the semiconductor chip 3 without decreasing the entire strength for supporting the semiconductor chip 5 .
[0089] Although the description has been made about a case where any of the lower layer wiring pattern 61 , the first intermediate layer wiring pattern 62 , the second intermediate wiring pattern 63 , and the upper layer wiring pattern 64 is formed so as to be continuous, this invention is not limited thereto. For example, the respective intermediate layer wiring patterns may not be formed or the respective intermediate layer wiring patterns may be formed as a particular pattern 71 as shown in FIG. 7 .
[0090] This is because it is sufficient that there are only the lower layer wiring pattern 61 (on forming the substrate through conductors 17 and the rear surface bump electrodes 12 ) and the upper layer wiring pattern 64 (on forming the main surface bump electrodes 9 ) each of which serves as an edge stopper on forming in order to form the lower layer wiring pattern 61 , the first intermediate layer wiring pattern 62 , the second intermediate layer wiring pattern 63 , and the upper layer wiring pattern 64 , and there is no inconvenience even if the respective intermediate layer wiring patterns have any structure.
[0091] In addition, by deleting the respective intermediate layer wiring patterns, it is possible to use, as a region for arranging normal interconnection lines (power supply lines or signal lines), the second layer 38 and the third layer 39 among the multi-level wiring structure of the dummy bump array area 24 .
[0092] Although the invention has been particularly shown and described with reference to exemplary embodiments thereof, the invention is not limited to these embodiments. It will be understood by those of ordinary skill in the art that various changes in form and details may be made therein without departing from the sprit and scope of the present invention as defined by the claims.
[0093] For example, this invention may be applicable to a semiconductor chip which composes a stacked semiconductor device and which comprises a dummy bump array (a plurality of dummy bump electrodes) for preventing chip edges from making contact with semiconductor chips stacked upper side and lower side and itself.
[0094] In addition, the dummy bump array areas 24 may be disposed in four corners of the rectangular semiconductor chip 4 so as to form an L-shape along the respective corners as shown in FIG. 8A and may be formed at areas extending toward a center from the middle of respective four sides of the rectangular semiconductor chip 4 as shown in FIG. 8B .
[0095] By configuring in such as a manner, it is possible to move not only in the longitudinal direction but also in the transversal direction on changing arrangement positions of the bump electrodes.
[0096] Furthermore, the semiconductor chip according to this invention may comprise the wiring pattern portions 55 formed in the dummy bump array areas 24 some of which are not connected to the main surface bump electrodes or the substrate through conductors, or the rear surface bump electrodes.
[0097] More specifically, when the semiconductor chip is stacked over in the flip-chip type, the semiconductor chip according to this invention may be configured so that the substrate through conductors and the rear surface bump electrodes are formed to the respective lower layer wiring patterns 51 of the plurality of wiring pattern portions 55 formed in the dummy bump array areas 24 while the main surface bump electrodes are not formed to at least one upper layer wiring pattern 54 of the plurality of wiring pattern portions 55 .
[0098] Likewise, when the semiconductor chip is stacked over in the face-up type, the semiconductor chip according to this invention may be configured so that the main surface bump electrodes are formed to the respective upper layer wiring patterns 54 of the plurality of wiring pattern portions 55 formed in the dummy bump array areas 24 while the substrate through conductors and the rear surface bump electrodes are not formed to at least one lower layer wiring pattern 51 of the plurality of wiring pattern portions 55 .
[0099] That is to say, in a case of implementing the semiconductor chip 4 on the semiconductor chip 3 , among the plurality of main surface bump electrodes and the plurality of rear surface bump electrodes which form the plurality of dummy bump electrodes formed in the dummy bump array areas 24 of the semiconductor chip 4 , by eliminating at least one of the main surface bump electrodes 9 or the rear surface bump electrodes 12 that is formed at a surface of the semiconductor chip 4 that is opposed to the semiconductor chip 3 , namely, by eliminating the main surface bump electrodes 9 or the rear surface bump electrodes 12 which are positioned at edges of the semiconductor chip 3 , it is possible to suppress any crack from occurring in the edges of the semiconductor chip 3 .
INDUSTRIAL APPLICABILITY
[0100] This invention may be widely used in manufacturing industries for manufacturing semiconductor devices because this invention relates to the semiconductor device. | A device includes first and second semiconductor chips. The first semiconductor chip includes an edge defining a periphery of the first semiconductor chip. The second semiconductor chip is greater in size than the first semiconductor chip. The second semiconductor chip is stacked over the first semiconductor chip so that the second semiconductor chip hangs over from the edge of the first semiconductor chip. The second semiconductor chip includes a plurality of wiring patterns including a first wiring pattern that positions over the edge of the first semiconductor chip, an insulating film which covers the wiring patterns and which includes on or more holes that expose one or more the wiring patterns, and one or more bump electrodes formed on the one or more the wiring patterns. Remaining one or ones of the wiring patterns is kept covered by the insulating layer and includes the first wiring pattern. | 41,405 |
FIELD OF THE INVENTION
[0001] This invention relates to hiking, skiing, snowboarding, or traveling in snow and more particularly relates to enabling the use of ski poles in soft, deep snow to regain or maintain balance or footing.
BACKGROUND
Description of the Related Art
[0002] When hiking, skiing or traveling through snow, travelers often experience difficulties and dangers associated with soft, deep snow. Snow may accumulate to be deeper than the height of a grown adult and may be soft enough that a human would sink over his or her head in snow and find it difficult to get air. In addition, the cold temperature, quick loss of heat, and extreme struggle necessary to get out of deep powder can lead to delay in travels, extreme exhaustion, or even death. Even soft snow with depths much less than the height of a human can necessitate extreme effort to travel and often cause dangers.
[0003] Often individuals who travel on snow use snow traversing devices to make it easier to stay on top of the snow and lower the energy that must be expended to travel even small distances. These devices generally operate by spreading the weight of the user over a larger surface area than would be available from the soles of the feet alone. Some of those most well known in the art include snowshoes, skis, and snowboards. For example, snowshoes have a much greater surface area than a normal shoe or boot. This spreads an individual's weight over an increased area of snow and allows for greater “flotation” on the surface. The shoes are also shaped generally with a curved up tip in the front which reduces drag as an individual walks. The increased area and curved up tip are very common to snow traversing devices including snowshoes, skis, snowboards, and the like. These features allow for extremely reduced energy requirements to travel a given distance when compared with travel on normal shoes only. So long as the user remains on his or her feet the devices help the individuals to remain on or near the surface of the snow.
[0004] However, given that the snow traversing devices are much different from normal shoes worn by individuals when walking or traveling, and given that the terrain upon which an individual is walking can be very unpredictable, it can be difficult to maintain balance. Individuals often fall when using snow traversing devices. Thus, it often is necessary for an individual to steady himself or stand after a fall using his arms and poles. The poles may allow an individual to maintain balance when he would otherwise fall by holding onto one end of the pole and pushing the distal end into the ground or another hard surface.
[0005] In deep and soft snow, however, the poles provide little or no assistance because there are no hard surfaces accessible to the individual. Pushing the distal end of a pole into the snow is useless because is simply sinks into the snow. Although many ski poles have baskets on the end to increase surface area, the surface area is usually far too little to make any difference. The problem is that a basket large enough to provide sufficient support is unwieldy and awkward. Thus, snow travelers tend to make do with smaller baskets and little or no support for the upper body when in deep snow.
SUMMARY
[0006] From the foregoing discussion, it should be apparent that a need exists for an apparatus and system for maintaining or regaining balance in soft snow. Beneficially, such an apparatus, system, and method would overcome the above mentioned deficiencies of poles that simply sink into soft snow and lack support to balance the upper body.
[0007] The present invention has been developed in response to the present state of the art, and in particular, in response to the problems and needs in the art that have not yet been fully solved by currently available snow traversing systems. Accordingly, the present invention has been developed to provide an apparatus and system for receiving a pole tip to assist a user to achieve a standing position in snow that overcomes many or all of the above-discussed shortcomings in the art.
[0008] The apparatus, in one embodiment, includes a pole receiving member and a coupling. The pole tip receiving member includes a base and a pole tip engagement. The pole tip engagement engages a tip of a pole limits lateral movement of the pole with respect to the pole tip receiving member. The coupling secures the pole tip receiving member to a snow traversal device. Engagement of the pole by the pole tip receiving member transfers a pressure applied by the pole to a supporting substrate of the snow traversal device. The transfer of the pressure applied by the pole increases the effective surface area of the pole.
[0009] In certain embodiments the pole tip engagement member includes a pocket having an opening sized to receive the tip of the pole. The pocket includes an inner wall that limits lateral movement of the pole.
[0010] In one embodiment the pocket includes a floor and the inner wall of the pocket is tapered such that a cross sectional area of the pocket at the opening is greater than a cross sectional area of the pocket at the floor.
[0011] In a further embodiment the opening of the pocket is circular and disposed around a central axis. The inner wall of the pocket includes a plurality of consecutively smaller openings concentrically disposed around the central axis. In this manner the pocket is stepwise tapered from a larger area at the opening to consecutively smaller openings with the pocket terminating at the floor.
[0012] The apparatus, in one embodiment, includes a sloped outer wall to facilitate engagement of the pole within the pole tip engagement. The sloped outer wall smoothly transitions from the opening of the pocket to the base member to allow the tip of the pole to engage the pole tip engagement without snagging an edge on the pole tip receiving member.
[0013] In another embodiment the base member includes a planar member having an orifice disposed through the base member. In such an embodiment the pole tip is engaged by inserting the pole tip into the orifice.
[0014] In certain embodiments the pole tip engagement is a stop configured to arrest movement of a pole tip across the supporting substrate of the snow traversal device. In other embodiments the pole tip engagement is a textured surface configured to engage a tip of the pole. In one embodiment the pole tip engagement is a pliable material that dynamically forms a stop for the tip of the pole when pressure is applied to the pole. The pliable material deforms to stop movement of the tip of the pole.
[0015] In certain embodiments the pole tip receiving member also includes an attaching member that attaches the tip of the pole to the pole tip receiving member. The attaching member restricts withdrawal of the tip of the pole from the pole tip receiving member so that a user can pull on the pole to stand up.
[0016] The apparatus, in another embodiment, is an orifice in a top surface of a supporting substrate of the snow traversing device. In such an embodiment the base member is the top surface of the supporting substrate of the snow traversing device.
[0017] Reference throughout this specification to features, advantages, or similar language does not imply that all of the features and advantages that may be realized with the present invention should be or are in any single embodiment of the invention. Rather, language referring to the features and advantages is understood to mean that a specific feature, advantage, or characteristic described in connection with an embodiment is included in at least one embodiment of the present invention. Thus, discussion of the features and advantages, and similar language, throughout this specification may, but do not necessarily, refer to the same embodiment.
[0018] Furthermore, the described features, advantages, and characteristics of the invention may be combined in any suitable manner in one or more embodiments. One skilled in the relevant art will recognize that the invention may be practiced without one or more of the specific features or advantages of a particular embodiment. In other instances, additional features and advantages may be recognized in certain embodiments that may not be present in all embodiments of the invention.
[0019] These features and advantages of the present invention will become more fully apparent from the following description and appended claims, or may be learned by the practice of the invention as set forth hereinafter.
BRIEF DESCRIPTION OF THE DRAWINGS
[0020] In order that the advantages of the invention will be readily understood, a more particular description of the invention briefly described above will be rendered by reference to specific embodiments that are illustrated in the appended drawings. Understanding that these drawings depict only typical embodiments of the invention and are not therefore to be considered to be limiting of its scope, the invention will be described and explained with additional specificity and detail through the use of the accompanying drawings, in which:
[0021] FIG. 1 is an illustrative perspective view of a snow traversing system in accordance with one exemplary embodiment of the invention described herein;
[0022] FIGS. 2A and 2B are illustrative close-up perspective views showing increased detail of a pole tip receiving member having pole tip engagements which are non-skid surfaces, in accordance with exemplary embodiments of the invention described herein;
[0023] FIGS. 3A and 3B are illustrative close-up perspective views showing increased detail of a pole tip receiving member having pole tip engagements which are pockets, in accordance with one exemplary embodiment of the invention described herein;
[0024] FIGS. 4A through 4D are illustrative perspective views of various exemplary embodiments of pole tip receiving member having pole tip engagements which are non-skid surfaces, in accordance with the present invention described herein;
[0025] FIGS. 5A through 5E are illustrative perspective views of various exemplary embodiments of pole tip receiving members having pole tip engagements which are pockets formed in protrusions, in accordance with the present invention described herein;
[0026] FIGS. 6D through 6E are illustrative cross-sectional views showing various exemplary embodiments of pocket configurations for pole receiving features, in accordance with the present invention described herein;
[0027] FIG. 7 is an illustrative perspective view of an exemplary embodiment of a snow traversing system in accordance with the present invention described herein;
[0028] FIG. 8 is an illustrative perspective view of an exemplary embodiment of a snow traversing system in accordance with the present invention described herein.
DETAILED DESCRIPTION
[0029] Reference throughout this specification to “one embodiment,” “an embodiment,” or similar language means that a particular feature, structure, or characteristic described in connection with the embodiment is included in at least one embodiment of the present invention. Thus, appearances of the phrases “in one embodiment,” “in an embodiment,” and similar language throughout this specification may, but do not necessarily, all refer to the same embodiment.
[0030] Furthermore, the described features, structures, or characteristics of the invention may be combined in any suitable manner in one or more embodiments. One skilled in the relevant art will recognize, however, that the invention may be practiced without one or more of the specific details, or with other methods, components, materials, and so forth. In other instances, well-known structures, materials, or operations are not shown or described in detail to avoid obscuring aspects of the invention.
[0031] For purposes of the present description and the appended claims the term “snow traversing device” is used to refer to any type of non-motorized device or apparatus which is used to travel over snow. This term is meant to refer broadly to all types of snow traversing devices including Nordic skis, alpine skis, telemark skis, alpine touring skis, split snowboards, snowboards, monoboards, snow skates, sleds, snow bikes, snow scooters and the like.
[0032] For purposes of the present description and the appended claims the term “pole” is used to refer to any type of pole used by the arms of skiers, hikers, and snowboarders to assist in maintaining or regaining balance or footing. The term “pole” also includes the poles or legs of tripods, bipods, or other devices used to steady cameras, telescopes, spotting scopes, or the like. Examples of poles that are included in this term include ski poles, hiking poles, adjustable climbing poles, telescopic ski poles, telescopic hiking poles, tripod legs and bipod legs. In one embodiment the pole may include an ice axe or other ice climbing or ascending device having a pole like handle.
[0033] FIG. 1 depicts a snow traversing system 100 utilizing pole tip receiving members 106 and 108 having pole receiving features as described herein. The system 100 includes a first ski 102 and a second ski 104 having, respectively, a first pole tip receiving member 106 and a second pole tip receiving member 108 coupled to a supporting substrate or top surface 114 and 116 of each ski 102 and 104 . While the embodiment illustrated in FIG. 1 shows a first and second pole tip receiving members 102 and 104 respectively, one of skill in the art will recognize that in certain embodiments the system may include four pole tip receiving members, one at each end of the first ski 102 and the second ski 104 . In another embodiment the system may include only one pole tip receiving member located on only one of the ski's 102 or 104 .
[0034] The pole tip receiving members 106 and 108 each comprise a top side having a pole tip engagement 110 and 112 respectively. The pole tip engagements 110 and 112 are configured to engage the tip of a pole. When the tip of a pole is placed on or in the pole tip engagements 110 or 112 of the pole tip receiving members 106 and 108 the pole tip engagements 110 or 112 maintain the tip in substantially the same position and limit any lateral movement of the pole tip. Thus, a user can place the tip of a pole on or in the pole tip engagements 110 or 112 to transfer the pressure applied by the pole to the supporting substrate, in this case the top surface 114 or 116 of each ski 102 or 104 respectively. By transferring the pressure applied by the pole to the snow traversal device 102 or 104 , the effective surface area of the pole is increased. This allows the user to apply a much greater pressure to the pole without causing the pole to sink in the snow.
[0035] The pole tip receiving members 106 and 108 can take a variety of forms with various advantages. For example, according to one exemplary embodiment, the pole tip receiving members 106 and 108 may comprise a non-skid surface such as a textured metal, rubber, or plastic. Each non-skid surface has possible variations in texture, structure, degree of hardness and grip.
[0036] Generally, the pole tip receiving members 106 and 108 are not limited to being configured to receive only ski poles. In certain embodiments the pole tip receiving members 106 and 108 may be configured to receive ski poles, the legs of a tripod or any other pole shaped device.
[0037] The snow traversing system 100 shown comprises a pair of alpine skis 102 and 104 and is thus primarily designed for skiing or traversing down slopes. When there is deep powder snow and an individual wrecks, or sits down, it may be very difficult to find support to regain an upright position to continue down a slope. Using the exemplary snow traversing system 100 of FIG. 1 , a user may find support for the upper body even in the deepest snow. A user may place the tip of a ski pole within into the pole tip engagements 110 or 112 on the pole tip receiving members 106 or 108 and steady himself or stand up. Due to the large amount of surface area of the skis 102 and 104 and the resistance of the pole tip receiving members 106 and 108 to the slipping of a pole tip, a user can have considerable upper body support to maintain or regain footing or balance even in very deep and soft snow.
[0038] In certain embodiments the pole tip receiving members 106 and 108 may be coupled to the snow traversal devices 102 and 104 by a fastener (not shown) such as a screw, rivet, clip, or other mechanical fastener as is known in the art. In another embodiment the pole tip receiving members 106 and 108 may be coupled to the snow traversal devices 102 and 104 by an adhesive. In certain embodiments the pole tip receiving members 106 and 108 may be removably coupled to the snow traversal devices 102 and 104 by a snap, hook and loop material (Velcro), or other removable fastener.
[0039] One of skill in the art will recognize that in certain embodiments the pole tip receiving members 106 and 108 may be used as an assisting apparatus to help a user gain his or her balance in an upright position. This may simply be regaining the upright position after sitting down. In other embodiments the device may be used to regain the upright position after falling. Similarly, one of skill in the art will recognize that the present invention may be used in soft, deep powder as well as on hard packed snow and thus should not be limited to use in soft or deep snow.
[0040] FIGS. 2A and 2B depict close up perspective views of different exemplary embodiments of pole tip receiving members 202 or 208 with pole tip engagements 204 and 210 which are non-skid surfaces. FIG. 2A depicts the tip of a ski 200 with an integral non-skid pole tip receiving member 202 . In certain embodiments the non-skid pole tip receiving member 202 includes a pole tip engagement 204 which includes a material that is sufficiently soft and resilient to allow the tip of a pole to grip into the surface of the pole tip engagement 204 . In one embodiment, the surface of the pole tip engagement 204 includes a structurally smooth surface. In another embodiment the surface of the pole tip engagement 204 may include a non-skid texture.
[0041] An individual may use the pole tip receiving member 202 , for example, by placing the distal end of a pole against the non-skid surface of the pole tip engagement 204 and supporting his weight on the proximate end of the pole with his arms. Due to the soft material comprising the of the pole tip engagement 204 , the tip of the pole grips the surface of the pole tip engagement 204 to maintain the tip of the pole in substantially the same position on the surface of the ski 200 . The greater surface area of the ski 200 , as compared to the tip of a pole, allows for support when it may otherwise not be available using the surface of the snow. According to the exemplary embodiment shown in FIG. 2A , the pole tip receiving member 202 , is integral with the ski itself. For example, a ski manufacture may build a pole tip receiving member 202 into the ski 200 .
[0042] FIG. 2B depicts the tip of a ski 206 with a pole tip receiving member 208 similar to that shown in FIG. 2A . However, in this depicted embodiment the pole tip receiving member 208 is not integral with ski 206 but extrinsic to it. For example, the pole tip receiving member 208 may be manufactured separately and attached to the ski 206 by a consumer. In certain embodiments the pole tip receiving member 208 further comprises a bottom side which is configured to be attached to a snow traversing device such as a ski 206 . The extrinsic pole tip receiving member 208 is shown with the bottom side attached to the ski 206 . According to one exemplary embodiment, the pole tip receiving member 208 is attached by use of an adhesive. According to another exemplary embodiment, the apparatus 208 is attached by use of a screw, rivet, or other a mechanical fastener. In another embodiment the pole tip receiving member 208 may be coupled to the ski 206 or other snow traversal device by an adhesive. In certain embodiments the pole tip receiving member 208 may be removably coupled to the ski 206 or other snow traversal device by a snap, hook and loop material (Velcro), or other removable fastener.
[0043] FIGS. 3A and 3B depict close up perspective views of different exemplary embodiments of pole tip receiving members 302 having pole receiving elements 304 which are pockets for receiving a tip of a pole. FIG. 3A depicts the tip of a ski 300 with a pole tip receiving member 302 having pole tip engagement 304 which is a pocket.
[0044] In one embodiment the pocket may include an attaching member (not shown) such as a screw thread, hook, or other attachment means to couple the pole the pole tip receiving member 302 and restrict the withdrawal of the tip of the pole from the pole tip receiving member 302 . In another embodiment the coupling between the attaching member and the pole may be strong enough to support a user's bodyweight such that a user can pull on the pole to aid the user in regaining or maintaining a standing position. In certain embodiments the pole may include a male thread and the attaching member may include a female thread to couple the pole to the pole tip receiving member.
[0045] Where the pole tip receiving members 302 are used to push against to provide support to a user, an individual may regain a standing position by placing the distal end of a pole into the pole tip engagement 304 and supporting his weight on the proximate end of the pole. The tip of the pole is held in place by a wall 306 in the pocket of the pole tip engagement 304 . The pole tip receiving member 302 maintains the tip of the pole in substantially the same position and restricts lateral movement of the tip of the pole. Thus, the user can place weight on the proximate end of a pole for upper body balance and support in even very deep, soft snow. The pole tip receiving member 302 , according to the embodiment shown, is integral with the ski 300 . For example, a manufacture may build such an apparatus into the ski.
[0046] FIG. 3B depicts the tip of a ski 308 with a pole tip receiving member 310 similar to that shown in FIG. 3A . The pole tip receiving member 310 also has a pole tip engagement 312 which is a pocket having a wall 314 . However, in this depicted embodiment the pole tip receiving member 310 is not integral with ski 308 but extrinsic to it. For example, the pole tip receiving member 310 may have been attached after the manufacture of the ski 308 . In certain embodiments, the extrinsic pole tip receiving member 310 further comprises a base 316 , the base 316 includes a bottom side which is configured to be attached to a snow traversing device. The extrinsic pole tip receiving member 310 is shown with the bottom side of the base 316 attached to the ski 308 . According to one exemplary embodiment, the base 316 is attached by use of an adhesive. According to another exemplary embodiment, the base 316 of the apparatus is attached by use of a screw, rivet, clip, or other a mechanical fastener.
[0047] Various considerations should be made when designing a pole tip receiving member because different configurations may have different advantages. For example, when choosing between a pole tip receiving member having a pole tip engagement which is a non-skid surface, as in FIGS. 2A-2B , versus an a pole tip receiving member which has a pole tip engagement which is a pocket, as in FIGS. 3A-3B , the benefits of each should be considered. A non-skid pole tip receiving member such as pole tip receiving members 202 and 208 of FIGS. 2A-2B may be easier to engage with a pole because there is no pocket into which the pole must be inserted. Aiming the tip of a pole from the distal end may be more difficult with a pocket. Also, a non-skid pole tip receiving member such as pole tip receiving members 202 and 208 of FIGS. 2A-2B may be lighter and cheaper to produce because they have fewer structural features. However, a pole tip receiving member which includes a pole tip engagement that is a pocket, such as pole tip engagements 304 and 312 in pole tip receiving members 302 and 310 of FIGS. 3A-3B , offers other benefits. For example, the walls of a pocket make it considerably more difficult for the tip of a pole to slide off of the pole tip engagements. Further, the walls may also enable a user to control the orientation of a snow traversing devices by leveraging a ski pole against the walls of a pocket.
[0048] FIGS. 4A through 4D are perspective views of various illustrative embodiments of non-skid pole tip receiving members 400 , 406 , 414 and 422 . The pole tip receiving members 400 , 406 , 414 and 422 shown are extrinsic to a snow traversing device and are configured to be attached to a snow traversing device. As will be apparent to one skilled in the art, the pole tip receiving members 400 , 406 , 414 and 422 with their various features and benefits can also be intrinsic to a snow traversing device. For example, the extrinsic pole tip receiving member may be implemented without an attachment feature if they are to be built into a snow traversing device.
[0049] With regard to FIG. 4A a pole tip receiving member 400 having a pole tip engagement 402 which is a non-skid surface is shown. In the embodiment illustrated in FIG. 4A the surface has a generally smooth structure. In other embodiments the surface of the pole tip engagement 402 may have a variety of textures with varying degrees of skid-resistance. According to one exemplary embodiment, the surface of the pole tip engagement 402 may be made of rubber and have a very fine grained finish for skid-resistance. This increases friction between the tip of a pole and the surface of the pole tip engagement 402 . According to another exemplary embodiment, the surface of the pole tip engagement 402 may be made of a soft rubber or other pliable material. In such an embodiment the pliable material may be configured to dynamically form a stop for the tip of the pole when pressure is applied to the pole such that the pliable material stops movement of the tip of the pole.
[0050] The surface of the pole tip engagement 402 is preferably made of resilient material such that it can withstand repeated pressure applied through the tip of a pole. According to one exemplary embodiment, the surface of the pole tip engagement 402 may be made of a resilient rubber or plastic. Also, the thickness of the receiving member 400 may vary according to how soft the material is that makes up the pole tip engagement 402 . Softer materials may require greater thickness to allow the tip of a pole to sink in more and thus gain better grip. Softer materials may also require greater thickness to resist being quickly damaged. Harder materials, on the other hand, may be thinner because they may be able to better resist pressure repeatedly applied through the tip of a pole.
[0051] With regard to FIG. 4B a non-skid pole tip receiving member 406 is shown. The pole tip engagement 408 which includes a non-skid surface has a plurality of rounded bumps 410 . The rounded bumps 410 help to resist the sliding of a ski pole tip when placed against the surface of the pole tip engagement 408 . The non-skid surface of the pole tip engagement 408 having a plurality of rounded structural bumps 410 allows for a smoother surface texture than would otherwise be possible because the bumps 410 provide more resistance to sliding of the pole tip. Further, the surface of the pole tip engagement 408 having a plurality of rounded bumps 410 may also allow for a harder, more resilient material to be used. This is because the structural bumps 410 resist sliding and don't require that a ski pole sink into the material to have grip.
[0052] With regard to FIG. 4C another non-skid pole tip receiving member 414 is shown. The non-skid surface of the pole tip engagement 416 includes a plurality of pointed bumps 418 . The structural pointed bumps 418 , similar to the rounded bumps 410 of FIG. 4B , help to resist the sliding of a ski pole tip when the ski pole tip is placed against the pole tip engagement 416 . The pointed bumps 418 may allow the surface of the pole tip engagement 416 to be made of harder material than the surfaces shown in FIGS. 3A-3B because the pointed bumps 418 can grip the ski pole tip better. For example, the in certain embodiments surface of the pole tip engagement 416 may be made of hard plastic, rubber, or even metal materials. In one embodiment the pointed bumps 416 act like teeth to bite into the tip of a pole. In other embodiments a softer material may be used to reduce damage to the tip of a pole.
[0053] With regard to FIG. 4D another non-skid pole tip receiving member 422 is shown. The pole tip engagement 424 includes a plurality of grooves etched into the surface, giving it a texture similar to that of some common abrasive metal files. This configuration provides considerable friction and can help keep a pole from slipping on the surface of the pole tip engagement 424 . The hardness of the surface of the pole tip engagement 424 can also vary with this embodiment. Because of the friction of the texture of the surface of the pole tip engagement 424 it is possible to have little slippage with even very hard metals.
[0054] The pole tip receiving members 400 , 406 , 414 , and 422 of FIGS. 4A-4D each comprise a bottom side 404 , 412 , 420 , 426 which may be used to attach the respective non-skid pole tip receiving members 400 , 406 , 414 , 422 to a snow traversing device. As previously mentioned, the apparatus may be attached by use of an adhesive or a mechanical fastener. The adhesive can either be separately applied or be manufactured on the apparatus. For example, the bottom sides 404 , 412 , 420 , 426 of pole tip receiving members 400 , 406 , 414 , and 422 may have a peel-back cover to expose an adhesive for application to a snow traversing device. In other embodiments a mechanical fastener such as a screw, for example, may be driven through the pole tip receiving members 400 , 406 , 414 , and 422 to attach the pole tip receiving members 400 , 406 , 414 , and 422 to a snow traversing device.
[0055] As is apparent from the varied shapes of the apparatus of 4 A- 4 D, the apparatus can take various forms and is not limited to a single shape or configuration. For example, a company may wish to sell a pole tip receiving member in the shape of the company logo or a word. Furthermore, the size of the non-skid pole tip receiving member can vary greatly as well. The apparatus are preferably small enough to fit on the surface of a snow traversing device and large enough to easily be engaged with a ski pole.
[0056] FIGS. 5A-5E are perspective views of various exemplary embodiments of pole tip receiving members 500 , 510 520 , 530 , and 540 having pole tip engagements 502 , 512 , 522 , 532 , and 542 that include an pocket for receiving a tip of a pole. The pole tip receiving members 500 , 510 520 , 530 , and 540 shown are extrinsic to a snow traversing device and are configured to be attached to a snow traversing device. As will be apparent to one skilled in the art, the pole tip receiving members 500 , 510 520 , 530 , and 540 with their various features and benefits can also be formed intrinsic to a snow traversing device.
[0057] FIG. 5A depicts a pole tip receiving member 500 having a pole tip engagement 502 that includes a pocket and a base 504 . The pocket of the pole tip engagement 502 is formed with a cylindrical shape 506 that protrudes from the base 504 , the walls of the cylinder 506 and the surface of the base 504 are at right angles. The pocket of the pole tip engagement 504 has a circular opening and the base 504 has a circular shape. The base 504 has a bottom side 508 which is configured to be attachable to a snow traversing device such as by adhesion or a mechanical fastener. The bottom side 508 may be flat or may be shaped according to the shape of a snow traversing device to which it is meant to be attached. For example, some alpine skis have rounded or ridged surfaces and in certain embodiments the bottom side 508 may be shaped to fit onto such surfaces. In another embodiment the base 504 may be made of a pliable material that form fits the contours of top of the snow traversing device.
[0058] It will be clear to one skilled in the art that the configuration of the apparatus 500 can vary greatly. For example, the walls of the cylinder 506 in which the pocket of the pole tip engagement 502 is formed need not be at right angles to the base 504 . Furthermore, the shape of the pole tip engagement 502 , base 504 , and cylinder 506 may be in any number of shapes and need not be a similar shape. For example, in certain embodiments the pole tip engagement 502 may have a triangular opening with the cylinder 506 having a cylindrical cross-section, and the base 504 having a square shape.
[0059] In an exemplary embodiment the pole tip engagement 502 includes a cylinder 506 having an inner wall 501 that is at an obtuse angle with respect to the base 504 . In one embodiment the inner wall 501 of the cylinder 506 is at an angle of between about 100 and 120 degrees. As the angle of the inner wall 501 is increased respect to the base 504 , the ability of the inner wall 501 to maintain a pole within the pocket of the cylinder 506 is decreased.
[0060] In certain embodiments the inner wall 501 of the cylinder 506 determines the depth of the pocket. The pocket should be sufficiently deep to engage a pole tip and limit the lateral movement of the pole tip on the surface of the snow traversing device. In an exemplary embodiment the inner wall 501 of the cylinder are between about ¼ of an inch and about ¾ of an inch. An inner wall 501 less than about ¼ of an inch may not provide a deep enough pocket to sufficiently engage the tip of a pole. An inner wall 501 greater than about ¾ of an inch may be so deep that a pole may be difficult to disengage from the pocket. In certain embodiments a user may wish to secure a pole to the inner wall 501 of the pocket such as where a user wishes to engage a monopod in the pocket to steady a camera. Therefore, in certain embodiments, such as where a user wishes to secure the pole to the pole tip receiving member 500 the inner wall 501 of the pocket may be greater than ¾ of an inch.
[0061] In one embodiment the cylinder 506 also includes an outer wall 503 . In an exemplary embodiment the outer wall 503 may be disposed at a 90 degree angle with respect to the base 504 . In an alternative embodiment, such as the embodiment illustrated in FIG. 5D discussed below, the outer wall 503 may be disposed at an angle with respect to the base 534 .
[0062] In an exemplary embodiment the bottom side 508 of the base 504 may include between one and a half and two times as much surface area as the surface area occupied by the cylinder 506 . For example, in one embodiment the base 504 may be about 2 inches in diameter with the diameter of the outer wall 503 of the cylinder 506 being about 1 inch. The added surface area of the bottom surface 508 of the base 504 provides an increased surface area for connecting the pole tip receiving member 500 to a top surface of a snow traversing device.
[0063] In certain embodiments the base 504 has a side wall 505 thickness of between about ⅛ of an inch and about ¼ of an inch. One of skill in the art will recognize that the base 504 should have sufficient rigidity to support the cylinder 506 particularly where the cylinder 506 has pressure applied to the inner wall 501 by a pole. Therefore, in one embodiment the base 504 may have a side wall 505 thickness of between about ⅛ of an inch and about ½ of an inch.
[0064] Similarly, in order to support pressure applied to the inner wall 501 of the cylinder 506 by a pole, the cylinder 506 may have a wall 507 with a thickness of between about 1/16 of an inch and about ¼ of an inch. In one embodiment, such as the embodiment illustrated in FIG. 5E discussed below, the wall 507 may extend all the way to edge of the base 544 . In such an embodiment the sidewall 505 of the base 504 may be increase to provide an pole tip engagement 542 having sufficient depth to engage a tip of a pole.
[0065] FIG. 5B depicts a pole tip receiving member 510 illustrating a possible variation of the configuration of FIG. 5A . The pole tip receiving member 510 has pole tip engagement 512 with a rectangular shaped opening in a rectangular shaped protrusion 516 on a circular base 514 . The walls of the protrusion 516 are not at right angles with the base. This configuration may be desirable, for example, where a pole will be inserted from angles other than right angles to the surface of a ski traversing device.
[0066] Another variation of a pole tip receiving member 510 is depicted in FIG. 5C . The pole tip receiving member 510 includes a pocket having a triangular opening formed in a protrusion 526 with a triangular cross-section. In the illustrated embodiment the base 524 is square.
[0067] A further variation of a pole tip receiving member 530 is depicted in FIG. 5D . The pole tip receiving member 530 has circular pole tip engagement 532 , a circular base 534 , and a protrusion 536 that smoothly transition into the base 534 . Thus, the protrusion 536 and base 534 form a sloped surface. Such a configuration may be preferable to minimize the snagging of the pole tip or other objects on the protrusion 536 . Further, such a configuration may also reduce the likelihood that the pole tip receiving member 530 will be ripped off of a snow traversing device.
[0068] Another variation of a pole tip receiving member 540 is depicted in FIG. 5E . The pole tip receiving member 540 includes pole tip engagement 542 having a base 544 with an orifice disposed therethrough. The embodiment illustrated in FIG. 5E does not include a protrusion like the embodiments illustrated in FIGS. 5A-5D . However, similar to the previous embodiments, the pole tip receiving member 540 may be attached to a ski traversing device by mechanical or chemical fasteners. A tip of a ski pole placed in the orifice in the pole tip engagement 542 is restricted from moving laterally on the surface of the snow traversal device. This embodiment may be desirable because of its simplicity and its low profile to eliminate snags.
[0069] FIG. 5F illustrates another embodiment of a pole tip receiving member 550 which includes a pole tip engagement 552 and a base 554 . In certain embodiments the pole tip engagement 552 is formed as a stop configured to arrest movement of a pole tip across the supporting substrate of the snow traversal device. Thus, in the embodiment illustrated in FIG. 5F the pole tip engagement 552 is a v-shaped stop with an opening 556 at one end. In use a tip of a pole is received within the opening 556 and the v-shaped pole tip engagement 552 stops movement of the pole tip across the surface of the snow traversal device. While the pole tip engagement 552 illustrated in FIG. 5F is v-shaped, one of skill in the art will recognize that in certain embodiments the pole tip engagement 552 may me shaped in other shapes such as a simple wall or a half-circle having sufficient height to arrest the movement of a pole tip across the supporting substrate of the snow traversal device.
[0070] As used in the present disclosure, the supporting substrate of the snow traversal device may include the top surface, the bottom surface or the entire supporting structure including the top and bottom surfaces as well as any intervening material of a ski, snowshoe or other device adapted to traverse snow.
[0071] It should be understood from the apparatus of FIGS. 5A-5F that there is considerable variation possible in the shape and configuration of the pocket, protrusion and base. Also, the size of the apparatus and pocket features can vary as well.
[0072] FIGS. 6A-6E are cross-sectional views of various different embodiments of the interior shape of a pocket in the pole tip engagement. With regard to FIG. 6A a cross-section of an exemplary pocket 600 is shown. The pocket 600 has inner walls 602 and a floor 604 . The opening of the pocket 600 is sufficiently large to receive the tip of a ski pole and the pocket is the same diameter from top to bottom. The angle between the floor 604 and the inner walls 602 is approximately a right angle. It is important to note that although the cross-sectional view of the pocket as depicted is rectangular, the opening of the pocket may be in any number of shapes, such as squares, circles, or triangles.
[0073] The inner walls 602 of the pocket 600 hold an inserted pole tip in substantially the same location by not allowing it to slip from the apparatus or snow traversing device. Furthermore, the pocket 600 , if the inner walls 602 are sufficiently high, can allow a user to control the orientation of an attached snow traversing device by leveraging the inner walls 602 with the tip of a pole.
[0074] With regard to FIG. 6B another cross-section of an exemplary pocket 610 is shown. The inner walls 612 of the pocket 610 are smoothly tapered from a larger area at the opening of the pocket 610 to a smaller area at the floor 614 . The larger opening of the pocket 610 makes it easier to place the tip of a pole in the pocket 610 . If the opening is just barely larger than the tip of a ski pole, it may be difficult to insert the tip when holding on the handle at the distal end of a ski pole. Even though the opening is large, the smaller floor 614 area still holds the tip of the pole in substantially the same location to limit sliding. If the floor 614 is too large, the pole tip may move and slide too much making the apparatus difficult to use.
[0075] With regard to FIG. 6C another cross-section of an exemplary pocket 620 is shown. The inner walls 622 of the pocket 620 are step-wise tapered from a larger area at the opening of the pocket 620 to a smaller area at the floor 624 . The larger opening of the pocket 620 makes it easier to place the tip of a pole in the pocket 620 . Thus, it has similar advantages to those discussed in relation to FIG. 6B . However, the step-wise tapering of the inner walls 622 illustrated in FIG. 6C may make it easier to control the orientation of an attached snow traversing device. Furthermore, an inserted pole is less likely to slip out of the pocket 620 than embodiments where the walls 622 are smoothly tapered.
[0076] FIG. 6D depicts another cross-section of an exemplary pocket 630 . The pocket 600 has inner walls 632 with a sloped section and a vertical section. The vertical section of the walls 632 proceed only partway from the opening to the floor 634 at which point the walls are oriented at right angles to the floor 634 and proceed the remaining distance to the floor.
[0077] The configuration of the pocket 630 allows the tip of a ski pole to be easily inserted into the pocket 630 . This configuration offers a further advantage in that the lower portion of the pocket 630 is much smaller in cross-section further away from the floor 634 and thus holds a pole securely. This keeps the pole from slipping from the pocket 630 before the user is ready and also allows a user to leverage the walls 632 of the pocket with a ski pole to control the orientation of an attached snow traversing device.
[0078] FIG. 6E is a cross-sectional view of yet another exemplary pocket 640 configuration. The pocket 640 has walls 642 with sides at right angles to the base 644 . The configuration is similar to that of pocket 600 of FIG. 6A . However, the pocket 640 of FIG. 6E has no floor. Where the apparatus containing the pocket 640 is attached to a snow traversing device, the surface of the snow traversing device operates as a floor. In certain embodiments the lack of a floor makes the apparatus lighter.
[0079] The apparatus as described in relation to the forgoing figures have various advantages. For example, they make use of the already existing surface area of devices that snow travelers generally have with them. Also, a small pole tip receiving member allows for the use of a variety of conventional ski and hiking poles making it unnecessary to use unwieldy or awkward poles.
[0080] Furthermore the apparatus allow the ski poles to be used in conjunction with the already available surface area of the snow traversing device. Snow traversing devices, with a few exceptions, are usually made of hard, slick material which provides little or no friction between the tip of a pole and the snow traversing device. Thus, if a user places the tip of a pole against the surface of a snow traversing device, it will generally slip off and cause the user to lose balance. In the few cases that the device is not made from material which will cause the pole to slip, snow traversing devices are made from material that would be damaged by using a ski pole. For example, snowshoes that use cloth-like material to span the frames of the snowshoe would be damaged by placing the tip of a ski pole against the material and placing a user's weight on the pole.
[0081] Thus, the present invention provides a convenient surface for a user to place the tip of a pole which will not allow the tip of the pole to slip from the surface of a snow traversing device and is durable to resist damage from the pole.
[0082] Using the apparatus and system of the present invention, a pole can be used by the arms to help maintain the upper body of a user in a desired position. The pole tip receiving member can allow a user to maintain or regain balance while a snow traversing device is strapped to a users feet or even when they are not. As an example, a user may be hiking up a slope with a snow traversing device strapped to his/her back. The user may encounter a deep area of snow and sink in to the snow. The depth and softness of the snow may make it very difficult to get back out. However, it may be difficult to stand up on the snow traversing devices because any attempt to use the arms or any ski poles would result in the arm or pole simply sinking into the snow.
[0083] Using a snow traversing device with a pole tip receiving apparatus, such as those described above, will allow the user to gain support and balance for his upper body so that he may stand and proceed to move through the snow. Rather than attempting to use the poles placed against the snow to provide support while standing, a user can place the poles on the pole receiving feature of an apparatus. The natures of the apparatus are such that the tip of a ski pole will not slip when an individual's places his weight on the pole.
[0084] The system also has other available utilities. For example, it is often very important for cameramen to have a very stable base for a camera. The use of tripods and other similar tools helps to stabilize a camera for better picture taking. Other optical devices, such as telescopes or spotting scopes, also require a stable base. Tripods, bipods, monopods and other similar tools tend to be less useful in soft snow because the legs of the pods often sink into the snow and even then will continue to settle thereafter. For example if more weight is applied by touching the stand or a camera mounted thereon the whole setup may be altered. Even the sun heating up the pod may cause it to melt the surrounding snow causing it sink further.
[0085] A camera man may gain sufficient stability for his camera by simply placing the legs of the tripod, bipod, monopod etc. on a pole tip receiving member mounted to a snow traversing device. The surface area of the snow traversing device will maintain the camera in the same position on top of the snow and will allow the camera man to get better pictures. Likewise, a spotting scope may be mounted in a similar manner and allow better viewing of what is being spotted.
[0086] The pole tip receiving apparatus as described herein can be used within various systems and on various snow traversing devices. Returning to FIG. 1 , FIG. 1 is an illustration of one exemplary embodiment of a system using the pole receiving apparatus. The system comprises a first and second alpine, telemark, cross-country or skate ski, 102 and 104 . Each ski 102 and 104 has a pole tip receiving member 106 and 108 respectively. The first ski 102 has a pole tip receiving member 106 near the front end of the ski 102 . The second ski 104 has a pole tip receiving member 108 near the back end of the ski 104 . This placement of the pole tip receiving members 106 and 108 can lead to better support. For example, in FIG. 1 , a user could simultaneously use two poles, one on the first pole tip receiving member 106 to the front and one on the second pole tip receiving member 108 to the rear, to support himself or regain footing or stability.
[0087] FIG. 7 is an illustration of another exemplary system utilizing pole tip receiving apparatus. This system includes a snowboard 700 having first pole tip receiving member 702 and a second pole tip receiving member 704 . The first and second pole tip receiving members 702 and 704 are located at opposite ends of the snowboard 700 . Although snowboarders generally don't use poles while riding the snowboards, they will often carry poles while hiking or snowboarding in backcountry areas to assist in hiking and maintaining balance in snow. Once again, a user of this system may use one pole or two poles to maintain balance or gain support for his upper body while standing.
[0088] FIG. 8 is an illustration of a split snowboard 800 that includes two pole tip receiving apparatus 806 and 808 . A split board 800 , as is known in the art, is a snowboard which can split into two skis 804 and 802 , along a seam 810 , for traversing slopes, going up slopes, or traveling through snow. A user can then reunite the skis 802 and 804 into a snowboard which can be ridden down the mountain like a normal snowboard.
[0089] As shown in FIG. 8 , a first pole tip receiving member 806 is attached to one end of the split snowboard 800 on one side of the seam 810 while a second pole tip receiving member 808 is attached to the other end of the split snowboard 800 on the other side of the seam 810 . Thus, when the skis 802 and 804 are united along the seam 810 the system can be used similar to the snowboard in FIG. 7 . When the skis 802 and 804 are separated, however, the system can be used similar to the alpine ski system of FIG. 1 .
[0090] As discussed above, while the embodiments illustrated in FIGS. 1 , 7 , and 8 are depicted having two pole tip receiving members, one of skill in the art will recognize that in certain embodiments the snow traversing device(s) may include only one pole tip receiving member. Similarly, in other embodiments the snow traversing device(s) may include more than two pole tip receiving members.
[0091] The present invention may be embodied in other specific forms without departing from its spirit or essential characteristics. The described embodiments are to be considered in all respects only as illustrative and not restrictive. The scope of the invention is, therefore, indicated by the appended claims rather than by the foregoing description. All changes which come within the meaning and range of equivalency of the claims are to be embraced within their scope. | An apparatus that receives a pole tip and assists a user to achieve a standing position in snow is disclosed. The apparatus includes a pole tip receiving member having a base and a pole tip engagement. The pole tip engagement engages a tip of a pole limits lateral movement of the pole with respect to the pole tip receiving member. a coupling secures the pole tip receiving member to the snow traversal device. Engagement of the pole by the pole tip receiving member transfers a pressure applied by the pole to a supporting substrate of the snow traversal device. The transfer of the pressure applied by the pole increases the effective surface area of the pole. | 53,659 |
CROSS-REFERENCE TO RELATED APPLICATION
[0001] This application claims priority under 35 U.S.C. §119 from U.S. Provisional Application Ser. No. 61/431,569, filed Jan. 11, 2011 which is hereby incorporated by reference in its entirety.
FIELD OF THE DISCLOSURE
[0002] The present disclosure is directed to an improved cathodic electrocoating composition and in particular to an improved cathodic electrocoating composition wherein the improvement is the incorporation of a non-water reducible anticrater agent, which significantly reduces craters and improves the smoothness of an electrocoated film of the composition.
BACKGROUND OF DISCLOSURE
[0003] The coating of electrically conductive substrates by an electrocoating process is a well-known and important industrial process. The electrocoating of primers to substrates is widely used in the automotive industry. In this process, a conductive article, such as an automobile body or an automobile part, is immersed in a bath comprising an aqueous emulsion of film forming polymer and acts as an electrode in the electrocoating process. An electric current is passed between the article and a counter-electrode in electrical contact with the aqueous emulsion, until a desired coating is deposited on the article. In a cathodic electrocoating process, the article to be coated is the cathode and the counter-electrode is the anode.
[0004] Film forming polymer compositions used in the bath of a typical cathodic electrocoating process are well known in the art. These polymers are typically made from polyepoxides which have been chain extended using bisphenol compounds. The chain extended polyepoxides can then be reacted with amines to form an epoxy amine adduct. These polymers are blended with a crosslinking agent and then neutralized with an acid to form a water emulsion, which is usually referred to as a principal emulsion.
[0005] The principal emulsion can be combined with a pigment paste, coalescent solvents, water, and other additives to form the electrocoating composition. The composition is placed in an insulated tank containing the anode. The article to be coated is the cathode and is placed in a tank containing the electrocoating composition. An electrical current is applied to the system and a layer of the electrocoating composition is deposited onto the article. The thickness of the applied layer of electrocoating composition that is deposited on the article is a function of, for example, the bath characteristics, the electrical operating characteristics and the immersion time.
[0006] The resulting coated article is removed from the bath after a period of time and is rinsed with deionized water. The coating on the article can then be cured, typically in an oven, at sufficient temperature to produce a crosslinked finish on the article.
[0007] Cathodic electrocoating compositions, resin compositions, coating baths and cathodic processes are disclosed in Jarabek et al U.S. Pat. No. 3,922,253 issued Nov. 25, 1975; Wismer et al U.S. Pat. No. 4,419,467 issued Dec. 6, 1983; Belanger U.S. Pat. No. 4,137,140 issued Jan. 30, 1979 and Wismer et al U.S. Pat. No. 4,468,307 issued Aug. 25, 1984.
[0008] A continuing problem with cathodic electrocoating compositions has been the presence of craters in the cured finish. A number of anticrater agents have been used in the past to eliminate craters. However, the presence of conventional anticrater agents in electrocoating compositions has had a negative impact on the adhesion of subsequent coating layers applied thereto, such as automotive PVC sealers used for sealing joints and primer surfacers, particularly where the electrocoating film has been cured in an oven without the presence NO x (nitrogen oxides), such as in an indirect gas or electric oven. There is a continuing need for electrocoating compositions that can produce crater-free, smooth and even finishes that do not adversely affecting the adhesion of coatings that are subsequently applied to the electrocoated substrate.
STATEMENT OF THE DISCLOSURE
[0009] The present disclosure is directed to an improved cathodic electrocoating composition, comprising an aqueous emulsion having dispersed therein a crosslinkable component and a crosslinking agent; wherein the improvement is the incorporation of a non-water reducible anticrater agent comprising a polyester which is the reaction product of a monomer mixture consisting essentially of:
(a) a cyclic aliphatic carboxylic acid anhydride; (b) a monofunctional epoxy compound; (c) a monofunctional alcohol; and (d) a polyepoxy compound;
wherein the cyclic aliphatic carboxylic acid anhydride contains one or more side chains selected from the group consisting of an alkyl side chain having in the range of from 6 to 20 carbon atoms, an alkenyl side chain having in the range of from 6 to 20 carbon atoms and a combination thereof.
DETAILED DESCRIPTION
[0014] The features and advantages of the present disclosure will be more readily understood, by those of ordinary skill in the art, from reading the following detailed description. It is to be appreciated that certain features of the disclosure, which are, for clarity, described above and below in the context of separate embodiments, may also be provided in combination in a single embodiment. Conversely, various features of the disclosure that are, for brevity, described in the context of a single embodiment, may also be provided separately or in any sub-combination. In addition, references in the singular may also include the plural (for example, “a” and “an” may refer to one, or one or more) unless the context specifically states otherwise.
[0015] The use of numerical values in the various ranges specified in this application, unless expressly indicated otherwise, are stated as approximations as though the minimum and maximum values within the stated ranges were both proceeded by the word “about”. In this manner, slight variations above and below the stated ranges can be used to achieve substantially the same results as values within the ranges. Also, the disclosure of these ranges is intended as a continuous range including every value between the minimum and maximum values.
[0016] As used herein:
[0017] The phrase “non-water reducible anticrater agent” means that the anticrater agent is free from ionic bonds that result from the neutralization of carboxylic acid groups using an amine or other base. In some embodiments, the non-water reducible anticrater agent has a solubility in water of less than 0.5 grams/liter. In further embodiments, the non-water reducible anticrater agent has a solubility in water of less than 0.1 grams/liter.
[0018] It has been found that the addition of the disclosed non-water reducible anticrater agent can improve the smoothness and reduce the amount of craters of a cured layer of electrocoat composition when compared to the same amount of a water reducible anticrater agents typically used in electrocoat compositions. In some embodiments, the non-water reducible anticrater agent is a polyester which is the reaction product of a monomer mixture consisting of or consisting essentially of:
(a) an aliphatic carboxylic acid anhydride; (b) a monofunctional epoxy compound; (c) a monofunctional alcohol; and (d) a polyepoxy compound.
[0023] In some embodiments, the anticrater agent can be formed by 1) contacting an aliphatic carboxylic acid anhydride, a monofunctional epoxy and a monofunctional alcohol at a temperature in the range of from 50° C. to 250° C. to form an intermediate polyester followed by the formation of the polyester by 2) contacting the intermediate polyester with a polyepoxy compound at a temperature in the range of from 0° C. to 150° C.
[0024] An aliphatic carboxylic acid anhydride can be used to form the anticrater agent. In some embodiments, the aliphatic carboxylic acid anhydride can be a cyclic aliphatic carboxylic acid anhydride that is substituted by one or more alkyl side chains having in the range of from 6 to 20 carbon atoms, by one or more alkenyl side chains having in the range of from 6 to 20 carbon atoms, or by a combination thereof, wherein the side chain can be linear, branched, cyclic or a combination thereof. In some embodiments, the aliphatic carboxylic acid anhydride contains at least one of the alkyl side chains having in the range of from 8 to 18 carbon atoms. In some embodiments, the side chain can also comprise at least one carbon-carbon double bond. In other embodiments, the aliphatic carboxylic acid anhydride can include compounds such as those having a structure according to (I);
[0000]
[0000] wherein each R is independently selected from the group consisting of a linear alkyl or alkenyl group having in the range of from 6 to 20 carbon atoms or a branched alkyl or alkenyl group having in the range of from 6 to 20 carbon atoms; each R 1 is independently selected from the group consisting of hydrogen, a linear alkyl or alkenyl group having in the range of from 6 to 20 carbon atoms, or a branched alkyl or alkenyl group having in the range of from 6 to 20 carbon atoms; or wherein R and R 1 may be taken together to form a ring having in the range of from 5 to 6 carbon atoms wherein the ring may optionally be substituted with a linear or branched alkyl group having in the range of from 1 to 18 carbon atoms or a linear or branched alkenyl group having in the range of from 2 to 18 carbon atoms; n is in the range of from 1 to 2; and q is in the range of from 1 to 2. Combinations of any of the aliphatic carboxylic acid anhydrides can also be used. Suitable aliphatic carboxylic acid anhydrides can include, for example, methylhexahydrophthalic anhydride, dodecylsuccinic anhydride, octylsuccinic anhydride, hexadecenylsuccinic anhydride, octenylsuccinic anhydride, octadecenylsuccinic anhydride, tetradecenylsuccinic anhydride, dodecenylsuccinic anhydride or a combination thereof. In other embodiments, the aliphatic carboxylic acid anhydrides include for example, dodecenylsuccinic anhydride, octadecenylsuccinic anhydride or a combination thereof.
[0025] The anticrater agent can be formed from a monomer mixture that includes a monofunctional epoxy compound. In some embodiments, the monofunctional epoxy can be a monofunctional epoxy ester, for example, the glycidyl ester of a carboxylic acid or an epoxy ether. In still further embodiments, the monofunctional epoxy ester can be the glycidyl ester of a carboxylic acid wherein the carboxylic acid has a structure according to (II);
[0000]
[0000] wherein each R 3 , R 4 and R 5 is independently selected from the group consisting of a linear alkyl groups having in the range of from 1 to 12 carbon atoms, a branched alkyl group having in the range of from 3 to 12 carbon atoms, a cycloaliphatic alkyl group having in the range of from 5 to 8 carbon atoms or a combination thereof. In some embodiments, the total number of carbon atoms in the combination of R 3 , R 4 and R 5 can be in the range of from 4 to 20. In other embodiments, the total number of carbon atoms in the combination of R 3 , R 4 and R 5 can be in the range of from 7 to 12. Suitable examples of the monofunctional epoxy ester can include, for example, the glycidyl esters of pivalic acid, 2,2-dimethyl butyric acid, neodecanoic acid, VERSATIC® acid or a combination thereof.
[0026] Other monofunctional epoxy compounds which can be used include, for example, glycidyl ethers of monohydric alcohols wherein the alcohols contain in the range of from 4 to 20 carbon atoms or glycidyl ethers of aromatic monohydric alcohols. Representative examples of glycidyl ethers can include, for example, o-cresyl glycidyl ether, phenyl glycidyl ether, butyl glycidyl ether, octyl glycidyl ether, dodecyl glycidyl ether, glycidoxypropyltrimethoxysilane, glycidoxypropyltriethoxysilane, 2-ethylhexyl glycidyl ether or a combination thereof.
[0027] The anticrater agent can be formed from a monomer mixture that includes a monofunctional alcohol. In some embodiments, the monofunctional alcohols can include alcohols containing linear, branched, cycloaliphatic alkyl groups or a combination thereof. In further embodiments, the monofunctional alcohols can contain in the range of from 4 to 12 carbon atoms and can be a linear, branched or cycloaliphatic alcohol. In still further embodiments, the monofunctional alcohols can include, for example, hexanol, 2-methyl butanol, 2-ethylhexanol, cyclohexyl methanol, methyl cyclohexanol, cyclohexanol, octanol or a combination thereof.
[0028] In some embodiments, the anticrater agent can be produced by first forming an intermediate polyester. The intermediate polyester can be produced by contacting a monomer mixture consisting of an aliphatic acid anhydride, a monofunctional epoxy compound, a monofunctional alcohol and optionally, a catalyst at a temperature in the range of from 50° C. to 250° C. for a time period ranging from 10 minutes to 24 hours. A solvent can be used or the formation of the intermediate polyester can be performed without the use of a solvent. In some embodiments, the ratio of monomers in the monomer mixture can be chosen so that the intermediate polyester contains carboxylic acid groups. In some embodiments, the acid number of the intermediate polyester can be in the range of from 10 mg KOH/g to 300 mg KOH/g. In other embodiments, the acid number of the intermediate polyester can be in the range of from 35 mg KOH/g to 275 mg KOH/g, and in still further embodiments, the acid number of the intermediate polyester can be in the range of from 50 mg KOH/g to 250 mg KOH/g. In some embodiments, the monomer mixture can be heated until the weight per epoxy group of the intermediate polyester is as high as possible, for example greater than 15,000 Daltons. In other embodiments, the monomer mixture is heated until the weight per epoxy group of the intermediate polyester is greater than 17,000 Daltons, and in still further embodiments, until the weight per epoxy group of the intermediate polyester is greater than 18,000 Daltons. The optional catalyst can include, for example, triarylphosphines, triphenylphosphine, alkyltriarylphosphonium halides, ethyltriphenylphosphonium halide, alkyltriarylphosphonium esters, ethyltriphenylphosphonium acetate, ethyltriphenylphosphonium diacetate, tetraalkylphosphonium halide or a combination thereof.
[0029] In some embodiments, the intermediate polyester can be reacted with a polyepoxy compound to form the desired polyester anticrater agent. Suitable polyepoxy compounds can have an epoxy group equivalency of, on average, two or more. In some embodiments, the polyepoxy compounds can be saturated, unsaturated, cyclic, alicyclic, aliphatic, cycloaliphatic, aromatic or heterocyclic. In further embodiments, the polyepoxy compounds can also contain substituents such as, for example, halogens, hydroxyl groups, ethers, alkyl and/or aryl groups provided that the substituents do not adversely affect the reactivity of the epoxy group or the properties of the resulting polyester.
[0030] Suitable polyepoxy compounds can include, for example, the glycidyl ethers of polyols, especially, cyclic polyols and/or aromatic polyols. In some examples, these can include, the polyglycidyl ethers of 1,1-bis-(4-hydroxyphenyl) ethane, 1,1-bis-(4-hydroxyphenyl) propane, 2,2-bis-(4-hydroxyphenyl) propane, 2,2-bis(4-hydroxy-3-tertiarybutylphenyl)propane, bis-(4-hydroxyphenyl) methane, bis-(2-hydroxyphenyl) methane, 1,4-dihydroxy naphthalene, 1,5-dihydroxy naphthalene, 1,2-bis(hydroxymethyl)cyclohexane, 1,3-bis-(hydroxymethyl)cyclohexane, 1,4-bis(hydoxymethyl) cyclohexane, 1,2-cyclohexane diol, 1,4-cyclohexane diol, hydrogenated bisphenol A, trimethylol propane, pentaerythritol and a combination thereof.
[0031] In some embodiments, the polyepoxy compounds can have a molecular weight in the range of from 100 to 3,000 Daltons and in further embodiments, can have a molecular weight in the range of from 340 to 2,000 Daltons.
[0032] The intermediate polyester can be contacted with polyepoxide compound at a temperature in the range of from 20° C. to 150° C., optionally in the presence of a catalyst and/or organic solvent for 10 minutes to 24 hours to give the desired polyester anticrater agent. In some embodiments, the completion of the reaction can be measured by the disappearance of the epoxide peak as measured by infrared radiation. In some embodiments, a catalyst can be used during the formation of the polyester. Suitable catalysts can include for example, triarylphosphines, triphenylphosphine, alkyltriarylphosphonium halides, ethyltriphenylphosphonium halide, alkyltriarylphosphonium esters, ethyltriphenylphosphonium acetate, ethyltriphenylphosphonium diacetate, tetraalkylphosphonium halide or a combination thereof. The viscosity of the polyester can be adjusted by adding or removing organic solvent as needed.
[0033] The anticrater additive can be used with cathodic electrocoating compositions that are typically used in the automotive industry. Such electrocoating compositions comprise an aqueous emulsion having film forming binders dispersed therein. The film forming binders can comprise any of the known electrocoating crosslinkable components and crosslinking agents. In some embodiments, the crosslinkable component comprises or consists essentially of an epoxy amine adduct and the crosslinking agent comprises or consists essentially of blocked polyisocyanates.
[0034] To disperse the non-water reducible anticrater agent in the electrocoating composition, the anticrater agent can be combined with the crosslinkable component and the crosslinking agent and mixed. In some embodiments, the anticrater agent can be used in an amount in the range of from 0.5 to 10 percent by weight, based on the weight of the crosslinkable component and the crosslinking agent. In other embodiments, the anticrater agent can be used in an amount in the range of from 1 to 5 percent by weight, based on the weight of the crosslinkable component and the crosslinking agent. In some embodiments, the anticrater agent can be used in an amount in the range of from 0.5 to 10 percent by weight, based on the weight of the epoxy amine adduct and the blocked polyisocyanate crosslinking agent. In still further embodiments, the anticrater agent can be used in an amount in the range of from 1 to 5 percent by weight, based on the weight of the epoxy amine adduct and the blocked polyisocyanate crosslinking agent.
[0035] After mixing the anticrater agent with the epoxy amine adduct and the crosslinking agent, an aqueous acid can be added. The aqueous acid forms an ammonium salt with the epoxy amine adduct, producing a water soluble or water dispersible mixture which is known as the principal emulsion. While not wishing to be bound by theory, it is thought that the acid of the aqueous acid used to form the principal emulsion is a stronger acid than any remaining acid groups of the polyester anticrater agent. If any acid functional groups remain on the polyester anticrater agent, and those acid groups form a salt with the epoxy amine adduct, it is believed that the acid groups of the aqueous acid would then displace them regenerating the original polyester anticrater agent with free acid groups.
[0036] The principal emulsion can then be combined with known pigment pastes, coalescing solvents and other additives that are common in the art to form the electrocoating composition. The electrocoating composition is placed in an insulated tank containing the anode. The object to be coated is made the cathode and is passed through the tank containing the electrocoating composition. The thickness of the coating is a function of the bath characteristics, the electrical operating characteristics, the immersion time, and so forth. After coating, the object is removed from the bath and can be rinsed with deionized water. The applied coating can then be cured in an oven at sufficient temperature to produce crosslinking. Usually the cured electrocoat composition is overcoated with any of a variety of different topcoat systems (e.g. basecoat/clearcoat) as is known in the art.
[0037] Another embodiment of the present disclosure is a substrate that is coated with a dried and cured layer of the improved electrocoating composition. In these embodiments, a substrate is coated with a layer of the electrocoating composition comprising the anticrater additive and the applied layer is dried and cured to produce a crosslinked coating on a substrate. The step of curing can take place in a curing oven at a temperature in the range of from 150° C. to 190° C. for 10 to 60 minutes. The cured coating layer can have a dry film thickness in the range of from 10 micrometers to 30 micrometers.
[0038] Suitable substrates can include any electrically conductive material, especially those for an automobile vehicle or body. Non-conductive substrates that have been made electrically conductive by the addition of a conductive coating can also be coated.
EXAMPLES
[0039] A highly branched non water-reducible polyester was prepared by charging 266 parts dodecenylsuccinic anhydride, 130 parts 2-ethylhexanol, 244 parts glycidyl ester of neodecanoic acid and 2 parts triphenylphosphine into a suitable reaction vessel and heated to 116° C. under a nitrogen blanket. The reaction was held at 132° C. until essentially all of epoxy group was reacted as indicated by titration method. 266 parts dodecenylsuccinic anhydride and 2 parts triphenylphosphine were added and held at 132° C. until an acid number of 55 mg KOH per g of sample or greater was achieved. 181 parts EPON® 828 (epoxy resin with 188 EEW) and 2 parts triphenylphosphine were charged into the reaction vessel. The reaction mixture was held at 132° C. until all of the epoxy resin was reacted as indicated by titration method. 263 parts methyl isobutyl ketone was added. The resulting resin solution had a nonvolatile of 80% in methyl isobutyl ketone. | The present disclosure relates to an improved electrocoating coating composition wherein the improvement is the addition of a non-water reducible anticrater agent. The non-water reducible anticrater agent is a polyester that is the reaction product of an aliphatic carboxylic acid anhydride, a monofunctional epoxy compound, a monofunctional alcohol and a polyepoxide. The improved electrocoating composition provides cured coatings that have fewer craters and have a smooth surface when compared to coatings utilizing other anticrater additives. | 22,731 |
FIELD OF THE INVENTION
This invention relates to a liquid crystal display device and an electronic apparatus with a liquid crystal display device. More particularly, this invention relates to a structure and arrangement of a backlight device with improved power efficiency for use in a liquid crystal display device for electronic apparatuses.
BACKGROUND OF THE INVENTION
Maruyama et al., in their Japanese Patent Application Publication No. HEI 11-38410 A laid open for public inspection on Feb. 12, 1999, disclose use of a semi-transmissive liquid crystal display device in order to reduce liquid crystal display device power dissipation or consumption. The liquid crystal display device of Maruyama et al. is operated as a transmissive liquid crystal display device by the use of a cold-cathode fluorescent lamp (CCFL) as a backlight source, when the liquid crystal display device is operated in a dark environment. In a light environment, it does not use the cold cathode fluorescent lamp, but uses a white reflective plate to reflect environmental light so that the liquid crystal display device can be operated as a reflective liquid crystal display device.
In order to reduce power dissipation, Kurumizawa discloses in his Japanese Patent Application Publication No. HEI 11-101980 A laid open for public inspection on Apr. 13, 1999, a liquid crystal display device using a cold cathode fluorescent lamp and chemiluminescence. The liquid crystal display device of Kurumizawa uses a cold cathode fluorescent lamp as a backlight source when an electronic apparatus which employs the liquid crystal display device is operated from an AC power supply, while it uses a bag containing a chemiluminescent mixture solution as a backlight source when the electronic apparatus is operated from a DC battery.
The semi-transmissive liquid crystal display device disclosed in Japanese Patent Application Publication No. HEI 11-38410 A can use a DC power supply battery for a longer time when it is operated as a reflective liquid crystal display device in a light place. The semi-transmissive liquid crystal display device uses a cold cathode fluorescent lamp when it is used in a dark environment and, therefore, requires higher brightness. However, its display is less bright than and, therefore, inferior in quality to an ordinary transmissive liquid crystal display device when it is operated from the same power supply level as the ordinary transmissive liquid crystal display device, because light transmission is restricted due to its semi-transmissive nature. Accordingly, the liquid crystal display device of Maruyama et al. requires higher power to provide the same brightness as the ordinary transmissive liquid crystal display device.
The liquid crystal display device employing a cold cathode fluorescent lamp and chemiluminescence disclosed in Japanese Patent Application Publication No. HEI 11-101980 A requires a bag containing chemically luminescent mixture solution to be inserted into the liquid crystal display device. This liquid crystal display device is not economical because, once the bag starts emitting light, the light emission cannot be interrupted. In addition, a user of the liquid crystal display device must take a chemiluminescent bag or bags with him or her, and must take a trouble of disposing the used bag.
The inventors have recognized that power dissipation of a liquid crystal display device and an electronic apparatus with the liquid crystal display device can be reduced by selectively using a cold cathode fluorescent lamp and light-emitting diodes as a backlight source for the liquid crystal display device depending on brightness required for the liquid crystal display device.
An object of the present invention is to provide a liquid crystal display device with power efficient backlight sources selectively useable depending on desired brightness.
Another object of the present invention is to prolong the life of a battery used to operate an electronic apparatus through selective use of power efficient backlight sources for a liquid crystal display device used with the electronic apparatus depending on brightness required for the liquid crystal display device.
SUMMARY OF THE INVENTION
In accordance with one aspect of the present invention, an electronic apparatus includes a liquid crystal display device which includes a plurality of light sources including a cold cathode fluorescent lamp and a light-emitting diode (LED) and a liquid crystal unit. The electronic apparatus further includes a controller for selecting and operating at least one of the light sources in accordance with brightness required for the liquid crystal display device.
In an embodiment, the liquid crystal display device may further include at least one light guide plate which causes light from at least one of the plurality of light sources entering into the light guide plate through at least one surface thereof to be projected toward the liquid crystal unit.
The liquid crystal display device may further include a light guide member for causing light entering into it through one surface thereof to be scattered and projected through another surface thereof, and a light guide plate which causes the scattered light entering into it through one side surface thereof to be projected toward the liquid crystal unit.
The liquid crystal display device may further include at least one light guide plate for causing light entering into it through a side surface thereof from at least one of the light sources to be scattered and projected toward the liquid crystal unit.
In accordance with another aspect of the present invention, a liquid crystal display device includes a plurality of light sources including at least one cold cathode fluorescent lamp and at least one LED, a liquid crystal panel, a light guide plate for causing light from at least one of the plurality of light sources entering into the light guide plate through a surface thereof to be projected toward the liquid crystal panel, and a controller for selecting at least one of the plurality of light sources in accordance with required brightness and determining the brightness of the selected light source to operate the selected light source.
The present invention makes it possible to choose a backlight source having high power efficiency in accordance with required brightness in a liquid crystal display device, whereby the life of a battery for operating the backlight sources can be long. Also, an electronic apparatus with such a liquid crystal display device can be realized.
BRIEF DESCRIPTION OF THE DRAWINGS
FIGS. 1A , 1 B, 1 C and 1 D illustrate a liquid crystal display device with a backlight device disposed on the rear surface of a transmissive liquid crystal panel, in accordance with an embodiment of the present invention;
FIGS. 2A and 2B illustrate a liquid crystal display device with a backlight device, in accordance with another embodiment of the invention;
FIGS. 3A and 3B illustrate a liquid crystal display device with a backlight device, in accordance with a further embodiment of the invention;
FIGS. 4A and 4B illustrate a liquid crystal display device with a backlight device, in accordance with a still further embodiment of the invention;
FIGS. 5A and 5B illustrate a liquid crystal display device with a backlight device, in accordance with a still further embodiment of the invention;
FIGS. 6A , 6 B and 6 C illustrate a liquid crystal display device with a backlight device, in accordance with a still further embodiment of the invention;
FIGS. 7A , 7 B and 7 C illustrate a liquid crystal display device with a backlight device, in accordance with a still further embodiment of the invention;
FIGS. 8A , 8 B and 8 C illustrate a liquid crystal display device with a backlight device, in accordance with a still further embodiment of the invention;
FIGS. 9A , 9 B and 9 C illustrate a liquid crystal display device with a backlight device, in accordance with a still further embodiment of the invention;
FIGS. 10A and 10B illustrate a liquid crystal display device with a backlight device, in accordance with a still further embodiment of the invention;
FIGS. 11A and 11B illustrate a liquid crystal display device with a backlight device, in accordance with a still further embodiment of the invention; and
FIGS. 12A , 12 B and 12 C illustrate a liquid crystal display device with a backlight device, in accordance with a still further embodiment of the invention.
DESCRIPTION OF PREFERRED EMBODIMENTS
In accordance with the present invention a cold cathode tube or fluorescent lamp and a light emitting diode (LED) are used as light sources providing backlight for a transmissive liquid crystal display device (LCD) for use in a portable or mobile electronic apparatus, such as a notebook personal computer, a handheld personal computer or a personal digital assistant (PDA). For a range of low brightness, an LED has a higher power efficiency than a cold cathode fluorescent lamp. The inventors have recognized that, by the use of ten LED's for providing low display brightness obtainable by a cold cathode fluorescent lamp on a liquid crystal display screen having a display area of about 200 cm 2 , dissipated power can be reduced by an amount of up to about 40% to about 60% (about 300 mW to about 400 mW) of the power which would be dissipated if the cold cathode fluorescent lamp was used.
In a transmissive liquid crystal display device in accordance with the present invention and an electronic apparatus with such a liquid crystal display device, a cold cathode fluorescent lamp is used for desired display brightness of, for example, 23 cd/m 2 higher than a threshold value of, for example, 20 cd/m 2 to thereby ensure satisfactory display quality. On the other hand, if a desired display brightness is equal to or lower than the threshold value, for example, 5 cd/m 2 or 20 cd/m 2 , an LED is used to save the power dissipation to prolong the life of a battery. Also, the life of the cold cathode fluorescent lamp can be prolonged by using the LED as frequently as possible. For that purpose, switching control between the light sources is provided for the electronic apparatus.
Alternatively, when an external AC power supply is used for a transmissive liquid crystal display device and an electronic apparatus with such a liquid crystal display device, a cold cathode fluorescent lamp may be used as a light source to ensure satisfactory display quality. On the other hand, when a DC battery source is used, an LED may be used as a light source to save power dissipation so that the battery can be used longer.
Alternatively, when an external AC power supply is used or when desired display brightness is set to a value of, for example, 25 cd/m 2 , which is higher than a threshold value of, for example, 20 cd/m 2 , for a transmissive liquid crystal display device and an electronic apparatus with such a liquid crystal display device, a cold cathode fluorescent lamp may be used as a light source to thereby ensure satisfactory display quality. On the other hand, when a DC battery is employed as a power supply with desired brightness of, for example, 5 cd/m 2 or 20 cd/m 2 , which is equal to or lower than the threshold value, an LED may be used.
Now, preferred embodiments are described with reference to the accompanying drawings. Throughout the drawings, similar or same elements and functions are provided with the same reference numerals.
FIGS. 1A , 1 B and 1 C illustrate a liquid crystal display device 5 including a transmissive liquid crystal panel 54 with a backlight device 100 disposed on the rear surface of the panel 54 , in accordance with one embodiment of the present invention. FIG. 1A shows a front view of the liquid crystal display device 5 including the backlight device 100 , and a light source switching control unit 72 , a cold cathode fluorescent lamp driving unit 74 and an LED driving unit 76 which are associated with the liquid crystal display device 5 . In FIG. 1A , the liquid crystal panel 54 is shown with its part removed. (Similarly, in FIGS. 2A , 3 A, 4 A, 5 A, 6 A, 7 A, 8 A, 9 A, 10 A, 11 A and 12 A, the liquid crystal panel 54 is shown with its part removed.) FIG. 1B is a left side view of the liquid crystal display device 5 shown in FIG. 1A , and FIG. 1C is a bottom view of the liquid crystal display device 5 . FIG. 1D is useful for explaining the structure of a reflecting sheet or reflecting plate 53 . As indicated in FIGS. 1A , 1 B and 1 C, the vertical direction is defined as an X direction, the horizontal direction is defined as a Y direction, and the direction perpendicular to both of the X and Y directions is defined as a Z direction.
The cold cathode fluorescent lamp driving unit 74 is coupled to an external AC power supply (not shown) and to a DC battery (not shown). The LED driving unit 76 is coupled to the DC battery. The LED driving unit 76 may be additionally coupled to the external AC power supply. The light source switching control unit 72 activates selectively the cold cathode fluorescent lamp driving unit 74 and the LED driving unit 76 in response to an instruction IS from a microprocessor or microcontroller 70 of an electronic apparatus (not shown). The microprocessor provides the instruction IS in accordance with display brightness set by a user.
Referring to FIGS. 1A , 1 B and 1 C, the backlight device 100 includes a cold cathode fluorescent lamp 10 , a plurality of LED's 30 , a light guide bar or rod 40 , and a generally rectangular light guide plate 50 . Typically, the light guides 40 and 50 are made of acrylic resin. The light guide plate 50 is disposed behind the transmissive liquid crystal panel 54 in parallel therewith. The light guide plate 50 has a flat and rectangular surface facing the liquid crystal panel 54 , as shown in FIG. 1A , and has a downward tapered profile in the X-Z plane as shown in FIG. 1 B. In other words, the rear surface of the light guide plate 50 tapers downward in the X direction and forward in the Z direction. The light guide plate 50 has the largest thickness of about 2 mm at the top and the smallest thickness of about 1 mm at the bottom.
The light guide bar 40 has a tapered or wedge-shaped profile which is the same as the profile of the light guide plate 50 .
The rear surface of the light guide plate 50 is provided with a plurality of grooves 51 extending in the X direction so that a succession of a plurality of prismatic portions extending in the X direction and arranged in the Y direction can be formed, as shown in FIG. 1 C. The prismatic portions formed by the grooves 51 in the light guide plate 50 scatter light entering in the Y direction from the LED's 30 through the light guide bar 40 within the light guide plate 50 to direct it forward in the Z direction. In FIG. 1A , parts of base lines and ridges of some of the prisms or the grooves 51 , which extend in parallel with each other in the X direction, are shown by broken lines 52 .
The rear surface of the light guide plate 50 is covered with a known reflecting sheet or plate 53 . As shown in FIG. 1D , a number of protuberances having spherical surfaces or convex lens-shaped protuberances for scattering light are formed on the surface of the reflecting sheet 53 facing the light guide plate 50 .
The cold cathode fluorescent lamp 10 , which projects light toward the light guide plate 50 in the X direction, is disposed on the top surface of the light guide plate 50 . Thus, the cold cathode fluorescent lamp 10 functions as a side light for the liquid crystal display device 5 .
As described above, the LED's 30 are arranged on the left side surface of the light guide plate 50 . The LED's 30 emit light through the elongated light guide bar 40 to the light guide plate 50 . Thus, the LED's 30 also function as a side light of the liquid crystal display device 5 . Similarly to the rear surface of the light guide plate 50 , a plurality of grooves 41 extending in the Z direction are arranged in the X direction on the surface of the light guide bar 40 facing the LED's 30 so that prismatic portions can be formed. The grooves 41 or prismatic portions function to scatter light within the light guide bar 40 . Base lines and ridges of some of the prismatic portions are indicated by broken lines 42 in FIG. 1 B. Preferably, the LED's 30 are of the type emitting light which is white or approximately white.
The cold cathode fluorescent lamp 10 is enclosed in a cover formed by reflecting plates 16 , which opens toward the top surface of the light guide plate 50 . The LED's 30 and the light guide bar 40 are enclosed in a cover formed by reflecting plates 36 , which opens toward the light guide plate 50 . Typically, the reflecting plates 16 and 36 are made of aluminum and provided with a mirror surface film applied over their inner surfaces. Reflecting sheets 58 cover the bottom and right side surfaces of the light guide plate 50 , as shown in FIG. 1 A. Throughout the drawings, except FIG. 1D , the portions of the reflecting plates and sheets 16 , 36 and 58 and other elements located on the viewer's side are not shown to facilitate understanding of the structure of the backlight device 100 .
In operation, in the electronic apparatus including the liquid crystal display device 5 shown in FIGS. 1A , 1 B and 1 C with the backlight device 100 , when the desired brightness set by the user is higher than a threshold value of, for example, 20 cd/m 2 , the processor 70 supplies an instruction IS for selecting the cold cathode fluorescent lamp and designating the magnitude of the display brightness to the light source switching control unit 72 . In response to the instruction IS from the microprocessor 70 , the light source switching control unit 72 supplies a control signal CTRL to activate the cold cathode fluorescent lamp driving unit 74 which powers the cold cathode fluorescent lamp 10 , and also causes the cold cathode fluorescent lamp driving unit 74 to control the brightness of the cold cathode fluorescent lamp 10 in accordance with the desired brightness.
When the desired display brightness set by the user is equal to or lower than the threshold value of 20 cd/m 2 , the processor 70 supplies the instruction IS for selecting the LED's and designating the magnitude of the display brightness to the light source switching control unit 72 . In response to this instruction IS, the light source switching control unit 72 provides a control signal CTRL to activate the LED driving unit 76 which powers the LED's 30 , and also causes the LED driving unit 76 to control the brightness of the LED's 30 in accordance with the desired display brightness.
In an alternative arrangement, when the electronic apparatus is operated from an AC power supply, the processor 70 may supply the light source switching control unit 72 with an instruction IS for causing the cold cathode fluorescent lamp to be selected and for designating the magnitude of the display brightness. In response to this instruction IS, the light source switching control unit 72 provides a control signal CTRL to activate the cold cathode fluorescent lamp driving unit 74 which powers the cold cathode fluorescent lamp 10 , and also causes the cold cathode fluorescent lamp driving unit 74 to control the brightness of the cold cathode fluorescent lamp 10 for providing a desired display brightness in a relatively high brightness range of, for example, 15 cd/m 2 and higher. On the other hand, when the electronic apparatus is operated from a DC battery, the processor 70 supplies the light source switching control unit 72 with an instruction IS for causing the LED's to be selected and for designating the magnitude of the display brightness. In response to this instruction IS, the light source switching control unit 72 provides a control signal CTRL to activate the LED driving unit 76 which powers the LED's 30 , and also causes the LED driving unit 76 to control the brightness of the LED's 30 for providing a desired display brightness in a relatively low brightness range of, for example, from 5 cd/m 2 to 20 cd/m 2 .
In a still alternative arrangement, when the electronic apparatus is powered from an AC power supply, or when the electronic apparatus is powered from a DC battery and the desired brightness designated by the user is higher than a threshold value of, for example, 20 cd/m 2 , the processor 70 may supply the light source switching control unit 72 with an instruction IS for selecting the cold cathode fluorescent lamp and designating the magnitude of the display brightness. In response to this instruction IS, the light source switching control unit 72 supplies the cold cathode fluorescent lamp driving unit 74 with a control signal CTRL to activate the cold cathode fluorescent lamp driving unit 74 , and also causes the cold cathode fluorescent lamp driving unit 74 to control the brightness of the cold cathode fluorescent lamp 10 in accordance with the desired brightness designated by the user. On the other hand, when the electronic apparatus is operated from a DC battery and the desired brightness designated by the user is equal to or lower than the threshold value of 20 cd/m 2 , the processor 70 supplies the light source switching control unit 72 with an instruction IS for selecting the LED's and designating the magnitude of the display brightness. In response to this instruction IS, the light source switching control unit 72 supplies the LED driving unit 76 with a control signal CTRL to activate the LED driving unit 76 , and also causes the LED driving unit 76 to control the brightness of the LED's 30 in accordance with the desired brightness designated by the user.
Light is projected downward into the light guide plate 50 from the cold cathode fluorescent lamp 10 as represented by broken line arrows in FIG. 1A , and scattered and reflected by the reflecting sheet 53 on the slanting rear surface of the light guide plate 50 and by the reflecting sheets 58 on the right side and bottom surfaces of the light guide plate 50 so that it can be directed to the liquid crystal panel 54 as indicated by broken line arrows in FIG. 1 B. Light emitted by the LED's 30 , represented by broken line arrows in FIG. 1A , is projected rightward toward the light guide plate 50 through the light guide bar 40 . Because of the grooves 41 in the light guide bar 40 , the light is scattered in the light guide bar 40 , and the scattered light enters into the light guide plate 50 . The scattered light entering the light guide plate 50 is, then, scattered and reflected again by the prismatic portions formed by the grooves 51 in the rear surface of the light guide plate 50 and is directed to the liquid crystal panel 54 as represented by broken line arrows in FIG. 1 C.
As described, the use of the cold cathode fluorescent lamp 10 as the backlight source ensures good display quality, while the use of the LED's 30 as the backlight source can prolong the life of the DC battery used as the power source.
FIGS. 2A and 2B show a liquid crystal display device with a backlight device 101 in accordance with another embodiment of the present invention. FIG. 2A is a front view of the liquid crystal display device including the backlight device 101 , and FIG. 2B is a right side view of the liquid crystal display device shown in FIG. 2 A. Similarly to the embodiment shown in FIG. 1A , a cold cathode fluorescent lamp 10 of FIG. 2A is connected to a cold cathode fluorescent lamp driving unit 74 similar to the one shown in FIG. 1A , and LED's 30 of FIG. 2A are connected to an LED driving unit 76 similar to the one shown FIG. 1A , although the driving units 74 and 76 are not shown in FIG. 2 A.
The liquid crystal display device shown in FIGS. 2A and 2B include a rectangular light guide plate 502 having a uniform thickness of about 2 mm. The cold cathode fluorescent lamp 10 is disposed on the upper surface of the light guide plate 502 . A plurality of LED's 30 , which emit light directly into the light guide plate 502 , are disposed beneath the bottom surface of the light guide plate 502 . A liquid crystal panel 54 is disposed in front of the light guide plate 502 . The cold cathode fluorescent lamp 10 is enclosed in a cover formed by reflecting plates or sheets 16 which opens toward the light guide plate 502 , and the LED's 30 are enclosed in a cover formed by reflecting plates or sheets 36 , which opens toward the light guide plate 502 . The left and right side surfaces of the light guide plate 502 are covered with reflecting sheets 58 .
Light from the cold cathode fluorescent lamp 10 is projected downward into the light guide plate 502 as represented by broken line arrows, and scattered and reflected by the reflecting sheet 53 on the rear surface of the light guide plate 502 and also by the reflecting sheets 58 on the left and right side surfaces of the light guide plate 502 . Light from the cold cathode fluorescent lamp 10 is then directed toward the liquid crystal panel 54 as shown in FIG. 2 B.
Light from the LED's 30 is projected upward as represented by broken line arrows, scattered and reflected by the reflecting sheet 53 on the rear surface of the light guide plate 502 , and directed to the liquid crystal panel 54 , as shown in FIG. 2 B. In this embodiment, the light guide bar 40 used in the embodiment shown in FIGS. 1A-1C is not required, but, since an LED, in general, has directivity regarding light emission, causing light to diverge forward, there may be dark portions in the bottom of the light guide plate 502 at locations where no LED's 30 are disposed. Accordingly, as the LED's for this embodiment, low directivity LED's, which may be provided by appropriately designing mold resin for them, are preferred.
FIGS. 3A and 3B illustrate a liquid crystal display device with a backlight device 103 in accordance with a further embodiment of the invention. FIG. 3A is a front view of the liquid crystal display device including the backlight device 103 , and FIG. 3B is a right side view of the liquid crystal display device of FIG. 3 A. Although not shown in FIG. 3A , a cold cathode fluorescent lamp 10 of FIGS. 3A and 3B is connected to a cold cathode fluorescent lamp driving unit 74 similar to the one shown in FIG. 1A , and LED's 32 and 34 is connected to an LED driving unit 76 similar to the one shown in FIG. 1 A.
The backlight device 103 includes an elongated light guide bar 44 extending along the bottom surface of a light guide plate 503 . The LED's 32 are arranged on the right end surface of the light guide bar 44 , and the LED's 34 are arranged on the left end surface of the light guide bar 44 . Similarly to the light guide bar 40 of FIG. 1A , the light guide bar 44 includes a plurality of grooves 41 extending in the Z direction which are arranged in the Y direction such that a succession of prismatic portions are formed in the bottom portion of the light guide bar 44 . Also, as shown in FIG. 3B , the rear surface of the light guide plate 503 is provided with a plurality of grooves 51 which extend in the horizontal direction Y such that a succession of prismatic portions arranged in the X direction can be formed in the rear portion of the light guide plate 503 . By virtue of the grooves 51 , light propagating in the X direction in the light guide plate 503 is scattered and reflected so that it is projected forward in the Z direction to a liquid crystal panel 54 . The front, rear and bottom surfaces of the light guide bar 44 are covered with reflecting sheets 58 . The remainder of the structure of the backlight device 103 is similar to the backlight device 101 shown in FIGS. 2A and 2B , and is not described again.
As represented by broken line arrows in FIGS. 3A and 3B , light emitted by the LED's 32 and 34 enters into the light guide bar 44 , where it is scattered by the prismatic portions formed by the grooves 41 , and the scattered light is directed upward into the light guide plate 503 . The scattered light entering into the light guide plate 503 is scattered by the prismatic portions formed by the grooves 51 and reflected by the reflecting sheet 53 to be projected toward the liquid crystal panel 54 as represented by broken line arrows in FIG. 3 B. In this manner, the light guide bar 44 produces a uniform brightness over the entire light guide plate 503 .
As represented by broken line arrows, the cold cathode fluorescent lamp 10 projects light into the light guide plate 503 , as in the embodiment shown in FIGS. 2A and 2B . The light entering into the light guide plate 503 is scattered by the prismatic portions in the rear surface of the plate 503 and reflected by the reflecting sheet 53 to be projected toward the liquid crystal panel 54 .
FIGS. 4A and 4B illustrate a liquid crystal display device with a backlight device 105 in accordance with a still further embodiment of the invention. FIG. 4A is a front view of the liquid crystal display device with the backlight device 105 , and FIG. 4B is a right side view of the liquid crystal display device of FIG. 4 A.
In FIGS. 4A-4B , 5 A- 5 B, 6 A- 6 C, 7 A- 7 C, 8 A- 8 C, 9 A- 9 C, 10 A- 10 B , 11 A- 11 B and 12 A- 12 C, although not shown, a cold cathode fluorescent lamp driving unit 74 similar to the one shown in FIG. 1A is connected to a cold cathode fluorescent lamp 10 , and an LED driving unit 76 similar to the one shown in FIG. 1A is connected to LED's 32 , 34 and the like.
The backlight device 105 includes a light guide plate 506 which is similar to the light guide plate 50 shown in FIGS. 1A through 1C and, therefore, tapered or wedged downward. The thickest, top portion has a thickness of about 2 mm, and the thinnest, bottom portion has a thickness of about 1 mm. The rear surface of the light guide plate 506 can be planar. The light guide bar 44 for scattering light is disposed between the upper surface of the tapered light guide plate 506 and the cold cathode fluorescent lamp 10 , and the LED 32 is disposed at the right end of the light guide bar 44 , and the LED 34 is disposed at the left end of the light guide bar 44 . Similarly to the light guide bar 44 of FIG. 3A , a plurality of grooves 41 extending in the Z direction and arranged in the Y direction are formed in the upper surface of the light guide bar 44 . Similarly to the embodiment shown in FIGS. 3A and 3B , the cold cathode fluorescent lamp 10 is enclosed in a cover formed of reflecting plates 16 , and the LED's 32 and 34 are enclosed in covers formed of reflecting plates 36 . The rear surface of the light guide plate 506 is covered with a reflecting sheet 53 . Also, the right and left side surfaces and the bottom surface of the light guide plate 506 are covered with reflecting sheets 58 . Further, although not shown, the front and rear surfaces of the light guide bar 44 are covered with the reflecting sheets 58 . In this embodiment, since the light guide plate 506 is tapered or wedged, the size and weight of the liquid crystal display device can be reduced.
Light from the cold cathode fluorescent lamp 10 , as represented by broken line arrows, passes through the light guide bar 44 into the light guide plate 506 , and is scattered and reflected by the reflecting sheet 53 on the rear surface of the light guide plate 506 to be directed to the liquid crystal panel 54 , as shown in FIG. 4 B. Light from the LED's 32 and 34 , as represented by broken line arrows, passes in the Y direction into the light guide bar 44 and is scattered by the prismatic portions formed in the light guide bar 44 by the grooves 41 . The scattered light is directed downward into the light guide plate 506 , further scattered and reflected by the reflecting sheet 53 on the rear surface of the light guide plate 506 , and directed to the liquid crystal panel 54 .
FIGS. 5A and 5B illustrate a liquid crystal display device with a backlight device 107 in accordance with a still further embodiment of the invention. FIG. 5A is a front view of the liquid crystal display device including the backlight device 107 . FIG. 5B is a right side view of the liquid crystal display device of FIG. 5 A. FIG. 5A shows the liquid crystal display device with parts of a cold cathode fluorescent lamp 10 and a reflecting sheet 16 removed in order to show a portion of a light guide bar 44 disposed behind the cold cathode fluorescent lamp 10 .
The backlight device 107 includes a light guide plate 508 tapered or wedged, similarly to the light guide plate 506 shown in FIGS. 4A and 4B . The top portion of the light guide plate 508 has the largest thickness of about 3 mm, and the thinnest, bottom portion has a thickness of about 1.5 mm. On top of the light guide plate 508 , light bar guide 44 is disposed and the light scattering, light guide bar 44 is also disposed behind the lamp 10 . An LED 32 is disposed at the right end of the cold cathode fluorescent lamp 10 , and an LED 34 is disposed at the left end of the light bar guide 44 . In the upper surface of the light guide bar 44 , a plurality of grooves 41 similar to the grooves 41 in the bar 44 shown in FIGS. 4A and 4B , extending in the Z direction are arranged in the Y direction. The cold cathode fluorescent lamp 10 is enclosed in a cover formed of reflecting plates 16 which is similar to the cover shown in FIGS. 4A and 4B , and the LED's 32 and 34 are enclosed in covers formed of reflecting plates 36 like the ones shown in FIGS. 4A and 4B . The left and right side and bottom surfaces of the light guide plate 508 are covered with reflecting sheets 58 . The upper, front and rear surfaces of the light guide bar 44 are also covered with the reflecting sheets 58 .
Light from the cold cathode fluorescent lamp 10 propagates downward and enters directly into the light guide plate 508 , as indicated by broken line arrows, and is scattered and reflected by the reflecting sheet 53 disposed on the rear surface of the light guide plate 508 to be projected toward the liquid crystal panel 54 , as represented by broken line arrows in FIG. 3 B. As in the embodiment shown in FIGS. 4A and 4B , light from the LED's 32 and 34 is emitted in the horizontal Y direction and is scattered by the prismatic portions formed by the grooves 41 in the light guide bar 44 . The scattered light is projected downward into the light guide plate 508 and is further scattered and reflected by the reflecting sheet 53 on the rear surface of the light guide plate 508 to be projected toward the liquid crystal panel 54 .
Since light from the cold cathode fluorescent lamp 10 enters directly into the light guide plate 508 , it is attenuated less than in the embodiment of FIGS. 4A and 4B . When the cold cathode fluorescent lamp 10 is energized, the upper portion of the liquid crystal panel 54 may be darker than the rest because of the thickness in the upper portion of the light guide plate 508 . If such occurs, the LED's 32 and 34 as well as the cold cathode fluorescent lamp 10 can be energized to supplement the low brightness provided by the cold cathode fluorescent lamp 10 in the upper portion of the liquid crystal panel 54 .
FIGS. 6A , 6 B and 6 C illustrate a liquid crystal display device with a backlight device 109 in accordance with a still further embodiment of the invention. FIG. 6A is a front view of the liquid crystal display device including the backlight device 109 . FIGS. 6B and 6C are right side and bottom views, respectively, of the liquid crystal display device of FIG. 6 A.
The backlight device 109 includes a tapered or wedge-shaped light guide plate 510 similar to the light guide plate 50 of the embodiment shown in FIGS. 1A , 1 B and 1 C, with a thickest, top portion having a thickness of about 2 mm and a thinnest, bottom portion having a thickness of about 1 mm. The light guide plate 510 is provided with a plurality of grooves 51 extending in the vertical X direction. A cold cathode fluorescent lamp 10 is disposed on top of the light guide plate 510 , which emits light toward the light guide plate 510 . On and along the right side surface of the light guide plate 510 , there is disposed an elongated, wedge-shaped light guide bar 46 . Also an elongated, wedge-shaped light guide bar 47 is disposed on and along the left side surface of the light guide plate 510 . The front surfaces of the light guide bars 46 and 47 are in parallel with a liquid crystal panel 54 , and the left and right side surfaces of the light guide bars 46 and 47 are in parallel with the right and left side surfaces of the light guide plate 510 . The rear surfaces of the light guide bars 46 and 47 slant downward, as the light guide plate 510 . A plurality of grooves 41 extending in the Z direction and arranged in the X direction are formed in each of the right and left side surfaces, i.e. outer surfaces, of the light guide bars 46 and 47 , respectively, similarly to the light guide bar 44 shown in FIG. 3 A. On the top and bottom end surfaces of the light guide bar 46 , LED's 32 and 34 are disposed, respectively. Similarly, on the top and bottom end surfaces of the light guide bar 47 , LED's 33 and 35 are disposed, respectively. The cold cathode fluorescent lamp 10 is covered with reflecting plates 16 , leaving the lower side open, and the LED's 32 , 33 , 34 and 35 are covered with reflecting plates 36 , leaving the sides facing the light guide bars 46 and 47 open. The rear and bottom surfaces of the light guide plate 510 are covered with a reflecting sheet 53 and a reflecting sheet 58 , respectively. The front, right side and rear side surfaces of the light guide bar 46 are covered with the reflecting sheets 58 , and the front, left side and rear surfaces of the light guide bar 47 are also covered with the reflecting sheets 58 .
As represented by broken line arrows, light from the cold cathode fluorescent lamp 10 is projected downward into the light guide plate 510 and scattered and reflected by the reflecting sheet 53 disposed on the slanting rear surface of the light guide plate 510 to be projected toward a liquid crystal panel 54 , as represented by broken line arrows in FIG. 6 B. The LED's 32 and 33 emit light vertically downward into the light guide bars 46 and 47 , respectively, and the LED's 34 and 35 emit light vertically upward into the light guide bars 46 and 47 , respectively. The light from the LED's 32 , 33 , 34 and 35 is then scattered and reflected by the prismatic portions formed by the grooves 41 in the light guide bars 46 and 47 and directed horizontally into the light guide plate 510 . The light entering into the light guide plate 510 is then scattered by the prismatic portions formed by the grooves 51 and directed toward the liquid crystal panel 54 . In this embodiment, the LED's 32 , 33 , 34 and 35 are disposed, being spaced from each other. Accordingly, a more uniform distribution of brightness can be realized over the liquid crystal panel 54 , whereby the brightness can be increased efficiently.
FIGS. 7A , 7 B and 7 C illustrate a liquid crystal display device with a backlight device 111 hi accordance with a still further embodiment of the invention. FIG. 7A is a font view of the liquid crystal display device including the backlight device 111 . FIGS. 7B and 7C are right side and bottom views, respectively, of the liquid crystal display device of FIG. 7 A.
The backlight device 111 includes a light guide plate 512 having a downward tapered or wedge-shaped profile like the light guide plate 50 of the embodiment shown in FIGS. 1A-1C , and elongated light guide bars 48 and 49 disposed on and along the right and left side surfaces of the light guide plate 512 . Each of the light guide bars 48 and 49 has parallel top and bottom surfaces like the light guide bars of the embodiments of FIGS. 1A-1C and FIGS. 6A-6C . The top surface has a larger size of about 2 mm×about 2 mm than the bottom surface which has a size of about 1 mm×about 1 mm. The side surfaces of the light guide bars 48 and 49 adjacent to the light guide plate 512 are in parallel with the side surfaces of the plate 512 , and the front surfaces of the light guide bars 48 and 49 are in line with the front surface of the light guide plate 512 . Thus, the light guide bar 48 tapers downward with the rear surface slanting forward and with the right side surface slanting leftward. Similarly, the light guide bar 49 tapers downward with the rear surface slanting forward and with the left side surface slanting rightward.
An LED 32 is disposed on the top surface of the light guide bar 48 , and an LED 33 is disposed on the top surface of the light guide bar 49 . The remainder of the structure of the backlight device 111 is the same as the backlight device 109 shown in FIGS. 6A-6C , and is not described again.
Since the light guide bars 48 and 49 have their side surfaces tapered in addition to their rear surfaces, the size and weight of the liquid crystal display device can be reduced.
Light from the cold cathode fluorescent lamp 10 , as represented by broken line arrows, is projected downward into the light guide plate 512 and scattered and reflected by a reflecting sheet 53 on the rear surface of the light guide plate 512 to be projected toward a liquid crystal panel 54 , as represented by broken line arrows in FIG. 6 B. The LED's 32 and 33 emit light downward into the light guide bars 48 and 49 , respectively, as represented by broken line arrows, and the light is reflected by reflecting sheets 58 on their slanting side surfaces to enter horizontally into the light guide plate 512 where it is scattered by the prismatic portions formed by grooves 51 in the rear surface of the light guide plate 512 and directed toward the liquid crystal panel 54 .
FIGS. 8A , 8 B and 8 C illustrate a liquid crystal display device with a backlight device 113 in accordance with a still further embodiment of the invention. FIG. 8A is a front view of the liquid crystal display device including the backlight device 113 . FIGS. 8B and 8C are right side and bottom views, respectively, of the liquid crystal display device of FIG. 8A. A liquid crystal panel 54 disposed in front of the backlight device 113 is not shown in FIG. 8 C.
The backlight device 113 includes a modified wedge-shaped light guide plate 514 . The front surface of the light guide plate 514 is in parallel with the liquid crystal panel 54 . The light guide plate 514 has symmetrical right and left halves with respect to a vertical center line CL. The light guide plate 514 tapers from the left and right sides toward the center line CL so that it is thinnest along the center line CL. The light guide plate 514 tapers also from the top toward the bottom. The rear surface of the light guide plate 514 is covered with a reflecting sheet 53 . The remainder of the structure of the backlight device 113 , including light guide bars 48 and 49 disposed along the side surfaces of the light guide plate 514 , is the same as the backlight device 111 shown in FIGS. 7A , 7 B and 7 C, and is not described again.
By making the light guide plate 514 thinnest along the vertical center line CL, light emitted by the LED's 32 and 33 entering inward into the light guide plate 514 can be efficiently directed toward the liquid crystal panel 54 .
As represented by broken line arrows, light from a cold cathode fluorescent lamp 10 enters downward into the light guide plate 514 and is scattered and reflected by the reflecting sheet 53 to propagate toward the liquid crystal panel 54 as indicated by broken line arrows in FIG. 8 B. LED's 32 and 33 emit downward directed light into the light guide bars 48 and 49 , respectively. The light is, then, reflected by a reflecting sheet 58 on each of the outer side surfaces and enters horizontally in the Y direction into the light guide plate 514 where it is scattered and reflected by the reflecting sheet 53 to propagate toward the liquid crystal panel 54 , as shown in FIG. 8 B.
FIGS. 9A , 9 B and 9 C illustrate a liquid crystal display device with a backlight device 115 in accordance with a still further embodiment of the invention. FIG. 9A is a front view of the liquid crystal display device including the backlight device 115 . FIGS. 9B and 9C are right side and bottom views, respectively, of the liquid crystal display device of FIG. 9 A. In FIG. 9C , a liquid crystal panel 54 disposed in front of the backlight device 115 is not shown.
The structure and design of the backlight device 115 is the same as the right half of the backlight device 113 shown in FIGS. 8A-8C . The backlight device 115 requires only one LED 32 and only one light guide bar 48 , but an LED that can provide higher brightness may have to be used as the LED 32 .
FIGS. 10A and 10B illustrate a liquid crystal display device with a backlight device 117 in accordance with a still further embodiment of the invention. FIG. 10A is a front view of the liquid crystal display device including the backlight device 117 . FIG. 10B is a right side view of the liquid crystal display device of FIG. 10 A.
The backlight device 117 includes a downward tapering light guide plate 519 which a typical liquid crystal display device employs, and an additional light guide plate 518 disposed between the light guide plate 519 and a liquid crystal panel 54 . The light guide plate 518 has substantially parallel front and rear surfaces, parallel top and bottom surfaces and parallel side surfaces, and is provided with a plurality of grooves 51 extending in the Y direction in the rear surface. The grooves 51 are arranged in succession in the X direction, whereby a succession of prismatic portions are formed in the rear portion of the light guide plate 518 . The prismatic portions scatters light entering into the light guide plate 518 in the X direction so that the light can propagate in the Z direction. An elongated light guide bar 44 for scattering light is disposed to extend on and along the top surface of the light guide plate 518 . Similarly to the light guide bar 44 shown in FIGS. 4A and 4B , a plurality of grooves 41 extending in the Z direction are formed in the top surface of the light guide bar 44 . The grooves 41 are arranged in succession along the Y direction. LED's 32 and 34 are disposed adjacent to the right and left ends of the light guide bar 44 . A cold cathode fluorescent lamp 10 is disposed on top of the wedge-shaped light guide plate 519 .
The upper, front and rear sides of the cold cathode fluorescent lamp 10 are covered with reflecting plates 16 . The LED's 32 and 34 are covered with reflecting plates 36 , except the inward facing sides. The left and right side surfaces and the bottom surfaces of the light guide plates 518 and 519 are covered with reflecting sheets 58 . The rear surface of the light guide plate 519 is also covered with a reflecting sheet 53 . The top, front and rear surfaces of the light guide bar 44 are covered with the reflecting sheets 58 .
Light from the cold cathode fluorescent lamp 10 is directed from the top surface of the light guide plate 519 downward into it, where it is scattered and reflected by the reflecting sheet 53 on the rear surface of the light guide plate 519 and directed toward the liquid crystal panel 54 , as represented by broken line arrows in FIGS. 10A and 10B .
The LED's 32 and 34 emit light, as represented by broken line arrows, in the horizontal Y direction into the light guide bar 44 through its right and left end surfaces. The light is, then, scattered by the prismatic portions in the top portion of the light guide bar 44 and directed downward into the light guide plate 518 , where it is further scattered by the prismatic portions provided by the horizontally extending grooves 51 and is directed toward the liquid crystal panel 54 , as shown in FIG. 10 B. Part of light entering through the rear surface of the light guide plate 518 into the light guide plate 519 is reflected by the reflecting sheet 53 back into the light guide plate 518 and propagates toward the liquid crystal panel 54 , as shown in FIG. 10 B.
FIGS. 11A and 11B illustrate a liquid crystal display device with a backlight device 119 in accordance with a still further embodiment of the invention. FIG. 11A is a front view of the liquid crystal display device including the backlight device 119 . FIG. 11B is a right side view of the liquid crystal display device of FIG. 11 A. The backlight device 119 is the same as the backlight device 105 shown in FIGS. 4A and 4B , except that the backlight device 119 includes a plurality of LED's 12 disposed at the right end of the light guide bar 44 and a plurality of LED's 34 disposed at the left end of the light guide bar 44 . The backlight device 119 can provide increased brightness by the use of plural LED's 32 and 34 .
FIGS. 12A , 12 B and 12 C illustrate a liquid crystal display device with a backlight device 121 in accordance with a still further embodiment of the invention. FIG. 12A is a front view of the liquid crystal display device including the backlight device 121 . FIGS. 12B and 12C are right side and bottom views, respectively, of the liquid crystal display device of FIG. 12 A. The backlight device 121 is similar to the backlight device 109 shown in FIGS. 6A , 6 B and 6 C, except that a combination of LED's 32 and 34 and a light guide bar 44 is disposed on top of the light guide plate 510 in place of the cold cathode fluorescent lamp 10 and that two cold cathode fluorescent lamps 10 and 11 are disposed on the right and left side surfaces, respectively, of the light guide plate 510 in place of the combination of the LED's 32 and 34 with the light guide bar 44 and the combination of the LED's 33 and 35 with the light guide bar 47 .
The LED's 32 and 34 are disposed on the right and left end surfaces, respectively, of the light guide bar 44 disposed on top of the light guide plate 510 . The light guide bar 44 has a plurality of grooves extending in the Z direction arranged in the Y direction.
Although the two cold cathode fluorescent lamps 10 and 11 are used in this embodiment, only one cold cathode fluorescent lamp may be used.
Each of the cold cathode fluorescent lamps 10 and 11 is surrounded by reflecting plates 16 , except the side facing the light guide plate 510 . Each of the LED's 32 and 34 is also surrounded by reflecting plates 36 , except the side facing the light guide bar 44 . Also, the light guide bar 44 is surrounded by reflecting sheets 58 , except the side facing the light guide plate 510 .
The wedge-shaped light guide plate 510 has the same shape and configuration as the light guide plate 510 shown in FIGS. 6A , 6 B and 6 C, and is not described again.
Light from the cold cathode fluorescent lamps 10 and 11 enters in the horizontal Y direction into the light guide plate 510 , as represented by broken line arrows in FIG. 12A , where it is scattered by the prismatic portions formed in the rear portion of the light guide plate 510 by the grooves 51 , so that it can propagate toward a liquid crystal panel 54 , as shown in FIG. 12 C.
Light from the LED's 32 and 34 enters into the light guide bar 44 in the horizontal Y direction, as represented by broken line arrows in FIG. 12A , where it is scattered by the prismatic portions formed by the grooves 41 and directed downward into the light guide plate 510 . The light from the light guide bar 44 , then, is scattered and reflected by the reflecting sheet 53 on the rear surface of the light guide plate 510 so as to be directed toward the liquid crystal panel 54 , as represented by broken line arrows in FIG. 12 B.
The above-described embodiments are only typical examples, and a person skilled in the art may readily modify the illustrated embodiments to realize the objects of the present invention based on the principle of the present invention without departing the scope of the invention as defined by the accompanying claims, by, for example, appropriately combining the elements of the embodiments. | A backlight device for a transmissive liquid crystal display device includes a plurality of light sources, including a cold cathode fluorescent lamp and an LED, a liquid crystal panel, and a light guide plate. The light guide plate causes light entering into it through one surface thereof to emerge out of another surface thereof toward the liquid crystal panel. A controller for the backlight device selects at least one of the cold cathode fluorescent lamp and LED, depending on brightness required for the liquid crystal display device and determines, in accordance with the required brightness, the brightness of the selected light source to operate the light source accordingly. | 54,037 |
CROSS-REFERENCES TO RELATED APPLICATIONS
[0001] This application is a continuation of international patent application PCT/EP2014/057572, filed on Apr. 15, 2014 designating the U.S., which international patent application has been published in German language and claims priority from German patent application DE 10 2013 104 265.1, filed on Apr. 26, 2013. The entire contents of these priority applications are incorporated herein by reference.
BACKGROUND OF THE DISCLOSURE
[0002] This disclosure relates to an apparatus for safeguarding a monitoring area in which an automatically operating machine is disposed, with a sensor unit for monitoring the monitoring area, with a configuration unit for defining at least one first and one second protection area, and with an evaluation unit for triggering a safety-related function.
[0003] The disclosure further relates to a corresponding method and a corresponding computer program for safeguarding a monitoring area in which an automatically operating machine is disposed.
[0004] With modern industrial robots that move at considerable speeds, collisions generally result in serious damage, both to the robots and to the workpieces being handled by the same. This can result in costly production outages. The safety of persons that are interacting with the automatically operating robots also has the highest priority. With modern industrial robots and other machines with moving machine elements, the movement of which constitutes a risk for persons and other objects, a collision between the moving machine elements and a foreign object must therefore be prevented from occurring by using safety devices. For this it is usually sufficient to bring the machine to a standstill before an unintentional contact occurs.
[0005] Traditionally, hazard areas around automatically operating machines are fenced off with mechanical barriers in the form of protection fences and protection doors and/or using light barriers, light grids and laser scanners. Once a person opens a protection door or interrupts a light grid or a light barrier, a switch-off signal is produced, with which the hazardous working displacement of the machine is stopped. The installation of such safety devices is however rather expensive and the safety devices require a lot of space around a hazardous machine. Moreover, such safety devices are not very flexible when it comes to adapting the safeguarding of the hazardous working area to different operating situations of the machine.
[0006] In order to avoid said disadvantages, there have been efforts for some time to implement the safeguarding of the hazardous working area of an automatically operating machine using camera systems and suitable image processing. One such system is distributed by the applicant under the name SafetyEYE.
[0007] EP 1 543 270 B1 discloses such a system with at least two cameras, which cyclically produce images of the hazardous working area. The images from the cameras are analyzed with at least two algorithmically different methods, wherein the hazardous working displacement of the machine is stopped if at least one of the two methods results in detection of a foreign object in a previously defined protection area. Each of the two analysis methods produces 3D information from the images from the cameras, so that the position of objects in the defined protection area can be determined using the methods. A great challenge for such methods and apparatuses is that the already complex image processing has to be implemented fail-safe in the sense of relevant standards for machine safety, in particular EN 954-1 (obsolete), EN ISO 13849-1, IEC 61508 and EN ISO 13855, so that such an apparatus can actually also be used for safeguarding a hazardous machine. A failure of the apparatus itself may not result in the safeguarding of the machine being lost. An apparatus below that at least achieves Category 3 according to EN 954-1, SIL 2 according to IEC 61508 and/or the Performance Level PL (d) according to EN ISO 13849 therefore qualifies as fail-safe in this sense. The method known from EP 1 543 270 B1 and a corresponding apparatus can achieve this and have already proved themselves in practical applications.
[0008] An increasingly occurring desire under the aforementioned topic is for the improvement of the man-machine interaction. The focus here mainly lies in developing the safety systems to enable people to work in immediate proximity to a hazardous machine without this causing a risk to the people, but also without the machines being unintentionally shut down too often because of the persons present in the immediate vicinity thereof. For example, it is desirable that a person can remain in the basically hazardous surroundings of a robot while the robot is working in order to monitor the working processes of the robot in situ or in order to process a workpiece simultaneously or alternately with the robot. Nevertheless, it must further be ensured that the person is not injured by the working displacements of the robot.
[0009] With the aforementioned camera-based safety systems, mainly virtual protection areas must be defined around the machine. The camera system then detects whether a foreign object enters such a protection area and then switches off the machine or brings the machine into a safe state. In order to be able to guarantee sufficient safety, the protection areas for this are defined at a relatively large distance around the machines. The safety distances to be maintained are based on the standards EN ISO 13855: 2010 and EN ISO 13857:2008.
[0010] The general formula for calculating the minimum distance reads:
[0000] S=K ·( t 1 +t 2 )+ C+Z g
[0000] where:
S=minimum distance in mm measured from the start of the protection area to the source of the hazard; K=approach speed with which the object to be detected approaches the hazard area in mm/s (for the aforementioned camera-based safety systems this is mostly assumed to be K=1600 mm/s); t 1 =response time of the safety system (for the aforementioned camera-based safety systems this is generally assumed to be t 1 =0.34 s); t 2 =response time of the machine (e.g. robot, assumed to be 0.7 s); Z g =allowance for measurement tolerance of the safety system; C=penetration depth. This is defined as the distance by which a body part can move past the safety device towards the hazard area before the safety device is triggered.
[0017] An exemplary, realistic calculation of the safety distance for the aforementioned camera-based safety systems would be given by the following:
[0000]
S
=
K
·
(
t
1
+
t
2
)
+
C
+
Z
g
=
1600
mm
/
s
·
(
0.34
s
+
0.7
s
)
+
850
mm
+
316
mm
=
2.83
m
[0018] The magnitude of said safety distance is usually determined by the maximum working area to be reached by the robot if the robot does not have a mechanical stop. This means that the safety area surrounds the robot relatively widely. Bearing in mind that most robots actually only very rarely use their maximum possible working area in practice, a value of 3 m starting from the maximum working area of the robot to be reached appears to be generous or large. As a result the required safety level can indeed be guaranteed, but this takes up a great deal of space. This would thus also make it difficult to install a plurality of robots adjacent to each other in a relatively small space, which would prove disadvantageous particularly in production halls with a plurality of such robots. It would therefore be desirable in principle to be able to limit the spatial extent of the virtual protection areas somewhat without this adversely affecting the safety to be guaranteed.
[0019] DE 10 2007 007 576 A1 proposes a method and an apparatus for safeguarding the hazardous working area of a robot, wherein a 3D image of the working area is produced and a kinematic human model is associated with a person present within the working area. The 3D image is analyzed as to whether the actual state of the working area deviates from a target state of the working area, wherein the target positions of the person are taken into account by means of the kinematic human model. Said method and the corresponding apparatus should enable human-robot collaboration. Because of the target-actual comparison, a person in the working area of the robot must however move exactly according to the target state in the kinematic human model. Suitable modelling appears complex and it limits flexibility in any case, because adaptation to new operating situations requires new modelling in each case. Moreover, DE 10 2007 007 576 A1 proposes the use of scanners as sensor units, which have a single-fault tolerance according to category 3 of the EN 954-1. Furthermore, a cyclical or continuous check of the functionality of the sensor units is proposed, and the displacement of the robot during the checking phase should be monitored using safety-related technology, such as for example by redundant recording and analysis of the axial positions of the robot-system. However, DE 10 2007 007 576 A1 contains no information about the analysis of the 3D images and the underlying modelling being able to provide the fail safety necessary for the safeguarding of hazardous working areas.
[0020] EP 1 635 107 A1 approaches the problem of defining very small protection areas by coupling an evaluation unit for defining a hazard area to the machine control unit of the machine, and by designing the evaluation unit to derive the parameters necessary for the definition of the hazard area from the control signals used by the machine control unit for displacement control of the machine. The parameters necessary for the definition of the hazard area are also determined based on the parameters used for the machine control unit (e.g. position, speed of displacement and direction of displacement of the robot arm). The hazard area thus moves dynamically, i.e. with the robot arm. The machine itself is by definition always disposed within the hazard area for this. Such a dynamic definition of the hazard area or protection area would be relatively space-saving under ideal conditions. However, the implementation of such a dynamic definition of the protection area is not only very complex in practice, it also requires high computing costs. Furthermore, it appears doubtful whether such a closely dimensioned protection area (immediately around the machine to be safeguarded) can guarantee the required safety level in practice. Besides, the method and the associated apparatus disclosed in EP 1 635 107 A1 are only suitable for fail-safe machines or robots. This means that the machine control unit itself should be configured to be fail-safe and redundant. The method and the apparatus are, however, not suitable for non-safe robots or machines. The method and the apparatus presuppose that the machine or the robot actually also moves according to the programmed machine control unit. A malfunction of the machine or of the robot is in any case not detectable by means of the camera-based monitoring sensor.
SUMMARY OF THE INVENTION
[0021] It is an object to specify an apparatus and a method of the aforementioned type that enable, in a very simple and efficient manner, the flexible presence of persons in the hazardous zone of an automatically operating machine, wherein the safeguarding of the machine and the necessary failure safety for such an application are guaranteed. In particular, the safety distance between the machine and the protection area to be established should be able to be reduced compared to the hitherto standard safety distance calculation without the safety of persons and machine being adversely affected as a result.
[0022] In accordance with an aspect of the present disclosure, an apparatus for safeguarding a monitoring area, in which an automatically operating machine is disposed, is provided. The apparatus comprises (i) a sensor unit for monitoring the monitoring area, wherein the sensor unit comprises a camera system for producing images of the monitoring area; (ii) a configuration unit for defining at least a first protection area and a second protection area; and (iii) with an evaluation unit for triggering a safety-related function. The first protection area is at a first distance from the machine. The second protection area is at a second distance from the machine, wherein the second distance is larger than the first distance. The sensor unit monitors both the first protection area and the second protection area. The evaluation unit is configured to analyze the images produced by the camera system so as to evaluates both (i) whether a machine element of the machine enters the first protection area as well as (ii) whether a foreign object enters the second protection area. The evaluation unit is configured to trigger the safety-related function if it is detected that a machine element of the machine enters the first protection area and/or a foreign object enters the second protection area.
[0023] In accordance with another aspect of the present disclosure, a method for safeguarding a monitoring area, in which an automatically operating machine is disposed, is presented. The method includes the following steps:
providing a sensor unit for monitoring the monitoring region, wherein the sensor unit comprises a camera system for producing images of the monitoring area defining at least a first protection area and a second protection area, wherein the first protection area is at a first distance from the machine and the second protection area is at a second distance from the machine, wherein the second distance is larger than the first distance, monitoring both the first protection area and the second protection area with the sensor unit, analyzing the images produced by the camera system so as to evaluate both (i) whether a machine element of the machine enters the first protection area as well as (ii) whether a foreign object enters the second protection area, and triggering a safety-related function if it is detected that a machine element of the machine enters the first protection area and/or a foreign object enters the second protection area.
[0029] In accordance with a further aspect of the present disclosure, a computer program for safeguarding a monitoring area, in which an automatically operating machine is disposed, is presented. The computer program comprises program code means which, when executed on a computer, carry out the following steps:
monitoring the monitoring region by controlling a camera system to produce images of the monitoring area; defining at least a first protection area and a second protection area, wherein the first protection area is at a first distance from the machine and the second protection area is at a second distance from the machine, wherein the second distance is larger than the first distance, monitoring both the first protection area and the second protection area with the camera system, analyzing the images produced by the camera system so as to evaluate both (i) whether a machine element of the machine enters the first protection area as well as (ii) whether a foreign object enters the second protection area, and triggering a safety-related function if it is detected that a machine element of the machine enters the first protection area and/or a foreign object enters the second protection area.
[0035] The new apparatus, the new method and the new computer program inter alia include the aspect that two protection areas which are spaced apart from one another are defined. In contrast to the otherwise usual approach, with which the detection of foreign objects approaching the working area of the machine is essentially focused upon using the defined protection areas, here a protection area (the first protection area) of the machine itself is monitored, whereas the other protection area (the second protection area) is used for the detection of foreign objects (e.g. persons) approaching the machine. The new apparatus thus monitors the monitoring area on both sides, i.e. starting from the machine to determine whether parts of the machine itself enter the first protection area from within so to speak, and also starting from the surroundings of the machine to determine whether foreign objects so to speak enter the second protection area from the outside. With said dual sided approach it can thus also be detected whether the machine itself unintentionally exits its usual working area. In this case, parts of the machine, referred to here as machine elements, would enter the first protection area, whereby the safety-related function is then triggered by the evaluation unit.
[0036] A significant advantage of the new apparatus is that the same can also be used for “unsafe” machines or robots, in particular because of the additional external monitoring of the machine. Automated operating machines, which are themselves not implemented so as to be redundant and safe in the aforementioned sense, can now be additionally safeguarded by the apparatus. When in doubt, it is even more important, however, that the distance of the virtually defined protection areas of the machine, in particular the second distance of the second protection area of the machine, can be reduced compared to known safety systems of this type. This enables, in particular for production lines with a plurality of automatically operating machines disposed adjacent to each other, the machines to be disposed at a relatively short distance from each other because the safeguarded monitoring area of each individual machine can be reduced in total. This also simplifies man-machine cooperation. The magnitude of the safety distance S, as explained above, can be determined according to the standards EN ISO 13855:2010 and EN ISO 13857:2008 based on the maximum possible working area of the machine (if this does not comprise a mechanical stop). However, because the machine is now additionally monitored using the apparatus and it is determined whether the machine enters the first protection area, which is disposed about the machine, the first protection area and hence also the second protection area can be disposed at a shorter distance from the machine.
[0037] The first protection area is preferably defined depending on an actually programmed working area of the machine. The reduction of the safety distance compared to the aforementioned, standardized safety distance calculation is thus based on the definition of the first protection area, which is referred to in the present section, at the boundary of the programmed working area of the machine in addition to the outer protection area (2nd protection area), which detects the ingress of foreign objects. Said first protection area has the task of monitoring the programmed working area of the machine for compliance. If the machine should now depart from said programmed working area as a result of a defect in the system or even as a result of a change in its programming without adaptation of the safety distance, then the evaluation unit would also trigger the safety-related function, which generally either results in switching off the machine or brings the machine into a safe state.
[0038] The two protection areas defined here are not to be confused with the first and second degree hazard areas mentioned in EP 1 635 107 A1. That is to say that the hazard areas mentioned therein are not used for monitoring the machine itself, but are both concerned with the external view in order to detect the approach of foreign objects to the machine from the outside. The hazard area of the first degree defined in EP 1 635 107 A1 defines a region of relatively low hazard, the penetration of which by a foreign object causes triggering of an audible or visual warning signal. The hazard area of the second degree, which lies closer to the machine, defines a region of greater hazard, the penetration of which by a foreign object triggers bringing the machine to a complete standstill. EP 1 635 107 A1 uses a two-stage model so to speak, which only focuses on the external view in each case, but does not check whether the machine itself departs from its programmed working area.
[0039] In contrast to the apparatus known from EP 1 635 107 A1, the herein presented apparatus can therefore also be used for non-safe machines. The definition of the two protection areas can incidentally also be achieved very much more simply and in a much less complicated way than is the case in EP 1 635 107 A1.
[0040] In a refinement, the first protection area is defined depending on an actually programmed working area of the machine and the second protection area is defined depending on the first protection area. The difference between the second distance and the first distance corresponds to a defined safety distance.
[0041] The safety distance S is thus not defined as is usual based on the maximum reach of the machine (maximum space), but based on the actually programmed working area of the machine (operating space). In the aforementioned example calculation, a safety distance of S=2.83 m was calculated. Because of the additional safeguarding of the machine by the first protection area, said safety distance S can be defined based on the operating space, and not as is otherwise usual based on the maximum space of the machine. The outer lying second protection area can thus be disposed at a total distance from the center point of the machine that corresponds to the sum of the programmed deflection of the machine and the safety distance S. Compared to the usual approach, said implementation results in a reduction of the total distance of the second protection area of the machine by the difference: “maximum working area of the machine (maximum space)”−“programmed working area of the machine (operating space)”.
[0042] The first distance is defined for this as the distance between the machine and an inner limit of the first protection area. By contrast, the so-called second distance is defined between the machine and an outer limit of the second protection area. Inner limits are understood to be parts of the respective protection areas that, when viewed from the machine, are nearer the machine, i.e. in contrast to the outer limit of the respective protection area they are at a smaller distance from the machine at the respective point. Accordingly, outer limits are understood to be parts of the respective protection areas that, when viewed from the machine, are further from the machine, i.e. in contrast to the inner limit of the respective protection area they are at a greater distance from the machine at the respective point. The respective protection areas thus extend between their inner and outer limits. The width or thickness of the protection areas, i.e. the distance between the inner and outer limits of the respective protection area, is preferably defined depending on the system. It depends inter alia on the response time of the sensor as well as on the response time of the analysis process. The reason why the second distance is based on the outer limit of the second protection area and the first distance in contrast to this is based on the inner limit of the first protection area, should be evident against the background of the aforementioned remarks. The second protection area is used for monitoring “from the outside”, which is why in particular its outer limit is important. The first protection area is used for monitoring “from the inside”, which is why in particular its inner limit is important.
[0043] In a refinement, the defined safety distance is dependent at least on an estimated approach speed of a foreign object that is approaching the machine, on a switch-off time of the machine and on a response time of the sensor unit.
[0044] Because of the additional safeguarding of the machine by means of the first protection area, the reduction of the safety distance between the first and second protection areas does not result in a hazard situation because the operator is at an adequate distance from the danger point. It only has to be assessed whether it is likely that the machine has just had a defect in its control system and a person is entering the second protection area from the outside at the same time. If said events have to be assumed at the same time, then the safety distance is to be calculated based both on the approach speed of the foreign object (of the operator) and also based on the stopping distance of the machine. If said extreme case can be excluded, however, and this appears always to be sensible if the person does not have to enter the protection area cyclically (for example to remove or deliver material), then it is sufficient to dimension the safety distance based on the speed of approach of the person.
[0045] In a refinement, the configuration unit comprises an input module for defining the first and/or of the second protection areas.
[0046] This can for example be achieved with an input panel or an external input device (e.g. a computer) that is connected to the configuration unit of the apparatus. In this way, the two protection areas can be manually defined. Because of the definition of the second protection area depending on the first protection area, the manual input of the first protection area is mostly sufficient. In practice, this can for example be carried out by positioning reference markers around the machine, by means of which the first protection area is defined. Because the first protection area is preferably defined depending on the actually programmed working area of the machine, the reference points are positioned in this case at the actually programmed outer deflection points of the machine. Simplified, this could also guarantee thereby that the actually programmed maximum deflection of the machine (not to be confused with the maximum possible deflection of the machine) is measured and the first protection area is then defined in a circular form at said radial distance about the machine. It will be understood, however, that the first protection area can also be accurately defined using the input module, so that the same is not then formed in a circular form about the machine, but in an arbitrary pattern corresponding to the actually programmed working displacement of the machine. In this case, because of the dependent definition of the second protection area, the second protection area will also comprise the same or a similar geometric shape.
[0047] In an alternative refinement, the configuration unit is coupled to the machine control unit, which controls the displacements of the machine, in order to be able to define the first protection area using parameters that are used for displacement control of the machine.
[0048] In said refinement, the machine control unit thus directly delivers the parameters that are required for definition of the first protection area. The definition of the first protection area and hence also of the second protection area can thus be carried out automatically depending thereon. This enables not only a more accurate definition of the protection areas at the actually programmed displacement of the machine, but also reduces the installation time of the apparatus considerably. A further advantage is that a change of the machine displacement, i.e. a change of the machine programming, also automatically results in a corresponding adaptation of the two protection areas. With the manual definition of the two protection areas described above, there is by contrast the possibility that the operator also forgets to amend the protection areas accordingly in the event of a change of the machine programming. However, this case would also be safeguarded with the new apparatus. If the machine were in fact to enter the first protection area during the newly programmed displacement, the safety-related function would be triggered immediately without a hazardous collision being able to occur.
[0049] In a further refinement, the safety-related function results in switching off the machine or, if it is detected that the machine enters the first protection area, in an adaptive adjustment of the second protection area, in particular of the second distance.
[0050] An emergency switch-off or emergency stoppage of the machine is the usual result if the machine enters the first protection area. Alternatively, the second protection area can also be suitably adapted in the case of such ingress by the machine into the first protection area. In this case the sensor device detects the penetration depth of the machine into the first protection area, the evaluation unit evaluates this and then suitably amends the safety distance between the first and the second protection areas by the detected and evaluated penetration depth. Instead of switching the machine off, the machine could as a result be kept in operation without a loss of safety occurring.
[0051] In a further refinement, the first and the second protection areas are configured as virtual, three-dimensional protection areas that at least partly surround the machine.
[0052] The two protection areas preferably fully surround the machine only if the machine has a working radius of 360°. Otherwise it is sufficient if the two protection areas only externally shield the actually programmed working area of the machine. As mentioned, the protection areas are preferably configured as virtual three-dimensional protection areas. The protection areas can therefore also be referred to as protection spaces. They can also fully shield around the machine, i.e. both upwards and laterally. The thickness of the protection areas measured in the radial direction from the center point of the machine preferably corresponds in this case at least to the detectable penetration depth C. The thickness of the protection areas should, as already mentioned, be defined depending on the system and should therefore preferably also depend on the response time of the sensor and of the assessment process.
[0053] In a further refinement, the sensor unit comprises a multi-channel redundant, multiocular camera system.
[0054] One such camera system is disclosed in EP 1 543 270 B1, the disclosure content of which is hereby incorporated in full by reference. One such camera system is distributed by the applicant under the name SafetyEYE.
[0055] In a further refinement, the sensor unit is configured to determine a distance value that is representative of the spatial position of at least one foreign object, wherein the distance value is determined by a transition time measurement and/or by a stereoscopic comparison of two camera images.
[0056] During a transition time measurement process the transition time of a signal, in particular of a light signal, to a foreign object and back is measured. The distance to the foreign object can be determined from the known propagation speed of the signal. Transition time measurement processes are a very inexpensive option for obtaining distance information and for enabling a three-dimensional image analysis.
[0057] Stereoscopic methods for determining distance information resemble the operation of the human eye in that they determine the distance to an object using the so-called disparity that arises in the at least two camera images because of the slightly different viewing angle. It will be understood that said embodiment also includes trinocular methods and apparatuses, i.e. said embodiment is not limited to the use of exactly two cameras or two camera images. The three-dimensional monitoring of a monitoring area using a stereoscopic method is particularly well suited to the preferred use, as redundant systems are advantageous in relation to single failure safety. A stereoscopic system can make optimal use of the existing multiple cameras or image acquisition units.
[0058] It will be understood that the aforementioned configurations do not only relate to the apparatus defined in the claims, but also to the method. Accordingly, the new method has the same or similar configurations as or to the new apparatus.
[0059] In a refinement of the method according to the disclosure, the first protection area is defined depending on an actually programmed working area of the machine, and the second protection area is defined depending on the first protection area.
[0060] In a further refinement of the method, the difference between the second distance and the first distance is a defined safety distance, which is at least dependent on an estimated speed of approach of a foreign object that is approaching the machine, on a switch-off time of the machine and on a response time of the sensor unit.
[0061] In a further refinement of the method, said method further comprises the following steps: controlling displacements of the machine by means of a machine control unit; defining the first protection area using parameters that are used for displacement control of the machine.
[0062] In a further refinement of the method, said method comprises the following process step: adaptive adjustment of the second protection area, in particular of the second distance, if ingress by the machine into the first protection area is detected.
[0063] In a further refinement of the method, said method comprises the following process step: determining a distance value representative of the spatial position of at least one foreign object, wherein the distance value is determined by a transition time measurement process and/or by a stereoscopic comparison of two camera images.
[0064] It will be understood that the features mentioned above and yet to be described below can not only be used in the respectively stated combination, but also in other combinations or on their own, without departing from the spirit and scope of the present disclosure.
BRIEF DESCRIPTION OF THE DRAWINGS
[0065] FIG. 1 shows a simplified representation of the new apparatus,
[0066] FIG. 2 shows a simplified representation of the new apparatus in a block diagram
[0067] FIG. 3 shows a perspective representation of a camera system that can be used in the new apparatus at an angle from below,
[0068] FIG. 4 shows a simplified representation to illustrate the working principle of the new apparatus and of the new method according to a first embodiment, and
[0069] FIG. 5 shows a simplified representation to illustrate the working principle of the new apparatus and of the new method according to a further embodiment.
DESCRIPTION OF PREFERRED EMBODIMENTS
[0070] In FIGS. 1 and 2 , a preferred exemplary embodiment of the new apparatus in its entirety is denoted by the reference numeral 10 .
[0071] The apparatus 10 contains at least one sensor unit 12 , which is designed to monitor a spatial area or monitoring area 14 in which an automatically operating system or machine, in this case a robot 24 , is disposed. For this purpose, the sensor unit 12 preferably comprises a camera system 16 that is oriented towards the monitoring area 14 . The camera system 16 is preferably configured in the form of a stereo camera system comprising at least a first camera 18 and a second camera 20 . The cameras 18 , 20 provide two slightly mutually offset images of the monitoring area to be safeguarded 14 . Because of the offset of the cameras 18 , 20 relative to each other and using trigonometric relationships, the distance from the sensor unit 12 to objects in the monitoring area 14 can be determined using the camera images. A preferred sensor unit of this type is disclosed in the aforementioned EP 1 543 270 B1. In other exemplary embodiments, the sensor unit 12 can contain a transition time camera. The means a camera that on the one hand produces 2D images of a region to be monitored. Moreover, the camera provides distance information obtained from a transition time measurement. The sensor unit 12 can also be designed to operate as a 3D Scanner and/or can use a different technology that enables 3D images of a monitoring area to be safeguarded to be produced.
[0072] Moreover, in other exemplary embodiments a plurality of 1D and/or 2D sensors in pairs and/or as a whole can form a 3D-sensor unit that provides the required 3D images of the monitoring area 14 . It is thus not absolutely necessary, although it is preferred, to use a stereo camera system 16 as a sensor unit 12 for the new apparatus 10 .
[0073] The sensor unit 12 is connected to a controller 22 . The controller 22 is designed to analyze the images of the monitoring area 14 acquired by the camera system 16 and depending thereon to bring the robots 24 to a standstill or into a safe state if a hazardous situation is detected. In a departure from the representation in FIG. 1 , the sensor unit 12 and the controller 22 can also be integrated within a common housing. The controller 22 preferably comprises an evaluation unit 26 and a configuration unit 28 (see FIG. 2 ). The evaluation unit 26 is configured to analyze the camera images recorded by the camera system 16 and in the case of a hazardous situation to trigger a safety-related function, for example switching off the robot 24 . The configuration unit 28 by contrast is used for the definition of at least two virtual protection areas 30 , 32 , as described in detail below using FIGS. 4 and 5 .
[0074] The evaluation unit 26 and the configuration unit 28 can either be implemented as separate units, both software-based and also hardware-based. Alternatively, said two units 26 , 28 can also be implemented in a common software-based or hardware-based unit within the controller 22 . The connections shown in FIG. 1 between the sensor unit 12 , the controller 22 and the machine 24 can each be configured as wired or wireless connections. A light source denoted by the reference numeral 34 can optionally be provided to illuminate the monitoring area 14 . In some exemplary embodiments of the apparatus 10 , the light source 34 can be used to produce light signals, from the transition time of which the distance to objects in the monitoring area 14 can be determined. In the currently preferred exemplary embodiments, the light source 34 is however used only for the illumination of the monitoring area 14 . A 3D recording of the monitoring area 14 is carried out, as already mentioned above, preferably using stereoscopic image recording.
[0075] Furthermore, FIG. 1 also shows schematically an input module, which is denoted by the reference numeral 36 . Said input module 36 can be used for the installation and configuration of the apparatus 10 , in particular of the sensor unit 12 . It is used in particular, as described in detail below, for the manual adjustment of and configuration of the virtual protection areas 30 , 32 . The input module 36 can be adapted to the apparatus 10 as a dedicated input panel. Alternatively, the input module can also be implemented by a conventional computer on which software is installed that is suitable for the installation and configuration of the apparatus 10 .
[0076] Furthermore, it should be mentioned that the apparatus 10 can also contain a plurality of evaluation units 26 that are interconnected by means of a bus or by a different communications medium. Moreover, it is possible that a part of the signal and data processing capacity of the sensor unit 12 is located in the evaluation unit 26 . For example, the determination of the position of an object using the stereo images of the cameras 18 , 20 can be carried out in a computer that also implements the evaluation unit 26 . Also the sensor unit 12 does not necessarily have to be located in a single housing. Rather, the sensor unit 12 can also be distributed in a plurality of modules and/or housings, although it is preferred to implement the sensor unit 12 as compactly as possible.
[0077] FIG. 3 shows a preferred embodiment of the sensor unit 12 as distributed by the applicant under the name SafetyEYE. According to said embodiment, the sensor unit 12 comprises a system body 38 that is configured in the form of a substantially planar plate. Said plate 38 has an approximately diamond-shaped footprint here. A total of three camera units 40 a , 40 b , 40 c are disposed in three of the four “corners” of the system body 38 . A mounting part denoted by the reference numeral 42 can be used to attach the sensor unit 12 to a wall, to a mast or similar (not shown here). In this case the mounting part 42 is a mounting arm with a plurality of swivel joints 44 , 46 that enable pivoting of the system body 38 about at least two mutually orthogonal axes of rotation. The system body can also preferably pivot about a third axis of rotation that is orthogonal thereto. The associated swivel joint is, however, concealed in the view of FIG. 3 . The camera units 40 a , 40 b , 40 c can thus be oriented towards the monitoring area 14 to be monitored relatively simply. The three camera units 40 a , 40 b , 40 c span a triangle on the system body 38 . The camera images produced by said camera units are thus slightly offset relative to each other. The camera units 40 a , 40 b or 40 a , 40 c respectively form a camera pair, wherein the distance of the camera units 40 a , 40 b from each other and the distance of the camera units 40 a , 40 c from each other in said exemplary embodiment are each exactly equal and invariant. Said two distances each form a base width for a stereoscopic analysis of the camera pairs 40 a , 40 b and 40 a , 40 c . In principal moreover, the camera pair 40 b , 40 c could also be used for a separate stereoscopic analysis. As a result of the two stereoscopic camera pairs 40 a , 40 b and 40 a , 40 c not being disposed along a common straight line, objects in the monitoring area 14 can also be detected that would not be visible to a single camera pair, for example because of being obscured by other objects. Moreover, using the three camera units 40 a , 40 b , 40 c it is ensured that the distance can be determined to any objects in the monitoring area 14 . If only two camera units were to be used, the distance to an elongated contour running parallel to the base width could not possibly be determined.
[0078] The definition of the protection areas 30 , 32 and the function thereof is described in detail below by way of example using FIGS. 4 and 5 . The apparatus 10 enables the setting up of virtual, three-dimensional protection areas 30 , 32 that can be monitored by means of the sensor unit 12 . The definition of the protection areas 30 , 32 preferably takes place by means of the aforementioned configuration unit 28 . The protection areas 30 , 32 can be set up either manually or automatically by means of the configuration unit 28 , preferably with software support.
[0079] There are at least two protection areas, a first protection area 30 and a second protection area 32 , that are set up by the apparatus 10 in the present case. The first protection area 30 is essentially used for monitoring whether the machine 24 is compliant with its actually programmed working area 48 . Said first protection area 30 is at a first distance 50 from the machine 24 and at least partly surrounds the machine. The first distance 50 is, as shown in FIGS. 4 and 5 , measured from an inner limit 51 of the first protection area 50 facing the machine 24 . The second protection area 32 is essentially used for monitoring whether a foreign object, for example a person, is approaching the machine 24 from the outside. Said second protection area 32 is at a second distance 52 from the machine 24 that is greater than the first distance 50 of the first protection area 30 from the machine 24 . The second protection area 32 thus lies further out so to speak. In contrast to the first distance 50 , the second distance 52 , as shown in FIGS. 4 and 5 , is measured from an outer limit 53 of the second protection area 52 that is remote from the machine 24 . Both the shape and thus the distances 50 , 52 of the protection areas 30 , 32 can be variably defined depending on the application. This is possible for example, as already described, using the input module 36 (see FIG. 1 ).
[0080] The sensor unit 12 monitors both protection areas 30 , 32 . In the case of the embodiment shown in FIG. 3 , the camera images produced by the camera units 40 a , 40 b , 40 c thus cover the two protection areas 30 , 32 . In other words, the protection areas 30 , 32 thus lie within the monitoring area 14 . Using the evaluation unit 26 , the camera images are analyzed in order to detect whether a machine element of the machine 24 enters the first protection area 30 , and/or whether a foreign object enters the second protection area 32 from the outside. If one of said events should occur, the evaluation unit 26 triggers the safety-related function, whereby the machine is brought into a safe state.
[0081] In contrast to the hitherto known safety systems of this type, the apparatus 10 thus detects not only whether a foreign object is approaching the hazardous working area 48 of the machine 24 from the outside, but also whether the machine 24 itself is complying with its programmed working area 48 . Because in particular the latter check is not carried out by the hitherto known safety systems, the protection spaces defined in said systems (which correspond to the second protection area 32 ) must be defined at a further distance from the machine 24 than can be achieved in the present case. Because in said systems, the machine 24 itself is not usually monitored for compliance with its programmed working area 48 , the safety distance (S=K·(t 1 +t 2 )+C+Z g ) is usually measured from the maximum possible working area of the machine 24 , which the machine could theoretically reach. Said maximum possible working area is characterized in FIG. 4 with the reference numeral 48 ′. Without the additional monitoring of the machine 24 itself, the protection area 32 would thus include the additional safety distance based on the maximum possible working area 48 ′, which is indicated in FIG. 4 with the reference numeral 54 ′ and is calculated according to the above standard formula. Thus the protection area 32 would then have to lie significantly further out, i.e. would be at a greater distance from the machine 24 than is shown in FIG. 4
[0082] Because however a second protection area 30 (known as the first protection area 30 ) that monitors the working area 48 of the machine 24 is set up in the present case, the total distance 52 (known as the second distance 52 ) of the outer limit 53 of the protection area 32 from the machine 24 can be reduced without this resulting in a loss of safety. Because the new sensor unit 12 can now detect whether the machine 24 unintentionally leaves its programmed working area 48 , dimensioning the safety distance 54 ′ based on the technically maximum possible working area 48 ′ of the machine 24 no longer appears necessary. The indicated safety distance 54 is indeed preferably always still the same safety distance as the indicated safety distance 54 ′, but in the present case this is measured starting from the actually programmed working area 48 and not from the theoretical maximum possible working area 48 ′ of the machine 24 .
[0083] The new apparatus 10 thus enables a reduction of the total distance between the outer edge 53 of the second safety area 32 and the machine 24 . More precisely, said distance reduction corresponds to the difference between the technically maximum possible working area 48 ′ of the machine 24 and the actually programmed working area 48 of the machine 24 . Said gain in space is indicated in FIG. 4 by d.
[0084] The distance reduction, which as already mentioned is possible with the apparatus 10 without a loss of safety, proves itself as extremely advantageous in particular in production halls in which a number of automatically operating machines are installed. Because the monitoring area of each individual machine can be reduced in total as a result, this enables the arrangement of a plurality of automatically working machines with relatively small spacings between them.
[0085] The difference between the second distance 52 and the first distance 50 corresponds to the safety distance S ( 54 ) calculated above. Both protection areas preferably comprise a width 56 that corresponds to at least the recorded penetration depth C from the above formula. The width of the first protection area 30 (measured in the radial direction) preferably corresponds to the difference between the technically maximum possible working area 48 ′ of the machine 24 and the actually programmed working area 48 of the machine 24 .
[0086] Instead of a manual definition of the safety areas 30 , 32 or a manual definition of their distances 50 , 52 from the machine 24 , this can also be carried out automatically. The configuration unit 28 can be coupled to the machine controller 58 for this purpose, as shown schematically in FIG. 2 . This enables the first protection area 30 to be specified using the parameters that are used for displacement control of the machine 24 . A shape of the protection areas 30 , 32 could arise from these for example, as indicated in FIG. 5 . In the example shown therein, the machine 24 only moves within the radius of movement 60 indicated by dashes. Pivoting of the machine 24 outside said radius of movement 60 is not envisaged. Outside of the radius of movement 60 , the first and the second protection areas 30 , 32 can therefore lie very close to the machine 24 . The so-called first and second distances 50 , 52 are variable as a result. If the displacement of the machine 24 is reprogrammed, then in the case of coupling of the configuration unit 28 to the machine control unit 48 this must automatically result in a redefinition of the protection areas 30 , 32 for the new actually programmed working area 48 of the machine 24 , without the same having to be reprogrammed by the operator. Because the safety distance between the second and the first protection areas 32 , 30 is predetermined as standard, only the first protection area 30 has to be adapted to the new programmed working area 48 of the machine 24 in any case, because the adaptation of the second protection area 32 takes place automatically depending on the first protection area 30 .
[0087] It will be understood that the two protection areas 30 , 32 can of course also deviate from the round or half-round shape depending on the application. They can for example also be of an angular shape. However, the same are preferably each in the form of three-dimensional spaces, the thickness of which corresponds to at least the penetration depth C. | An apparatus for safeguarding a monitoring area, in which an automatically operating machine is disposed, comprises: (i) a sensor unit including a camera system for producing images of the monitoring area; (ii) a configuration unit for defining first and second protection areas; and (iii) an evaluation unit for triggering a safety-related function. The first protection area is at a first distance from the machine and the second protection area is at a second greater distance from the machine. The sensor unit monitors both the first protection area and the second protection area. The evaluation unit analyzes the images produced by the camera system so as to evaluate both (i) whether a machine element of the machine enters the first protection area as well as (ii) whether a foreign object enters the second protection area. The evaluation unit triggers the safety-related function if at least one of these events occurs. | 55,634 |
FIELD OF THE INVENTION
[0001] The invention relates to a hydraulic damper, in particular a motor vehicle suspension damper, comprising: a tube; a piston assembly disposed slidably inside the tube and attached to a piston rod led outside the tube through a sealed piston rod guide located at the end of the tube, wherein a rebound chamber filled with working liquid is defined between said piston rod guide and said piston assembly; an additional valve assembly, wherein a compression chamber filled with working liquid is defined between said piston assembly and said additional valve assembly; a slidable partition, wherein an additional compensation chamber filled with working liquid is defined between said additional valve assembly and one side of said slidable partition; a gas chamber filled with pressurised gas and defined at the other side of said slidable partition; wherein said piston assembly is provided with rebound valve and compression valve to control the flow of working liquid passing between said compression chamber and said rebound chamber, respectively, during rebound and compression stroke of the damper, and said additional valve assembly is provided with rebound valve and compression valve to control the flow of working liquid passing between said additional compensation chamber and said compression chamber, respectively, during rebound and compression stroke of the damper.
BACKGROUND OF THE INVENTION
[0002] Dampers of the features as above are known from the state of art as twin-tube dampers. They provide excellent tuning capabilities enabling for independent tuning both the valves of a slidable piston assembly and the valves of an additional base valve assembly that in a case of twin-tube dampers is located at the bottom end of the main tube. Twin-tube dampers also require relatively low pressure of the pressurised gas what results in relatively low internal pressure of the working liquid filling the damper, inducing relatively low friction force between a piston rod and a rod guide seal. Furthermore, the external tube is not used to guide the slidable piston assembly. Therefore possible deformations of the external tube, in particular in the bottom zone of the damper, where it is usually fixed to the steering knuckle of a vehicle suspension have no influence on the operation of the damper. Also the piston assembly is designed not to reach this bottom zone of the external tube in its sliding movement.
[0003] Nonetheless, twin-tube dampers also have some disadvantages due to their complex structure, such as inter alia the necessity to provide a base valve assembly and a rod guide of a construction enabling for support of the external tube.
[0004] These disadvantages of the twin tube dampers have been substantially eliminated in mono-tube dampers in which all three chambers, i.e. a rebound chamber, a compression chamber and a gas chamber, are arranged serially in a single tube. Mono-tube dampers are devoid of an additional valve assembly and an additional compensation chamber. A slidable partition is provided between the compression chamber and the gas chamber.
[0005] However, other problems arise. Higher pressure is required in the chambers of the damper to eliminate free displacement of a slidable partition with no damping force generated by the valves of the piston assembly (a so called “no damping stroke effect”). This increased pressure in turn requires an improved sealing of the piston rod guide which in turn generates higher friction forces between the piston rod and the rod guide seal. Furthermore, the damper's length is increased since the gas chamber is positioned in series with the compression chamber along the longitudinal axis of the damper. Moreover, a certain dead zone exists at the end of the gas chamber where possible deformations of the main tube (which in this case is also an external tube) might lead to jamming of the slidable partition or otherwise limiting its sliding movement. Finally mono-tube dampers often provide significantly limited tuning capabilities as compared to twin-tube dampers.
[0006] Yet another common disadvantage of both the above-mentioned damper types is a necessity to fill the gas chamber with a pressurised gas which process depends on the process of filing the damper with a working liquid.
[0007] It has been the object of the present invention to provide a hydraulic damper that would retain all the aforementioned advantages of a twin-tube damper along with simplicity of construction as provided by a mono-tube damper.
[0008] The inventors discovered that achieving these objects is possible by diverting the flow of working liquid radially inside the compression chamber (instead as radially outside as in twin-tube dampers).
SUMMARY OF THE INVENTION
[0009] Therefore, a damper of the kind mentioned in the outset, according to the present invention is characterised in that it is provided with an additional chamber assembly, wherein one end of said additional chamber assembly is attached to said slidable piston assembly or to said piston rod at the compression side thereof and the other end of said additional chamber assembly is terminated with said additional valve assembly, wherein said pressurised gas chamber and said additional compensation chamber are located inside said additional chamber assembly and are separated by said slidable partition.
[0010] Preferably the damper of the present invention is a mono-tube damper. This enables for achieving simplicity of damper construction, although the additional chamber assembly may obviously also be used as an additional tuning add-on in a twin-tube damper, for example to provide additional tuning options.
[0011] Preferably said additional chamber assembly comprises a uniform body, preferably screwed to the end of the piston rod. This provides a cost efficient method of manufacturing the chamber assembly in a simple stamping process.
[0012] Preferably said additional chamber assembly is a separate subassembly of the damper independently assembled and filled with a pressurized gas. This further improves damper assembly process.
BRIEF DESCRIPTION OF DRAWINGS
[0013] The invention shall be described and explained below in connection with the attached drawings on which:
[0014] FIG. 1 is a schematic cross-sectional view of a typical mono-tube damper known from the state of art;
[0015] FIG. 2 is a schematic cross-sectional view of a typical twin-tube damper known from the state of art;
[0016] FIG. 3 is a schematic cross-sectional view of an embodiment of a damper according to the present invention;
[0017] FIG. 4 a detailed cross-sectional view of the embodiment of an additional chamber assembly according to the present invention, and
[0018] FIG. 5 is a schematic perspective view of a fragment of a typical vehicle suspension.
DETAILED DESCRIPTION OF PREFERRED EMBODIMENTS
[0019] A hydraulic damper 1 shown in part in FIG. 1 is an example of a mono-tube hydraulic damper that may be employed in a vehicle suspension 200 presented in FIG. 5 . It is shown almost fully extended in its position close to the end of the rebound stroke and comprises main cylinder tube 4 inside of which a piston assembly 5 is slidably disposed. The piston assembly 5 is attached to a piston rod 6 led outside the main tube 4 through a sealed piston rod guide 7 located at the end of the tube. The other end (not shown) of the piston rod 6 may be connected to the top mount 202 of the vehicle suspension 200 . The opposite end of the tube 4 is provided with an attachment means 16 , in a form of a bracket with two mounting holes 161 , apt to fix the damper 1 to the steering knuckle or a swing arm supporting the vehicle wheel 205 .
[0020] Arched arrow lines running from the rebound chamber 8 to the sealing of the piston rod guide 7 schematically symbolize a friction force between the rod guide 6 and the sealing resulting from a reaction of the internal damper pressure to the guide sealing.
[0021] A rebound chamber 8 filled with working liquid is defined between the piston rod guide 7 and the piston assembly 5 . A slidable partition 10 is disposed at the other end of the damper 1 . A compression chamber 9 filled with working liquid is defined between the piston assembly 5 and the slidable partition 10 . Pressurised gas fills the space at the other side of the slidable partition 10 defining a gas chamber 11 .
[0022] The term “rebound”, as used in this specification with reference to particular elements of the damper, denotes these elements or these parts of particular elements which point toward the piston rod or—in a case of a flow direction of the working liquid—it refers to this flow direction that takes place during the rebound stroke of a damper. Similarly, the term “compression”, as used herein with reference to particular elements of the damper, denotes these elements or parts of elements which point in a direction opposite to the piston rod or—in a case of a flow direction of the working liquid—it refers to this flow direction that takes place during the compression stroke of a damper.
[0023] The piston assembly 5 is provided with rebound 51 and compression 52 valves to control the flow of working liquid passing between the compression chamber 9 and the rebound chamber 8 , respectively, during rebound and compression stroke of the damper. Each valve 51 and 52 comprises a number of flow channels disposed equiangularly over the perimeter of the piston assembly 5 and a number of resilient deflectable discs covering that channels and deflecting under the pressure of working liquid. Number, shape, diameter and thickness of discs, as well as number and cross-sectional area of the channels constitute, among others, the parameters that may be utilized to influence damper characteristics.
[0024] As shown, the forces or vibrations transformed to the bracket 16 may lead to deformations of the damper tube in the zone of the bracket 16 . These deformations, in turn, might lead to jamming of the slidable partition 10 or otherwise limiting its sliding movement, which must be considered while designing the damper.
[0025] Above and below reference numerals of elements performing the same or similar functions remain the same, as in FIG. 1 .
[0026] FIG. 2 illustrates an exemplary twin-tube hydraulic damper 2 comprising main tube 4 and an external tube 12 . As shown the damper 2 is provided with an additional valve assembly 13 , commonly referred to as a base valve assembly and fixed at the end of the main tube 4 . A compression chamber 9 filled with working liquid is defined between the piston assembly 5 and the base valve assembly 13 , wherein an additional compensation chamber 14 filled with working liquid is defined between the base valve assembly 13 and a slidable partition 10 in a form of a ring disposed between the main tube 4 and the external tube 12 .
[0027] The additional valve assembly 13 is provided with rebound 131 and compression 132 valves to control the flow of working liquid passing between the additional compensation chamber 14 and the compression chamber 9 , respectively, during rebound and compression stroke of the damper. Similarly, as in the case of the piston assembly 5 , the valves 131 and 132 comprise a number of flow channels disposed equiangularly over the perimeter of the body of the additional valve assembly 13 and a number of resilient deflectable discs covering that channels and deflecting under the pressure of working liquid. Similarly, as in the case of valves 51 and 52 of the piston assembly 5 , the valves 131 and 132 of the additional valve 13 assembly provide additional parameters that may be used to influence damper characteristic.
[0028] In a damper of this kind, a gas chamber 11 filled with pressurised gas is defined at the other side of the slidable partition 10 and is further delimited by the radially outer surface of the main tube 4 , radially inner surface of the external tube 12 and axially inner surface of the piston rod guide 7 .
[0029] Arrow lines between the compression chamber 9 and the additional compensation chamber 14 schematically represent radially inward and radially outward flow of working liquid through the additional valve assembly 13 between chambers 9 and 14 , respectively, during rebound and compression stroke of the damper. In other words, in a twin-tube damper, a path of working liquid flow through the additional valve assembly 13 runs outwardly relative to the main tube 4 axis.
[0030] An embodiment of a damper 3 according to the present invention is illustrated on FIG. 3 . As shown the damper 3 comprises only a main tube 2 so in this context it is a damper of a mono-tube type. Nonetheless, the damper 3 is additionally provided with an additional chamber assembly 15 attached on one end to the end of a piston rod 6 below a slidable piston assembly 5 . The chamber assembly 15 is terminated at the other end with an additional valve assembly 13 and comprises a slidable partition 10 making a sliding fit on the radially inner surface of the assembly 15 . The partition 10 divides the interior of the chamber assembly 15 into a pressurised gas chamber 11 , at the top section of the chamber assembly 15 , and an additional compensation chamber 14 at the bottom section of the assembly 15 . The additional valve assembly 13 is provided with rebound 131 and compression 132 valves to control the flow of working liquid passing between the additional compensation chamber 14 and the compression chamber 9 , respectively, during rebound and compression stroking cycle of the damper.
[0031] In comparison with the twin-tube damper 2 of FIG. 2 , in the damper 3 the working liquid flows through the additional valve assembly 13 during compression and rebound chamber radially inward relative to the main tube 4 .
[0032] FIG. 4 presents an enlarged view of the additional chamber assembly 15 of the damper 3 shown in FIG. 3 . The body 151 of the assembly has a form of a simple, uniform cup-shaped element provided at the top with an inner, cylindrical, and threaded recess 152 to receive and be fixedly attached to a threaded end of the piston rod 6 . The body 151 is opened at the bottom and provided with an internal thread 153 on its internal surface.
[0033] The body 133 of the additional valve assembly 13 is screwed into an internal thread 153 . Both the compression valve 132 and the rebound valve 131 comprise a number of through channels disposed equiangularly over the perimeter of the body 133 and a number of resilient deflectable discs covering that channels and deflecting under the pressure of working liquid.
[0034] The partition 10 makes a sliding fit with the inner surface of the body 151 of the additional chamber assembly 15 . Since no external forces act on the additional chamber assembly 15 while the damper is working, no deformations will occur and the sliding movement of the partition 10 is by no means limited.
[0035] In the context of the damper assembly process, the additional chamber assembly 15 according to the present invention constitutes a separate subassembly that may be preliminarily and independently assembled and filled with a pressurized gas and thereafter screwed on the threaded end of the piston rod 6 .
[0036] FIG. 5 schematically illustrates a fragment of a vehicle suspension 200 attached to a vehicle chassis 201 by means of a top mount 202 and a number of screws 203 disposed on the periphery of the upper surface of the top mount 202 . The top mount 202 is connected to a coil spring 204 and a rod 6 of a damper, such as the one made according to the principles of the present invention. At the other end the attachment means 16 fixed to the damper 3 tube connects the damper 3 to the steering knuckle or a swing arm supporting the vehicle wheel 205 .
[0037] In order to measure the influence of the chamber assembly of the present invention on the damper performance the inventors compared the typical mono-tube damper known from the prior art, corresponding to the one shown in FIG. 1 , with the damper made according to the present invention, corresponding to the one shown in FIG. 3 .
[0038] Testing procedure involved measuring friction at the piston rod guide during the damper operation. Characteristic dimensions of the dampers being tested, as well as the results of the testing procedure are listed in Table 1.
[0000]
TABLE 1
Comparison of a mono-tube damper with damper according to
the invention
Mono-tube damper
with an additional
typical
chamber assembly
Diameter of the piston rod (6)
14
mm
14
mm
Internal diameter of the main tube (4)
46
mm
46
mm
Diameter of the slidable partition (10)
46
mm
36
mm (1)
Gas pressure
25
bar
5
bar
Gas force
400N
100N
Friction*
~110N
~60N
(1) partition 10 is disposed within the chamber assembly 15.
[0039] As shown, the damper according to the present invention enables for a 5-fold (25 bar vs. 5 bar) decrease of pressure in the gas chamber 11 in comparison with a mono-tube damper, which yields almost 2-fold decrease in the friction force (110 N vs. 60 N) at the piston rod guide 7 , which substantially improves a vehicle ride comfort.
[0040] The above embodiments of the present invention are merely exemplary. The figures are not necessarily to scale, and some features may be exaggerated or minimized. These and other factors, however, should not be considered as limiting the spirit of the invention, the intended scope of protection of which is indicated in appended claims. | A hydraulic damper ( 3 ) includes a tube ( 4 ), a piston assembly ( 5 ) disposed slidably inside the tube ( 4 ), and an additional valve assembly ( 13 ). A compression chamber ( 9 ) is defined between the piston assembly ( 5 ) and the additional valve assembly ( 13 ). An additional compensation chamber ( 14 ) is defined between the additional valve assembly ( 13 ) and one side of a slideable partition ( 10 ). A gas chamber ( 11 ) is defined at the other side of the slidable partition ( 10 ). The damper includes an additional chamber assembly ( 15 ) to retain all the advantages of a twin-tube damper while providing the single construction offered by a mono-tube damper. One end of the additional chamber assembly ( 15 ) is attached to the slidable piston chamber ( 5 ) or to said piston rod ( 6 ) at the compression side thereof and the other end of said additional chamber assembly ( 15 ) is terminated with the additional valve assembly ( 13 ). | 20,226 |
TECHNICAL FIELD
[0001] The present invention relates to lithium titanate and a method for producing the same, and more particularly to a lithium titanate granulated particle, a lithium titanate powder, and methods for producing the same. In addition, the present invention relates to a titanium raw material for producing the lithium titanate. Further, the present invention relates to an electrode using the lithium titanate, an electric storage device using the same, and methods for producing the same.
BACKGROUND ART
[0002] Electric storage devices, particularly lithium secondary batteries, become widespread rapidly for small batteries such as portable equipment power supplies, and further the development of large lithium secondary batteries for the electric power industry, automobiles, and the like is also promoted. Long-term reliability and high input and output characteristics are required of electrode active materials used in such electric storage devices, particularly lithium secondary batteries, and safety and life characteristics are required particularly of negative electrode active materials. Therefore, lithium titanate excellent in these characteristics is regarded as promising.
[0003] As the above lithium titanate, several compounds are present as described, for example, in Patent Literature 1. Patent Literature 1 describes lithium titanate represented by the general formula LixTiyO 4 in which 0.8≦x≦1.4 and 1.6≦y≦2.2 and illustrates LiTi 2 O 4 , Li 1.33 Ti 1.66 O 4 , Li 0.8 Ti 2.2 O 4 , and the like as typical examples. As methods for producing such lithium titanate, a wet method in which predetermined amounts of a lithium compound and a titanium compound are mixed in a medium liquid, and the mixture is dried and then fired (Patent Literature 2), and, among the above wet method, a method of performing drying by spray drying (Patent Literature 3) are known. In addition, a dry method in which a titanium oxide having a specific surface area of 50 to 450 m 2 /g as measured by a BET one-point method by nitrogen adsorption is used as a raw material and mixed with a predetermined amount of a lithium compound, and the mixture is fired (Patent Literature 4), and the like are also known.
CITATION LIST
Patent Literature
[0000]
Patent Literature 1: JPH 06-275263 A
Patent Literature 2: JP 2001-213622 A
Patent Literature 3: JP 2001-192208 A
Patent Literature 4: WO2012/147856
SUMMARY OF INVENTION
Technical Problem
[0008] Lithium titanate is produced by firing a lithium compound and a titanium compound in both the above dry method and wet method. But, a problem is that because of the solid phase diffusion reaction, the reactivity between the respective raw materials is low, and when the firing temperature is low, by-products having different compositions generate easily and the unreacted raw materials remain easily in addition to the target lithium titanate, and sufficient electric capacity is not obtained when the lithium titanate is used in a battery. On the other hand, when the firing temperature is raised, this is advantageous in terms of reactivity, but a problem is that the volatilization loss of lithium occurs easily, and the shrinkage, sintering, and grain growth of lithium titanate particles proceed, and therefore even if the lithium titanate is mixed with a binding agent when an electrode is made, the lithium titanate is difficult to pulverize and cannot be sufficiently dispersed. In addition, another problem is that the specific surface area of lithium titanate particles decreases, and the battery characteristics such as low temperature property and rate capability decrease easily when the lithium titanate is used in a battery.
Solution to Problem
[0009] The present inventors had made various studies in order to produce lithium titanate that is easily pulverized and easily dispersed when mixed with a binding agent in order to make an electrode, and as a result, we have found the present invention. The present invention is a lithium titanate granulated particle having a degree of grinding Zd, represented by the following formula 1, of 2 or more.
[0000] Zd=D 50,1 /D 50,2 (Formula 1)
[0010] wherein D50,1 is a cumulative 50% particle diameter (μm) of lithium titanate before grinding, and D50,2 is a cumulative 50% particle diameter (μm) of the lithium titanate after grinding such that 1 g of a sample is placed within a circle having an area of 2 cm 2 and pressed with a load at a pressure of 35 MPa applied, to the sample for 1 minute.
[0011] In addition, a method for producing lithium titanate according to the present invention comprises the following steps of (1) to (3). The present inventors have found that the desired lithium titanate that is easily pulverized and easily dispersed can be produced by thermally hydrolyzing titanyl sulfate or the like to produce metatitanic acid, adjusting the pH of a slurry of the metatitanic acid for neutralization, thereby producing metatitanic acid having a particular specific surface area and a particular sulfuric acid component content, then mixing the metatitanic acid and a lithium compound, and then firing the mixture, thereby completing the present invention.
[0012] (1) A step of thermal hydrolyzing titanyl sulfate or titanium sulfate to produce metatitanic acid;
[0013] (2) a step of preparing a slurry comprising the metatitanic acid, neutralizing the slurry to pH 6.0 to 9.0, and then subjecting the slurry to solid-liquid separation to produce a titanium raw material comprising metatitanic acid having a BET specific surface area of 100 to 400 m 2 /g and a content of a sulfuric acid component (SO 4 ) tp 2.0% by mass based on an amount of the metatitanic acid in terms of TiO 2 ; and
[0014] (3) a step of mixing the titanium raw material and a lithium compound and then firing an obtained mixture.
[0015] In addition, in the present invention, in the step of (2), after the metatitanic acid is subjected to solid-liquid separation, the metatitanic acid may be dried and dry-ground to produce the titanium raw material comprising the metatitanic acid. The step of (3) may be a step of preparing a mixed slurry of the metatitanic acid-containing titanium raw material and a lithium compound and then firing the mixed slurry. In addition, this step may be a step of preparing a mixed slurry of the titanium raw material and a lithium compound, then wet-grinding the mixed slurry, preferably wet-grinding the mixed slurry so that a cumulative 50% particle diameter of the titanium raw material is in a range of 0.5 to 3.0 μm, and then firing the mixed slurry. Further, a step of drying and granulating the mixed slurry before firing may be included. The firing temperature is preferably 600 to 950° C. The produced lithium titanate may be dry-ground.
Advantageous Effects of Invention
[0016] The lithium titanate of the present invention is lithium titanate that can be easily pulverized and easily dispersed when mixed with a binding agent in order to make an electrode, and the extent of grinding before mixing with a binding agent or grinding in mixing can be lowered, or these grindings need not be performed. When the lithium titanate obtained in this manner is mixed with a binding agent, it is dispersed well, and the mixture can be firmly fixed to a current collector to make an electrode having the desired characteristics, and the electrode can be used to make the desired electric storage device.
[0017] In addition, the method for producing lithium titanate according to the present invention is a method of thermally hydrolyzing titanyl sulfate or the like to produce metatitanic acid, adjusting the pH of a slurry comprising the metatitanic acid for neutralization, thereby producing a titanium raw material comprising metatitanic acid having a particular specific surface area and a particular sulfuric acid component content, then mixing the metatitanic acid-containing titanium raw material and a lithium, compound, and then firing the mixture. According to such a method, the desired lithium titanate that is easily pulverized and is soft can be produced.
DESCRIPTION OF EMBODIMENTS
[0018] The present invention is a lithium titanate granulated particle having a degree of grinding Zd, represented by the following formula 1, of 2 or more,
[0000] Zd=D 50,1 /D 50,2 (Formula 1)
[0019] The degree of grinding Zd is an indicator showing the degree of ease of pulverization, and when it is 2 or more, pulverization is easy. For the lithium titanate granulated particle having a degree of grinding Zd in this range, the extent of finish grinding can be lowered, or finish grinding need not be performed, and the lithium titanate granulated particle is dispersed well when mixed with a binding agent. The degree of grinding Zd is preferably 2 to 20, more preferably in the range of 3 to 19, and further preferably in the range of 4 to 18. When the degree of grinding Zd is smaller than 2, strong grinding is required, and the lithium titanate granulated particle is not sufficiently mixed with and dispersed in a binding agent.
[0020] The degree of grinding Zd is represented by the ratio of measured cumulative 50% particle diameters before and after grinding, D50,1/D50,2. D50,1 is the cumulative 50% particle diameter (μm) of the lithium titanate granulated particle before grinding, and D50,2 is the cumulative 50% particle diameter (μm) of the lithium titanate after grinding such that 1 g of a sample is placed within a circle having an area of 2 cm 2 and ground with a load at a pressure of 35 MPa applied to the sample for 1 minute
[0021] The apparatus used for the grinding is not particularly limited, and known dry grinders can be used. For example, flake crushers, hammer mills, pin mills, Bantam mills, jet mills, cyclone mills, fret mills, pan mills, edge runners, roller mills, Mix Muller, vibration mills, sample mills, grinding machines, and the like can be used.
[0022] In addition, the term granulated particle is used for distinction from a powder after grinding and does not necessarily mean having undergone some granulation step, but the granulated particle has preferably undergone a granulation step.
[0023] The cumulative 50% particle diameter of the lithium titanate granulated particle (represented by D50 here and being one before grinding, the same as D50,1) is preferably in the range of 0.5 to 50 μm, more preferably 0.5 to 30 μm, and further preferably 0.5 to 10 μm. When the cumulative 50% particle diameter of the lithium titanate granulated particle is in the above range, the handling properties are good, and even if the lithium titanate granulated particle is used as it is, the lithium titanate granulated particle is firmly fixed to a current collector of an electrode and does not come off easily, because the number of secondary particles having a large particle size is small, and therefore such a range is preferred. In addition, the particle size distribution of the lithium titanate granulated particle is preferably narrower. For example, when the particle size distribution, of the lithium titanate granulated particle is represented by a parameter SD value showing a particle size distribution obtained from a cumulative 10% particle diameter (D10) and a cumulative 90% particle diameter (D90) by formula 2, the parameter SD value is preferably 2.0 to 8.0 μm, more preferably 3.0 to 6.0 μm, and further preferably 3.5 to 4.5 μm.
[0000] SD (μm)=( D 90 −D 1-)/2 (Formula 2)
[0024] In addition, the lithium titanate granulated particle is easily pulverized, and therefore also when the 330 mesh sieve residue is measured, the lithium titanate granulated particle is pulverized, and the 330 mesh sieve residue is likely to be 0.1% by mass or less. When the 330 mesh sieve residue is 0.1% by mass or less, the number of coarse grains formed by the aggregation of secondary particles in firing is small, and therefore the lithium titanate granulated particle is firmly fixed to a current collector of an electrode and does not come off easily, which is preferred. The 330 mesh sieve residue is more preferably 0.05% by mass or less, further preferably 0.02% by mass or less.
[0025] In addition, the present invention relates to a lithium titanate powder obtained by grinding a lithium titanate granulated particle. The cumulative 50% particle diameter (D50) of the lithium titanate powder of the present invention is preferably 0.1 to 5 μm, more preferably 0.5 to 5 μm. When the cumulative 50% particle diameter of the lithium titanate powder is in the range of 0.1 to 5 μm, the handling properties are good, and the number of coarse grains is small, and therefore the lithium titanate powder is firmly fixed to a current collector of an electrode and does not come of easily, which is preferred. The cumulative 50% particle diameter is more preferably 0.5 to 3 μm, further preferably 0.5 to 2 μm.
[0026] In addition, the particle size distribution of the lithium titariate powder is preferably narrower. For example, When the particle size distribution of the lithium titanate powder is represented by a parameter SD value showing a particle size distribution obtained from a cumulative 10% particle diameter (D10) and a cumulative 90% particle diameter (D90) by the above formula 2, the parameter SD value is preferably 0.2 to 3.0 μm, more preferably 0.3 to 2.5 μm, and further preferably 0.5 to 2.0 μm.
[0027] In addition, when the 330 mesh sieve residue of the lithium titanate powder is 0.1% by mass or less, the number of coarse grains formed by the aggregation of secondary particles in firing is small, and therefore the lithium titanate powder is firmly fixed to a current collector of an electrode and does not come off easily, which is preferred. The 330 mesh sieve residue is more preferably 0.05% by mass or less, further preferably 0.02% by mass or less.
[0028] In addition, the lithium titanate (granulated particle and powder) of the present invention preferably has the following physical properties described in (1) to (3).
(1) Composition
[0029] The lithium titanate of the present invention includes compounds having various compositions and is specifically lithium titanate represented by the general formula LixTiO 4 in which 0.8≦x≦1.4 and 1.6≦y≦2.2. As a typical one, LiTi 2 O 4 , Li 1.33 Ti 1.66 O 4 (Li 4 Ti 5 O 12 ), Li 0.8 Ti 2.2 O 4 , or the like can be arbitrarily prepared.
(2) Single Phase Rate
[0030] The single phase rate is an indicator represented by the following formula 3 and showing the content of the target lithium titanate and is preferably 90% or more, more preferably 93% or more, more preferably 95% or more, more preferably 96% or more, further preferably 97% or more, and further preferably 98% or more.
[0000] single phase rate(%)=100×(1−Σ( Yi /X)) (Formula 3)
[0031] Here, X is the main peak intensity of the target lithium titanate in powder X-ray diffraction measurement using Cukα rays, and Yi is the main peak intensity of each subphase. In the case of Li 4 Ti 5 O 12 , X is peak intensity around 2θ=18°, and anatase type or rutile type TiO 2 and Li 2 TiO 3 are likely to present as subphases, and therefore peak intensity around 2θ=25° (anatase type TiO 2 ), peak intensity around 2θ=27° (rutile type TiO 2 ), and peak intensity around 2θ=44° (Li 2 TiO 3 ) are used for Yi.
(3) BET Specific Surface Area, Bulk Density, Amount of Oil Absorption, and the Like
[0032] The lithium titanate preferably has a large specific surface area because the battery characteristics are good. Specifically, the specific surface area is preferably 5 to 50 m 2 /g, more preferably 5 to 20 m 2 /g, and further preferably 5 to 10 m 2 /g.
[0033] In addition, the bulk density of the lithium titanate can be appropriately adjusted, and the bulk density is preferably 0.1 to 0.8 g/cm 3 , more preferably 0.2 to 0.7 g/cm 3 , more preferably 0.4 to 0.6 g/cm 3 , and further preferably 0.4 to 0.5 g/cm 3 . The tap density can also be appropriately adjusted, and the tap density is desirably 0.4 to 1.2 g/cm 3 , more preferably 0.5 to 1.0 g/cm 3 , and further preferably 0.6 to 0.8 g/cm 3 .
[0034] The amount of oil absorption of the lithium titanate is preferably 10 to 50 g/100 g, more preferably 10 to 40 g/100 g, more preferably 15 to 40 g/100 g, further preferably 20 to 40 g/100 g, and further preferably 20 to 35 g/100 g. The amount of oil absorption is the amount of oil required for kneading the lithium titanate, and the amount of a binding agent required when an electrode is made, and the peel strength of an electrode can be predicted from the amount of oil absorption. When the amount of oil absorption is in the range of 10 to 50 g/100 g, particularly 10 to 40 g/100 g, the amount of a binding agent is also an appropriate amount, and the lithium titanate can be firmly fixed on a current collector by the binding agent, and, for example, a preferred numerical value of 3 or less is shown in the evaluation of peel strength using the Cross-cut test JIS K5600-5-6 (ISO2409).
[0035] In addition, the amount of impurities is preferably small, and specifically, the following ranges are more preferred: sodium (1000 ppm or less), potassium (500 ppm or less), silicon (1000 ppm or less), calcium (1000 ppm or less), iron (500 ppm or less), chromium (500 ppm or less), nickel (500 ppm or less), manganese (500 ppm or less), copper (500 ppm or less), zinc (500 ppm or less), aluminum (500 ppm or less), magnesium (500 ppm or less), niobium (0.3% by mass or less), zirconium (0.2% by mass or less), SO 4 (1.0% by mass or less), chlorine (1.0% by mass or less), or the like.
[0036] Next, a titanium raw material for producing lithium titanate comprises metatitanic acid having a BET specific surface area of 100 to 400 m 2 /g and a content of a sulfuric acid component (SO 4 ) of 0.01 to 2.0% by mass based on the amount of the metatitanic acid in terms of TiO 2 . The content of the sulfuric acid component (SO 4 ) is preferably 0.2 to 2.0% by mass based on the amount of the metatitanic acid in terms of TiO 2 . The metatitanic acid includes a compound represented by TiO(OH) 2 or TiO 2 .H 2 O and a non-stoichiometric compound represented by TiO 2-n (OH) 2n or TiO 2 .nH 2 O (0<n<1) having a similar composition and is different from orthotitanic acid represented by Ti(OH) 4 or TiO 2 .2H 2 O obtained by neutralizing titanium tetrachloride and is also different from titanium dioxide represented by TiO 2 obtained by firing metatitanic acid or orthotitanic acid at a temperature of 500 to 1000° C. The titanium raw material should comprise as the main component preferably 70% by mass or more, more preferably 90% by mass or more, and further preferably 95% by mass or more of metatitanic acid and may comprise as accessory components a seed (nuclear crystal) added in hydrolysis described later, orthotitanic acid or salts thereof, titanic acid or salts thereof, titanium dioxide, titanium oxide, and the like.
[0037] The BET specific surface area of the metatitanic acid is preferably 150 to 400 m 2 /g, more preferably 250 to 400 m 2 /g, and further preferably 300 to 350 m 2 /g because the reactivity with a lithium compound is good. When the BET specific surface area of the metatitanic acid is smaller than 100 m 2 /g, the reactivity with a lithium compound worsens, which is not preferred. On the other hand, when the BET specific surface area of the metatitanic acid is larger than 400 m 2 /g, the metatitanic acid is fine, and therefore solid-liquid separation is difficult, which is not preferred.
[0038] The content of the sulfuric acid component (SO 4 ) in the metatitanic acid is preferably low, because the sulfuric acid component reacts with a lithium compound to produce lithium sulfate as a by-product. The content of the sulfuric acid component is preferably 0.2 to 2.0% by mass, more preferably 0.2 to 1.5% by mass, and more preferably 0.2 to 0.7% by mass based on the amount of the metatitanic acid in terms of TiO 2 considering industrial productivity.
[0039] In addition, the content of alkali metals, alkaline earth metals, and the nitrogen of ammonia, amines, and the like in the metatitanic acid represented by the total amount is preferably 2% by mass or less, more preferably 1% by mass or less, and further preferably 0.5% by mass based on the metatitanic acid. In particular, the contents of the alkali metals and the alkaline earth metals are each 0.2% by mass or less, and the content of nitrogen is preferably 1% by mass or less, more preferably 0.8% by mass or less, and further preferably 0.5% by mass. The metatitanic acid preferably has high purity and usually preferably has a purity of 90% by mass or more, more preferably 99% by mass or more. In addition, for the content of other elements, specifically, the following ranges based on the metatitanic acid are more preferred: silicon (1000 ppm or less), calcium (1000 ppm or less), iron (1000 ppm or less), niobium (0.3% by mass or less), and zirconium (0.2% by mass or less).
[0040] In addition, the metatitanic acid is preferably fine in terms of reactivity with a lithium compound, and the average primary particle diameter (electron microscope method) is preferably in the range of 0.001 μm to 0.3 μm, more preferably 0.005 to 0.05 μm, and more preferably in the range of 0.005 μm to 0.03 μm.
[0041] Methods for measuring the respective characteristics of the lithium titanate (granulated particle and powder), the metatitanic acid, the titanium raw material, the lithium compound, and the mixture will be described.
(1) BET Specific Surface Area
[0042] The specific surface area is measured by a BET one-point method by nitrogen adsorption. For the apparatus, Monosorb manufactured by YUASA IONICS or Monosorb model number MS-22 manufactured by Quantachrome Instruments was used.
(2) Particle Diameter (Metatitanic Acid)
[0043] The average particle diameter of the primary particles of the metatitanic acid is obtained by measuring the particle diameters of 100 primary particles in an image using a transmission electron microscope, and taking the average value (electron microscope method).
[0044] In addition, the cumulative 50% particle diameter of the metatitanic acid is measured by a laser diffraction method. Specifically, a laser diffraction/scattering type particle size distribution measuring apparatus is used, pure water is used for a dispersion medium, the refractive index is 1.33 for the pure water, and 2.52 is used for the refractive index of the metatitanic acid. For the laser diffraction/scattering type particle size distribution measuring apparatus, LA-950 manufactured by HORIBA, Ltd. was used.
(3) Particle Diameter (Lithium Titanate)
[0045] The cumulative 10% particle diameter (D10), cumulative 50% particle diameter (D50), and cumulative 90% particle diameter (D90) of the lithium titanate are measured by a laser diffraction method. Specifically, measurement is performed by using a laser diffraction/scattering type particle size distribution measuring apparatus, using pure water for a dispersion medium, setting the refractive index at 1.33 for the water, and appropriately setting the refractive index according to the compound species for the lithium titanate. When the lithium titanate is Li 4 Ti 5 O 12 , 2.70 is used for the refractive index. In addition, in the present invention, for the laser diffraction/scattering type particle size distribution measuring apparatus, LA-950 manufactured by HORIBA. Ltd. was used.
(4) Particle Diameter (Lithium Compound)
[0046] The cumulative 50% particle diameter of the lithium compound is measured by a laser diffraction method. Specifically, the cumulative 50% particle diameter of the lithium compound is measured by using a laser diffraction/scattering type particle size distribution measuring apparatus, using ethanol for a dispersion medium, setting the refractive index at 1.36 for the ethanol, and appropriately setting the refractive index according to the compound species for the lithium compound. For example, when the lithium compound is lithium carbonate, 1.50 is used for the refractive index. As the laser diffraction/scattering type particle size distribution measuring apparatus, LA-950 manufactured by HORIBA, Ltd. was used.
(5) Particle Diameter (Mixture (Dry Material and Granulated Material))
[0047] When the mixture of the titanium raw material and the lithium compound is a dry material and a granulated material, the cumulative 50% particle diameter is measured by a laser diffraction method. Specifically, a laser diffraction/scattering type particle size distribution measuring apparatus is used, water is used for a dispersion medium, the refractive index is 1.33 for the water, and when the lithium compound is lithium carbonate, 2.52, the refractive index of the metatitanic acid higher than that of lithium carbonate, is used for the refractive index of the mixture. For the laser diffraction/scattering type particle size distribution measuring apparatus, LA-950 manufactured by HORIBA, Ltd. was used.
(6) Bulk Density and Amount of Oil Absorption
[0048] The bulk density is obtained by a cylinder method (placing a sample in a cylinder and calculating from the volume and the mass). In addition, the tap density is calculated by tapping a cylinder containing a sample 200 times from a height of 5 cm.
[0049] The amount of oil absorption conforms to JIS K-5101-13-2. The amount of oil absorption is represented by the amount of boiled linseed oil used per 100 g of a sample (Formula 4) when the sample and the boiled linseed oil are mixed little by little, and a state in which the mixture can be spirally wound using a spatula is reached.
[0000] the amount of oil absorption (g/100 g)=the amount of boiled linseed oil (g)/sample mass (g)×100 (Formula 4)
(7) 330 Mesh Sieve Residue
[0050] The 330 mesh sieve residue is represented by oversize (the mass percentage of the granulated particle or the powder remaining on a 330 mesh sieve to the total amount of the powder) using a 330 mesh standard sieve based on JIS Z 8901 “Test powders and test particles.”
(8) Peel Strength
[0051] The peel strength is evaluated in 6 grades from 0 to 5 using the Cross-cut test JIS K5600-5-6 (ISO2409). As the numerical value becomes smaller, stronger peel strength is indicated.
(9) Single Phase Rate
[0052] The single phase rate is represented by (Formula 3) single phase rate (%)=100×(1−Σ(Yi/X)).
[0053] Here, X is the main peak intensity of the target lithium titanate in powder X-ray diffraction measurement using Cukα rays, and Yi is the main peak intensity of each subphase. For the powder X-ray diffraction apparatus, Ultima IV manufactured by Rigaku Corporation was used.
(10) Impurities
[0054] Sodium and potassium that are impurities are measured by an atomic absorption method, SO 4 and chlorine are measured by an ion chromatography method or a fluorescent X-ray measuring apparatus, and other elements such as silicon, calcium, iron, chromium, nickel, manganese, copper, zinc, aluminum, magnesium, niobium, and zirconium are measured by an ICP method. For SO 4 , a fluorescent X-ray measuring apparatus (RIGAKU RIX-2200) was used. Ammonia was liberated with a strong alkali and then measured by a neutralization titration method.
[0055] Next, a method for producing lithium titanate according to the present invention comprises the following steps:
[0056] (1) the step of thermally hydrolyzing titanyl sulfate or titanium sulfate to produce metatitanic acid;
[0057] (2) the step of preparing a slurry comprising the metatitanic acid, neutralizing the slurry to pH 6.0 to 9.0, and then subjecting the slurry to solid-liquid separation to produce a titanium raw material comprising metatitanic acid having a BET specific surface area of 100 to 400 m 2 /g and a content of a sulfuric acid component (SO 4 ) of 0.01 to 2.0% by mass, preferably 0.2 to 2.0% by mass, based on the amount of the metatitanic acid in terms of TiO 2 ; and
[0058] (3) the step of mixing the titanium raw material and a lithium compound and then firing the obtained mixture.
[0059] First, the step of (1) is the step of producing metatitanic acid, and titanyl sulfate or titanium sulfate dissolved in a solvent such as water is thermally hydrolyzed. The temperature of the hydrolysis is preferably 80 to 95° C., more preferably 87 to 93° C. 0.1 to 1.0% by mass of a seed (nuclear crystal) is preferably added in the hydrolysis because the hydrolysis proceeds easily. The produced metatitanic acid is in a slurry state and may be subjected to solid-liquid separation and washed as required. In this case, for example, the metatitanic acid is suspended in a solvent such as water, an alcohol, hexane, toluene, methylene chloride, a silicone, or the like and is in slurry state again.
[0060] Next, the step of (2) is the step of removing the sulfuric acid component (SO 4 ) contained in the metatitanic acid to produce a titanium raw material comprising the metatitanic acid, and the slurry comprising the metatitanic acid is neutralized to pH 6.0 to 9.0, and then the slurry is subjected to solid-liquid separation for separation from the water-soluble sulfate. When the slurry pH is adjusted in the range of 6.0 to 9.0, the content of the sulfuric acid component (SO 4 ) can be the desired amount, and the amount of the remaining neutralizing agent can also be decreased. A preferred pH is 6.5 to 8.0, more preferably 7.0 to 7.5, and further preferably 7.0 to 7.4. For the added neutralizing agent, an alkali compound is used, and those that do not remain in lithium titanate are preferred, and, for example, compounds such as ammonia, ammonium compounds such as ammonium hydroxide, amine compounds such as alkanolamines, or the like are more preferred.
[0061] The solid concentration of the slurry comprising the metatitanic acid is not particularly limited but, for example, is preferably adjusted at a solid concentration of 10 to 30% by mass. The slurry temperature is not particularly limited but is usually in the range of 10 to 30° C. Usual apparatuses, filter filtration machines, vacuum filtration machines, and the like can be used for the solid-liquid separation. After the solid-liquid separation, washing and drying may be performed as required. The drying temperature is preferably 50 to 500° C., more preferably 50 to 300° C., and further preferably 50 to 250° C. When drying is performed at a temperature higher than 500° C., the BET specific surface area of the metatitanic acid decreases, and the metatitanic acid completely changes to titanium dioxide crystals, which is not preferred. In this manner, the metatitanic acid having a BET specific surface area of 100 to 400 m 2 /g and a content of the sulfuric acid component (SO 4 ) of 0.01 to 2.0% by mass, preferably 0.2 to 2.0% by mass, based on the amount of the metatitanic acid in terms of TiO 2 can be produced. In addition, in the metatitanic acid produced in this manner, the content of alkali metals, alkaline earth metals, and the nitrogen of ammonia, amines, and the like can be decreased, and the content represented by the total amount is preferably 2% by mass or less, more preferably 1% by mass or less, and further preferably 0.5% by mass based on the metatitanic acid. In particular, the alkali metals and the alkaline earth metals are each 0.2% by mass or less, and the content of nitrogen is preferably 1% by mass or less, more preferably 0.8% by mass or less, and further is preferably 0.5% by mass.
[0062] Further, after drying, dry grinding is preferably performed as required because the burden of wet grinding in the step of (3) is small. For the dry grinder, usual ones can be used. Examples thereof include flake crushers, hammer mills, pin mills, Bantam mills, jet mills, cyclone mills, fret mills, pan mills, edge runners, roller mills, Mix Muller, vibration mills, and the like. The metatitanic acid produced in this manner can be a titanium raw material, and orthotitanic acid or salts thereof, titanic acid or salts thereof, titanium dioxide, titanium oxide, and the like may be mixed as required to provide a titanium raw material.
[0063] Next, in the step of (3), the titanium raw material and a lithium compound are mixed, and then the obtained mixture is fired. The titanium raw material produced in the previous step (2) is in a wet state like a cake, a slurry state, or a dry state, and the titanium raw material and the lithium compound can be mixed. The titanium raw material in a wet state or a slurry state is preferably used because the titanium raw material easily comes into contact with the lithium compound, and a mixture in which the reactivity of the titanium raw material and the lithium compound is high is easily obtained. The method of performing mixing in such a wet state or a slurry state is referred to as a wet method and is more preferred than a dry method in which the titanium raw material in a dry state and the lithium compound are mixed.
[0064] The mixing machine for mixing the titanium raw material in a wet state or a dry state and the lithium compound is not particularly limited, and usual stirrers, mixing machines, mixers, kneaders, dry grinders, and the like can be used.
[0065] For the lithium compound, hydroxides, salts, oxides, and the like can be used without particular limitation. Examples thereof include lithium hydroxide, lithium carbonate, lithium nitrate, lithium sulfate, lithium oxide, or the like. One of these can be used, or two or more of these may be used in combination. Among the above lithium compounds, in order to avoid the remaining of acidic radicals in the lithium titanate, lithium hydroxide, lithium carbonate, and lithium oxide are preferably used, lithium hydroxide and lithium carbonate are more preferably used, and lithium hydroxide is further preferred. The lithium compound preferably has high purity and usually preferably has a purity of 98.0% by mass or more. For example, when lithium hydroxide monohydrate is used as the lithium compound, it is preferable that LiOH is 56.0% by mass or more, preferably 57.0% by mass or more, and impurity metal elements such as Na, Ca, K, Mg, or the like are 1000 ppm or less, preferably 500 ppm or less respectively, and Cl and SO 4 are 1000 ppm or less, preferably 500 ppm or less respectively in the present invention, the acidic radicals mean a sulfate radical (SO 4 ) and a chlorine radical (Cl).
[0066] The blending ratio of the lithium compound to the titanium raw material should be adjusted to the composition of the target lithium titanate. For example, when Li 4 Ti 5 O 12 is produced as the lithium titanate, the lithium compound and the titanium raw material are blended so that the Li/Ti ratio is in the range of 0.79 to 0.85.
[0067] In addition, a mixed slurry of the titanium raw material produced in the previous step (2) and the lithium compound is preferably prepared. For the mixed slurry, for example, the titanium raw material and the above lithium compound are suspended or dissolved in a solvent such as water, an alcohol, hexane, toluene, methylene chloride, a silicone, or the like to form a slurry. The lithium compound may be soluble in the solvent or insoluble. A solution in which the lithium compound is dissolved, and the titanium raw material in a wet state or a dry state or the titanium raw material in a slurry state are preferably mixed. The apparatus for making the mixed slurry is not particularly limited, and usual stirrers, mixing machines, mixers, wet grinders, and the like can be used. The solid concentration of the slurry is not particularly limited but, for example, is adjusted at a solid concentration of 10 to 30% by mass. The slurry temperature is not particularly limited but is usually adjusted in the range of 10 to 30° C.
[0068] Next, this mixed slurry comprising the titanium raw material and the above lithium compound is more preferably wet-ground. The wet grinding means the operation of performing dispersion or grinding while preventing the agglomeration (becoming massive) of the slurry components, using a grinder or a disperser that can apply strong shear force. The apparatus used for the wet grinding is not especially limited as long as the objects of the present invention can be achieved. For example, wet medium stirring mills (wet grinders) such as batch type bead mills such as basket mills, horizontal, vertical, and annular continuous bead mills, sand grinder mills, ball mills, and the like are illustrated. As the beads used in the wet medium stirring mills, beads comprising glass, alumina, zirconia, steel, flint, or the like as a raw material can be used.
[0069] In the present invention, the cumulative 50% particle diameter of the titanium raw material in the mixed slurry is preferably adjusted in the range of 0.5 to 3.0 μm, more preferably in the range of 0.5 to 2.0 μm, by wet grinding. When the cumulative 50% particle diameter of the titanium raw material is larger than 3.0 μm, the reactivity with a lithium compound worsens, which is not preferred.
[0070] The lithium compound should be soluble in the solvent. But, when the lithium compound is insoluble, the lithium compound is also preferably made fine by wet grinding, and the cumulative 50% particle diameter of the lithium compound particles is preferably adjusted in the range of 0.3 to 3.0 μm, more preferably in the range of 2.0 to 3.0 μm.
[0071] When the above mixture is a cake in a wet state, the mixture may be dried as required. When the mixture is in a state of a slurry, the mixture may be subjected to solid liquid separation, dried, and granulated as required, and is preferably dried for firing. The drying is not particularly limited, and usual dryers can be used, and, for example, heat dryers, hot air dryers, reduced-pressure, vacuum dryers, or the like can be used. For the sample for drying, a cake in a wet state, a thick slurry, and the like can be used. The cake in a wet state may be obtained by directly mixing the titanium raw material in a wet state and the lithium compound or subjecting a mixed slurry of both to solid-liquid separation. Specifically, a method of instantaneously dispersing and drying a cake- or slurry-like water-containing powder in a high temperature and high speed airflow like a spin flash dryer is preferred.
[0072] In addition, spray drying in which solid-liquid separation, drying, and granulation can be performed by one method is more preferably performed. For the spray drying of the mixed slurry, conventionally known methods such as a rotating disk method, a pressure nozzle method, a two-fluid nozzle method, a four-fluid nozzle method, and the like can be adopted. Particularly, the four-fluid nozzle method is preferred because spherical fine particle aggregates having a uniform particle size distribution can be obtained, and it is easy to control the average particle diameter. The drying temperature at this time is different depending on the mixed slurry concentration, the treatment speed, and the like. When a spray dryer is used, for example, conditions such as a spray dryer inlet temperature of 100 to 300° C. and an outlet temperature of 40 to 200° C. are preferred. The spraying speed is not especially limited, but usually spraying is performed at a spraying speed in the range of 0.5 to 3 L/min. When an atomizer type spray dryer is used, treatment is performed, for example, at 10000 to 40000 rpm (revolutions/min), but this range is not limiting.
[0073] When the mixed slurry is granulated by spray drying or the like in this manner and granulated particles are used as secondary particles, the cumulative 50% particle diameter (laser diffraction method) is preferably 3 to 15 μm, more preferably 5 to 12 μm, and further preferably 7 to 8 μm.
[0074] The bulk density of the dry material or the granulated material is preferably 0.1 to 0.8 g/cm 3 , more preferably 0.2 to 0.7 g/cm 3 , more preferably 0.4 to 0.6 g/cm 3 , and more preferably 0.4 to 0.5 g/cm 3 . When the bulk density is lower than the above range, depending on the firing furnace, the amount charged per apparatus decreases, and the production ability decreases. In the heating step, gas generated during the reaction does not come out easily, heat conduction is inhibited, and the like, and also this case is not preferred because the reactivity decreases. As a result, in either case, the single phase rate of the obtained lithium titanate decreases easily.
[0075] In addition, the mixture in a wet state or a dry state, the dry material, or the granulated material obtained by mixing the titanium raw material and the lithium compound may be dried, ground, and pressurized as required. Generally, a material having a large specific surface area is bulky (has low bulk density) and has large occupied volume per mass, and therefore the productivity, for example, throughput (the amount of the material charged) per unit time or equipment, decreases. Therefore, the mixture is preferably ground and pressurized to moderate bulk density. By grinding and pressurizing the mixture, the titanium raw material and the lithium compound easily come into contact with each other, and a mixture in which the reactivity of the titanium raw material and the lithium compound is high is easily obtained, which is preferred.
[0076] As the means for grinding, the above-described known grinders, for example, jet mills, cyclone mills, and the like can be used. As the means for pressurizing, means for applying pressure (compressing), means for applying pressure (compressing) and grinding, and the like can be used, and known pressure molding machines and compression molding machines can be used. Examples thereof include roller compactors, roller crushers, pellet molding machines, and the like. In the case of pressurization, when the applied pressure to the powder is 58.8 MPa or less, a precursor mixture having a bulk density in the above range is easily obtained. The applied pressure is more preferably less than 49.0 MPa, further preferably 14.7 to 44.1 MPa.
[0077] Next, the above mixture or the like obtained by mixing the titanium raw material and the lithium compound is placed in a heating furnace, heated to a predetermined temperature, and maintained for a certain time for firing. The mixture may be in a state of a mixed slurry, may be in a wet state, or may be a dried, granulated, or ground and pressurized one. When the mixture is in a state of a mixed slurry, it may be placed in the heating furnace by spraying it into the heating furnace, or the like. When the mixture is in other states, it can be placed in the heating furnace by gas transport such as air, or the like, or machinery transport such as a conveyor belt, a bucket elevator, or the like. As the heating furnace, for example, fluidized furnaces, stationary furnaces, rotary kilns, tunnel kilns, or the like can be used.
[0078] The firing temperature is preferably a temperature of 600° C. or more and preferably 950° C. or less. For example, in the case of Li 4 Ti 5 O 12 , when the firing temperature is lower than 600° C., the single phase rate of the target lithium titanate is low, and the amount of the unreacted titanium raw material is large, which is not preferred. On the other hand, when the firing temperature is higher than 950° C., impurity phases (Li 2 TiO 3 and Li 2 Ti 3 O 7 ) are produced, which is not preferred. A preferred firing temperature is 650° C. to 800° C., more preferably 680 to 780° C., and further preferably 700 to 750° . When the firing temperature is in this range, the above-described single phase rate can be in a preferred range, and lithium titanate with suppressed sintering and grain growth can be stably produced.
[0079] The firing time can be appropriately set, and about 3 to 6 hours is appropriate. The firing atmosphere is not limited, but oxidizing atmospheres such as the air, oxygen gas, or the like, non-oxidizing atmospheres such as nitrogen gas, argon gas, or the like, and reducing atmospheres such as hydrogen gas, carbon monoxide gas, or the like are preferable, and oxidizing atmospheres are preferred. Pre-firing may be performed but is not particularly required.
[0080] In the lithium titanate obtained in this manner, little sintering and grain growth have occurred, and pulverization is easy, and therefore the lithium titanate can be used in the step of making an electrode after cooling without grinding. But, the step (4) of further dry-grinding the lithium titanate produced in the above step of (3) may be performed as required. The lithium titanate obtained in the present invention is easily pulverized as described above. But, when dry-grinding is performed, the lithium titanate is much more easily pulverized, and is easily dispersed in a paste when an electrode of an electric storage device is made. For the grinding, known dry grinders can be used. Examples thereof include flake crushers, hammer mills, pin mills, Bantam mills, jet mills, cyclone mills, fret mills, pan mills, edge runners, roller mills, Mix Muller, vibration mills, and the like. In addition, the lithium titanate obtained by firing, or the lithium titanate subjected to dry grinding may be passed through a sieve and classified to decrease coarse grains and remove coarse impurities and the like, or shaped into a certain size to decrease fine grains.
[0081] Next, the present invention is an electric storage device electrode characterized by comprising as an electrode active material the lithium titanate not subjected to dry grinding, or the lithium titanate subjected to dry grinding, or further the lithium titanate passed through a sieve and classified described above.
[0082] In addition, the present invention is an electric storage device characterized by using the lithium titanate of the present invention described above. This electric storage device comprises the above electrode, a counter electrode to the electrode, and an electrolyte and comprises a separator as required. The electrode is obtained by using the lithium titanate of the present invention for an electrode active material, adding a binding agent (binder) to the lithium titanate, further adding a conductive material as required, appropriately molding or applying the mixture, and fixing the mixture to a current collector. Examples of the binding agent (binder) include fluororesins such as polytetrafluoroethylene, polyvinylidene fluoride, fluororubbers, styrene butadiene rubbers, water-based resins such as carboxymethyl cellulose polyacrylic acid, or the like. Examples of the conductive material include conduction aids such as carbon black, acetylene black, ketjen black, or the like. In the case of a lithium battery, the above electrode active material can be used for the positive electrode, and metal lithium, a lithium alloy or the like, or a carbon-containing substance such as graphite , or the like can be used as the counter electrode. Alternatively, the above electrode active material can be used as the negative electrode, and a lithium-transition metal complex oxide such as lithium-manganese complex oxide, lithium-cobalt complex oxide, lithium-nickel complex oxide, lithium-cobalt-manganese-nickel complex oxide, lithium-vanadium complex oxide, or the like an olivine type compound such as a lithium-iron-complex phosphoric acid compound, or the like can be used for the positive electrode. For the separator, a porous polypropylene film or the like is used in either case, and for the electrolyte, a material in common use such as a solution obtained by dissolving a lithium salt such as LiPF 6 , LiClO 4 , LiCF 3 SO 3 , LiN(CF 3 SO 2 ) 2 , LiBF 4 , or the like in a solvent such as propylene carbonate, ethylene carbonate, dimethyl carbonate, diethyl carbonate, ethyl methyl carbonate, γ-butyrolactone, 1,2-dimethoxyethane, or the like can be used. The lithium titanate of the present invention may be used not only as an active material of a lithium secondary battery but by being adhered to the surface of another type of active material, blended in an electrode, or contained in a separator, or as a lithium ion conductor, or the like. In addition, the lithium titanate of the present invention may be used as an active material of a sodium ion battery.
EXAMPLES
[0083] Examples of the present invention will be shown below, but these do not limit the present invention.
Example 1
(1) Making of Metatitanic Acid
[0084] 0.5% by mass of a metatitanic acid seed (nuclear crystal) in terms of TiO 2 was added to a 220 g/L sulfuric acid aqueous solution of titanyl sulfate in terms of TiO 2 followed by heating at 90° C. for 4 hours to obtain a mixture of a metatitanic acid precipitate and sulfuric acid. Then, the precipitate was filtered and washed by a suction filtration machine and then repulped to obtain an aqueous slurry having a TiO 2 concentration of 220 g/L.
(2) Making of Titanium Raw Material
[0085] Next, while 10 L of the above metatitanic acid slurry (concentration 220 g/L) was stirred, ammonia water (16.5%) was added over 25 minutes until the pH of the slurry reached 7.3. The slurry was aged for 2 hours followed by filtration and washing by a suction filtration machine and drying at 150° C. for 15 hours. The obtained dry material was ground by a hammer mill to make a titanium raw material (sample a).
(3) Making of Lithium Titanate
[0086] 1.9 kg of lithium hydroxide monohydrate was dissolved in 13 L of pure water, and the titanium raw material obtained by the above method was added. The mixture was stirred for 30 minutes to prepare a mixed slurry having a titanium raw material concentration of 23% by mass in terms of TiO 2 . Then, the mixed slurry was wet-ground in a bead mill to set the cumulative 50% particle diameter of the titanium raw material at 1.1 μm. The viscosity of the slurry after the grinding was 1200 mPa·s.
[0087] Then, the inlet temperature and outlet temperature of a spray dryer (L-8i model manufactured by Ohkawara Kakohki Co., Ltd.) were adjusted at 190° C. and 90° C., respectively, and the above mixed slurry was spray-dried. The granulated particle obtained by the spray drying was placed in a heating furnace and fired in the air at a temperature of 700° C. for 3 hours to obtain a lithium titanate granulated particle of the present invention (sample A).
Example 2
[0088] Metatitanic acid (sample b) and a lithium titanate granulated particle (sample B) were obtained as in Example 1 except that in (2) of Example 1, the neutralization pH was 6.9 instead of 7.3.
Example 3
[0089] Metatitanic acid (sample c) and a lithium titanate granulated particle (sample C) were obtained as in Example 1 except that in (2) of Example 1, the neutralization pH was 7.8 instead of 7.3.
Example 4
[0090] Metatitanic acid (sample d) and a lithium titanate granulated particle (sample D) were obtained as in Example 1 except that in (2) of Example 1, the drying temperature was 300° C. instead of 150° C.
Example 5
[0091] A lithium titanate granulated particle of the present invention (sample E) was obtained as in Example 1 except that in (3) of Example 1, the firing temperature was 740° C. instead of 700° C.
Example 6
[0092] The sample A obtained in Example 1 was ground in a fret mill (grinding roller 40 kg, the number of revolutions of the roller 50 rpm), and the ground material was crushed and classified by a mesh having an opening of 0.5 mm to obtain a lithium titanate powder of the present invention (sample F).
Example 7
[0093] The sample A obtained in Example 1 was ground in a hammer mill to obtain a lithium titanate powder of the present invention (sample G).
Example 8
[0094] The sample A obtained in Example 1 was ground in a jet mill to obtain a lithium titanate powder of the present invention (sample H).
Comparative Example 1
[0095] Titanium dioxide (sample i) and a lithium titanate granulated particle (sample I) were produced as in Example 1 except that in (2) of Example 1, the drying temperature was 550° C. instead of 150° C.
Comparative Example 2
[0096] Lithium titanate was produced by the following method using crystalline titanium dioxide and orthotitanic acid for the titanium raw material instead of metatitanic acid.
[0097] 3 L of a 9.14 mol/L ammonia aqueous solution and 1.5 L of pure water were placed in a reaction container and heated with stirring so that the temperature of the solution reached 50 to 60° C. 4.5 L of a 1.25 moll titanium tetrachloride aqueous solution was added over 2 hours, and then the mixture was aged for 1 hour. The produced precipitate was filtered and washed with 2 L of pure water to obtain a titanic acid compound (orthotitanic acid). Then, the obtained orthotitanic acid was dispersed in pure water to obtain a 150 g/L slurry in terms of TiO 2 .
[0098] Next, 371 g of crystalline titanium oxide (having the diffraction peaks of the anatase type and the rutile type) was added to 1.6 L of a 3.5 mol/L lithium hydroxide aqueous solution and dispersed. While this slurry was stirred, the liquid temperature was kept at 80° C., and 1.2 L of the above orthotitanic acid slurry (150 g/L) was added to obtain a mixed slurry comprising titanium dioxide, orthotitanic acid, and a lithium compound.
[0099] Next, the inlet temperature and outlet temperature of a spray dryer (L-8i model manufactured by Ohkawara Kakohki Co., Ltd.) were adjusted at 190° C. and 90° C., respectively, and the above mixed slurry was spray-dried. The obtained dry granulated material was fired in the air at a temperature of 700° C. for 3 hours to obtain a lithium titanate granulated particle (sample J).
Evaluation 1, Evaluation of Titanium Raw Materials
[0100] Table 1 shows the results of examining the BET specific surface area, and the SO 4 content and the ammonia content based on the amount of metatitanic acid in terms of TiO 2 for the samples a to d and i obtained in the Examples and the Comparative Examples. It was found that when the drying temperature of metatitanic acid was 500° C. or less, the BET specific surface area was moderate. In addition, it was found that when the neutralization pH was in the range of 6 to 9, the SO 4 content and the content of nitrogen derived from ammonia were both appropriate amounts.
[0000]
TABLE 1
Drying
Specific
Neutralization
temperature
surface area
SO 4
NH 3
Sample
pH
(° C.)
(m 2 /g)
(% by mass)
(% by mass)
Example 1
a
7.3
150
335
0.6
0.01
Example 2
b
6.9
150
339
1.1
0.06
Example 3
c
7.8
150
326
0.5
0.21
Example 4
d
7.3
300
145
0.6
0.01
Comparative
i
7.3
550
86
0.6
0.02
Example 1
Evaluation 2, Evaluation of Lithium Titanate Granulated Particles
[0101] The D10, D50,1, and D90 of the samples obtained in the Examples and the Comparative Examples were measured, and D50,2 was measured to obtain Zd and SD. They are shown in Table 2, In addition, the BET specific surface area, the nonreaction rate, the amount of oil absorption, the bulk density, and the tap density were measured, and the results are shown in Table 3. The samples of the Examples had a Zd of 2 or more and were easily ground. In addition, it was found that the specific surface area was also relatively large, the nonreaction rate was low, and the amount of oil absorption and the bulk density were also moderate.
[0102] The nonreaction rates of the obtained samples were measured as follows. The powder X-ray diffraction pattern was measured using a powder X-ray diffraction apparatus. As a result, it was confirmed that all samples comprised Li 4 Ti 5 O 12 as the main component. In addition, among the measured peak intensities, the peak intensity of Li 4 Ti 5 O 12 around 2θ=18° was used as X, and the peak intensity of the rutile type TiO 2 around 2θ=27°, the peak intensity of the anatase type TiO 2 around 2θ=25°, and the peak intensity of Li 2 ′TiO 3 around 2θ=44° were used as Y to calculate the above-described single phase rate to determine nonreaction rate=100−single phase rate.
[0000]
TABLE 2
Firing
temperature
D10
D50.1
D90
D50.2
SD
Sample
(° C.)
(μm)
(μm)
(μm)
(μm)
Zd
(μm)
Example 1
A
700
1.8
5.1
9.9
0.9
5.7
4.1
Example 4
D
700
4.6
7.9
13.0
0.9
8.8
4.2
Example 5
E
740
3.8
6.8
11.2
0.8
8.5
3.7
Comparative
I
700
4.7
8.0
12.9
—
—
4.1
Example 1
Comparative
J
700
3.4
6.6
10.8
5.6
1.2
3.7
Example 2
[0000]
TABLE 3
Specific
Nonreaction
Amount of
surface area
rate
oil absorption
Bulk density
Tap density
Sample
(m 2 /g)
(%)
(g/100 g)
(g/cm 3 )
(g/cm 3 )
Example 1
A
8.1
0
38
0.45
0.65
Example 4
D
6.4
0
38
0.49
0.73
Example 5
E
6.5
0
38
0.45
0.72
Comparative
I
5.7
2.3
37
0.56
0.84
Example 1
Comparative
J
9.6
0
42
0.37
0.76
Example 2
Evaluation 3, Evaluation of Lithium Titanate Powders
[0103] Table 4 shows the results of D10, D50, D90, SD, the specific surface area, the nonreaction rate, the amount of oil absorption, and the peel strength for the ground samples obtained in the Examples. It was found that the samples of the Examples had good powder characteristics as an electrode active material and moreover had strong peel strength and were firmly fixed to current collectors.
[0104] The peel strength was evaluated in 6 grades from 0 to 5 using the Cross-cut test JIS K5600-5-6 (ISO2409). A grid of 25 squares is made in the following evaluation sample using a utility knife, and CELLOTAPE (registered trademark) is strongly pressure-bonded to the grid portion. An end of the tape is peeled at once at an angle of 60°, and then, the state of the grid is compared with a standard diagram and evaluated. As the numerical value of 0 to 5 becomes smaller, stronger peel strength is indicated. The evaluation sample was made by mixing each of the samples obtained in the Examples, an acetylene black powder as a conductive agent, and a polyvinylidene fluoride resin as a binding agent at a mass ratio of 100:5:8 and kneading the mixture to prepare a paste, applying this paste onto aluminum foil, and drying the paste at a temperature of 120° C for 10 minutes followed by pressing at 17 MPa.
[0000]
TABLE 4
Specific
Nonreaction
Amount of
D10
D50
D90
SD
surface area
rate
oil absorption
Peel
Sample
(μm)
(μm)
(μm)
(μm)
(m 2 /g)
(%)
(g/100 g)
strength
Example 6
F
0.44
0.79
1.8
0.7
8.1
0
27
2
Example 7
G
0.49
1.2
3.9
1.7
8.2
0
28
2
Example 8
H
0.40
0.79
2.7
1.2
8.3
0
26
2
Evaluation 4, Making of Electric Storage Devices
[0105] Each of the samples obtained in the Examples and the Comparative Examples, an acetylene black powder as a conductive agent, and a polyvinylidene fluoride resin as a binding agent were mixed at a mass ratio of 100:5:7 and kneaded to prepare a paste. This paste was applied onto aluminum foil and dried at a temperature of 120° C. for 10 minutes, and then the aluminum foil was punched into a circle having a diameter of 12 mm and pressed at 17 MPa to provide a working electrode. The amount of the active material contained in the electrode was 3 mg.
[0106] This working electrode was vacuum-dried at a temperature of 120° C. for 4 hours, and then incorporated into a sealable coin type cell as a positive electrode in a glove box having a dew point of −70° C. or less. For the coin type cell, one whose material was made of stainless steel (SUS316) and Which had an outer diameter of 20 mm and a height of 3.2 mm was used. For the negative electrode, metal lithium having a thickness of 0.5 mm molded into a circle having a diameter of 12. mm was used. As the nonaqueous electrolytic solution, a mixed solution of ethylene carbonate and dimethyl carbonate (mixed at a volume ratio of 1:2) in which LiPF6 was dissolved at a concentration of 1 mol/L was used.
[0107] The working electrode was placed in the lower can of the coin type cell, and a porous polypropylene film was placed on the working electrode as a separator. The nonaqueous electrolytic solution was dropped from above the porous polypropylene film. The negative electrode and a 0.5 mm thick spacer and a spring (both were made of SUS316) for thickness adjustment were further placed thereon. An upper can with a gasket made of polypropylene was overlaid, and the outer peripheral edge portion was crimped and sealed to obtain an electric storage device.
(1) Evaluation of Rate Capability
[0108] For the electric storage devices made as above, the discharge capacity was measured with various amounts of current, and the capacity retention rate (%) was calculated. The measurement was performed with the discharge current set in the range of 1 C to 30 C. The environment temperature was 25° C. The capacity retention rate was calculated by the formula of (X 10 /X 1 )×100 wherein the measured value of discharge capacity at 1 C was X 1 , and the measured value at 10 C was X 10 . Here, 1 C means a current value at which full charge can be performed in 1 hour, and in this evaluation, 0.48 mΛ corresponds to 1 C. The results are shown in Table 5. It was found that the electric storage devices using the samples of the Examples had a high capacity retention rate and good rate capability.
(2) Evaluation of Low Temperature Property
[0109] For the electric storage devices made as above, charge and discharge similar to the above was performed in a low temperature environment (−40° C.) in the voltage range of 1 to 3 V and the current range of 0.25 C to 1.0 C. The ratio of the discharge capacity X n at the low temperature environment and at 25° C. (X 0.25 (−40°C)/X 0.25 (25°C)×100) is defined as a low-temperature property. When this value is large, the low temperature property is excellent. The results are shown in Table 5. It was found that the electric storage devices using the samples of the Examples had good low temperature property.
[0000]
TABLE 5
Rate capability
Low temperature property
10 C/1 C
X 0.25 (−40° C.)/X 0.25 (25° C.)
Sample
(%)
(%)
Example 1
A
95
49
Example 7
G
95
47
Comparative
I
80
38
Example 1
Comparative
J
92
47
Example 2
INDUSTRIAL APPLICABILITY
[0110] The lithium titanate of the present invention is easily pulverized and easily dispersed in a binding agent. When it is used as an electrode active material, an electric storage device having excellent battery characteristics can be made.
[0111] In addition, the method for producing lithium titanate according to the present invention can reliably and stably produce lithium titanate at low cost even at a firing temperature lower than that of conventional production methods. | Provided is lithium titanate that is readily pulverized, and readily dispersed in a binding agent. The lithium titanate is characterized in that the value of a degree of pulverization Zd representing the ratio of the 50% cumulative diameter pre- and post-pulverization is 2 or greater. The lithium titanate is produced by the following steps (1)-(3). (1) a step in which titanyl sulfate or titanium sulfate is thermally hydrolyzed to produce metatitanic acid; (2) a step in which a slurry containing the metatitanic acid is prepared, and the slurry, subsequent to neutralization to bring the pH to 6.0-9.0, undergoes solid-liquid separation, to produce a metatitanic acid-containing titanium starting material having a BET specific surface area of 100-400 m 2 /g, and in which the sulfuric acid (SO 4 ) content is 0.01-2.0 mass % with respect to the amount of metatitanic acid, on a TiO 2 -converted basis; and (3) a step in which the titanium starting material and a lithium compound are mixed and baked. | 74,393 |
FIELD OF THE INVENTION
[0001] The present invention relates to the field of wired communication systems, and, more specifically, to the networking of devices using telephone lines.
BACKGROUND OF THE INVENTION
[0002] [0002]FIG. 1 shows the wiring configuration for a prior-art telephone system 10 for a residence or other building, wired with a telephone line 5 . Residence telephone line 5 consists of single wire pair which connects to a junction-box 16 , which in turn connects to a Public Switched Telephone Network (PSTN) 18 via a cable 17 , terminating in a public switch 19 , apparatus which establishes and enables telephony from one telephone to another. The term “analog telephony” herein denotes traditional analog low-frequency audio voice signals typically under 3 KHz, sometimes referred to as “POTS” (“plain old telephone service”), whereas the term “telephony” in general denotes any kind of telephone service, including digital service such as Integrated Services Digital Network (ISDN). The term “high-frequency” herein denotes any frequency substantially above such analog telephony audio frequencies, such as that used for data. ISDN typically uses frequencies not exceeding 100 Khz (typically the energy is concentrated around 40 Khz). The term “telephone line” herein denotes electrically-conducting lines which are intended primarily for the carrying and distribution of analog telephony, and includes, but is not limited to, such lines which may be pre-existing within a building and which may currently provide analog telephony service. The term “telephone device” herein denotes, without limitation, any apparatus for telephony (including both analog telephony and ISDN), as well as any device using telephony signals, such as fax, voice-modem, and so forth.
[0003] Junction box 16 is used to separate the in-home circuitry from the PSTN and is used as a test facility for troubleshooting as well as for wiring new telephone outlets in the home. A plurality of telephones 13 a , 13 b , and 13 c connects to telephone line 5 via a plurality of telephone outlets 11 a , 11 b , 11 c , and 11 d . Each telephone outlet has a connector (often referred to as a “jack”), denoted in FIG. 1 as 12 a , 12 b , 12 c , and 12 d , respectively. Each telephone outlet may be connected to a telephone via a connector (often referred to as a “plug”), denoted in FIG. 1 (for the three telephone illustrated) as 14 a , 14 b , and 14 c , respectively. It is also important to note that lines 5 a , 5 b , 5 c , 5 d , and 5 e are electrically the same paired conductors.
[0004] There is a requirement for using the existing telephone infrastructure for both telephone and data networking. In this way, the task of establishing a new local area network in a home or other building is simplified, because there would be no additional wires to install. U.S. Pat. No. 4,766,402 to Crane (hereinafter referred to as “Crane”) teaches a way to form LAN over two-wire telephone lines, but without the telephone service.
[0005] The concept of frequency domain/division multiplexing (FDM) is well-known in the art, and provides means of splitting the bandwidth carried by a wire into a low-frequency band capable of carrying an analog telephony signal and a high-frequency band capable of carrying data communication or other signals. Such a mechanism is described for example in U.S. Pat. No. 4,785,448 to Reichert et al. (hereinafter referred to as “Reichert”). Also is widely used are xDSL systems, primarily Asymmetric Digital Subscriber Loop (ADSL) systems.
[0006] Relevant prior art in this field is also disclosed in U.S. Pat. No. 5,896,443 to Dichter (hereinafter referred to as “Dichter”). Dichter is the first to suggest a method and apparatus for applying such a technique for residence telephone wiring, enabling simultaneously carrying telephone and data communication signals. The Dichter network is illustrated in FIG. 2, which shows a network 20 serving both telephones and a local area network. Data Terminal Equipment (DTE) units 24 a , 24 b , and 24 c are connected to the local area network via Data Communication Equipment (DCE) units 23 a , 23 b , and 23 c , respectively. Examples of Data Communication Equipment include modems, line drivers, line receivers, and transceivers. DCE units 23 a , 23 b , and 23 c are respectively connected to high pass filters (HPF) 22 a , 22 b , and 22 c . The HPF's allow the DCE units access to the high-frequency band carried by telephone line 5 . In a first embodiment (not shown in FIG. 2), telephones 13 a , 13 b , and 13 c are directly connected to telephone line 5 via connectors 14 a , 14 b , and 14 c , respectively. However, in order to avoid interference to the data network caused by the telephones, a second embodiment is suggested (shown in FIG. 2), wherein low pass filters (LPF's) 21 a , 21 b , and 21 c are added to isolate telephones 13 a , 13 b , and 13 c from telephone line 5 . Furthermore, a low pass filter must also be connected to Junction-Box 16 , in order to filter noises induced from or to the PSTN wiring 17 . As is the case in FIG. 1, it is important to note that lines 5 a , 5 b , 5 c , 5 d , and 5 e are electrically the same paired conductors.
[0007] However, the Dichter network suffers from degraded data communication performance, because of the following drawbacks:
[0008] 1. Induced noise in the band used by the data communication network is distributed throughout the network. The telephone line within a building serves as a long antenna, receiving electromagnetic noise produced from outside the building or by local equipment such as air-conditioning systems, appliances, and so forth. Electrical noise in the frequency band used by the data communication network can be induced in the extremities of telephone line 5 (line 5 c or 5 a in FIG. 2) and propagated via telephone line 5 throughout the whole system. This is liable to cause errors in the data transportation.
[0009] 2. The wiring media consists of a single long wire (telephone line 5 ). In order to ensure a proper impedance match to this transmission-line, it is necessary to install terminators at each end of telephone line 5 . One of the advantages of using the telephone infrastructure for a data network, however, is to avoid replacing the internal wiring. Thus, either such terminators must be installed at additional cost, or suffer the performance problems associated with an impedance mismatch.
[0010] 3. In the case where LPF 21 is not fitted to the telephones 13 , each connected telephone appears as a non-terminated stub, and this is liable to cause undesirable signal reflections.
[0011] 4. In one embodiment, LPF 21 is to be attached to each telephone 13 . In such a configuration, an additional modification to the telephone itself is required. This further makes the implementation of such system complex and costly, and defeats the purpose of using an existing telephone line and telephone sets ‘as is’ for a data network.
[0012] 5. The data communication network used in the Dichter network supports only the ‘bus’ type of data communication network, wherein all devices share the same physical media. Such topology suffers from a number of drawbacks, as described in U.S. Pat. No. 5,841,360 to the present inventor, which is incorporated by reference for all purposes as if filly set forth herein. Dichter also discloses drawbacks of the bus topology, including the need for bus mastering and logic to contend with the data packet collision problem. Topologies that are preferable to the bus topology include the Token-Ring (IEEE 803), the PSIC network according to U.S. Pat. No. 5,841,360, and other point-to-point networks known in the art (such as a serial point-to-point ‘daisy chain’ network). Such networks are in most cases superior to ‘bus’ topology systems.
[0013] The above drawbacks affect the data communication performance of the Dichter network, and therefore limit the total distance and the maximum data rate such a network can support. In addition, the Dichter network typically requires a complex and therefore costly transceiver to support the data communication system. While the Reichert network relies on a star topology and does not suffer from these drawbacks of the bus topology, the star topology also has disadvantages. First, the star topology requires a complex and costly hub module, whose capacity limits the capacity of the network. Furthermore, the star configuration requires that there exist wiring from every device on the network to a central location, where the hub module is situated. This may be impractical and/or expensive to achieve, especially in the case where the wiring of an existing telephone system is to be utilized. The Reichert network is intended for use only in offices where a central telephone connection point already exists. Moreover, the Reichert network requires a separate telephone line for each separate telephone device, and this, too, may be impractical and/or expensive to achieve.
[0014] Although the above-mentioned prior-art networks utilize existing in-home telephone lines and feature easy installation and use without any additions or modifications to the telephone line infrastructure (wires, outlets, etc.), they require dedicated, non-standard, and complex DCE's, modems, and filters, and cannot employ standard interfaces. For example, Ethernet (such as IEEE802.3) and other standards are commonly used for personal computers communication in Local Area network (LAN) environments. With prior-art techniques, in order to support communication between computers, each computer must be equipped with an additional modem for communicating over the telephone line. Whether these additional modems are integrated into the computer (e.g. as plug-in or built-in hardware) or are furnished as external units between the computer and the telephone line, additional equipment is required. The prior-art networks therefore incur additional cost, space, installation labor, electricity, and complexity. It would therefore be desirable to provide a network which contains integral therewith the necessary standard interfaces, thereby obviating the need to provide such interfaces in the DTE's.
[0015] There is thus a widely-recognized need for, and it would be highly advantageous to have, a means for implementing a data communication network using existing telephone lines of arbitrary topology, which continues to support analog telephony, while also allowing for improved communication characteristics by supporting a point-to-point topology network.
[0016] Furthermore, there is also a need for, and it would be highly advantageous to have, a means and method for implementing such an in-house data communication network using existing telephone lines, wherein the DTE's (e.g. computers, appliances) can be interconnected solely by using standard interfaces, without the need for modifications or adding external units to the DTE's.
SUMMARY OF THE INVENTION
[0017] It is therefore an object of the present invention to provide a method and apparatus for upgrading an existing telephone line wiring system within a residence or other building, to provide both analog telephony service and a local area data network featuring a serial “daisy chained” or other arbitrary topology.
[0018] To this end, the regular telephone outlets are first replaced with network outlets to allow splitting of the telephone line having two or more conductors into segments such that each segment connecting two network outlets is fully separated from all other segments. Each segment has two ends, to which various devices, other segments, and so forth, may be connected via the network outlets, and are such that the segments can concurrently transport telephony and data communications signals. A network outlet contains a low pass filter, which is connected in series to each end of the segment, thereby forming a low-frequency between the external ports of the low pass filters, utilizing the low-frequency band. Similarly, a network outlet contains a high pass filter, which is connected in series to each end of the segment, thereby forming a high-frequency path between the external ports of the high pass filters, utilizing the high-frequency band The bandwidth carried by the segments is thereby split into non-overlapping frequency bands, and the distinct paths can be inter-connected via the high pass filters and low pass filters as coupling and isolating devices to form different paths. Depending on how the devices and paths are selectively connected, these paths may be simultaneously different for different frequencies. A low-frequency band is allocated to regular telephone service (analog telephony), while a high-frequency band is allocated to the data communication network. In the low-frequency (analog telephony) band, the wiring composed of the coupled low-frequency paths appears as a normal telephone line, in such a way that the low-frequency (analog telephony) band is coupled among all the segments and is accessible to telephone devices at any network outlet, whereas the segments may remain individually isolated in the high-frequency (data) band, so that in this data band the communication media, if desired, can appear to be point-to-point (such as a serialized “daisy chain”) from one network outlet to the next. The term “low pass filter” herein denotes any device that passes signals in the low-frequency (analog telephony) band but blocks signals in the high-frequency (data) band. Conversely, the term “high pass filter” herein denotes any device that passes signals in the high-frequency (data) band but blocks signals in the low-frequency (analog telephony) band. The term “data device” herein denotes any apparatus that handles digital data, including without limitation modems, transceivers, Data Communication Equipment, and Data Terminal Equipment.
[0019] Each network outlet has a standard data interface connector which is coupled to data interface circuitry for establishing a data connection between one or more segments and a data device, such as Data Terminal Equipment, connected to the data interface connector.
[0020] A network according to the present invention allows the telephone devices to be connected as in a normal telephone installation (i.e., in parallel over the telephone lines), but can be configured to virtually any desired topology for data transport and distribution, as determined by the available existing telephone line wiring and without being constrained to any predetermined data network topology. Moreover, such a network offers the potential for the improved data transport and distribution performance of a point-to-point network topology, while still allowing a bus-type data network topology in all or part of the network if desired. This is in contrast to the prior art, which constrains the network topology to a predetermined type.
[0021] Data Terminal Equipment as well as telephone devices can be readily connected to the network outlets using standard interfaces and connectors, thereby allowing a data communications network as well as a telephone system to be easily configured, such that both the data communications network and the telephone system can operate simultaneously without interference between one another.
[0022] A network according to the present invention may be used advantageously when connected to external systems and networks, such as xDSL, ADSL, as well as the Internet.
[0023] In a first embodiment, the high pass filters are connected in such a way to create a virtual ‘bus’ topology for the high-frequency band, allowing for a local area network based on DCE units or transceivers connected to the segments via the high pass filters. In a second embodiment, each segment end is connected to a dedicated modem, hence offering a serial point-to-point daisy chain network. In all embodiments of the present invention, DTE units or other devices connected to the DCE units can communicate over the telephone line without interfering with, or being affected by, simultaneous analog telephony service. Unlike prior-art networks, the topology of a network according to the present invention is not constrained to a particular network topology determined in advance, but can be adapted to the configuration of an existing telephone line installation. Moreover, embodiments of the present invention that feature point-to-point data network topologies exhibit the superior performance characteristics that such topologies offer over the bus network topologies of the prior art, such as the Dichter network and the Crane network.
[0024] Therefore, according to a first aspect of the present invention there is provided a local area network within a building, for transporting data among a plurality of data devices, the local area network including:
[0025] (a) at least two network outlets, each of said network outlets having:
[0026] i) at least one data interface connector and data interface circuitry coupled to said data interface connector and operative to establishing a data connection between a data device and said data interface connector;
[0027] ii) at least one standard telephone connector operative to supporting standard telephony service by connecting a standard telephone device;
[0028] iii) a splitter operative to separating telephony and data communications signals; and
[0029] iv) a coupler operative to combining telephony and data communications signals;
[0030] (b) at least one telephone line segment within the walls of the building, each said telephone line segment connecting at least two of said network outlets and having at least two conductors, said telephone line segment operative to concurrently transporting telephony and data communication signals; and
[0031] (c) at least one modem housed within each of said network outlets for establishing a data connection over said at least one telephone line segment, said at least one modem operative to transmitting and receiving signals over said telephone line segment, and coupled thereto.
[0032] According to a second aspect of the invention there is provided a network outlet for configuring a local area network for the transport of data across telephone lines and for enabling telephony across the telephone lines simultaneous with the transport of data, the network outlet comprising:
[0033] (a) at least one data interface connector and data interface circuitry coupled to said at least one data interface connector and being jointly operative to establishing a data connection between a data device and said at least one data interface connector;
[0034] (b) at least one telephone connector operative to supporting standard telephony service by connecting a standard telephone device thereto;
[0035] (c) a splitter adapted to be coupled to the telephone lines and being operative to separating telephony and data communications signals transported over the telephone lines; and
[0036] (d) a coupler having an output adapted to be coupled to the telephone lines and being operative to combining telephony and data communications signals to be transported over the telephone lines.
[0037] According to a third aspect, the invention provides a method for upgrading an existing telephone system to operate both for telephony and as a local area network for transporting data among a plurality of data devices, the telephone system having a plurality of telephone outlets connected to at least one telephone line within the walls of a building, the method comprising the steps of:
[0038] (a) mechanically removing at least two of the telephone outlets from the walls of the building;
[0039] (b) electrically disconnecting said at least two telephone outlets from the at least one telephone line;
[0040] (c) providing at least two network outlets, each of said network outlets having a data interface connector and data interface circuitry coupled to said data interface connector and operative to establishing a data connection between a data device and said data interface connector;
[0041] (d) electrically connecting said network outlets to the at least one telephone line; and
[0042] (e) mechanically securing said network outlets to the wall.
BRIEF DESCRIPTION OF THE DRAWINGS
[0043] The invention is herein described, by way of non-limiting example only, with reference to the accompanying drawings, wherein:
[0044] [0044]FIG. 1 shows a common prior art telephone line wiring configuration for a residence or other building.
[0045] [0045]FIG. 2 shows a prior art local area network based on telephone line wiring for a residence or other building.
[0046] [0046]FIG. 3 shows modifications to telephone line wiring according to the present invention for a local area network.
[0047] [0047]FIG. 4 shows modifications to telephone line wiring according to the present invention, to support regular telephone service operation.
[0048] [0048]FIG. 5 shows a splitter according to the present invention.
[0049] [0049]FIG. 6 shows a local area network based on telephone lines according to the present invention, wherein the network supports two devices at adjacent network outlets.
[0050] [0050]FIG. 7 shows a first embodiment of a local area network based on telephone lines according to the present invention, wherein the network supports two devices at non-adjacent network outlets.
[0051] [0051]FIG. 8 shows a second embodiment of a local area network based on telephone lines according to the present invention, wherein the network supports three devices at adjacent network outlets.
[0052] [0052]FIG. 9 shows third embodiment of a local area network based on telephone lines according to the present invention, wherein the network is a bus type network.
[0053] [0053]FIG. 10 shows a node of local area network based on telephone lines according to the present invention.
[0054] [0054]FIG. 11A shows a fourth embodiment of a local area network based on telephone lines according to the present invention.
[0055] [0055]FIG. 11B shows an embodiment of the present invention for use with telephone wiring that is not separated into distinct segments.
[0056] [0056]FIG. 12 is a flowchart illustrating the sequence of steps in an installation method according to the present invention for upgrading an existing telephone system.
[0057] [0057]FIG. 13 illustrates the components of a basic kit according to the present invention for upgrading a telephone system to a local area data network.
DETAILED DESCRIPTION OF PREFERRED EMBODIMENTS
[0058] The principles and operation of a network according to the present invention may be understood with reference to the drawings and the accompanying description. The drawings and descriptions are conceptual only. In actual practice, a single component can implement one or more functions; alternatively, each function can be implemented by a plurality of components and circuits. In the drawings and descriptions, identical reference numerals indicate those components which are common to different embodiments or configurations.
[0059] The basic concept of the invention is shown in FIG. 3. A network 30 is based on network outlets 31 a , 31 b , 31 c , and 31 d . The installation of a network supporting both telephony and data communications relates to the installation of such network outlets. Similarly, the upgrade of an existing telephone system relates to replacing the existing telephone outlets with network outlets. In the descriptions which follow, an upgrade of an existing telephone system is assumed, but the procedures can also be applied in a like manner for an initial installation that supports both telephony and data communications.
[0060] A network outlet is physically similar in size, shape, and overall appearance to a standard telephone outlet, so that a network outlet can be substituted for a standard telephone outlet in the building wall. No changes are required in the overall telephone line layout or configuration. The wiring is changed by separating the wires at each network outlet into distinct segments of electrically-conducting media. Thus, each segment connecting two network outlets can be individually accessed from either end. In the prior art Dichter network, the telephone wiring is not changed, and is continuously conductive from junction box 16 throughout the system. According to the present invention, the telephone line is broken into electrically distinct isolated segments 15 a , 15 b , 15 c , 15 d , and 15 e , each of which connects two network outlets. In order to fully access the media, each of connectors 32 a , 32 b , 32 c , and 32 d must support four connections, two in each segment. This modification to the telephone line can be carried out by replacing each of the telephone outlets 31 a , 31 b , 31 c , and 31 d . As will be explained later, the substitutions need be performed only at those places where it is desirable to be able to connect to data network devices. A minimum of two telephone outlets must be replaced with network outlets, enabling data communication between those network outlets only.
[0061] [0061]FIG. 4 shows how a network 40 of the present invention continues to support regular telephone service, by the installation of jumpers 41 a , 41 b , 41 c , and 41 d in network outlets 31 a , 31 b , 31 c and 31 d respectively. At each network outlet where they are installed, the jumpers connect both segment ends and allow telephone connection to the combined segment. Installation of a jumper effects a re-connection of the split telephone line at the point of installation. Installation of jumpers at all network outlets would reconstruct the prior art telephone line configuration as shown in FIG. 1. Such jumpers can be add-ons to the network outlets, integrated within the network outlets, or integrated into a separate module. Alternately, a jumper can be integrated within a telephone set, as part of connector 14 . The term “jumper” herein denotes any device for selectively coupling or isolating the distinct segments in a way that is not specific to the frequency band of the coupled or isolated signals. Jumper 41 can be implemented with a simple electrical connection between the connection points of connector 32 and the external connection of the telephone.
[0062] As described above, jumpers 41 are to be installed in all network outlets which are not required for connection to the data communication network. Those network outlets which are required to support data communication connections, however, will not use jumper 41 but rather a splitter 50 , shown in FIG. 5. Such a splitter connects to both segments in each network outlet 31 via connector 32 , using a port 54 for a first connection and a port 55 for a second connection. Splitter 50 has two LPF's for maintaining the continuity of the audio/telephone low-frequency band. After low pass filtering by LPF 51 a for the port 54 and LPF 51 b for port 55 , the analog telephony signals are connected together and connected to a telephone connector 53 , which may be a standard telephone connector. Hence, from the telephone signal point of view, the splitter 50 provides the same continuity and telephone access provided by the jumper 41 . On the other hand, the data communication network employs the high-frequency band, access to which is made via HPF's 52 a and 52 b . HPF 52 a is connected to port 54 and HPF 52 b is connected to port 55 . The high pass filtered signals are not passed from port 54 to port 55 , but are kept separate, and are routed to a data interface connector 56 and a data interface connector 57 , respectively, which may be standard data connectors. The term “splitter” herein denotes any device for selectively coupling or isolating the distinct segments that is specific to the frequency band of the coupled or isolated signals. The term “coupler” is used herein in reference to any device used for combining separate signals into a combined signal encompassing the originally-separate signals, including a device such as a splitter used for signal coupling.
[0063] Therefore, when installed in a network outlet, splitter 50 serves two functions. With respect to the low-frequency analog telephony band, splitter 50 establishes a coupling to effect the prior-art configuration shown in FIG. 1, wherein all telephone devices in the premises are connected virtually in parallel via the telephone line, as if the telephone line were not broken into segments. On the other hand, with respect to the high-frequency data communication network, splitter 50 establishes electrical isolation to effect the configuration shown in FIG. 3, wherein the segments are separated, and access to each segment end is provided by the network outlets. With the use of splitters, the telephone system and the data communication network are actually decoupled, with each supporting a different topology.
[0064] [0064]FIG. 6 shows a first embodiment of a data communication network 60 between two DTE units 24 a and 24 b , connected to adjacent network outlets 31 b and 31 c , which are connected together via a single segment 15 c . Splitters 50 a and 50 b are connected to network outlets 31 b and 31 c via connectors 32 b and 32 c , respectively. As explained above, the splitters allow transparent audio/telephone signal connection. Thus, for analog telephony, the telephone line remains virtually unchanged, allowing access to telephone external connection 17 via junction box 16 for telephones 13 a and 13 c . Likewise, telephone 13 b connected via connector 14 b to a connector 53 a on splitter 50 a , is also connected to the telephone line. In a similar way, an additional telephone can be added to network outlet 31 c by connecting the telephone to connector 53 b on splitter 50 b . It should be clear that connecting a telephone to a network outlet, either via jumper 41 or via splitter 50 does not affect the data communication network.
[0065] Network 60 (FIG. 6) supports data communication by providing a communication path between port 57 a of splitter 50 a and port 56 b of splitter 50 b . Between those ports there exists a point-to-point connection for the high-frequency portion of the signal spectrum, as determined by HPF 52 a and 52 b within splitters 50 (FIG. 5). This path can be used to establish a communication link between DTE units 24 a and 24 b , by means of DCE units 23 a and 23 b , which are respectively connected to ports 57 a and 56 b . The communication between DTE units 24 a and 24 b can be unidirectional, half-duplex, or full-duplex. The only limitation imposed on the communication system is the capability to use the high-frequency portion of the spectrum of segment 15 c . As an example, the implementation of data transmission over a telephone line point-to-point system described in Reichert can also be used in network 60 . Reichert implements both LPF and HPF by means of a transformer with a capacitor connected in the center-tap, as is well-known in the art. Similarly, splitter 50 can be easily implemented by two such circuits, one for each side.
[0066] It should also be apparent that HPF 52 a in splitter 50 a and IPF 52 b in splitter 50 b can be omitted, because neither port 56 a in splitter 50 a nor port 57 b in splitter 50 b is connected.
[0067] Network 60 provides clear advantages over the networks described in the prior art. First, the communication media supports point-to-point connections, which are known to be superior to multi-tap (bus) connections for communication performance. In addition, terminators can be used within each splitter or DCE unit, providing a superior match to the transmission line characteristics. Furthermore, no taps (drops) exists in the media, thereby avoiding impedance matching problems and the reflections that result therefrom.
[0068] Moreover, the data communication system in network 60 is isolated from noises from both the network and the ‘left’ part of the telephone network (Segments 15 a and 15 b ), as well as noises induced from the ‘right’ portion of the network (Segments 15 d and 15 e ). Such isolation is not provided in any prior-art implementation. Dichter suggests installation of a low pass filter in the junction box, which is not a satisfactory solution since the junction box is usually owned by the telephone service provider and cannot always be accessed. Furthermore, safety issues such as isolation, lightning protection, power-cross and other issues are involved in such a modification.
[0069] Implementing splitter 50 by passive components only, such as two transformers and two center-tap capacitors, is also advantageous, since the reliability of the telephone service will not be degraded, even in the case of failure in any DCE unit, and furthermore requires no external power. This accommodates a ‘life-line’ function, which provides for continuous telephone service even in the event of other system malfunction (e.g. electrical failures).
[0070] The splitter 50 can be integrated into network outlet 31 . In such a case, network outlets equipped with splitter 50 will have two types of connectors: One regular telephone connector based on port 53 , and one or two connectors providing access to ports 56 and 57 (a single quadruple-circuit connector or two double-circuit connectors). Alternatively, splitter 50 can be an independent module attached as an add-on to network outlet 31 . In another embodiment, the splitter is included as part of DCE 23 . However, in order for network 60 to operate properly, either jumper 41 or splitter 50 must be employed in network outlet 31 as modified in order to split connector 32 according to the present invention, allowing the retaining of regular telephone service.
[0071] [0071]FIG. 7 also shows data communication between two DTE units 24 a and 24 b in a network 70 . However, in the case of network 70 , DTE units 24 a and 24 b are located at network outlets 31 b and 31 d , which are not directly connected, but have an additional network outlet 31 c interposed between. Network outlet 31 c is connected to network outlet 31 b via a segment 15 c , and to network outlet 31 d via a segment 15 d.
[0072] In one embodiment of network 70 , a jumper (not shown, but similar to jumper 41 in FIG. 4) is connected to a connector 32 c in network outlet 31 c . The previous discussion regarding the splitting of the signal spectrum also applies here, and allows for data transport between DTE units 24 a and 24 b via the high-frequency portion of the spectrum across segments 15 c and 15 d . When only jumper 41 is connected at network outlet 31 c , the same point-to-point performance as previously discussed can be expected; the only influence on communication performance is from the addition of segment 15 d , which extends the length of the media and hence leads to increased signal attenuation. Some degradation, however, can also be expected when a telephone is connected to jumper 41 at network outlet 31 c . Such degradation can be the result of noise produced by the telephone in the high-frequency data communication band, as well as the result the addition of a tap caused by the telephone connection, which usually has a non-matched termination. Those problems can be overcome by installing a low pass filter in the telephone.
[0073] In a preferred embodiment of network 70 , a splitter 50 b is installed in network outlet 31 c . Splitter 50 b provides the LPF functionality, and allows for connecting a telephone via connector 53 b . However, in order to allow for continuity in data communication, there must be a connection between the circuits in connectors 56 b and 57 b . Such a connection is obtained by a jumper 71 , as shown in FIG. 7. Installation of splitter 50 b and jumper 71 provides good communication performance, similar to network 60 (FIG. 6). From this discussion of a system wherein there is only one unused network outlet between the network outlets to which the DTE units are connected, it should be clear that the any number of unused network outlets between the network outlets to which the DTE units are connected can be handled in the same manner.
[0074] For the purpose of the foregoing discussions, only two communicating DTE units have been described. However, the present invention can be easily applied to any number of DTE units. FIG. 8 illustrates a network 80 supporting three DTE 20 units 24 a , 24 b , and 24 c , connected thereto via DCE units 23 a , 23 b , and 23 c , respectively. The structure of network 80 is the same as that of network 70 (FIG. 7), with the exception of the substitution of jumper 71 with a jumper 81 . Jumper 81 makes a connection between ports 56 b and 57 b in the same way as does jumper 71 . However, in a manner similar to that of jumper 41 (FIG. 4), jumper 81 further allows for an external connection to the joined circuits, allowing the connection of external unit, such as a DCE unit 23 c . In this way, segments 15 c and 15 d appear electrically-connected for high-frequency signals, and constitute media for a data communication network connecting DTE units 24 a , 24 b , and 24 c . Obviously, this configuration can be adapted to any number of network outlets and DTE units. In fact, any data communication network which supports a ‘bus’ or multi-point connection over two-conductor media, and which also makes use of the higher-frequency part of the spectrum can be used. In addition, the discussion and techniques explained in the Dichter patent are equally applicable here. Some networks, such as Ethernet IEEE 802.3 interface 10BaseT and 100BaseTX, require a four-conductor connection, two conductors (usually single twisted-wire pair) for transmitting, and two conductors (usually another twisted-wire pair) for receiving. As is known in the art, a four-to-two wires converter (commonly known as hybrid) can be used to convert the four wires required into two, thereby allowing network data transport over telephone lines according to the present invention. A network according to the present invention can therefore be an Ethernet network.
[0075] As with jumper 41 (FIG. 4), jumper 81 can be an integral part of splitter 50 , an integral part of DCE 23 , or a separate component.
[0076] In order to simplify the installation and operation of a network, it is beneficial to use the same equipment in all parts of the network. One such embodiment supporting this approach is shown in for a set of three similar network outlets in FIG. 8, illustrating network 80 . In network 80 , network outlets 31 b , 31 c , and 31 d are similar and are all used as part of the data communication network. Therefore for uniformity, these network outlets are all coupled to splitters 50 a , 50 b , and 50 c respectively, to which jumpers are attached, such as a jumper 81 attached to splitter 50 b (the corresponding jumpers attached to splitter 50 a and splitter 50 c have been omitted from FIG. 8 for clarity), and thus provide connections to local DCE units 23 a , 23 c , and 23 b , respectively. In a preferred embodiment of the present invention, all telephone outlets in the building will be replaced by network outlets which include both splitter 50 and jumper 81 functionalities. Each such network outlet will provide two connectors: one connector coupled to port 53 for a telephone connection, and the other connector coupled to jumper 81 for a DCE connection.
[0077] The terms “standard connector”, “standard telephone connector”, and “standard data connector” are used herein to denote any connectors which are industry-standard or de facto standard connectors. Likewise, the term “standard telephone device” is used herein to denote any telephone device which is a commercial standard or de facto standard telephone device, and the term “standard telephony service” is used herein to denote any commercially-standard or de facto standard telephony.
[0078] In yet another embodiment, DCE 23 and splitter 50 are integrated into the housing of network outlet 31 , thereby offering a direct DTE connection. In a preferred embodiment, a standard DTE interface is employed.
[0079] In most ‘bus’ type networks, it is occasionally required to split the network into sections, and connect the sections via repeaters (to compensate for long cabling), via bridges (to decouple each section from the others), or via routers. This may also be according to the present invention, as illustrated in FIG. 9 for a network 90 , which employs a repeater/bridge/router unit 91 . Unit 91 can perform repeating, bridging, routing, or any other function associated with a split between two or more networks. As illustrated, a splitter 50 b is coupled to a network outlet 31 c , in a manner similar to the other network outlets and splitters of network 90 . However, at splitter 50 b , no jumper is employed. Instead, a repeater/bridge/router unit 91 is connected between port 56 b and port 57 b , thereby providing a connection between separate parts of network 90 . Optionally, unit 91 can also provide an interface to DTE 24 c for access to network 90 .
[0080] As illustrated above, a network outlet can also function as a repeater by the inclusion of the appropriate data interface circuitry. Circuitry implementing modems, and splitters, such as the high pass filters as well as the low pass filters, can function as data interface circuitry.
[0081] [0081]FIG. 9 also demonstrates the capability of connecting to external DTE units or networks, via a high pass filter 92 connected to a line 15 a . Alternatively, HPF 92 can be installed in junction box 16 . HPF 92 allows for additional external units to access network 90 . As shown in FIG. 9, HPF 92 is coupled to a DCE unit 93 , which in turn is connected to a network 94 . In this configuration, the local data communication network in the building becomes part of network 94 . In one embodiment, network 94 offers ADSL service, thereby allowing the DTE units 24 d , 24 a , 24 c , and 24 b within the building to communicate with the ADSL network. The capability of communicating with external DTE units or networks is equally applicable to all other embodiments of the present invention, but for clarity is omitted from the other drawings.
[0082] While the foregoing relates to data communication networks employing bus topology, the present invention can also support networks where the physical layer is distinct within each communication link. Such a network can be a Token-Passing or Token-Ring network according to IEEE 802, or preferably a PSIC network as described in U.S. Pat. No. 5,841,360 to the present inventor, which details the advantages of such a topology. FIG. 10 illustrates a node 100 for implementing such a network. Node 100 employs two modems 103 a and 103 b , which handle the communication physical layer. Modems 103 a and 103 b are independent, and couple to dedicated communication links 104 a and 104 b , respectively. Node 100 also features a DTE interface 101 for connecting to a DTE unit (not shown). A control and logic unit 102 manages the higher OSI layers of the data communication above the physical layer, processing the data to and from a connected DTE and handling the network control. Detailed discussion about such node 100 and the functioning thereof can be found in U.S. Pat. No. 5,841,360 and other sources known in the art.
[0083] [0083]FIG. 11 describes a network 110 containing nodes 100 d , 100 a , 100 b , and 100 c coupled directly to splitters 50 d , 50 a , 50 b and 50 c , which in turn are coupled to network outlets 31 a , 31 b , 31 c , and 31 d respectively. Each node 100 has access to the corresponding splitter 50 via two pairs of contacts, one of which is to connector 56 and the other of which is to connector 57 . In his way, for example, node 100 a has independent access to both segment 15 b and segment 15 c . This arrangement allows building a network connecting DTE units 24 d , 24 a , 24 b , and 24 c via nodes 100 d , 100 a , 100 b , and 100 c , respectively.
[0084] For clarity, telephones are omitted from FIGS. 9 and 11, but it should be clear that telephones can be connected or removed without affecting the data communication network. Telephones can be connected as required via connectors 53 of splitters 50 . In general, according to the present invention, a telephone can be connected without any modifications either to a splitter 50 (as in FIG. 8) or to a jumper 41 (as in FIG. 4).
[0085] The present invention has been so far described in embodiments in which the telephone wiring segments are split, and which therefore modify the original galvanic continuity of the telephone wiring, as shown in FIG. 3. Such embodiments require the removal of outlets in order to access the internal wiring. However, the present invention can be applied equally-well to prior-art schemes such as the Dichter network (as illustrated in FIG. 2), wherein the continuity of the telephone wiring is not disturbed, and there the wiring is not split into electrically distinct segments.
[0086] Thus, an embodiment of a network utilizing the network outlets of the present invention is shown in FIG. 11B as a network 112 . Generally, the Dichter network of FIG. 2 is employed. However, network outlets 11 a and 11 b (corresponding to network outlets 11 a and 11 d of FIG. 2) are modified so that all components are housed therein. In such a case, the splitter/combiner is a single low pass filter 21 and a single high pass filter 22 . High pass filter 22 is coupled to single telephone-line modem/DCE 23 . A single high pass filter, a single low pass filter, and a single DCE are used, since the connection to the telephone line involves a single, point of connection. However, since point-to-point topology is not used in this case, modem 23 is expected to be more complex than in the other described embodiments. Each outlet 111 has standard telephone connector 14 for connecting the telephone set, and standard data connector 113 for the DTE connection. For example, a 10BaseT interface employing an RJ-45 connector can be used for the DTE connection.
[0087] Furthermore, although the present invention has so far been described with a single DTE connected to a single network outlet, multiple DTE units can be connected to a network outlet, as long as the corresponding node or DCE supports the requisite number of connections. Moreover, access to the communication media can be available for plurality of users using multiplexing techniques known in the art. In the case of time domain/division multiplexing (TDM) the whole bandwidth is dedicated to a specific user during a given time interval. In the case of frequency domain/division multiplexing (FDM), a number of users can share the media simultaneously, each using different non-overlapping portions of the frequency spectrum.
[0088] In addition to the described data communication purposes, a network according to the present invention can be used for control (e.g. home automation), sensing, audio, or video applications, and the communication can also utilize analog signals (herein denoted by the term “analog communication”). For example, a video signal can be transmitted in analog form via the network.
[0089] While the present invention has been described in terms of network outlets which have only two connections and therefore can connect only to two other network outlets (i.e., in a serial, or “daisy chain” configuration), the concept can also be extended to three or more connections. In such a case, each additional connecting telephone line must be broken at the network outlet, with connections made to the conductors thereof, in the same manner as has been described and illustrated for two segments. A splitter for such a multi-segment application should use one low pass filter and one high pass filter for each segment connection.
[0090] The present invention has also been described in terms of media having a single pair of wires, but can also be applied for more conductors. For example, ISDN employs two pairs for communication. Each pair can be used individually for a data communication network as described above.
[0091] Also as explained above, a network outlet 31 according to the invention (FIG. 3) has a connector 32 having at least four connection points. As an option, jumper 41 (FIG. 4), splitter 50 (FIG. 5), or splitter 50 with jumper 81 (FIG. 8), low pass filters, high pass filters, or other additional hardware may also be integrated or housed internally within network outlet 31 . Moreover, the network outlet may contain standard connectors for devices, such as DTE units. In one embodiment, only passive components are included within the network outlet. For example, splitter 50 can have two transformers and two capacitors (or an alternative implementation consisting of passive components). In another embodiment, the network outlet may contain active, power-consuming components. Three options can be used for providing power to such circuits:
[0092] 1. Local powering: In this option, supply power is fed locally to each power-consuming network outlet. Such network outlets must be able to support connection for input power.
[0093] 2. Telephone power: In both POTS and ISDN telephone networks, power is carried in the lines with the telephone signals. This power can also be used for powering the network outlet circuits, as long as the total power consumption does not exceed the POTS/ISDN system specifications. Furthermore, in some POTS systems the power consumption is used for OFF-HOOK/ON-HOOK signaling. In such a case, the network power consumption must not interfere with the telephone logic.
[0094] 3. Dedicated power carried in the media: In this option, power for the data communication related components is carried in the communication media.
[0095] For example, power can be distributed using 5 kHz signal. This frequency is beyond the telephone signal bandwidth, and thus does not interfere with the telephone service. The data communication bandwidth, however, be above this 5 kHz frequency, again ensuring that there is no interference between power and signals.
[0096] Upgrading existing telephone lines within a building can be done by the method illustrated in the flowchart of FIG. 12. At least two telephone outlets must be replaced by network outlets in order to support data communications. For each outlet to be replaced, the steps of FIG. 12 are performed as shown. In a step 122 , the existing telephone outlet is mechanically removed from the wall. Next, in a step 124 , the existing telephone outlet is electrically disconnected from the telephone line. At this point in a step 126 , the existing telephone line is split or formed into two isolated segments. Depending on the existing configuration of the telephone line, this could be done by cutting the telephone line into two segments, by separating two telephone lines which had previously been joined at the existing telephone outlet, or by utilizing an unused wire pair of the existing telephone line as a second segment. Then, in a step 128 , the two segments are electrically connected to a new network outlet, in a manner previously illustrated in FIG. 5, where one of the segments is connected to connector 54 and the other segment is connected to connector 55 . Note that separating the telephone line into two segments is not necessary in all cases. If only two network outlets are desired, the telephone line does not have to be split, because a single segment suffices to connect the two network outlets. If more than two network outlets are desired, however, the telephone line must be split or formed into more than one segment. Finally, in a step 130 (FIG. 12), the network outlet is mechanically replaced and secured into the wall in place of the original telephone outlet.
[0097] While the above description describes the non-limiting case where two wire segments are connected to the outlet (such as outlets 11 a , 11 b , 11 c and 11 d ), in general it is also possible to connect a single segment or more than two segments to the outlet.
[0098] In order to facilitate the upgrade of existing telephone systems for simultaneous telephony and data communications, the network outlets as described previously can be packaged in kit form with instructions for performing the method described above. As illustrated in FIG. 13, a basic kit contains two network outlets 132 and 134 with instructions 136 , while supplementary kits need contain only a single network outlet 132 . A network outlet 132 houses two standard data connectors 138 and 140 , and a standard telephone connector 142 , corresponding to connectors 57 , 56 , and 53 , respectively, of FIG. 5. In addition, network outlet 132 has connectors 144 for electrically connecting to the segment of the telephone line. Connectors 144 correspond to connector 55 of FIG. 5 (connector 54 of FIG. 5 is omitted from FIG. 13 for clarity). Furthermore, network outlet 132 has flanges, such as a flange 146 , for mechanically securing to a standard in-wall junction box. A homeowner could purchase a basic kit according to the present invention to upgrade an existing telephone system to a local area network, and then purchase whatever supplementary kits would be needed to expand the local area network to any degree desired.
[0099] While the invention has been described with respect to a limited number of embodiments, it will be appreciated that many variations, modifications and other applications of the invention may be made. | A local area network using the telephone wiring within a residence or other building simultaneously with telephony signals, with network outlets having telephone and data connectors allowing connection of Data Terminal Equipment to the network. The network outlets use high pass filters to access the high-frequency band across the media, whereas the standard telephone service uses low pass filters to access the low-frequency voice/analog telephony band across the same media. The high pass filters of the network outlets at each segment end are connected to modems or other Data Communication Equipment, thus supporting data communication networks of various topologies, including point-to-point topologies. The invention also contemplates a network outlet having a data interface connector for allowing connection of Data Terminal Equipment thereto and having a telephone connector for connecting a standard telephone thereto. A splitter is adapted to be connected to a telephone line for separating data and telephone signals transported on the telephone line, whilst a coupler is adapted to receive telephone and data signals and feeds a composite signal at an output thereof to the telephone line. | 56,206 |
[0001] This application is a continuation application of application Ser. No. 08/840,647, filed Apr. 25, 1997.
BACKGROUND OF THE INVENTION
[0002] The present invention relates to a plasma processing method and a plasma processing apparatus and, more specifically, to plasma etching used for a dry etching process that ionizes a source gas in a gas phase and processes the surface of a semiconductor material by physical or chemical reaction of highly activated particles of the plasma.
[0003] With the advance of miniaturization of semiconductor devices in recent years, there has been a growing tendency to form a wiring layer in multiple layers and to make the device structure three-dimensional. Under these circumstances, the fabrication of an isolation film used to keep wires and devices electrically isolated from one another has come to play an increasingly important role in the device manufacture. Etching of a silicon oxide film, the isolation film, has been done by using perfluorocarbon gas (PFC), such as CF 4 and C 2 F 8 , and hydrofluorocarbon gas (HFC), such as CH 2 and CHF 3 . This is because a carbon-containing gas is needed to cut off an Si—O bond of the silicon oxide film and generate a volatile compound.
[0004] As global environmental concerns are attracting growing attention, PFC and HFC are expected to be subjected to limited use or become difficult to obtain in the future because these gases easily absorb infrared rays, stay in atmosphere for as long as 3000 years and thus contribute greatly to the greenhouse effects on the earth.
[0005] The PFC and HFC gas plasmas contain fluorine, fluorocarbon radicals such as CF 1 , CF 2 and CF 3 , and ions. An etching mechanism of a silicon oxide film operates as follows. These reactive species (e.g., radicals) stick to the surface of the silicon oxide film to be etched. The energy of ions incident on the surface gives rise to a localized quasi-high temperature condition, under which volatile products are formed by chemical reaction. Hence, to obtain good etching characteristics requires controlling the reactive species incident on a sample intended for etching and also controlling the energy and density of ions impinging on the sample. The control of the reactive species and of the density of ions in the plasma has been conducted by a plasma producing system in the etching equipment.
[0006] To generate reactive species in a reactor, Japanese Patent Laid-Open No. 74147/1995 for example discloses a method which involves forming the interior of the reactor using a carbon-based material and supplying carbon components into a plasma for etching.
[0007] Japanese Patent Laid-Open No. 363021/1992 describes making the reactor using ceramics to prevent degradation in the etching action of reactive species on the sample being etched and also discloses arranging a heater around the periphery of the reactor to alleviate plasma's thermal shocks on the ceramics reactor.
[0008] When PFC and HFC gas plasmas are used, fluorocarbon- or carbon-based polymers adhere to the inner wall of the reaction chamber as the etching process of the sample proceeds. A method of removing the adhering polymers is known, which, as described in Japanese Patent Laid-Open No. 62936/1993, involves the installation of split, multiple electrodes-isolated from an outer wall of the reaction chamber-on the inner wall of the reaction chamber and the application of a radio frequency (RF) voltage between plasma generating electrodes successively to perform plasma cleaning. Further, Japanese Patent Laid-Open No. 231320/1989, 231321/1989 and 231322/1989 describe plasma cleaning methods which involve applying a voltage to electrodes electrically isolated with respect to the outer wall of the reaction chamber.
[0009] If such a conventional plasma cleaning is performed, there still will be particles adhering to the inner wall of the reaction chamber before the next cleaning operation. Because fluorine in the plasma reacts with the adhering layer on the inner wall of the reaction chamber, the fluorine density in the plasma decreases gradually, increasing the ratio of carbon in the plasma. That is, as a growing amount of particles adheres to the inner wall of the reaction chamber, the radical composition changes, causing a time-dependent change in etching characteristic, which poses a serious problem.
[0010] Etching equipment can be classified, according to the plasma producing system, into a capacitive coupling type, an ECR (electron cyclotron resonance) type, an ICP (induced coupling) type, and a surface wave excitation type. In the capacitive coupling type etching equipment, a material to be etched is placed on a bottom electrode and two voltage application systems apply differing frequencies and voltage to the upper electrode and the bottom electrode to control the plasma generation and the energy incident on the sample. The structure of this equipment, however, does not allow independent control of plasma generation and incident energy. The control of excited species in this equipment is considered to be performed by carbon or silicon used in the electrodes. However, no parameters on this control are available. Hence, it is necessary to perform three controls, i.e., control of the ion density, control of the energy of ions incident on the material being etched and control of reactive species, by controlling two, upper and lower, power supplies. Therefore, the range of parameters in which satisfactory etching characteristics can be obtained (defined as a process window) is narrow, making it difficult to produce stable etching conditions. The parameters that determine the etching characteristics include, in the plasma generation system, for example, RF power and microwave power applied between the electrodes, gas flow rate, gas pressure and gas composition. In the incident ion energy control, the etching characteristic determining parameters include the waveform and the frequency of the applied voltage and power.
[0011] In the plasma generation methods other than the capacitive coupling type, although the plasma generation control and the energy control of ions incident on the sample can be performed independently of each other, the mechanism for controlling the reactive species depends on the plasma generation control. Hence, these plasma generation methods have a drawback of having a narrow process window. In more detail, when a silicon oxide film of SAC (self-aligned contact) is processed in the high density plasma etching equipment, such as an ECR, there is a problem of a tradeoff between etch stopping at the bottom of holes and over-etching into a silicon nitride film. Further, the use of a high density plasma to perform a highly selective etching gives rise to another problem, a micro-loading phenomenon or RIE lag, in which the etching rate decreases as the hole diameters decrease, and an inverted micro-loading phenomenon or inverted RIE lag. Further, when metal films, such as TiN and Al laminated layers, are etched using this equipment, localized abnormal side-etched portions are formed (notching) at the boundary between different materials, such as TiN and Al.
[0012] Furthermore, with the method described in Japanese Patent Laid-Open No. 74147/1995, it is not possible to control the appropriate amount of excited species, making it difficult to perform an intended etching. The method disclosed in Japanese Patent Laid-Open No. 363021/1992 has a drawback of not being able to generate reactive species in the reactor.
SUMMARY OF THE INVENTION
[0013] The above problems can be solved by generating an exact amount of reactive species required for the etching in a region where the plasma comes into contact with the material to be etched.
[0014] This is detailed in the following. In the process of etching a silicon oxide film and a silicon nitride film on the sample to be processed, a gas containing fluorine, for example, is introduced into the reaction chamber, which is kept at a low gas pressure of 0.3 Pa to 200 Pa. An electric discharge is produced in the gas by applying an input power in the microwave and RF wave ranges to the gas to generate a plasma. Then, a solid material containing carbon, which is installed in the region where it contacts the plasma, has a DC or RF voltage applied thereto to release a required amount of carbon, thereby transforming fluorine radicals in the plasma into fluorocarbon radicals such as CF, CF 2 , CF 3 , CF 4 for etching the material.
[0015] A gas containing fluorine, but not carbon, is introduced into the reaction chamber where the fluorine-containing gas reacts with the solid carbon allowing the silicon oxide film and silicon nitride film to be selectively etched without using PFC or HFC. That is, a plasma is produced from a fluorine gas not containing carbon and fluorine atom ions are made to react with solid carbon installed in the reaction chamber to produce compounds of carbon and fluorine, such as CF 4 , CF 2 , CF 3 and C 2 F 3 . These compounds, radical molecules, have conventionally been able to be generated directly from dissociation of the PFC gas. These radical molecules thus generated have been used for etching the silicon oxide film.
[0016] The present invention is characterized in that reactive species required for etching the silicon oxide film and silicon nitride film are not supplied directly from PFC or HFC gas, but rather are generated from reaction with the solid carbon in the plasma chamber. This method makes it possible to generate reactive species necessary for etching so that the etching can be performed while maintaining selectivity as in the conventional process, even when the use of PFC and HFC gas is restricted or prohibited.
[0017] As for the improvement of selectivity and process margin during the process of making self-aligned contacts, this can be achieved by transforming reactive species into a single species of CF2, the etchant for the silicon oxide film. We have found that using carbon as the material for radical control and arranging it on the boundary surface with plasma can reduce the amount of fluorine in the plasma to one-half and increase CF 1 , CF 2 and CF 3 fivefold, tenfold and twofold, respectively, when compared to the case where aluminum is used as the radical control material. This is shown in FIG. 2, which illustrates the result of measurement of fluorine and CF 2 in a CF 4 plasma when Al, SiO 2 and C are used for the radical control materials. The result indicates that when aluminum is used as the radical control material, there is no reaction with fluorine so that the fluorine atom density is large and that when carbon is used, the fluorine atom density is reduced to one-half. This means that a conversion reaction is considered to have occurred in which the carbon as the radical control material reacts with fluorine in the plasma to increase CF 2 . It is also found that during this process CF 1 and CF 2 have also increased. The fact that the use of SiO 2 as the radical control material has resulted in reductions in CF 1 , CF 2 and CF 3 indicates that chemical reactions have occurred between CF 1 , CF 2 and CF 3 and the radical control material, SiOo 2 . In this way, by placing in the plasma region a radical control material that reacts with reactive species in the plasma to produce volatile products, it is possible to transform the radical composition in the plasma. The use of silicon and silicon carbide for the radical control material, too, is found to cause chemical reactions that generate volatile products such as SiF 2 , thereby reducing fluorine in the plasma.
[0018] It was also found that the transforming of reactive species into a single selected species can be promoted by installing a voltage application system on the radical control material and applying a voltage to the radical control material during the sample etching. FIG. 3 shows densities of radicals, CF 1 , CF 2 and CF 3 , measured by applying a negative DC voltage to carbon, the radical control material, in a CF 4 gas plasma. It was found that as the applied voltage increases, CF 3 decreases and CF 2 increases. This phenomenon results from an ion-assisted reaction on the radical control material. Because of this phenomenon, fluorine in the plasma is transformed into CF 2 and the plasma containing a single reactive species enables selective etching, in which reaction products on the silicon oxide film evaporate allowing the etching of the silicon oxide film to continue, whereas residual materials on the silicon nitride film stop the etching. This eliminates a problem of shoulder etching of the nitride film that would occur due to reduced selectivity. While the conventional etching balances carbon and fluorine, this invention is characterized by the use of CF 2 , which has a lower sticking parameter for sidewalls of the features being etched than that of carbon. This has been found to suppress the micro-loading and inverted micro-loading phenomena.
[0019] When etching samples having materials with largely differing etch rates, the following steps are taken. For the radical control material we use a compound which includes the same elements as those of the materials to be etched or at least one of the same elements as those of the etched materials. Depending on the material to be etched, the voltage applied to the radical control material is controlled according to the etching time or by monitoring the consumption or release of a certain kind of radical from the radical control material. This process is found to minimize localized abnormal deformations that would occur between different materials.
[0020] The problem of local deformations between different materials during metal etching can be solved by minimizing variations of the etchant. That is, this problem was able to be eliminated by using a radical control material having the same components as the material being etched and controlling the density of radicals according to the etching time or the monitoring of the result of radicals.
[0021] The time-dependent change of etching characteristic can be minimized by removing deposits from the surface that is in contact with the plasma. That is, by arranging the radical control material so as to enclose the plasma and then applying a voltage from outside during the etching of the sample, it was possible to automatically remove deposits adhering to the plasma contact surface. It is also noted that application of voltage during the sample etching process has improved the through-put. FIG. 5 shows the result of measurements by a step meter of a layer deposited when an arbitrary voltage was applied to an aluminum plate placed on a surface contacting a C 4 F 8 plasma having a pressure of 1.5 mTorr and a microwave power of 200 W. The deposited film thickness depends on the density of the plasma, and deposits can be prevented from adhering to the surface by applying an appropriate voltage to the boundary surface with plasma, thus minimizing time-dependent variations in the etching characteristics.
BRIEF DESCRIPTION OF THE DRAWINGS
[0022] [0022]FIG. 1 is a schematic diagram showing a cross section of a plasma etching apparatus, representing a first embodiment of this invention, mounting a radical control material;
[0023] FIGS. 2 ( a ) and 2 ( b ) are graphs showing the densities of fluorine and CF 2 , respectively, in a CF 4 plasma when Al, SiO 2 and C are used as the radical control materials;
[0024] [0024]FIG. 3 is a graph showing changes in the densities of radicals, CF 1 , CF 2 and CF 3 , when a negative DC voltage is applied to a radical control material of carbon in the CF 4 gas plasma;
[0025] [0025]FIG. 4( a ) is a diagram showing a resist-TiN—Al—TiN laminated structure etched by a conventional ECR plasma etching equipment and FIG. 4( b ) is a graph which shows changes in the density of chlorine atoms present in the plasma;
[0026] [0026]FIG. 5 is a diagram showing the thickness of a deposited layer when a voltage is applied to an aluminum plate placed on a surface contacting the C 4 F 8 plasma;
[0027] [0027]FIG. 6 is a waveform diagram showing a plasma potential, an applied voltage, a plasma sheath voltage and a self-bias voltage when an area of the radical control material is almost equal to an area of a portion that determines the plasma potential;
[0028] [0028]FIG. 7 is a diagram showing timings for applying voltages to each of three divided blocks of the radical control material;
[0029] FIGS. 8 ( a ) and 8 ( b ) are schematic diagrams showing the operation of a voltage application circuit incorporating a relay circuit when the radical control material is divided into three blocks;
[0030] [0030]FIG. 9( a ) is a schematic diagram showing the configuration of the voltage application circuit connected to a multiple phase power supply and FIG. 9( b ) is a waveform diagram showing a plasma potential, applied voltages, plasma sheath voltages and a self-bias voltage;
[0031] [0031]FIG. 10 is a schematic diagram of an embodiment of a means to detect the deposition rate or sputter rate on the radical control material;
[0032] [0032]FIG. 11 is a schematic diagram showing an ECR type UHF wave plasma etching equipment using a gas composition and a radical control material of this invention;
[0033] [0033]FIG. 12 is a cross section of an etching apparatus according to this invention which applies a capacitive coupled plasma to the plasma generation system;
[0034] [0034]FIG. 13 is a cross section of an etching apparatus according to this invention which applies an induced coupled plasma to the plasma generation system;
[0035] [0035]FIG. 14 is a cross section of an etching apparatus according to this invention which applies a surface wave plasma to the plasma generation system;
[0036] [0036]FIG. 15 is a cross section of an etching apparatus according to this invention which applies a magnetron RIE plasma to the plasma generation system;
[0037] [0037]FIG. 16( a ) is a diagram showing a structure of a sample before the SAC (self-aligned contact) forming process by the oxide film etching is performed, FIG. 16( b ) is a diagram showing a shoulder-etched condition resulting from a conventional SAC process, FIG. 16( c ) is a diagram showing an etch stop condition during a conventional SAC process, and FIG. 16( d ) is a diagram showing an etched shape when an SAC process according to this invention is performed;
[0038] [0038]FIG. 17 is a schematic diagram showing a mechanism for controlling the magnitude and frequency of an RF voltage to be applied according to the sample process time;
[0039] [0039]FIG. 18 is a diagram showing a conductive plate inserted between the radical control material and an insulator and connected to the voltage application circuit;
[0040] [0040]FIG. 19 is a cross section of an etching apparatus according to this invention which applies a magnetron RIE plasma to the plasma generation system;
[0041] [0041]FIG. 20 is a cross section of an etching apparatus according to this invention which applies a parallel plate plasma to the plasma generation system; and
[0042] [0042]FIG. 21 is a diagram showing an etched structure of a TiN—Al—TiN metal wiring layer.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
[0043] (Embodiment 1)
[0044] [0044]FIG. 1 is a schematic diagram of an etching apparatus according to this invention as seen from the side, and which employs an ECR plasma, one of the plasma generation systems that utilize interaction between magnetic fields and electromagnetic waves. A reaction chamber 104 includes a microwave introducing window 103 , an evacuating system 108 and a gas introducing pipe 109 , and there is also a sample holder 107 inside the chamber on which to place a sample 106 . The plasma generation system comprises a microwave generator 101 , a waveguide 102 and an electromagnet 105 . The sample holder 107 is connected with an RF power supply 110 that accelerates ions incident on the sample 106 . The RF power supply 110 produces radio waves at several hundred kHz to several tens of MHz, which accelerate ions that impinge on the sample 106 promoting the etching process.
[0045] A gas is introduced from the gas introducing pipe 109 into the reaction chamber 104 where a plasma 113 is generated. When performing etching on an oxide film, in particular, a fluorocarbon gas plasma is used, which contains reactive species such as fluorine, CF 1 , CF 2 and CF 3 . If there is an excess amount of fluorine in the plasma, both a nitride film and an oxide film are etched during, for example, an SAC process, which means it is difficult to perform a selective etching. Thus, to perform selective etching during the SAC process, it is necessary to reduce the amount of fluorine in the plasma. This etching equipment newly incorporates a radical control material 112 that contains materials that will control reactive species. The radical control material 112 is temperature-controlled by a heater 116 , a cooling pipe 117 and a temperature control circuit 121 . The temperature is monitored by a temperature monitor 114 . The temperature control will be explained in Embodiment 5. In this equipment the plasma state is monitored by an optical emission spectrometer having a feedback circuit.
[0046] It has been found that applying a voltage to the radical control material 112 further promotes the above-mentioned transformation reaction. A means for applying a voltage to the radical control material 112 is constructed by inserting an insulator 111 between the radical control material 122 and the reaction chamber 104 and installing a voltage application circuit 115 consisting of a blocking capacitor 118 and an AC power supply 119 . The blocking capacitor blocks a DC current from the plasma and produces a DC voltage Vdc that enables ions to be accelerated effectively. The voltage application circuit 115 may use an AC power supply 119 , a pulse power supply or, if the radical control material is a conductive material, a DC source. The insulator 111 is preferably made of alumina and silicon nitride that can withstand a temperature as high as 400° C. It is of course not necessary to provide the insulator 111 if a voltage is not applied.
[0047] When insulators such as quartz and silicon nitride are used for the radical control material 112 , a better voltage introducing efficiency is obtained if a conductive plate 401 is inserted between the radical control material 112 and the insulator 111 as shown in FIG. 18, and the conductive plate 401 is connected with the voltage application circuit 115 .
[0048] [0048]FIG. 3 shows measurements of the densities of radicals CF 1 , CF 2 and CF 3 when a negative DC voltage is applied to the radical control material 112 of carbon in the CF 4 gas plasma. It is found that, as the applied voltage increases, CF 3 decreases and CF 2 increases. This results from an ion-assisted reaction in which chemical reactions are accelerated by localized quasi-high temperature conditions that are generated by ions impinging on a fluorocarbon-based layer deposited over the radical control material.
[0049] Generally, chemical reaction products formed at high temperatures are known to be likely to produce molecules that are unstable at normal temperatures at which there are fewer atoms to combine. For example, chlorine atoms adsorbed onto a silicon substrate are known to produce SiCl 2 from a chemical reaction with the base silicon at the substrate temperature of 600° C., whereas it produces SiCl at 900° C. Hence, under the ion energy obtained in our experiments, it is assumed that CF 2 is likely to be produced stably. That is, by utilizing the ion-assisted reaction, which is obtained by using carbon for the radical control material 112 in the fluorocarbon gas plasma and applying a voltage to the radical control material, it is possible to transform F and CF 3 in the plasma into CF 2 and thereby control the reactive species in the plasma.
[0050] The plasma density used determines the lower limit of the frequency of an RF voltage that can be applied to the radical control material. The plasma density used for etching is around 10 11 -10 12 particles/cm 3 and the corresponding saturated ion current density I e is around 10 −2 -10 −4 A/cm 2 . When an RF wave is applied to an electrode in the plasma, the frequency required is more than about I e /(CV). This relation is derived qualitatively from the fact that a voltage of the electrode that has dropped by the voltage application mechanism needs to change more rapidly than does the amount of ions flowing in that act to cancel the voltage change. Here, C is an electrostatic capacitance per unit area and is about 10 −11 farad, and V is an applied voltage and is around 10 2 volt. Thus, in the above plasma used for etching, the applicable frequency of the RF wave must be more than 100 kHz. The upper limit of the frequency, where ions can follow the voltage change and the effect of an ion-assisted reaction is produced, is found to be around 100 MHz. If a pulse power supply and a DC power supply are used for the voltage application circuit 115 , it is possible to localize the energy of ions incident on the radical control material and converge the transformation reaction path, allowing efficient, selective generation of reactive species by the ion-assisted reaction. When the radical control material is an isolator, the above effect can only be obtained by a pulse voltage. When it is a conductive material, however, a DC voltage should preferably be used also in terms of equipment cost. While the frequency of pulses used varies depending on the electrostatic capacitance of the voltage application system, a general system with a capacitance of about several tens of nF is required to have more than 100 kHz.
[0051] The present invention can induce the ion-assisted reaction in a deposited layer on the radical control material 112 to transform reactive species into a desired species effective for etching or removing selected species, not only when a fluorocarbon gas plasma is used but also when a carbon-based gas is used or when an organic resist is used as a mask.
[0052] (Embodiment 2)
[0053] An embodiment for etching a silicon oxide film without using PFC or HFC gas now will be described. In the embodiment that employs the ECR type microwave-discharged plasma, as shown in FIG. 1, no electrode is disposed opposite the wafer. Because carbon cannot be used for the electrode opposing the wafer, it is theoretically difficult to perform etching with a gas not containing carbon.
[0054] In our experiment, however, SiC was selected for the radical control material 112 and a gas containing Ar and SF 6 but not carbon was introduced into the reaction chamber 104 . The total gas flow was set at 20-300 sccm and SF 6 was changed in the range of 1-10 sccm. The electric discharge pressure was set at 0.1-5 Pa. The introduced gas was ionized and reacted with SiC to generate the reactive species necessary for etching.
[0055] The wafer is covered with a silicon oxide film to be etched and the mask for the etching is formed of a photoresist, which has a fine pattern made by lithography. Formed under the silicon oxide film as underlying layers are a silicon nitride film and a silicon film.
[0056] For the condition in which the etching rate of a SiC plate is in the range of 50 nm/min to 600 nm/min, the etching rate of the oxide film ranges from 400 nm/min to 2000 nm/min and the etching rate of the resist film ranges from 500 nm/min to 80 nm/min. That is, the etching rate of the resist can be adjusted by the etching rate of the SiC wall electrode to increase the selectivity. The etching rate of the silicon film also ranges in the similar way to the resist. To etch the silicon nitride film most selectively requires increasing the etching rate of the SiC wall electrode. That is, for the SiC etching rate of 250 nm/min, the oxide film etching rate was 1000 nm/min and the silicon nitride film etching rate was 70 nm/min, and the selectivity with respect to the silicon nitride film was 14.2.
[0057] Under these conditions, the temperatures of the wall electrode and the wafer electrode were varied from −60° C. to 250° C. to investigate the effect of their temperatures on the etching. Our examination found that setting the temperature of the wafer electrode as high as possible enables selective etching of the silicon oxide film with respect to the silicon nitride film. A particularly preferred temperature was more than 0° C. At the SiC temperature of 200° C., the selectivity with respect to the silicon nitride film was 5. As for the wall electrode, reaction products easily deposit on its surface at low temperatures. As in the case of the upper electrode, the temperature was found to constitute one of the factors that determine the etching rate on the electrode surface. Hence, the temperature needs to be kept at a constant value as practically as possible. In addition, as the temperature increases, the etching rate becomes high. When the temperature is set low, the efficiency of transformation reaction of the reactive species deteriorates. Thus, in the above temperature ranges, a desired etching rate can be set. This embodiment has demonstrated that when a gas plasma not containing carbon is used, a silicon oxide film can be etched at a high etching rate by including carbon in the solid surface contacting the plasma, by causing this solid to perform an etching reaction, and by setting the temperature of the solid at specifically more than 0° C. This has verified the effectiveness of this invention.
[0058] The gas used in this embodiment that does not contain carbon is a gas mixture of Ar and SF 6 . Other inert gases such as Ne, Kr and Xe may be used. A fluorine-containing gas, such as SF 6 , though it has a high greenhouse effect coefficient and a long lifetime and is thus not desirable, has the advantage of requiring only a very small consumption. Effective gases other than SF 6 include F 2 , HF, XeF 2 , PF 3 , BF 3 , NF 3 , SiF 4 , and halides such as fluorine chlorides ClF and ClF 3 , fluorine bromides BrF, BrF 3 and BrF 5 and fluorine iodide IF 5 .
[0059] It is also found that materials that can play a similar role to that of SiC include a pyrolytic graphite plate, an organic resin film, SiCN, a diamond plate, Al 4 C 3 , and a carbon-containing material such as boron carbide. A structure having these carbides formed on the surface of other materials can similarly produce reactive species necessary for etching.
[0060] (Embodiment 3)
[0061] An embodiment that uses for the radical control material the same material as the one to be etched will be explained. The use of such a material is particularly effective in improving abnormal deformations that would occur when etching a sample having laminated layers of different materials in the same plasma. For example, FIG. 4( a ) shows a cross section of a laminated structure consisting of a resist layer 301 , a TiN layer 304 , an Al layer 303 and a TiN layer 304 formed over an SiO 2 layer 305 , after being etched in a chlorine plasma by conventional ECR plasma etching equipment during a metal wiring process. As shown in the figure, the etched shape obtained with the conventional equipment has defects (notched portions) in the Al portion 302 at the boundary with the upper TiN layer 304 .
[0062] [0062]FIG. 4( b ) shows variations in chlorine atom density in the plasma during etching. The graph indicates that the chlorine atom density 307 at the notched portion sharply decreases from a high chlorine atom density 306 , that corresponds to the TiN etching, to a low stable density 308 , which corresponds to the Al etching. This means that abnormal deformations are produced during the etching process corresponding to the notched portion 302 because of an excessively high chlorine atom density.
[0063] The use of Al for the radical control material 112 during etching can lower the chlorine atom density during the etching of the TiN 304 to the chlorine radical density 309 (FIG. 4( b )) by consuming the chlorine atoms with aluminum atoms from the wall surface. This minimizes a sharp change in the chlorine radical density when the layer being etched switches to the aluminum layer. This is shown in FIG. 21. That is, when the etching process moves from one layer to another with different consumptions of reactive species, excess reactive species may remain. This is considered the major cause for the abnormal deformations between different materials. Hence, when etching a layer with a smaller consumption of reactive species, the radical control material has a voltage applied thereto which is sufficient to consume the etchant and thereby make the amount of reactive species impinging on the sample constant. With this method, variations in the etchant density were minimized.
[0064] Because the use of radical control material which is the same material as the mask can reduce variations in the densities of oxygen and carbon in the plasma produced from the etched mask material, it is possible to form a sidewall protection film that is stable over time and to produce a desirable etched configuration with no undercut 310 (FIG. 4( a )).
[0065] This invention is also applicable to other laminated layer structures. They include, for example, a resist-polysilicon lamination structure, an SiO 2 —Si 3 N 4 structure, an Al—W—Al structure, a TiN—AlCu—TiN—Ti structure, a TiN—Cu—TiN structure, an SiO 2 mask-Pt structure, and a polysilicon-SiO 2 structure. For these laminated structures, it is necessary to use polysilicon, Si 3 N 4 , W, Al, Cu, Pt and SiO 2 for the radical control material. While the effectiveness of this invention is assured if the radical control material includes the same material as the material being etched, a similar effectiveness can be obtained if other materials are used whose rate of reaction with the etchant is similar to the etchant reaction rate of the material being etched.
[0066] In this case, the difference in the etchant density between different materials is roughly the ratio between the areas of the etched surface and the radical control material. The surface of the sample to be etched comprises a mask portion and a material portion to be etched. It is possible to minimize a change in the density of reactive species by making the area of the radical control material in contact with the plasma larger than the area of the mask portion or the material portion, whichever is smaller.
[0067] (Embodiment 4)
[0068] Another embodiment will be described which shows a method and system for applying a voltage to the radical control material. When, during the application of an RF wave to the radical control material, the area of the radical control material is almost equal to the area of a portion that determines the plasma potential, the plasma potential 602 changes following the applied voltage 601 , as shown in FIG. 6. When this applied voltage, follow phenomenon of the plasma potential 602 takes place, the sheath voltage 603 between the plasma and the radical species control material becomes as shown at 603 and its DC component, a self-bias voltage 604 , is no longer applied, making it impossible to control the energy of ions incident on the sample 106 and the radical control material 112 This must be avoided. For this purpose, it is effective either to make the area of the radical control material to be supplied with a voltage smaller than the area of the portion that determines the plasma potential, or to reduce the amount of ions flowing in one cycle by increasing the frequency of the applied voltage, or to increase the capacitance of the blocking capacitor 118 . It is preferred that the radical control material 112 be divided into a plurality of isolated blocks. This method reduces the total amount of ion current entering from the plasma when a voltage is applied, and is thus effective in avoiding the applied voltage-follow phenomenon of the plasma potential.
[0069] Another effective method is shown in FIG. 8( a ) and FIG. 8( b ), which are schematic diagrams representing the operation of the voltage application circuit, which has the radical control material divided into three blocks 802 , 803 , 804 isolated from one another by an isolator 111 and which incorporates a relay circuit 801 . The relay circuit 801 can further reduce the area ratio between the block portion supplied with a voltage and a portion that determines the plasma potential (in this case the ground portion). A similar effect can be obtained if a plurality of radical control materials of small areas are arranged.
[0070] The operation of the relay circuit 801 when the three divided radical control materials are supplied with RF voltages at timings shown in FIG. 7 will be explained by referring to FIG. 8( a ) at time 1 and FIG. 8( b ) at time 2 . First, at time 1 , a block 802 is connected to the RF power supply 119 , with other blocks grounded. Next, at time 2 , a block 803 is connected to the RF power supply 119 , with other blocks grounded. Likewise, at time 3 , a block 804 is connected to the RF power supply 119 with other blocks grounded. In this way, by successively applying a voltage to one block at a time and grounding the remaining blocks, it is possible to effectively prevent variations of the plasma potential. Although the radical control material is divided into three blocks in this case, it only needs to be divided into two or more to attain similar effects.
[0071] While the method of FIG. 8( a ) and FIG. 8( b ) can satisfy the need of only removing deposits, the efficiency of controlling reactive species is considered to deteriorate as the area of the radical control material decreases. To cope with this problem, a multiple phase RF power supply 901 , instead of the RF power supply 119 , is connected to the three divided blocks, i.e. block 802 , block 803 and block 804 , as shown in FIG. 9( a ), to apply RF waves of different phases to these blocks simultaneously (the block 802 is supplied with a sine wave 902 with an initial phase of 0 degree, the block 803 is supplied with a sine wave 903 with an initial phase of 120 degrees, and the block 804 is supplied with a sine wave 904 with an initial phase of 240 degrees). This smoothes out the plasma potential 602 with respect to time, as shown in FIG. 9( b ). Because voltages can be applied to a plurality of blocks at the same time, the reactive species control efficiency is improved over the method of FIG. 8( a ), which in turn leads to an improved deposit removing efficiency. This method can also be implemented by using a plurality of RF poller supplies of different phases. For controlling the energy of ions incident on the radical control material, it is of course possible to produce a similar effect by applying different frequencies to the divided blocks.
[0072] (Embodiment 5)
[0073] An embodiment that has a temperature control mechanism for the radical control material will be described in the following by referring to FIG. 1. For the control of reactive species, this invention provides two methods, one that utilizes the fact that there are different stable products at different temperatures during the process of chemical reaction and one that performs macroscopic control on the temperature of the radical control material. Both methods are effective for the control of reactive species. The temperature of the radical control material 112 during the operation of the equipment is kept constant without using heat from the plasma to keep constant the amount of desorbed substances from the radical control material 112 , such as oxygen, water and hydrogen, and the efficiency of chemical reaction at all times. An example of a way to keep the temperature of the radical control material constant comprises use of a heater 116 as a heating means, a cooling pipe 117 as a cooling means, a temperature monitor 114 as a temperature sensing means, and a temperature control circuit 121 that regulates the temperature of the heater 116 and the cooling pipe 117 in response to the measurement from the temperature monitor 114 . The heating means may use an infrared lamp and the cooling means may use liquid nitrogen, water or oil.
[0074] (Embodiment 6)
[0075] An embodiment will be described which shows a system that controls the voltage and frequency to be applied to the radical control material according to the amount of reactive species in the plasma, the deposition rate on the radical control material 112 , the plasma condition and the sample processing condition. As seen in FIG. 1, an insulator 111 is disposed inside a reaction chamber 104 . An embodiment having a means to detect the deposition rate and sputter rate on the radical control material is shown in FIG. 10. The sputter rate detection means has a quartz oscillator probe 1001 on which there is sputtered a substance 1003 constituting the radical control material, the quartz oscillator probe 1001 being connected to the RF power supply 119 through a blocking capacitor 118 , so that the substance 1003 can be supplied with the same voltage as is applied to the radical control material 112 . The rate at which the particles are adhering to or removed from the radical control material during the operation of the etching equipment is measured from changes in the oscillation of the quartz, and a voltage corresponding to the oscillation changes is fed back from the feedback circuit 1002 to the voltage application circuit 115 in order to control the voltage and frequency applied to the radical control material 112 and thereby control the etching rate to an appropriate level. This prolongs the life of the radical control material 112 and also makes it possible to deal with the constantly changing plasma conditions.
[0076] A detector to detect a change in the amount of reactive species in the plasma includes an optical emission spectrometer 120 , as seen in FIG. 1, and an electric circuit which, based on an increase or decrease in the amount of reactive species, controls the voltage applied to the radical control material. This detector controls the amount of reactive species in the plasma in real time and keep it constant at all times.
[0077] [0077]FIG. 17 shows a control system for controlling an RF applied voltage and frequency according to the sample process time. For the time control, a time control computer 1701 and a control program are used. Based on the programmed time sequence, the computer changes the voltage and frequency applied to the radical control material 112 over time. Digital signals corresponding to the voltage and frequency values from the time control computer 1701 are converted by a D/A converter 1702 into analog voltages, which are then fed to the voltage application circuit 115 that changes the voltage and frequency applied to the radical control material 112 . This method has fewer mechanisms to be added to the reaction chamber and allows arbitrary time control from outside the reaction chamber. That is, if the etching rate and the thickness of a film to be etched in the sample process are known, the voltage and frequency values corresponding to the process time can be freely programmed and set, and this method can be advantageously implemented at relatively low cost. For the above embodiment to be realized, the voltage application circuit 115 needs to have the ability to change the voltage and frequency to be applied to the radical control material 112 by, for example, an input voltage from outside.
[0078] (Embodiment 7)
[0079] An embodiment that sets the DC component (self-bias voltage) applied to the radical control material to −20 V or less will be described. To accelerate positively charged ions requires the use of at least a negative bias, i.e., a voltage lower than 0 V. It is assumed that the area of chemical reaction based on the ion-assisted reaction is almost proportional to the range of incident ions. For example, the range R (Å) of Ar ion having the energy R (eV) of less than 1000 eV is known to have the following relation:
R= 0.08× E
[0080] In this case, it is necessary that there is at least one molecule in the reaction region that participates in the reaction. Because quartz with a short interatomic distance among the possible reaction species producing materials has an Si—O bond of 1.62 Å, the reaction species transformation requires an ion energy of at least 20 eV. Thus, by setting the voltage applied to the radical control material to less than −20 V, the reactive species control can be performed efficiently.
[0081] (Embodiment 8)
[0082] An embodiment which sets the DC component (self-bias voltage) applied to the radical control material to −50 V or higher will be explained. FIG. 5 shows a measurement taken by a step meter of the thickness of a deposited film over an aluminum sample placed in a C 4 E 8 gas plasma generated by an ECR plasma system that operates at 800 kHz. The measurement shows that for the condition of 1.5 mTorr and microwave power of 200 W, setting the self-bias voltage, which is a DC component of the sheath voltage, to −45 V results in the surface with no deposits and with its ground aluminum layer remaining not etched. The result of measurement suggests that, considering the surface roughness errors of the aluminum sample used for the measurement, the condition under which the radical control material is not etched can be produced by setting the applied voltage to more than −50 V. Because these voltages change depending on the unique sputter threshold voltage for the adhering reactive species, the amount of species incident on the radical control material and the plasma density, they may be adjusted by the above sputter rate detection means.
[0083] Therefore, there is an applied voltage between 0 V and −50 V that permits sputtering of only the carbon-based deposits. By applying this voltage during the sample processing, not only can the reactive species control be performed, but also deposits on the plasma boundary surface can be removed, which in turn shortens or eliminates the oxygen cleaning, improving the total throughput. In this case, the sample processing and the voltage application to the radical control material may be performed at different timings. The plasma boundary surface can also be cleaned in a similar manner by introducing a cleaning gas (oxygen, argon, etc.) in the above equipment.
[0084] (Embodiment 9)
[0085] Effective use of a gas according to this invention will be explained by referring to FIG. 11 in an example of etching a silicon oxide film in UHF wave plasma etching equipment using a magnetic field. This embodiment uses CIF 3 as a gas not containing carbon. The inert gas used is a mixture of Ne, Ar, Kr and Xe. Fluorine-containing gases, such as SF 6 and NF 3 , though they have a high greenhouse effect coefficient and a long lifetime and are thus not desirable, have the advantage of requiring only a very small consumption. ClF 3 has a similar advantage.
[0086] In this embodiment, a UHF wave radiation antenna 71 is disposed opposite the wafer and is formed of a pyrolytic graphite plate. It is found that the pyrolytic graphite plate needs only to be made of a carbon-containing material, such as SiC, an organic resin film, SiCN, a diamond plate, Al 4 C 3 , and a boron carbide. A similar effect is also obtained if these carbides are formed on a surface. A low-path filter and an RF power supply are installed outside the UHF wave radiation antenna 71 to form an opposing electrode structure in which generated particles impinge on the sample efficiently, enhancing the effectiveness of the reactive species control.
[0087] The total gas flow was set at 50-500 sccm and SF 6 was changed at the rate of 1-10 sccm. The pressure for electric discharge was set at 0.5-5 Pa. A UHF wave is transmitted from a plasma discharge UHF wave source 74 through a coaxial cable 79 and is emitted from the radiation antenna 71 to produce a plasma. A bottom wafer electrode 107 is supplied with an RF power 110 that accelerates ions in the plasma. The distance between the upper and lower electrodes was set at 10-200 mm and a mechanism was provided for applying the RF power 119 to the pyrolytic graphite plate, the radical control material 112 . Denoted at 78 is a magnet. The wall uses surface-treated SiC as a carbon-containing material. Applying power to SiC causes the SiC to be etched by the plasma.
[0088] The wafer is similarly formed with a silicon oxide film as a film to be etched. The etching mask was formed of a photoresist, which was finely patterned by lithography. The underlying layer for the oxide film used a silicon nitride film and a silicon film.
[0089] When the oxide film is etched under the condition that the etching rate for the pyrolytic graphite plate of the upper electrode is 50 nm/min to 600 nm/min, the etching rate for the oxide film varied from 400 nm/min to 1400 nm/min and the etching rate of the resist film varied from 600 nm/min to 60 nm/min. This means that the etching rate of the resist can be adjusted by the etching rate of the SiC wall electrode to increase the selectivity. The etching rate for the silicon film also varied in the same way as the resist. To etch the silicon nitride film most selectively requires increasing the etching rate for the SiC wall electrode.
[0090] Under this condition, the temperatures of the upper and lower electrodes and the wall electrode were changed from −60° C. to 250° C. to investigate the effect the temperature has on the etching. It was found that selective etching of the silicon oxide film with respect to the silicon nitride film can be assured by setting the wafer electrode temperature as high as possible. A particularly preferred temperature was more than 0° C. The temperature of the upper electrode was one of the factors that determine the etching rate of the electrode surface. Hence, the temperature must be kept as constant as practically possible. Further, as the temperature increases, the etching rate becomes high. Setting the temperature low reduces the efficiency of transformation reaction by the upper electrode of the reactive species. Thus, in the above temperature ranges, a desired etching rate can be set. As for the wall electrode, reaction products easily deposit on its surface at low temperatures. As in the case of the upper electrode, the temperature was found to constitute one of the factors that determine the etching rate on the electrode surface. Hence, the temperature needs to be kept as constant as practically possible. It is also found that the higher the temperature, the faster the etching rate and that setting the temperature low reduces the efficiency of transformation reaction by the upper electrode of the reactive species. Thus, in the above temperature ranges, a desired etching rate can be set. This embodiment has thus demonstrated that when ClF3 is used as a gas not containing carbon, this invention can etch a silicon oxide film at a high etching rate by including carbon in a solid surface contacting the plasma, by causing this solid to perform etching reaction, and by controlling the temperature of the solid in a range of −60° C. to 250° C. This has verified the effectiveness of this invention.
[0091] (Embodiment 10)
[0092] [0092]FIG. 14 shows an embodiment of this invention that employs a surface wave plasma as a plasma generation system. Electromagnetic waves from a waveguide 1402 impart a plasma energy through a dielectric 1401 to produce a plasma. Other elements and effects are similar to those of the ECR type plasma generation system.
[0093] (Embodiment 11)
[0094] An embodiment that uses carbon as the radical control material in performing the SAC process will be explained. FIG. 16( a ) shows a structure of a sample before being subjected to the SAC process. A gate electrode 1504 of polysilicon is formed over a silicon substrate 1505 . The SAC process is an oxide film processing that forms contact holes by etching the oxide film 1502 with the nitride film 1503 as a stopper layer, and is a favorable method when forming contact holes in DRAMs of 256 M or larger. Denoted at 1501 is a resist. When a conventional method that has no reactive species control concept or in which the reactive species control system cannot be controlled independently, for example, high-density plasma etching equipment, is used to perform etching under the condition of C 4 F 8 5 mTorr and a microwave power of 1100 W, a variety of problems are encountered. For example, the shoulder portion of the nitride film is eroded as shown at 1506 in FIG. 16( b ), failing to keep the polysilicon gate 1504 isolated, or etching is stopped halfway at the bottom of the contact hole as shown at 1507 in FIG. 16( c ). In this way the process window for desirable selective etching is narrow.
[0095] With this invention, it is possible to make the composition of a deposited film, essential for the etching reaction of an oxide film, suitable for selective etching. That is, fluorine that etches both the oxide film and the nitride film in the plasma is reduced in density and converted into CF 2 that is suited for selective etching. On the nitride film, this allows the deposits to remain minimizing the shoulder erosion and, on the oxide film, promotes a satisfactory surface reaction that allows etching to proceed smoothly. Hence, performing the SAC process using the method of this invention ensures a satisfactory etching geometry as shown in FIG. 16( d ).
[0096] (Embodiment 12)
[0097] An embodiment that etches a silicon oxide film in a parallel flat plate type etching apparatus by introducing a gas not containing carbon in the compounds will be explained by referring to FIG. 20. In this embodiment an electrode 1202 opposing the wafer 106 is made from a pyrolytic graphite plate. The discharge gas not containing carbon was a mixture of Ar and SF 6 . The gas mixture was supplied from the top of the chamber through a gas introducing hole in the pyrolytic graphite plate. The total gas flow was set at 100-500 sccm and SF 6 was changed in the range of 1-10 sccm. The discharge pressure was set at 1-5 Pa. The upper electrode was supplied with an RF power 1201 to produce a plasma. The bottom electrode 107 was supplied by an RF power 110 to accelerate ions in the plasma. The distance between the upper and bottom electrodes was varied in the range of 5-50 mm.
[0098] The wafer used has formed thereon a resist film, a silicon oxide film, a silicon film and a silicon nitride film. Here, the silicon oxide film was etched with a photoresist as a mask.
[0099] When the etching rate of the pyrolytic graphite plate of the upper electrode was changed from 100 nm/min to 1000 nm/min, the etching rate of the oxide film changed from 500 nm/min to 2000 nm/min and the etching rate of the resist film changed from 800 nm/min to 90 nm/min. The etching rate of the resist was able to be adjusted by the etching rate of the pyrolytic graphite plate to keep the selectivity high. The etching rate of the silicon film changed in a similar manner to the etching rate of the resist. This suggests that to etch the silicon oxide film most selectively requires setting the etching rate of the pyrolytic graphite plate to 100 nm/min or higher. This embodiment has demonstrated that the silicon oxide film can be etched at a high etching rate with a gas not containing carbon, verifying the effectiveness of this invention.
[0100] (Embodiment 13)
[0101] This embodiment performs etching by using a parallel plate type plasma etching apparatus, like the one in the Embodiment 12, with a third electrode 112 arranged close to the wall surface of the plasma chamber. This embodiment will be explained by referring to FIG. 12. The third electrode uses a surface-treated SiC 112 , which is supplied by a power 119 to etch the SiC with a plasma. The SiC 112 is temperature-regulated by a heater 116 and a cooling pipe 117 . Other elements are similar to those of the Embodiment 12.
[0102] With the etching rate of the pyrolytic graphite plate of the upper electrode 1202 varied from 100 nm/min to 400 nm/min, the SiC 112 wall supplied by the power 119 to measure changes in the etching rate of the resist, silicon oxide film, silicon film and silicon nitride film on the wafer according to the etching rate of the SiC wall electrode. It was found that as the etching rate of the SiC electrode increased. the etching rate of the oxide film changed from 500 nm/min to 1500 nm/min and the etching rate of the resist film changed from 300 nm/min to 60 nm/min. In other words, the etching rate of the resist was able to be adjusted by the etching rate of the SiC wall electrode to keep the selectivity high. The etching rate of the silicon film also changed in the similar manner to that of the resist. It is also found that to realize the most selective etching of the silicon nitride film requires increasing the etching rate of the SiC wall electrode. This embodiment has demonstrated that the silicon oxide film can be etched at a high etching rate with a plasma of gas not containing carbon by including carbon in the solid surface in contact with the plasma and by causing an etching reaction on the solid. The effectiveness of this invention is therefore verified.
[0103] For applying power to the wall of the plasma chamber, there are some effective means. Among them is a method that divides the wall electrode into a few blocks and applies different bias powers to them. A second method is to share the bias power source of the wafer with the wall electrode by setting two powers in different phases. The second method also has proved effective.
[0104] Even when the distance between the upper and bottom electrodes is as small as 30 mm or less, the bias application to the wall electrode proved effective.
[0105] To control the etching rate of the wall electrode with high precision, the waveform and frequency of the bias power applied to the wall electrode must also be controlled. With this precise control, it is possible to make precise, uniform setting of the ion energy distribution for desired etching.
[0106] (Embodiment 14)
[0107] The silicon oxide film etching in a parallel plate type etching apparatus using a magnetic field, or magnetron RIE equipment, will be explained by referring to FIG. 19. In this embodiment, the electrode 1202 opposite the wafer 106 was a pyrolytic graphite plate. The discharge gas was a gas mixture of Ar and SF 6 . This gas mixture was supplied from the top of the chamber through a gas introducing opening in the pyrolytic graphite plate. The total gas flow was set at 20-500 sccm and SF 6 was varied in the range of 1-10 sccm. The discharge pressure was set at 0.1-5 Pa. The distance between the upper and bottom electrodes was set at 10-200 mm. A surface-treated SiC 112 was installed close to the wall surface. Applying power to the SiC causes the SiC to be etched with the plasma. Other elements are similar to those of the Embodiment 12.
[0108] With the etching rate of the pyrolytic graphite plate of the upper electrode being varied from 50 nm/min to 600 nm/min, power was applied to the SiC electrode to measure changes in the etching rates of the resist, silicon oxide film, silicon film and silicon nitride film on the wafer according to the etching rate of the SiC electrode. From the measurements it was found that as the etching rate of the SiC wall electrode increases, the etching rate of the oxide film changes from 400 nm/min to 1600 nm/min and the etching rate of the resist film changes from 500 nm/min to 60 nm/min. In other words, the etching rate of the resist was able to be adjusted by the etching rate of the SiC wall electrode to maintain a high level of selectivity. The etching rate of the silicon film also changed in the similar manner to that of the resist. It was also found that to realize the most selective etching of the silicon nitride film requires increasing the etching rate of the SiC wall electrode. This embodiment has demonstrated that the silicon oxide film can be etched at a high etching rate with a plasma of gas not containing carbon by including carbon in the solid surface in contact with the plasma and by causing an etching reaction on the solid. The effectiveness of this invention is therefore verified.
[0109] For applying power to the wall of the plasma chamber, there are various effective means, such as explained in the Embodiment 2. Among them is a method that divides the wall electrode into a few blocks and applies different bias powers to them. A second method is to share the bias power source of the wafer with the wall electrode by setting two powers in different phases. The second method also proved effective. Even when the distance between the upper and bottom electrodes is as small as 30 mm or less, the bias application to the wall electrode proved effective. These methods were particularly effective for the electrode distance of more than 30 mm.
[0110] (Embodiment 15)
[0111] This embodiment has a temperature adjusting system 48 added to the Embodiment 14 and performs etching by controlling the temperature of the electrodes. This embodiment will be explained by referring to FIG. 15.
[0112] The temperatures of the upper and lower electrodes and the wall electrode were varied from −60° C. to 250° C. to examine the effect the electrode temperatures have on the etching performance. The result of measurement shows that selective etching on the silicon oxide film with respect to the silicon nitride film can be achieved by setting the wafer electrode temperature as high as possible. A particularly desirable temperature was found to be 0° C. or higher. The temperature of the upper electrode was found to be one of the factors that determine the etching rate on the electrode surface. Hence, it is necessary to keep the electrode temperature as constant as possible. In addition, it was found that the higher the temperature, the faster the etching rate and that setting the temperature low degrades the efficiency of the transformation reaction by the upper electrode of the reactive species. Thus, in the above temperature range, a desired etching rate can be set.
[0113] As for the wall electrode, reaction products easily deposit on its surface at low temperatures. As in the case of the upper electrode, the temperature was found to constitute one of the factors that determine the etching rate on the electrode surface. Hence, the temperature needs to be kept as constant as practically possible. It is also found that the higher the temperature, the faster the etching rate and that setting the temperature low reduces the efficiency of transformation reaction by the upper electrode of the reactive species. Thus, in the above temperature ranges, a desired etching rate can be set. This embodiment has thus demonstrated that when a gas plasma not containing carbon is used, this invention can etch a silicon oxide film at a high etching rate by including carbon in a solid surface in contact with the plasma, by causing this solid to perform an etching reaction, and by controlling the temperature of the solid in a range of −60° C. to 250° C.
[0114] (Embodiment 16)
[0115] The silicon oxide film etching in an induced coupling type RF wave discharge etching apparatus according to this invention will be explained by referring to FIG. 13. The wafer 106 is placed on a wafer table 107 that also serves as a lower electrode for bias RF wave application. The wafer table 107 is connected to a bias RF wave power supply 110 . In this embodiment, unlike Embodiments 12-15, there is no electrode opposite the wafer, but an insulation window 51 is provided. SiC as the radical control material 112 is arranged close to the wall. The SiC is connected to a bias power supply 119 . As in the Embodiment 14, the total gas flow was set at 20-500 sccm and SF 6 was varied in the range of 1-10 sccm. The discharge pressure was set at 0.3-5 Pa. The RF power is supplied from a plasma discharge RF wave power supply 54 to a turn antenna in the discharge section in the plasma chamber to generate a plasma inside a discharge window plate 58 or discharge tube made of alumina or quartz.
[0116] Other conditions are similar to those of Embodiment 14. In the above experiment, it was found that, as in the case of Embodiment 14, the etching rate of the resist can be adjusted by the etching rate of the SiC wall electrode to keep a high level of selectivity. The etching rate of the silicon film also changed in a similar manner to that of the resist. It was also found that to realize the most selective etching of the silicon nitride film requires increasing the etching rate of the SiC wall electrode.
[0117] Another important finding is that, as in the Embodiment 15, selective etching of the silicon oxide film with respect to the silicon nitride film can be achieved by setting the temperature of the wafer electrode as high as possible.
[0118] (Embodiment 17)
[0119] The silicon oxide film etching in an UHF wave plasma etching apparatus using no magnetic field, according to this invention will be explained by referring to FIG. 11. This embodiment uses a pyrolytic graphite for the electrode 71 opposite the wafer.
[0120] The introduced gas was a mixture of SF 6 and Ar; the total gas flow was set at 50-500 sccm; and SF 6 was varied in the range of 1-10 sccm. The discharge pressure was set at 0.5-5 Pa. The distance between the upper and lower electrodes was set at 10-200 mm. Surface-treated SiC 76 was arranged close to the wall of the plasma chamber as the radical control mechanism. Supplying power to the SiC causes the SiC to be etched with the plasma.
[0121] The wafer to be etched has a silicon nitride film, a silicon film, a silicon oxide film and a photoresist formed in layers over a substrate.
[0122] With the etching rate of the pyrolytic graphite of the upper electrode being varied from 50 nm/min to 600 nm/min, the etching rate of oxide film changed from 400 nm/min to 1400 nm/min and the etching rate of the resist film changed from 600 nm/min to 60 nm/min. That is, the etching rate of the resist can be adjusted by the etching rate of the SiC wall electrode to increase the selectivity. The etching rate of the silicon film also changed in the same way as that of the resist. It was found that the etching rate of the SiC wall electrode must be increased to perform the most selective etching of the silicon nitride film.
[0123] It is also found that, as with the Embodiment 15, the selective etching of the silicon oxide film with respect to the silicon nitride film can be realized by setting the temperature of the wafer electrode as high as possible.
[0124] (Embodiment 18)
[0125] Effective use of gas according to this invention will be explained by referring to FIG. 11, for an example of etching a silicon oxide film in an UHF wave plasma etching apparatus using a magnetic field. This embodiment uses ClF 3 as a gas not containing carbon. The inert gas used is a mixture of Ne, Ar, Kr and Xe. ClF 3 , which has a high greenhouse effect coefficient and a long lifetime and is thus not desirable as with the fluorine-containing gas, has the advantage of requiring only a very small consumption. Other conditions are similar to those of Embodiment 17.
[0126] The experiment with this embodiment has indicated that even when ClF 3 is used, the silicon oxide film can be etched at a high etching rate by controlling the temperature of the radical control material in the range of −60° C. to 250° C., as in the case of the Embodiment 17.
[0127] (Embodiment 19)
[0128] This embodiment uses a small amount of carbon in addition to ClF 3 as the etching gas for etching a silicon oxide film in induced coupling type RF discharge plasma etching equipment.
[0129] Because this embodiment is of the induced coupling type, no electrode is placed opposite the wafer. The use of SiC for the electrode 112 near the wall (FIG. 13) is found to improve the etching performance. However, it is very difficult to perform selective etching of the silicon oxide film with respect to the silicon nitride film. This embodiment is intended to compensate for this drawback. The carbon-containing gas need only include H, F or Cl in addition to C.
[0130] The total gas flow was set at 20-500 sccm and ClF 3 was varied in the range of 0-10 sccm. A trace amount of chloroform was used as an additive gas and the amount of chloroform introduction was set at a level not exceeding the amount of ClF 3 . The discharge pressure was set at 0.3-5 Pa. RF power was supplied to a turn antenna in the discharge section in the plasma chamber to generate a plasma inside the discharge window plate or discharge tube made of alumina or quartz. The wafer electrode was supplied with an RF power to accelerate ions in the plasma.
[0131] The wafer used has a silicon nitride film, a silicon film, a silicon oxide film and a photoresist formed in layers over a substrate.
[0132] When the etching rate of SiC was varied from 50 nm/min to 600 nm/min, the etching rate of the oxide film changed from 400 nm/min to 1600 nm/min and the etching rate of the resist film changed from 500 nm/min to 60 nm/min. The etching rate of the silicon nitride was 40-200 nm/min. Adding chloroform improved the selectivity by more than 20%, demonstrating the significant effect that a small amount of gas additive has on the etching performance and also the effectiveness of this invention. That is, by adding a small amount of carbon-containing gas, the etching rate of the resist can be adjusted, thereby increasing the selectivity. The effective range of the carbon-containing gas flow is 1% or less, preferably about 0.4-0.8%, of the total gas flow. That is, this embodiment can produce the above-mentioned effect if 5 sccm or less of the carbon-containing gas is introduced. The etching rate of the silicon film also changed in a similar way to that of the resist. The silicon nitride film was able to be etched very effectively and selectively.
[0133] Under this condition, the temperatures of the upper and lower electrodes and the wall electrode were varied from −60° C. to 250° C. to investigate the effect the temperature has on the etching performance. The investigation has found that, for the silicon oxide film to be etched selectively with respect to the silicon nitride film, the temperature of the wafer electrode may be about 10° C. lower when the carbon-containing gas is introduced than when it is not. A particularly preferred temperature was −10° C. or higher. The temperature of the upper electrode was one of the factors that determine the etching rate of the electrode surface. Hence, the temperature must be kept as constant as practically possible. Further, it was also found that the higher the temperature, the faster the etching rate and that setting the temperature low degrades the efficiency of the transformation reaction by the upper electrode of the reactive species. Thus, in the above temperature ranges, a desired etching rate can be set. As for the wall electrode, reaction products easily deposit on its surface at low temperatures. As in the case of the upper electrode, the temperature was found to constitute one of the factors that determine the etching rate on the electrode surface. Hence, the temperature needs to be kept as constant as practically possible. It was also found that the higher the temperature, the faster the etching rate and that setting the temperature low reduces the efficiency of the transformation reaction by the upper electrode of the reactive species. Thus, in the above temperature ranges, a desired etching rate was able to be set. This embodiment has thus demonstrated that when ClF 3 is used as a gas not containing carbon and H, F or Cl is used in addition to C as a carbon-containing gas, this invention can etch a silicon oxide film at a high etching rate with a high selectivity by including carbon in a solid surface contacting the plasma, by causing this solid to perform an etching reaction, and by controlling the temperature of the solid in a range of −60° C. to 240° C. This has verified the effectiveness of this invention.
[0134] (Embodiment 20)
[0135] Effective use of gas according to this invention will be explained for an example of etching a silicon oxide film in an induced coupling type RF discharge plasma etching apparatus. This embodiment uses ClF 3 as an etching gas and also an oxygen-containing gas, such as O 2 . In addition to these gases, a small amount of carbon-containing gas used in the Embodiment 19 may also be used. The inert gas used is a mixture of Ne, Ar, Kr or Xe. As a fluorine-containing gas OF 6 , NF 3 and ClF 3 may be used. A key point of this embodiment is that O 2 , CO, CO 2 , NO, NO 2 and H 2 O can he used.
[0136] It was observed that the use of a pyrolytic graphite for the wall electrode has contributed to an improved etching performance. It is, however, very difficult to perform selective etching on the silicon oxide film with respect to the silicon nitride film. This embodiment is intended to compensate for this drawback. The carbon-containing gas may be a gas containing H, F or Cl in addition to C.
[0137] The total gas flow was set at 20-500 sccm and ClF 3 was varied in the range of 1-10 sccm. A small amount of O 2 gas, not exceeding the amount of ClF 3 , was added. The discharge pressure was set at 0.5-5 Pa. RF power was supplied to a turn antenna in the discharge section in the plasma chamber to generate a plasma inside the discharge window plate or discharge tube made of alumina or quartz. The wafer electrode was supplied with RF power to accelerate ions in the plasma. Unlike the preceding embodiments, this embodiment produces carbon oxide gases such as CO, CO 2 , C 3 O 2 , and C 5 O 2 as a result of the etching reaction. These gases are extremely desirable for selective etching of a silicon oxide film with respect to a silicon nitride film, further enhancing the effectiveness of this invention.
[0138] The wafer used has a silicon nitride film, a silicon film, a silicon oxide film and a photoresist formed in layers over the substrate.
[0139] With the etching rate of the graphite of the upper electrode varied from 50 nm/min to 600 nm/min, the etching rate of the oxide film changed from 400 nm/min to 1600 nm/min and the etching rate of the resist film changed from 500 nm/min to 60 nm/min. The etching rate of the silicon nitride film was 30-150 nm/min. The selectivity improved more than 15% by the addition of oxygen, verifying that a small amount of gas additives has a significant effect on the etching performance. This embodiment further demonstrated the effectiveness of this invention. In other words, the addition of a small amount of oxygen-containing gas can adjust the etching rate of the resist and increase the selectivity. The etching rate of the silicon film also changed in the same manner as that of the resist. The silicon nitride film was able to be etched highly effectively and with high selectivity.
[0140] While the above embodiment uses pyrolytic graphite and SiC as the carbon-containing materials, other carbon-containing materials may be used, such as organic resin film, SiCN, diamond plate, Al 4 C 3 and boron carbide. Similar effects were obtained when these carbides were formed on the surface of the chamber.
[0141] Although the above embodiment uses Ar as a gas not containing carbon, other inert gases may be used, such as Ne, Kr and Xe.
[0142] The above embodiment uses SF 6 and ClF 3 as a fluorine-containing gas. These gases, though they have a high greenhouse effect coefficient and a long lifetime and are thus not desirable, have an advantage of requiring only a very small amount of consumption. Other gases that may be used include F 2 , HF, XeF 2 , PF 3 , BF 3 , NF 3 , SiF 4 , and halides such as fluorine chloride ClF, fluorine bromides BrF, BrF 3 and BF 5 and fluorine iodide IF 5 .
[0143] Effect of the Invention
[0144] Advantages of this invention may be summarized as follows.
[0145] Without using PFC and HFC gases, it is possible to generate reactive species necessary for etching and perform etching of a silicon oxide film while maintaining the same level of selectivity as offered by the conventional etching equipment.
[0146] In the silicon oxide film etching process, fluorine in the plasma is converted into CF 2 , transforming reactive species in the plasma into one desired species. The use of this plasma with a single reactive species enhances selectivity, whereby etching proceeds on the silicon oxide film with reaction products evaporated, whereas, on the silicon nitride film, etching is stopped by residual matters. This eliminates a problem of shoulder erosion in the nitride film due to deteriorated selectivity and of increased process margin.
[0147] Further, the density of a reactive species can be maintained nearly constant between different materials during metal etching, minimizing localized abnormal deformations or notching.
[0148] Because deposits on the plasma boundary surface can be removed, variations in etching characteristic can be minimized, assuring high throughput and a satisfactory stable etching characteristic. | Because of environmental pollution prevention laws, PFC (perfluorocarbon) and HFC (hydrofluorocarbon), both etching gases for silicon oxide and silicon nitride films, are expected to be subjected to limited use or become difficult to obtain in the future. An etching gas containing fluorine atoms is introduced into a plasma chamber. In a region where plasma etching takes place, the fluorine-containing gas plasma is made to react with solid-state carbon in order to produce molecular chemical species such as CF 4 , CF 2 , CF 3 and C 2 F 4 for etching. This method assures a high etch rate and high selectivity while keeping a process window wide. | 80,111 |
BACKGROUND OF THE INVENTION
(1) Field of the Invention
This invention relates to a metal-containing curable resin composition which is widely employed as adhesives, casting resins, paints and the like. More particularly, it relates to a metal-containing self-curing epoxy resin composition which comprises a metal-containing compound represented by the general formula;
HO--R.sub.1 --OOC--R--COOMOOC--R--COO--R.sub.1 --OH [1]
(wherein, R 1 is the residue of a glycol, R is a residue of dibasic acid anhydride and M is a divalent metal), a dibasic acid anhydride and an epoxy resin.
(2) Description of the Prior Art
Epoxy resins have been widely employed as adhesives, casting resins, paints and the like, but addition of curing agents is required to effect curing of conventional epoxy resins. The addition of such curing agent to epoxy resins is troublesome, in that (a) the amount of curing agent to be added must be determined by measuring epoxy equivalent of the epoxy resin to be cured, (b) some curing agents are toxic. On the other hand, according to the present invention, a metal-containing compound represented by the general formula [1] described above participates in curing reaction as a component of the present composition to form a cured product as well as catalyzes the curing reaction without addition of the above-mentioned curing agent.
Heretofore, a method of introducing ionic bonds into polymer chains has been widely carried out in the art. The method comprises preparing a polymer containing carboxyl groups at the ends or sides of the polymer chain according to a conventional process and then neutralizing the carboxyl groups contained in the polymer with a metallic ion-forming agent. This method, however, has difficulty in that the neutralization reaction does not sufficiently proceed and the unreacted metallic ion-forming agent must be removed. Presence of the unreacted metallic ion-forming agent may result in opaqueness of the resulting polymer. Further, the neutralization reaction produces by-products such as water. Furthermore, according to the method, it is very difficult to introduce ionic bonds effectively into a three-dimensional polymer.
An object of the invention is to provide a novel curable resin composition which can be appropriately employed as adhesives, casting resins, paints and the like.
Other objects of the invention will be made clear in the following description.
Incidentally, the term "metal-containing" used herein means that the metal is contained via metal-ionic bond (ionic bond of metal) in the compound represented by the general formula [1] which is a main component of the present curable composition as well as in the resulting cured resin product.
SUMMARY OF THE INVENTION
In accordance with the present invention, there is provided a metal-containing curable resin composition which comprises an epoxy resin incorporated with (i) a metal-containing compound having metal-ionic bonds in its molecule represented by the following general formula [1];
HO--R.sub.1 --OOC--R--COOMOOC--R--COO--R.sub.1 --OH
wherein, R 1 stands for the residue of a glycol, R stands for the residue of a dibasic acid anhydride in which the acid anhydride group was removed anhydride from the anhydride, and M is a divalent metal, and (ii) a dibasic acid anhydride.
The marked effects attained by the curable resin composition of the present invention are characterized in that (a) the composition is self-curing and its curing reaction proceeds rapidly at a temperature of preferably from about 60° to about 150° C. without adding a conventional esterification catalyst; and (b) the resulting cured composition exhibits very strong bonding strength, especially when the composition is employed as adhesives.
DETAILED DESCRIPTION OF THE INVENTION
The present self-curing resin compositions comprising a metal-containing compound represented by the general formula [1] mentioned above, a dibasic acid anhydride and an epoxy resin are suitably employed as adhesives, casting resins, paints and the like.
The present curable resin composition employing the metal-containing composition as a main component can be cured in one step without addition of a catalyst to a metal-containing cured resin product into which metal-ionic bonds were introduced. Thus, a metal-containing cured resin having excellent properties which contains metal-ionic bonds in its molecule is obtained by curing the present resin composition which comprises a metal-containing resin compound represented by the general formula [1], a dibasic acid anhydride and an epoxy resin.
The metal-containing compound represented by the general formula [1] to be employed in the present invention is prepared by subjecting a glycol and a dibasic acid anhydride to mono-esterification reaction to obtain the corresponding mono-ester, and then neutralizing the resulting mono-ester with a divalent ion-forming agent such as a divalent metal oxide or hydroxide. The type of the glycol to be used in the above-mentioned reaction is not especially restricted. But, a glycol which is readily and economically available is preferred, such as ethylene glycol, propylene glycol, diethylene glycol and 1,4-butane diol. Typical examples of the above-mentioned dibasic acid anhydrides include phthalic anhydride, maleic anhydride, hexahydrophthalic anhydride, tetrachloro-phthalic anhydride, succinic anhydride and the like. The preferred anhydrides are those which are readily and economically available, such as phthalic anhydride. Examples of the divalent metals include the metals of alkali earth group and zinc group of the Periodic Table. Magnesium, calcium, zinc and the like are preferred in view of environmental pollution, etc.
The metal-containing compounds represented by the above-mentioned formula [1] are exemplified by divalent metal salts of mono(hydroxyethyl) phthalate, mono(hydroxypropyl) phthalate, or mono(hydroxybutyl) phthalate when R is O-phenylene group (residue of phthalic anhydride), and R 1 is ethylene, propylene or butylene group.
The dibasic acid anhydrides to be employed as a main component in the present curable resin composition are substantially the same as the above-exemplified anhydrides which are to be used in the reaction with glycols. The anhydride can be used alone, or two or more anhydrides can be concomitantly used as the main component in the present composition.
The epoxy resins to be employed in the present invention are those which can be used in conventional cured epoxy resins. The epoxy resin can be an epoxy resin having on the average two or more epoxy groups in the molecule, or mixtures of two or more of these epoxy resins, or mixtures of the epoxy resin with a monoepoxy compound.
Examples of the epoxy resin having two epoxy groups in the molecule include a bisphenol A-type epoxy resin, a glycidyl phthalate-type epoxy resin, a glycidyl hexahydrophthalate-type epoxy resin, a polyalkylene ether-type epoxy resin, an aliphatic diepoxy compound and the like. Examples of the epoxy resin having three or more epoxy groups in the molecule include tris-2,3-epoxypropyl-isocyanurate, a glycerin triether-type epoxy resin, a novolak-type epoxy resin and the like. The monoepoxy compounds include, for example, phenyl glycidyl ether, styrene oxide and the like. Especially, the cured epoxy resin products having excellent properties are obtained by employing a bisphenol A-type epoxy resin, a glycidyl phthalate-type epoxy resin and/or a glycidyl hexahydrophthalate-type epoxy resin.
As mentioned above, the novel metal-containing curable epoxy resin compositions of the present invention are obtained by incorporating the metal-containing compounds and the dibasic acid anhydrides into the epoxy resins. The metal-containing compound represented by the general formula [1] and the dibasic acid anhydride can be added to the epoxy resin in one step or separately. The amounts of each component contained in the metal-containing curable resin composition are not especially restricted, and the components can be employed to one another in optional proportions so far as the resulting composition can be cured to a cured resin products. By changing the proportions of the components in the curable resin composition, the corresponding cured resins having varieties of the amounts of ionic bonds, terminal groups, and degrees of crosslinking are obtained.
With respect to the ratio of the metal-containing compound represented by the general formula [1] to the dibasic acid anhydride, the degree of crosslinking in the resulting cured resin lowers as the ratio of the compound represented by the general formula [1] to the anhydride is decreased; and the degree of crosslinking rises as the ratio of the components is increased. On the other hand, the proportion of terminal hydroxyl groups in the resulting cured resin rises as the ratio of the compound represented by the general formula [1] and the dibasic acid anhydride to the epoxy resin is decreased; and the proportion of terminal carboxyl groups rises when the ratio is too much increased. The cured resins having very excellent properties are generally obtained when the molar ratio of the compound represented by the general formula [1] to the dibasic acid anhydride is in the range of from about 1:6 to about 1:40 and when the number of the acid anhydride groups is substantially the same as the number of the epoxy groups contained in the epoxy resin. In general, it is preferred to employ the components in the above-mentioned range of proportions in the practice of the present invention.
The metal-containing curable epoxy resin compositions in which the compounds having ionic bonds are contained according to the present invention possess excellent curing properties, and provide through curing reaction metal-containing cured epoxy resins having very excellent properties. The curing reaction of the present resin composition proceeds rapidly generally at a temperature of from about 40° to about 200° C. and preferably from about 60° to about 150° C., although some compositions according to the present invention are gradually cured even at room temperature.
The curing reaction is considered to proceed by way of the following predominant reactions. The addition reaction (esterification reaction) of the metal-containing compound represented by the formula [1] with the dibasic acid anhydride takes place to form ester linkages and terminal carboxyl groups. Further, addition reaction (esterification reaction) takes place between the resulting terminal carboxyl groups and unreacted epoxy groups and subsequently between the resulting reaction products and acid anhydride groups, which is considered to be alternately repeated to attain polyesterification. Thus, it is considered that the resulting cured resin necessarily has three-dimensional structure and metal-carboxylate linkages (ionic bonds) in its molecule.
In the curing reaction of the present resin composition, a conventional esterification catalyst may be used if so desired. It has been found, however, that the metal-carboxylate group present in the compound represented by the general formula [1], which is a main component in the curable resin composition, exhibits excellent catalytic action in the curing reaction. An important feature of the present invention resides in that the curing reaction proceeds smoothly without using a curing catalyst. Incidentally, when the number of epoxy groups is present in an excess to that of acid anhydride groups in the curable resin composition, polymerization of the epoxy groups also is considered to take place owing to the catalytic action of the metal-carboxylate group.
The metal-containing curable resin composition may be incorporated with suitable amounts of fillers, pigments, plasticizers, diluents and the like, if so desired.
The curable epoxy resin composition of the present invention provides a wide range of industrial application. For example, the resin composition is advantageously employed as casting resins, since the curing reaction of the resin composition proceeds rapidly at a temperature of preferably from 60° to 150° C. without especially adding a conventional esterification catalyst to produce a hard tough cured resin product which is insoluble and non-fusible. The resin composition is appropriately employed for bonding a steel plate to a steel plate and a glass plate to a glass plate and the like, since the resulting cured resin exhibits very excellent adhesive strength under tensile shear when the resin composition is used as adhesives.
The present invention is further illustrated by way of the following examples which are included merely to aid in the understanding of the present invention, and variations and modifications may be made without departing from the spirit and scope of the invention. Incidentally, "part" of each component which represents the proportion of formulation in the examples is based on weight.
Preparation of Ca Salt of Mono Hydroxypropyl Phthalate
Into a 1-liter four necked flask equipped with a stirrer, a thermometer, and a condenser, 228.3 g (3 moles) of propylene glycol and 2.29 g of N,N-dimethylbenzylamine as a catalyst were placed, and then 222.2 g (1.5 moles) of phthalic anhydride was added slowly with stirring at 70° C. over 2 hours.
After the addition, the mixture was stirred for an additional 1-2 hours at same temperature. The acid value after the reaction was 187 (calcd. 186).
When the mixture thus obtained was cooled by ice bath, white crystals separated. The crystals were collected by filtration, dried, and recrystallised with ethylacetate-ethylether; white powder of mono (β-hydroxy-n-propyl) phthalate was obtained. The product thus obtained had m.p. of 100°-103° C., and showed the following analytical data.
______________________________________ OH ester acidC % H % value value value______________________________________Found 58.90 5.40 253 249 250Calcd. 58.92 5.40 250 250 250______________________________________
To a reaction vessel, were placed 44.8 g of mono (β-hydroxy-n-propyl) phthalate obtained above, 50 g of acetone and 0.8 g of H 2 O and the mixture was cooled. Then, to the mixture was gradually added 5.3 g of CaO at room temperature over 20-30 minutes.
Stirring was continued for 20 minutes at same temperature after the above addition, further reaction was continued at 60° C. for 3 hours.
The product separated as white precipitate. After the reaction, 50 g of acetone was added to the mixture; and product was filtered as white precipitate, washed with acetone several times, and dried.
The product thus obtained had m.p. of 178°-181° C., and showed following analytical data.
______________________________________ OH esterC % H % Ca % value value______________________________________Found 54.20 4.55 8.22 228 231Calcd. 54.31 5.56 8.24 231 231______________________________________
This product was identified by the above results and IR spectra as following: ##STR1##
Preparation of Mg Salt of Mono Hydroxypropyl Phthalate
To a reaction vessel, were placed 44.8 g of mono(β-hydroxy-n-propyl) phthalate and 50 g of acetone, and was cooled.
Then, to the mixture was gradually added 4.0 g of MgO at room temperature over 20-30 min.
After the addition, stirring was continued for 20 min. at same temperature; next, further reaction was continued at 60° C. for 3 hr.
After the reaction, the mixture was filtered; and the solvent and produced water were distilled away from the filtrate, to obtain quantitatively slight yellow glassy Mg salt of mono(β-hydroxy-n-propyl) phthalate. The product thus obtained had 237 (calcd. 238) of OH value, 240 (calcd. 238) of ester value and 4.77 (calcd. 5.16%) of Mg content.
EXAMPLE 1
A metal-containing curable resin composition was prepared by incorporating 9.4 parts of Mg salt of mono (hydropropyl) phthalate and 29.6 parts of phthalic anhydride into 31.2 parts of diglycidyl ester of hexahydrophthalic acid (epoxy equivalent 148). Gelation of the resulting composition takes place at 120° C. in about 5 minutes. The resin composition was subjected to curing at 80° C. for 1 hour, at 120° C. for 1 hour, and then at 150° C. for 2 hours, to obtain a hard tough metal-containing cured product which is insoluble and non-fusible.
EXAMPLE 2
A metal-containing curable resin composition was prepared by incorporating 9.7 parts of Ca salt of mono (hydroxypropyl) phthalate and 30.8 parts of hexahydrophthalic anhydride into 35.3 parts of diglycidyl ether of bisphenol A (epoxy equivalent 179). The resulting composition was subjected to curing at 80° C. for 1 hour, at 100° C. for 1 hour, at 120° C. for 1 hour and then at 150° C. for 1 hour, to obtain a hard tough metal-containing cured product which is insoluble and non-fusible.
EXAMPLE 3
A metal-containing curable resin composition was prepared by incorporating 19.1 parts of Mg salt of mono (hydroxyethoxyethyl) phthalate and 29.6 parts of phthalic anhydride into 31.2 parts of diglycidyl ester of hexahydrophthalic acid (epoxy equivalent 148). Gelation of the resulting composition takes place at 120° C. in about 5 minutes. This composition was subjected to curing at 80° C. for 1 hour, at 100° C. for 1 hour, at 120° C. for 2 hours, and then at 150° C. for 1 hour, to obtain a hard tough metal-containing cured product which is insoluble and non-fusible.
EXAMPLE 4
A metal-containing curable resin composition was prepared by incorporating 11.7 parts of Ca salt of mono (hydrohexyl) hexahydrophthalate and 19.6 parts of maleic anhydride into 31.2 parts of diglycidyl ester of hexahydrophthalic acid (epoxy equivalent 148). Gelation of the resulting composition takes place at 120° C. in about 8 minutes. This resin composition was subjected to curing at 80° C. for 1.5 hours, at 120° C. for 2 hours and then at 150° C. for 1 hour, to obtain a hard tough metal-containing cured product which is insoluble and non-fusible.
EXAMPLE 5
A metal-containing curable resin composition was prepared by incorporating 9.7 parts of Ca salt of mono (hydroxypropyl) phthalate and 39.2 parts of maleic anhydride into 62.3 parts of diglycidyl ester of hexahydrophthalic acid (epoxy equivalent 148). Gelation of the resulting composition takes place at 120° C. within 10 minutes. The composition was interposed between two mild steel plates, and subjected to curing at 120° C. for 3 hours and then at 150° C. for 2 hours. The mild steel plates were bonded very strongly to each other. The bonding strength was determined in accordance with ASTM-D 1002-64 to show an adhesive strength under tensile shear of 197 Kg/cm 2 .
EXAMPLE 6
A metal-containing curable resin composition was prepared by incorporating 10 parts of Mg salt of mono (hydroxybutyl) phthalate and 39.2 parts of maleic anhydride into 62.3 parts of diglycidyl ester of hexahydrophthalic acid (epoxy equivalent 148). Gelation of the resulting composition takes place at 120° C. within 10 minutes. The bonding strength between mild steel plates was determined in the same way as in Example 5 after curing at 120° C. for 3 hours and then at 150° C. for 2 hours, to obtain an adhesive strength under tensile shear of 191 Kg/cm 2 .
EXAMPLE 7
A metal-containing curable resin composition was prepared by incorporating 9.7 parts of Ca salt of mono (hydroxypropyl) phthalate and 19.6 parts of maleic anhydride into 35.3 parts of diglycidyl ether of bisphenol A (epoxy equivalent 176). Gelation of the resulting composition takes place at 120° C. within 20 minutes. The bonding strength between mild steel plates was determined in the same way as in Example 5 after curing at 120° C. for 3 hours and then at 150° C. for 2 hours to obtain an adhesive strength under tensile shear of 219 Kg/cm 2 .
EXAMPLE 8
A metal-containing curable resin composition was prepared by incorporating 9.6 parts of Mg salt of mono (hydroxyethoxyethyl) phthalate and 19.6 parts of maleic anhydride into 35.3 parts of diglycidyl ether of bisphenol A (epoxy equivalent 176). With the resulting composition, the bonding strength between mild steel plates was determined in the same way as in Example 5 after curing at 120° C. for 3 hours and then at 150° C. for 2 hours to obtain an adhesive strength under tensile shear of 208 Kg/cm 2 .
EXAMPLE 9
A metal-containing curable resin composition was prepared by incorporating 9.6 parts of Mg salt of mono (hydroxyethoxyethyl) phthalate and 30.8 parts of hexahydrophthalic anhydride into 35.3 parts of diglycidyl ether of bisphenol A (epoxy equivalent 176). The resulting composition was subjected to curing at 80° C. for 1.5 hours at 120° C. for 2 hours and then at 150° C. for 1 hour to obtain a hard tough metal-containing cured product which is insoluble and non-fusible. With the curable resin composition, the bonding strength between mild steel plates was determined in the same way as in Example 5, after curing at 120° C. for 3 hours and then at 150° C. for 2 hours to obtain an adhesive strength under tensile shear of 148 Kg/cm 2 .
EXAMPLE 10
A metal-containing curable resin composition was prepared by incorporating 5.0 parts of Mg salt of mono (hydroxybutyl) phthalate and 30.8 parts of hexahydrophthalic anhydride into 31.2 parts of diglycidyl ester of hexahydrophthalic acid (epoxy equivalent 148). Gelation of the resulting composition takes place at 120° C. within 20 minutes. The curable composition was interposed between two glass plates and subjected to curing at 120° C. for 2 hours and then at 150° C. for 1 hour. The glass plates were bonded very strongly to each other.
REFERENCE EXAMPLE 1
A curable resin composition was prepared by incorporating 5.3 parts of diethylene glycol (which was employed instead of a metal-containing dihydroxy compound represented by the general formula [1]) and 74.1 parts of phthalic anhydride into 88.1 parts of diglycidyl ether of bisphenol A (epoxy equivalent 179). Gelation time of the resulting composition was 5 hours at 120° C. The curing reaction did not proceed satisfactorily even after gelation, and only a brittle solid product was obtained even after curing at 120° C. for 10 hours.
From the results mentioned above, it is clear that metal-carboxylate groups contained in the present curable resin composition catalyzes the curing reaction of the metal-containing resin composition of the present invention. It should also be noted that the metal-containing curable resin compositions of the present invention exhibit very excellent bonding strength. | Metal-containing self-curing epoxy resin compositions are provided, which can advantageously be employed as adhesives, casting resins, paints and the like. The compositions comprise (i) a metal-containing compound represented by the general formula;
HO--R.sub.1 --OOC--R--COOMOOC--R--COO--R.sub.1 --OH
(ii) a dibasic acid anhydride, and (iii) an epoxy resin. | 23,180 |
BACKGROUND OF THE INVENTION
[0001] This invention relates to an improved inner tie rod tool useful for removal and replacement of inner tie rods, particularly of the type which include a cylindrical inner end.
[0002] U.S. Pat. No. 5,287,776 for an Inner Tie Rod Tool, incorporated herewith by reference, discloses a tool to facilitate the removal and replacement of inner tie rods for the steering control system of a vehicle. That is, many vehicles are equipped with a rack and pinion steering control system which is connected by means of tie rods to the running gear for the front wheels of the vehicle. The steering wheel of the vehicle may thus be turned or rotated to effect rotation of a pinion, thereby driving a rack and consequently moving the tie rods to effect movement of the front wheels of the vehicle and thereby control the direction of vehicle movement.
[0003] Servicing and repair of the steering control system often requires removal and replacement of the tie rods, including the inner tie rods which effectively connect the rack or other steering mechanism to the front wheels of the vehicle. The tie rods typically include a rod with a collar at one end. The collar may include an internal threaded connection for attachment of the tie rod to the steering system and external flats for engagement by a wrench type tool to rotate the tie rod for removal or installation. U.S. Pat. No. 5,287,776 describes, in general, various types of tie rod constructions of this type and a tool for effecting their removal.
[0004] With some vehicle steering systems, the utilization of a hexagonal nut or flats associated with the collar of the inner tie rod are omitted and in their place the tie rod is provided with a cylindrical collar. Removal of the inner tie rod using a tool of the type disclosed in U.S. Pat. No. 5,287,776, thus becomes difficult and perhaps impractical.
[0005] Various solutions for removal of such alternative tie rod constructions have been proposed. For example, KD Tools makes an inner tie rod tool, Model 3312, designed for removal and installation of inner tie rods on many General Motors and some Chrysler products. This tool is designed to be used on tie rods having a complete hexagonal or just two flats on the inner end. The tool includes an annular end collar which is generally cylindrical and a single set screw. Northstar Manufacturing Company makes a similar product, part number 88-7301 identified as a universal inner tie rod socket. It utilizes a collar which engages the end of a tie rod by a pair of set screws.
[0006] Thus, the variety of tools available for the removal and replacement of inner tie rods is significant. Nonetheless, such tools are not necessarily satisfactory for removal of tie rods having round or cylindrical ends because such tie rods do not have any flat surfaces that can be engaged to facilitate their removal and replacement by wrench type devices. For example, the KD Tool described utilizes a large annular collar and single set screw in order to be compatible with numerous types of inner tie rods. Because of the size of the annular collar, the tool may be off center during use, thereby resulting in difficulty when seeking to effect tie rod removal inasmuch as the tool is not concentric with respect to the tie rod that is to be removed. This failure in alignment may cause parts to bind, for example.
[0007] Thus, there has developed the need to develop an inner tie rod tool especially useful for removal of tie rods wherein the tie rods do not necessarily include a flat end wrench engageable surface and wherein the tie rods typically would include a cylindrical or round end surface.
SUMMARY OF THE INVENTION
[0008] Briefly, the present invention comprises a tool for removal and replacement of inner tie rods which have a generally cylindrical end. The tool includes an elongate, hollow, cylindrical tube having a generally uniform internal diameter. A butt plate with a socket drive opening is attached at a first end of the tube for driving by means of a socket wrench. An annular collar is attached to the opposite end of the tube. The annular collar includes at least three radial threaded passages, each receiving a single headless set screw. The passages are arrayed at approximately 45° from each other. The location or array of the fastening passages and fasteners in combination with the annular collar enable placement of the tool upon tie rods having cylindrical outer engagement surfaces and enables generally concentric arrangement of the tool on the tie rod and facilitates ease of removal of such inner tie rods.
[0009] Thus, it is an object of the invention to provide an improved inner tie rod removal tool;
[0010] It is a further object of the invention to provide a tool for removal of inner tie rods having a generally cylindrical inner end;
[0011] Another object of the invention is to provide inexpensive yet highly efficient, inexpensive and easy to use inner tie rod removal tool.
[0012] These and other objects, advantages and features of the invention will be set forth in the detailed description which follows.
BRIEF DESCRIPTION OF THE DRAWING
[0013] In the detailed description which follows, reference will be made to the drawing comprised of the following figures:
[0014] FIG. 1 is an isometric view of an embodiment of the inner tie rod tool of the invention;
[0015] FIG. 2 is an exploded side plan view of the inner tie rod tool of FIG. 1 ;
[0016] FIG. 3 is an end view of the collar of the tie rod tool of FIG. 1 ;
[0017] FIG. 4 is a side view of the collar of FIG. 3 ;
[0018] FIG. 5 is an end view of the tool of FIG. 1 as viewed from the butt plate end;
[0019] FIG. 6 is a side cross sectional view of the tool of FIG. 1 ;
[0020] FIG. 7 is an isometric view of the tool of FIG. 1 placed over an inner tie rod having a cylindrical inner end; and
[0021] FIG. 8 is an isometric view of the inner tie rod tool of FIG. 7 attached to the inner end of a tie rod.
DESCRIPTION OF THE PREFERRED EMBODIMENT
[0022] Referring to the Figures, the tool of the present invention is comprised of three basic parts that are assembled or welded together for use in combination with a set of three headless, set screws. Thus, the tool includes a generally cylindrical tube 10 having a longitudinal axis 12 , a length in the axial direction in a range of twelve to twenty five inches and a cylindrical diameter in the range of one and one half to two inches. A typical axial dimension of such a tube is approximately thirteen inches. A butt plate 14 is welded at one end of the tube 10 . The butt plate 14 includes a polygonal socket opening 16 aligned axially on the tube 10 .
[0023] The opposite end of the tube 10 includes a cylindrical annular collar 18 welded thereto. The annular collar 18 includes three set screw threaded passages 20 , 22 and 24 , arranged radially and extending through the collar 18 . The collar 18 thus includes a cylindrical passage 26 with the set screw passages 20 , 22 and 24 extending from the outside face of the collar 18 to the interior passage 26 . Threaded set screws such as set screw 28 , which are headless and which include a polygonal recess 30 for receipt of an Allen wrench, for example, are threadably inserted into the separate threaded passageways 20 , 22 and 24 .
[0024] In the preferred embodiment, the internal diameter of the passageway 26 of the collar 18 is matched closely to the outer cylindrical dimension of the cylindrical end 32 of the tie rod 33 which is to be engaged, for example, as depicted in FIG. 7 . The collar 18 , tube 10 and butt plate 14 are thus all aligned co-axially and the tool can therefore be placed over the inner tie rod 33 of a vehicle with the collar 18 positioned over the cylindrical end 32 of the tie rod 33 so that the set screws, such as set screw 28 , can be tightened against the outer surface of the cylindrical end 32 of inner tie rod 33 .
[0025] As depicted in FIG. 4 , the collar 18 includes a through passage 26 which is comprised of a first inner end counterbore 27 connected to an opposite end counterbore 29 to define the throughbore or passage 26 . The inner end counterbore 27 diameter is closely matched to the outer diameter of the tube 10 and is greater than the diameter of the inner end counterbore 29 . Thus, there is a transition or junction or ridge 31 connecting the counterbores 27 and 29 . The ridge 31 limits the distance of insertion of the tube 10 into the collar 18 and precludes the tube 10 from being positioned inwardly in a manner that would interfere with the set screw passages 20 , 22 and 24 . Thus, the set screw passages 20 , 22 and 24 each are directed radially into a portion of the inside counter bore 29 .
[0026] The diameter of the inner counterbore 29 is closely matched to the outside diameter of the cylindrical end 32 of the tie rod 33 . It exceeds the outside diameter thereof, but is closely matched so that it can slide thereon, enabling the set screws 28 to be tightened against the outer end of the tie rod 33 in a manner whereby the tool remains generally co-axial with the tie rod.
[0027] As another feature of the invention, the set screws 28 are arrayed at approximately 45° from one another within a cumulative range of about 90° maximum spacing of the screws 28 . In this manner, the three set screws in combination, provide a tight grip on the tie rod 33 and simultaneously are positioned in a manner which will enable a mechanic to easily access those screws 28 . Thus, the set screws 28 are not opposite of each other. Rather, they are within an approximate 90° section of the cylindrical collar 18 .
[0028] These dimensional features and characteristics enable a mechanic or tradesman adequate benefit from the use of the tool in confined spaces where inner tie rods are located in motor vehicles. Thus, in the preferred embodiment, the passages or threaded openings for the set screws 28 are arranged at spaced angular relationship of 45°±5°, preferably. Also, the set screws 28 are headless in order to enable the screws 28 to be threaded into the appropriate passageways without limiting their radial inward movement and without projecting unnecessarily outwardly from the collar 18 and so as to enable an Allen wrench 90 access to the set screws. FIG. 8 depicts a typical Allen wrench 90 that would be used with the set screws that are contemplated with respect to the tool.
[0029] Variations of the tool are considered to be within the scope of the invention, including the dimensional variations associated with the component parts, the shape of the polygonal opening in the butt plate and other similar variations. The invention is therefore limited only by the following claims and equivalents thereof. | A tool for removal of inner tie rods having a generally cylindrical end includes a hollow tube with a butt plate at one end and an annular collar at the opposite end for attachment to the tie rod by means of three set screws arranged within an angular range of approximately 90°, wherein the tool collar is designed to provide for ease of assembly of the tool by joining the tube to the annular collar. | 11,404 |
CROSS REFERENCE TO RELATED APPLICATIONS
This application claims benefit of priority from U.S. Provisional Patent Application No. 60/497,803, filed Aug. 26, 2003, and entitled “LASER SCANNING METHOD FOR TIME DEPENDENT MEASUREMENT OF FLUORESCENCE,” and from U.S. Provisional Patent Application No. 60/497,764, also filed Aug. 26, 2003, and entitled “LASER SCANNING SYSTEM FOR TIME DEPENDENT MEASUREMENT OF FLUORESCENCE,” both of which are hereby incorporated by reference herein.
BACKGROUND
This invention relates to measuring fluorescence and properties derived from fluorescence in materials.
In conventional fluorescence microscopy, a sample, such as a biological specimen is stained with fluorophores before being illuminated by light of a relatively short wavelength. The illumination light, which typically is provided from a laser, excites the fluorophores into a higher energy state where they remain for a short period of time, before returning to their original energy state while emitting fluorescent light of a wavelength longer than the excitation wavelength. In a fluorescence microscope, the emitted fluorescent light is collected by an objective lens of the microscope and is passed through the optical system of the microscope, such that it can be viewed by a user, for example, through the eyepieces of the microscope, or on a display screen of a video system that is connected to the microscope's optical system. In many cases, both the excitation light and the fluorescent light share an optical path through the microscope's optical system, and can be separated as needed, by optical components such as dichroic mirrors that reflect light above the excitation wavelengths while passing the excitation light.
The systems that have found most use in laboratories generally use visible fluorescence of materials and visible light sources. The spatial resolution that can be obtained is determined by the specific optical setup. In some cases, the laboratory experimental setups use pulsed laser light to improve the quality of the fluorescence image. Laboratory arrangements are often used to detect biomolecular reactions and interactions that can be probed by fluorescent methods. Fluorescent dyes are commonly used to examine cells by staining portions of the cells. For more routine imaging analyses, or assays, the excitation light source can illuminate a portion of an object to be examined, such as one microlocation in an array of microlocations.
For reasons of image contrast or signal discrimination, there is often a need to improve the resolution and eliminate background noise in the focal region of the sample that is being studied, as biological samples in particular are fairly transparent and light collection over a too wide depth of focus may obscure the specific details that are being studied of the biological sample. Current solutions to this problem include confocal laser scanning microscopy or wide-field deconvolution technologies, which generate optical “slices” or cross-sections that include only the in-focus information. Another technique is the use of two-photon (2P) excitation produced by an infrared ultra-short, pulsed laser beam. In two-photon systems, the pulsed laser allows the same fluorophores to be excited by photons of twice the wavelength than those used in single photon systems, but the longer wavelength photons are not absorbed by the biological sample, which results in decreased toxicity to living cells and decreased photo bleaching. Furthermore, the infrared wavelength excitation significantly reduces scattering within the tissue as the scattering coefficient is proportional to the inverse fourth power of the excitation wavelength, resulting in penetration deeper into the specimen.
Fluorescent systems of this kind typically work well in laboratory settings. However, in the chemical and biotechnology industry, there is often a need to analyze a large number of samples in a time and cost-efficient manner, and due to the different requirements in these environments, the above configurations are often not suitable or possible to use. Therefore, what is needed is an improved apparatus that can be used to analyze an array of samples or objects in an efficient manner, while having the ability to discriminate against background noise.
SUMMARY
In general, in one aspect, the invention provides methods and apparatus, including computer program products, implementing and using techniques for collecting optical data pertaining to one or more characteristics of a sample. A light beam of a first frequency is scanned onto a sample surface using one or more illumination optical elements. Light of a second frequency is collected from a scan line on the sample surface using one or more collection optical elements. None of the one or more collection optical elements are included among the one or more illumination optical elements. The collected light is transmitted to a detector.
Advantageous embodiments can include one or more of the following features. The first frequency and the second frequency can either be the same or can be different. The light can be collected through a device forming an aperture that limits detection of light from the sample to light associated with a limited vertical depth within the sample, wherein the device is one of the collection optical elements. The light can be collected through a slit aperture that limits detection of light from the sample to light associated with a limited vertical depth within the sample. The light can be collected using a bundle of optical fibers, and light that enters different optical fibers in the bundle of optical fibers can correspond to light at different vertical depths within the sample. Light can be collected from a scan line on the sample with substantially uniform efficiency using the one or more optical elements, for example, a cylindrical lens or a spherical lens. The collected light can be transmitted by directing the collected light from the sample to two or more detectors offset from one another with respect to a path for collecting the light, wherein each of the two or more detectors is positioned to capture light being emitted from a different vertical depth.
The position of the sample can be adjusted with respect to the collection optical elements in response to light intensity detected at the two or more detectors to maintain a substantially uniform vertical depth from position to position on the sample. The detector can be a photomultiplier detector, a photodiode device, a microchannel plate or a charge coupled device. The collected light can be transmitted by directing the collected light from the sample to two or more detectors, and two or more different characteristics of the light from the sample, such as different polarizations, different frequencies of the light, different frequencies of the signal modulation or time-gated regions can be detected. The collection of optical data can be automatically limited to regions of the sample known or detected to hold particular objects to be characterized on the sample. Automatically limiting the collection of optical data can include recording optical data only when an intensity of the collected light is above a certain adjustable threshold value and the optical data meets at least one additional criterion.
Automatically limiting the collection of optical data can include recording optical data only during time periods when the beam from the light source is scanned across an area of interest on the sample.
Scanning a light beam can include scanning a light beam from a light source that is one of: a continuous wave laser, a modulated continuous wave laser, a pulsed laser, a mode-locked high repetition rate laser, and a Q-switched laser. The pulsed laser can be configured to emit pulses in a frequency range of 10-100 Megahertz with a spacing ranging from 100 picoseconds to 10 microseconds. The mode-locked laser can have a repetition rate that is higher than or equal to 10 Megahertz. The Q-switched laser can be pulsed at a frequency in the range of 1 Hertz to 1 Megahertz. Scanning can include scanning a light beam from a light source that is intensity modulated in time with a frequency in the range of 1 Hertz to 2 Gigahertz. Scanning can include scanning a light beam with a scanner that includes one or more polygonal mirrors being rotated by a scanning element to scan the light beam across the sample. Scanning can include scanning a light beam with a scanner that includes one or more mirrors being moved by a galvanometer to scan the light beam across the sample. Scanning can include scanning the light beam with a resonant mirror scanner. The one or more illumination optical elements can include a telecentric lens.
In general, in another aspect, the invention provides methods and apparatus, including computer program products, implementing and using techniques for collecting optical data pertaining to one or more characteristics of a sample. A light beam of a first frequency is scanned onto a sample surface using one or more illumination optical elements. Light of a second frequency is collected from a scan line on the sample surface using one or more collection optical elements, wherein the light is collected through an aperture that limits detection of light from the sample to light associated with a limited vertical depth within the sample. The collected light is transmitted to a detector.
In general, in another aspect, the invention provides methods and apparatus, including computer program products, implementing and using techniques for collecting optical data pertaining to one or more characteristics of a sample. A light beam of a first frequency is scanned onto a sample surface using one or more illumination optical elements. Light is collected from a scan line on the sample surface using one or more collection optical elements. The light is collected through a first device that limits detection of light from the sample to light associated with a first vertical depth within the sample and through a second device that limits detection of light from the sample to light associated with a second, different, vertical depth within the sample. The collected light is transmitted from the first and second devices to one or more detectors.
Advantageous embodiments can include one or more of the following features. The vertical position of the sample can be automatically adjusted with respect to the collection optical elements in response to the relative light intensity collected at the first and second devices in order to maintain a consistent vertical position of the sample with respect to the collection optical elements during scanning. At least one of the first device and the second device can be an optical fiber. The first device can include a first row of optical fibers and the second device can include a second row of optical fibers. The one or more detectors can include comprise one or more microchannel plates arranged to separately detect light from the first and second devices. Two or more different characteristics of the light from the sample can be detected.
The invention can be implemented to include one or more of the following advantages. Improved system and methods for cell and microarray analysis are provided. The use of a scanning light source, in combination with improved geometry of the optical collection system, allows for many samples or objects to be illuminated in a single scan. Furthermore, the samples emit radiation in a specific confined region that is amenable to detection with characteristics that allow a higher degree of spatial resolution compared to several existing systems. The use of separate illumination optical components and separate collection optical components reduces the need to separate the illumination light from the fluorescent light emitted by the illuminated sample, and thus provides a simpler and more robust configuration. Using a cylindrical lens, such as a rod lens as one of the collection optical elements allows collection of an entire scan line with substantially uniform efficiency.
The polarized nature of the light source can be used to examine reactivity, environment, and/or biological activity of either native material or material that has been tagged with a fluorescent marker.
In one embodiment, the pulsed or modulated nature of the system allows for time dependent, rapid determination of chemically or photo-induced bioactivity. The timing of the pulses, and the timing of the responses can be used to extract physical information, such as fluorescence lifetimes and polarization relaxation times, as well as chemical or biological information. With determinable characteristics of time resolution coupled with the scanning feature, time-dependent information can be extracted, which can allow for precise mapping into a spatial domain. The optical detection system confines the detection region in such a way that an entire array can be scanned with a precisely located detection region without requiring a conventional autofocus mechanism with the attendant timing requirements. By using an apparatus that allows for improved light collection efficiency and background discrimination, the scanning source focus stays within the confined detection region. These characteristics of the invention allow for mapping to a microlocation, either at the subcellular level or at a macro position within a microarray for rapid assay analyses.
The output signal is uniquely suited to analyzing the fluorescence of cells and other objects or features within cells or in solution. The output signal and its characteristic behavior can be analyzed to determine structural, chemical, or biological properties of the object. An image of each object can be spectrally and/or temporally decomposed to discriminate object features by using polarization, fluorescence lifetime, or rotational correlation time as required. An object being imaged in accordance with the present invention can be stimulated into fluorescence, either by autofluorescence, or by binding a molecule or probe, that can be stimulated to fluoresce. Morphological and spectral characteristics of cells and sub-cellular features can be determined by measuring fluorescence signals that may also include time dependent spectral information, which can be used to determine time dependent cellular responses or other information about the cells and their components. Similar measurements can be used to determine nuclear fluorescence intensity, cytoplasm fluorescence intensity, background autofluorescence intensity, fluorescent depolarization intensity, and the ratios of any of these values.
The output signal can also be used to monitor the sample's position, and if necessary readjust the position of the sample, such that an optimal amount of light is collected. The output signal can also be used to reduce the data storage requirements, for example, by only storing data when the intensity of the collected fluorescent light is above a certain threshold value.
The details of one or more embodiments of the invention are set forth in the accompanying drawings and the description below. Other features, objects, and advantages of the invention will be apparent from the description and drawings, and from the claims.
DESCRIPTION OF DRAWINGS
FIG. 1 is a schematic view of an apparatus for collecting optical data in accordance with a first embodiment of the present invention.
FIG. 2 is a side elevational view of a first embodiment of a scanner part of the apparatus shown in FIG. 1 .
FIG. 3 is a side elevational view of a second embodiment of a scanner part of the apparatus shown in FIG. 1 .
FIG. 4 is an isometric view of the scanner part shown in FIG. 2 .
FIG. 5A is an isometric view of the scanner part shown in FIG. 3 .
FIG. 5B is an isometric view of an apparatus for collecting optical data in accordance with the invention, with an alternative embodiment of the sample array.
FIG. 6 is a more detailed schematic view of the detection optics and electronics system of an apparatus for collecting optical data in accordance with the invention.
FIG. 7 is a schematic diagram showing a confined field of view for a single detector configuration of the apparatus of FIG. 1 .
FIG. 8 is a schematic diagram showing a more detailed view of the confined field of view for a single detector configuration of FIG. 7 .
FIG. 9 is a schematic diagram showing a confined field of view in a stereo configuration of the apparatus of FIG. 1 with multiple detectors.
FIG. 10 is a schematic diagram showing multiple confined fields of view for an array of detectors of the apparatus of FIG. 1 .
FIG. 11 is a schematic diagram showing output signals as a function of time from three individual detectors in a multi-detector configuration of the apparatus of FIG. 1 .
Like reference symbols in the various drawings indicate like elements.
DETAILED DESCRIPTION
The invention provides an improved apparatus that uses a scanning light source, which can be focused onto an array of samples or objects, with the ability to discriminate against background noise or signal, and makes use of image contrast mechanisms. The apparatus of the invention can be operated in several distinct modes or combinations thereof, depending on what type of sample data needs to be collected. A high-level description of some exemplary modes will first be provided, followed by a more detailed discussion about the parts and geometry of the apparatus.
In a first mode, the output signal from the apparatus contains information such as the number of discrete positions in a cell or other object from which the fluorescent light originates, the relative location of the signal sources, and the color (e.g., wavelength or waveband) of the light emitted at each position of the object. As a result of the geometry of the illumination optics a relatively large illumination region is created that is confined to a region within the sample volume, thereby eliminating the need to have an apparatus which must adjust the focus of the illumination continuously and an in real time over a plurality or an array of samples. The geometry of the collection optics limits the detection region to a focal volume where the sample is contained and from which the data is collected. In one embodiment, multiple collection arrangements are used with the attendant benefits, which will be described below for a setup with two collection lenses.
In a second mode, a plane-polarized laser beam can be propagated through the optical system onto the sample, allowing interrogation of the biological material with polarized light. In this mode the emitted light can be separated into its two orthogonal components and analyzed either sequentially in time with a switchable modulator, such as an electrooptic modulator, to allow for detection of the parallel and perpendicular components, or simultaneously with multiple collection optics with specified perpendicular and parallel polarizing filters. The polarized nature of the excitation source allows for measurement of properties of biological materials where the characteristics of the anisotropy of the emission, or the time dependent nature of the relaxation of the polarization, can give rise to spatial or physical information about the biological moiety.
In a third mode, several laser beams can be propagated through the optical system onto the sample allowing interrogation of the biological material with different wavelengths of light or with the same wavelength at different times. In this mode the lasers can be pulsed simultaneously or with a fixed or variable delay between pulses. Delay between pulses allows for measurement of properties of biological materials in an excited state where the first laser pulse causes excitation of the biological moiety and the second or additional laser pulses interrogate that moiety in an excited state. The laser beams can be co-propagated so that they focus on the same sample area during a scan or, alternatively, they can be propagated at some relative angle so that during a scan the laser beams sequentially move over the same sample area.
In a fourth mode, a single modulated laser beam can be propagated through the optical system onto the sample allowing lifetime measurements of the fluorescence in the biological material.
In a fifth mode, several detectors can be used in conjunction with one collection optics arrangement, which creates multiple confinement regions for analysis, the advantages of which will be described in further detail below.
In a sixth mode, several collection optics arrangements can be used to provide improved confinement over a single collection optic with the unique geometry, or can be used to collect emission from the confined region with several characteristics which are uniquely specified to each collecting optics, the advantages which will be described below.
The apparatus will now be described in further detail, by way of example, with reference to FIGS. 1-11 As shown in FIG. 1 , in one embodiment, an excitation light source ( 1 ) emits excitation light ( 4 ) to be projected onto a sample ( 2 ) that is to be investigated and which rests on a microarray plate. Typically, the excitation light source ( 1 ) is a laser, such as an Ar or Ar/Kr mixed gas laser with excitation lines of 488, 514, 568 and 647 nm. In one embodiment, a continuous wave (CW) laser, such as the Compass 315 laser from Spectraphysics Inc. of Mountain View, Calif., is used as an excitation source. Depending on the laser ( 1 ) and specific optics used in the apparatus, the wavelength of the excitation light can be either within the visible range (i.e., 400-700 nm), or outside the visible range. For excitation wavelengths below 400 nm photochemical reaction rates, such as those due to photobleaching, tend to be substantial. In one embodiment, the output from the laser ( 1 ) can be modulated and give information about the time dependent response of fluorescence signals by using a frequency modulation detection scheme. In another embodiment, a pulsed laser with laser pulses of approximately 12 ps FWHM (Full Width at Half Max) with a spacing of approximately 12 ns is used as the excitation light source ( 1 ). The average power of the laser ( 1 ) at the sample ( 2 ) is typically in the range 1 mW-1 W. The spacing of 12 ns is convenient for fluorescent lifetime detection, but can be varied as necessary, for example, by varying the cavity length of the laser ( 1 ). Common to both embodiments is the use of time-resolved imaging as a contrast producing agent. This has been developed significantly in the field of fluorescence microscopy and has been described in detail by Marriott, Clegg, Arndt-Jovin, and Jovin, 1991, Biophys. J. 60:1374-1387; Verveer, Squire, and Bastiaens, 2000, Biophys. J. 78:2127-2137; Buehler, Dong, So, French, and Gratton, 2000, Biophys. J 79:536-549; Fushimi, Dix, and Verkman, 1991, Biophys. J. 57, 241-254; and Berndt, Gryczynski, and Lakowicz, 1993, U.S. Pat. No. 5,196,709; as well as others not referenced herein. The apparatus and methods used for such studies can generally be classified as one of two types: time-domain or frequency-domain (see Hanley, Subramaniam, Arndt-Jovin, and Jovin, 2001, Cytometry 43:248-260). These apparatus and methods are well-known to those skilled in the art.
After leaving the laser ( 1 ), the excitation light ( 4 ) passes through one or more illumination optical elements to the sample ( 2 ). The illumination optical elements include an electro-optic modulator ( 8 ), a set of beam-shaping lenses ( 3 ), a scanning device ( 5 ), and a multi-element lens ( 9 ). The electro-optic modulator ( 8 ) can be used to polarization modulate the excitation light ( 4 ), if required by the investigation that is to be carried out on the sample ( 2 ). The set of beam-shaping lenses ( 3 ) expands the laser beam in order to match the input aperture of the scanning lens and provide the desired illumination region size at the sample ( 2 ). The scanning device ( 5 ) moves the expanded laser beam back and forth in a line-scan over the sample ( 2 ) after the beam has been focused by the multi-element lens ( 9 ). The scanning device ( 5 ), which will be described in further detail below, can be an electromechanical device coupled to an optic element, such as a mirror driven by a galvanometer. In one embodiment, which will also be described in further detail below, the scanning device ( 5 ) uses a polygon with multiple reflective surfaces to scan the laser beam across the sample ( 2 ). The multi-element lens ( 9 ) is designed to focus the laser light at the operating wavelength of the laser ( 1 ). The multi-element lens ( 9 ) can, for example, be a microscope objective designed for the operating wavelength or a specially designed scanning lens, such as a telecentric lens, that has appropriate parameters to achieve a flat focal plane, for example, with a long working distance and low first and second order aberrations, thus producing the same spot size and shape over a wide range of positions (such as a scan line). The telecentric lens is particularly useful for covering a large field of view.
After passing the multi-element lens ( 9 ), the beam ( 10 ) is focused onto a region of the sample ( 2 ) to be imaged. The focal region is located above, for example, a base of a microarray plate. The sample ( 2 ) can be objects to be interrogated by fluorescence, such as cells attached to the bottom of a microwell of the microarray plate.
The fluorescent light emitted by the sample ( 2 ) is collected by one or more collection optical elements ( 19 ). As will be discussed below, there are several ways to configure the collection optical elements ( 19 ) that allow scanning of a large array, such as microarray plate. In one embodiment, the collection optical elements ( 19 ) is a rod lens, designed to capture the entire range of sweep of the beam ( 10 ) over one dimension of the base ( 11 ) of the sample array. The collection optical elements ( 19 ) can also include other types of lenses, or an aggregate of lenses, as would be determined by the specific information required from the emission. In some embodiments, multiple setups of collection optical elements ( 19 ) can be used to improve collection efficiency.
The light collected by the collection optical elements ( 19 ) is transmitted to a detector ( 21 ) located at a convenient distance from the collection optical elements ( 19 ). The transmission of the fluorescent light can be accomplished by, for example, an optical fiber or a bundle of optical fibers ( 20 ). In one embodiment, the detector ( 21 ) is a detector with high gain, such as a photomultiplier tube, which produces an electrical output signal. The electrical output signal is further processed by a data acquisition system ( 14 ), which performs operations such as optimization of the gain and the signal to noise ratio (S/N), by making use of signal enhancing, averaging, or integrating detection systems.
FIG. 2 shows a side elevational view of the scanning portion of a first embodiment of an apparatus in accordance with the invention. FIG. 4 shows an isometric view of the scanning portion of the same embodiment of the apparatus. In the embodiment show in FIGS. 2 and 4 , the scanning device ( 5 ) is a mirror ( 6 ) driven by a galvanometer. By moving the mirror ( 6 ) back and forth using the galvanometer, the excitation light ( 10 ) from the laser ( 1 ) can be swept across the sample ( 2 ). FIGS. 3 , 5 A and 5 B show similar views of a second embodiment of an apparatus in accordance with the invention, where the scanning device ( 5 ) instead is a polygon ( 7 ) with multiple reflective surfaces. In this embodiment the laser beam ( 10 ) is swept over a region of the sample ( 2 ) by rotating the polygon ( 7 ). In yet another embodiment, the scanning device ( 5 ) is a resonant scanning device, such as a mirror mounted on a torsion bar with electromagnets causing the mirror to move back and forth. In all embodiments, the beam velocity across the sample ( 2 ) is thus a result of the rotation speed of the polygon ( 7 ) or the sweep velocity of the galvanometer and the resonant scanning device, respectively. Each of the different configurations has different advantages and drawbacks. For example, the galvanometer is less expensive than the polygon mirror, but operates at a smaller angle and at a lower frequency, which causes a slower scanning speed. The resonant scanning device is cheaper than both the galvanometer and the rotating mirror and operates at larger angles, but only operates at a predetermined frequency. The beam motion at the focal plane in the sample ( 2 ) is typically 1-10 mm/ms, but can be as fast as 10-1000 mm/ms, depending on the sweep velocity of the mirror ( 6 ), or the rotation speed of the polygon ( 7 ). The polygon ( 7 ) is typically rotated at rotation speeds from 0.5 kHz to 20 kHz.
The multi-element lens ( 9 ) that receives the laser light ( 4 ) is designed to focus the laser light at the operating wavelength of the laser ( 1 ). The multi-element lens ( 9 ) focuses the laser light ( 4 ) close to the diffraction limit of the multi-element lens ( 9 ), which is typically in the range of 5-20 microns, but can be as small or large as 1-200 microns. The sample or sample array ( 2 ) is arranged to accept the focused, beam at, or just above, the base ( 11 ) of the sample ( 2 ). The length of the scan line across the sample array ( 2 ) can be varied and is typically in the range 5 mm to 100 mm. In one embodiment, the scan light ( 10 ) can interrogate for example, a 96-well plate in less than one minute at 5 micron resolution.
As can be seen in FIGS. 2-5 , an optical element ( 12 ), such as a mirror, is provided approximately half way between the scan lens and the sample to intercept and reflect a section of the incident light ( 10 ) onto a detector ( 13 ). Typically, the reflector ( 12 ) is located about 1-2 cm from the scan lens. The detector ( 13 ) is used to detect the location of the start of scan, in order to trigger the data acquisition system ( 14 ), which will be described in further detail below. The detector ( 13 ) can, for example, be a photodiode or equivalent component that can sense the incoming light ( 10 ) reflected from the reflector ( 12 ) and provide an electrical signal to the data acquisition system ( 14 ). A second mirror and detector can be placed on the other side of the scan line to detect the end of a scan and thereby enable bidirectional scanning.
FIG. 7 shows an enlarged view of the sample ( 2 ), how incoming light ( 10 ) illuminates the sample ( 2 ), and a source region ( 17 ) from which the fluorescent light is collected in a single detector embodiment of the apparatus of FIG. 1 . The sample ( 2 ) is located on a base ( 11 ) with a series of optical elements ( 16 ) that allow the laser light ( 10 ) to be transmitted through to the sample contained in the array. The array can, for example, be a microarray plate containing wells with solutions or samples adhered to the bottom of the wells. The focal plane location is near the inner side of optical elements ( 16 ) and defines the region of highest light flux, thereby defining a region of highest emitted light source. The region's volume size depends on the multi-element lens ( 9 ) configuration and the depth of the interrogated sample ( 2 ) located above the base ( 11 ). The defined volume of a source region ( 17 ), which actually gives rise to the fluorescent signal, additionally depends on the configuration of the collection optical elements ( 19 ), as will now be discussed.
As can be seen in FIG. 7 , the geometry of the collection optical elements ( 19 ) is such that the collection region is confined to the region of the field of view for the detector ( 21 ). The fluorescent signal intensity is confined to a source region ( 17 ) formed by the intersection of the excitation source's focal region and the image of the detector ( 21 ) inside this region, as shown in FIG. 7 . The source region is located within a limited vertical depth of the sample, that is, at a limited distance range above the base ( 11 ) upon which the sample ( 2 ) rests. A number of advantages result from arranging the collection optical elements ( 19 ) such that a collection path ( 18 ) forms an angle with the incident light ( 10 ). Another advantage is the elimination of the need for optically flat micro arrays that do not deviate in the location of surface apertures ( 16 ) of the well ( 2 ). The collection region is fixed or confined by the collection optical elements ( 19 ) configuration so as to not be out of the focal plane of the system. Yet another advantage is that signal discrimination from background fluorescence in the sample well is much higher than that obtained by a parallel collection system without eliminating or filtering the fluorescent signal.
The emitted fluorescent light from the source region ( 17 ) is transmitted to the collection optical elements ( 19 ) along the collection path ( 18 ). The collection path ( 18 ) can extend through the optical element ( 16 ) in the base ( 11 ) of the sample well, As shown in FIG. 7 . In an alternative embodiment, the collection path can extend through the well in the sample array to a location on the opposite side of the sample array, as shown in FIG. 1 , for example. In both embodiments, the collection optical elements ( 19 ) are configured to collect and focus the light emitted from the source region, as was described above.
There are several ways to configure the collection optical elements ( 19 ) that allow the scanning of a large array, such as a microarray plate. One geometry is shown in FIGS. 4 , 5 A and 5 B. In this embodiment, the collection optical elements ( 19 ) is a rod lens, which is designed to capture the entire range of the sweep of the beam ( 10 ) over one dimension of the base of the sample array. The collection optical elements ( 19 ) can include other types of lenses or lens combinations, as would be determined by the specific information required from the fluorescent emission. As a result of light collimation by a single collection lens ( 19 ) as shown in FIGS. 4 , 5 A and 5 B, all light emitted from a position on the array cell or microarray plate can be imaged, and collected with high efficiency.
As can be seen in FIG. 8 , another embodiment of the collection optical elements ( 19 ) includes an optical transmission filter ( 23 ) and a slit aperture ( 26 ). Before passing the fluorescent light collected by the rod lens ( 19 ) to the detector ( 21 ), the light is appropriately filtered by the transmission filter ( 23 ), which is designed to pass the fluorescence emission. Alternatively, several filters can be chosen to minimize the amount of laser light to be detected by the detector ( 21 ). The optical filter ( 23 ) is chosen to optimize the collection of information within the spectral region of light emitted by the source region ( 17 ). For example, in one embodiment, the laser light is between 400 and 500 nm in wavelength, and the emitted fluorescence is in the region above 500 nm, and the optical filter ( 23 ) is a 500 nm long pass filter located behind the rod lens ( 19 ). Many other configurations can be envisioned by people skilled in the art, depending on the wavelengths of the incident and the emitted light, and the filters chosen.
The slit aperture's ( 26 ) opening is located directly in front of the entrance to the detector ( 21 ) or optical fiber ( 20 ) coupled to the detector ( 20 ). As can be seen in FIG. 8 , the light that is emitted from the center of the source region ( 17 ) is collected by the rod lens ( 19 ) and passes through the center of the slit aperture ( 26 ). On the other hand, light that is emitted from regions at a different depth of the sample, such as from the edge of the source region ( 17 ) will be imaged by the rod lens ( 19 ) outside the slit aperture's ( 26 ) opening, and will thus not be collected. The advantage of further confining the focal region is that an improved spatial resolution will result, as well as further discrimination of background fluorescence outside of the region. In one embodiment, an aperture size of 250 microns results in approximately a 400 micron detection region. As the skilled reader will realize, combinations are also possible in which there is only an optical transmission filter ( 23 ) or slit aperture ( 26 ), but not both.
In another embodiment, which is shown in FIG. 9 , two or more collection optics arrangements ( 19 a , 19 b ) are provided. With a stereo configuration of the collection lenses ( 19 a , 19 b ) as shown in FIG. 9 , the focal field for the two lenses can have improved confinement over the single field generated by one lens and the focusing source shown and discussed above with respect to FIG. 8 . The improvement is schematically represented in FIG. 9 by the intersection ( 22 ) of the focal planes for the respective collection optics arrangements ( 19 a , 19 b ), corresponding to the main object planes of the lenses ( 19 a , 19 b ).
The setup of FIG. 9 with two sets of collection optics ( 19 a , 19 b ) can also be used for simultaneous collection of orthogonal components of emission from a polarized excitation source. A first polarizing filter ( 23 a ) can be used to pass only light of a first polarization to a first detector ( 21 a ), and a second polarizing filter ( 23 b ) can be used to pass only light of a second, orthogonal, polarization to a second detector ( 21 b ). The correlation of the signals collected in this configuration, detection in the detection system, and subsequent manipulation of the stored signal give rise to information not available to a single detector, with attendant improvement in signal. The information derived from this apparatus is steady-state anisotropy. Furthermore, with lifetime capability one can measure the correlation of time dependent behavior of fluorescence anisotropy. Time-resolved anisotropy of the emissions signal can give dynamical and/or structural information on biomolecules and their environment. It is important that any polarization filtering is performed before the collected light enters any optical fibers, since the optical fibers distort the polarization information and light that is output from an optical fiber does not have identical polarization components to the light that was input to the optical fiber at the other end.
As was discussed above, the detector ( 21 ) can be a detector with high gain, such as a photomultiplier tube (PMT). Other examples of detectors are photodiodes, various types of charge coupled devices (CCDs), or microchannel plates. The detector ( 21 ) does not have to be physically located adjacent to the collection optical elements ( 19 ), but the light can be transmitted from the collection optical elements ( 19 ) to the detector ( 21 ) through a fiber array ( 20 ). In one embodiment, shown in FIG. 10 , multiple detectors ( 21 a - 21 c ) are arranged adjacent to each other in order to collect the signal from the collection optical elements ( 19 ). In this case, the individual detectors ( 21 a - 21 c ) each have their own confined field of view, with the attendant advantages associated with the confined focal region as described above for one detector. Just like with a single detector, the multiple detectors ( 21 a - 21 c ) do not have to be physically located adjacent to the collection optical elements ( 19 ), but the light can be transmitted from the collection optical elements ( 19 ) to each of the detectors ( 21 a - 21 c ) through a fiber array ( 20 ), or relay lens system for each detector. This multi-detector arrangement has additional advantages, such as the ability to simultaneously detect signal at multiple locations, such as at different depths, within the source region ( 17 ) and to assign these signals to spatial locations within the sample ( 2 ). Alternatively, the multiple detectors ( 21 a - 21 c ) can be configured with optical filters (not shown in FIG. 10 ), and used to collect fluorescent emission from different spectral regions. In yet another embodiment, the multiple detectors ( 21 a - 21 c ) can be configured to detect orthogonal polarization signals, as described above, allowing for simultaneous detection of the anisotropy of the fluorescent signal.
The detectors ( 21 a - 21 c ) can also be used to correct the sample position based on the recorded signals, as can be seen in FIG. 11 . Assume, for example, that it is desired to keep the sample ( 2 ) aligned with the collection optics, so that most of the signal is received by the middle detector ( 21 b ). Since each detector ( 21 a - 21 c ) is associated with a different depth, it can be expected that the middle detector ( 21 b ) should have a signal that is higher than the outer detectors ( 21 a , 21 c ). As can be seen in FIG. 11 , at time t 0 , only the middle detector ( 21 b ) registers a signal, whereas the outer detectors ( 21 a , 21 c ) are not picking up any signals. At time t 1 , the sample's ( 2 ) physical position has shifted, such that only one of the outer detectors ( 21 a ) picks up a signal. This indicates that the sample ( 2 ) position must be adjusted, so the apparatus moves the sample ( 2 ) until only the middle detector ( 21 b ) picks up a signal, as can be seen at time t 2 . At time t 3 , the sample ( 2 ) has moved again, but in this case in the other direction, such that only the other outer detector ( 21 c ) picks up a signal. This indicates that the sample ( 2 ) position must be adjusted in the other direction, and consequently the apparatus moves the sample ( 2 ) until only the middle detector ( 21 b ) again picks up the signal, which can be seen at time t 4 . This technique can be used to move the sample ( 2 ) not only in the vertical direction, but also in the horizontal direction, depending on the detector arrangement. If multiple detector arrangements are used, such as in three orthogonal directions, complete control over the sample positioning can be achieved in all spatial directions. Since movement within a horizontal plane can occur with two degrees of freedom, it is necessary to have two sets of detectors that preferably are oriented perpendicular to each other within the horizontal plane. With this detector arrangement, a horizontal translation of the sample will result in an increased signal in one or both detector sets, and the movement can be unambiguously identified.
As can be seen in FIG. 1 , the apparatus also contains logic, such as a data acquisition system ( 14 ), a data processing and storage system ( 24 ), and a controller ( 15 ), which work in conjunction with the above-described optical and mechanical components of the apparatus to provide adequate control capabilities for the various types of investigations that can be carried out with the apparatus. The signal from the detector ( 21 ) is enhanced by the data acquisition system ( 14 ), and then stored into the data processing and storage system ( 24 ). The data processing and storage system ( 24 ) contains a fast A/D converter, or accepts digital information from the data acquisition system ( 14 ) directly. The data processing and storage system ( 24 ) can, for example, be a digitizing storage oscilloscope, or a computer with instructions encoded in software for collecting and storing the detected or enhanced emission signal.
The signal can be labeled using a triggering event in time, and can be co-located with a spatial position of the fluorescing object within a well of a microarray, or with the macro location of the well in the microarray plate. The software logic in the data processing and storage system ( 24 ) can contain instructions for deriving one or more object characteristics from the emission signal, such as total intensity, average intensity, peak intensity, size, Gaussian or other waveform fit, or other such characteristics as may be found useful to those skilled in the art. The trigger signal can be modified by the controller ( 15 ) as needed to configure a delay, a blanking signal, a duty cycle, or provide a means by which the trigger circuit of a boxcar averager, for example, can be activated. Two triggering events at the start and end of a scan can be used to measure the total scan time and correct for scan jitter. This also enables bidirectional scanning. There are many permutations for using this data processing and data storage system ( 24 ) that are not described here, but which are useful to those skilled in the art.
In the interest of efficient data storage, due to the large size of multi-channel images, the data processing and storage system ( 24 ) can be set up such that data is only collected and saved when a relevant part of the sample ( 2 ), such as a cell, is illuminated. In one embodiment, this is accomplished by setting a threshold value in the data processing and storage system ( 24 ), and saving data only when the intensity of the collected fluorescent light exceeds the threshold value for a certain period of time, or whenever some other pre-determined criterion is satisfied. In another embodiment, the data processing and storage system ( 24 ) only saves data during certain time intervals, such as when the illuminating beam ( 10 ) illuminates a well or a location in a microarray. Thus, instead of using intensity values to determine when to save data, the data is saved based on the positions of the light beam ( 10 ) at any given time, as determined by the scanner ( 5 ) and the multi-element lens ( 9 ).
In one embodiment, the apparatus allows for measurement of successive laser pulses, as a result of modulating the laser light, over the same spatial location of the scan region and then subsequently analyzing the fluorescent signal measured by the detector ( 21 ) to determine a time-dependent response of the sample within the scanned region. The response can include one or more characteristics of the sample, such as molecular interactions, protein-protein interaction, binding kinetics, drug/target interactions, cell apoptosis, and so on. The timing and response to time dependent perturbations, such as the excitation pulse, form important aspects of this invention. The timing associated with the emission event with respect to the incident laser pulse, such as a signal timing or an emission lifetime, is captured by the configuration as described above. The detection of native or engineered materials will give rise to information concerning chemical or biological activity, as will be apparent to those skilled in the art, and the detection of induced or engineered fluorescence will also give rise to such information as has been described above.
In another embodiment, the detector ( 21 ) can be arranged to collect information stored in the incident light as well as the emitted light, such as the polarization of the light. In this embodiment, the light source ( 1 ) is polarized, the incident polarization is determined, and the fluorescent response emitted by the sample ( 2 ) is analyzed for its polarization components, or anisotropy. The polarization of the incident light and/or the fluorescent light can be modulated, for example, by the electrooptic device ( 8 ). The timing of the modulation of the polarized signals is controlled by the controller ( 15 ) with respect to the timing of the scans, so that quick, successive scans with orthogonal polarization can be performed and so that dynamical information from the fluorescent polarization can be extracted. Furthermore, the intensity of the incident light can be modulated to collect time-dependent information from the sample. The detection of fluorescent polarization and the time-dependence in materials gives rise to information concerning physical, chemical or biological activity, as will be apparent to those skilled in the art, and the detection of induced or engineered fluorescence polarization will also give rise to such information as for example the result of a fluorescence polarization immunoassay, or other that has been described above.
In one embodiment, as shown in FIG. 6 , the sample ( 2 ) can be placed on a moveable platform ( 25 ) that can be used to position the sample ( 2 ). For example, the platform can handle a microarray plate containing 96-sample wells, or a 3456-well plate for addressing very large arrays of tests and samples. A raster scan, or focused line of light ( 10 ) is provided to the sample ( 2 ) and the emission is collected by the collection optical elements ( 19 ) in such a way the arrays can be addressed in a parallel fashion. The parallel addressable nature of the invention allows for very high throughput scanning and data collection, which is useful for example, for interrogating and screening therapeutic effects of chemicals on biomaterials as described above.
The platform ( 25 ) can be configured to move with a precision that is either less than or on the order of the optical resolution of the multi-element lens ( 9 ), such that the motion of the platform ( 25 ) gives rise to high-resolution images of the sample ( 2 ). For example, the scanned beam ( 10 ) is swept across the sample ( 2 ) in one dimension and the sample array is moved in a perpendicular direction to the sweep by the platform ( 25 ), whereby the movement is timed such that the beam makes one or more complete excursions, and the emission signal from the detector ( 21 ) derived from one or more complete sweeps is collected and summed or manipulated by the data acquisition system ( 14 ) and the data processing and storage system ( 24 ). In this embodiment, the platform ( 25 ) motion is perpendicular to the motion of the scan ( 10 ), such that a two-dimensional image of the sample ( 2 ) can be reconstructed using the instructions encoded in the data processing and storage system ( 24 ).
In another embodiment, the focus location of the multi-element lens ( 9 ) in the source region ( 17 ) can provide spatial information in the direction perpendicular to the plane defined by the scan ( 10 ) and platform ( 25 ) motion, resulting in a reconstructed 3-dimensional image.
In another embodiment, the time domain information reconstructed by the data acquisition system ( 14 ) and the data processing and storage system ( 24 ) can be used to construct image spatial locations, which can give rise to information on the objects in sample array, such as events that occur as a result of the light probe. Alternatively, the information may result from, for example, non-light-induced drug or responses at the cellular or subcellular level.
A number of embodiments of the invention have been described. Nevertheless, it will be understood that various modifications may be made without departing from the spirit and scope of the invention. For example, the apparatus may perform the scanning function by moving the sample ( 2 ) only, instead of using a scanning device ( 5 ) to move the beam ( 4 ) from the light source ( 1 ) across the sample. The invention has been described above with regards to fluorescent light, but the same principles can be applied to the collection of phosphorescent light, which may be useful for investigations of certain samples. The invention can also be used to perform measurements of chemiluminescence and resonant energy transfers. Accordingly, other embodiments are within the scope of the following claims. | Methods and apparatus, including computer program products, implementing and using techniques for collecting optical data pertaining to one or more characteristics of a sample. A light beam of a first frequency is scanned onto a sample surface using one or more illumination optical elements. Light of a second frequency is collected from a scan line on the sample surface using one or more collection optical elements. None of the one or more collection optical elements are included among the one or more illumination optical elements. The collected light is transmitted to a detector. | 52,366 |
CROSS REFERENCE TO RELATED APPLICATIONS
This application claims priority under 35 USC §119 to U.S. provisional application Ser. No. 60/257,849, “VARIABLE PRESSURE DROP PLATE DESIGN,” filed Dec. 21, 2000.
BACKGROUND OF THE INVENTION
This invention relates to fuel cells and to fluid flow plates within fuel cells.
A fuel cell can convert chemical energy to electrical energy by promoting a chemical reaction between two gases.
One type of fuel cell includes a cathode flow field plate, an anode flow field plate, a membrane electrode assembly disposed between the cathode flow field plate and the anode flow field plate, and two gas diffusion layers disposed between the cathode flow field plate and the anode flow field plate. A fuel cell system made up of multiple fuel cells also typically includes one or more coolant flow field plates disposed adjacent the exterior of the anode flow field plates and/or the exterior of the cathode flow field plates.
Each flow field plate has an inlet region, an outlet region, and open-faced channels connecting the inlet region to the outlet region and providing a way for distributing the gases to the membrane electrode assembly.
The membrane electrode assembly usually includes a solid electrolyte, e.g., a proton exchange membrane (PEM), between a first catalyst and a second catalyst. One gas diffusion layer is between the first catalyst and the anode flow field plate, and the other gas diffusion layer is between the second catalyst and the cathode flow field plate.
During operation of the fuel cell, a reactant gas, e.g., hydrogen, enters the anode flow field plate at the inlet region of the anode flow field plate and flows through the channels of the anode flow field plate toward the outlet region of the anode flow field plate. The other gas, e.g., air, enters the cathode flow field plate at the inlet region of the cathode flow field plate and flows through the channels of the cathode flow field plate toward the cathode flow field plate outlet region.
As the reactant gas flows through the channels of the anode flow field plate, the reactant gas passes through the anode gas diffusion layer and interacts with the anode catalyst. Similarly, as the other gas flows through the channels of the cathode flow field plate, the other gas passes through the cathode gas diffusion layer and interacts with the cathode catalyst.
The anode catalyst interacts with the reactant gas to catalyze the conversion of the reactant gas to reaction intermediates. The reaction intermediates include ions and electrons. The cathode catalyst interacts with the other gas and the reaction intermediates to catalyze the conversion of the other gas to the chemical product of the fuel cell reaction.
The chemical product of the fuel cell reaction flows through a gas diffusion layer to the channels of a flow field plate (e.g., the cathode flow field plate). The chemical product then flows along the channels of the flow field plate toward the outlet region of the flow field plate.
The electrolyte provides a barrier to the flow of the electrons and gases from one side of the membrane electrode assembly to the other side of the membrane electrode assembly. However, the electrolyte allows ionic reaction intermediates to flow from the anode side of the membrane electrode assembly to the cathode side of the membrane electrode assembly.
Therefore, the ionic reaction intermediates can flow from the anode side of the membrane electrode assembly to the cathode side of the membrane electrode assembly without exiting the fuel cell. In contrast, the electrons flow from the anode side of the membrane electrode assembly to the cathode side of the membrane electrode assembly by electrically connecting an external load between the anode flow field plate and the cathode flow field plate. The external load allows the electrons to flow from the anode side of the membrane electrode assembly, through the anode flow field plate, through the load and to the cathode flow field plate.
Electrons are formed at the anode side of the membrane electrode assembly, indicating that the reactant gas undergoes oxidation during the fuel cell reaction. Electrons are consumed at the cathode side of the membrane electrode assembly, indicating that the other gas undergoes reduction during the fuel cell reaction.
For example, when hydrogen and oxygen are the two gases that are used in the fuel cell, the hydrogen flows through the anode flow field plate and undergoes oxidation. The oxygen flows through the cathode flow field plate and undergoes reduction. The specific reactions that occur in the fuel cell are represented in the following Eqs. 1-3:
H 2 →2H + +2e − (1)
½O 2 +2H + +2e − →H 2 O (2)
H 2 +½O 2 →H 2 O (3)
As shown in Eq. 1, the hydrogen forms protons (H + ) and electrons (e − ). The protons flow through the electrolyte to the cathode side of the membrane electrode assembly, and the electrons flow from the anode side of the membrane electrode assembly to the cathode side of the membrane electrode assembly through the external load. As shown in Eq. 2, the electrons and protons react with the oxygen to form water. Eq. 3 shows the overall fuel cell reaction.
In addition to forming chemical products, the fuel cell reaction produces heat. One or more coolant flow field plates are typically used to conduct the heat away from the fuel cell and maintain appropriate stack temperatures.
Each coolant flow field plate has an inlet region, an outlet region, and channels that provide fluid communication between the coolant flow field plate inlet region and the coolant flow field plate outlet region. A coolant, e.g., liquid de-ionized water or other low conductivity fluids, at a relatively low temperature enters the coolant flow field plate at the inlet region, flows through the channels of the coolant flow field plate toward the outlet region of the coolant flow field plate, and exits the coolant flow field plate at the outlet region of the coolant flow field plate. As the coolant flows through the channels of the coolant flow field plate, the coolant absorbs heat formed in the fuel cell. When the coolant exits the coolant flow field plate, the heat absorbed by the coolant is removed from the fuel cell.
To increase the electrical energy available, a plurality of fuel cells can be arranged in series to form a fuel cell stack. In a fuel cell stack, one side of a flow field plate functions as the anode flow field plate for one fuel cell while the opposite side of the flow field plate functions as the cathode flow field plate in another fuel cell. This arrangement may be referred to as a bipolar plate. The stack may also include monopolar plates such as, for example, an anode coolant flow field plate having one side that serves as an anode flow field plate and another side that serves as a coolant flow field plate. As an example, the open-faced coolant channels of an anode coolant flow field plate and a cathode coolant flow field plate may be mated to form collective coolant channels to cool the adjacent flow field plates forming fuel cells.
SUMMARY OF THE INVENTION
In one aspect of the invention, a fuel cell electrode includes a plate having a front surface and a back surface and also having a plurality of gas delivery holes and a plurality of gas exhaust holes formed through the plate, the front surface of the plate having a plurality of open gas distributions channels, a first portion of which is connected at one end to a first one of the plurality of gas delivery holes and at another end to a first one of the plurality of gas exhaust holes, a second portion of which is connected at one end to a second one of the plurality of gas delivery holes and at another end to a second one of the plurality of gas exhaust holes, and a third portion of which is connected at one end to said second one of the plurality of gas delivery holes and at another end to said first one of the plurality of gas exhaust holes.
In another aspect of the invention, a fuel cell system includes a plurality of fuel cells stacked together, each having a first electrode, a second electrode, and a membrane sandwiched between the first and second electrodes, wherein each first electrode includes a plurality of gas distribution channels on a surface thereof. The fuel cell system also includes a plurality of gas delivery manifolds, each of which is connected to the plurality of channels of each of the plurality of first electrodes, and a plurality of gas exhaust manifolds, each of which is connected to the plurality of channels of each of the plurality of first electrodes, wherein on the first electrode of each of the plurality of fuel cells, a first portion of the plurality of gas distribution channels is connected at one end to a first one of the plurality of gas delivery manifolds and at another end to a first one of the plurality of gas exhaust manifolds, a second portion of the plurality of gas distribution channels is connected at one end to a second one of the plurality of gas delivery manifolds and at another end to a second one of the plurality of gas exhaust manifolds, and a third portion of the plurality of gas distribution channels is connected at one end to said second one of the plurality of gas delivery manifolds and at another end to said first one of the plurality of gas exhaust manifolds.
One or more of the following advantages may be provided by one or more aspects of the invention.
The invention enables one to operate a fuel cell over a broad range of fluid flow rates while still keeping the pressure drop across fluid flow plates in the fuel cell within an acceptable operating range. When operating at high flow rates, the multiple input manifolds are operated as a single supply manifold and the multiple output manifolds are operated as a single output manifold. In this configuration, the gas flows from the single input manifold, through the fluid flow field, and out the single output manifold. When operating at low flow rates, the multiple input manifolds are operated as separate manifolds, as are the multiple output manifolds. In this configuration, the gas flows from one of the input manifolds, through the fluid flow field, and into one of the output manifolds. This output manifold is closed at both ends, so the gas flows back through the fluid flow field to another one of the input manifolds. This input manifold is closed at both ends, so the gas flows back through the fluid flow field to another output manifold. The gas continues flowing through the fluid flow field between different input and output manifolds until the gas enters an output manifold open at one end, allowing the gas to exit the fuel cell system.
Providing multiple input and output manifolds also presents an opportunity for water to drop out of the flow through the fuel cell plates. When the fuel becomes redirected back into a fuel cell plate's flow channels at an input or output manifold, water tends to drop out of the fuel and into the manifold before the fuel returns to the fuel cell stack. Thus, the amount of water passing through the fuel cell stack decreases, lowering the chance of water clogging the flow channels.
The same design can be used in the air input and output manifolds of the fuel cell stack.
Other features and advantages of the invention will be apparent from the detailed description and the drawings.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a schematic representation of a fuel cell system;
FIG. 2 is a cross-sectional partial view of a single fuel cell;
FIG. 3 shows an anode fuel cell plate;
FIG. 4 shows a cathode fuel cell plate;
FIG. 5 is a schematic representation of flow paths in a fuel cell plate with an open manifold configuration; and
FIG. 6 is a schematic representation of flow paths in a fuel cell plate with a closed manifold configuration.
DETAILED DESCRIPTION
Referring to FIG. 1 , a fuel cell system 100 includes left and right end plates 102 and 104 , left and right insulation layers 106 and 108 , left and right current collector/conductor plates 110 and 112 , with a working section 114 in-between. Left and right structural members 116 and 118 , two tie-bolts on either side of the working area 114 , are used to join the left and right end plates 102 and 104 .
The working section 114 includes eighty-eight fuel cells 120 , although there may be more or less fuel cells 120 depending on design considerations. Input and output fuel manifolds 122 and 124 supply fuel to, remove fuel from, and otherwise communicate and/or service fuels as desired within the working section 114 . Fuel flows into the input fuel manifold 122 from an inlet pipe 134 . The fuel then enters the working area 114 from the input fuel manifold 122 , flows through each of the fuel cells 120 at least once, and exits the working area 114 through the output fuel manifold 124 . The fuel exits the output fuel manifold 124 and into an outlet pipe 136 . The fuel may encounter various elements such as a blower after entering the outlet pipe 136 .
The input manifold 122 actually includes two manifolds: first and second input manifolds 126 a and 126 b . Opening and closing an inlet valve 130 redirects a flow path of fuel in the input fuel manifold 122 through the working area 114 . With the inlet valve 130 open, fuel flows from the inlet pipe 134 into both the first and second input manifolds 126 a and 126 b and therefore into the working area 114 from both the first and second input manifolds 126 a and 126 b . With the inlet valve 130 closed, fuel flows from the inlet pipe 134 into only the first input manifold 126 a and therefore into the working area 114 from only the first input manifold 126 a.
Similarly, the output manifold 124 also includes two manifolds: first and second output manifolds 128 a and 128 b , with an outlet valve 132 configured to close the first output manifold 128 a.
With both the inlet valve 130 and the outlet valve 132 closed, fuel flows into the first input manifold 126 a , through the working area 114 , and in to the first output manifold 128 a , which is closed at both ends. Thus, the fuel flows from the first output manifold 128 a back through the working area 114 and into the second input manifold 126 b . The second input manifold 126 b is also closed at both ends, so the fuel again enters the working area 114 from the second input manifold 126 b and flows in to the second output manifold 128 b , from which the fuel flows out of the stack through output pipe 136 .
Before discussing the operation of the multiple manifold configuration, we will first provide a few useful details about the design of the individual fuel cells. Then after discussing the operation of the multiple manifold configuration we will provide more details about a particular type of fuel cell.
FIG. 2 illustrates a cross-section of a single fuel cell 200 within the working section 114 . It includes an anode fluid flow plate 202 , a cathode fluid flow plate 204 , anode and cathode flow channels 206 and 208 , anode and cathode lands 220 and 222 , and a center area 224 , each described in more detail below.
The anode fluid flow plate 202 includes a number of flow channels 206 that receive and transmit fuel, e.g., hydrogen gas, and humidification water in vapor and/or liquid form. The cathode fluid flow plate 204 includes a number of flow channels 208 that receive and transmit air, e.g., oxygen gas as oxidant, and product water in vapor and/or liquid form. Adjacent flow channels 206 and 208 are separated by the lands 220 and 222 . The lands 220 and 222 serve as electrical contact positions on the corresponding anode and cathode fluid flow plates 202 and 204 . The lands 220 and 222 and the fluid flow plates 202 and 204 can be formed with a material such as non-magnetic, austenitic stainless steel or titanium. The fluid flow plates 202 and 204 are described in more detail below with reference to FIGS. 3-4 , respectively.
Referring to FIG. 3 , the anode fluid flow plate 202 includes one or more substantially parallel and/or generally serpentine fuel flow channel(s) 300 and land(s) 318 (corresponding to the flow channels 206 and the lands 220 in FIG. 2 ). The fuel flow channels 300 run between inlet fuel and outlet fuel holes 302 and 304 . The fuel flow channels 300 carry the fuel and the humidification water through the fuel stack. Twelve flow channels 300 are shown, but the anode fluid flow plate 202 can include more or fewer flow channels 300 depending on design considerations. The anode fluid flow plate 202 also includes inlet and outlet water holes 310 and 312 and inlet and outlet air holes 314 and 316 .
The inlet fuel hole 302 and the outlet fuel hole 304 are each actually made up of an equal number of separate inlet holes 306 a and 306 b and outlet holes 308 a and 308 b . Here there are two inlet holes 306 a and 306 b and two outlet holes 308 a and 308 b . Each of the separate inlet holes 306 a and 306 b and outlet holes 308 a and 308 b connects to a corresponding different group of flow channels 300 . In this example, the first inlet fuel hole 306 a connects to three flow channels 300 . The first outlet fuel hole 308 a also connects to these three flow channels 300 at the opposite end along with three additional flow channels 300 . The second inlet hole 306 b connects to the remaining nine flow channels 300 at the inlet fuel hole 302 , while a second outlet fuel hole 308 b connects to the remaining six flow channels 300 at the outlet fuel hole 304 .
Referring to FIG. 4 , the cathode fluid flow plate 204 includes one or more substantially parallel and/or generally serpentine air flow channel(s) 400 and land(s) 418 (corresponding to the flow channels 208 and the lands 222 in FIG. 2 ). The air flow channels 400 run between inlet and outlet air holes 402 and 404 . The air flow channels 400 carry the oxidant gas and the product water through the fuel stack. The inlet air hole 402 and the outlet air hole 404 are each actually made up of two separate inlet holes 406 a and 406 b and two separate outlet holes 408 a and 408 b as described above with reference to the anode fluid flow plate's separate inlet holes 306 a and 306 b and outlet holes 308 a and 308 b (see FIG. 3 ). Twelve flow channels 400 are shown, but the cathode fluid flow plate 204 can, depending on design considerations, include more or less channels (and corresponding lands) equal to the number of flow channels on the anode fluid flow plate 202 (see FIG. 2 ). The cathode fluid flow plate 204 also includes inlet and outlet water holes 410 and 412 and inlet and outlet fuel holes 414 and 416 .
When a plurality of the anode fluid flow plates 202 (see FIG. 3 ) and a plurality of the cathode fluid flow plates 204 (see FIG. 4 ) are stacked on one another, the inlet fuel holes 302 and 414 align to form the input fuel manifold 122 (see FIG. 1 ) and the outlet fuel holes 304 and 416 align to form the output fuel manifold 124 (see FIG. 1 ). Similarly, the inlet air holes 314 and 402 align to form an input air manifold and the outlet air holes align to form an output air manifold. The inlet water holes 310 and 410 and the outlet water holes 312 and 412 align to form input and output water manifolds, respectively. (A coolant fluid flow plate may be located between the anode and cathode fluid flow plates 202 and 204 , and the coolant fluid flow plate includes holes in the appropriate places to accommodate the fuel, air, and water manifolds.)
Referring to FIG. 5 , flow paths through an anode fluid flow plate 500 are shown in an open manifold configuration. FIG. 5 is a simplified schematic drawing meant to illustrate the operation of the flow paths of the anode fluid flow plate 500 . The anode fluid flow plate 500 has the inlet valve 130 and the outlet valve 132 for the input fuel manifold 122 and the output fuel manifold 124 , respectively, in open positions (see FIG. 1 ). Thus, inlet holes 502 a and 502 b form part of a single inlet fuel manifold 504 and outlet holes 508 a and 508 b form part of a single outlet manifold 510 . Fuel enters the anode fuel cell plate 500 through the inlet fuel manifold 504 (all inlet holes 502 a and 502 b ) and flows through flow channels 506 a - 506 c in the anode fuel cell plate 500 . Then, the fuel exits the anode fuel cell plate 500 through all outlet holes 508 a and 508 b of the exit fuel manifold 510 . In this way, the anode fuel cell plate 500 performs as a three channel, single pass design.
Referring to FIG. 6 , flow paths through an anode fluid flow plate 600 are shown in a closed manifold configuration. The anode fluid flow plate 600 has the inlet valve 130 and the outlet valve 132 for the input fuel manifold 122 and the output fuel manifold 124 , respectively, in closed positions (see FIG. 1 ). Thus, inlet holes 602 a and 602 b form part of separate inlet manifolds and outlet holes 606 a and 606 b form part of separate outlet manifolds. Fluid enters the anode fuel cell plate 600 through the first inlet hole 602 a and flows through a first flow channel 604 a to the first outlet hole 606 a . With the outlet valve 132 closed, the manifold formed in part by the first outlet hole 606 a is closed at both ends, i.e., it is a sealed plenum through which the fuel cannot exit from the fuel cell stack. Instead, the fuel flows back into a second flow channel 604 b across the fuel cell and into the second inlet hole 602 b . With the inlet valve 130 also in a closed position, the manifold formed in part by the second inlet hole 602 b is closed at both ends, i.e., it is a sealed plenum through which the fuel cannot exit the fuel cell stack, so the fluid flows through a third flow channel 604 c to the second outlet hole 606 b , through which the fluid exits the anode fuel cell plate 600 . In this way, the anode fuel cell plate 600 acts as a single channel, three pass design.
The closed manifold configuration of the anode fluid flow plate 600 produces a higher pressure drop than the pressure drop produced when fuel flows through the open manifold configuration of the anode fluid flow plate 500 (see FIG. 5 ). The higher pressure drop is about three to five times higher than the pressure drop produced in the anode fluid flow plate 500 given that the flow path is about three times longer and has more bends.
In addition, at each of the sealed plenums formed in part by the first outlet hole 606 a and the second inlet hole 602 b , water tends to drop out of the flow path through the fuel cells. Therefore, an added advantage of this configuration is that less water passes through a subsequent flow channel, e.g., third flow channel 604 c , than in a previous flow channel, e.g., first flow channel 604 a or second flow channel 604 b.
Each one of the flow channels 506 a - 506 c (see FIG. 5 ) and 604 a - 604 c (see FIG. 6 ) can in fact represent multiple individual flow channels in an actual implementation. Similarly, there may be more inlet fuel holes 502 a and 502 b (see FIG. 5 ) and 602 a and 602 b (see FIG. 6 ) and more outlet holes 508 a and 508 b (see FIG. 5 ) and 608 a and 608 b (see FIG. 6 ) in an actual implementation, thereby increasing the number of times that fuel may pass through the fuel cell stack.
The discussion of FIGS. 5-6 illustrated flow through anode fluid flow plates, but the discussion can also apply to cathode fluid flow plates (with air flowing instead of fuel).
Having discussed the operation of the multiple manifold configuration, we will now provide more details about a particular type of fuel cell.
Referring back to the partial view 200 in FIG. 2 of the fuel cell 120 , the center area 224 includes a membrane or solid electrolyte 210 , anode and cathode catalysts 212 and 214 , and anode and cathode gas diffusion layers 216 and 218 , each described in more detail below. The solid electrolyte 210 includes a solid polymer, e.g., a solid polymer ion exchange membrane, such as a solid polymer proton exchange membrane, e.g., a solid polymer containing sulfonic acid groups. Such membranes are commercially available from E. I. DuPont de Nemours Company (Wilmington, Del.) under the trademark NAFION. Alternatively, the electrolyte 210 can be prepared from the commercial product GORE-SELECT, available from W. L. Gore & Associates (Elkton, Md.).
Together, the solid electrolyte 210 and the catalysts 212 and 214 form a membrane electrode assembly (MEA). The anode catalyst 212 includes material capable of interacting with molecular hydrogen to form protons and electrons. Such materials include, for example, platinum, platinum alloys, and platinum dispersed on carbon black. The catalytic material can be dispersed in one or more solvents, e.g., isopropanol, to form a suspension. The suspension is then applied to the surfaces of the solid electrolyte 210 that face the gas diffusion layers 216 and 218 , and the suspension is then dried. Alternatively, the suspension can be applied to the surfaces of the gas diffusion layers 216 and 218 that face the solid electrolyte 210 , and the suspension is then dried. The method of preparing the catalyst 212 may further include the use of heat, temperature, and/or pressure to achieve bonding.
The catalyst 214 on the cathode side is formed of a material capable of interacting with molecular oxygen, electrons, and protons to form water. Examples of such materials include platinum, platinum alloys, and noble metals dispersed on carbon black. The catalyst 214 can then be prepared as described above with respect to the catalyst 212 .
The gas diffusion layers 216 and 218 are formed of a material that is both gas and liquid permeable material so that the reactant gases, e.g., molecular hydrogen and molecular oxygen, and products, e.g., water, can pass therethrough. In addition, the gas diffusion layers 216 and 218 should be electrically conductive so that electrons can flow from the catalyst 212 to the flow field plate 202 and from the flow field plate 204 to the catalyst 214 .
While certain embodiments of the invention, as well as their principals of operation, have been disclosed herein, the invention is not limited to these embodiments or these principals of operation. Other embodiments are in the claims. | A fuel cell electrode includes a plate having a front surface and a back surface and also having a plurality of gas delivery holes and a plurality of gas exhaust holes formed through the plate. The front surface of the plate has a plurality of open gas distributions channels, a first portion of which is connected at one end to a first one of the plurality of gas delivery holes and at another end to a first one of the plurality of gas exhaust holes, a second portion of which is connected at one end to a second one of the plurality of gas delivery holes and at another end to a second one of the plurality of gas exhaust holes, and a third portion of which is connected at one end to said second one of the plurality of gas delivery holes and at another end to said first one of the plurality of gas exhaust holes. | 27,422 |
This application claims priority to UK Application No. 1220885.6 filed 20 Nov. 2012, the entire content of which is hereby incorporated by reference.
BACKGROUND OF THE INVENTION
The present invention concerns deployment mechanisms for use on aircraft wings. More particularly, but not exclusively, this invention concerns deployment mechanisms for deploying an auxiliary wing surface device from an aircraft wing body. The invention also concerns aircraft wings, an aircraft and methods of operating aircraft.
Modern aircraft wings are designed to maximise the angle of attack during take-off and landing operations. This often involves the wing having high-lift devices, with air-profiled surfaces, that can be extended and retracted along a predefined path in relation to the main wing body. These devices can be extended from the leading edge or from the trailing edge of the main wing body.
Prior art methods of deploying the high-lift devices generally comprise a power drive unit, gears, rotary (or possibly linear) actuators, a drive shaft, rotation control sensors and a set of linkages. This makes them bulky, heavy and complicated. An alternative method that has been used to deploy a trailing edge flap comprises a flap track beam with a mechanical gear and ball screw spindle attached to it. A ball nut is attached to the flap using a gimble arrangement. Movement of the nut along the stationary spindle deploys the flap and the gimble arrangement allows the flap to rotate into the desired orientation.
There are three main types of high-lift device; slats, drooped noses and Krueger flaps. Krueger flaps are generally used on a leading edge of a main wing body which is designed to maximise laminar flow along the upper wing surface. A typical Krueger flap, in its retracted position, forms at least part of the leading edge of the main wing body. This means that the profile of the Krueger flap is blended with the lower profile of the leading edge. This means that laminar flow when the flap is stowed (i.e. during cruise) is not disturbed.
However, as Krueger flaps are often used with narrow profiled wings designed for laminar flow, and because the Krueger flap stows within the profile of the wing, the deployment mechanisms needed to extend and retract the Krueger flaps need to be small. A small size of deployment mechanism is also needed so that a minimum required clearance to other systems in the wing (for example in the leading edge of the wing) and to other structures (e.g. a fuel tank) in the wing can be achieved.
The present invention seeks to mitigate the above-mentioned problems. Alternatively or additionally, the present invention seeks to provide an improved deployment mechanism, especially for a Krueger flap.
SUMMARY OF THE INVENTION
The present invention provides, according to a first aspect, a deployment mechanism for deploying an auxiliary wing surface device from an aircraft wing body, the deployment mechanism providing a first connector portion for connecting the deployment mechanism to the aircraft wing body, a second connector portion for connecting the deployment mechanism to the auxiliary wing surface device, and a telescopic rod linking the first and second connector portions, the telescopic rod comprising an inner rod extendable from inside of an outer rod to increase the length of the telescopic rod, such that the distance between the first and second connector portions can be increased.
Having a telescopic rod allows the deployment mechanism to have a large stroke length (to deploy the device) whilst still taking up less space in the aircraft wing body than prior art deployment mechanisms, which are much more bulky, heavy and complicated. The deployment mechanism is usually housed completely inside the profile of the aircraft wing when it is stowed. The deployment mechanism can even be used in narrow profile wings, where space is limited, and still leave enough room for other systems and structures to be installed.
Also, the deployment mechanism only needs a single connection point to the aircraft wing body and a single connection point to the auxiliary wing surface device. This gives a further weight and space saving.
When the deployment mechanism deploys the auxiliary wing surface device, it causes only a small drag effect.
The deployment mechanism has less failure paths than prior art mechanisms due to the smaller number of parts and simpler mechanism. This increases the service life of the deployment mechanism. The small size of the deployment mechanism also means that access for maintenance and inspection is easier.
In addition, the deployment mechanism may be attached to a spar of the aircraft wing body, and also may be attached near an upper cover of the aircraft wing body, both of which are advantageous in terms of the structural support required for the mechanism.
The deployment mechanism may be designed to take high loads from the auxiliary wing surface device and thus allow the device to be used during high-speed operations (such as being used as an additional air brake during cruise) as well as low-speed operations (such as during landing and take-off).
Preferably, the outer rod has an internally threaded portion corresponding to an externally threaded portion of the inner rod, such that the inner rod is extendable from inside the outer rod by a screw action of the threaded portions.
Preferably, the telescopic rod comprises an innermost rod, an outermost rod and a number of intermediate rods, each inner rod in each pair of adjacent rods being extendable from inside of an outer rod in the pair of adjacent rods. The number/length of rods can be chosen to give the desired stroke length of the mechanism.
Preferably, the telescopic rod is able to extend to a length that is at least 150% of its fully retracted configuration. More preferably, the telescopic rod is able to extend approximately double the length (200%) of its fully retracted configuration. For example, the telescopic rod may be able to extend from a length of approximately 300 mm to a length of approximately 700 mm. It may be possible for the telescopic rod to extend to significantly more than double the length of its fully retracted configuration. This allows the deployment mechanism to deploy the device to a position where it can shield a leading edge of a wing, for example from debris. Such a position may be at 120 degrees to the wing.
Preferably, the mechanism further comprises a ball screw actuator and ball bearings in the threaded portions of either of the inner and outer rods and wherein movement of the inner rod with respect to the outer rod of the telescopic rod is actuated by the ball screw actuator. Using a ball screw actuator allows precise control of the position of the auxiliary wing surface device. A ball screw actuator can be efficient, generate low levels of heat and be able to actuate the mechanism to deploy (and retract) quickly. In addition, a ball screw actuator can be designed to incorporate a brake (or brakes) so that the mechanism can hold high loads. The use of ball bearings in precisely manufactured threads (preferably, semi-circular threads) of the threaded portions improves the service life of the deployment mechanism.
Preferably, the ball screw actuator is provided with a brake for locking in the event of a failure.
Preferably, the mechanism comprises two ball screw actuators.
The mechanism may comprise a rotating shaft and gearing for powering the ball screw actuator. Rotational power can be efficiently delivered from the rotating shaft to the gearing. It is also possible to use gearing, for example a worm gear, which is able to lock in the event of a failure. Preferably, the deployment mechanism comprises a sensor for monitoring the rotation of the shaft.
Alternatively and preferably, the mechanism comprises an electric motor for powering the ball screw actuator. This eliminates the need for a rotational shaft and gearing. Hence, an electrical actuation system has a lower weight than a mechanical actuation system. An electrical actuation system also has a lower number of parts, giving an improved service life. Preferably, the deployment mechanism comprises a sensor, for example, a potentiometer, for monitoring the function of the electric motor.
Preferably, at least one of the first and second connector portions comprises a pivotable joint and a bracket. This allows the deployment mechanism to rotate to accommodate the changing position of the auxiliary wing surface device as it deploys.
According to a second aspect of the invention there is also provided an aircraft wing comprising a wing body, an auxiliary wing surface device and the deployment mechanism of any preceding claim, wherein the first connector portion is connected to the aircraft wing body, the second connector portion is connected to the auxiliary wing surface device and wherein the inner rod is extendable from inside of the outer rod to increase the length of the telescopic rod, such that the distance between the aircraft wing body and the auxiliary wing surface device can be increased.
Preferably, the auxiliary wing surface device is located at the leading edge of the aircraft wing.
Preferably, the auxiliary wing surface device is stowable within the aircraft wing to form part of the profile of the aircraft wing.
The auxiliary wing surface device may be a slat. Alternatively, the auxiliary wing surface device is a drooped nose device. Alternatively and preferably, the auxiliary wing surface device is a Krueger flap.
Preferably, a bracket of the first connector portion is attached to a spar, preferably a front spar, of the aircraft wing. This provides a load path from the auxiliary wing surface device directly to a significant structural component of the aircraft wing body.
Preferably, the bracket of the first connector portion is attached near to an upper cover of a wing box of the aircraft wing body. This is advantageous in terms of the structural support required for the mechanism.
Preferably, the aircraft wing further comprises a number of linkages between the auxiliary wing surface device and the aircraft wing body, the linkages defining the travel path of the auxiliary wing surface device in relation to the aircraft wing body when the length of the telescopic rod is increased.
Preferably, the linkages are connected to one or more ribs of the aircraft wing body. This is advantageous as the ribs are a significant structural component of the aircraft wing body.
Preferably, there is a first linkage for reacting lateral loads from the auxiliary wing surface device and a second linkage for reacting shear loads.
Preferably, the aircraft wing comprises a support structure attached to the auxiliary wing surface device, and wherein each of the two linkages is pivotally connected to the support structure.
Preferably, the two linkages are connected to the support structure at different positions such that their axes of rotation with respect to the auxiliary wing surface device are spaced apart. This allows both the position and the angle of the auxiliary wing surface device to be controlled by the linkages.
Preferably, the aircraft wing body comprises a pivot pin attached to one or more ribs of the aircraft wing body and wherein one of the linkages, preferably the first linkage, is connected so as to be pivotable around the pivot pin.
Preferably, the aircraft wing body comprises a support bracket attached to one or more ribs of the aircraft wing body and wherein one of the linkages, preferably the second linkage, is connected so as to be pivotably connected to the support bracket.
Preferably, the two linkages are pivotally connected to the aircraft wing body at different positions such that their axes of rotation with respect to the aircraft wing body are spaced apart.
According to a third aspect of the invention there is also provided an aircraft comprising the aircraft wing or deployment mechanism as described above.
According to a fourth aspect of the invention there is also provided a method of operating an aircraft, wherein the method comprises the steps of actuating a telescopic rod so that an inner rod of the telescopic rod extends from inside of an outer rod of the telescopic rod to increase the length of the telescopic rod, thereby increasing the distance between a first connector portion at a first end of the telescopic rod and a second connector portion at a second end of the telescopic rod, wherein the first connector portion is connected to the auxiliary wing surface device, and the second connector portion is connected to the aircraft wing body, and thereby deploying the auxiliary wing surface device from the aircraft wing body.
According to a fifth aspect of the invention there is also provided a method of operating an aircraft, wherein the method comprises the steps of actuating a telescopic rod so that an inner rod of the telescopic rod retracts inside of an outer rod of the telescopic rod to decrease the length of the telescopic rod, thereby decreasing the distance between a first connector portion at a first end of the telescopic rod and a second connector portion at a second end of the telescopic rod, wherein the first connector portion is connected to the auxiliary wing surface device, and the second connector portion is connected to the aircraft wing body, and thereby retracting the auxiliary wing surface device towards the aircraft wing body.
It will of course be appreciated that features described in relation to one aspect of the present invention may be incorporated into other aspects of the present invention. For example, the method of the invention may incorporate any of the features described with reference to the apparatus of the invention and vice versa.
DESCRIPTION OF THE DRAWINGS
Embodiments of the present invention will now be described by way of example only with reference to the accompanying schematic drawings of which:
FIG. 1 a shows a partially cut-away perspective view of part of an aircraft wing according to a first embodiment of the invention;
FIG. 1 b shows an enlarged view of the deployment mechanism in FIG. 1 a;
FIG. 2 a shows a partially cut-away perspective view of part of an aircraft wing according to a second embodiment of the invention;
FIG. 2 b shows an enlarged view of the deployment mechanism in FIG. 2 a;
FIG. 3 shows a partially cut-away side view of the ball screw actuator in either the first or second embodiments;
FIG. 4 shows a perspective view of the linkage system in either the first or second embodiments;
FIG. 5 a shows a side view of part of the aircraft wing of FIGS. 2 a and 2 b , with the Krueger flap in a fully stowed position;
FIG. 5 b shows a side view of part of the aircraft wing of FIGS. 2 a and 2 b , with the Krueger flap in a partially deployed position; and
FIG. 5 c shows a side view of part of the aircraft wing of FIGS. 2 a and 2 b , with the Krueger flap in a fully deployed position.
DETAILED DESCRIPTION
FIG. 1 a shows a partially cut-away perspective view of part of an aircraft wing 10 according to a first embodiment of the invention. The aircraft wing 10 comprises an aircraft wing body 20 and a number of Krueger flaps 30 forming the lower leading edge of the aircraft wing 10 .
The aircraft wing body comprises a front spar 21 , an upper cover 23 and a lower cover ( 24 , not shown in FIG. 1 a ). The aircraft wing body 20 also comprises a number of ribs 22 , arranged in adjacent pairs, extending forwards from the front spar 21 .
The aircraft wing 10 comprises a number of linkage systems 80 , 90 , 100 which will be described in more detail in relation to FIG. 4 . Each linkage system 80 , 90 , 100 is located between a pair of adjacent ribs 22 and is used to control the movement path of one of the Krueger flaps 30 .
The aircraft wing 10 also comprises a deployment mechanism 60 and actuation system for each Krueger flap 30 . One of these is shown enlarged in FIG. 1 b.
The deployment mechanism 60 comprises a telescopic rod 61 , which is attached at a first end to a ball screw actuator 70 and at a second end to the Krueger flap 30 .
The telescopic rod 61 comprises three sections; an outermost rod section 62 , an intermediate rod section 63 and an innermost rod section 64 . The outermost rod section 62 is attached to the ball screw actuator 70 at the first end of the telescopic rod 61 . The outermost rod section 62 has an internally threaded portion ( 67 a , not shown in FIG. 1 b ). The intermediate rod section 63 has a smaller diameter than the outermost rod section with an externally threaded portion 67 b corresponding to the internally threaded portion 67 a of the outermost rod section 62 . The intermediate rod section 63 can be screwed in and out of the outermost rod section 62 . The intermediate rod section 63 also has an internally threaded portion ( 68 a , not shown in FIG. 1 b ). The innermost rod section 64 has a smaller diameter than the intermediate rod section with an externally threaded portion 68 b corresponding to the internally threaded portion 68 a of the intermediate rod section 63 . The innermost rod section 64 can be screwed in and out of the intermediate rod section 63 .
The innermost rod section 64 comprises a flat bulbous portion 65 at the second end of the telescopic rod 61 . This bulbous portion 65 has a spherical bearing installed in a hole through it and is attached to a bracket 40 by a pin extending through the bulbous portion 65 and also through bushes installed in holes 43 , 44 in two lugs 41 , 42 of the bracket 40 . Each lug 41 , 42 is located either side of the bulbous portion 65 so that the bulbous portion 65 is pivotally mounted between the lugs 41 , 42 of the bracket 40 . The bracket 40 also comprises a flat base portion 46 that is attached to an interior surface 33 of the Krueger flap 30 .
The ball screw actuator 70 (which will be described in more detail in relation to FIG. 3 ) is attached at its other end to a universal joint 73 . The universal joint 73 is also attached to a gear housing 74 . The gear housing is attached to the front spar 21 of the aircraft wing 10 by a bracket 75 . Underneath the gear housing 74 is a worm gear 76 mounted on a rotational shaft 77 . The rotational shaft 77 is mounted on the front spar 21 by brackets 78 and extends along in front of the front spar 21 and provides a rotational movement to the worm gear 76 for each deployment mechanism 60 in the wing 10 . In addition, there is an optical sensor (not shown) at each end of the rotational shaft 77 . The sensors monitor the function and position of the rotational shaft 77 .
FIG. 2 a shows a partially cut-away perspective view of part of an aircraft wing 510 according to a second embodiment of the invention. This second embodiment is similar to the first embodiment with the exception that the actuation system is different; while the first embodiment has a mechanical shaft 77 actuation system for actuating the ball screw actuator 70 , the second embodiment uses an electrical motor 573 for doing so. In the figures and in the following description, like numerals will be used for like elements between the embodiments. Elements unique to or different in the second embodiment will be prefixed with “5”.
The different elements of the actuation system of the second embodiment aircraft wing 510 will now be described in relation to FIG. 2 b.
The ball screw actuator 70 is attached to a plate 575 . The plate 575 is attached to a bracket 576 , secured to the front spar 21 . In addition, an electrical motor 573 is attached to the plate 575 and is electrically connected to the ball screw actuator 70 . An electrical harness 574 connects the electric motor 573 to an electricity supply in the aircraft. In addition, there is a potentiometer (not shown) attached to the electrical motor 573 to monitor the function of the electrical motor 573 and/or ball screw actuator 70 .
The deployment mechanism 60 shown in FIG. 2 b is almost identical to that in FIG. 1 a . However, the deployment mechanism 60 as shown in FIG. 2 b has a longer outermost rod section 62 and so, for the same position of the Krueger flap 30 , the intermediate 63 and innermost 64 rod sections have less length protruding from the outermost rod section 62 . The outermost rod section 62 can be longer than in the first embodiment due to the electrical actuation system of the second embodiment being smaller than the mechanical actuation system of the first embodiment.
FIG. 3 shows a partially cut-away side view of one ball screw actuator 70 in either the first or second embodiments. In each embodiment, there will actually be a second identical ball screw actuator present for each flap 30 in order to have a back-up actuator in case the first should fail. The ball screw actuator 70 comprises ball bearings 71 which fit into two sets of channels 72 formed between two internally threaded portions 67 a of the outermost rod section 62 and the externally threaded portion 67 b of the intermediate rod section 63 . The ball bearings 71 fill up the two sets of channels and cause the intermediate rod section 63 to move in relation to the outermost rod section 62 .
FIG. 4 shows a perspective view of the linkage system 80 , 90 , 100 in either the first or second embodiments. The linkage system comprises three components; an A-link 80 , a support bracket 90 and an I-link 100 .
The A-link 80 comprises an A-frame 81 . The A-frame 81 is provided with two foot portions 82 , 83 extending behind the “A” shape from the bottom of the two legs of the “A” shape. Each foot portion 82 , 83 is provided with a hole 84 , 85 . A pin 88 is located through bushes in the two holes 84 , 85 so that the pin 88 is parallel to but behind the bottom of the “A” shape. The pin 88 is fixed between a pair of adjacent ribs 22 a , 22 b at the leading edge of the aircraft wing 510 . The A-frame 81 can pivot around the pin 88 and so can pivot with respect to the aircraft wing body 20 . Adjacent to the top apex of the A-frame 81 is another bush installed in a hole 86 that is parallel to the bottom of the “A” shape. This hole 86 accommodates another pin 87 . This pin 87 is attached to a supporting structure 50 of the Krueger flap 30 , as will be described later. The A-link 80 is designed to react lateral loads from the Krueger flap 30 .
The supporting bracket 90 comprises two side flanges 91 , 92 , each one being riveted 93 to an inner facing side of each of the adjacent pair of ribs 22 a , 22 b . The supporting bracket 90 has a top portion 94 with a central gap 95 in the top portion. The supporting bracket 90 also has a downwards facing foot portion 96 at the bottom centre of the supporting bracket 90 . This foot portion 96 has two lugs 97 , each with a hole 98 in. These two holes 98 accommodate the pin 88 so that the supporting bracket 90 helps to secure the pin 88 to the ribs 22 . Adjacent to the holes 98 and slightly above them is another set of holes 99 through the foot portion 96 . These holes 99 connect the I-link 100 .
The I-link 100 comprises an I-beam 101 with a tail portion 102 that is slightly angled. At the end of the tail portion 102 is a hole 103 . The I-link 100 is connected to the supporting bracket 90 by a pin 104 extending through a spherical bearing installed in the hole 103 in the I-link 100 and bushed installed in holes 99 in the supporting bracket 90 . The I-beam can pivot about pin 104 . At the non-tail end of the I-beam 101 is another hole 105 with a bearing installed in it. The hole 105 has an axis that is parallel to the pin 104 . This hole 105 accommodates another pin 106 . This pin 106 is attached to a supporting structure 50 of the Krueger flap 30 , as will be described later. The I-link 100 is designed to react shear loads from the Krueger flap 30 .
FIG. 5 a shows a side view of part of the aircraft wing of FIGS. 2 a and 2 b , showing one Krueger flap 30 in a fully stowed position. FIG. 5 b shows the Krueger flap 30 in a partially deployed position, and FIG. 5 c shows the Krueger flap 30 in a fully deployed position.
In the partially deployed position of FIG. 5 b , the Krueger flap is at approximately 90 degrees to the wing. Here, the Krueger flap can act as a brake.
The Krueger flap 30 and its supporting structure 50 will now be described in relation to these figures. Importantly, the Krueger flap 30 and its supporting structure 50 are the same as in the first embodiment and so the following description applies to the first embodiment too.
The Krueger flap 30 is in the shape of a cambered aerofoil with a bluff rounded end 31 and a tapered narrow end 32 . As can be seen in FIG. 5 a , when stowed, the flap 30 is stowed with its bluff end 31 towards the rear of the wing 510 and the tapered end 32 at the leading edge of the wing 510 . An interior surface 33 of the flap 30 sits adjacent to the underside of the main wing body 20 with an exterior surface 34 forming the underside leading edge profile of the wing 510 .
A supporting structure 50 for the Krueger flap 30 is in the form of a right-angled triangle beam. A short side 51 of the beam is placed inside the flap 30 so that it is abutting the inside of the exterior surface 34 of the flap 30 . A longer side 52 of the beam that is at right angles to the short side 51 extends outwards from the flap 30 to the apex of the beam. A sloping side 53 of the beam extends from the apex in the direction of the tapered end 32 of the Krueger flap 30 . At the apex of the beam is a hole 54 for accommodating pin 106 of the I-link 100 to allow the I-link to pivot with respect to the supporting structure 50 and Krueger flap 30 . Approximately one third of the distance along the sloping side 53 from the apex is another hole 55 for accommodating pin 87 of the A-link 80 to allow the A-link to pivot with respect to the supporting structure 50 and Krueger flap 30 .
In use, the Krueger flap 30 is moved in relation to the aircraft wing body 20 from a stowed position (in FIG. 5 a ), for example during cruise, to a fully deployed position (in FIG. 5 c ), for example for take-off and landing operations. In the stowed position, the Krueger flap 30 profile is blended with the leading edge lower profile of the aircraft wing 510 and so laminar flow along the wing is not disturbed. In the fully deployed position, the Krueger flap 30 provides an auxiliary wing surface in front of the leading edge of the aircraft wing body 20 . This increases the lift co-efficient of the wing 510 . In this fully deployed position, the Krueger flap is at approximately 120 degrees to the wing. Here, the Krueger flap can act as a shield for protecting the leading edge of the wing from debris, for example during take-off.
During take-off and landing, the Krueger flap 30 is in its fully deployed position ( FIG. 5 c ). Once the aircraft has taken off and its speed has increased so that the auxiliary wing surface is no longer required, the Krueger flap 30 can be retracted into its stowed position. This is done by actuating either the electric motor 573 (in the second embodiment) or the rotational shaft 77 (in the first embodiment).
In the case of the first embodiment, the rotational shaft 77 causes the worm gear 76 to rotate and this causes the gear in the gear housing 74 to also rotate. This actuates the ball screw actuator 70 .
In the second embodiment, the electric motor 573 actuates the ball screw actuator 70 directly.
In both embodiments, with the ball screw actuator 70 activated, the intermediate rod section 63 is retracted into the outermost rod section 62 and also the innermost rod section 64 is retracted into the intermediate rod section 63 . This causes the Krueger flap 30 to be pulled backwards towards the front spar 21 . This causes the linkages 80 , 100 to pivot clockwise (as seen in FIGS. 5 a to 5 c ) and thereby define the retraction travel path of the Krueger flap 30 .
When the aircraft is approaching landing, the Krueger flap 30 can be re-extended into its deployed position. This is done by actuating either the electric motor 573 (in the second embodiment) or the rotational shaft 77 (in the first embodiment).
In the case of the first embodiment, the rotational shaft 77 is rotated in the opposite direction to during retraction, which causes the worm gear 76 to rotate in the opposite direction and this causes the gear in the gear housing 74 to also rotate in the opposite direction to before. This actuates the ball screw actuator 70 to deploy the flap 30 .
In the second embodiment, the electric motor 573 actuates the ball screw actuator 70 to deploy the flap 30 directly.
In both embodiments, with the ball screw actuator 70 activated, the intermediate rod section 63 is extended out of the outermost rod section 62 and also the innermost rod section 64 is extended out of the intermediate rod section 63 . This causes the Krueger flap 30 to be pushed forwards away from the front spar 21 . This causes the linkages 80 , 100 to pivot anti-clockwise (as seen in FIGS. 5 a to 5 c ) and thereby define the extension travel path of the flap 30 .
Whilst the present invention has been described and illustrated with reference to particular embodiments, it will be appreciated by those of ordinary skill in the art that the invention lends itself to many different variations not specifically illustrated herein. By way of example only, certain possible variations will now be described.
As a variation to the first embodiment, there may be more than one rotational shaft 77 . For example, there may be one rotational shaft 77 for each Krueger flap 30 or one rotational shaft for each deployment mechanism 60 .
Also, instead of having an optical sensor at each end of the rotational shaft 77 for monitoring the function and position of the rotational shaft 77 , a magnetic sensor at each end of the rotational shaft 77 may be used.
As a variation to both embodiments, the Krueger flap 30 may also be deployed (or at least partially deployed) during cruise flight of the aircraft to act as an air brake.
Where in the foregoing description, integers or elements are mentioned which have known, obvious or foreseeable equivalents, then such equivalents are herein incorporated as if individually set forth. Reference should be made to the claims for determining the true scope of the present invention, which should be construed so as to encompass any such equivalents. It will also be appreciated by the reader that integers or features of the invention that are described as preferable, advantageous, convenient or the like are optional and do not limit the scope of the independent claims. Moreover, it is to be understood that such optional integers or features, whilst of possible benefit in some embodiments of the invention, may not be desirable, and may therefore be absent, in other embodiments. | The invention provides a deployment mechanism 60 for deploying an auxiliary wing surface device 30 from an aircraft wing body 20 , the deployment mechanism providing a first connector portion 75, 576 for connecting the deployment mechanism to the aircraft wing body, a second connector portion 65 for connecting the deployment mechanism to the auxiliary wing surface device, and a telescopic rod 61 linking the first and second connector portions, the telescopic rod comprising an inner rod 64 extendable from inside of an outer rod 63 to increase the length of the telescopic rod, such that the distance between the first and second connector portions can be increased. The invention also provides an aircraft wing 10, 510 , an aircraft and a method of operating an aircraft. | 32,219 |
CROSS-REFERENCE TO RELATED APPLICATION
[0001] This application is a divisional of U.S. patent application Ser. No. 10/648,651 filed Aug. 25, 2003, the entirety of which is hereby incorporated by reference into this application.
FIELD OF THE INVENTION
[0002] This invention relates to a process for preparing an extract from a plant and the extract thereof, and especially to one process of using a water miscible organic solvent or a mixture thereof with water for obtaining an extract from the plant.
BACKGROUND OF THE INVENTION
[0003] Nowadays, the Dendrobium species is considered to be the most precious Chinese herb for treating ophthalmic defects. A Dendrobium species belongs to an orchid family, and its steam is the mainly medicinal part. It tastes a little sweet and brackish. Some Chinese medical codices disclose that the Dendrobium species is the curative for some illnesses such as salivary defects, stomach defects, and ophthalmic defects. According to our previous research experience, it appears that the Dendrobii Caulis is the most medicinal species.
[0004] A retinal pigment epithelium (RPE) is a monolayer cell at the surface layer of the retina, which is located between the Bruch's membrane and the photoreceptors. The villous processes at the top of RPE are connected to the outer segments of the photoreceptors, and the basal inflodings at the bottom of RPE are connected to the choroids via the Bruch' membrane. Since the RPE can effectively remove or transmit the toxic materials and the metabolite of the choroid coat and the retina, it performs a very important blood-retinal barrier. In addition, the RPE has many functions, such as receiving light, phagocytizing the outer segments separated from the rod cell and the cone cell because of light stimulation, catabolizing the phagosome, synthesizing the extracellular matrix and the melanin, detoxifying the medicine, providing the essential material for reproducing the outer segments of the photoreceptor, storing and transmitting the Vitamin A, synthesizing the rhodospin, and forming the adherent force of the retina. According to the statistics, a RPE of rat can remove 25000 outer segments separated from the rod cells and the cone cells because of light stimulation in one day, which obviously shows the importance of the frequent phagocytic metabolism (Mayerson and Hall, 1986). The normal phagocytosis of the RPE plays a critical role in maintaining the health of the photoreceiptors in the retina. Once the function of phagocytosis is reduced, it will result in the degeneration of the photoreceptors. Although the RPE will be dead or moved to someplace else with the increasing age, the aged RPE still owns the phagocytic ability. However, the digestion ability of the RPE is obviously reduced (Boulton and Marshall, 1986). It appears that the numbers of the human photoreceptors will be decreased per year with a rate ranged from 0.2 to 0.4% per year (Panda-Jonas et al., 1995). Further, the lost quantity of the rod cells are more than those of the cone cells, which causes the diseases and the vision degradation of the aged people. Therefore, maintaining the RPE function is quite important for the visional system.
[0005] Although a nitric oxide (NO) is a small, unstable gas molecule with a half-life of several seconds, it has various kinds of physiological functions. Since the NO is an electrically neutral gas, it can arbitrarily penetrate the cell wall. On the other hand, since the NO has the unpaired electron, the NO molecule is highly reactive as the free radicals so that it will penetrate the cell membrane and react immediately after being formed. In the immune system, the NO plays a defensive role and is toxic to cells. In the blood vessel system, the NO is a so-called endothelium derived relaxing factor (EDRF). And, in the central nervous system, the NO acts as a neurotransmitter.
[0006] The NO is released from the process of transferring L-arginine into L-citrulline via a nitric oxide synthase (NOS). However, the detailed transferring mechanism of how to release the NO is still unclear till now. The NOS includes three kinds of isoforms, a neuronal NOS, an endothelial NOS and an immunologic NOS. The neuronal NOS and the endothelial NOS are constitutive forms, named as cNOS, whose activities are regulated by the calcium ion (Ca ++ ) and the calmodulin, and the concentration of the released NO is in the level of nano-molarity (nM). The immunologic NOS is an inducible form, named as iNOS, whose activity is not regulated by the Ca ++ and the calmodulin, and the concentration of the released NO is in the level of milli-molarity (mM). The genes of the cNOS and the iNOS are respectively located on different chromosomes. Taking human beings as an example, the neuronal NOS is located on the chromosome 12, the endothelial NOS is located on the chromosome 7, and the immunologic NOS is located on the chromosome 17 (Goldstein et al., 1996).
[0007] In retina, the NOS has been found in the retinal neuron, RPE, amacrine cells, ganglion cells, and Muller cells. It appears that the NO plays an important role in the physiology and pathology, and is closely related to the functions of the eye.
[0008] Because the NO can regulate the voltage-gated ion channel on the photoreceptors, it is conjectured that the NO is related to the transmission of the light messages. It's found that the NO owns the ability of regulating the blood flow of the retina under a basal condition or an ischemia environment (Tilton et al., 1993). Further, it's believed that the NO may own the ability of regulating the damage degrees of the blood vessels in the retina, in which the damage is caused by diabetes (Goureau et al., 1994). In addition, when the retinal glial cells and the RPE are stimulated by the LPS, IFN-g, and the TNF-a, the NOS will be largely expressed, which largely increase the production of the NO. In other words, under the conditions that the retina is inflamed or infected, the NO might play a role in the defense and protection mechanisms.
[0009] Till now, the position and the characteristics of the cNOS in the photoreceptor are still unclear. Some references disclose that the main body of the photoreceptor has the cNOS activities, and other references disclose that only the photoreceptor outer segments own the cNOS activities. The released NO can regulate the transmission of light, the transmitted message of the neutron synapase, and the blood flow of the retina under a physiological condition or an ischemia environment. The iNOS activity can also be found in some cells in the retina, such as the RPE and the Muller cells. In the culture of a bovine RPE, after being stimulated for 12 hours with the IFN-γ, LPS, and TNF-α, a mass of NO will be released for at least 96 hours. The effects of the cytokines on the RPE iNOS activity are quite complex. In a bovine RPE, for instance, being stimulated by the LPS and the IFN-γ, or the IFN-α are necessary for releasing a mass of NO. The bFGF inhibits the functions of NOS, but the TGF-β slightly enhances the functions of the NOS. For a human RPE, it is necessary to be stimulated by the Interleukin-1 β to release a mass of NO. However, the LPS is not the necessary factor to stimulate a human RPE. In addition, the TGF-β obviously inhibits the release of the NO in a human RPE.
[0010] When infected by bacteria, the expressions of iNOS may be beneficial because the released NO will kill the invaded microorganism. Contrarily, in some cases, when the released NO is exceeded, the released NO will result in the autoimmune diseases or the septic shock. In 1994, the first evidence for explaining the relationship between NO and the inflammation of the fundus oculi is proposed, and the reference also proposed that the uveitis resulted from the endotoxins can be blocked by the iNOS inhibitor. On the other hand, it appears that the aFGF and the bFGF can inhibit RPE from generating a mass of NO by treating the RPE with IFN-γ and LPS. Since it is the expression of the iNOS, but not the stabilities of the iNOS being mRNA, is inhibited, it's conjectured that the FGF will protect the RPE from being damaged by the endotoxins and the cytokines. Thus, it can be seen that the iNOS also plays a role in regulating the immunity of the retina.
[0011] The common retinal diseases include the proliferative diabetic retinopathy caused by the diabetes, the proliferative vitreoretinopathy, and the Aged-macular degeneration. However, the retinal diseases are the hardest diseases to cure in the ophthalmic defects. The hyperglycemia accelerates the glycation, which forms the advanced glycation end products (AGEs), and it is believed that the AGES closely relates to the vascular complication or the neuronal complication (Lu et al., 1998). An unstable schiff base is formed via the nonenzymatic reaction between the aldehyde group or the ketone group of the reducing sugar and the primary amino acids of the protein. Then, an amadori product is formed from the schiff base via the amadori rearrangement (Munch et al., 1997). And, the advanced glycosylation end product (AGE) will be formed from the amadori product via the rearrangement process. It is known that the nonenzymatic glycosylation is not a reversible reaction and usually occurs at the protein having a long half-life. While the AGE formation results in cross-linking, the protein molecule would have a resistance to the protease. Therefore, the accumulation of the AGE would be an aging mark (Handa et al., 1999). With the increasing age, the AGE amounts in the pyramidal neurons of the brain, the Bruch's membrane and the collagen will increase gradually. The reactive rate of the nonenzymatic glycosylation is a primary reaction, and the reaction rate is dependent on the concentrations of the reducing sugar and the protein. Usually, a diabetic patient has a higher blood glucose concentration than normal people, so that the glycosylation situation will be increased. It is known that the diabetic patients have higher probabilities of having some diseases or symptoms for the normal people are all directly related to the AGE, in which the disease or symptoms include the atherosclerosis, the kidney impair, the vessel damage, the neuron disease, the retinopathy, and the apoplexy (Zimmerman et al., 1995). The main reason for the aggregation of the erythrocyte, resulted from the diabetes, is that the tertiary structure of the albumin is changed after being glycosylated, so that the glycosylated albumin loses the functions of the anti-aggregation. Further, the reason for changing the permeability of the glomerulus is the glycosylation of the albumin but not the glycosylation of the glomerular basement membrane. In addition, the glycosylated protein has a better ability for penetrating the blood brain barrier.
[0012] The AGE can combine with some receptors on the cell surface or some proteins. The known receptors include the scavenger receptors type I, the scavenger receptors type II, the receptor for AGE (RAGE), OST-48 (AGE-R1), 80K-H phosphoprotein (AGE-R2), and the galectin-3 (AGE-R3). Besides, the RAGE can be found at the surfaces of the monocyte, the macrophage, the endothelial cell, and the glia cell. When the cell is activated by the AGE, the expressions of the extracellular matrix protein, the vascular adhesion molecules, and the growth factors will increase. Depending on the different cell types and the transmitted signals, some phenomena will occur accompanied with the above situation, such as the chemotaxis, the angiogenesis, the oxidative stress, the cell proliferation and the programmed cell death. It appears that the various cells in the human brain are able to express different RAGEs, which remove the AGE. When the remove ability is lost, the AGE will be accumulated outside the cell, which induces the inflammation reaction of the central nervous system. Furthermore, the AGE will induce the expressions of both the retinal vascular endothelial growth factor of the RPE and the PDGF-β (Handa et al., 1998). The AGE plays an important role in the aging process, so that designing a pathological model by the glycosylated albumin for developing a new medicine is very important.
[0013] The most important growth factor in the liver is the hepatocyte growth factor/scatter factor (HGF/SF), which is formed by combining the 60 KDa heavy chain (a chain) with the 30 KDa light chain (β chain) through the disulfide bond. The newly formed HGF/SF is the prepro HGF/SF, which needs to be modified by an enzyme for forming the heterodimeteric form before having a biological activity. The HGF is a multi-function growth factor, which not only has the ability for regulating the growth of the various cells, but also plays an important role in the tissue repair and the organ regeneration. The internal distribution of the HGF is very extensive, wherein the liver has the highest quantity of the HGF. Furthermore, the HGF can be found in the pancreas, the thymus, the blood, the small intestines, the placenta and so forth. In addition, the HGF/SF or the HGF/SF receptors are found in the eye secretions and the eye tissues, such as the tears, the lachrymal gland, and the cornea, so that it is conjectured that the HGF may play a role in the regulation of eyes (Li et al., 1996). Besides, it's known that the RPE has both the HGF and the HGF receptor (c-Met). Since the tyrosine phosphorylation of the c-Met expresses all the time, the HGF may be a growth factor with the self-stimulation function for the RPE. Further, the HGF may be related to the development of the retina (Sun et al., 1999), the wound healing, and the newborn retinal vessels (He et al., 1985).
[0014] From the above, it is known that RPE plays an important role in retinal regulation mechanisms. Meanwhile, we have found and proved that the Chinese herb, Dendrobium species, is able to enhance or inhibit some functions or regulation mechanisms in RPE. More specifically, the Dendrobium species can enhance the expressions of RPE phagocytosis, the NO formation of the RPE, the gene expressions of the RPE liver hepatocyte growth factor. The Dendrobium species can inhibit the gene expressions of the bFGF, the VEGF and the TGF-β in the RPE under a normal condition and an ischemia environment. Consequently, the relevant researches about the enhancing factors of the RPE activities are important for improving the health of the body. That is to say, the relevant research is absolutely worthy in the relevant industries.
[0015] Because of the technical defects described above, the applicant keeps on carving unflaggingly to develop “EXTRACT OF PLANT DENDROBII CAULIS AND PREPARING PROCESS THEREOF” through wholehearted experience and research.
SUMMARY OF THE INVENTION
[0016] It is a main object of the present invention to provide some experiment process for searching out the enhancing factors of the function or activity in the retinal pigment epithelium.
[0017] It is another object of the present invention to provide some enhancing factors of the function or activity in the retinal pigment epithelium for treating some ophthalmic defects.
[0018] It is another object of the present invention to provide some processes for testing the physiological ability of a plant extract.
[0019] It is an aspect of the present invention to provide an extract of a plant Dendrobii Caadis , obtained by an extraction of said plant or parts thereof with a water miscible organic solvent or a mixture thereof with water.
[0020] Preferably, the organic solvent is one selected from a group consisting of an alcohol having 1 to 8 carbon atoms, an alkane, and an ester.
[0021] In accordance with another aspect of the present invention, a physiological active composition including a physiologically acceptable carrier for carrying therewith, and one of an extract described above and an isomer of the extract is provided.
[0022] Preferably, the physiological active composition is a pharmaceutical composition.
[0023] Preferably, the physiologically acceptable carrier is a pharmaceutical carrier.
[0024] In accordance with another aspect of the present invention, a process for preparing an extract from a plant Dendrobii Caulis , including plural steps of extracting the plant or parts thereof with a water, a water miscible organic solvent or a mixture thereof is provided.
[0025] Preferably, the organic solvent is one selected from a group consisting of an alcohol having 1 to 8 carbon atoms, an alkane, and an ester.
[0026] In accordance with another aspect of the present invention, a process for preparing an extract from a plant is provided. The process includes steps of a) obtaining a first alcohol extract from the plant, b) extracting the first alcohol extract by a water and an alkane simultaneously for obtaining a first water layer and an alkane extract, c) extracting the first water layer by an ester for obtaining an ester extract and a second water layer, and d) extracting the second water layer by a second alcohol for obtaining a second alcohol extract and a third water layer.
[0027] Preferably, the plant belongs to Genus Dendrobium.
[0028] Preferably, the step a) further includes steps of a1) providing a dry material of the plant, a2) grinding the dry material by a pulverizer, and a3) extracting the ground dry material by the first alcohol for obtaining the first alcohol extract.
[0029] Preferably, the first alcohol is an alcohol having 1 to 8 carbon atoms.
[0030] Preferably, the second alcohol is an alcohol having 1 to 8 carbon atoms.
[0031] Preferably, the step b) further includes a step of b1) drying the first alcohol extract through steps of decompressing, condensing, and exhausting.
[0032] Preferably, the alkane extract is an n-hexane extract.
[0033] Preferably, the step c) further includes steps of c1) drying the ester extract, and c2) extracting the dried ester extract with a hexane and a methanol for obtaining a hexane extract and a methanol extract.
[0034] Preferably, the hexane extract is dried by steps of decompressing, condensing, and exhausting.
[0035] Preferably, the ester is an ethyl-acetate.
[0036] Preferably, the process further includes steps of e) chromatographing the second alcohol extract for obtaining a first eluate named as DCMPbL6,7, and f) chromatographing the DCMPbL6,7 by a mobile phase for obtaining a second eluate.
[0037] Preferably, the step e) is performed by an eluent of a methanol/water mixture in a 50:50 volume ratio.
[0038] Preferably, the mobile phase is an isopropanol/water mixture in a 20:80 volume ratio, and the second eluate is named as DCMPbL6,7D2.
[0039] Preferably, the DCMPbL6,7D2 is further chromatographed with a methanol/water/acetic acid mixture in a 35:65:1 volume ratio for obtaining a third eluate named as DCMPbL6,7D2H2.
[0040] Preferably, wherein the mobile phase is an isopropanol/water mixture in a 30:70 volume ratio, and the second eluate is named as DCMPbL6,7D3.
[0041] Preferably, the DCMPbL6,7D3 is further chromatographed with a methanol/water/acetic acid mixture in a 40:60:1 volume ratio for obtaining a fourth eluate named as DCMPbL6,7D3H3.
[0042] Preferably, the mobile phase is an isopropanol/water mixture in a 40:60 volume ratio, and the second eluate is named as DCMPbL6,7D4.
[0043] Preferably, the DCMPbL6,7D4 is chromatographed with a methanol/water/acetic acid mixture in a 45:55:1 volume ratio for obtaining a fifth eluate named as DCMPbL6,7D4H3.
[0044] In accordance with another aspect of the present invention, an extract obtained according to the process described above is provided.
[0045] In accordance with another aspect of the present invention, a physiological active composition including a physiologically acceptable carrier for carrying therewith, and one of an extract according to the process described above and an isomer of the extract is provided.
[0046] Preferably, wherein the physiological active composition is a pharmaceutical composition.
[0047] Preferably, the physiologically acceptable carrier is a pharmaceutical carrier.
[0048] In accordance with another aspect of the present invention, an eluate being the second eluate obtained according to the process described above is provided.
[0049] In accordance with another aspect of the present invention, a physiological active composition including a physiologically acceptable carrier for carrying therewith, and one of the eluate being the second eluate described above and the isomer of the eluate is provided.
[0050] Preferably, the physiological active composition is a pharmaceutical composition.
[0051] Preferably, the physiologically acceptable carrier is a pharmaceutical carrier.
[0052] In accordance with another aspect of the present invention, another eluate being the third eluate according to the process described above is provided.
[0053] In accordance with another aspect of the present invention, a physiological active composition including a physiologically acceptable carrier for carrying therewith, and one of the eluate being the third eluate described above and the isomer of the extract is provided.
[0054] Preferably, the physiological active composition is a pharmaceutical composition.
[0055] Preferably, the physiologically acceptable carrier is a pharmaceutical carrier.
[0056] In accordance with another aspect of the present invention, an eluate being the fourth eluate according to the process described above is provided.
[0057] In accordance with another aspect of the present invention, a physiological active composition including a physiologically acceptable carrier for carrying therewith, and the eluate being the fourth eluate and the isomer of the eluate is provided.
[0058] Preferably, the physiological active composition is a pharmaceutical composition.
[0059] Preferably, the physiologically acceptable carrier is a pharmaceutical carrier.
[0060] In accordance with another aspect of the present invention, an eluate being the fifth eluate according to the process described above is provided.
[0061] In accordance with another aspect of the present invention, a physiological active composition including a physiologically acceptable carrier for carrying therewith, and one of an eluate according to the fifth elute and the isomer of the eluate is provided.
[0062] Preferably, the physiological active composition is a pharmaceutical composition.
[0063] Preferably, the physiologically acceptable carrier is a pharmaceutical carrier.
[0064] In accordance with another aspect of the present invention, a process for preparing an extract from a plant is provided. The process includes steps of a) obtaining a first organic extract from the plant, b) extracting the first organic extract by a water and a second organic solvent simultaneously for obtaining a first water layer and a second organic extract, c) extracting the first water layer by a third organic solvent for obtaining a third organic extract and a second water layer, and d) extracting the second water layer by a four organic solvent for obtaining a fourth organic extract and a third water layer.
[0065] Preferably, the plant is an orchid.
[0066] Preferably, the step a) further includes steps of a1) providing a dry material of the plant, a2) grinding the dry material by a pulverizer, and a3) extracting the ground dry material by the first organic solvent for obtaining the first alcohol extract.
[0067] Preferably, the first organic solvent is an alcohol having 1 to 8 carbon atoms.
[0068] Preferably, the second organic solvent is an alkane having 1 to 8 carbons.
[0069] Preferably, the third organic solvent is an ester.
[0070] Preferably, the fourth organic solvent is an alcohol having 1 to 8 carbon atoms.
[0071] In accordance with another aspect of the present invention, a substance defined by the following FIGS. 5 to 11 is provided.
[0072] In accordance with another aspect of the present invention, a physiological active composition including a physiologically acceptable carrier for carrying therewith, and one of a substance according to FIGS. 5 to 11 and an isomer of the substance.
[0073] Preferably, the physiological active composition is a pharmaceutical composition.
[0074] Preferably, wherein the physiologically acceptable carrier is a pharmaceutical carrier.
[0075] In accordance with another aspect of the present invention, a substance defined by the following FIGS. 13 to 17 is provided.
[0076] In accordance with another aspect of the present invention, a physiological active composition including a physiologically acceptable carrier for carrying therewith, and one of a substance according to FIGS. 13 to 17 and an isomer of the substance is provided.
[0077] Preferably, the physiological active composition is a pharmaceutical composition.
[0078] Preferably, the physiologically acceptable carrier is a pharmaceutical carrier.
[0079] In accordance with another aspect of the present invention, a substance defined by the following FIGS. 19 to 24 is provided.
[0080] In accordance with another aspect of the present invention, a physiological active composition including a physiologically acceptable carrier for carrying therewith, and one of a substance according to FIGS. 19 to 24 and an isomer of the substance.
[0081] Preferably, the physiological active composition is a pharmaceutical composition.
[0082] Preferably, the physiologically acceptable carrier is a pharmaceutical carrier.
[0083] The above objects and advantages of the present invention will become more readily apparent to those ordinarily skilled in the art after reviewing the following detailed descriptions and accompanying drawings, in which:
BRIEF DESCRIPTION OF THE DRAWINGS
[0084] FIG. 1 is the flow chart of separating protocol for Dendrobii Caulis extract according to a preferred embodiment of the present invention.;
[0085] FIG. 2 is the bar chart illustrating the effects of the methanol extract of Dendrobii Cauli on the RPE function phagocytosis according to a preferred embodiment of the present invention;
[0086] FIG. 3 is the bar chart illustrating the effects of the solvent partition extracts of Dendrobii Cauli on the phagocytosis of RPE according to a preferred embodiment of the present invention;
[0087] FIG. 4 is the bar chart illustrating the effects of DCMPbL6,7D2H2 on phagocytosis of RPE according to a preferred embodiment of the present invention;
[0088] FIG. 5 shows the 1 H-NMR spectrum of DCMPbL6,7D2H2 in the solvents of Methanol-d 4 and DMSO-d 6 , using a 600-MHz instrument according to a preferred embodiment of the present invention;
[0089] FIG. 6 shows the 13 C-NMR spectrum of DCMPbL6,7D2H2 in the solvents of Methanol-d 4 and DMSO-d 6 , using a 600-MHz instrument according to a preferred embodiment of the present invention;
[0090] FIG. 7 shows the DEPT spectrum of DCMPbL6,7D2H2 in the solvents of Methanol-d 4 and DMSO-d 6 , using a 600-MHz instrument according to a preferred embodiment of the present invention;
[0091] FIG. 8 shows the HMQC spectrum of DCMPbL6,7D2H2 in the solvents of Methanol-d 4 and DMSO-d 6 , using a 600-MHz instrument according to a preferred embodiment of the present invention;
[0092] FIG. 9 shows the HMBC spectrum of DCMPbL6,7D2H2 in the solvents of Methanol-d 4 and DMSO-d 6 , using a 600-MHz instrument according to a preferred embodiment of the present invention;
[0093] FIG. 10 shows the 1 H- 1 H COSY spectrum of DCMPbL6,7D2H2 in the solvents of Methanol-d 4 and DMSO-d 6 , using a 600-MHz instrument according to a preferred embodiment of the present invention;
[0094] FIG. 11 shows the UV spectrometry of DCMPbL6,7D2H2 according to a preferred embodiment of the present invention;
[0095] FIG. 12 is the bar chart illustrating the effects of DCMPbL6,7D3H3 on phagocytosis of RPE according to a preferred embodiment of the present invention;
[0096] FIG. 13 shows the 1 H-NMR spectrum of DCMPbL6,7D3H3 in the solvent of DMSO-d 6 , using a 500-MHz instrument according to a preferred embodiment of the present invention;
[0097] FIG. 14 shows the 13 C-NMR spectrum of DCMPbL6,7D3H3 in the solvent of DMSO-d 6 , using a 500-MHz instrument according to a preferred embodiment of the present invention;
[0098] FIG. 15 shows the DEPT spectrum of DCMPbL6,7D3H3 in. the solvent of DMSO-d 6 , using a 500-MHz instrument according to a preferred embodiment of the present invention;
[0099] FIG. 16 shows the 1 H- 1 H COSY spectrum of DCMPbL6,7D3H3 in the solvent of DMSO-d 6 , using a 500-MHz instrument according to a preferred embodiment of the present invention;
[0100] FIG. 17 shows the HMBC spectrum of DCMPbL6,7D3H3 in the solvent of DMSO-d 6 , using a 500-MHz instrument according to a preferred embodiment of the present invention;
[0101] FIG. 18 is the bar chart illustrating the effects of DCMPbL6,7D4H3 on phagocytosis of RPE according to a preferred embodiment of the present invention;
[0102] FIG. 19 shows the 1 H-NMR spectrum of DCMPbL6,7D4H3 in the solvent of DMSO-d 6 , using a 500-MHz instrument according to a preferred embodiment of the present invention;
[0103] FIG. 20 shows the 13 C-NMR spectrum of DCMPbL6,7D4H3 in the solvent of DMSO-d 6 , using a 500-MHz instrument according to a preferred embodiment of the present invention;
[0104] FIG. 21 shows the DEPT spectrum of DCMPbL6,7D4H3 in the solvent of DMSO-d 6 , using a 500-MHz instrument according to a preferred embodiment of the present invention;
[0105] FIG. 22 shows the HMQC spectrum of DCMPbL6,7D4H3 in the solvent of DMSO-d 6 , using a 500-MHz instrument according to a preferred embodiment of the present invention;
[0106] FIG. 23 shows the 1 H- 1 H COSY spectrum of DCMPbL6,7D4H3 in the solvent of DMSO-d 6 , using a 500-MHz instrument according to a preferred embodiment of the present invention;
[0107] FIG. 24 shows the HMBC spectrum of DCMPbL6,7D4H3 in the solvent of DMSO-d 6 , using a 500-MHz instrument according to a preferred embodiment of the present invention;
[0108] FIG. 25 is the bar chart illustrating the effects of the extract of Dendrobii Cauli on nitric oxide (NO) productions of RPE according to a preferred embodiment of the present invention;
[0109] FIGS. 26 (A)-(B) show the electrophoresis results showing the effect of the extracts of Dendrobii Caulis on β-action (A), and HGF (B) levels in RPE according to a preferred embodiment of the present invention;
[0110] FIG. 27 shows the electrophoresis diagram showing the effect of the chemical solvent partition extracts of Dendrobii Caulis on HGF mRNA expression of RPE according to a preferred embodiment of the present invention;
[0111] FIGS. 28 (A) to (B) show the electrophoresis results of the effect of the extracts of Dendrobii Caulis on the expressions of β-actin, and bFGF for normal RPE according to a preferred embodiment of the present invention;
[0112] FIGS. 29 (A) to (B) show the indirectly relevant results of the effect of the extracts of Dendrobii Caulis on the expressions of VEGF, and TGF-β for normal RPE according to a preferred embodiment of the present invention;
[0113] FIGS. 30 (A) to (B) show the indirectly relevant results of the effect of the extracts of Dendrobii Caulis on the expressions of β-actin, and bFGF for hypoxia RPE according to a preferred embodiment of the present invention; and
[0114] FIGS. 31 (A) to (B) show the indirectly relevant results of the effect of the extracts of Dendrobii Caulis on the expressions of VEGF, and TGF-β for hypoxia RPE according to a preferred embodiment of the present invention;
[0115] FIG. 32 (A)-(E) show the electrophoresis results of the proteolytic activity of cultured RPE after being treated with DCM or HGF according to a preferred embodiment of the present invention;
[0116] FIG. 33 shows the relevant results of the proteolytic activity of cultured RPE after being treated with DCM or HGF according to a preferred embodiment of the present invention; and
[0117] FIG. 34 shows the relevant results of the effects of the extracts of Dendrobii Caulis on the advanced glycated endproducts concentration in sera of streptozotocin induced diabetic mice according to a preferred embodiment of the present invention.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENT
[0118] The present invention will now be described more specifically with reference to the following embodiments.
Example I
Culturing of the Retinal Pigment Epithelium
[0119] The fresh bovine eyes are collected from a slaughterhouse within 2-3 hr after slaughtering. The surfaces of the bovine eyes are sterilized with the tincture of iodine, and then are washed with the PBS (phosphate-buffer saline) buffer solution twice. After dissecting the bovine eyes and removing the lens, the vitreous body, and the retina in sequence, the dissected eyes are treated with 0.01% EDTA (ethylene diamine tetra-acetic acid) for 40 min and then 5% trypsin for 15 min. Then, a single RPE can be obtained after slightly pressing the eyes with a tweezers with round tips and pipetting several times. The pipetted solution is placed within the DMEM (Dulbecco's Modified Eagle Media) containing 10% FCS (fetal calf serum), and then is incubated in an incubator with a humidified atmosphere with 5% CO 2 at 37° C. The medium is replaced per 5-6 days till the cells reach the confluency. The cells are subcultured with a medium containing 0.05% trypsin and 0.02% EDTA. The fifth and the sixth generations of the cells are the main objects of the present invention for the bioactivity testing.
Example II
Preparation of the Rod Outer Segments (ROS)
[0120] Fresh bovine eyes are kept on ice and exposed under a light for 30 min after obtaining from the slaughterhouse. The surfaces of the bovine eyes are sterilized with the tincture of iodine, and then are washed with the Hank's buffer solution twice. After dissecting the bovine eyes and removing the lens, and the vitreous body in sequence, the retina are taken out and cut into pieces and then treated with 20 mM Tris-HCl containing 20% sucrose. After stirred for 3 hrs at 4° C., the cell solution is filtered with filters of pore size of 300, 220, 110, 74, 53, and 10 mesh respectively. After counting the cell numbers, the cells are aliquoted with a number of 1×10 8 ROS cells per column, and the columns are stored in a refrigerator at −20° C.
Example III
Preparation of the FITC (Fluorescein Isothiocyanate)-ROS
[0121] After the stored ROS cell solution is unfrozen and the suspension is removed, the unfrozen cell solution is mixed with 700 μl Borate buffer (pH 8.0), containing 10% sucrose and some FITC powder with a 1/1000 weight of the ROS is added. Then, the cell solution is stirred for 1.5 hrs at 4° C. The uncombined FITC without attached on the ROS is removed by washing with 20 mM Trans-acetate (pH 7.2) containing 20% sucrose. The cell solution is then centrifuged for 10 min at 10000 rpm. The relevant steps described above are repeated several times. Finally, the pellet is dissolved in the DMEM containing 2.5% sucrose.
Example IV
Testing the Phagocytosis Function of RPE
[0122] The content of the RPE is set up at a concentration of 5×10 4 cells/ml, and then 200 μl RPE is seeded into 96 well plates. After the cells reach the confluency, the medium is replaced. Then, 20 μl of various testing medicine is added into each well under the condition that the concentration of the fetal bovine serum is ranged from 2% to 5%. After incubating for 48 hrs, 50 μl of 2×10 7 FITC-ROS/ml is added into each well, and the culture is incubated for 4 hrs. The supernatant is removed, and the pellet is washed with 2.5% sucrose/PBS for several times. Finally, 100 μl PBS is added, and the cell number is measured by the Cyto-Fluorometer (Ex filter: 485/20 nm, Em filter 530/25 nm). The detected value is the cell number of the FITC-ROS attached on the RPE surface and the phagocytized FITC-ROS. Each well is added with 5 μl FluoroQuench and then is incubated in an incubator for 1 hr. Next, the relevant fluorescence value is measured and is thought as the cell number of the phagocytized FITC-ROS.
Example V
An Assay for the NO formation of RPE
[0123] 100 μl of the supernatant of the cell solution is mixed with 50 μl 2,3-diaminonaphthalene (DAN). After reacting for 10 min at room temperature, the supernatant is added with 25 μl 12.8N NaOH for terminating the reaction, and then is tested with the Cyto-Fluorometer 2300 (basic state: 360+40 nm, excited state: 460+40 nm). The measured value can be converted into the corresponding NO concentration via a standard curve obtained from NaNO 2 with known concentration.
Example VI
Preparation of the RPE RNA
[0124] The RPE is incubated in the 100 mm culture plate (1×10 6 cells in DMEM+10% FCS). After the cells reach the cofluency, the culturing medium is replaced with the DMEM containing 2.5% FCS therein. Next, 0.1 μg/ml of the Dendrobii Caulis distribution obtained by extracting with several chemical solvates is added. After incubating for 48 hrs, the culturing medium is removed and the cells are washed with ice PBS buffer solution twice. Then, 1 ml/10 5 ˜10 6 cells of RNAzol™ B is added, and the cell solution is placed under room temperature for 5 min. The cells are scraped from the culture plate by a scraper, and then are placed into a 1.5 ml centrifuge tube. After adding the chloroform having 1/10 volume amount of the cell, the cell solution is mixed immediately and placed on the ice for 5 min. The cell solution is centrifuged at 4° C. for 15 min at 12000 rpm, and then the upper transparent water layer is removed into another 1.5 ml centrifuge tube. After adding the isopropanol having the same volume amount of the water layer, the solution is mixed immediately and placed on the ice for 5 min. The cell solution is centrifuged at 4° C., for 10 mins at 12000 rpm, and then the supernatant is discarded. The precipitate is washed with 70% ethanol, and then is centrifuged for 8 min at 7500 rpm, at 4° C. After removing the ethanol and drying the precipitate, the dried precipitate is dissolved with excess pure water (mini-Q water) containing 0.1% DEPC. Some solution is quantitated by the OD 260 , and the corresponding purity is determined by the OD 260 /OD 280 . The rest of the solution is stored within 70% ethanol at −20° C.
Example VII
The Reverse Transcription and Polymerase Chain Reaction (RT-PCR) of the RPE Growth Factor
[0125] There are two total RNA samples extracted from different RPE, the experimental set and the control set. In which, the experimental set is treated with the previously mentioned testing medicine. 2.5 μg oligo dT is added into the reaction tube containing 5 μg of the extracted total RNA. After being incubated for 10 min at 70° C., the reaction solution is placed for another 10 min at room temperature. Then, 1 μl (10 unit) reagents of 10 mM dNTP 2 μl, rRNasin 1 μl, AMV (Avian Myeloblastosis virus) reverse transcriptase and the reaction buffer solution are added into the reaction solution, which makes the reaction solution with a total volume of 20 μl. Next, the solution is reacted at 42° C. for 50 min, at 90° C. for 5 min, and then placed on the ice for 10 min. The reaction solution is added with 1 μl rRNAaseH, and is reacted at 37° C. for 30 min. After obtaining cDNA, 5 μl of the 2 mM dNTP is added into the reaction tube containing the cDNA obtained from the reverse transcription reaction in which the cDNA has various diluted concentrations. 1 μl sense primer and 1 μl antisense primer designed according to the desired testing targets, both have the concentration of 0.1 μg/μl, are added into the reaction tube. In which, the designed is one selected from a group consisting of the β-actin (for internal control), the HGF primer, the VEGF primer, the bFGF primer, and the TGF-β primer. And, the target genes are HGF, VEGF, bFGF, and TGF-β. 1 μl polymerase (2 unit) and the reaction buffer are added into the reaction solution for making a total volume of 20 μl. Then, the polymerase chain reaction is proceeded in the DNA thermal cycler (Perkin-Elmer-Cetus). In which, the reaction conditions for denaturing, annealing, and extension are respectively at 94° C. and at 57° C. for 1.5 mins, and at 72° C. for 2 mins. The PCR running cycles for the β-actin, HGF, VEGF, bFGF, and TGF-β are 25, 35, 25, 25, and 25 cycles respectively.
[0126] The following are the descriptions of the primers.
[0000]
1.
HGF primers (Gibco, Gaithersburg, MD, USA)
Sense, 21 mer: 5′-GGG ATT CTC AGT ATC CTC ACA-3′
Antisense, 21 mer: 5′-CCT ACA TTT GTT CGT GTT GGA-3′
2.
VEGF primer:
Sense, 24 mer: 5′-AGA AAC CCC ACG AAG TGG TGA AGT-3′
Antisense, 24 mer: 5′-CGT TTA ACT CAA GCT GCC TCG CCT-3′
3.
bFGF primer:
Sense, 19 mer: 5′-CCA AGC GGC TGT ACT GCA A-3′
Antisense, 24 mer: 5′-GAT CAG ATG CTG CCA TTA AGA TCA-3′
4.
TGF-β primer:
Sense, 24-mer: 5′-CCT GGA CAC CAA CTA CTG CTT CAG-3′
Antisense, 24-mer: 5′-ACG ATC ATG TTG GAC AAC TGC TCC-3′
Example VIII
Preparation of the Glycated Albumin
[0127] (a) Preparation of the Bovine Glycated Albumin
[0128] The bovine glycated albumin (fraction V) is diluted with 1×PBS (pH 7.4) for forming a 1 mM reaction solution. The reaction solution is filtered through the aseptic 0.22 μm membrane and is then added with 250 mM glucose which has been filtered through the aseptic 0.22 μm-membrane. Then, the reaction solution is incubated in the incubator at 37° C. for the glycosylation process. After 3 weeks, the excess glucose of the reaction solution is removed by dialysis. The obtained solution is purified by the Cona-Sepharose gel, and then is treated with the following steps of dialyzing, lyophilizing and storing.
(b) Preparation of the Mice Glycated Albumin.
[0129] The mice glycated albumin (fraction V) is diluted with 1×PBS (pH 7.4) for forming a 100 mg/ml (1.51 mM) reaction solution. The reaction solution is filtered through the aseptic 0.22 μm membrane and is then added with 1.8 g/ml (1M) D-glucose, which has been dissolved in the 1×PBS with a volume ratio 1:1 and filtered through the aseptic 0.22 μm membrane. Then, the reaction solution is incubated in the incubator in the dark at 37° C. for glycosylation process. After 60 days, the excess glucose of the reaction solution is removed by dialyzing with a dialysis bag. The obtained solution is filtered through the aseptic 0.22 gm membrane, and then the solution is respectively aliquoted after the protein concentration is detected. After lyophilizing, the aliquoted reaction solution is stored at −20° C.
Example IX
Determination of AGE-BSA by FITC Test
[0130] 100 mg glycated albumin and 1.8 mg FITC are dissolved in 15 ml 0.1M sodium carbonate buffer, pH 9.5. Under dark environment, after being stirred for 5 hours at 25° C., the reaction solution is chromatographed with a HW-55F (1.6×100 cm) molecule sieve column, the elution buffer is 5% n-butanol (v/v), and the chromatographic rate is determined only by gravity. After being dialyzed three times with de-ionized water, and the protein concentration of the obtained solution is detected. Then, the solution is filtered through the aseptic membrane and respectively aliquoted, lyophilized. After the fluorescence of the solution is determined, the equivalent ratio of the solution marked with fluorescence is estimated.
Example X
Observation of the Degradation of FITC-Labeled AGE-BSA by RPE Cells
[0131] First, a pre-sterilized cover slide is put into each well of the 24 well culture plate in advance, and then 300 μl 0.5% gelatin is coated on the plate for 30 min. Secondly, the coated gelatin is washed by the medium. Then, 5×10 4 RPE cells/well are seeded into the 24 well plate and cultured with 10% FCS/DMEM solution, while each well contains 0.7 ml medium therein. After 48 hours, when the well is filled with cells, the culture solution is discarded. After being washed with 0.5 ml medium for three times, 0.5 ml of the FITC-BSA DMEM solution having various concentration, 30-300 ug/ml, is added. Then, the cells are washed with PBS solution four times for removing the un-phagocytized and combined fluorescence. The cover slide is taken out from the cell and moistened with PBS solution containing 1% FQEB. After being sealed, the cover slide is observed under a fluorescence microscope at once.
Example XI
Enhancement of the Dendrobii Caulis Crude Extract for Acceleratively Degrading the Albumin Glycosylation of RPE
[0132] 1×10 6 RPE cells are seeded into the 96-well microplate, containing 10% FCS in DMEM, at 37° C., supplied with 5% CO 2 . After incubation of 48 hrs, five sets of experiment are treated with the Dendrobii Caulis crude extract, in which each set of experiment includes two microplates for different treating time. After treating for 36 or 48 hrs, 0.01% EDTA is added into the microplate for harvesting the cells, and then the cells are suspended in the DMEM cell number for counting. Then, the cell solution is centrifuged for 5 min at 1200 rpm, and the cells are suspended back into 10 ml DEME twice. Then, the cell solution is centrifuged again, and is suspended back again with the 0.7 ml Homogenization buffer (50 mM sodium acetate buffer, pH4.5, 1 mM DTT, 0.15M NaCl, 3 mM NaN 3 ) containing 0.1% TritonX-100. Then, the cell solution is vibrated by a sonicator for 15 sec, four cycles, for breaking the cell completely. Next, the cell solution is centrifuged at 13000 rpm for 15 mins, vibrated by a sonicator for 15 sec, four cycles, and centrifuged again at 11000 rpm for 15 min. The supernatant is then collected and filtrated under an aseptic condition. The protein concentration is detected. 1000 μg/ml AGE-BSA are filtrated under an aseptic condition. After reacting for 0, 6, 12, 24, 48, 72 hrs, the corresponding electrophoresis is proceeded in order to observe the conformation and the degree of the AGE-BSA degradation
Example XII
Preparation of the Dendrobii Caulis Extract and Separation of the Purified Active Content Thereof
Preparation of the Dendrobii Caulis Alcohol Extract.
[0133] 2 kg dry Dendrobii Caulis is ground by a pulverizer. Then, the ground material is put into a bottle containing the methanol or ethanol, and immersed overnight. The reaction solution is filtrated by a gas-extracting apparatus for obtaining the filtrate. Then, the filtrate is put back into the bottle for re-concentration, and some amount of methanol or ethanol is added therein for immersing overnight. Filtrate the reaction solution again. The same protocols are repeated for three times. All the filtrates are then collected, and the methanol or ethanol is exhausted completely. The obtained Dendrobii Caulis alcohol crude extract is named as DeCaM. (c) Extraction and separation of the Dendrobii Caulis purified component.
[0134] Please refer to FIG. 1 . FIG. 1 is the flow chart of the separating protocol for Dendrobii Caulis extract according to a preferred embodiment of the present invention. Three active components are separated from Dendrobii Caulis. 1.9 kg Dendrobii Caulis is extracted by methanol three times for obtaining the methanol extract of Dendrobii Caulis . The methanol extract of Dendrobii Caulis is then re-concentrated and completely dried for forming the DCM standard. The dry DCM standard is dissolved in 2 L EtOAc and then partitioned with 2 L water for obtaining an EtOAc layer and a first water layer. The water layer is extracted with 2 L EtOAc two more times. All the EtOAc layers are collected, re-concentrated and completely dried for obtaining the EtOAc extract. The dry EtOAc extract is respectively partitioned three times with 4 L hexane and 2 L methanol for obtaining a hexane layer and a methanol layer. After re-concentrated and dried, the dried hexane layer and methanol layer are named as DCMPe/h standard (Pe/h), and DCMPe/m standard (Pe/m) respectively. In addition, the first water layer is adjusted into 2 L volume by adding de-ionized water, and then is partitioned by adding 2 L butanol for obtaining a butanol layer and a second water layer. After re-concentrated and dried the dried butanol layer and the second water layer are named as DCMPb standard (Pb), and DCMPw standard (Pw) respectively. The Pb is extracted by LH20 gel chromatography with a molecule column (2.5×107 cm, mobile phase <methanol:H 2 O=50:50>). After the activity screening, the DCMPbL6,7 samples are obtained. Then, the samples DCMPbL6,7 are extracted by the Diaion SP-20 SS chromatography with y a absorption column (1×30 cm). When the mobile phase is isopropanol:H 2 O=0.20:80, the eluate named as DCMPbL6,7D2 can be obtained. When the mobile phase is isopropanol:H 2 O=30:70, the eluate named as DCMPbL6,7D3 can be obtained. When the mobile phase is isopropanol:H 2 O=40:60, the eluate named as DCMPbL6,7D4 can be obtained. Then, the DCMPbL6,7D2 is chromatographed by HPLC reverse C18 column (10×300 mm) with the mobile phase of methanol:H 2 O:acetic acid=35:65:1, and the eluate named as DCMPbL6,7D2H2 is obtained. Further, the DCMPbL6,7D3 is chromatographed by HPLC reverse C18 column (10×300 mm) with the mobile phase of methanol:H 2 O:acetic acid=40:60:1, and the eluate named as DCMPbL6,7D3H3 is obtained. Further, the DCMPbL6,7D4 is chromatographed by HPLC reverse C18 column (10×300 mm) with the mobile phase of methanol:H 2 O:acetic acid=45:55:1, and the eluate named as DCMPbL6,7D4H4 is obtained.
[0135] (b) Preparation of the Dendrobii Caulis Chemical Solvent Extract.
[0136] The DCM (extracts of Dendrobii Caulis extracting with methanol) is dissolved in 400 ml de-ionized water, and then 400 ml n-hexane is added. The reaction solution is partitioned for obtaining the n-hexane layer and the first water layer respectively. The related extraction steps are repeated three times. The final n-hexane layer is named as DCMph. The first water layer is then partitioned with the ethyl-acetate four times for obtaining a second water layer and a EtOAc layer. The obtained EtOAc layer is named as DCMPe. Then, the second water layer is partitioned with the n-butanol three times for obtaining an n-butanol layer named as DCMPb and a third water layer named as DCMPw.
Example XIII
Effect of the Alcohol Extract of Dendrobii Caulis on the Mice Having Diabetic Angiopathy Induced by the Glycated Albumin
[0137] Four sets of BABLC/c mice, aged 8 weeks, are fed with the forage containing various amount of the methanol extract of Dendrobii Caulis , 0 mg/kg/day, 1 g/kg/day, 200 mg/kg/day, 40 mg/kg/day. Each set has three mice. The mice are treated with glycated mice serum albumin (MAG) via the tail vein injection, 2.5 mg/time, twice/week, for three weeks. Then, the mice are continuously fed with the forage containing the methanol extract of Dendrobii Caulis for two weeks. The mice are dissected in order to prepare wax-embedded sections of the eyes, liver, and kidney in which the pathological change are observed by the HE stain.
Example XIV
Effects of the Extract and Purified Component of Dendrobii Cauli on RPE Function Phagocytosis
[0138] Please refer to FIG. 2 , which is the bar chart illustrating the effects of the methanol extract of Dendrobii Cauli on the RPE function phagocytosis. As shown in FIG. 2 , it's known that various concentrations (0.1, 1, 10 μg/ml) of the methanol (DCM) extract of Dendrobii Cauli can accelerate the phagocytosis of RPE. The relevant experimental contents are simply described as follows. 1×10 4 RPE cells are seeded in 96-well microplate per well, containing 10% FCS in DMEM after 48 hrs, and the medium is changed with 2% FCS in DMEM. Then different concentrations of the methanol extract of Dendrobii Caulis are added respectively. After 48 hrs, 50 μl of 2×10 7 FITC-ROS/ml is added into each well. Four hours later, the unbounded FITC-ROS is washed out with PBS. The fluorescence intensity is detected by a 1420 Multilable counter (PE) measurement system. # P<0.05,* P<0.01 are obtained by comparing with phagocytosis of RPE treated with 2% FCS.
[0139] Please refer to FIG. 3 , which is the bar chart illustrating the effects of the solvent partition extracts of Dendrobii Cauli on the phagocytosis of RPE. As shown in FIG. 3 , it is clear that the DCMPe/m partition and the DCMPb partition can significantly accelerate the phagocytosis of RPE. The relevant experimental contents are simply described as follows. 1×10 4 RPE cells are seeded in 96-well microplate per well, containing 10% FCS in DMEM. After 48 hrs, the medium is changed with 2% FCS in DMEM and then different concentrations of the extract of Dendrobii Caulis (DCMPe/h, DMCPe/m and DCMPb) are added respectively. After 48 hrs, 50 μl of 2×10 7 FITC-ROS/ml is added to each well. Four hours later, the unbounded FITC-ROS is washed out with PBS. The fluorescence intensity is detected by a 1420 Multilable counter (PE) measurement system. # P<0.05,*P<0.01 are obtained by comparing with phagocytosis of RPE treated with 2% FCS.
[0140] Furthermore, the purified components DCMPbL6,7D2H2, DCMPbL6,7D3H3, and DCMPbL6,7D4H3 can significantly accelerate the phagocytosis of RPE. For instance, various concentration (0.1, 1, 10, 100 μg/ml) of DCMPbL6,7D2H2 can significantly accelerate the phagocytosis of RPE, and the relevant results are shown in FIG. 4 . Please refer to FIG. 4 , which is the bar chart illustrating the effects of DCMPbL6,7D2H2 on phagocytosis of RPE. The relevant experimental contents are simply described as follows. 1×10 4 RPE cells are seeded in 96-well microplate per well, containing 10% FCS in DMEM. After 48 hrs, the medium is changed with 2% FCS in DMEM and then different concentrations of DCMPbL6,7D2H2 are added respectively. After 48 hrs, 50 μl of 2×10 7 FITC-ROS/ml is added into each well. Four hours later, the unbounded FITC-ROS is washed out with PBS. The fluorescence intensity is detected by a 1420 Multilable counter (PE) measurement system. # P<0.05,*P<0.01 are obtained by comparing with the phagocytosis of RPE treated with 2% FCS. Although the chemical structure of DCMPbL6,7D2H2 can't be confirmed by the current science yet, the DCMPbL6,7D2H2 is defined by the following NMR spectrums and the UV spectrophotometry. FIGS. 5-10 are the various NMR spectrums of DCMPbL6,7D2H2 in the solvents of Methanol-d 4 and DMSO-d 6 , using a 600-MHz instrument. And, FIG. 11 is the UV spectrometry of DCMPbL6,7D2H2.
[0141] As to the purified component DCMPbL6,7D3H3, various concentration (0.1, 1 μg/ml) of DCMPbL6,7D3H3 can significantly accelerate the phagocytosis of RPE, and the relevant results are shown in FIG. 12 . Please refer to FIG. 12 , which is the bar chart illustrating the effects of DCMPbL6,7D3H3 on phagocytosis of RPE. The relevant experimental contents are simply described as follows. 1×10 4 RPE cells are seeded in 96-well microplate per well, containing 10% FCS in DMEM. After 48 hrs, the medium is changed with 2% FCS in DMEM and then different concentrations of DCMPbL6,7D3H3 are added respectively. After 48 hrs, 50 μl of 2×10 7 FITC-ROS/ml is added into each well. Four hours later, the unbounded FITC-ROS is washed out with PBS. The fluorescence intensity is detected by a 1420 Multilable counter (PE) measurement system. * P<0.01 is obtained by comparing with the phagocytosis of RPE treated with 2% FCS. Although the chemical structure of DCMPbL6,7D3H3 can't be confirmed by the current science yet, the DCMPbL6,7D3H3 is defined by the following NMR spectrums. FIGS. 13-17 are the various NMR spectrums of DCMPbL6,7D3H3 in the solvent of DMSO-d 6 , using a 500-MHz instrument.
[0142] As to the purified component DCMPbL6,7D4H3, various concentration (0.1, 1, 10 μg/ml) of DCMPbL6,7D4H3 can significantly accelerate the phagocytosis of RPE, and the relevant results are shown in FIG. 18 . Please refer to FIG. 18 , which is the bar chart illustrating the effects of DCMPbL6,7D4H3 on phagocytosis of RPE. The relevant experimental contents are simply described as follows. 1×10 4 RPE cells are seeded in 96-well microplate per well, containing 10% FCS in DMEM. After 48 hrs, the medium is changed with 2% FCS in DMEM and then different concentrations of DCMPbL6,7D4H3 are added respectively. After 48 hrs, 50 μl of 2×10 7 FITC-ROS/ml is added into each well. Four hours later, the unbounded FITC-ROS is washed out with PBS. The fluorescence intensity is detected by a 1420 Multilable counter (PE) measurement system. * P<0.01 is obtained by comparing with the phagocytosis of RPE treated with 2% FCS. Although the chemical structure of DCMPbL6,7D4H3 can't be confirmed by the current science yet, the DCMPbL6,7D3H3 is able to be defined by the following NMR spectrums. FIGS. 19-24 are the various NMR spectrums of DCMPbL6,7D4H3 in the solvent of DMSO-d 6 , using a 500-MHz instrument.
Example XV
Effects of the Extract of Dendrobii Caicli on the No Production of RPE
[0143] Please refer to FIG. 25 , which is the bar chart illustrating the effects of the extract of Dendrobii Cauli on nitric oxide (NO) productions of RPE. The methanol extract of Dendrobii Caulis (DCM) having various concentration (100, or 1000 μg/ml) can significantly accelerate the NO production of RPE, and the relevant results are shown in FIG. 25 . The EtOAc extract of Dendrobii Caulis (DCMPe) having various concentration (10, or 100, or 1000 μg/ml) can significantly accelerate the NO production of RPE, and the relevant results are shown in FIG. 25 . The n-butanol extract of Dendrobii Caulis (DCMPe) having various concentration (10, or 1000 μg/ml) can significantly accelerate the NO production of RPE, and the relevant results are shown in FIG. 25 . The relevant experimental contents are simply described as follows. 1×10 4 RPE cells are seeded in 96-well microplate per well, containing 10% FCS in DMEM. After 48 hrs, the medium is changed with 2% FCS in DMEM then different concentrations of the extracts of Dendrobii Caulis are added respectively. After 48 hrs, 50 μl of 2×10 7 FITC-ROS/ml is added into each well. Four hours later, the unbounded FITC-ROS is washed with PBS. The fluorescence intensity is detected by a 1420 Multilable counter (PE) measurement system. * P<0.05 is obtained by comparing with the NO production of RPE treated with 2% FCS.
Example XVI
Effects of Extracts of Dendrobii Caulis on 8-Actin and HGF Level in RPE Cell Lysates
[0144] Please refer to FIGS. 26 (A)-(B), which are the electrophoresis results of showing the effect the extracts of Dendrobii Caadis on β-action (A), and HGF (B) levels in RPE cell. The expression level is shown by cDNA quantity, in which the cDNA is obtained from RPE cell lysates via RT-PCR steps. The relevant experimental contents are simply described as follows. Confluenced RPE cells are shifted to DMEM with 2% FCS and 1000 μg/ml of extracts of Dendrobii Caulis for 24 hrs. cDNA is generated from 1 μg total RNA as a template (1×). Lane 1: φ X174/Hae III marker, Lane 2: 1× template, Lane 3: 2× dilution of template, Lane 4: 4× dilution of template, Lane 5 8× dilution of template, Lane 6 16× dilution of template. As shown in FIG. 26 , the methanol extract of Dendrobii Caulis (DCM) can significantly accelerate the expression of HGF, since the RPE cells treated with the extracts of Dendrobii Caulis have stronger HGF cDNA expression level.
[0145] Please refer to FIG. 27 , which is the electrophoresis diagram showing the effect of the chemical solvent partition extracts of Dendrobii Caulis on HGF mRNA expression of RPE. The experimental steps are similar to that of FIG. 2 b . As shown in FIG. 27 , the n-hexane extract of Dendrobii Caulis (Ph) can significantly accelerate the expression of HGF, since the RPE cells treated with Ph clearly shows a stronger HGF cDNA expression level.
Example XVII
Effects of extracts of Dendrobii Caulis on bFGF, VEGF, and TGF-β Inhibitions of a Normal RPE and a Hypoxia RPE
[0146] The extracts of Dendrobii Caulis having an effective concentration are added into RPE. After incubated for 48 hrs, the RNA is extracted from the cell lysate, and then the template cDNA is formed from the RNA by RT-PCR. The concentration of the template cDNA is two times and the following results are indirectly quantitated according to this concentration. Please refer to FIGS. 28 (A) to 29 (B), which are the relevant results of the extracts of Dendrobii Caulis on the expressions of β-actin, bFGF, VEGF, and TGF-β for normal RPE. In which, the result of α-actin is a control set. FIGS. 28 (A) and (B) are the electrophoresis results of the effect of the extracts of Dendrobii Caulis on the expressions of (A) β-actin and (B) bFGF. The cDNA generated from the mRNA of the normal RPE by using 1 μg of total RNA as a template (1×). The results shown in pictures descriptions are: Lane 1: φX174 marker, Lane 2: 100 bp ladder marker, Lane 3: 1× template, Lane 4: 2× dilution of template, Lane 5: 4× dilution of template, Lane 6: 8× dilution of template, Lane 7: 16× dilution of template, and Lane 8: 32× dilution of template. FIGS. 29 (A) and (B) are the electrophoresis result of the effect of the extracts of Dendrobii Caulis on the expressions of VEGF (A) and TGF-β (B). The cDNA is generated from the mRNA of the normal RPE by using 1 μg of total RNA as a template (1×). The relevant results shown in pictures are: Lane 1: φ X174 marker, Lane 2: 100 bp ladder marker, Lane 3: 1× template, Lane 4: 2× dilution of template, Lane 5: 4× dilution of template, Lane 6: 8× dilution of template, Lane 7: 16× dilution of template, and Lane 8: 32× dilution of template. As shown in FIGS. 28-29 , for a normal RPE, the extracts of Dendrobii Caulis inhibit the expression of the bFGF mRNA to 25% and the expression of the VEGF mRNA to 50%. However, the extracts of Dendrobii Caulis have no influence on the expression of the TGF-β mRNA.
[0147] Please refer to FIGS. 30 (A) to 31 (B), which are the electrophoresis results of the effects of the extracts of Dendrobii Caulis on the expressions of β-actin, bFGF, VEGF, and TGF-β for hypoxia RPE. In which, the results of β-actin are control set. FIGS. 30 (A) and (B) are the electrophoresis result of the extracts of effect of the Dendrobii Caulis on the expressions of (A) β-actin and (B) bFGF. The cDNA is generated from the mRNA of the hypoxia RPE by using 1 μg of total RNA as a template (1×). The relevant results shown in pictures are: Lane 1: φ X174 marker, Lane 2: 100 bp ladder marker, Lane 3: 1× template, Lane 4: 2× dilution of template, Lane 5: 4× dilution of template, Lane 6: 8× dilution of template, Lane 7: 16× dilution of template, and Lane 8: 32× dilution of template. FIGS. 31 (A) and (B) are the electrophoresis results of the extracts of the effect of Dendrobii Caulis on the expressions of VEGF (A) and TGF-β (B). The cDNA is generated from the mRNA of the hypoxia RPE by using 1 μg of total RNA as a template (1×). The relevant results shown in pictures are: Lane 1: φ X174 marker, Lane 2: 100 bp ladder marker, Lane 3: 1× template, Lane 4: 2× dilution of template, Lane 5: 4× dilution of template, Lane 6: 8× dilution of template, Lane 7: 16× dilution of template, and Lane 8: 32× dilution of template. As shown in FIGS. 30-31 , for a hypoxia RPE, the extracts of Dendrobii Caulis inhibit the expression of the bFGF mRNA to 50%, the expression of the VEGF mRNA to 50%, and the expression of the TGF-β mRNA to 25%. Obviously, the extracts of Dendrobii Caulis have different inhibitory effects on the growth factors when the RPE cells are under normal or hypoxia environment. In other words, the extracts of Dendrobii Caulis selectively regulate the expressions of the genes, such as bFGF, VEGF, TGF-β, which all play important roles in the ophthalmic defects.
[0148] EXPERIMENT XVIII Preparation of AGE-BSA in vitro A BSA (bovine serum albumin, fraction V) solution having the concentration of 0.1 g/ml is prepared by dissolving appropriate amount of BSA into 1×PBS solution. A glucose solution having the concentration of 180 mg/ml glucose is prepared by dissolving appropriate amount of glucose into a 1×PBS solution. After being filtered through the aseptic 0.22 μm membrane, 5 ml of the BSA solution and 5 ml of the glucose solution are both added into a 15 ml test tube, while the reaction concentrations for BSA and glucose are respectively 760 mM and 0.5 M. Then, the reaction solution is sealed up and incubated in the incubator in the dark at 37° C. And, the control experiment is prepared without adding glucose. After incubated for 2, 4, 8, 12, 16 weeks, the reaction solution is dialyzed four times with the de-ionized water having a volume of 100 times of the reaction solution for removing the glucose. Then, the obtained solution is filtered under an aseptic condition, lyophilized, and weighted for determining the contents and redissolved. After being respectively aliquoted and lyophilized, the aliquoted reaction solution is stored at −20° C.
[0149] Experiment XIX
[0150] The change of AGE-BSA degradation ability of the RPE cell treated with the extracts of Dendrobii Caulis and HGF.
[0151] 1×10 6 RPE cells are seeded into the 96-well microplate, containing 10% FCS in DMEM, at 37° C., supplied with 5% CO 2 . After incubation of 48 hrs, five sets of experiment are respectively treated with the Dendrobii Caulis crude extract and HGF, in which each set of experiment includes two microplates for different treating time. After treating for 36 or 48 hrs, 0.01% EDTA is added into the microplate for harvesting the cells, and then the cells are suspended in the DMEM and the cell number is counted. Then, the cell solution is centrifuged for 5 min at 1200 rpm, and the cells are suspended back into 10 ml DEME twice. Then, the cell solution is centrifuged again, and is suspended back again in the 0.7 ml Homogenization buffer (50 mM sodium acetate buffer, pH4.5, 1 mM DTT, 0.15M NaCl, 3 mM NaND containing 0.1% TritonX-100. Then, the cell solution is vibrated by a sonicator for 15 sec, four cycles, so as to break the cell completely. Next, the cell solution is centrifuged at 13000 rpm for 15 mins, vibrated by a sonicator for 15 sec, four cycles, and centrifuged again at 11000 rpm for 15 min. The supernatant is then collected and filtrated under an aseptic condition. The protein concentration is detected. 1000 μg/ml AGE-BSA are filtrated under an aseptic condition. After reacting for 0, 6, 12, 24, 48, 72 hrs, the corresponding electrophoresis is proceeded in order to observe the conformation and the degree of the AGE-BSA degradation.
[0152] Experiment XX
Effects of the Methanol Extracts of Dendrobii Caulis (Dcm) and Hepatocyte Growth Factor on the RPE Cell Proteolysis Activity.
[0153] After being treated with the methanol extracts of Dendiobii Caulis (DCM) or HGF and incubated for 36 hrs, the extracted cellular extracts will be proceeded with the following experiments with all fractions. The cellular extracts are reacted with AGE-BSA by adding AGE-BSA having the same amount as that of the cellular extracts. That's to say, the ratio of the enzyme to the substrate is 1:1, and both concentrations of the cellular extracts and the AGE-BSA are controlled at 500 μg/ml. It's known that the proteolysis activities of different treatments are not obviously different (not shown), and the reaction rates are relatively high during the incubation period of 12 to 48 hrs. Further, the proteolysis activities of different treatments are a little bit different (not shown) during the incubation period of 48 to 72 hrs.
[0154] Please refer to FIG. 32 . FIG. 32 shows the electrophoresis results of the effects of DCM or HGF for the proteolytic activities of the cultured RPE cell. The activities are assayed by different incubation time with AGE-BSA. The different symbols represent different treatments: (a) DCM 100 μg/ml, (b) DCM 10 μg/ml, (c) DCM 1 μg/ml, (d) 50 ng/ml HGF and (e) without treated DCM or HGF as control. RPE cells (1×10 6 cells/petri dish) are cultured in DMEM with 10% FCS for 48 hr. After reaching 90% confluence, RPE cells are incubated with various concentrations of DCM in 2% FCS or 50 ng/ml HGF for 48 hours. Cellular extracts (shown as lane 2 on each gel) were incubated with AGE for 0 to 82 hours (from lane 3 to lane 8). And, AGE is incubated alone as negative control (lane 9, 10). In addition, please refer to FIG. 33 . FIG. 33 shows the proteolytic activity of cultured RPE cell after being treated with DCM or HGF. In which, the proteolytic activity on each time point is showed as index comparing with the start time of incubation. The mount of residual BSA or AGE-BSA are quantitated by ImageQuant software and drawn as degradation curve. As FIG. 32 shows, the proteolytic activities caused by treating with 10 μg/ml DCM and 50 ng/ml HGF are a little bit greater than that of the control set. And, as shown in FIG. 33 , the amount of AGE-BSA will be obviously decreased by being treated with 10 μg/ml DCM, 100 μg/ml DCM, and 50 ng/ml HGF. In which, the influence of 10 μg/ml DCM is the greatest. Therefore, it's known that proper amount of DCM or HGF will have influence on the proteolytic activity of the RPE cell.
[0155] Experiment XVIII
[0156] Effects of extracts of Dendrobii Caulis on the advanced glycated endproduct concentration in sera of streptozotocin induced diabetic mice.
[0157] C57BL/6J male mice, aged 6 weeks, are continuously treated with the streptozotocin (STZ) at the dose of 50 mg/kg/day by injecting 0.15M citric acid buffer, pH 4.5, IP for five days. After further 12 to 14 days, the blood sugars of the mice are tested by the orbital blood sampling method. The mice with blood sugar concentration higher than 250 mg/dl are collected, and then are divided into four sets for the following experiments. The four sets of mice are respectively fed with the forage containing various amount of the methanol extract of Dendrobii Caulis , 0 mg/kg/day, 20 g/kg/day, 100 mg/kg/day, and 500 mg/kg/day. Then, the blood sugars of the mice are sampled and tested once per week. If the blood sugars of the mice are decreased, the mice needed to be injected with STZ 200 mg/kg/day for keeping the blood sugars of the mice high. After 4 to 8 weeks, the sera of the mice are sampled and the blood sugars and AGE AB contained therein are tested. Further, the eyes, liver, and the kidney of the mice are sampled and treated with HE stain, and then treated with paraffin to form paraffin embedding sections. The weights of the mice, and the consumptions of water and forage are recorded during the experiment. And, the appearance of the fur and the circulations of limbs and the tail are observed and photographed for recording.
[0158] Please refer to FIG. 34 . FIG. 34 shows the advanced glycated endproduct concentrations in sera of the Streptozotocin (STZ) induced diabetic mice. In which, the sera are respectively obtained from diabetic mice and the age-matched control mice, 10 weeks after the STZ administration. Values are respective the means STD of 5 independent experiments (*P, 0.05, ** p<0.001 vs the control group). The relevant results show that the methanol extract of Dendrobii Caulis can significantly increase the AGE degradation in the Streptozotocin (STD) induced diabetic mice. Therefore, it appears that the methanol extracts of Dendrobii Caulis is curative for the diabetic complication induced by AGE.
[0159] While the invention has been described in terms of what is presently considered to be the most practical and preferred embodiments, it is to be understood that the invention needs not be limited to the disclosed embodiment. On the contrary, it is intended to cover various modifications and similar arrangements included within the spirit and scope of the appended claims which are to be accorded with the broadest interpretation so as to encompass all such modifications and similar structures. | An extract of plant Dendrobii Caulis and preparing process thereof are provided. A physiologically active extract of a plant Dendrobii Caulis and the method thereof are provided in the present invention. The extract is obtained by an extraction of the plant or parts thereof with a water miscible organic solvent or a mixture thereof with water. | 75,764 |
RELATED APPLICATIONS
[0001] This Application claims the benefit of U.S. Provisional Application No. 60/590,601, filed on Jul. 23, 2004. The entire teachings of the above application is incorporated herein by reference.
TECHNICAL FIELD
[0002] The application relates to the field of molecular biology. More specifically, the invention is directed to the sequencing of modified nucleic acids.
BACKGROUND
[0003] Novel nucleic acid molecules such as ribozymes, aptamers, and siRNA (short interfering RNA) have various uses including elucidation of structural requirements, diagnostic applications, and therapeutic methods. In many cases, such nucleic acid molecules have one or more modifications of the nucleobase, sugar moiety and/or internucleoside linkage (Verma et al., 1998, Ann. Rev. Biochem. 67:99-134). Numerous modified oligonucleotides and nucleoside triphosphates are known and are available (for example, TriLink BioTechnologies, San Diego, Calif.; Lee et al., 2004, Nuc. Acids. Res. 32:Database issue D95-D100). However, one problem encountered with the use of modified nucleic acids is confirming the sequence of such molecules. Although nucleic acid molecules containing certain modifications have been sequenced, the sequencing of nucleic acid molecules with some types of modifications has been difficult or thought not to be possible using routine methods. For example, modified RNA sequences such as those conjugated to polyethylene glycol (PEG) cannot be sequenced using certain chemical degradation or mass spectrometry methods. Furthermore, difficulties have been encountered in sequencing nucleic acids containing multiple types of modifications, requiring the development of alternative techniques (see, e.g., Grosjean et al., 2004, Methods Mol. Biol. 265:357-91). Limitations have been described for the incorporation of non-natural nucleotides into oligonucleotides using various polymerases (Verma et al., 1998, supra; Kiss and Jady, 2004, Methods Mol Biol. 265:393-408).
[0004] Modified nucleic acid molecules are being employed in increasing numbers of uses, for example in diagnostic methods, screening methods (e.g., to identify pharmaceutical agents), and in the treatment of disease. For example, aptamers are nucleic acid molecules having a tertiary structure that permits them to specifically bind to protein ligands (e.g., Osborne, et al., 1997, Curr. Opin. Chem. Biol. 1:5-9; and Patel, 1997, Curr. Opin. Chem. Biol. 1:32-46). Such molecules can be selected from libraries of nucleic acids containing modified bases (e.g., using Systematic Evolution of Ligands by Exponential enrichment (SELEX™)). In some cases, a selected nucleic acid such as an aptamer is, subsequent to selection, chemically modified (for example, by methylation) and/or conjugated to, e.g., a PEG, lipid, lipoprotein, or liposome. Although the sequence of the original modified nucleic acid may be known, it is desirable to confirm the nucleic acid sequence after modification. For example, it may be desirable or even required that the nucleic acid sequence of the molecule be confirmed in a manufacturing protocol or for a drug approval process. However, there is evidence and belief in the art that certain types of modifications preclude sequencing modified nucleic acid molecules.
[0005] In general, modified nucleic acid molecules such as aptamers, siRNA, antisense nucleic acids, and ribozymes have not been sequenced using standard chemical degradation methods, while enzymatic methods of sequencing have been viewed as ineffective or require special conditions to sequence at least certain modified nucleic acids. In particular, enzymatic sequencing of nucleic acid molecules conjugated to PEG (i.e., pegylated) has not generally been undertaken.
SUMMARY OF INVENTION
[0006] The invention relates to methods of sequencing a modified nucleic acid by synthesizing a cDNA complementary to a modified nucleic acid molecule. It has been discovered that a certain classes of modified nucleic acid molecules, containing one or more modifications such as methylation or pegylation, can be reverse transcribed, cloned, and sequenced. In some cases the nucleic acid molecule includes two or more types of modification, e.g., 2-fluoro substitution, 2-O-methyl substitution, and pegylation.
[0007] Thus, in one aspect, the invention provides methods for determining the nucleotide sequence of a modified nucleic acid which includes a multiplicity of 2′-modified nucleotides. These methods include the steps of (a) obtaining a sample of the modified nucleic acid; (b) synthesizing a first cDNA complementary to the modified nucleic acid using a reverse transcriptase; (c) synthesizing a second cDNA complementary to the first cDNA using a DNA polymerase to form a double-stranded cDNA; (d) producing multiple double-stranded copies of the double-stranded cDNA; and (e) sequencing the double-stranded copies. In these methods, the modified nucleic acids include a multiplicity of 2′-fluorinated nucleotides and a multiplicity of 2′-O-methylated nucleotides.
[0008] In some embodiments, the 2′-fluorinated nucleotides comprise between 10% and 70% of the total nucleotides in the modified nucleic acid. In some embodiments, the 2′-fluorinated nucleotides comprise at least 40% of the total nucleotides in the modified nucleic acid.
[0009] In some embodiments, the 2′-O-methylated nucleotides comprise between 10% and 70% of the total nucleotides in the modified nucleic acid. In some embodiments, the 2′-O-methylated nucleotides comprise at least 40% of the total nucleotides in the modified nucleic acid.
[0010] In some embodiments, the 2′-fluorinated nucleotides comprise between 10% and 70% of the total nucleotides in the modified nucleic acid and the 2′-O-methylated nucleotides comprise between 10% and 70% of the total nucleotides in the modified nucleic acid.
[0011] In some of the foregoing embodiments, the modified nucleic acid further includes a 5′ covalent modification including a large hydrophilic moiety.
[0012] In another aspect, the invention provides methods for determining the nucleotide sequence of a modified nucleic acid including a 5′ or 3′ large hydrophilic moiety. These methods include the steps of (a) obtaining a sample of the modified nucleic acid; (b) synthesizing a first cDNA complementary to the modified nucleic acid using a reverse transcriptase; (c) synthesizing a second cDNA complementary to the first cDNA using a DNA polymerase to form a double-stranded cDNA; (d) producing multiple double-stranded copies of the double-stranded cDNA; and (e) sequencing the double-stranded copies.
[0013] In some embodiments, the large hydrophilic moiety is selected from a branched or straight-chain, substituted or unsubstituted, homopolymer or heteropolymer of alkyl, alkenyl, aryl, or heterocyclic groups. In some embodiments, the large hydrophilic moiety is a polyethylene glycol moiety, such as a 10-50 kDa polyethylene glycol moiety.
[0014] In any of the foregoing embodiments including a large hydrophilic moiety, the modified nucleic acid can further include at least one 2′-fluorinated nucleotide or at least one 2′-O-methylated nucleotide.
[0015] In other embodiments, the invention provides methods for determining the nucleotide sequence of a modified nucleic acid which includes a multiplicity of 2′-modified nucleotides. These methods include the steps of (a) obtaining a sample of the modified nucleic acid; (b) synthesizing a first cDNA complementary to the modified nucleic acid using a reverse transcriptase; (c) purifying the first cDNA; (d) polyadenylating the 3′-end of the first cDNA; (e) synthesizing a second cDNA complementary to the first cDNA using a DNA polymerase to form a double-stranded cDNA; (f) producing multiple double-stranded copies of the double-stranded cDNA; and (g) sequencing the double-stranded copies. In these methods, the modified nucleic acids include a multiplicity of 2′-fluorinated nucleotides and a multiplicity of 2′-O-methylated nucleotides.
[0016] In some embodiments of the foregoing methods, the step of producing multiple double-stranded copies of the double-stranded cDNA includes the steps of (i) ligating the double-stranded cDNA into a cloning vector; (ii) transforming host cells with the cloning vector; (iii) isolating the cloning vector from descendants of the host cells; and (iv) isolating the double-stranded copies from the host cells.
[0017] In other embodiments of the foregoing methods, the step of producing multiple double-stranded copies of the double-stranded cDNA includes performing the polymerase chain reaction using the double-stranded cDNA as an original template molecule.
[0018] In another aspect, the invention provides methods of synthesizing a DNA complementary to a modified nucleic acid which includes a multiplicity of 2′-modified nucleotides. These methods include the steps of (a) obtaining a sample of the modified nucleic acid; and (b) synthesizing a first cDNA complementary to the modified nucleic acid using a reverse transcriptase. In these methods, the modified nucleic acid includes a multiplicity of 2′-fluorinated nucleotides and a multiplicity of 2′-O-methylated nucleotides.
[0019] In some embodiments, the modified nucleic acid further includes a 5′ covalent modification comprising a large hydrophilic moiety. In some of these embodiments, the large hydrophilic moiety is selected from a branched or straight-chain, substituted or unsubstituted, homopolymer or heteropolymer of alkyl, alkenyl, aryl, or heterocyclic groups. In certain embodiments, the large hydrophilic moiety includes a polyethylene glycol moiety, such as a 10-50 kDa polyethylene glycol moiety.
[0020] In some of the foregoing embodiments, the modified nucleic acid further includes a modified 3′ terminus.
[0021] Although methods and materials similar or equivalent to those described herein can be used in the practice or testing of the present invention, suitable methods and materials are described below. In addition, the materials, methods, and examples are illustrative only and not intended to be limiting.
[0022] Other features and advantages of the invention will be apparent from the detailed description, drawings and claims.
DETAILED DESCRIPTION
[0023] All publications, patent applications, patents, and other references mentioned herein are incorporated by reference in their entirety.
[0024] Unless otherwise defined, all technical and scientific terms used herein have the same meaning as commonly understood by one of ordinary skill in the art to which this invention belongs.
[0025] As used herein, unless specifically indicated otherwise, the word “or” is used in the “inclusive” sense of “and/or” and not the “exclusive” sense of “either/or.”
[0026] As used herein, the recitation of a numerical range for a variable is intended to convey that the invention may be practiced with the variable equal to any of the values within that range. Thus, for a variable that is inherently discrete, the variable can be equal to any integer value within the numerical range, including the end-points of the range. Similarly, for a variable that is inherently continuous, the variable can be equal to any real value within the numerical range, including the end-points of the range. As an example, and without limitation, a variable that is described as having values between 0 and 2 can take the values 0, 1, or 2 if the variable is inherently discrete, and can take the values 0.0, 0.1, 0.01, 0.001, or any other real values ≧0 and ≦2 if the variable is inherently continuous.
[0027] A modified nucleic acid (MNA) is a nucleic acid molecule that contains either (a) at least one methylation (e.g., a 2-O-methyl substitution) and at least one 2′-fluoro substitution (e.g., a 2-fluoro-pyrimidine substitution), or (b) at least one 5′ or 3′ modification with a large hydrophilic moiety. An MNA can include one of more additional types of modifications or substitutions.
[0028] The methods described and claimed herein are useful for generating cDNA complementary to an MNA sequence, and for cloning and sequencing an MNA molecule.
[0000] Reverse Transcription of Modified Nucleic Acid Molecules
[0029] Synthesis of a cDNA by reverse transcription of an MNA is performed by first identifying an MNA to be reverse transcribed. For example, the MNA can be a molecule for which the sequence is to be confirmed after scaling up production, in studies of shelf life, or other protocols requiring sequence information. It is understood that, as described herein, a cDNA sequence prepared from an MNA will not contain the modifications of the MNA but will contain the naturally occurring nucleotides that correspond to the modified nucleotides of the MNA. In the present methods, a DNA oligonucleotide primer complementary to the 3′ terminus of the MNA is prepared using methods known in the art such as chemical synthesis. In general, if the 3′ sequence contains MNAs the primer is prepared using naturally occurring deoxynucleotide triphosphates that are complementary to the naturally occurring nucleotides that most closely correspond to the portion of the MNA sequence targeted by the primer. To facilitate cDNA synthesis, a synthetic sequence such as a polyA tail can be added to the 3′ terminus of the MNA, or a predetermined sequence can be ligated to the 3′ end of the MNA. Such methods are generally not employed when the ultimate 3′ nucleotide of the MNA is modified.
[0030] The primer can be any length which results is sufficient sequence-specific annealing under the chosen reaction conditions. Typically, primers will be 5-20 nucleotides in length, with reverse transcriptases employing shorter sequences (e.g., 5-10 nucleotides) and DNA polymerases employing longer sequences (e.g., 12-18 nucleotides). Generally, longer primers results in higher efficiency and specificity of annealing. The primer is incubated with the MNA and a cDNA complementary to the MNA is synthesized using reverse transcriptase (RT) and deoxynucleotide triphosphates (dNTPs). The reverse transcriptase can be from any source, for example, avian myeloblastosis virus, Moloney murine leukemia virus, or an engineered RT that, for example, lacks RNAse H activity or has other features (e.g., OmniScript™ RT, Qiagen, Valencia, Calif.; SuperScript™ II RNase H, Invitrogen). The dNTPs used in the reverse transcriptase reaction can be standard dNTPs or modified dNTPs (see, e.g., Krayevsky et al., 1998, Nucleosides Nucleotides 17(7):1153-62; Tasara et al., 2003, Nucleic Acids Res. 31(10):2636-46). In general, if the MNA is to be sequenced, naturally occurring dNTPs (dCTP, dATP, dTTP, and dGTP) are used for the RT reaction. Reagents for the reverse transcriptase reaction are known in the art and are available from commercial sources. The reverse transcription reaction can be performed according to known protocols appropriate for the specific RT used in the reaction. However, such protocols can include modifications suggested by the manufacturer, known to those of skill in the art, or developed by routine experimentation for use with the particular MNA and RT.
[0000] Optimization of Reverse Transcription
[0031] Several parameters of the reverse transcription reaction can be manipulated to increase the fidelity and amount of cDNA produced when using an MNA template. The amount of MNA used can be at least 10 pmoles, 20 pmoles, 50 pmoles, or 100 pmoles per reaction volume. For example the amount of MNA used can be 1-100 pmoles, 10-100 pmoles, or 50-100 pmoles per reaction volume. The amount of template can be at least 10 pmoles, 20 pmoles, 50 pmoles, or 100 pmoles per reaction volume. For example, the amount of template used can be about 1-100 pmoles, 10-100 pmoles, or 50-100 pmoles per reaction volume. The amount of primer used can be at least 25, 50, 75, 100, 125, 150, 250, or 300 pmoles per reaction volume. For example, the amount of primer template used can be about 10-300 pmoles, 25-300 pmoles, 125-300 pmoles, 150-300 pmoles, or 250-300 pmoles per reaction volume. The reaction volumes can vary depending upon the quantities of starting materials available and the amount of final product desired. For example, reaction volumes can be 5-50 μl (for example, 12 μl for primer annealing and 20 μl for the RT reaction). In general, equal amounts of each dNTP are used in the reverse transcriptase reaction. In some cases, the concentration of each dNTP in the reaction is about 500 μM, 600 μM, 700 μM, 750 μM, 1,000 μM, 1,250 μM, or 2,500 μM. For example, the concentration can be from about 500 μM-2,500 μM, about 500 μM-1,000 μM, or from about 1,000 μM to about 2,500 μM. A tracer is used in certain reverse transcriptase reactions so that the cDNA product can be detected. In such cases, an α 32 P-dNTP can be used (e.g., [α 32 P]-dCTP). dNTPs that include other types of labels, such as Cy3- or Cy5-labeled nucleotides, can also be used. For radio-labeling, the amount of labeled dNTP is, for example, about 10 μCi, 20 μCi, or 25 μCi per reaction volume. For example, the amount of labeled dNTP can be from about 10 μCi-25 μCi, or from about 10 μCi-20 μCi per reaction volume.
[0032] Other parameters that can be varied are the reaction temperature and reaction time. Examples of temperatures and times used to reverse transcribe an MNA are generally at least 50 minutes at 42° C., or 55 minutes at 42° C., or 60 minutes at 42° C., followed by 15 minutes at 37° C., and 10 minutes at 70° C. for enzyme inactivation when using SuperScript™ II RNase H. For example, the temperature for a reverse transcription reaction can be from about 37° C.-50° C. (e.g., 42° C. for first strand synthesis with SuperScript™ II). The time for a reverse transcription reaction as used herein can be, for example, from about 30-60 minutes, about 40-60 minutes or about 50-60 minutes. Parameters can also be adjusted according to the manufacturer's recommendations for a specific reverse transcriptase. A general, nonlimiting example of a reverse transcription protocol for synthesizing a cDNA complementary to a selected MNA is as follows; suspend the MNA in water and heat to denature (e.g., for 2 minutes at 90° C.), cool the sample (e.g., on ice for 2 minutes), add the unlabeled dNTPs, primer and water heat at an appropriate temperature (e.g., 42° C.-70° C.) for primer annealing (e.g., for 5 minutes), cool, add first strand buffer, DTT, labeled dNTP, and the reverse transcriptase enzyme, incubate the reaction mixture at room temperature (e.g., for 10 minutes) then at a higher temperature (e.g., at 42° C.) for 40-60 minutes, followed by incubation for 15 minutes at 37° C. and 10 minutes at 70° C. The sample can then be analyzed, for example, by adding gel loading buffer to the RT reaction mixture and electrophoresing. In some cases, denaturing gel conditions are used.
[0000] Processing and Sequencing
[0033] The first strand RT reaction product can be detected and isolated for additional processing and sequencing. For example, after first strand cDNA isolation (e.g., extraction and precipitation using phenol/chloroform and ethanol), the second strand of cDNA can be obtained using an appropriate primer and PCR can be used to amplify the double-stranded cDNA. If the 3′ sequence of the first strand cDNA ids not known, a known sequence can be ligated to the 3′ end, and a primer complementary to the known sequence can be employed. Alternatively, a polyA tail can be added to the first strand using terminal deoxynucleotide transferase, and an oligo dT primer can be used for second strand synthesis. For cloning, the resulting double-stranded DNA can be ligated into a cloning vector, transformed into bacteria, and bacteria containing the cloned sequences are identified. Sequences amplified by PCR or cloning are then isolated and sequenced using known protocols.
[0000] Modified Nucleic Acid Molecules
[0034] The MNA molecules that can be sequenced using the methods described herein include modified RNA, modified DNA, aptamer, ribozyme, and siRNA molecules. Such molecules can contain synthetic nucleic acid analogs or a combination of naturally occurring and synthetic nucleic acid analogs. Synthetic nucleic acid analogs include those containing one or more backbone, base, or sugar modifications. Such modifications are known in the art, for example, see Verma et al. ( Ann. Rev. Biochem. (1998) 67:99-134). In particular, MNA molecules that can be sequenced using these methods include nucleic acid molecules containing modifications such as 2′-fluoro substitution (e.g., 2′-fluoro-pyrimidine or 2′-fluoropurine), 2′-O-methyl substitution, pegylation (e.g., by covalent attachment of a PEG at the 5′ terminus), an inverted deoxythymidine cap, or other modifications of the 5′ or 3′ ends. Modified nucleic acid molecules can contain one of more modifications. For example, the molecule can contain both 2′-fluoropyrimidine and 2′-O-methylpurine substitutions, and optionally, a PEG moiety.
[0035] In some cases the MNA molecule is an antisense ribonucleic acid. An “antisense” nucleic acid is a nucleotide sequence that is complementary to a “sense” nucleic acid encoding a protein, e.g., complementary to the coding strand of a double-stranded cDNA molecule, to an mRNA sequence or to a transcribed non-coding sequence (e.g., the 5′ and 3′ untranslated regions of a gene). The antisense nucleic acid can be complementary to an entire coding strand, or to only a portion thereof. One nonlimiting example of an antisense molecule is a ribozyme, which is a catalytic nucleic acid molecule. Antisense molecules and other nucleic acid molecules can be chemically synthesized using naturally-occurring nucleotides or variously modified nucleotides designed to increase the biological stability of the molecules or to increase the physical stability of the duplex formed between the antisense and sense nucleic acids, e.g., phosphorothioate derivatives and acridine substituted nucleotides can be used. The methods described herein can be used to sequence such modified molecules.
[0036] Nucleic acids containing other types of modifications can also be reverse transcribed, cloned, and sequenced as described herein. For example, for systemic administration, ribonucleic acid molecules can be modified such that they specifically bind to receptors or antigens expressed on a selected cell surface, e.g., by linking the ribonucleic acid molecule to a peptide or antibody that binds to cell surface receptors or antigens. Additional examples of MNA molecules include those containing one or more 2′-O-methylnucleotides (Inoue et al., 1987, Nucleic Acids Res. 15:6131-6148) or chimeric RNA-DNA analogs (Inoue et al., 1987, FEBS Lett. 215:327-330). Nucleic acid molecules containing detectable labels (e.g., fluorescent, chemiluminescent, radioactive, or colorimetric) can be reverse transcribed, cloned, and sequenced using the described methods.
[0037] In some cases, the MNA molecule includes a large hydrophilic moiety. Generally, such moieties are covalently attached to the nucleic acid molecule. Large hydrophilic moieties include branched or straight chain, substituted or unsubstituted, homopolymers or heteropolymers of alkyl, alkenyl, aryl, or heterocyclic groups. Specific examples include polyethylene glycol (e.g., 10-50 kDa PEG, 20-40 kDa PEG), and other non-nucleic acid molecules such as dextrans, carboxymethylcellulose or polyHEMA (i.e., poly(2-hydroxyethylmethacrylate)).
[0038] Such large hydrophilic moieties can be conjugated to the MNA at any position on the nucleic acid sequence. (See, for example, U.S. application Ser. No. 60/561,601, the entire disclosure of which is incorporated by reference herein.) For example, conjugation of the large hydrophilic moiety can be through the 5′ end of the MNA, the 3′ end of the MNA, or any position along the MNA sequence between the 5′ and 3′ ends. For example, the large hydrophilic moiety can be conjugated to the MNA at an exocyclic amino group on a base, a 5-position of a pyrimidine nucleotide, an 8-position of a purine nucleotide, a hydroxyl group of a phosphate, or a hydroxyl group of a ribose group of the modified nucleic acid sequence. Means for chemically linking large hydrophilic moieties to MNA sequences at these various positions are known in the art and/or exemplified below.
[0039] Examples of large hydrophilic moieties include polymers (e.g., polyethylene glycol), gel-forming compounds and the like. Examples of particularly useful large hydrophilic moieties include polyethylene glycols, polysaccharides, such as glycosaminoglycans, hyaluronans, and alginates, polyesters, high molecular weight polyoxyalkylene ether (such as PluronicTM), polyamides, polyurethanes, polysiloxanes, polyacrylates, polyols, polyvinylpyrrolidones, polyvinyl alcohols, polyanhydrides, carboxymethyl celluloses, other cellulose derivatives, chitosan, polyadlehydes or polyethers. Particularly useful large hydrophilic moieties will have a molecular weight of from about a molecular weight of about 20 to about 100 kDa.
[0040] Furthermore, the addition of non-immunogenic, high molecular weight or lipophilic compounds to the 5′ end, to improve nuclease resistance and/or other pharmacokinetic properties, has also been described (see, for example, U.S. Pat. No. 6,011,020, U.S. Pat. No. 6,147,024, U.S. Pat. No. 6,229,002, U.S. Pat. No. 6,426,335, U.S. Pat. No. 6,465,188, and U.S. Pat. No. 6,582,918), and such groups can be employed as large hydrophilic moieties. Examples of lipophilic groups are saturated or unsaturated hydrocarbons such as alkyl, alkenyl or other lipid groups. Sterols (e.g., cholesterol) and other pharmaceutically acceptable adjuvants (including anti-oxidants like alpha-tocopherol) can also be included. In general, such “lipophilic compounds” are compounds which have the propensity to associate with or partition into lipid and/or other materials or phases with low dielectric constants, including structures that are comprised substantially of lipophilic components. Lipophilic compounds include lipids as well as non-lipid containing compounds that have the propensity to associate with lipid (and/or other materials or phases with low dielectric constants). Cholesterol, phospholipids, and glycerolipids, such as dialkylglycerol, and diacylglycerol, and glycerol amide lipids are further examples of such lipophilic compounds.
[0041] In some cases, the MNAs include appended groups such as peptides (e.g., for targeting host cell receptors in vivo), or agents facilitating transport across the cell membrane (see, e.g., Letsinger et al., 1989, Proc. Natl. Acad. Sci. (USA) 86:6553-6556; Lemaitre et al., 1987, Proc. Natl. Acad. Sci. (USA) 84:648-652; PCT Publication No. WO88/09810) or the blood-brain barrier (see, e.g., PCT Publication No. WO 89/10134). In addition, oligonucleotides can be modified with hybridization-triggered cleavage agents (see, e.g., Krol et al., 1988, Bio - Techniques 6:958-976) or intercalating agents (see, e.g., Zon, 1988, Pharm. Res. 5:539-549). To this end, the oligonucleotide can be conjugated to another molecule (e.g., a peptide, hybridization triggered cross-linking agent, transport agent, or hybridization-triggered cleavage agent). Yet another type of MNA that can be sequenced using the methods described herein are molecular beacon oligonucleotide primer and probe molecules that have at least one region that is complementary to a selected nucleic acid, and two complementary regions, one of which has a fluorophore and one of which has a quencher, such that the molecular beacon is useful for quantitating the presence of the selected nucleic acid in a sample. Molecular beacon nucleic acids are described, for example, in Lizardi et al., U.S. Pat. No. 5,854,033; Nazarenko et al., U.S. Pat. No. 5,866,336, and Livak et al., U.S. Pat. No. 5,876,930.
[0042] Vascular endothelial growth factor (VEGF) plays a role in angiogenesis and exists in several isoforms. VEGF 165 is the most abundant isoform in humans and is an angiogenic cytokine that is also involved in aberrant angiogenesis and vascular permeability and glomerular endothelial repair (Ostendorf et al., 1999, J. Clin. Investigation 104:913-923). Aptamers (from the Greek aptus—to fit—and meros—part or region) are oligonucleotides that bind with very high specificity and affinity to target molecules, including proteins. A 28-nucleotide aptamer that contains 2′ fluoropyrimidines and specifically blocks VEGF 165 binding to the FLT-1 and KDR VEGF receptors was prepared and identified using systematic evolution of ligands by exponential enrichment (SELEX™, Gilead Sciences, Inc., Foster City, Calif.). The aptamer was further modified by 2′-O-methyl substitutions of all but two purine nucleotides, by addition of two branched 20 kDa PEG moieties conjugated to the 5′ terminus of the aptamer, and by linkage of a deoxythymidine to the 3′ terminus via a 3′-3′ linkage (Ruckman et al., 1998, J. Biol. Chem. 273:20556). This elaborately modified aptamer (termed NX1838 or Pegaptanib) is being used in human clinical testing.
[0043] Pegaptanib, which contains a diversity of modifications, was used as a test molecule for identifying methods of determining the nucleic acid sequence of molecules containing modifications that may otherwise be considered to render the molecule unsuitable for reverse transcription and sequencing. The Examples illustrate cDNA synthesis and cloning of this MNA molecule.
EXAMPLES
[0044] The invention is further illustrated by the following examples. The examples are provided for illustrative purposes only. They are not to be construed as limiting the scope or content of the invention in any way.
Example 1
Base Sequence Determination of a Pegylated Aptamer
[0045] The following procedures were used to determine the base sequence of the 2′-fluoropyrimidine, 2′-O-methylpurine, 5′ pegylated aptamer (Pegaptanib) via reverse transcription (cDNA synthesis), followed by cloning and DNA sequencing.
[0046] The synthesis of Pegaptanib is described in Ruckman et al. 1998, J. Biol. Chem. 273:20556. The concentration of Pegaptanib was determined using a spectrophotometer to measure the UV absorbance of diluted Pegaptanib samples at 260 nm (OD 260 ) using the following equation (Beer-Lambert law):
C (mg/ml)=[ A /( e×b )]×(dilution factor)
C=concentration; A=(OD 260 ); e=extinction coefficient=27.29; b=1
First Strand cDNA Synthesis Via Reverse Transcription
[0048] Conditions were determined for synthesis of a cDNA for the modified nucleic acid Pegaptanib. In general, a primer (termed MACRT1) was used for synthesizing a cDNA using reverse transcriptase. The primer, which had the sequence (5′ to 3′) CGGATGTA, was synthesized by Invitrogen Life Technologies, Inc. First strand synthesis was performed using 200 units Superscript™ II RNaseH- Reverse Transcriptase (Invitrogen, Inc., cat. # 18064-022), 5× first strand buffer and 0.1 M DTT (dithiothreitol; Invitrogen Inc., supplied with RT enzyme), dNTP mix containing 10 mM of each deoxyribonucleotide (Invitrogen, Inc., cat. # 18427-088), [α 32 P]-dCTP (PerkinElmer Life Sciences, Inc., cat. # BLU013H), nuclease-free water (Ambion, Inc., cat. # 9937), and RNAse- DNAse-free microcentrifuge tubes (Ambion, Inc., cat. # 12450).
[0049] To determine an appropriate amount of Macugen template to use in the RT reaction, various concentrations of Pegaptanib were used in an RT reaction; 10 pmoles, 20 pmoles, 50 pmoles, and 100 pmoles. In addition, different concentrations of primer were used in the reactions; 25 and 50 pmoles of primer with 10 pmoles of template, 50 pmoles and 60 pmoles of primer with 20 pmoles of template; 50, 125, and 150 pmoles of primer with 50 picomoles of template; and 50, 250, and 300 pmoles of primer with 100 pmoles of template. All reactions were performed in a final volume of 20-25 μl. The molar equivalents of primer used in the RT reactions were 50 pmoles˜2.5 μM, 60 pmoles˜3.0 μM, 125 pmoles˜6.25 μM, 150 pmoles˜7.5 μM, 250 pmoles˜12.5 μM, and 300 pmoles˜15 μM.
[0050] In another set of reactions designed to characterize the RT reaction of the MNA, various concentrations of dNTPs were tested. The tested concentrations were 10 pmoles template with 500 μM of each dNTP; 20 pmoles template with 500 μM or 550 μM of each dNTP; 50 pmoles template with 700 μM, 750 μM, 1,000 μM, or 1250 μM of each dNTP; and 100 pmoles template with 750 μM, 1,000 μM, 1,250 μM, or 2,500 μM of each dNTP.
[0051] In an additional set of experiments designed to assess conditions for the RT reaction, various amounts of [α- 32 P]-dCTP (e.g., 10 μCi, 20 μCi, and 25 μCi) were tested in the RT reactions. The assays were performed in a checkerboard format in which different primer and template amounts were tested. In one of these experiments, the optimal conditions for RT reactions with the MNA Pegaptanib included 20-25 μCi of [α- 32 P]-dCTP with 10 pmole template and 50 pmole primer in a reaction volume of 20-25 μl.
[0052] The following general protocol was used for each of the experiments described above. Template (Pegaptanib) was suspended in water and heated at 90° C. for 2 minutes and then cooled on ice for 2 minutes. The dNTPs and primer were added to the template and the mixture was heated for 5 minutes at 65° C., then cooled on ice for 2 minutes, followed by addition of the [α 32 P]-dCTP and incubation for an additional 5 minutes at 42° C. Next, 200 units of Superscript™ II RNaseH was added to the reaction mixture, which was then incubated for 10 minutes at room temperature followed by 60 minutes incubation at 42° C. This reaction mixture was incubated for an additional 15 minutes at 37° C., and the reaction terminated by adding gel loading buffer. Samples were analyzed by electrophoresis through a 15% polyacrylamide gel containing 8M urea. The reaction products were detected by exposure of the gel to film for one to 5 hours or overnight.
[0053] Conditions were selected by identifying the conditions that resulted in the production of a correct sized cDNA product and maximal [α 32 P]-dCTP incorporation compared to other samples. After testing a large variety of reaction conditions in which template, primer, dNTP and radionuclide concentrations were varied, conditions were selected which yielded consistent reproducible results.
[0000] Conditions for Reverse Transcription of Pegaptanib
[0054] It was determined that, of the conditions tested, the best starting concentration of Pegaptanib was 10 pmoles in a reaction containing 50 pmoles of primer (MACRT1), 500 μM dNTPs, and which was incubated for 60 minutes at 42° C. Accordingly, one useful protocol for the synthesis of a cDNA to the MNA molecule Pegaptanib was found to be as follows. Pegaptanib was heated at 90° C. for 2 minutes and cooled on ice for 2 minutes. The following reagents were then added to an appropriate reaction container in indicated order to make an initial reaction mixture; a volume of water that brought the total volume to 12 μl, dNTPs (500 μm of each dNTP), MACRT1 primer (50 pmoles), and Pegaptanib (10 pmoles). The initial reaction mixture was then incubated at 65° C. for 5 minutes and cooled on ice for 2 minutes. Next, 4 μl of 5× first strand buffer, 2 μl of DTT (0.1M), and 2.5 μl (25 μCi) [α 32 P]-dCTP was added, centrifuged briefly, incubated for 2 minutes at 42° C., and then 1 μl of SuperScript™ II RNAse H- reverse transcriptase was added to make a final reaction mixture. The final reaction mixture was incubated for 10 minutes at 25° C., then for one hour at 42° C., followed by 37° C. for 10 minutes. The reaction was terminated by adding an equal volume of Gel Loading Buffer II to the final reaction mixture. The RT cDNA samples were then frozen for future use or analyzed by electrophoresis, and, if desired, purified.
[0000] Purification of First Strand cDNA
[0055] Analysis of a cDNA prepared from Pegaptanib was analyzed and purified using polyacrylamide gel electrophoresis. The following reagents were used for PAGE resolution of RT products; 40% acrylamide/bis (19:1) solution (Ambion, Inc., cat. # 9022), 10× TBE buffer (Ambion, Inc., cat. # 9863), urea (ultrapure molecular biology grade; Ambion, Inc., cat. # 9900), ammonium persulfate (10% solution in water, Sigma, Inc., cat. # A-3678), N,N,N′,N′-tetramethylethylenediamine (TEMED) (Sigma, Inc., cat. # T-8133), Gel loading buffer II (denaturing PAGE, Ambion, Inc., cat. # 7140), RNA Decade Size Markers (Ambion, Inc., cat. # 7778), 1 M Tris pH 8.0 (Ambion, Inc., cat. # 9855G), 0.5 M EDTA pH 8.0 (Ambion, Inc., cat. # 9260G), 3 M sodium acetate, pH 5.5 (Ambion, Inc., cat. # 9740), Tris saturated phenol, pH 8 (Ambion, Inc., cat. # 9710), and chloroform:isoamyl alcohol (24:1) mix (Sigma, Inc., cat. # C-0549).
[0056] Briefly, all or a portion of an RT cDNA sample was loaded onto a 15% polyacrylamide gel containing 8 M urea and 1× TBE with a Decade Marker System that was radiolabeled with γ 32 P-ATP as a marker. The gel was run for one hour at 120 volts and exposed to X-ray film (either for 4 hours at −70° C. or overnight) to determine position of first strand cDNA products. Gel slices containing the desired products were excised, cut into small pieces and eluted in 200 μl extraction buffer (1 mM Tris, 0.5 mM EDTA, pH 8) with shaking overnight at 37° C. The first eluate was collected and an additional 200 μl of extraction buffer added to the gel pieces, which were then incubated for 2 hours at 37° C. The second eluate was combined with the first and sodium acetate was added to the eluates to a final concentration 0.3 M. The eluates, which contained the cDNA, were extracted with an equal volume of Tris-saturated phenol:chloroform (containing isoamyl alcohol) (1:1) mix, then with chloroform containing isoamyl alcohol, and glycogen was added to a final concentration of 100 μg/ml. The cDNA was precipitated in three volumes of ethanol either on dry ice for 2 hours or overnight at −80° C. The precipitated cDNA was collected by centrifugation at 20,000× g for 15 minutes. The ethanol was removed, the pellet washed once with 70% ethanol, air dried for about 10 minutes, and resuspended in 20 μl water.
[0000] PolyA Tailing of Purified First Strand cDNA
[0057] To prepare the purified Pegaptanib cDNA for additional procedures, the cDNA was 3′ polyadenylated using terminal deoxynucleotide transferase (TdT). In general, the goal was to add a polyA tail of about 15-25 nucleotides to the cDNA. The reagents used in the reaction included terminal transferase (TdT) (Stratagene cat. # 600137), buffer (supplied with TdT enzyme), dATP (25 mM, Invitrogen, Inc., cat. # 18427-013), and Centri-Spin™-10 size exclusion spin columns (Princeton Separations, Inc., cat. # CS-101). Briefly, 2 pmoles of cDNA was used in the polyadenylation reaction (about 10 μl of the resuspended cDNA described supra). One μll dATP (final concentration 0.5 μM), 10 μl 5× tailing buffer, and 0.5 μl (10 units) TdT were added to the cDNA. The final volume of the reaction was 50 μl. In some experiments, the dATP was [α 32 P]-dATP. The polyadenylation reaction mixture was then briefly centrifuged. Various incubation times for the polyadenylation reaction were tested: 5, 10, 15, and 20 minutes using cDNA samples prepared as described above using 10 pmoles, 20 pmoles, 50 pmoles, or 100 pmoles Pegaptanib as the template. Incubations were at 37° C. followed by heat treatment for 10 minutes at 70° C. to inactivate the TdT. The entire sample was then column purified using a Centri-Spin™-10 exclusion spin column.
[0058] For samples that were to be cloned and sequenced, an incubation time of 6 minutes was selected for the TdT reaction with Pegaptanib cDNA to obtain a polyA tail of suitable length.
[0000] Second Strand cDNA Synthesis
[0059] To prepare a double-stranded nucleic acid from a Pegaptanib cDNA, second strand synthesis was performed and the resulting double-stranded DNA amplified using the polymerase chain reaction (PCR). The following reagents were used; PfuTurbo® DNA Polymerase (Stratagene, Inc., cat. # 600250), 10× pfu buffer (Stratagene, Inc., supplied with the PfuTurbo® enzyme), dNTP mix containing 10 mM of each deoxyribonucleotide (Invitrogen, Inc., cat. # 18427-088), and poly-T (oligo-dT) primer (16 mer, Roche, Inc., Lot # E00705). Briefly, second strand synthesis was carried out using column-purified single-stranded Pegaptanib cDNA containing a polyA tail as a template. In general, the entire column-purified product from a single polyadenylation reaction was used (about 50 μl, which contains about 1.2 pmoles/50 μl; cDNA is present at about 0.024 pmole/μl). The following were added to 50 μl of sample: 1 μdNTPs, 5 μl 10× pfu buffer, 0.5 μl oligo-dT primer, and 0.55 μl PfuTurbo® DNA polymerase. This second strand synthesis reaction was incubated at 95° C. for 1.15 minutes, 42° C. for 1 minute, then 75° C. for 10 minutes, followed by incubation at 4° C. for 5 minutes in a DNA Engine Tetrad PCR machine for a single cycle (PTC-225 Peltier Thermal Cycler, MJ Research, Waltham, Mass.).
[0000] Blunting and 5′-End Phosphorylation of the Double-Stranded cDNA
[0060] To prepare the double-stranded Pegaptanib for subcloning, the double-stranded DNA was blunt ended and the blunt ends phosphorylated. Blunt ending was performed using the following reagents: T4 DNA polymerase (New England Biolabs, Inc., cat. # M0203L), 10× T4 DNA polymerase buffer (New England Biolabs, Inc., supplied with T4 DNA polymerase enzyme), bovine serum albumin (BSA, 10 mg/ml, New England Biolabs, Inc., supplied with T4 DNA polymerase enzyme), and dNTP mix containing 10 mM of each deoxyribonucleotide (Invitrogen, Inc., cat. # 18427-088). The blunt end reaction mixture contained 0.5 μl of dNTP (10 μM each dNTP), 0.5 μl of 100× BSA (10 mg/ml), 5.5 μl of 10× buffer for T4 DNA polymerase, and 0.5 μl T4 DNA polymerase. The reaction mixture was incubated at 12° C. for 20 minutes, 75° C. for 10 minutes followed by a 4° C. incubation for 5 minutes.
[0061] The blunt ended double-stranded nucleic acid was then phosphorylated at the 5′ termini using the following reagents: T4 polynucleotide kinase (PNTK) (New England Biolabs, Inc., cat. # M0201L), 10× T4 polynucleotide kinase buffer (New England Biolabs, Inc., supplied with PNTK enzyme), and ATP solution, 10 mM (Ambion, Inc., cat. # 8 110G). The phosphorylation reaction was performed in the same container as was used for the blunt end reaction by adding 6 μl 10× PNTK buffer, 3 μl ATP solution, and 1 μl PNTK enzyme. The reaction mixture was incubated at 37° C. for 60 minutes, 65° C. for 20 minutes, then stored at 4° C. or immediately followed by DNA extraction.
[0000] DNA Extraction
[0062] To extract the double-stranded DNA that was prepared as described above, the volume of the reaction mixture from the phosphorylation step was brought to 200 μl with nuclease-free water. Next, 20 μl of a 3 M sodium acetate solution was added followed by 100 μl phenol/Tris solution and vigorous mixing, then 100 μl chloroform and vigorous mixing. The solution was centrifuged for 10 minutes to separate the phases, the aqueous phase was collected and re-extracted with 100 μl chloroform, followed by centrifugation for 10 minutes, collection of the aqueous phase, and then addition of 4 μl glycogen (5 mg/ml stock solution). Next, 3 volumes of 95% ethanol were added and DNA was precipitated either overnight at −80° C. or on dry ice for 2 hours. Following the precipitation step, the cDNA was centrifuged for 15 minutes, the ethanol removed, and the pellet washed once with 70% ethanol. The pellet was briefly air dried and resuspended in 10 μl of nuclease-free water.
[0000] Ligation of cDNA to pBluescript
[0063] The double-stranded Pegaptanib-derived nucleic acids that were prepared as described above were then cloned into pBluescript II SK (+) that was linearized by EcoRV and purified by agarose gel electrophoresis. The EcoRV linearized pBluescript vector contains blunt ends suitable for ligation with double-stranded cDNA that contains blunt ends. The reagents used for the cloning protocol were as follows: plasmid vector pBluescript® II SK (+) (EcoRV V digested and purified; Stratagene, Inc., cat. # 212205), Quick Ligation™ Kit (supplied with T4 DNA ligase and 10× Quick Ligation buffer) (New England Biolabs, Inc., cat. # M2200S), XL1-Blue Electroporation-Competent Cells (Stratagene, Inc., cat. # 200228), SOC Medium (Invitrogen, Inc., cat. # 15544-034), Gene Pulser® Cuvette (Bio-Rad Laboratories, cat. # 165-2089), Brain Heart Infusion growth medium (Becton Dickinson, Inc., cat. # 237500), ampicillin Sodium Salt, 0.1 mg/ml in water (Calbiochem, Inc. cat. # 171254), Difco LB agar (Becton Dickinson, Inc., cat. # 240110), restriction endonucleases EcoRV V, Xba I, and Xho I (New England Biolabs, Inc., cat. # R0195S, R0146S, R0145S, respectively), QIAprep® Spin Miniprep DNA Kit (Qiagen, Inc., cat. # 27104), agarose 1000 (Invitrogen, Inc. cat. # 10975-035), 50× TAE buffer (Invitrogen, Inc. cat. # 24710-030), and ethidium bromide solution (10 mg/ml) (Invitrogen, Inc. cat. # 15585-011). To clone the prepared double-stranded DNA, 0.25 pmole (2.5 μl) cDNA (insert) was used for ligation to pBluescript vector and 0.01788 pmole of pBluescript vector was used to obtain about a 14 to 1 insert to vector ratio. The ligation mixture was prepared by adding to a microfuge tube 1.4 μl of a 1:5 dilution of pBluescript (stock 89.4 nM), 2.5 μl of cDNA, 10 μl of 10× T4 Quick Ligation mix buffer, 6.1 μl of nuclease-free water, and 1 μl of T4 Quick Ligation enzyme in a total reaction volume of 20 μl. The ligation mixture was incubated at room temperature for 10 minutes, then stored at about 4° C. or used immediately.
[0000] Transformation of XL1-Blue Electroporation-Competent Cells
[0064] Transformation of cells was accomplished using electroporation. Briefly, all reagents were kept on ice and electrocompetent cells were thawed on ice. Ligation reaction (1.5 μl) was added to 40 μl of electrocompetent cells in a microfuge tube and the mixture was transferred to a 0.1 cm Gene Pulser Cuvette (Bio-Rad Laboratories, Hercules, Calif.). Transformation was performed using the following settings on the Gene Pulser; 1700V, 200Ω, and 25 μF. Following electroporation, the cells were transferred to 960 μl of SOC medium and incubated at 37° C. for 1 hour. Cells were then plated onto Brain Heart Infusion agar plates supplemented with ampicillin (100 μg/ml) and incubated at 37° C. overnight.
[0000] Plasmid Screening Via Restriction Endonuclease Digestion
[0065] To identify cells containing cloned Pegaptanib-derived nucleic acid sequences, randomly picked bacterial colonies were subplated onto Brain Heart Infusion agar plates supplemented with ampicillin (100 μg/ml) and incubated at 37° C. overnight. Individual colonies were picked into 5 ml LB broth supplemented with ampicillin (100 μg/ml) and grown overnight at 37° C. Plasmid DNA was extracted from the bacterial cultures using Qiaprep Spin Miniprep DNA columns as per the manufacturer's instructions.
[0066] Plasmid DNA samples were endonuclease digested using XhoI and XbaI to identify the DNA samples containing the double-stranded cDNA inserts (positive clones). Samples were sequenced using a commercial sequencing facility (Harvard Medical DNA Core Sequencing Facility).
OTHER EMBODIMENTS
[0067] It is to be understood that while the invention has been described in conjunction with the detailed description thereof, the foregoing description is intended to illustrate and not limit the scope of the invention, which is defined by the scope of the appended claims. Other aspects, advantages, and modifications are within the scope of the following claims. | Modified nucleic acids are used for many purposes in research, diagnostic, and treatment protocols. However, direct sequencing of such molecules is generally considered to require special conditions. Methods of making a cDNA using a modified nucleic acid molecule and sequencing methods of sequencing a modified nucleic acid molecule are described. | 49,133 |
CROSS REFERENCES TO RELATED APPLICATIONS
[0001] This application claims the priority benefit of European Patent Application No. 05 023 994.6 filed on Nov. 3, 2005.
STATEMENT REGARDING FEDERALLY SPONSORED RESEARCH
[0002] Not Applicable.
DESCRIPTION OF THE BACKGROUND ART
[0003] This invention relates to an applicator device for a free-flowing substance comprising a carrier body which is provided with an application device and which, on the side farther from the application device, has a cylindrical pin which is penetrated by a transverse channel from which an axial channel branches off and leads to the application device. On the cylindrical pin there is a reservoir device that is used to hold the free-flowing substance and has at least one ring-shaped edge seal that is located on the inside and interacts in a sealing manner with the cylindrical pin of the carrier body. The applicator device is activated by pushing the reservoir device on the cylindrical pin in the direction of the application device.
[0004] An applicator device of this type is described in DE 200 19 091 U1 and is used in particular for the application of pharmaceutical or cosmetic substances onto the human body. The applicator device of the prior art is realized in the form of a mini-syringe and, as the application device, has a tip in the form of a hollow needle, by means of which the free-flowing substance can be deposited. For activation, the reservoir device, which is realized in the shape of a pot or in the form of a tube that is closed on one end, is pushed manually on the cylindrical pin so that the pin acts like a piston which displaces the free-flowing substance stored in the reservoir device, whereby the free-flowing substance flows through the transverse channel and the axial channel of the carrier body to the application tip. During the activation, the side wall of the reservoir device is displaced into a ring-shaped recess that surrounds the cylindrical pin.
[0005] Unfortunately a controlled pushing of the test-tube shaped reservoir device on the cylindrical pin turns out to be difficult. As a result, the applicator device described in DE 200 19 091 U1 has the disadvantage that the precision dosing of the free-flowing substance is not easily possible.
SUMMARY OF THE INVENTION
[0006] The object of the invention is to create an applicator device having an improved dosing characteristics compared to similar devices of the prior art. This object is accomplished in one embodiment by providing an applicator device for a free-flowing substance including a carrier body which is provided with an application device and which, on one end farthest from the application device has a cylindrical pin which is penetrated by a transverse channel, from which an axial channel branches off, which leads to the application device, whereby on the cylindrical pin a reservoir device can be displaced which on its inside has a ring-shaped edge seal which interacts in a sealed manner with the cylindrical pin, whereby the applicator device is activated by the displacement of the reservoir device on the cylindrical pin toward the application device to open a flow connection between the reservoir device and the transverse channel, characterized in that the reservoir device has a receptacle segment that is elastically deformable at least in portions so that, when a flow connection between the transverse channel and the receptacle segment exists in the activation position of the applicator device, the free-flowing substance is discharged via the application device by manual compression of the elastically deformable area of the receptacle segment.
[0007] Accordingly, the invention consists of the fact that the reservoir device has a receptacle segment that is elastically deformable at least in sections and, in the activation position of the applicator device in which the edge seal is located on the side of the openings of the transverse channel of the cylindrical pin farther from the reservoir segment and thus establishes a flow connection between the receptacle segment and the transverse channel, can be compressed manually so that the free-flowing substance is deposited by means of the applicator device.
[0008] The principle of the applicator device incorporating the invention is therefore that after the activation, i.e. after the reservoir device has been pushed on the cylindrical pin, the free-flowing substance is discharged via the application device by manually applying pressure to the side of the receptacle segment. No further displacement of the application device on the cylindrical pin is required for this purpose. Therefore the pin does not act as a displacement piston for the free-flowing substance.
[0009] The applicator device claimed by the invention is suitable in particular for the application of pharmaceutical or cosmetic substances to a human or animal body and for this purpose can be provided with an application device that is adapted to the respective application. For example, the application device can be a pipette tip or can also include a brush or a sponge. Pharmaceutical substances that can be applied using the device claimed by the invention include, for example a tissue adhesive, a dental adhesive or a similar substance.
[0010] The applicator device claimed by the invention is designed in particular in the form of a disposable device in which the reservoir device is pre-filled. In the deactivated state representing a closed position, the free-flowing substance is held in the reservoir device and is retained by the edge seal. This status is generally the as-delivered status of the applicator device. To activate the applicator device, all that is required of the user is a telescoping compression of the carrier body and of the reservoir device of the applicator device, thereby effecting a transition from the closed storage position into the open dispensing position of the application device with reference to the carrier body. During the activation, the edge seal brushes over the openings of the transverse channel in the pin.
[0011] The receptacle segment of the reservoir device can be realized in a wide variety of ways. For example, the receptacle segment can be in the shape of a bubble, a test tube, a collapsing tube, a sphere or a bulb.
[0012] The reservoir device of the applicator device claimed by the invention can comprise one or more receptacle bodies. In the latter case, one component of a multiple-component system can be contained in each of the bodies. When the applicator device is activated, it is necessary to create a flow connection between the receptacle bodies of the reservoir device, so that the mixed multiple-component system is located in a chamber of the reservoir device which is surrounded by an elastically deformable wall of the receptacle segment which characterizes the receptacle segment for the application of the free-flowing substance. Then, after the compression of the receptacle segment, the mixed multiple-component system can be transported to the transverse channel and from there via the axial channel to the application device.
[0013] In one special realization of the applicator device claimed by the invention, the receptacle bodies of a reservoir device that has a plurality of receptacle bodies can be telescoped to create a flow connection. In this case, preferably one of the receptacle bodies has a cylindrical segment which on the inside has an edge seal which interacts with a cylindrical peripheral surface of the other receptacle body on which transverse openings are realized. When the edge seal travels over the transverse openings, a flow connection between the receptacle bodies is created.
[0014] It is further conceivable that the applicator device comprises two reservoir devices that are located next to each other, each of which is located on a cylindrical pin which is realized in the manner described above. In that case, the carrier body has two essentially parallel axial channels, downstream of which a static mixer can be located.
[0015] Additional advantages and advantageous configurations of the object of the invention are described and illustrated in greater detail below, in the accompanying drawing and in the claims.
BRIEF SUMMARY OF THE DRAWINGS
[0016] Six exemplary embodiments of an applicator device claimed by the invention are illustrated schematically and in a simplified manner in the accompanying drawings and are described in greater detail below. In the drawings:
[0017] FIG. 1 is a longitudinal section through a first embodiment of an applicator device for a single-component system in the deactivation position;
[0018] FIG. 2 shows the applicator device illustrated in FIG. 1 in the activation position;
[0019] FIG. 3 is a longitudinal section through a second embodiment of an applicator device for a single-component system in the deactivation position;
[0020] FIG. 4 shows the application position illustrated in FIG. 3 in the activation position;
[0021] FIG. 4 shows an alternative embodiment of a reservoir device of an applicator device of the type illustrated in FIG. 1 ;
[0022] FIG. 5 shows an additional embodiment of a reservoir device;
[0023] FIG. 6 shows a fourth embodiment of a reservoir device;
[0024] FIG. 7 shows a reservoir device with a plurality of receptacle chambers;
[0025] FIG. 8 shows an alternative embodiment of a reservoir device with a plurality of receptacle chambers; and
[0026] FIG. 9 shows a last embodiment of a reservoir device with a plurality of receptacle chambers.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
[0027] FIGS. 1 and 2 show an applicator device 10 which is used, for example, for the dispensing of a free-flowing substance via a pipette and comprises a carrier body 12 , on which an application device 14 that is realized in the form of a syringe is molded in one piece. The application device 14 has a discharge opening 16 for the free-flowing substance on its exposed end surface.
[0028] On the side farther from the application device 14 , the carrier body 12 has a cylindrical, piston-like pin 18 which is surrounded by a ring-shaped recess 20 , which is in turn bordered on the outside by a peripheral wall 22 . A collar 24 that acts as a gripping aid is in turn molded onto the peripheral wall 22 . In the terminal area opposite from the application device 14 , the pin 18 is penetrated by a transverse channel 26 that extends in the radial direction. From the transverse channel 26 , an axial channel 28 which lies in the axis of the pin 18 in turn branches off and runs to the discharge opening 16 of the application device 14 .
[0029] The applicator device 10 further comprises a reservoir device 30 in which the free-flowing substance can be stored. The reservoir device 30 comprises a tube-shaped guide segment 32 and a receptacle segment 34 that is adjacent to the side farthest from the application device 14 . The receptacle segment 34 defines a receptacle chamber 36 for the free-flowing substance. The guide segment 32 , on its inside, has a ring-shaped edge seal 38 , which is located so that it can slide on the peripheral surface of the cylindrical pin 18 . The receptacle segment 36 is realized in the shape of a tube and has a sealing seam 40 in its terminal area farther from the pin 18 . The reservoir device 30 is fabricated from an elastically deformable material so that the receptacle segment 34 can be compressed manually.
[0030] In the position of the reservoir device 30 illustrated in FIG. 1 , the edge seal 38 is located in a terminal area of the peripheral surface of the pin 18 , so that the flow of the fluid between the receptacle chamber 36 and the transverse channel 26 is blocked. For the activation of the applicator device 10 , the reservoir device 30 is moved into its open dispensing position which is illustrated in FIG. 2 . During this process, the edge seal 38 passes over the transverse channel 26 so that a flow connection between the receptacle chamber 36 and the transverse channel 26 is created via an annular gap between the cylindrical pin 18 and the guide segment 32 of the reservoir device 30 . As the result of manual pressure which is applied to the side of the receptacle segment 34 , the free-flowing substance contained in the receptacle chamber 36 can be displaced out of the receptacle chamber 36 and transported via the transverse channel 26 and the axial channel 28 to the discharge opening 16 of the application device 14 and applied.
[0031] FIGS. 3 and 4 show an alternative realization of an applicator device 10 ′, which comprises a reservoir device 50 which, instead of the reservoir device illustrated in FIG. 1 , can be placed on a carrier body 12 of the type illustrated in FIG. 1 . The reservoir device 50 comprises a tubular guide segment 32 which on the inside has two ring-shaped edge seals 38 A and 38 B which interact with the cylindrical pin 18 of the carrier body 12 . On the end farther from the edge seals 38 A and 38 B, a bubble-like receptacle segment 52 is adjacent to the guide segment 32 , which receptacle segment 52 contains a free-flowing substance to be applied and is elastically compressible.
[0032] In a middle area of the guide segment 32 , there is also a widened area 54 , which in the activation position of the reservoir device 50 is located on the cylindrical pin of the carrier body 12 at the level of its transverse channel 26 . Advantageously, the widened area 54 improves the flow behavior of the free-flowing substance and acts as a stop during the activation of the applicator device 10 ′. The function of the reservoir device 50 and its interaction with the carrier body 18 correspond to the realization illustrated in FIGS. 1 and 2 .
[0033] FIG. 5 shows an additional embodiment of a reservoir device 60 which can be used in connection with a carrier body 12 of the type illustrated in FIG. 1 . The reservoir device 60 is formed from an elastically deformable small tube that has one open end and one closed end. In the vicinity of the open end, located on the inside of the small tube is an edge seal 38 which, corresponding to the embodiments illustrated in FIGS. 1 to 3 , interacts with the cylindrical pin of the carrier body and is associated with a guide segment 32 of the reservoir device 60 . The reservoir device 60 is longer than the cylindrical pin 18 of the associated carrier body 12 of the applicator device, so that even in the activated state of the applicator device, a receptacle segment 62 remains connected to the guide segment 32 , in which receptacle segment 62 the free-flowing substance is located after the activation of the applicator device in question. The free-flowing substance is thereby not expelled from the reservoir device 60 by a piston action of the pin 18 of the carrier body 12 . The receptacle segment 62 can instead be compressed by lateral pressure applied manually, as a result of which the free-flowing substance is transported through the transverse channel 26 and the axial channel 28 of the carrier body 12 to the application device 14 and is applied by means of the application device.
[0034] FIG. 6 illustrates an additional embodiment of a reservoir device 70 which differs from the reservoir devices illustrated in FIGS. 1 and 2 only in that instead of a tube-shaped receptacle segment 72 it has a bubble-shaped receptacle segment 72 .
[0035] FIG. 7 illustrates a reservoir device 80 which is also designed for use in connection with a carrier body 12 of the type illustrated in FIG. 1 . The reservoir device 80 is designed for a two-component system, the individual components of which are combined with each other only immediately prior to application. For this purpose, the reservoir device 80 comprises a first receptacle body 82 with a guide segment 32 for interaction with the cylindrical pin 18 of the carrier body 12 in the manner described in connection with FIG. 1 . The receptacle body 82 also has a receptacle segment 84 in which one component of the two-component system is contained prior to mixing. The receptacle segment 84 is realized so that it is elastically compressible. On the side farther from the guide segment 32 , the receptacle body 82 has an additional guide segment 86 which is provided with transverse openings 88 on its peripheral surface and is closed on its end. On the guide segment 86 sits a pot-shaped second receptacle body 90 which is guided so that it slides with its terminal area farther from the base on the guide segment 86 , and in this area has an inner edge seal 92 .
[0036] For the activation, the second receptacle body 90 is telescoped toward the first receptacle body 82 so that a flow connection between the interior of the second receptacle body 90 and the interior of the first receptacle body 82 is created via an annular gap between the guide segment 86 of the first receptacle body 82 and the second receptacle body 90 and the transverse openings 88 . The substance in the second receptacle segment 90 can thus flow into the first receptacle body 82 , where it can be mixed with the other component of the two-component system.
[0037] As a result of an appropriate displacement of the reservoir device 80 on the cylindrical pin 18 of the carrier body 12 , a flow connection is then also created between the transverse channel 26 of the carrier body 12 and the receptacle chamber of the receptacle segment 84 . Then, by manual compression of the receptacle segment 84 , the two-component system can be applied by means of the application device 14 .
[0038] The embodiment of a reservoir device 100 illustrated in FIG. 8 corresponds essentially to the embodiment of the reservoir device illustrated in FIG. 6 , and differs from the latter only in that the first receptacle body 82 is realized in the manner of a small tube that is closed on one end, which comprises both the guide segment 32 as well as a receptacle segment 102 that is adjacent to the guide segment 32 and is laterally compressible.
[0039] FIG. 9 illustrates a reservoir device 110 which is also realized for the separate storage of two components of a two-component system. The reservoir device 110 has three sections 112 , 114 and 116 , each of which is realized in the form of a small tube with an open end and a closed end. In the vicinity of the open end, on the inside of each of the tubes 112 , 114 and 116 there is an edge seal 38 , 118 and 120 respectively, each of which interacts with the peripheral surface of the carrier body 12 or of the neighboring part 112 or 114 to open the transverse channel 26 of the pin 18 of the carrier body 12 or transverse openings 122 and 124 respectively of the neighboring section 112 or 114 .
[0040] At least the section 112 is realized so that it can be compressed in the transverse direction, so that the component of the two-component mixture that is contained in this section 112 can be displaced by manual pressure on this section 112 from the reservoir device 110 and can be applied via the carrier body 12 and the application device 14 . | An applicator device for a free-flowing substance includes a carrier body provided with an application device at one end and a pin at an opposing end. A transverse channel penetrates the pin, and an axial channel branching off from the transverse channel leads to the application device. A reservoir device having a ring-shaped edge seal sealingly engages the pin, whereby the applicator device is activated by displacing the reservoir device on the pin toward the application device to open a flow connection between the reservoir device and the transverse channel. The reservoir device has a receptacle segment that is elastically deformable at least in portions so that, when the applicator device is activated and a flow connection between the transverse channel and the receptacle segment exists, the free-flowing substance is discharged via the application device by manual compression of the elastically deformable area of the receptacle segment. | 20,100 |
[0001] The present application is a continuation of U.S. patent application Ser. No. 12/057,097, filed Mar. 27, 2008, which claims priority to expired U.S. Provisional Patent Application Ser. No. 60/920,176, filed Mar. 27, 2007, each of which are herein incorporated by reference in its entirety.
FIELD OF THE INVENTION
[0002] The present invention provides compositions and methods for protecting cells and tissues from damage associated with therapeutic treatments of cancers and other diseases and conditions where reactive oxygen species are produced. The present invention also provides compositions useful as research reagents.
BACKGROUND OF THE INVENTION
[0003] Cancers are a leading cause of death in animals and humans. The leading cancer therapies today are surgery, radiation and chemotherapy. In spite of advances in the field of cancer treatment, each of these known therapies has serious side effects. For example, surgery disfigures the patient or interferes with normal bodily functions. Chemotherapy or radiation therapies cause patients to experience acute debilitating symptoms including nausea, vomiting, diarrhea, hypersensitivity to light, hair loss, etc. The side effects of these cytotoxic compounds frequently limit the frequency and dosage at which they can be administered. The main reason chemotherapy is so debilitating and the symptoms so severe is that chemotherapeutic drugs are often unable to differentiate between normal, healthy cells and the tumor cells they are designed to target. Therefore, as they target tumor cells they also target healthy cells thereby causing the toxic side effects to the subject receiving the chemotherapy. As well, radiation therapy targets the whole system, not just tumor cells, so side effects are once again severe for the subject receiving radiation therapy.
[0004] While chemotherapeutic compounds have been found to be effective and are in general clinical use as anti-proliferative agents, there are well recognized drawbacks associated with their administration. Chemotherapeutic alkylating agents have marked cytotoxic action and the ability of these drugs to interfere with normal mitosis and cell division can be lethal. Chemotherapeutic antimetabolites can lead to anorexia, progressive weight loss, depression, and coma. Prolonged administration of antimetabolites can result in serious changes in bone marrow. Both the alkylating agents and the antimetabolities generally have a depressive effect on the immunosuppressive system. Prolonged administration of natural products such as vinca alkyloids can also result in bone marrow depression. Hydroxy urea and other chemically derived chemotherapeutic agents can lead to rapid reduction in levels of adrenocorticosteroids and their metabolites. The administration of hormonal chemotherapeutic compounds or radioactive isotopes is also undesirable from the viewpoint of inflicting damage on the immunosuppressive system and thereby disabling the body's defenses against common infections. Moreover, it is recently reported that cognitive function is compromised upon administration of some chemotherapeutic compounds, in particular the administration of adriamycin in treating breast cancer. Such cognitive dysfunction is loosely termed “chemo brain”, and is marked by increased oxidative stress and cellular apoptosis in the brain (Joshi et al., 2007, J. Neurosci. Res. 85:497-503).
[0005] Glutathione (GSH) represents one of the most prevalent organic molecules within the cell, with concentrations ranging from 0.1 to 15 mM. Glutathione functions primarily as an antioxidant, reacting with toxic species as well as serving as a cofactor for a number of protective enzymes such as glutathione peroxidase and glutathione transferase. Glutathione is also an important determinant of the cell's ability to pump toxic substances, such as chemotherapeutic drug metabolites, out of the cell. The concentration of glutathione and the extent of glutathione oxidation are thought to be a key determinant of cells undergoing programmed cell death (apoptosis) in response to chemotherapy or radiation therapy.
[0006] Several sulfhydryl containing compounds have been developed to protect normal tissues from the toxic effects of either chemotherapy or radiation therapy. For example, glutathione has been utilized in clinical trials to protect against the toxic effects of chemotherapy. Cascinu et al. (2002, J. Clin. One. 20:3478-83) found that co-administration of reduced glutathione could significantly reduce the neuropathy seen with the chemotherapeutic drug oxaliplatin. However, the effect of reduced glutathione is relatively limited in that this compound is rapidly hydrolyzed when given intravenously. Unfortunately, systemically administered glutathione protects tumor cells and normal cells equally and has not been shown to improve the therapeutic index. Also, elevation in glutathione levels is a common characteristic of tumor cells resistant to chemotherapy (Moscow and Dixon, 1993, Cytotech. 12:155-70).
[0007] Sodium 2-mercaptoethane sulphonate (Mesna) is a thiol-producing compound that is used in clinical oncology to prevent bladder damage from high doses of chemotherapeutic alkylating agents (e.g., cyclophosphamide, cisplatin, ifosfamide, carboplatin, doxorubicin and its derivatives, mitomycin and its derivatives). Mesna (UROMITEXAN, MESNEX; U.S. Pat. Nos. 5,661,188, 6,696,483 and 6,462,017) is excreted rapidly in the urine which limits its general utility except for bladder protection.
[0008] Amifostine (ETHYOL, WR-2721; U.S. Pat. Nos. 7,151,094, 6,841,545, 6,753,323, 6,407,278, 6,384,259, 5,994,409) was developed as a radiation protection agent by the U.S. Walter Reed Army Institute of Research in the 1950s. Amifostine (S-2-(3-aminopropylamino)ethylphosphorothioic acid) is a cytoprotective adjuvant used in cancer chemotherapy involving DNA-binding chemotherapeutic agents and is used therapeutically to reduce the incidence of fever and infection induced by DNA-binding chemotherapeutic agents including alkylating agents (e.g. cyclophosphamide) and platinum-containing agents (e.g. cisplatin). It is also used to decrease the cumulative nephrotoxicity associated with platinum-containing agents and is indicated to reduce the incidence of dry mouth in patients undergoing radiotherapy for head and neck cancer. Amifostine is an organic thiophosphate prodrug that is dephosphorylated in vivo by alkaline phosphatase (e.g., alkaline phosphatase is capable of hydrolyzing phosphorothioates in addition to phosphoether moieties in a variety of compounds) to the active cytoprotective thiol metabolite (WR-1065). The selective protection of non-malignant tissues is believed to be due to higher alkaline phosphatase activity, higher pH, and vascular permeation of normal tissues; dephosphorylation takes place preferentially in normal blood vessels but to a much lesser extent in tumor vessels because tumors are more acidic and the newly formed tumor blood vessels do not significantly express the enzyme alkaline phosphatase. In randomized Phase III human trials, amifostine has been shown to reduce toxicity with 1) chemotherapy and radiation therapy in head and neck cancer (David et al., 2000, J. Clin. One. 18:3339-45); 2) radiation therapy in lung cancer patients (Antonadou et al., 2001, Int. J. Rad. One. Biol. Phys. 51:915-22); 3) myelosuppression from carboplatin; and 4) chemotherapy and radiation therapy in rectal cancer. Amifostine was originally indicated to reduce the cumulative renal toxicity from cisplatin in non-small cell lung cancer. However, while nephroprotection was observed, the fact that amifostine could protect tumors could not be excluded. Therefore, given better treatment options for non-small cell lung cancer, amifostine's indication for non-small cell lung cancer was withdrawn in 2005.
[0009] As such, what are needed are novel compositions for use as broad-spectrum chemoprotectants and radioprotectants. Such novel compositions would not only serve as adjuvants to chemo and radiation therapies to protect the subjects normal cells from the toxicity associated with such therapies, but such novel compositions would also prove useful as research reagents in the study of, for example, chemotherapeutics and cellular biology.
SUMMARY OF THE INVENTION
[0010] The present invention provides compositions and methods for protecting cells and tissues from damage associated with therapeutic treatments of cancers and other diseases and conditions where reactive oxygen species are produced. The present invention also provides compositions useful as research reagents.
[0011] In one embodiment, the compositions of the present invention are used in conjunction with cytotoxic chemotherapy and/or radiation therapy in the treatment of subjects, and are broadly applicable to such treatment regimens. It is contemplated that by decreasing toxicity to normal cells, the compositions thereby allow for the escalation (e.g., high dose, prolonged treatment, use of drugs otherwise considered too toxic, etc.) of chemotherapy or radiation dosing, resulting in more effective treatments. Likewise, the compounds find use in conjunction with existing therapeutic protocols to reduce toxicity and the associated underlying sign, symptoms, and side effects.
[0012] In some embodiments, the compositions and methods of the present invention find utility in protecting normal cells from toxicity due to treatment regimens associated with cellular toxicity due to, for example, AIDS, anti-fungal therapy, antibacterial therapy, and intravenous contrast agents. The compositions and methods can also be used to treat disorders that are induced by aging and metabolic disorders, including, but not limited to diabetes.
[0013] The present invention provides compositions and methods for the treatment of a wide variety of metabolic processes and disorders wherein free radicals, and therefore cell damage or apoptosis, can occur. The methods of the present invention are also suitable for the treatment of disorders relating to basal metabolism such as heat production of an individual at the lowest level of cell chemistry in the waking state, or the minimal amount of cell activity associated with the continuous organic functions of respiration, circulation and secretion; carbohydrate metabolism such as the changes that carbohydrates undergo in the tissues, including oxidation, breakdown, and synthesis; electrolyte metabolism such as the changes which the various essential minerals, sodium, potassium, calcium magnesium, etc. undergo in the fluids and tissues of the body; fat metabolism such as the chemical changes, oxidation, decomposition, and synthesis, that fats undergo in the tissues; protein metabolism such as the chemical changes, decompositions, and synthesis that protein undergoes in the tissues; and respiratory metabolism such as the exchange of respiratory gases in the lungs and the oxidation of foodstuffs in the tissues with the production of carbon dioxide and water.
[0014] In one embodiment, the present invention provides compositions and methods for protecting tissues and cells from damage caused by any therapy to a subject that is toxic to normal cells (e.g., non-diseased cells such as non-cancerous cells), for example chemotherapy or radiation therapy. In some embodiments, the present invention inhibits or decreases apoptosis in normal cells and tissues due to therapies such as, for example, chemotherapy and radiation therapy.
[0015] In one embodiment, the compositions of the present invention provide research reagents for the scientific community for use in experimental methods. In some embodiments, the compositions are used in in vitro assays. In some embodiments, the compositions are used in in vivo assays.
[0016] The present invention relates, in part, to compositions and methods for treating cellular toxicities associated with the administration to a subject of one or more therapeutic agents, which comprise administering a therapeutically effective amount of one or more compositions of the present invention, or pharmaceutically acceptable salts thereof, to the subject receiving said one or more therapeutic agents.
[0017] In some embodiments, the therapeutic agent utilized is one that permits regioselective increase of the concentration of a natural, non-toxic, protective material in healthy tissue. Preferably, said compound is not increased, or increased to a lesser extent, in a cell that is targeted for killing (e.g., a cancer cell). For example, in some embodiments, the therapeutic agent provides a regioselective increase in the concentration of glutathione in healthy tissue. Examples of therapeutic agents that produce this effect are shown in Formula I, II, and III. The present invention is not limited to these specific compounds. In some embodiments, the therapeutic agent is a protected glutathione molecule that can undergo a selective deprotection process (e.g., a two-step deprotection process) that locally increases the concentration of deprotected glutathione in cells of interest (e.g., healthy tissue). In some embodiments designed to provide glutathione to cells of interest, the therapeutic agent involves carboxyl group protection. In some embodiments, one of the carboxyl groups of glutathione is protected. In some embodiments, both carboxyl groups of glutathione are protected. In some embodiments, a phosphorothioate derivative of glutathione is provided, including mono- and di-ethyl esters thereof. In some embodiments, one or more methyl or ethyl groups are used to protect one or more carboxyl groups of a glutathione molecule (see e.g., Formula I, II, and III). In some embodiments, any protecting group that can be cleaved (e.g., by a cellular esterase) is employed. Preferably, the product of the cleavage is minimally toxic or non-toxic. Preferably, the product is natural glutathione or a functionally equivalent derivative thereof. In some embodiments, the protecting group is a polyethylene glycol (PEG). In some embodiments, the protecting group is any organic moiety that facilitates membrane permeability, including short peptide or other materials useful for facilitating drug delivery.
[0018] The present invention is not limited to the use of glutathione as a protective agent. In some embodiments, the therapeutic agent is any protective agent that, alone or in combination with other agents, when modified in vivo in a regioselective manner, provides a free-radical scavenger in the desired target cell. For example, the therapeutic agent may comprise alpha-lipoic acid comprising a phosphate protecting group or other protecting group (e.g., PEG) protecting the carboxyl group. A variety of compounds may be employed that can undergo regioselective deprotection to provide intracellular protective compounds.
[0019] In some embodiments, the therapeutic agent is provided as part of a bioconjugate or complex. For example, in some embodiments, the therapeutic agent is provided in, on, or with a nanoparticle, liposome, micelle, dendrimer, or other biocompatible material or biopolymer (e.g., carbohydrate) useful as a drug carrier.
[0020] In one embodiment, the present invention relates to compositions and methods for treating cellular toxicities associated with administration of a chemotherapeutic agent or other toxic agent wherein a composition comprising Formula I, II, or III, other compounds described herein, or salts, metabolites, functional derivatives, functional analogues, esters and pro-drugs thereof, are administered prior to, with, and/or after administration of the chemotherapeutic agent, or alternatively, at the first indication of toxicity caused by the chemotherapeutic agent(s). Toxicity is caused by, for example, those compounds as listed in Table 1.
[0021] The present invention further relates to methods for treating cellular toxicities associated with the administration of therapeutic agents by administering a composition comprising Formula I, II, or III, other compounds described herein, or salts, metabolites, functional derivatives, functional analogues, esters and pro-drugs thereof after clinical appearance of toxicities following therapeutic treatment. In some embodiments, the invention relates to methods of treating toxicities associated with the exposure of a subject to radiation therapy, which comprise administering to the subject a therapeutically effective amount of one or more of the compositions as described herein, or a pharmaceutically acceptable salt thereof, concurrent with, or after the occurrence of, radiation therapy. In one embodiment, the present invention relates to compositions and methods for treating cellular toxicities associated with administration of a radiation therapy regimen wherein a composition comprising Formula I, II, or III, other compounds described herein, or salts, metabolites, functional derivatives, functional analogues, esters and pro-drugs thereof, are administered prior to, with, and/or after administration of the radiation therapy, or alternatively, at the first indication of toxicity caused by the radiation therapy.
[0022] In one embodiment, the present invention provides a composition comprising Formula I. In some embodiments, Formula I comprises R 1 and R 2 groups that are each independently ethyl or methyl groups. In some embodiments, the present invention provides a composition comprising Formula I wherein n is 2. In some embodiments, the present invention provides a composition comprising Formula I wherein R 1 and R 2 groups that are ethyl groups and n is 2. In some embodiments, Formula I comprises a monosodium salt of the phosphorothioate group.
[0023] In one embodiment, the present invention provides a composition comprising 2-amino-4-(1-ethoxycarbonyl-2-phosphonosulfanyl-ethylcarbamoyl)-butyric acid ethyl ester monosodium salt.
[0024] In one embodiment, the present invention provides a method for protecting cells from the toxic effects of free radical generating therapies comprising providing a subject with a conditions being treated with therapies that are toxic to normal cells and disease cells, and co-administering to said subject a composition comprising Formula I and a therapy that is toxic to said normal cells and disease cells.
[0025] In one embodiment, the present invention provides a method of treating subjects with cancer comprising providing a subject with cancer and co-administering to said subject a treatment regimen comprising Formula I and a chemotherapy drug and/or radiation therapy.
DESCRIPTION OF THE FIGURES
[0026] FIG. 1 depicts a synthesis method of 2-amino-4-(1-ethoxycarbonyl-2-phosphonosulfanyl-ethylcarbamoyl)-butyric acid ethyl ester monosodium salt, an embodiment of the invention, as described in Example 1.
DEFINITIONS
[0027] As used herein, the term “subject” refers to any animal (e.g., a mammal), including, but not limited to, humans, non-human primates, rodents, and the like, which is to be the recipient of a particular treatment. Typically, the terms “subject” and “patient” are used interchangeably herein in reference to a human subject.
[0028] As used herein, the term “non-human animals” refers to all non-human animals including, but are not limited to, vertebrates such as rodents, non-human primates, ovines, bovines, ruminants, lagomorphs, porcines, caprines, equines, canines, felines, ayes, etc.
[0029] As used herein, the term “cell culture” refers to any in vitro culture of cells. Included within this term are continuous cell lines (e.g., with an immortal phenotype), primary cell cultures, transformed cell lines, finite cell lines (e.g., non-transformed cells), and any other cell population maintained in vitro.
[0030] As used herein, the term “in vitro” refers to an artificial environment and to processes or reactions that occur within an artificial environment. In vitro environments can consist of, but are not limited to, test tubes and cell culture. The term “in vivo” refers to the natural environment (e.g., an animal or a cell) and to processes or reaction that occur within a natural environment.
[0031] As used herein, the term “co-administration” refers to the administration of both a composition of the present invention with another type of therapy, for example chemotherapy or radiation therapy. Co-administration can be at the same time in the same administrative form (e.g., injection, pill, liquid), or co-administration can be two compositions given at the same time, but not in the same administrative form.
[0032] As used herein, the term “reactive oxygen species” refers to highly reactive chemicals, containing oxygen, that react easily with other molecules, resulting in potentially damaging modifications. Reactive oxygen species include, for example, oxygen ions, free radicals and peroxides both inorganic and organic such as hydrogen peroxide, superoxide, hydroxyl radical, lipid hydroperoxidase and singlet oxygen. They are generally very small molecules and are highly reactive due to the presence of unpaired valence shell electrons.
[0033] As used herein, “toxic effects” refers to damaging modifications to cells and tissues caused by reactive oxygen species. For example, a toxic effect of a reactive oxygen species is a cell that is modified to undergo apoptosis.
[0034] As used herein, “free radical generating therapies” refers to drugs, chemicals, small molecules, peptides, radiation, and other such therapies that are applied to subjects, either alone or in combination, to treat a disorder or disease, wherein such a therapy results in the generation of free radicals in both non-diseased and diseased cells and tissues.
DETAILED DESCRIPTION OF THE INVENTION
[0035] Certain illustrative embodiments of the invention are described below. The present invention is not limited to these embodiments.
[0036] The compositions of the present invention provide novel chemoprotectants that, when administered to a subject receiving chemo or radiation therapy, selectively protects the subject's cells and tissues, and not tumor tissues, from toxic therapeutic effects. Once activated, compositions of the present invention serve, for example, as a direct precursor to glutathione, a key regulator of apoptosis. The presence of a phosphorothioate moiety, or other protecting moiety, in the compositions as described herein requires cleavage by alkaline phosphatase, present in normal cells but much less so in tumor neovasculature. Elevations of glutathione in normal tissues render the patient less susceptible to the toxic effects of chemotherapy and radiation therapy, whereas cancerous cells within a tumor are not so protected.
[0037] In some embodiments, the compositions as described herein undergo dephosphorylation (e.g., by alkaline phosphatase) in vitro under experimental parameters or in vivo in the normal cells and tissues of a subject. Once dephosphorylated, the composition comprises an active free sulfhydryl (thiol, —SH) group that protects against the toxicities associated with chemotherapy and radiation therapy by acting as a scavenger for reactive oxygen species created by such therapies (Yuhas, 1977, in: Radiation - Drug Interactions in Cancer Management , pp. 303-352); Yuhas, 1973, J. Natl. Cancer Inst. 50:69-78; incorporated by reference herein in their entireties).
[0038] In one embodiment, the present invention relates to protection of non-diseased cells and tissues by administering prior to, during, or after, irradiation and/or chemotherapy to a tumor tissue, a therapeutically effective amount of a composition as described herein. In some embodiments, the administration of a composition of the present invention is directed specifically to the non-diseased cells and tissues, whereas the administration of the chemotherapy and/or irradiation is not so discriminating.
[0039] In one embodiment, the compositions of the present invention include small molecules, or analogs thereof, of the structure as seen in Formula I:
[0000]
[0000] wherein:
R 1 and R 2 are each, separately, hydrogen, methyl, or ethyl; and
n is an integer from 2 to 10.
[0040] In one embodiment, the present invention provides salts, solvates and hydrates of the compounds as described herein. An example of an acceptable salt is found in Formula II:
[0000]
[0000] wherein:
R 1 and R 2 are each, separately, hydrogen, methyl, or ethyl; and
n is an integer from 2 to 10.
[0041] In some embodiments, a further example of a salt composition suitable for use as a composition in the methods of the present application is found in Formula III:
[0000]
[0000] wherein n is an integer from 2 to 10.
[0042] In some embodiments, two or more therapeutic molecules of interest are provided in a single therapeutic agent as a single molecule, such that the two or more therapeutic molecules of interest are generated intracellularly. One or more of the constituents may also be selected to increase molecule stability, cell permeability, or other desired properties. For example, in one embodiment, the compositions of the present invention include small molecules, or analogs thereof, of the structure as seen in Formula IV:
[0000]
[0000] The compound of Formula IV is metabolized to provide both glutathione and lipoic acid to a cell, each providing protection against toxic agents or conditions. Such a molecule undergoes, for example, cleavage of the thiol protecting phosphate by alkaline phosphatase. It is contemplated that the nonpolar molecule is readily cell permeable. Esterase cleavage of the conjugate and liberation of the glutathione molecule and alpha-lipoic acid provide intracellular protection.
[0043] Therapeutic agents can also be provided as dimers or other multimers of protective molecules. For example, in some embodiments, the therapeutic agent comprises a molecule as seen in Formula V, a protected dimer of glutathione:
[0000]
[0044] In some embodiments, compositions of the present invention are co-administered with chemotherapy and/or anticancer therapy and/or radiation therapy and another chemoprotectant compound (e.g., amifostine, mesna). In some embodiments, the administration of a composition of the present invention is directed specifically to the non-diseased cells and tissues, whereas the administration of the chemotherapy and/or irradiation is not so discriminating.
[0045] For example, Table 1 lists compounds for co-administration with a composition of the present invention.
[0000] TABLE 1 Aldesleukin Proleukin ® Chiron Corp., Emeryville, (des-alanyl-1, serine-125 human CA interleukin-2) Alemtuzumab Campath ® Millennium and ILEX (IgG1κ anti CD52 antibody) Partners, LP, Cambridge, MA Alitretinoin Panretin ® Ligand Pharmaceuticals, (9-cis-retinoic acid) Inc., San Diego CA Allopurinol Zyloprim ® GlaxoSmithKline, (1,5-dihydro-4H-pyrazolo[3,4- Research Triangle Park, d]pyrimidin-4-one monosodium salt) NC Altretamine Hexalen ® US Bioscience, West (N,N,N′,N′,N″,N″,-hexamethyl-1,3,5- Conshohocken, PA triazine-2,4,6-triamine) Amifostine Ethyol ® US Bioscience (ethanethiol, 2-[(3- aminopropyl)amino]-, dihydrogen phosphate (ester)) Anastrozole Arimidex ® AstraZeneca (1,3-Benzenediacetonitrile, a,a,a′,a′- Pharmaceuticals, LP, tetramethyl-5-(1H-1,2,4-triazol-1- Wilmington, DE ylmethyl)) Arsenic trioxide Trisenox ® Cell Therapeutic, Inc., Seattle, WA Asparaginase Elspar ® Merck & Co., Inc., (L-asparagine amidohydrolase, type Whitehouse Station, NJ EC-2) BCG Live Tice BCG ® Organon Teknika, Corp., (lyophilized preparation of an Durham, NC attenuated strain of Mycobacterium bovis ( Bacillus Calmette-Gukin [BCG], substrain Montreal) bexarotene capsules Targretin ® Ligand Pharmaceuticals (4-[1-(5,6,7,8-tetrahydro-3,5,5,8,8- pentamethyl-2-napthalenyl) ethenyl] benzoic acid) bexarotene gel Targretin ® Ligand Pharmaceuticals Bleomycin Blenoxane ® Bristol-Myers Squibb Co., (cytotoxic glycopeptide antibiotics NY, NY produced by Streptomyces verticillus ; bleomycin A 2 and bleomycin B 2 ) Capecitabine Xeloda ® Roche (5′-deoxy-5-fluoro-N- [(pentyloxy)carbonyl]-cytidine) Carboplatin Paraplatin ® Bristol-Myers Squibb (platinum, diammine [1,1- cyclobutanedicarboxylato(2-)-0,0′]-, (SP-4-2)) Carmustine BCNU, BiCNU Bristol-Myers Squibb (1,3-bis(2-chloroethyl)-1-nitrosourea) Carmustine with Polifeprosan 20 Gliadel Wafer Guilford Pharmaceuticals, Implant Inc., Baltimore, MD Celecoxib Celebrex ® Searle Pharmaceuticals, (as 4-[5-(4-methylphenyl)-3- England (trifluoromethyl)-1H-pyrazol-1-yl] benzenesulfonamide) Chlorambucil Leukeran ® GlaxoSmithKline (4- [bis(2chlorethyl)amino]benzenebutanoic acid) Cisplatin Platinol ® Bristol-Myers Squibb (PtCl 2 H 6 N 2 ) Cladribine Leustatin ®, 2- R. W. Johnson (2-chloro-2′-deoxy-b-D-adenosine) CdA Pharmaceutical Research Institute, Raritan, NJ Cyclophosphamide Cytoxan ®, Bristol-Myers Squibb (2-[bis(2-chloroethyl)amino] Neosar ® tetrahydro-2H-13,2-oxazaphosphorine 2-oxide monohydrate) Cytarabine Cytosar-U ® Pharmacia & Upjohn (1-b-D-Arabinofuranosylcytosine, Company C 9 H 13 N 3 O 5 ) cytarabine liposomal DepoCyt ® Skye Pharmaceuticals, Inc., San Diego, CA Dacarbazine DTIC-Dome ® Bayer AG, Leverkusen, (5-(3,3-dimethyl-1-triazeno)-imidazole- Germany 4-carboxamide (DTIC)) Dactinomycin, actinomycin D Cosmegen ® Merck (actinomycin produced by Streptomyces parvullus , C 62 H 86 N 12 O 16 ) Darbepoetin alfa Aranesp ® Amgen, Inc., Thousand (recombinant peptide) Oaks, CA daunorubicin liposomal DanuoXome ® Nexstar Pharmaceuticals, ((8S-cis)-8-acetyl-10-[(3-amino-2,3,6- Inc., Boulder, CO trideoxy-a-L-lyxo-hexopyranosyl)oxy]- 7,8,9,10-tetrahydro-6,8,11-trihydroxy- 1-methoxy-5,12-naphthacenedione hydrochloride) Daunorubicin HCl, daunomycin Cerubidine ® Wyeth Ayerst, Madison, ((1S,3S)-3-Acetyl-1,2,3,4,6,11- NJ hexahydro-3,5,12-trihydroxy-10- methoxy-6,11-dioxo-1-naphthacenyl 3- amino-2,3,6-trideoxy-(alpha)-L-lyxo- hexopyranoside hydrochloride) Denileukin diftitox Ontak ® Seragen, Inc., Hopkinton, (recombinant peptide) MA Dexrazoxane Zinecard ® Pharmacia & Upjohn ((S)-4,4′-(1-methyl-1,2-ethanediyl)bis- Company 2,6-piperazinedione) Docetaxel Taxotere ® Aventis Pharmaceuticals, ((2R,3S)-N-carboxy-3-phenylisoserine, Inc., Bridgewater, NJ N-tert-butyl ester, 13-ester with 5b-20- epoxy-12a,4,7b,10b,13a- hexahydroxytax-11-en-9-one 4-acetate 2-benzoate, trihydrate) Doxorubicin HCl Adriamycin ®, Pharmacia & Upjohn (8S,10S)-10-[(3-amino-2,3,6-trideoxy- Rubex ® Company a-L-lyxo-hexopyranosyl)oxy]-8- glycolyl-7,8,9,10-tetrahydro-6,8,11- trihydroxy-1-methoxy-5,12- naphthacenedione hydrochloride) doxorubicin Adriamycin ® Pharmacia & Upjohn PFS Intravenous Company injection doxorubicin liposomal Doxil ® Sequus Pharmaceuticals, Inc., Menlo park, CA dromostanolone propionate Dromostanolone ® Eli Lilly & Company, (17b-Hydroxy-2a-methyl-5a-androstan- Indianapolis, IN 3-one propionate) dromostanolone propionate Masterone ® Syntex, Corp., Palo Alto, injection CA Elliott's B Solution Elliott's B Orphan Medical, Inc Solution Epirubicin Ellence ® Pharmacia & Upjohn ((8S-cis)-10-[(3-amino-2,3,6-trideoxy- Company a-L-arabino-hexopyranosyl)oxy]- 7,8,9,10-tetrahydro-6,8,11-trihydroxy- 8-(hydroxyacetyl)-1-methoxy-5,12- naphthacenedione hydrochloride) Epoetin alfa Epogen ® Amgen, Inc (recombinant peptide) Estramustine Emcyt ® Pharmacia & Upjohn (estra-1,3,5(10)-triene-3,17- Company diol(17(beta))-, 3-[bis(2- chloroethyl)carbamate] 17-(dihydrogen phosphate), disodium salt, monohydrate, or estradiol 3-[bis(2- chloroethyl)carbamate] 17-(dihydrogen phosphate), disodium salt, monohydrate) Etoposide phosphate Etopophos ® Bristol-Myers Squibb (4′-Demethylepipodophyllotoxin 9-[4,6- O-(R)-ethylidene-(beta)-D- glucopyranoside], 4′-(dihydrogen phosphate)) etoposide, VP-16 Vepesid ® Bristol-Myers Squibb (4′-demethylepipodophyllotoxin 9-[4,6- O-(R)-ethylidene-(beta)-D- glucopyranoside]) Exemestane Aromasin ® Pharmacia & Upjohn (6-methylenandrosta-1,4-diene-3,17- Company dione) Filgrastim Neupogen ® Amgen, Inc (r-metHuG-CSF) floxuridine (intraarterial) FUDR Roche (2′-deoxy-5-fluorouridine) Fludarabine Fludara ® Berlex Laboratories, Inc., (fluorinated nucleotide analog of the Cedar Knolls, NJ antiviral agent vidarabine, 9-b-D- arabinofuranosyladenine (ara-A)) Fluorouracil, 5-FU Adrucil ® ICN Pharmaceuticals, Inc., (5-fluoro-2,4(1H,3H)-pyrimidinedione) Humacao, Puerto Rico Fulvestrant Faslodex ® IPR Pharmaceuticals, (7-alpha-[9-(4,4,5,5,5-penta Guayama, Puerto Rico fluoropentylsulphinyl) nonyl]estra- 1,3,5-(10)-triene-3,17-beta-diol) Gemcitabine Gemzar ® Eli Lilly (2′-deoxy-2′,2′-difluorocytidine monohydrochloride (b-isomer)) Gemtuzumab Ozogamicin Mylotarg ® Wyeth Ayerst (anti-CD33 hP67.6) Goserelin acetate Zoladex ® AstraZeneca (acetate salt of [D- Implant Pharmaceuticals Ser(But) 6 ,Azgly 10 ]LHRH; pyro-Glu- His-Trp-Ser-Tyr-D-Ser(But)-Leu-Arg- Pro-Azgly-NH2 acetate [C 59 H 84 N 18 O 14 •(C 2 H 4 O 2 ) x Hydroxyurea Hydrea ® Bristol-Myers Squibb Ibritumomab Tiuxetan Zevalin ® Biogen IDEC, Inc., (immunoconjugate resulting from a Cambridge MA thiourea covalent bond between the monoclonal antibody Ibritumomab and the linker-chelator tiuxetan [N-[2- bis(carboxymethyl)amino]-3-(p- isothiocyanatophenyl)-propyl]-[N-[2- bis(carboxymethyl)amino]-2-(methyl)- ethyl]glycine) Idarubicin Idamycin ® Pharmacia & Upjohn (5,12-Naphthacenedione, 9-acetyl-7- Company [(3-amino-2,3,6-trideoxy-(alpha)-L- lyxo-hexopyranosyl)oxy]-7,8,9,10- tetrahydro-6,9,11- trihydroxyhydrochloride, (7S-cis)) Ifosfamide IFEX ® Bristol-Myers Squibb (3-(2-chloroethyl)-2-[(2- chloroethyl)amino]tetrahydro-2H-1,3,2- oxazaphosphorine 2-oxide) Imatinib Mesilate Gleevec ® Novartis AG, Basel, (4-[(4-Methyl-1-piperazinyl)methyl]-N- Switzerland [4-methyl-3-[[4-(3-pyridinyl)-2- pyrimidinyl]amino]-phenyl]benzamide methanesulfonate) Interferon alfa-2a Roferon ®-A Hoffmann-La Roche, Inc., (recombinant peptide) Nutley, NJ Interferon alfa-2b Intron A ® Schering AG, Berlin, (recombinant peptide) (Lyophilized Germany Betaseron) Irinotecan HCl Camptosar ® Pharmacia & Upjohn ((4S)-4,11-diethyl-4-hydroxy-9-[(4- Company piperi-dinopiperidino)carbonyloxy]-1H- pyrano[3′,4′:6,7] indolizino[1,2-b] quinoline-3,14(4H,12H) dione hydrochloride trihydrate) Letrozole Femara ® Novartis (4,4′-(1H-1,2,4-Triazol-1-ylmethylene) dibenzonitrile) Leucovorin Wellcovorin ®, Immunex, Corp., Seattle, (L-Glutamic acid, N[4[[(2amino-5- Leucovorin ® WA formyl1,4,5,6,7,8 hexahydro4oxo6- pteridinyl)methyl]amino]benzoyl], calcium salt (1:1)) Levamisole HCl Ergamisol ® Janssen Research ((−)-(S)-2,3,5,6-tetrahydro-6- Foundation, Titusville, NJ phenylimidazo [2,1-b] thiazole monohydrochloride C 11 H 12 N 2 S•HCl) Lomustine CeeNU ® Bristol-Myers Squibb (1-(2-chloro-ethyl)-3-cyclohexyl-1- nitrosourea) Meclorethamine, nitrogen mustard Mustargen ® Merck (2-chloro-N-(2-chloroethyl)-N- methylethanamine hydrochloride) Megestrol acetate Megace ® Bristol-Myers Squibb 17α(acetyloxy)-6-methylpregna-4,6- diene-3,20-dione Melphalan, L-PAM Alkeran ® GlaxoSmithKline (4-[bis(2-chloroethyl) amino]-L- phenylalanine) Mercaptopurine, 6-MP Purinethol ® GlaxoSmithKline (1,7-dihydro-6H-purine-6-thione monohydrate) Mesna Mesnex ® Asta Medica (sodium 2-mercaptoethane sulfonate) Methotrexate Methotrexate Lederle Laboratories (N-[4-[[(2,4-diamino-6- pteridinyl)methyl]methylamino]benzoyl]- L-glutamic acid) Methoxsalen Uvadex ® Therakos, Inc., Way (9-methoxy-7H-furo[3,2-g][1]- Exton, Pa benzopyran-7-one) Mitomycin C Mutamycin ® Bristol-Myers Squibb mitomycin C Mitozytrex ® SuperGen, Inc., Dublin, CA Mitotane Lysodren ® Bristol-Myers Squibb (1,1-dichloro-2-(o-chlorophenyl)-2-(p- chlorophenyl) ethane) Mitoxantrone Novantrone ® Immunex Corporation (1,4-dihydroxy-5,8-bis[[2-[(2- hydroxyethyl)amino]ethyl]amino]-9,10- anthracenedione dihydrochloride) Nandrolone phenpropionate Durabolin ®-50 Organon, Inc., West Orange, NJ Nofetumomab Verluma ® Boehringer Ingelheim Pharma KG, Germany Oprelvekin Neumega ® Genetics Institute, Inc., (IL-11) Alexandria, VA Oxaliplatin Eloxatin ® Sanofi Synthelabo, Inc., (cis-[(1R,2R)-1,2-cyclohexanediamine- NY, NY N,N′] [oxalato(2-)-O,O′] platinum) Paclitaxel Taxol ® Bristol-Myers Squibb (5β, 20-Epoxy-1,2a,4,7β,10β,13a- hexahydroxytax-11-en-9-one 4,10- diacetate 2-benzoate 13-ester with (2R, 3S)-N-benzoyl-3-phenylisoserine) Pamidronate Aredia ® Novartis (phosphonic acid (3-amino-1- hydroxypropylidene) bis-, disodium salt, pentahydrate, (APD)) Pegademase Adagen ® Enzon Pharmaceuticals, ((monomethoxypolyethylene glycol (Pegademase Inc., Bridgewater, NJ succinimidyl) 11-17-adenosine Bovine) deaminase) Pegaspargase Oncaspar ® Enzon (monomethoxypolyethylene glycol succinimidyl L-asparaginase) Pegfilgrastim Neulasta ® Amgen, Inc (covalent conjugate of recombinant methionyl human G-CSF (Filgrastim) and monomethoxypolyethylene glycol) Pentostatin Nipent ® Parke-Davis Pharmaceutical Co., Rockville, MD Pipobroman Vercyte ® Abbott Laboratories, Abbott Park, IL Plicamycin, Mithramycin Mithracin ® Pfizer, Inc., NY, NY (antibiotic produced by Streptomyces plicatus ) Porfimer sodium Photofrin ® QLT Phototherapeutics, Inc., Vancouver, Canada Procarbazine Matulane ® Sigma Tau (N-isopropyl-μ-(2-methylhydrazino)-p- Pharmaceuticals, Inc., toluamide monohydrochloride) Gaithersburg, MD Quinacrine Atabrine ® Abbott Labs (6-chloro-9-(1-methyl-4-diethyl- amine) butylamino-2-methoxyacridine) Rasburicase Elitek ® Sanofi-Synthelabo, Inc., (recombinant peptide) Rituximab Rituxan ® Genentech, Inc., South (recombinant anti-CD20 antibody) San Francisco, CA Sargramostim Prokine ® Immunex Corp (recombinant peptide) Streptozocin Zanosar ® Pharmacia & Upjohn (streptozocin 2-deoxy-2- Company [[(methylnitrosoamino)carbonyl]amino]- a(and b)-D-glucopyranose and 220 mg citric acid anhydrous) Talc Sclerosol ® Bryan, Corp., Woburn, (Mg 3 Si 4 O 10 (OH) 2 ) MA Tamoxifen Nolvadex ® AstraZeneca ((Z)2-[4-(1,2-diphenyl-1-butenyl) Pharmaceuticals phenoxy]-N,N-dimethylethanamine 2- hydroxy-1,2,3-propanetricarboxylate (1:1)) Temozolomide Temodar ® Schering (3,4-dihydro-3-methyl-4- oxoimidazo[5,1-d]-as-tetrazine-8- carboxamide) teniposide, VM-26 Vumon ® Bristol-Myers Squibb (4′-demethylepipodophyllotoxin 9-[4,6- 0-(R)-2-thenylidene-(beta)-D- glucopyranoside]) Testolactone Teslac ® Bristol-Myers Squibb (13-hydroxy-3-oxo-13,17-secoandrosta- 1,4-dien-17-oic acid [dgr]-lactone) Thioguanine, 6-TG Thioguanine ® GlaxoSmithKline (2-amino-1,7-dihydro-6H-purine-6- thione) Thiotepa Thioplex ® Immunex Corporation (Aziridine, 1,1′,1″- phosphinothioylidynetris-, or Tris (1- aziridinyl) phosphine sulfide) Topotecan HCl Hycamtin ® GlaxoSmithKline ((S)-10-[(dimethylamino) methyl]-4- ethyl-4,9-dihydroxy-1H-pyrano[3′,4′: 6,7] indolizino [1,2-b] quinoline-3,14- (4H,12H)-dione monohydrochloride) Toremifene Fareston ® Roberts Pharmaceutical (2-(p-[(Z)-4-chloro-1,2-diphenyl-1- Corp., Eatontown, NJ butenyl]-phenoxy)-N,N- dimethylethylamine citrate (1:1)) Tositumomab, I 131 Tositumomab Bexxar ® Corixa Corp., Seattle, WA (recombinant murine immunotherapeutic monoclonal IgG 2a lambda anti-CD20 antibody (I 131 is a radioimmunotherapeutic antibody)) Trastuzumab Herceptin ® Genentech, Inc (recombinant monoclonal IgG 1 kappa anti-HER2 antibody) Tretinoin, ATRA Vesanoid ® Roche (all-trans retinoic acid) Uracil Mustard Uracil Mustard Roberts Labs Capsules Valrubicin, N- Valstar ® Anthra --> Medeva trifluoroacetyladriamycin-14-valerate ((2S-cis)-2-[1,2,3,4,6,11-hexahydro- 2,5,12-trihydroxy-7 methoxy-6,11- dioxo-[[4 2,3,6-trideoxy-3- [(trifluoroacetyl)-amino-α-L-lyxo- hexopyranosyl]oxyl]-2-naphthacenyl]- 2-oxoethyl pentanoate) Vinblastine, Leurocristine Velban ® Eli Lilly (C 46 H 56 N 4 O 10 •H 2 SO 4 ) Vincristine Oncovin ® Eli Lilly (C 46 H 56 N 4 O 10 •H 2 SO 4 ) Vinorelbine Navelbine ® GlaxoSmithKline (3′,4′-didehydro-4′-deoxy-C′- norvincaleukoblastine [R-(R*,R*)-2,3- dihydroxybutanedioate (1:2)(salt)]) Zoledronate, Zoledronic acid Zometa ® Novartis ((1-Hydroxy-2-imidazol-1-yl- phosphonoethyl) phosphonic acid monohydrate)
Numerous other examples of chemotherapeutic compounds and anticancer therapies suitable for co-administration with the disclosed compositions are known to those skilled in the art.
[0046] In some embodiments, the compositions of the present invention are especially useful when co-administered with an anti-cancer drug whose cytotoxicity is due primarily to the production of reactive oxygen species, for example, doxorubicin, daunorubicin, mitocyn C, etoposide, cisplatin, arsenic tioxide, ionizing radiation and photodynamic therapy.
[0047] Anticancer agents further include compounds which have been identified to have anticancer activity but are not currently approved by the United States Food and Drug Administration or other counterpart agencies or are undergoing evaluation for new uses. Examples include, but are not limited to, 3-AP, 12-O-tetradecanoylphorbol-13-acetate, 17AAG, 852A, ABI-007, ABR-217620, ABT-751, ADI-PEG 20, AE-941, AG-013736, AGRO100, alanosine, AMG 706, antineoplastons, AP23573, apaziquone, APC8015, atiprimod, ATN-161, atrasenten, azacitidine, BB-10901, BCX-1777, bevacizumab, BG00001, bicalutamide, BMS 247550, bortezomib, bryostatin-1, buserelin, calcitriol, CCI-779, CDB-2914, cefixime, cetuximab, CG0070, cilengitide, clofarabine, combretastatin A4 phosphate, CP-675,206, CP-724,714, CpG 7909, curcumin, decitabine, DENSPM, doxercalciferol, E7070, E7389, ecteinascidin 743, efaproxiral, eflornithine, EKB-569, enzastaurin, erlotinib, exisulind, fenretinide, flavopiridol, fludarabine, flutamide, fotemustine, FR901228, G17DT, galiximab, gefitinib, genistein, glufosfamide, GTI-2040, histrelin, HKI-272, homoharringtonine, HSPPC-96, iloprost, imiquimod, infliximab, interleukin-12, IPI-504, irofulven, ixabepilone, lapatinib, lenalidomide, lestaurtinib, leuprolide, LMB-9 immunotoxin, lonafarnib, luniliximab, mafosfamide, MB07133, MDX-010, MLN2704, monoclonal antibody 3F8, monoclonal antibody J591, motexafin, MS-275, MVA-MUC1-IL2, nilutamide, nitrocamptothecin, nolatrexed dihydrochloride, nolvadex, NS-9,06-benzylguanine, oblimersen sodium, ONYX-015, oregovomab, OSI-774, panitumumab, paraplatin, PD-0325901, pemetrexed, PHY906, pioglitazone, pirfenidone, pixantrone, PS-341, PSC 833, PXD101, pyrazoloacridine, R115777, RAD001, ranpirnase, rebeccamycin analogue, rhuAngiostatin protein, rhuMab 2C4, rosiglitazone, rubitecan, S-1, S-8184, satraplatin, SB-, 15992, SGN-0010, SGN-40, sorafenib, SR31747A, ST1571, SU011248, suberoylanilide hydroxamic acid, suramin, talabostat, talampanel, tariquidar, temsirolimus, TGFa-PE38 immunotoxin, thalidomide, thymalfasin, tipifarnib, tirapazamine, TLK286, trabectedin, trimetrexate glucuronate, TroVax, UCN-1, valproic acid, vinflunine, VNP40101M, volociximab, vorinostat, VX-680, ZD1839, ZD6474, zileuton, and zosuquidar trihydrochloride.
[0048] For a more detailed description of anticancer agents and other therapeutic agents, those skilled in the art are referred to any number of instructive manuals including, but not limited to, the Physician's Desk Reference, Goodman and Gilman's “Pharmaceutical Basis of Therapeutics” 10th Edition, Eds. Hardman et al., 2002 and later editions, and “Biologic Therapy of Cancer, 2nd Edition, Eds. DeVita et al., 1995, JB Lippincott Co. Publ, p. 919 and later editions, incorporated herein by reference in their entireties.
[0049] In some embodiments, GSH levels in cells, for example both normal and tumor cells, are reduced prior to the administration of compounds of Formula I, II, or III. By lowering GSH levels in all cells, cancer cells become vulnerable to therapies. However, following treatment with Formula I, II, or III, normal cells are made substantially more resistant to the toxic effects of the cancer therapies. Thus, in these embodiments, cancer cells are supersensitized to therapy, while normal cells are protected. The present invention is not limited by the nature of the compound or treatment used to reduce GSH levels.
[0050] In one embodiment, the present invention provides for the use and administration of 2-amino-4-(S-butylsulfonimidoyl)butanoic acid (buthionine sulfoximine or BSO) in conjunction with the compositions of the present invention. In some embodiments, buthionine sulfoximine inhibits the synthesis of GSH in both non-tumor and tumor cells by inhibiting γ-glutamulcysteine synthetase, an essential enzyme for synthesis of GSH, and a composition of the present invention replenishes GSH in non-tumor cells. In some embodiments, BSO is administered prior to the administration of a composition of the present invention. In some embodiments, BSO is administered in conjunction with a compositions of the present invention. In some embodiments, the BSO and a composition of the present invention are administered prior to, at the same time, or after the administration of chemotherapeutics and/or radiotherapy to a subject. It is contemplated that as BSO decreases the amount of GSH in tumor and non-tumor cells, the addition of a composition of the present invention replenishes GSH in non-tumor cells but not tumor cells, as such the tumor cells maintain low or non-existent GSH levels throughout the administration of chemotherapeutic drugs and/or radiotherapy. The low or non-existent levels of GSH in tumor cells following administration of BSO strips them of the protective effects that GSH offers tumor cells, thereby allowing for more efficient targeting and eradication of the tumor cells by chemo and radiation therapies. In some embodiments, the administration of BSO and a compound of the present invention allows for the administration of lesser amounts (potentially for longer time periods) of chemotherapeutic drugs than normal due to the low or non-existent levels of GSH in tumor cells, and at the same time the non-tumor cells of a subject are less exposed to the toxic effects of the therapy.
[0051] In some embodiments, the compositions of the present invention are useful in preparation as adjuvants to chemo and/or anticancer therapy and radiation therapy. The methods and techniques for preparing medicaments comprising a composition of the present invention are well-known in the art. Exemplary pharmaceutical formulations and routes of delivery are described below. One of skill in the art will appreciate that any one or more of the compounds described herein, including the many specific embodiments, are prepared by applying standard pharmaceutical manufacturing procedures. Such medicaments can be delivered to the subject by using delivery methods that are well-known in the pharmaceutical arts.
[0052] In some embodiments of the present invention, the compositions are administered alone, while in some other embodiments, the compositions are preferably present in a pharmaceutical formulation comprising at least one active ingredient/agent, as defined above, together with one or more pharmaceutically acceptable carriers and optionally other therapeutic agents. Each carrier should be “acceptable” in the sense that it is compatible with the other ingredients of the formulation and not injurious to the subject.
[0053] Formulations include, for example, parenteral administration (e.g., subcutaneous, intramuscular, intravenous, intradermal) and site-specific administration. In some embodiments, formulations are conveniently presented in unit dosage form and are prepared by any method known in the art of pharmacy. Such methods include the step of bringing into association the active ingredient with the carrier that constitutes one or more accessory ingredients. In general, the formulations are prepared by uniformly and intimately bringing into association (e.g., mixing) the active ingredient with liquid carriers or finely divided solid carriers or both, and then if necessary shaping the product.
[0054] Formulations suitable for parenteral administration include aqueous and non-aqueous isotonic sterile injection solutions which may contain antioxidants, buffers, bacteriostats and solutes which render the formulation isotonic with the blood of the intended recipient; and aqueous and non-aqueous sterile suspensions which may include suspending agents and thickening agents, and liposomes or other microparticulate systems which are designed to target the compound to blood components or one or more organs. In some embodiments, the formulations are presented/formulated in unit-dose or multi-dose sealed containers, for example, ampoules and vials, and may be stored in a freeze-dried (lyophilized) condition requiring only the addition of the sterile liquid carrier, for example water for injections, immediately prior to use. Extemporaneous injection solutions and suspensions may be prepared from sterile powders, granules and tablets of the kind previously described.
[0055] It should be understood that in addition to the ingredients particularly mentioned above, the formulations of this invention may include other agents conventional in the art having regard to the type of formulation in question, for example, those suitable for oral administration may include such further agents as sweeteners, thickeners and flavoring agents. It also is intended that the agents, compositions and methods of this invention be combined with other suitable compositions and therapies.
[0056] Various delivery systems are known and can be used to administer compositions of the present invention. Methods of delivery include, but are not limited to, intra-arterial, intra-muscular, intravenous, and site specific. For example, in some embodiments, it may be desirable to administer the compositions of the invention locally to the area targeted by chemo and/or anticancer therapies and/or radiation therapy; this may be achieved by, for example, and not by way of limitation, local infusion during surgery, injection, or by means of a catheter.
[0057] In some embodiments, in vivo administration of the compositions as described herein is effected in one dose, continuously or intermittently throughout the course of treatment. Methods of determining the most effective means and dosage of administration are well known to those of skill in the art and vary with, for example, the composition used for therapy, the target cell being treated and the subject being treated. Single or multiple administrations are carried out with the dose level and pattern being selected by the treating physician. In some embodiments, the compositions as described herein are delivered to the subject prior to administration of the chemotherapeutic agent. In some embodiments, compositions as described herein are delivered on a daily basis (e.g., at least once, at least twice, at least three times) and accompany the administration of radiotherapy.
[0058] Suitable dosage formulations and methods of administering the agents are readily determined by those of skill in the art. When the compositions described herein are co-administered with another chemoprotective agent, the effective amount may be less than when the agent is used alone. Ideally, the agent should be administered to achieve peak concentrations of the active compound at the target sites for chemo and radiation therapy. Desirable blood levels of the agent may be maintained by a continuous infusion to provide a therapeutic amount of the active ingredient within the target tissue.
[0059] The present invention also includes methods involving co-administration of the compositions described herein with one or more additional active agents. Indeed, it is a further aspect of this invention to provide methods for enhancing prior art therapies and/or pharmaceutical compositions by co-administering a compound of this invention. In co-administration procedures, the agents may be administered concurrently or sequentially. In one embodiment, the compounds described herein are administered prior to the other active agent(s). The pharmaceutical formulations and modes of administration may be any of those described above. In addition, the two or more co-administered chemical agents, biological agents or radiation may each be administered using different modes or different formulations.
[0060] The agent or agents to be co-administered depends on the type of condition being treated. For example, when treating cancer, the additional agent is a chemotherapeutic agent, anticancer agent, or radiation. The additional agents to be co-administered, such as anticance can be any of the well-known agents in the art, including, but not limited to, those that are currently in clinical use (see Table I for exemplary agents). The determination of appropriate type and dosage of radiation treatment is also within the skill in the art or can be determined with relative ease.
[0061] Treatment of the various conditions associated with abnormal apoptosis is generally limited by the following two major factors: (1) the development of drug resistance and (2) the toxicity of known therapeutic agents. In certain cancers, for example, resistance to chemicals and radiation therapy has been shown to be associated with inhibition of apoptosis. Some therapeutic agents have deleterious side effects, including non-specific lymphotoxicity, renal and bone marrow toxicity.
[0062] The compositions and methods described herein address both these problems. Drug resistance, where increasing dosages are required to achieve therapeutic benefit, is overcome by co-administering the compositions described herein with the known agent. The compositions described herein protect cells and tissues from toxic effects of chemotherapeutic drugs and radiation therapy and, accordingly, less of these agents are needed to achieve a therapeutic benefit. Conversely, the protection of normal cells and tissues against the toxic effects of anticancer therapies by co-administration of the compositions as described herein allows for higher doses and/or longer treatment regimens when using such therapies, thereby providing the medical practitioner with the tools to follow a more aggressive anticancer strategy than was otherwise deemed possible.
[0063] In some embodiments, the present invention provides methods for using the compositions as described herein for screening for the efficacy of such compositions in inhibiting or decreasing toxicity in cells and tissues when such cells and tissues are administered cancer, or other, therapies that are toxic to normal cells. In some embodiments, methods for screening are conducted in vitro. In other embodiments, these screens are conducted in vivo. In some embodiments, methods of the present invention are performed in vivo in non-human animals or human subjects. In some embodiments, the methods screen for the inhibition or decrease of apoptosis is cells, in vitro or in vivo, when such cells, non-human animals, or human subjects are co-administered a cancer, or other, therapy in combination with compositions of the present invention. In some embodiments, such methods define efficacy of the compositions as described herein for use in decreasing or inhibiting the toxic effects of therapies by comparing results from a screen with a composition of the present invention to a screen performed without said composition (e.g., control experiment). Toxic effects of therapies on cells includes cellular death by apoptosis as a result of the therapy. A composition of the present invention that is efficacious in inhibiting or decreasing the toxic effects of therapies is one that inhibits or decreases cellular apoptosis in normal, non-diseased cells when toxic therapies are administered. A skilled artisan will understand methods for determining cellular apoptosis. These methods include, but are not limited to, measuring apoptotic indicator enzymes such as caspase 3/7, 8 or 9, TdT-mediated dUTP Nick-End Labeling (TUNEL) assays, and apoptosis related antibodies (e.g., anti-PARD, anti-caspase 3, etc.). Detection methods utilized with apoptotic assays include fluorometric, luminescent, and colorimetric.
[0064] In some embodiments, such in vivo uses are, for example, performed by taking a subject (e.g., human or non-human animal) with cancer and co-administering a therapy regimen in conjunction with a composition of the present invention, and comparing the outcome of such an administration with a subject that received the same therapy regimen without co-administration of a composition of the present invention.
[0065] In some embodiments, such in vitro uses are, for example, performed in tissue culture dishes with primary or immortalized tissue culture cells (e.g., HeLa, HEK293, CHO, 3T3, etc.) or tissue explants. In such in vitro uses, a composition of the present invention is co-administered with a therapy regimen known to be toxic to normal cells, the results being compared with results from tissue culture cells or explants that receive the same therapy regimen without a composition of the present invention.
EXPERIMENTAL
[0066] The following examples are provided in order to demonstrate and further illustrate certain preferred embodiments and aspects of the present invention and are not to be construed as limiting the scope thereof. In the experimental disclosure which follows, the following abbreviations apply: equiv (equivalents); M (Molar); N (Normal); mol (moles); mmol (millimoles); g (grams); L (liters); ml (milliliters); ° C. (degrees Centigrade); min. (minutes); % (percent); psi (pounds per square inch).
Example 1
Preparation of PBS1000
Synthesis of 2-benzyloxycarbonylamino-4-carbamoyl-butyric acid (1)
[0067] Glutamine (36.5 g, 0.25 mol) was stirred with 1M sodium bicarbonate (750 ml) and toluene (200 ml). Benzyl chloroformate (50 ml, 59.75 g, 0.35 mol, 1.4 equiv.) was added drop-wise over 20 min. and the resulting mixture was stirred under nitrogen at room temperature overnight. Ethyl acetate (400 ml) was added and phases were separated. The organic phase was extracted with water (50 ml) and discarded. The aqueous phase was acidified with 6N hydrochloric acid and extracted with ethyl acetate (2×600 ml). The combined extracts were washed with water (100 ml) and stripped. The residue was dried in a vacuum oven (50° C.) to produce (1) (64 g, 91.4%).
Synthesis of 2-benzyloxycarbonylamino-4-carbamoyl-butyric acid ethyl ester (2)
[0068] A mixture of acid (1) (64 g, 0.228 mol), dimeththylformamide (210 ml) and sodium bicarbonate (111 g, 1.32 mol, 5.8 equiv.) was stirred at room temperature for 30 min. Ethyl iodide (34 ml, 66.3 g, 0.425 mol, 1.86 equiv.) was added and stirring was continued overnight under nitrogen. The reaction mixture was slowly diluted with water to 1 L and stirred for 40 min. The solid was collected by filtration, washed well with water and partitioned between ethyl acetate (8 L) and water (3 L). Phases were separated and the aqueous phase was extracted with ethyl acetate (2.5 L). The combined organic extracts were washed with water (1 L), dried over sodium sulfate, stripped and dried in a vacuum oven (50° C.) to produce (2) (47 g, 66.7%).
Synthesis of 2-benzyloxycarbonylamino-pentanedioic acid 1-ethyl ester (3)
[0069] A suspension of the amide (2) (38 g, 0.1233 mol) in anhydrous acetonitrile (400 ml) was stirred at reflux under nitrogen and t-butyl nitrite (35 ml, 3.17 equiv.) was added quickly. The reflux was continued for 2 hrs. After cooling, the solvent was removed in a rotary evaporator. The residue was taken in water (250 ml) and ethyl acetate (500 ml) and the biphasic mixture was stirred well while solid sodium bicarbonate was slowly added to pH=7.5. Phases were separated and the organic phase was washed with 10% sodium bicarbonate (200 ml). The combined aqueous extracts were washed with ethyl acetate (300 ml), made acidic with 6N hydrochloric acid and extracted with ethyl acetate (2×300 ml). The combined extracts were washed with water (150 ml), dried over sodium sulfate, stripped and the residue was dried in a vacuum oven (50° C.) to produce (3) (24.6 g, 64.7%).
Synthesis of 2-benzyloxycarbonylamino-4-(1-ethoxycarbonyl-2-hydroxy-ethylcarbamoyl)-butyric acid ethyl ester (4)
[0070] A suspension of acid (3) (7.6 g, 24.57 mmol) in dry acetonitrile (80 ml) was stirred under nitrogen at room temperature and Hobt (4 g, 29.6 mmol, 1.2 equiv.) was added. Stirring was continued for 10 min., and EDCI (5.1 g, 26.6 mmol, 1.1 equiv.) was added. The resulting mixture was stirred for 1.5 hrs and serine ethyl ester free base (3.27 g, 24.57 mmol, 1 equiv.) in acetonitrile (20 ml) was added. Stirring was continued at room temperature for 3 hrs. The solvent was removed in a rotary evaporator, the residue was partitioned between water (100 ml) and ethyl acetate (200 ml) and phases were separated. The organic phase was washed successively with water (50 ml), 5% potassium carbonate (2×50 ml) and water (2×50 ml), dried over sodium sulfate and the solvent removed in a rotary evaporator. The residue was dried in a vacuum oven (50° C.) to produce (4) (12.4 g, 85.5%).
Synthesis of 2-amino-4-(1-ethoxycarbonyl-2-hydroxy-ethylcarbamoyl)-butyric acid ethyl ester (5)
[0071] A solution of (4) (11.4 g, 26.86 mmol) in ethanol (225 ml) containing 1.2 g 20% palladium on activated carbon (50% wet) was hydrogenated at 30 psi for 3 hrs. The catalyst was removed by filtration and the solution was washed with ethanol. The solvent was removed in a rotary evaporator. The residue was dried in a vacuum oven (50° C.) to produce (5) (5.86 g, 75%).
Synthesis of 3-(2-chloro-1-ethoxycarbonyl-ethylcarbamoyl)-1-ethoxycarbonyl-propyl-ammonium chloride (6)
[0072] A solution of alcohol (5) (0.29 g, 1 mmol) in dichloromethane (10 ml) was treated with thionyl chloride (1 g) and stirred at room temperature under nitrogen overnight. The solvent was removed on a rotary evaporator (bath temperature below 28° C.). Dichloromethane (10 ml) was added and stripped under the same conditions twice. The solid residue was taken in water (8 ml) and washed with MTBE (2×15 ml). The resulting aqueous solution contains pure (6) (LCMS) and was used as such in the next step.
Synthesis of 2-amino-4-(1-ethoxycarbonyl-2-phosphonosulfanyl-ethylcarbamoyl)-butyric acid ethyl ester monosodium salt (7)
[0073] A solution of trisodium thiophosphate (0.4 g) in water (6 ml) was stirred at room temperature under nitrogen and the solution of (6) prepared above was added all at once. The reaction mixture was stirred at room temperature under nitrogen overnight. The pH was carefully adjusted to 8.0 with acetic acid and the resulting solution was run through a reverse phase column (P18) using water as the eluent. Fractions were checked by LCMS and those containing the product were evaporated to dryness (oil pump vacuum, bath temperature below 25° C.) to produce 47 mg of (7). LCMS (M=386), ′H NMR and 31 P NMR were used to confirm the final structure (7).
Example 2
Dephosphorylation of 2-amino-4-(1-ethoxycarbonyl-2-phosphonosulfanyl-ethylcarbamoyl)-butyric acid ethyl ester monosodium salt
[0074] Assays were performed to verify the ability of alkaline phosphatase to dephosphorylate compound (7) to create sulfydryl reactive groups. Calf intestinal alkaline phosphatase (CIAP, Sigma) was diluted in phosphate buffered saline (PBS) to 250 units/ml, and frozen in tubes containing 100 μl aliquots. The following solutions were prepared; 2 mM glutathione (GSH), 1.05 mM DTNB (5-5′-Dithio-bis-(2-nitrobenzoic acid; also known as Ellman's Reagent) and 5 mM amifostine (AF; 1 mg/ml). Alkaline phosphatase activity, and the ability of the assay to measure reactive sulfhydryl groups in solution, were evaluated initially using amifostine as the control composition. Absorbances were measured at A 412 . An increase in absorbance is indicative of free reactive sulfhydryl groups present in the reaction. Reaction conditions and results are found in Table 2; volumes are in μls, reaction 1 was incubated for 5 min. at room temperature prior to absorbance reading, and reactions 2-5 were incubated for 10 min. at room temperature prior to absorbance readings.
[0000] TABLE 2 REACTION GSH AF CIAP DTNB PBS A412 1 10 100 890 0.35 2 10 890 0.00 3 10 25 865 0.00 4 20 50 100 880 0.03 5 20 50 100 830 0.34
As seen in Table 2, the positive control (reaction 1) and the test reaction 5 (with amifostine) have similar absorbance readings, indicating that the reaction conditions are capable of measuring free sulfhydryl groups after dephosphorylation of a compound with alkaline phosphatase (reaction 5).
[0075] A second assay was performed to examine the ability of alkaline phosphatase to dephosphorylate compound (7) to create sulfydryl reactive groups. A 12.5 mM solution of Compound 7 was made (4 mg/ml) and used in the test reactions. Reaction conditions and results are found in Table 3; volumes are in μls, reactions were incubated for 10 min. at 37° C. prior to absorbance readings, duplicates of the Compound 7 (C7) negative reaction (without CIAP; reactions 6 & 8) and Compound 7 test reaction (with CIAP; reactions 7 & 9) were performed.
[0000] TABLE 3 REACTION C7 CIAP DTNB PBS A412 6 10 100 890 0.044 7 10 50 100 840 0.547 8 10 100 890 0.039 9 10 50 100 840 0.526 10 50 100 850 0.015
As seen in Table 3, Compound 7 is dephosphorylated by alkaline phosphatase to yield free reactive sulfhydryl groups. Such reactive sulfhydryl groups are capable of capturing free oxygen radicals created by chemotherapy and/or radiation therapy, thereby inhibiting or decreasing toxicity of these compounds to normal cells and tissues. A time course of dephosphorylation was also performed using Compound 7, following the same reaction conditions as in Table 3. The time course showed that over a 30 min. period (A 412 readings taken at 3 min. intervals) the dephosphorylation of Compound 7 was time dependent, as an increase in free sulfhydryl groups was seen over time.
Example 3
Intracellular Activity
[0076] The compound (2-amino-4-(1-ethoxycarbonyl-2-phosphonosulfanyl-ethylcarbamoyl)-butyric acid ethyl ester monosodium salt) was tested for intracellular properties. In particular, experiments were conducted to determine the ability of the compound to enter into cells and generate glutathione. HepG2 were incubated with the compound with or without added bovine intestinal alkaline phosphatase (Sigma). Cells were scraped into SSA, vortexed and then spun. GSH in the supernatants were analyzed utilizing the glutathione reductase method of Tietze (Tietze F: “ENZYMIC METHOD FOR QUANTITATIVE DETERMINATION OF NANOGRAM AMOUNTS OF TOTAL AND OXIDIZED GLUTATHIONE APPLICATIONS TO MAMMALIAN BLOOD AND OTHER TISSUES” Analytical Biochemistry, 27(3): 502-522 (1969)). The compound did not enter cells unless the phosphate group was first hydrolyzed with alkaline phosphatase. Cells treated with the compound and alkaline phosphatase had a 3.6 fold increase in their GSH contents. Importantly, this increase in cellular GSH levels also occurred in the presence of buthionine sulfoximine (greater than 5 fold increase in cellular GSH), indicating that the compound was not simply delivering cysteine or other building blocks for GSH synthesis but rather delivering gamma-glutamyl cysteine. Cells incubated with compound with or without alkaline phosphatase did not exhibit any evidence of toxicity.
[0077] In experiments with mice and hamsters, no overt toxicity was observed, with testing conducted at doses up to 5 mmoles/animal.
Example 4
Scale-Up Synthesis
[0078] The following example provides a protocol for generating gram quantities of 2-amino-4-(1-ethoxycarbonyl-2-phosphonosulfanyl-ethylcarbamoyl)-butyric acid ethyl ester monosodium salt.
[0000]
[0000] L-Glutamine (500 g, 3.42 mol) was stirred with 1M sodium bicarbonate (10.26 L) and toluene (2.75 L). Benzyl chloroformate (684 ml, 818 g, 4.8 mol, 1.4 equiv.) was added dropwise over 60 min. and the resulting mixture was stirred under nitrogen at room temperature overnight. Ethyl acetate (6 L) was added, phases were separated. The organic phase was extracted with water (1 L) and discarded. The aqueous phase was made acidic with 6N hydrochloric acid (˜1.6 L) and extracted with ethyl acetate (3×6 L). The combined extracts were washed with water (2 L), brine (2 L) and dried over sodium sulfate. After filtration, the filtrate was concentrated in vacuo to give a residue which was triturated with MTBE. The solid was filtered and was dried in a vacuum oven (45° C.) to yield (823.4 g, 86%) of a solid.
[0079] MS (ESP): 303.0 (M+Na + ) for C 13 H 16 N 2 O 5
[0000]
[0000] A mixture (S)-5-amino-2-(benzyloxycarbonylamino)-5-oxopentanoic acid of (823 g, 2.94 mol), dimethylformamide (3 L) and sodium bicarbonate (1.481 Kg, 17.6 mol, 6 equiv.) was stirred at room temperature for 60 min. Ethyl iodide (447 ml, 871 g, 5.6 mol, 1.9 equiv.) was added dropwise over 60 min. and stirring was continued for 4 days under nitrogen. The reaction mixture was slowly diluted with water (10 L) and stirred for 60 min. The solid was collected by filtration, washed with water (8 L) and dried in a convection oven (50° C.) for 4 days to yield (905 g, 100%) of a solid.
[0080] MS (ESP): 331.2 (M+Na + ) for C 15 H 20 N 2 O 5
[0000]
[0000] A suspension of the (S)-ethyl 5-amino-2-(benzyloxycarbonylamino)-5-oxopentanoate (570 g, 1.85 mol) in anhydrous acetonitrile (6 L) was stirred at reflux under nitrogen and t-butyl nitrite (650 mL, 3.0 equiv.) was added quickly. The reflux was continued for 2 hrs. After cooling, the solvent was removed in a rotary evaporator. The residue was taken in water (1.5 L) and ethyl acetate (3 L) and the biphasic mixture was stirred well while solid sodium bicarbonate was slowly added to pH=7.5. Phases were separated and the organic phase was washed with 10% sodium bicarbonate (6×500 ml). The combined aqueous extracts were washed with ethyl acetate (1 L), made acidic with 6N hydrochloric acid and extracted with ethyl acetate (4×750 ml). The combined extracts were dried over sodium sulfate and concentrated in vacuo to yield (398 g, 70%) of a solid.
[0081] MS (ESP): 332.0 (M+Na + ) for C 15 H 19 NO 6
[0000]
[0000] A suspension of (S)-4-(benzyloxycarbonylamino)-5-ethoxy-5-oxopentanoic acid (398 g, 1.29 mol) in dry acetonitrile (4 L) was stirred under nitrogen at room temperature and HOBt (209 g, 1.54 mol, 1.2 equiv.) was added. Stirring was continued for 10 min, then EDCI (220 g, 1.42 mol, 1.1 equiv.) was added. The resulting mixture was stirred for 1.5 hrs when serine ethyl ester free base (171 g, 1.29 mol, 1 equiv.) in acetonitrile (1 L) was added. Stirring was continued at room temperature for 16 hrs. The solvent was removed in vacuo and the residue was partitioned between water (4 L) and ethyl acetate (8 L) and phases were separated. The organic phase was washed successively with 5% potassium carbonate (2×2 L) and brine (2×2 L), dried over sodium sulfate and the solvent was removed in vacuo. The residue was triturated with MTBE, filtered and dried in a vacuum oven (45° C.) to yield (381.4 g, 70%) as a solid.
[0082] MS (ESP): 447.0 (M+Na + ) for C 20 H 28 N 2 O 8
[0000]
[0000] A solution of (S)-ethyl 2-(benzyloxycarbonylamino)-5-((S)-1-ethoxy-3-hydroxy-1-oxopropan-2-ylamino)-5-oxopentanoate (381 g, 0.90 mol) in ethanol (7.5 L) containing 76 g of 10% palladium on activated carbon (50% water wet) was hydrogenated at 30 psi for 3 hrs. The catalyst was removed by filtration washing the cake with ethanol (4×2 L). The solvent was removed in vacuo and the residue was triturated with MTBE (2 L), filtered and dried in a vacuum oven (45° C.) to yield (235.3 g, 91%) of a tan solid.
[0083] MS (ESP): 313.2 (M+Na + ) for C 12 H 22 N 2 O 6
[0000]
[0000] A solution of (S)-ethyl 2-amino-5-((S)-1-ethoxy-3-hydroxy-1-oxopropan-2-ylamino)-5-oxopentanoate (10 g, 35 mmol) in dichloromethane (350 ml) was treated with thionyl chloride (20 mL) and stirred at room temperature under nitrogen overnight. The solvent was removed on a rotary evaporator (bath temperature below 28° C.). Dichloromethane (100 ml) was added and stripped under the same conditions twice. The solid residue was triturated with DCM (100 mL), Heptane (100 mL), and MTBE (100 ml), filtered and dried in a vacuum oven (25° C.) to yield (10 g, 84%) of an off-white solid.
[0084] MS (ESP): 309.0 (M+H + ) for C 12 H 21 ClN 2 O 5
[0000]
[0000] To solution of 40 g of sodium hydroxide in 300 mL of water was added thiophosphoryl chloride (28.6 g, 0.17 mol) in one portion and the resulting biphasic solution is quickly heated to reflux. The reaction mixture is heated at reflux until the thiophosphoryl chloride layer is no longer observed (approx. 30 min.). The heating mantle was removed and the reaction mixture cooled to room temperature. An ice water bath is used to precipitate out the product and sodium salts (approx. 30 minutes at 0° C.). The mixture of product and sodium chloride are filtered off, the solids are collected and dissolved in 150 mL of 45° C. water (removes sodium chloride). Anhydrous methanol (200 mL) is added to precipitate the product which is filtered, collected and stirred under 200 mL of anhydrous methanol for 16 hours to effectively dehydrate the salt. The solids are again collected by filtration and dried in a vacuum oven with no heat for 32 hours to yield (17.3 g, 56.5%) of a white solid.
[0000]
[0000] To a 500 mL round bottom flask was added 250 mL DIUF water. Water was then degassed with nitrogen over 20 min. (S)-5-((R)-3-chloro-1-ethoxy-1-oxopropan-2-ylamino)-1-ethoxy-1,5-dioxopentan-2-aminium chloride (5 g, 14.5 mmol) and freshly prepared trisodiumthiophosphate (2.9 g, 16.0 mmol) were added at once. The reaction mixture was stirred at room temperature under nitrogen for 3 days. The aqueous mixture was concentrated to a minimal volume in vacuo keeping the bath temperature below 25° C. The aqueous residue (50 ml/run) was loaded onto an Analogix 300 g flash C18 column using water as the eluent to yield (6.0 g) of a light yellow foamy solid that is very hygroscopic.
[0085] MS (ESP): 387.2 (M+H + ) for C 12 H 23 N 2 O 8 PS
[0086] 1 H NMR: 1.16 (overlapping triplets, 6H), 2.00-2.21 (m, 3H), 2.31-2.43 (m, 2H), 3.01-3.05 (m, 2H), 3.63-4.20 (m, 7H), 4.41-4.43 (m, 1H); 31 P NMR: 17.35 (d)
[0000]
[0000] In some embodiments, the following steps are used for producing compound 7 from compound 5.
Synthesis of 3-(2-chloro-1-ethoxycarbonyl-ethylcarbamoyl)-1-ethoxycarbonyl-propyl-ammonium chloride (6)
[0087] A solution of alcohol 5 (10 g, 35 mmol) in dichloromethane (350 ml) was treated with thionyl chloride (20 mL) and stirred at room temperature under nitrogen overnight. The solvent was removed on a rotary evaporator (bath temperature below 28° C.). Dichloromethane (100 ml) was added and stripped under the same conditions twice. The solid residue was triturated with DCM (100 mL), Heptane (100 mL), and MTBE (100 ml) to give 10 g (84% yield) of pure 6 (LCMS) as a off-white solid.
[0088] Synthesis of Trisodiumthiophosphate:
[0089] To a flask was charged 40 g (1.0 mol) of sodium hydroxide in 300 mL of water. The solution is stirred until all of the base is dissolved. Thiophosphoryl chloride (28.6 g, 0.17 mol) is added in one portion and the resulting bi-phasic solution is quickly heated to reflux. The reaction mixture is heated at reflux until the thiophosphoryl chloride layer is no longer observed (approx. 30 min). The heating mantle is removed and the reaction mixture cooled to room temperature. An ice water bath is used to precipitate out the product and sodium salts (approx. 30 minutes at 0° C.). The mixture of product and sodium chloride is filtered off, the solids are collected and dissolved in 150 mL of 45′C water (removes sodium chloride) Anhydrous methanol (200 mL) is added to precipitate out the trisodiumphosphoryl chloride. The product is filtered, collected and stirred under 200 mL of anhydrous methanol for 16 hours to effectively dehydrate the salt. The solids are again collected by filtration and dried in a vacuum oven with no heat for 32 hours. 17.3 g of product is obtained in 56.5% yield.
Synthesis of 2-amino-4-(1-ethoxycarbonyl-2-phosphonosulfanyl-ethylcarbamoyl)-butyric acid ethyl ester monosodium salt (7)
[0090] To a 500 mL round bottom flask was added 250 mL DIUF water. Water was then degassed by nitrogen over 20 min. 5 g 6 and 2.9 g fresh made trisodiumthiophosphate were added at once. The reaction mixture was stirred at room temperature under nitrogen for 3 days. LC/MS indicated that the major peak is product. Analogix 300 g flash C18 column was then applied to purify the final product to give 6.0 g light yellow clear film.
[0091] All publications and patents mentioned in the present application are herein incorporated by reference. Various modification and variation of the described methods and compositions of the invention will be apparent to those skilled in the art without departing from the scope and spirit of the invention. Although the invention has been described in connection with specific preferred embodiments, it should be understood that the invention as claimed should not be unduly limited to such specific embodiments. Indeed, various modifications of the described modes for carrying out the invention that are obvious to those skilled in the relevant fields are intended to be within the scope of the following claims. | The present invention provides compositions and methods for protecting cells and tissues from damage associated with therapeutic treatments of cancers and other diseases and conditions where reactive oxygen species are produced. The present invention also provides compositions useful as research reagents. | 84,221 |
BACKGROUND OF THE INVENTION
1. Field of the Invention
The present invention pertains generally to the field of high speed digital processing systems, and more particularly to a method of determining an appropriate page size in a multiple page size virtual memory.
2. Background Information
Virtual memory operating systems are well known in the art for their ability to optimize the use of memory in a hierarchical memory system. In a hierarchical memory system, a range of memory devices are available to the processor. Typically, these devices range from relatively fast but reduced capacity devices such as SRAM or DRAM to very slow but high density memory devices such as disk drives.
By taking advantage of the principle of locality, virtual memory managers can produce system memory access speeds that approach the access speed of the fastest memory components in the system. Such managers try to keep the most active elements in the memory that has the highest speed. As elements become less active, the memory manager shifts them back to slower memory.
Virtual memory is typically divided into a number of uniform size pages. Active virtual memory pages are placed within available physical memory via a free page list or other replacement algorithm. It is critical, therefore, to map virtual memory addresses into physical memory addresses in the fastest, most efficient manner. In some systems, a page map residing in system memory is used to show the mapping of active virtual memory pages to physical memory. In others, the most active virtual memory page locations are kept resident in a cache-like translation buffer placed in or near the processing element. One such translation buffer implementation is shown in FIG. 1. In the memory addressing system of FIG. 1, a processing element issues a virtual memory address 10 made up of a virtual memory page address 12 and a virtual memory page offset 14.
Translation buffer 20 contains one or more physical page addresses 24. Each physical page address 24 is associated with a virtual memory page address 12 through a virtual memory page tag 22. In addition, each translation buffer entry includes a valid bit 26 which indicates if a particular physical page address 24 is still valid. In operation, virtual memory page address 12 is compared to the virtual memory page tags 22 resident in translation buffer 20. If a match is found, a physical page address 24 corresponding to that virtual memory page address 12 is present in translation buffer 20; that physical memory address becomes physical page number 42 of physical address 40. Virtual memory page offset 14 becomes physical page offset 44 of physical page address 40.
If there is no match (a translation buffer "miss"), page table 30 must be examined for the proper physical address page. Since page table 30 has a physical page address 32 for each possible virtual memory page address 12, no tag field is necessary. A valid bit 34 is provided for each virtual memory page address 12, however, to indicate invalid pages.
In some systems, a translation buffer miss is handled as an exception condition. In such a "dynamic replacement" approach, a processing element associated with translation buffer 20 will, in response to the miss exception condition, access a page table 30 stored in system memory. Once the virtual to physical page mapping is known, the physical page address 24 and its associated virtual memory tag 22 is entered into translation buffer 20. Virtual page offset 14 is then concatenated to the physical page address 32 read from page table 30 to form physical address 40. In dynamic replacement systems the system returns from the exception after the physical page address 24 and its associated virtual memory tag 22 are stored to a line in translation buffer 20. The memory access is then repeated, the memory access results in a translation buffer hit and the system proceeds as normal.
Typically, free pages of physical memory are kept in a free page table and are assigned to virtual memory pages on a first-come, first-served basis. In a situation where a block of data or instructions extends to more than one physical memory page, that block may be distributed in a number of noncontiguous physical memory pages. As memory allocation requests are made to increase the size of a dynamic block of memory, more pages are allocated from the heap via a free page table. Likewise, as memory is returned to the heap, the corresponding page addresses are added to the free page table. Since, as detailed above, each physical memory page is assigned a separate entry in translation buffer 20, the result is that a significant number of entries in translation buffer 20 could be associated with the same block of data. In cases where the number of entries in translation buffer 20 are limited, this approach can lead to excessive churning within translation buffer 20.
There is a need for a virtual memory management system that provides the advantageous translation buffer benefits above while avoiding the inefficiencies associated with assigning multiple buffer entries to a single block of data.
SUMMARY OF THE INVENTION
The present invention provides a system and method for virtual memory management which optimizes virtual memory to physical memory address translation in situations where the number of translation buffer entries is limited. According to the invention, physical memory pages can be one of a number of different page sizes, with a page granularity field indicating the size of a particular page. In operation, a page size is selected which balances excess memory allocated against the number of entries saved in accessing that memory through the translation buffer.
According to another aspect of the current invention, a memory manager operates to assign memory in response to a memory allocation request so as to balance the number of translation buffer entries against the size of memory allocated. Physical pages are assigned to memory blocks in such a way as to maintain contiguous memory pages in physical memory.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a drawing illustrative of a prior art virtual memory mapping mechanism;
FIG. 2 is a drawing illustrative of a virtual memory mapping mechanism according to the present invention;
FIG. 3 is an illustration of a system having different levels of memory allocation requests;
FIG. 4 is a flowchart illustrative of the steps an operating system goes through in allocating memory in response to a memory request;
FIG. 5 is a flowchart illustrative of the steps a library routine goes through in hiding memory requests from an operating system;
FIG. 6 is a top level block diagram of a massively parallel processing system; and
FIG. 7 is a tabular representation of the stacking of pages of different granularities according to the present invention.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
In the following Detailed Description of the Preferred Embodiments, reference is made to the accompanying Drawings which form a part hereof, and in which is shown by way of illustration specific embodiments in which the invention may be practiced. It is to be understood that other embodiments may be utilized and structural changes may be made without departing from the scope of the present invention.
A virtual memory addressing architecture which optimizes virtual memory to physical memory address translation in situations where the number of translation buffer entries is limited is illustrated generally in FIG. 2. The memory addressing system of FIG. 2 is similar to that in FIG. 1 but with the addition of page granularity fields 52 and 62 for indicating the size of a particular page. In FIG. 2 translation buffer 50 contains one or more physical page addresses 24. Each physical page address 24 is associated with a virtual memory page address 12 through a virtual memory page tag 22. In addition, each translation buffer entry includes a valid bit 26 which indicates if a particular physical page address 24 is still valid and a page granularity field 52 which indicates the size of the physical memory page. In one embodiment, two bits of granularity hint are used to indicate four different page sizes.
In the preferred embodiment, a translation buffer 50 such as that described above is implemented with a Digital Equipment Corporation ALPHA microprocessor such as that described in Alpha Architecture Handbook, published 1992 by Digital Equipment Corporation. The ALPHA microprocessor has on-chip data and instruction translation buffers which can be used to translate virtual memory addresses to physical addresses for data and instruction memory accesses, respectively. The ALPHA chip permits dynamic replacement of translation buffer entries through exception handling but, due to the fact that there are only thirty-two entries available in the translation buffer, there is a severe performance penalty unless the system is managed to minimize the frequency of translation buffer misses. In the preferred embodiment, the ALPHA microprocessor is used as processor 702 of massively parallel processing (MPP) system 700 shown in FIG. 6.
The ALPHA chip implements a translation buffer 50 such as that shown in FIG. 2. In the ALPHA chip, a single entry in the internal data translation buffer contains a two-bit page granularity field 52, which can be used to describe pages of 8 KB, 64 KB, 512 KB, or 4 MB worth of contiguous physical memory. Page granularity field 52 can be used to implement a virtual memory in which four different page sizes are used to minimize entries in the data translation buffer. In effect, granularity field 52 determines the number of bits of the virtual address tag that will be compared to the virtual address.
A virtual memory with more than one page size can be used advantageously to balance the number of translation buffer entries against overallocation of memory. If a memory request is for more than a certain number of pages of a particular page size, it may be advantageous to assign the next larger page size and, in effect, overallocate the memory. In certain situations, the performance gained by eliminating thrashing within the translation buffer more than compensates for the inefficient allocation of memory.
When a block of memory is going to stay the same size throughout execution of the user program and that size is known at compile time, that block is usually assigned a fixed amount of space within a static data area allocated in memory. When, however, the amount of space needed for a particular data structure is expected to change during execution, that block is assigned space within a dynamic data area. The dynamic data area is expected to increase and decrease in size as memory allocation requests are made during program execution.
The intelligent choice of page sizes increases the likelihood that a particular memory access will result in a translation buffer hit. In situations where a block of memory can be described as a large number of pages, each having a potential entry in the translation buffer, it may be useful to allocate a slightly larger amount of memory in order to consolidate the block of memory within one page having a single translation buffer entry. For instance, a segment of 4088 KB would require a minimum of 21 translation buffer entries (7*512 KB+7*64 KB+7*8 KB). It may be a more efficient use of the translation buffer to grow the 4088 KB memory block by a single 8 KB page in order to consolidate that memory block within a single 4096 KB page which can be described as a single 4 MB entry in the translation buffer.
Execution of a memory allocation request is described next. A diagram which illustrates a hierarchical approach to memory allocation is shown generally in FIG. 3. In the system of FIG. 3, a memory allocation request (such as a C language malloc) originates in a user program 82, is passed to a library routine 84 and is executed in operating system 86. In certain systems, the library routine can be bypassed and the request can be passed directly from user program 82 to operating system 86.
Library routine 84 is used to make operating system 86 more independent of the user's declaration of data objects. As can be seen in "METHOD OF MANAGING DISTRIBUTED MEMORY WITHIN A MASSIVELY PARALLEL PROCESSING SYSTEM," filed herewith by Wagner et al. and assigned U.S. patent application Ser. No. 08/166,293 now U.S. Pat. No. 5,566,321 issued date Oct. 15, 1996, in the preferred embodiment memory is segmented, with a virtual segment address being mapped into a physical segment in a local memory. For instance, the operating system will set up a shared heap, a shared stack, a private heap and a private stack. Shared memory is available to other processors in the system while private memory is primarily for use by the local processing element's processor.
In such a system, library routine 84 receives a request declaring an array A within the main routine of a program manipulating private memory. If operating system 82 has previously allocated enough memory in the private heap, that memory request will not get through library routine 84. Instead, library routine 84 will acknowledge the request as if the memory was just allocated.
On the other hand, if a request to declare an array A is received by library routine 84 and there is not enough memory allocated in the heap to accommodate the request, the private heap segment must grow to the extent necessary to meet the request.
A software flowchart illustrative of the software and the corresponding method steps an operating system executes in allocating memory in response to a memory request is illustrated generally in FIG. 4. The software resides in local memory 704 of FIG. 6 and is executed in the associated processor 702 in the processing element 701. In the operating system of FIG. 4, at 100 the operating system receives a memory allocation request from a library routine or user program as described above. At 102 the operating system program compares the space requested by the memory request against the amount already allocated for that particular memory segment. If the requested space is greater than that allocated, the program moves to 104 where it determines if there is enough remaining free memory. If not, the program returns an error message to the calling program. If there is available free memory, the program moves to 106 where the optimal page size is selected and to 108 where the proper number of pages at the selected page size are allocated. The program then returns to the requesting library or user routine. In the case of the malloc instruction, the operating system returns the address of the initial byte assigned to that block of memory.
If, at 102, the requested space is less than or equal to the amount of memory already allocated, the program simply returns to the requesting library or user routine. As above, in the case of the malloc instruction, the operating system returns the address of the initial byte assigned to that block of memory.
In the flowchart of FIG. 4 the operating system must, at 106, select the appropriate page size. Such a selection can be determined by observation of execution of the user program issuing the memory request or it can be determined dynamically as a function of the frequency of translation buffer misses versus available free memory. It should be obvious that when an 8 KB segment needs to grow slightly (e.g. to 16 KB) there is little choice but to use two 8 KB entries in the data translation buffer to describe the required translations. If, however, a 48 KB block of memory is to grow to 56 KB, an operating system can have a significant effect on translation buffer usage by describing that segment using a single 64 KB translation buffer entry rather than the typical seven 8 KB translation buffer entries. In effect, the overallocation of 8 KB of memory is offset by the potential for decreased thrashing in the translation buffer.
In one embodiment, the operating system assigns the next larger page size when the memory request is for M/N or more of the larger page size (where M=the number of smaller pages needed to fill the memory request and where N is the factor by which one page size is bigger than the next smaller page size). In general, it has been found to be advantageous to set M at approximately 3/4 of N. In an embodiment based on the ALPHA chip described above, available page sizes are 8 KB, 64 KB, 512 KB and 4 MB bytes and, therefore, N=8 for each transition between page sizes.
In such an embodiment, M equals 3/4 of N or 6.
In one embodiment, the number of pages required at the smaller page size before the larger page size is allocated is programmable and can be adjusted dynamically as conditions change within the program being executed. For instance, in one embodiment, if a program is generating a great deal of translation buffer misses, M can be set to a number less than 3/4 of N. On the other hand, if memory is tight, the number of pages needed to assign a larger page size may go to N-1. It should be obvious that the proper value of M is a function of the process being executed;
setting M/N to approximately 3/4 as described in the ALPHA example above is simply one approach which has produced good results.
In one embodiment, in configurations having a single virtual memory space (no more than one user per processor), pages assigned to the same memory block are placed contiguously in physical memory. For instance, 8 KB pages assigned to the same memory block are placed contiguously so that when it is time to upgrade the memory block to a single 64 KB page minimal shifting of memory is required.
Memory management in such an embodiment no longer relies a free list of just random uniform size pages. Since all pages for a certain memory block are being consolidated in a contiguous segment of physical memory, that memory block grows within a specific area of physical memory. In such an embodiment, the most important inquiry is the proper threshold condition for moving from one page size to the next. In the preferred embodiment, as is illustrated by FIG. 7's tabular representation of a segment within local memory 704, the largest page sizes are stacked beginning at the base address of the segment, followed by the next largest, down to the smallest. Where possible, an attempt is made to place each page of a certain page size on a segment boundary equivalent to the page size. That is, a 4 MB page size is placed on a 4 MB boundary within the segment.
The above approach to allocating different size pages within the virtual memory management system provides as an added benefit a mechanism for hiding some memory allocation requests from the operating system. In a typical memory management system, when a user program 82 passes a memory allocation request (such as a malloc) through a library team 84 to an operating system 86, that request, if met, results in allocation of the amount of memory requested. In the present system, such a request may result in the overallocation of memory due to the assignment of a larger page size. If the library routine is aware of that overallocation, it can just act on the next memory request to increase or decrease the amount of memory allocated without forwarding the request to the operating system.
One such method of hiding memory allocation requests is illustrated in the software flowchart of FIG. 5. The flowchart of FIG. 5 shows the software steps a library routine goes through in hiding memory requests from an operating system. Again the software resides in local memory 704 of processing element 701 and is executed in processor 702.
At 120 the library routine receives a memory request from a user program. At 122, the library routine checks to see if the amount of memory requested is covered by the amount allocated in the last memory request for that block of memory. In so, the library routine simply returns the appropriate signal to the user program. (In the case of a malloc issued by the user program, the routine returns the address of the first byte of data.)
If the amount allocated in the last memory request for that block of memory is less than that requested, or if this is the first request, the library routine moves to 124 where a memory request is sent to the operating system. The routine then moves to 126 where a check is made to determine if the requested memory was allocated by the operating system and a segment size returned. If not, the routine returns an error message to the user program. If, however, a segment size was returned at 126, that segment size is saved 128 in order to be used to indicate the amount of memory actually allocated. That amount is stored and used to respond at 122 to the next request to increase the same block of memory. The routine returns the appropriate signal to the user program.
The memory request hiding embodiment will be described in the example of an array called TEMP allocated within the private heap. Initially, in this example and assuming no previous segment size (not realistic but makes the example easier), the request is for 56 KB. During execution, a user program will issue a memory request for a dynamic array called TEMP. That request will be processed by a library routine, which will issue an operating system call to increase the dynamic data area. The operating system will allocate 64 KB and return that size as the size of the heap. Finally, the library routine returns the address of the first byte of TEMP to the calling user program.
If at some later time the user program wishes to increase the size of TEMP to 58 KB, it issues another memory request. As above, the request is processed by the library routine. If, as in this case, the amount of memory requested is less than that allocated for the last request, the library routine skips the operating system call and simply returns the address of the first byte of TEMP to the calling user program. If, however, the request was for 68 KB, the library routine will issue an operating system call to increase the dynamic data area and proceed as above.
It can be seen that the ability to skip operating system calls for increased memory allocations is a byproduct of the overallocation of memory. That overallocation of memory conserves translation buffer entries by minimizing translation buffer thrashing at the cost of allocating potentially unusable memory. Although the present invention has been described with reference to the preferred embodiments, those skilled in the art will recognize that changes may be made in form and detail without departing from the spirit and scope of the invention. | A system and method for virtual memory management. A plurality of virtual memory pages having selectable page sizes are used to tailor memory allocations in a way which balances overallocation of memory against the number of entries saved in accessing that memory through the translation buffer. A library routine can act on the overallocated memory to hide memory requests from the operating system. | 23,105 |
TECHNICAL FIELD
[0001] The present disclosure relates to the field of networks, in particular to a method for providing reading service, a content provision server and system.
BACKGROUND
[0002] As the decision “accelerating the integration of the three types of networks, i.e., telecommunication network, the broadcast network and Internet” has been made on the State Council executive meeting held in early 2010, the integration of the three types of networks, which have been discussed for many years, enters the implementation phase. The core of the integration of the three types of networks is users, which get information and service through three types of screens, i.e., the television screen, the computer screen and the mobile phone screen. The integration of the three types of screens intends to take full advantage of existing platforms and resources, and take users as the core so as to achieve good transmission of video information and complementary services between three types of screens, so that users may obtain information more conveniently and enjoy better experience. The core value of the technical architecture for the integration of the three types of screens is to provide a new experience for users through integration of backend resources and complementary advantages of front ends and terminals.
[0003] The status of the animation industry in global economy, which is represented by manga, cartoon, animation, game and multi-media content products and the like, is improved quickly, and it becomes a pillar industry after the software industry. In the background of the integration of three types of screens, users may choose various screens at various times according to various hardware and their requirements, so as to proactively experience multi-media contents in the future.
[0004] When a user is reading an image gallery such as a manga, which may be classed into single-frame manga, four-frame manga and multi-frame manga, the user may read the manga through various screens (e.g., the screen of mobile phone, the screen of computer and the screen of the television). For example, a user may read a manga using his/her smart mobile phone on the way to work; when the user goes home, he/she may read the manga from where he/she left off last time on anther device (e.g., a television or a computer) through a bookmark. However, since different devices have different requirements for an image, the same manga will have different display effects on different terminals. For example, a manga may be correctly displayed on a smart mobile phone, but cannot be clearly displayed on a computer. Therefore, users cannot read a manga on various terminals continuously.
SUMMARY
[0005] The present disclosure provides a method for providing reading service, a content provision server and system, so that a user may continuously read an image gallery with same contents on various terminals.
[0006] Embodiments of the present disclosure provide technical solutions as follows.
[0007] In one aspect, there is provided a method for providing reading service, which is applied to a content provision server, the method comprises:
[0008] setting, by the content provision server, a tag according to an instruction of a first terminal, the tag is configured to indicate a first serial number of a first image of a first image gallery corresponding to the first terminal;
[0009] receiving, by the content provision server, a service request from a second terminal, the service request includes a terminal type of the second terminal;
[0010] sending, by the content provision server, the tag to the second terminal;
[0011] receiving, by the content provision server from the second terminal, an instruction indicating that the tag is selected;
[0012] searching, by the content provision server, a second image gallery corresponding to the terminal type of the second terminal, wherein a second image of the second image gallery adapts to display performance of the second terminal;
[0013] searching, by the content provision server, a second serial number of the second image of the second image gallery, wherein the second serial number corresponds to the first serial number marked by the tag; and
[0014] sending, by the content provision server, the second image of the second image gallery to the second terminal starting from the second serial number.
[0015] Before the step of setting a tag, by the content provision server, according to an instruction of a first terminal, the method may further include:
[0016] receiving, by the content provision server, a service request including a terminal type of the first terminal from the first terminal;
[0017] searching, by the content provision server, the first image gallery corresponding to the terminal type of the first terminal, wherein the first image of the first gallery adapts to display performance of the first terminal;
[0018] sending, by the content provision server, the first image to the first terminal.
[0019] when the first serial number and the second serial number are one-to-many, the step of searching, by the content provision server, a second serial number of the second picture of the second photo gallery corresponding to the first serial number marked by the tag comprises:
[0020] searching, by the content provision server, a minimum value of the second serial number of the second image of the second image gallery, wherein the second serial number corresponds to the first serial number marked by the tag;
[0021] correspondingly, the step of sending, by the content provision server, the second image of the second image gallery to the second terminal starting from the second serial number comprises:
[0022] sending, by the content provision server, the second image of the second image gallery to the second terminal starting from the minimum value of the second serial number.
[0023] wherein the step of searching, by the content provision server, a second serial number of the second picture of the second photo gallery corresponding to the first serial number marked by the tag may include:
[0024] searching, by the content provision server, a third serial number of an original image of an original image gallery, wherein the third serial number corresponds to the first serial number marked by the tag;
[0025] searching, by the content provision server, the second serial number of the second image of the second image gallery, wherein the second serial number corresponds to the third serial number of the original image.
[0026] Before the step of receiving, by the content provision server, a service request from the first terminal, the method may further include:
[0027] obtaining, by the content provision server, an original image gallery including an original image;
[0028] generating, by the content provision server, the first image through processing the original image according to a pixel size of the original image and the display performance of the first terminal;
[0029] generating, by the content provision server, a relationship between the first serial number of the first image and a third serial number of an original image;
[0030] generating, by the content provision server, the second image though processing the original image according to the pixel size thereof and the display performance of the second terminal;
[0031] generating, by the content provision server, a relationship between the second serial number of the second image and the third serial number of the original image.
[0032] After the step of generating, by the content provision server, the second image though processing the original image according to the pixel size thereof and the display performance of the second terminal, the method may further include:
[0033] generating, by the content provision server, a relationship between the first serial number of the first image and the second serial number of the second image.
[0034] The step of generating the first image through processing the original image may include:
[0035] cutting, by the content provision server, the original image to generate the first image; or
[0036] piecing together, by the content provision server, the original image to generate the first image; or
[0037] transforming, by the content provision server, pixels of the original image to generate the first image.
[0038] The display performance of the second terminal may include: a physical size of a screen of the second terminal, a pixel size of the screen of the second terminal, a processing speed a CPU of the second terminal, and/or a bandwidth of an access network for the second terminal.
[0039] Another aspect provides a content provision server comprising: a tag setting module, a receiving unit, a first sending module, a receiving module, a first searching module, a second searching module and a second sending module, wherein
[0040] the tag setting module is configured to set a tag according to an instruction of a first terminal, the tag is configured to indicate a first serial number of a first image of a first image gallery corresponding to the first terminal;
[0041] the receiving module is configured to receive a service request from a second terminal, the service request includes a terminal type of the second terminal;
[0042] the first sending module is configured to send the tag to the second terminal;
[0043] the receiving module is configured to receive an instruction indicating that the tag is selected from the second terminal;
[0044] the first searching module is configured to search a second image gallery corresponding to the terminal type of the second terminal, wherein a second image of the second image gallery adapts to display performance of the second terminal;
[0045] the second searching module is configured to search a second serial number of the second image of the second image gallery, wherein the second serial number corresponds to the first serial number marked by the tag;
[0046] the second sending module is configured to send the second image of the second image gallery to the second terminal starting from the second serial number.
[0047] The content provision server may further include:
[0048] an obtaining module, an image processing module and a relationship generating module, wherein
[0049] the obtaining module is configured to obtain an original image gallery including an original image;
[0050] the image processing module is configured to generate the first image through processing the original image according to a pixel size thereof and display performance of the first terminal, and to generate the second image through processing the original image according to the pixel size thereof and display performance of the second terminal;
[0051] the relationship generating module is configured to generate a relationship between the first serial number of the first image and a third serial number of the original image, and to generate a relationship between the second serial number of the second image and the third serial number of the original image.
[0052] The image processing module may include:
[0053] a cutting sub-module configured to cut the original image to generate the first image; or
[0054] a piecing sub-module configured to piece together the original image to generate the first image, or
[0055] a transforming sub-module configured to perform pixel transformation on the original image to generate the first image.
[0056] Another aspect provides a content provision system comprising:
[0057] the first terminal is configured to send an instruction of setting a tag to the content provision server;
[0058] the content provision server is configured to:
set the tag according to the instruction from the first terminal, the tag is configured to indicate a first serial number of a first image of a first image gallery corresponding to the first terminal; receive a service request from the second terminal, wherein the service request includes a terminal type of the second terminal; send the tag to the second terminal; receive an instruction indicating that the tag is selected from the second terminal; search a second image gallery corresponding to the terminal type of the second terminal, wherein a second image of the second image gallery adapts to display performance of the second terminal; search a second serial number of the second image of the second image gallery, the second serial number corresponds to the first serial number marked by the tag; and send the second image of the second image gallery to the second terminal starting from the second serial number;
[0066] the second terminal is configured to receive the second image of the second image gallery from the content provision server starting from the second serial number.
[0067] The technical solutions of the present disclosure at least have the following advantages.
[0068] After reading a first image of a first image gallery using a first terminal, a user adds a tag at a first serial number of the first image; a second terminal obtains a second serial number of a second image of a second image gallery, when the user reads the second image of the second image gallery corresponding to the same original image, wherein the second serial number corresponds to first serial number of the first image, so that the user may read the second image from the second serial number, which may ensure the continuity between the second image of the second serial number and the first image the first serial number, so that the user may perform seamless reading.
BRIEF DESCRIPTION OF THE DRAWINGS
[0069] FIG. 1 is a flowchart of a method for providing reading service according to an embodiment of the present disclosure.
[0070] FIG. 2 is a flowchart of another method for providing reading service according to an embodiment of the present disclosure.
[0071] FIG. 3 is a flowchart of a step 21 in the method for providing reading service shown in FIG. 2 .
[0072] FIG. 4 is a structure diagram of a content provision server according to the present disclosure.
[0073] FIG. 5 is a structure diagram of a content provision system according to the present disclosure.
[0074] FIG. 6 is a diagram for reading manga in an application scenario according to the present disclosure.
[0075] FIG. 7 is a flowchart for converting multi-screen bookmark's page serial number in an application scenario according to the present disclosure.
DETAILED DESCRIPTION
[0076] To highlight the technical problems to be solved, technical solutions and advantages of the present disclosure more obvious, the description will be described in detail with drawings.
[0077] As shown in FIG. 1 , the method for providing reading service according to an embodiment of the present disclosure may be applied to a content provision server. The method comprises:
[0078] Step 11 : a content provision server sets a tag according to an instruction of a first terminal, and the tag is configured to indicate a first serial number of a first image a first image gallery corresponding to the first terminal.
[0079] Step 12 : the content provision server receives a service request from a second terminal, wherein the service request includes a terminal type of the second terminal.
[0080] Step 13 : the content provision server sends the tag to the second terminal.
[0081] Step 14 : the content provision server receives an instruction indicating that the tag is selected from the second terminal.
[0082] Step 15 : the content provision server searches a second image gallery corresponding to the terminal type of the second terminal, wherein a second image of the second image gallery adapts to the display performance of the second terminal.
[0083] Step 16 : the content provision server searches a second serial number of the second image of the second image gallery, wherein the second serial number corresponds to the first serial number marked by the tag.
[0084] Alternatively, the step 16 may comprises: the content provision server searches third serial number of an original image of an original image gallery, wherein the third serial number corresponds to the first serial number marked by the tag; and searches the second serial number of the second image of the second image gallery, wherein the second serial number corresponds to the third serial number of the original image.
[0085] Step 17 : the content provision server sends the second image of the second image gallery to the second terminal starting from the second serial number.
[0086] Alternatively, when the first serial number and the second serial number are one-to-many, the step 16 is as follows: the content provision server searches a minimum value of the second serial number of the second image of the second image gallery, wherein the second serial number corresponds to the first serial number marked by the tag; correspondingly, the step 17 is as follows: the content provision server sends the second image of the second image gallery to the second terminal starting from the minimum value of the second serial number. In this way, when a content of the first image corresponds to contents of multiple second images, the continuity of the original image's contents may be ensure when reading the second image.
[0087] FIG. 2 illustrates a method for providing reading service according to another embodiment of the present disclosure, which may be applied to a content provision server. The method comprises the following steps.
[0088] Step 21 : the content provision server generates a first image, a second image, a relationship between a first serial number of the first image and a third serial number of an original image, a relationship between a second serial number of the second image and the third serial number of the original image, a relationship between the first serial number of the first image and the second serial number of the second image, according to the original image.
[0089] This step is a step that the content provision server processes the original image.
[0090] Step 22 : the content provision server receives a service request from the first terminal, wherein the service request includes a terminal type of the first terminal.
[0091] Step 23 : the content provision server searches a first image gallery corresponding to the terminal type of the first terminal, wherein a first image of the first image gallery adapts to display performance of the first terminal.
[0092] Step 24 : the content provision server sends the first image to the first terminal.
[0093] Step 25 : the content provision server sets a tag according to an instruction of the first terminal, the tag is configured to indicate a first serial number of the first image of a first image gallery corresponding to the first terminal.
[0094] Steps 22 - 25 are procedures when the user is reading on the first terminal.
[0095] Step 26 : the content provision server receives a service request from the second terminal, wherein the service request includes a terminal type of the second terminal.
[0096] Step 27 : the content provision server sends the tag to the second terminal.
[0097] Step 28 : the content provision server receives an instruction indicating that the tag is selected from the second terminal.
[0098] Step 29 : the content provision server searches a second image gallery corresponding to the terminal type of the second terminal.
[0099] Herein, a second image of the second image gallery adapts to display performance of the second terminal.
[0100] Step 210 : the content provision server searches the second serial number of the second image of the second image gallery, wherein the second serial number corresponds to the first serial number marked by the tag.
[0101] Step 211 : the content provision server sends the second image of the second image gallery to the second terminal, starting with the second serial number.
[0102] Steps 26 - 211 are procedures when the user is reading on the second terminal.
[0103] As shown in FIG. 3 , the step 21 specially comprises:
[0104] Step 31 : the content provision server obtains an original image gallery including an original image.
[0105] Step 32 : the content provision server processes the original image according to a pixel size thereof and display performance of the first terminal, so as to generate a first image.
[0106] Herein, the step of generating the first image through processing the original image comprises: the content provision server cuts the original image to generate the first image; or the content provision server pieces together the original image to generate the first image; or the content provision server performs pixel transformation on the original image to generate the first image.
[0107] The display performance of the first terminal comprises: a physical size of a screen of the first terminal, a pixel size of the screen the first terminal, a processing speed of a CPU the first terminal, and/or a bandwidth of an access network for the first terminal. In this way, the second image displayed on the second terminal adapts to the second terminal.
[0108] Step 33 : the content provision server generates a relationship between a first serial number of the first image and a third serial number of the original image.
[0109] Step 34 : the content provision server processes the original image according to the pixel size thereof and the display performance of the second terminal, so as to generate the second image.
[0110] Herein, the step of generating the second image through the original image comprises: the content provision server cuts the original image to generate the second image; or the content provision server pieces together the original image to generate the second image; or the content provision server performs the pixel transformation on the original image to generate the second image.
[0111] The display performance of the second terminal comprises: a physical size of a screen of the second terminal, a pixel size of the screen of the second terminal, a processing speed of a CPU of the second terminal, and/or a bandwidth of an access network for the second terminal.
[0112] Step 35 : the content provision server generates a relationship between a second serial number of the second image and a third serial number of the original image.
[0113] Step 36 : the content provision server generates a relationship between the first serial number of the first image and the second serial number of the second image.
[0114] Herein, this step is optional. In the subsequent procedures, the second serial number corresponding to the marked first serial number may be directly found through the relationship between the first serial number and the second serial number.
[0115] In the above solutions, the first image is generated through processing the original image according to the pixel size of the original image, the physical size the screen of the first terminal and the pixel size of the screen of the first terminal; the second image is generated through processing the original image according to the pixel size of the original image, the physical size of the screen of the second terminal and the pixel size of the screen of the second terminal. Therefore, the image displayed on the terminal adapts to the terminal, which may ensure the display effect of the terminal.
[0116] FIG. 4 illustrates a content provision server according to the present disclosure, which comprises: a tag setting module 41 , a receiving module 42 , a first sending module 43 , a receiving module 44 , a first searching module 45 , a second searching module 46 and a second sending module 47 .
[0117] The tag setting module 41 is configured to set a tag according to an instruction of a first terminal, wherein, the tag is configured to indicate a first serial number of a first image of a first image gallery corresponding to the first terminal.
[0118] The receiving module 42 is configured to receive a service request from a second terminal, the service request includes a terminal type of the second terminal.
[0119] The first sending module 43 is configured to send the tag to the second terminal.
[0120] The receiving module 44 is configured to receive an instruction indicating that the tag is selected from the second terminal.
[0121] The first searching module 45 is configured to search a second image gallery corresponding to the terminal type of the second terminal, wherein a second image of the second image gallery adapts to display performance of the second terminal.
[0122] The second searching module 46 is configured to search a second serial number of the second image of the second image gallery, wherein the second serial number corresponds to the first serial number marked by the tag.
[0123] The second sending module 47 is configured to send the second image of the second image gallery to the second terminal starting from the second serial number.
[0124] The content provision server further comprises: an obtaining module 48 , an image processing module 49 and a relationship generating module 410 .
[0125] The obtaining module 48 is configured to obtain the original image gallery including the original image.
[0126] The image processing module 49 is configured to generate the first image through processing the original image according to a pixel size thereof and display performance of the first terminal; and to generate the second image through processing the original image according to the pixel size thereof and display performance of the second terminal.
[0127] The relationship generating module 410 is configured to generate a relationship between a first serial number of the first image and a third serial number of the original image; and to generate a relationship between the second serial number of the second image and the third serial number of the original image.
[0128] The image processing module 49 further comprises:
[0129] a cutting sub-module configured to cut the original image to generate the first image and the second image; or
[0130] a piecing sub-module configured to piece together the original images to generate the first image and the second image, or,
[0131] a transforming sub-module configured to perform pixel transformation on the original image to generate the first image and the second image.
[0132] FIG. 5 illustrates a content provision sever according to the present disclosure, which comprises: a first terminal 41 , a second terminal 52 and a content provision server 53 .
[0133] The first terminal 51 is configured to send an instruction of setting a tag to the content provision server.
[0134] The content provision server 53 is configured to set a tag according to the instruction from the first terminal 51 , the tag is configured to indicate a first serial number of a first image of the first image gallery corresponding to the first terminal 51 ; receive a service request from the second terminal 52 , wherein the service request includes a terminal type of the second terminal 52 ; send the tag to the second terminal 52 ; receive an instruction indicating that the tag is selected from the second terminal 52 ; search a second image gallery corresponding to the terminal type of the second terminal 52 , wherein a second image of the second image gallery adapts to display performance of the second terminal 52 ; search a second serial number of the second image of the second image gallery, wherein the second serial number corresponds to the first serial number marked by the tag; and send the second image of the second image gallery to the second terminal 52 , starting from the second serial number.
[0135] The second terminal 52 is configured to send a service request to the content provision server 53 , and send an instruction indicating that the tag is selected to the content provision server 53 after receiving the tag returned from the content provision server 53 ; and to receive the second image of the second image gallery from the content provision server 53 , starting from the second serial number.
[0136] The solutions of the present disclosure may be applied to a scenario of manga reading under a circumstance of the integration of three types of networks, so as to realize data processing on a telecommunication network (a mobile phone), a broadcast network (a television), Internet (a computer) when reading a same manga, and data processing for converting multi-screen bookmark's page serial number. In this way, under a circumstance of the integration of three types of screens, users may seamlessly read a same image gallery, such as a manga, when switching between screens.
[0137] Taking a manga as an example, the application scenario for the method according to the present disclosure will be described.
[0138] An original image is manga material to be deeply processed and corresponds to the above original image. The deep-process corresponds to the above image processing. The deep-process is an operation, such as to adjust a size of the original image based on the original image of the manga so as to make the image adapt to requirements of various sizes of various types screens.
[0139] A multi-screen image is deeply processed manga material based on the original image, and comprises WEB (World Wide Web) type (configured to display on a computer), WAP (WIRELESS PRESENT DISCLOSURE PROTOCOL) type (configured to display on a mobile phone), and EPG (Electronic Program Guide) type (configured to display on a television) is configured to preview the multi-screen manga and correspond to the above first and second images.
[0140] A page number relationship table for service contents is configured to store the relationship between the processed image and the original image, which corresponds to the above relationship between the first serial number of the first image and the third serial number of the original image, the relationship between the second serial number of the second image and the third serial number of the original image, and the relationship between the first serial number of the first image and the second serial number of the second image.
[0141] A user bookmark table is configured to store the bookmark history of the user.
[0142] The method comprises the following steps:
[0143] Step A: a content directory structure of physical locations where the original image and deeply processed image are stored is as follows.
[0144] For example:
[0145] The code rule for content ID is that there are 10 bits in which the first 3 bits indicate the source of the CP (Content Provider), the middle 4 bits indicate the serial number of contents, and the last 3 bits indicate tabs for each episode of contents.
[0146] For example, 1020001000 indicates content ID of the manga, the first episode ID is 1020001001, and the second episode ID is 1020001002.
Xxxxx000(CID)
[0147] |-- Platform cover 480640.jpg (for Brief Introduction)
|--xxxxx001
|--original image |--wap240320
| |---01.jpg (cover)
| |---02.jpg
| |---03.jpg
| | . . .
| |---60.jpg (back cover)
| |---PlatformMark.xml(corresponding to the original image)
|--wap320480 |--wap480640 |--client side240320 |-- client side 320480 |-- client side 480640 |--web
|--epg
[0156] Step B: A page number relationship table for service contents is established.
[0157] The structure of this table is as follows.
[0000]
field name
field type
note
appindex
number(10)
service index
chapterid
varchar2(40)
chapter id
terminaltype
number(10)
hardware type 1web;
2.wap240 × 320; 3.wap320 × 480;
4wap480 × 640; 5.client side 240 ×
320; 6. client side 320 × 480;
7 client side 480 × 640; 8 epg
originalpagenum
number(10)
the page number of the original image
pagenum
number(10)
the actual page number of the processed
image
[0158] Step C: converting data in PlatformMark.xml corresponding to the original image into the table.
[0159] Example for PlatformMark.xml:
[0000]
<?xml version=“1.0”?><Mark Type=“wap240320”><Detail Page=“1” Scene=“01”
/><Detail Page=“1” Scene=“02” /><Detail Page=“1” Scene=“03” /><Detail Page=“1”
Scene=“04” /><Detail Page=“1” Scene=“05” /><Detail Page=“2” Scene=“06” /><Detail
Page=“2” Scene=“07” /><Detail Page=“2” Scene=“08” /><Detail Page=“2” Scene=“09”
/><Detail Page=“2” Scene=“10” /><Detail Page=“3” Scene=“11” /><Detail Page=“3”
Scene=“12” /><Detail Page=“3” Scene=“13” /><Detail Page=“3” Scene=“14” /><Detail
Page=“3” Scene=“15” /><Detail Page=“4” Scene=“16” /><Detail Page=“4” Scene=“17”
/><Detail Page=“4” Scene=“18” /><Detail Page=“4” Scene=“19” /><Detail Page=“4”
Scene=“20” /><Detail Page=“5” Scene=“21” /><Detail Page=“5” Scene=“22” /><Detail
Page=“5” Scene=“23” /><Detail Page=“5” Scene=“24” /><Detail Page=“5” Scene=“25”
/><Detail Page=“6” Scene=“26” /><Detail Page=“6” Scene=“27” /><Detail Page=“6”
Scene=“28” /><Detail Page=“6” Scene=“29” /><Detail Page=“6” Scene=“30” /><Detail
Page=“7” Scene=“31” /><Detail Page=“7” Scene=“32” /><Detail Page=“7” Scene=“33”
/><Detail Page=“7” Scene=“34” /><Detail Page=“7” Scene=“35” /><Detail Page=“8”
Scene=“36” /><Detail Page=“8” Scene=“37” /><Detail Page=“8” Scene=“38” /><Detail
Page=“8” Scene=“39” /><Detail Page=“8” Scene=“40” /><Detail Page=“9” Scene=“41”
/><Detail Page=“9” Scene=“42” /><Detail Page=“9” Scene=“43” /><Detail Page=“9”
Scene=“44” /><Detail Page=“9” Scene=“45” /><Detail Page=“11” Scene=“46” /><Detail
Page=“11” Scene=“47” /><Detail Page=“11” Scene=“48” /><Detail Page=“11”
Scene=“49” /><Detail Page=“11” Scene=“50” /><Detail Page=“12” Scene=“51” /><Detail
Page=“12” Scene=“52” />< Detail Page=“12” Scene=“53” /><Detail Page=“12”
Scene=“54” /><Detail Page=“12” Scene=“55” /><Detail Page=“10” Scene=“56” /><Detail
Page=“10” Scene=“57” /><Detail Page=“10” Scene=“58” /><Detail Page=“10”
Scene=“59” /><Detail Page=“10” Scene=“60” /></Mark>
[0160] Wherein “Page” indicates the page number of the original image, “Scene” indicates the actual page number on this terminal, the page number of the original image corresponds to the above serial number of the original image, and the actual serial number on the terminal corresponds to the above serial number of the first image or the second image.
[0161] Step D: the user's bookmark table is established.
[0162] The structure of this table is as follows:
[0000]
field name
field type
note
allindex
number(10)
user index
bookmarkid
varchar2(40)
bookmark id
bookmarkname
varchar2(255)
bookmark name
bookmarktype
number(3)
1 system bookmark 2 user bookmark
appindex
number(10)
service index
chapterid
varchar2(40)
chapter id
terminaltype
number(10)
hardware type 1web;
2.wap240 × 320; 3.wap320 × 480;
4wap480 × 640; 5. client side 240 ×
320; 6. client side 320 × 480;
7 client side 480 × 640; 8epg
originalpagenum
number(10)
The page number of the original
image
pagenum
number(10)
current page number
opertime
varchar2(14)
operation time
[0163] Step E: the user reads the manga using the terminal A and adds the bookmark.
[0164] Step F: the user accesses the bookmark list through the terminal B, chooses the bookmark, and performs page number transformation, and continues to read the manga, so that the seamless reading may be realized.
[0165] Hereinafter, the steps E and F will be described with an example.
[0166] Taking a mobile phone A and a computer B as an example, the screen size of the mobile phone A is 240×320, and the computer is a normal PC.
[0167] Wherein the relationship between the image displayed on the mobile phone A and an original image is as follows.
[0000]
PlatformMark.xml
<?xml version=“1.0” ?>
- <Mark Type=“wap240320”>
<Detail Page=“1” Scene=“01” />
<Detail Page=“1” Scene=“02” />
<Detail Page=“1” Scene=“03” />
<Detail Page=“1” Scene=“04” />
<Detail Page=“1” Scene=“05” />
<Detail Page=“2” Scene=“06” />
<Detail Page=“2” Scene=“07” />
<Detail Page=“2” Scene=“08” />
<Detail Page=“2” Scene=“09” />
<Detail Page=“2” Scene=“10” />
<Detail Page=“3” Scene=“11” />
<Detail Page=“3” Scene=“12” />
<Detail Page=“3” Scene=“13” />
<Detail Page=“3” Scene=“14” />
<Detail Page=“3” Scene=“15” />
<Detail Page=“4” Scene=“16” />
<Detail Page=“4” Scene=“17” />
<Detail Page=“4” Scene=“18” />
<Detail Page=“4” Scene=“19” />
<Detail Page=“4” Scene=“20” />
<Detail Page=“5” Scene=“21” />
<Detail Page=“5” Scene=“22” />
<Detail Page=“5” Scene=“23” />
<Detail Page=“5” Scene=“24” />
<Detail Page=“5” Scene=“25” />
<Detail Page=“6” Scene=“26” />
<Detail Page=“6” Scene=“27” />
<Detail Page=“6” Scene=“28” />
<Detail Page=“6” Scene=“29” />
<Detail Page=“6” Scene=“30” />
<Detail Page=“7” Scene=“31” />
<Detail Page=“7” Scene=“32” />
<Detail Page=“7” Scene=“33” />
<Detail Page=“7” Scene=“34” />
<Detail Page=“7” Scene=“35” />
<Detail Page=“8” Scene=“36” />
<Detail Page=“8” Scene=“37” />
<Detail Page=“8” Scene=“38” />
<Detail Page=“8” Scene=“39” />
<Detail Page=“8” Scene=“40” />
<Detail Page=“9” Scene=“41” />
<Detail Page=“9” Scene=“42” />
<Detail Page=“9” Scene=“43” />
<Detail Page=“9” Scene=“44” />
<Detail Page=“9” Scene=“45” />
<Detail Page=“11” Scene=“46” />
<Detail Page=“11” Scene=“47” />
<Detail Page=“11” Scene=“48” />
<Detail Page=“11” Scene=“49” />
<Detail Page=“11” Scene=“50” />
<Detail Page=“12” Scene=“51” />
<Detail Page=“12” Scene=“52” />
<Detail Page=“12” Scene=“53” />
<Detail Page=“12” Scene=“54” />
<Detail Page=“12” Scene=“55” />
<Detail Page=“10” Scene=“56” />
<Detail Page=“10” Scene=“57” />
<Detail Page=“10” Scene=“58” />
<Detail Page=“10” Scene=“59” />
<Detail Page=“10” Scene=“60” />
</Mark>
[0168] Wherein, “page” indicates the original image, and “Scene” indicates the page number of image deeply processed by the terminal A.
[0169] The relationship between the image (corresponding to the above second image) displayed on the computer B and the original image is as follows.
[0000]
PlatformMark.xml
<?xml version=“1.0” ?>
- <Mark Type=“web”>
<Detail Page=“1” Scene=“01” />
<Detail Page=“2” Scene=“02” />
<Detail Page=“3” Scene=“03” />
<Detail Page=“4” Scene=“04” />
<Detail Page=“5” Scene=“05” />
<Detail Page=“6” Scene=“06” />
<Detail Page=“7” Scene=“07” />
<Detail Page=“8” Scene=“08” />
<Detail Page=“9” Scene=“09” />
<Detail Page=“11” Scene=“10” />
<Detail Page=“12” Scene=“11” />
<Detail Page=“10” Scene=“12” />
</Mark>
[0170] Wherein “page” indicates the original image, and “Scene” indicates the page number of image deeply processed by the terminal A.
[0171] The method comprises the following step:
[0172] Step 1 : Terminal A displays page 10 of the manga, and adds a bookmark.
[0173] Step 2 : Terminal B accesses the bookmark, and obtains that the page number on the terminal B is 02 based on the bookmark, and then continues to display the manga from the location where the user left off last time. If the relationship cannot be found, the terminal B will display the manga from the first page.
[0174] Wherein the step of transforming is as follows: the page number 10 displayed on the terminal A corresponds to the page number 2 of the original image; according to the page number 2 of the original image, it is found that the minimum page number corresponding to the terminal B is 02.
[0175] As shown in FIG. 6 , a user may choose various screens in various times to read the manga. For example, in the daytime, a user may choose to read a manga on a mobile phone on his/her way to work, and adds a bookmark at the end of reading; at night, the user gets home, and browses the bookmark list using a computer to obtain the actual page number displayed on the computer through transforming the bookmark page number, so as to read the manga from the location where the user left off in the daytime.
[0176] As shown in FIG. 7 , the flow of the processing method according to the present disclosure is as follows.
[0177] Step 1 : a manga is normally displayed on a mobile phone A (screen thereof is 240×320).
[0178] Step 2 : the page number 10 is displayed and the bookmark is added at the end of the reading.
[0179] Step 3 : the bookmark list is established which comprises the hardware type field (hardware type 1web; 2.wap240×320; 3.wap320×480; 4wap480×640; 5.client side 240×320; 6. client side 320×480;7.client side 480×640; 8 epg) to facilitate the transformation of the bookmark page number.
[0180] Step 4 : the computer B accesses the bookmark list.
[0181] Step 5 : it is determined whether there is any relationship between the original image and the image deeply processed by the mobile phone A through the transformation of the bookmark page number, if no, proceed to step 6 ; if yes, proceed to step 7 .
[0182] Step 6 : directly return to the first page of the manga, and thus the process ends.
[0183] Step 7 : it is obtained that the page number 10 displayed on the terminal A corresponds to the page number 2 of the original image 2, and it is determined that whether there is any relationship between the original image and the image deeply processed by the computer B, if no, proceed to step 8 ; if yes, proceed to step 9 .
[0184] Step 8 : directly return to the first page of the manga, and thus the process ends.
[0185] Step 9 : it is obtained that the minimum page number of the image deeply processed by the computer B is 02 which is corresponding to the page number 2 of the original image 2.
[0186] Step 10 : the computer B obtains that the actual page number is 2, and directly accesses the page 2, and the process ends.
[0187] In the embodiments of the present disclosure, the user may integrate a same manga under various circumstances through the bookmark, and may seamlessly read with various screens (such as the mobile phone screen, the computer screen, the television screen). The user may read the manga with his/her smart mobile phone on the way to work, and read the manga from the location where the user left off last time with another device (such as the television, the computer) by utilizing the user's bookmark or system's bookmark, when the user returns to home.
[0188] The embodiments of the present disclosure introduces the original image, and transforms it to be the image adapting to various hardware, and generates the relationship between the image and the page number of the original image. The required page number displayed on the corresponding hardware may be obtained through the transformation of the page number according to the relationship between page numbers, which make it possible that the same resource may be browsed on three types of screens (such as the mobile phone screen, the computer screen, the television screen). During the switch of the three types of screens, the page number displayed on various types of screens (such as the mobile phone screen) recorded by the bookmark is transformed, to search the actual page serial number displayed on the screen to be used for reading, so as to realize seamless reading.
[0189] Through the above manner, the user may choose various screens in various times to read the same manga so that the reading experience and reading quality are improved, and the operator may have a practical way to expand its service in the background of the integration of the three types of networks.
[0190] In addition, the present disclosure defines the hardware type to be numeric type (terminal type, serial number (10)) to facilitate expansion, so as to improve the system design flexibility.
[0191] The terminal types comprise a hardware type, a software version and a screen size.
[0192] For persons skilled in the art, it would be appreciated that a part or all of the steps in the above embodiments may be realized through instructing relevant hardware by a program which may be stored in a computer readable storage medium, such as a disk, a compact disk, ROM (Read-Only Memory), or RAM (Random Access Memory) or the like.
[0193] In the embodiments of the present disclosure, the serial number of each step does not intend to limit the order of those steps. For persons skilled in the art, the modification to the order of those steps without any inventive work shall fall within the scope of the present disclosure.
[0194] What described above is merely preferable embodiments of the present disclosure, and is not intended to limit the scope of the present disclosure. It should be noted, for persons skilled in the art, various modifications and improvements may be made without departing from the scope of the present disclosure, which shall be deemed to fall within the scope of the present disclosure. | The present disclosure provides a method for providing reading service, a content provision server and system, relates to the field of networks, and intends to solve the technical problem of continuity of reading contents when a user reads image galleries generated according to the same original contents on different terminals. The method for providing reading service includes: a content provision server sets a tag according to an instruction from a first terminal; the content provision server receives a service request from a second terminal and sends the tag thereto; the content provision server receives an instruction indicating that the tag is selected from the second terminal; the content provision server searches for a second image gallery corresponding to a terminal type of the second terminal; the content provision server searches for a second serial number of a second image in the second image gallery corresponding to the first serial number marked by the tag; and starting from the second serial number, the content provision server sends the second image in the second image gallery to the second terminal. The present invention is applied to the reading of e-books under three-screen aggregation. | 58,603 |
CROSS-REFERENCE TO RELATED APPLICATION
[0001] This application is a divisional of patent application Ser. No. 11/453,979, filed Jun. 16, 2006; the prior application is herewith incorporated by reference in its entirety.
BACKGROUND OF THE INVENTION
[0002] 1. Field of the Invention
[0003] The invention pertains to the field of semiconductor devices. More particularly, the invention pertains to ultrahigh-speed optoelectronic devices, such as light-emitting diodes and laser diodes.
[0004] 2. Description of Related Art
[0005] High-speed optoelectronic devices are broadly applied in modern datacommunication and telecommunication systems.
[0006] These devices can be separated into two categories: those directly modulated by injection of current into the gain region, and those externally modulated. Direct modulation offers the advantage of low cost but requires very high photon densities in the resonant cavity. For, example, edge-emitting lasers operating at 40 Gb/s have been reported.
[0007] The intrinsic speed is defined by the so-called “−3 dB” bandwidth, which is roughly proportional to the relaxation-oscillation frequency:
[0000]
f
r
=
1
2
π
g
n
p
0
τ
p
,
(
1
)
[0000] where g n denotes the differential gain, p 0 is the average photon density in the cavity, and τ p is the cavity photon lifetime.
[0008] A first way to increase the laser bandwidth is to increase the pump current density thereby increasing the photon population of the cavity, for example, by reducing the surface area of the device for the same total current. Under pulsed excitation relaxation, an oscillation frequency as high as 70 GHz has been demonstrated in a pulsed regime at room temperature under applied voltage of 15 volts. The problem for direct modulation is the overheating of the active region in the continuous wave regime and the related saturation of the differential gain with current and the related saturation of the relaxation oscillation frequency. Another challenge for direct modulation is degradation stability of the device. At the very high current densities the degradation rate may be unacceptably high.
[0009] Another big problem of direct modulation is a high differential capacitance of the device under forward bias. The injected carriers reduce the effective thickness of the undoped layer in the p-n-junction and increase the capacitance. Thus, realization of ultrahigh-speed devices is challenging also in this case.
[0010] In contrast, indirect modulation using elecrooptic effects under reverse bias has long been known in ultrahigh-speed transmitters operating at 40-60 Gb/s. For example, a 40-Gb/s open eye diagram of the electroabsorption modulator after 700-km transmission has been demonstrated.
[0011] Once the need for direct modulation is abandoned, ultrahigh-speed signal management becomes much easier. 60-100 GHz pin diode photodetectors using large mesa devices as well as other devices are known in the art.
[0012] U.S. Pat. No. 6,285,704, “FIELD MODULATED VERTICAL CAVITY SURFACE-EMITTING LASER WITH INTERNAL OPTICAL PUMPING”, issued Sep. 4, 2001, proposes a photopumped VCSEL. This VCSEL may be modulated by using an external electrical field applied perpendicular to the active layer, employing the Stark-effect to deliberately change the bandgap of the active layer and hence move the emission wavelength into and out of resonance with the optical cavity formed between the top and bottom mirrors. The optical output is therefore modulated by the electrical field and not by injected carriers. However, as the active region of the device is under a continuous population inversion condition, applying a reverse bias to change the bandgap may cause dramatic photocurrent, depleting the photopumped active region.
[0013] U.S. Pat. No. 5,574,738, “MULTI-GIGAHERTZ FREQUENCY-MODULATED VERTICAL-CAVITY SURFACE-EMITTING LASER”, issued Nov. 12, 1996, discloses a saturable absorber contained within the VCSEL's distributed Bragg reflector, which may itself be adjusted during fabrication or in operation. Under controllable operating conditions, the saturable absorber, strategically sized and placed, forces the VCSEL to self-pulsate (in the GHz-regime) at rates related to the local intensity, absorption, lifetime, and carrier density of the saturable absorber. In one of the embodiments, efficiency of the saturable absorber may be controlled by the quantum-confined Stark effect. Mode-locked operation, however, is usually very sensitive to the conditions of the device operation and exists only in a relatively narrow range of carefully-optimized conditions.
[0014] U.S. Pat. No. 6,396,083, entitled “OPTICAL SEMICONDUCTOR DEVICE WITH RESONANT CAVITY TUNABLE IN WAVELENGTH, APPLICATION TO MODULATION OF LIGHT INTENSITY”, issued May 28, 2002, discloses a device including a resonant cavity. The resonant cavity is delimited by two mirrors and at least one super-lattice that is placed in the cavity and is formed from piezoelectric semiconducting layers. The device also includes means of injecting charge carriers into the super-lattice. One disadvantage of this device is the necessity of using piezoelectric materials. The piezoelectric semiconducting layers are epitaxially grown on a Cd 0.88 Zn 0.12 Te substrate and include a pattern composed of a layer of Cd 0.91 Mg 0.09 Te and a layer Cd 0.88 Zn 0.22 Te, each 10 nm thick. This pattern is repeated about a hundred times. The device in this patent is a two-terminal device. The separation of carriers in a piezoelectric superlattice causes long depopulation times. Wavelength modulation and intensity modulation are always interconnected in this patent.
[0015] An electrooptic modulator based on the quantum confined Stark effect (QCSE) in a VCSEL was disclosed in U.S. Pat. No. 6,611,539, “WAVELENGTH-TUNABLE VERTICAL CAVITY SURFACE-EMITTING LASER AND METHOD OF MAKING SAME” issued Aug. 26, 2003, by the inventors of the present invention and herein incorporated by reference. The device includes active media suitable for providing gain and enabling laser action of the device, and a position-dependent electrooptic modulator region. Applying the voltage to the modulator region results in a wavelength shift of the lasing wavelength. The absorption in the modulator region remains small. The device is especially applicable for ultrahigh-speed data transfer using wavelength-modulation.
[0016] U.S. Patent Publication 2003/0206741, entitled “INTELLIGENT WAVELENGTH DIVISION MULTIPLEXING SYSTEMS BASED ON ARRAYS OF WAVELENGTH TUNABLE LASERS AND WAVELENGTH TUNABLE RESONANT PHOTODETECTORS”, published Nov. 6, 2003, by the inventors of the present invention and herein incorporated by reference, disclosed high-bit rate data transfer systems based on wavelength-to-intensity modulation conversion. In this approach, a wavelength-tunable VCSEL operates in concert with a wavelength-selective photodetector on the receiver side. Modulation of the VCSEL wavelength transforms into the photodetector current modulation.
[0017] U.S. Patent Publication 2005/0271092, entitled “ELECTROOPTICALLY WAVELENGTH-TUNABLE RESONANT CAVITY OPTOELECTRONIC DEVICE FOR HIGH-SPEED DATA TRANSFER” published Dec. 8, 2005, by the inventors of the present invention and herein incorporated by reference, disclosed high-bit rate data transfer system based on a device, which contains at least one wavelength-tunable element controlled by an applied voltage and at least two resonant cavities. The resonant wavelength of the tunable element is preferably elecrooptically tuned using the quantum confined Stark effect around the resonant wavelength of the other cavity or cavities, resulting in a modulated transmittance of the system. A light-emitting medium is preferably introduced in one of the cavities permitting the optoelectronic device to work as an intensity-modulated light-emitting diode or diode laser by applying an injection current. The device preferably contains at least three electric contacts to apply forward or reverse bias and may operate as a vertical cavity surface-emitting light emitter or modulator or as a tilted cavity light emitter or modulator. The problem of this device, however, is need in very strict growth tolerances, as the device operation is extremely sensitive to the spectral position of the cavity mode of the wavelength-tunable resonating cavity with respect to the VCSEL cavity mode. Assuming the growth rate non-uniformity for different materials used in the modulator and the VCSEL sections, there is unavoidable non-uniformity in device performance across the wafer. Another disadvantage is the fact that the output power is a non-monotonous function of the applied voltage. The device has low power in the absence of the applied voltage (the cavities are out of resonance), the power is high at a certain voltage (the cavities are in resonance), and the power is again low at even higher bias voltages (the cavities are out of resonance).
[0018] As the standard telecom and datacom devices operate only in the “on-off” mode, this non-monotonous characteristic is highly undesirable.
[0019] Thus, there is a need in the art for a robust ultrafast way to modulate the intensity of the device.
SUMMARY OF THE INVENTION
[0020] A device contains at least one wavelength-tunable multilayer interference reflector controlled by an applied voltage and at least one cavity. The stopband edge wavelength of the wavelength-tunable multilayer interference reflector is preferably electrooptically tuned using the quantum confined Stark effect in the vicinity of the cavity mode (or a composite cavity mode), resulting in a modulated transmittance of the multilayer interference reflector. A light-emitting medium is preferably introduced in the cavity or in one of the cavities permitting the optoelectronic device to work as an intensity-modulated light-emitting diode or diode laser by applying an injection current. The device preferably contains at least three electric contacts to apply forward or reverse bias and may operate as a vertical cavity surface-emitting light emitter or modulator or as an edge-emitting light emitter or modulator. Using a multilayer interference reflector containing tunable section allows also obtaining a wavelength-tunable laser or a wavelength-tunable resonant cavity photodetector in the case where the optical field profile in the active cavity or cavities is affected by the stopband wavelength shift. Adding additional modulator sections enables applications in semiconductor optical amplifiers, frequency converters or lock-in optical amplifiers.
BRIEF DESCRIPTION OF THE DRAWINGS
[0021] FIG. 1 shows a schematic diagram of a prior art electronically intensity-modulated vertical cavity surface-emitting laser including a wavelength-tunable cavity with a modulating element, and a cavity with light generating element.
[0022] FIG. 2( a ) shows schematically optical absorption spectra of the resonantly absorbing element, incorporated in the modulator cavity of the prior art device under zero bias and under reverse bias. The quantum confined Stark effect causes red shift of the absorption maximum and a broadening of the peak.
[0023] FIG. 2( b ) shows schematically refractive index modulation spectra of the resonantly absorbing element, incorporated in the modulator cavity of the prior art device under zero bias and under reverse bias. There is an enhancement of the refractive index at certain wavelength (dashed vertical line), which may be a lasing wavelength of the vertical-cavity surface-emitting laser section of the device.
[0024] FIG. 2( c ) shows a reflectivity dip of the modulator cavity under zero bias.
[0025] FIG. 2( d ) shows a reflectivity dip of the modulator cavity under reverse bias. Note that the transparency of the system laser-modulator is increased. Further increase in voltage will result, however, in reduced transparency at the same wavelength.
[0026] FIG. 3( a ) shows a schematic diagram of the device of FIG. 1 .
[0027] FIG. 3( b ) shows a schematic diagram of the absolute value of the electric field strength profile of the laser optical mode of the device of FIG. 1 where the modulator is in the resonant state.
[0028] FIG. 3( c ) shows a schematic diagram of the absolute value of the electric field strength profile of the laser optical mode of the device of FIG. 1 where the modulator is in a non-resonant state.
[0029] FIG. 4 shows a schematic diagram of an intensity-modulated surface-emitting laser including a light generating element and a tunable stopband distributed Bragg reflector, where a modulator is placed in the distributed Bragg reflector. The light emission can be realized from both the surface and the substrate side. The vertical alignment of the tunable stopband reflector and the laser cavity can be also reversed. Oxide-confined apertures can be used. Proton bombardment or ion implantation of the top modulator mesa can be used to ensure very low capacitance of the modulator section.
[0030] FIG. 5( a ) shows schematically optical absorption spectra of the resonantly absorbing element, incorporated in the modulator cavity of the device under zero bias and under reverse bias. The quantum confined Starke effects causes red shift of the absorption maximum and a broadening of the peak.
[0031] FIG. 5( b ) shows schematically refractive index modulation spectra of the resonantly absorbing element, incorporated in the modulator cavity of the device under zero bias and under reverse bias. There is an enhancement of the refractive index at certain wavelength (dashed vertical line), which may be a lasing wavelength of the vertical-cavity surface-emitting laser section of the device.
[0032] FIG. 5( c ) shows a reflectivity spectrum of the modulator cavity under zero bias.
[0033] FIG. 5( d ) shows a reflectivity spectrum of the modulator cavity under reverse bias. Note that the transparency of the system laser-modulator is decreased. Further increase in voltage will result, in further reduced transparency at the same wavelength.
[0034] FIG. 6 shows possible positioning of the lasing wavelength as compared to the modulated stopband edge of the multilayer interference reflector.
[0035] FIG. 7( a ) shows a schematic diagram of the device of FIG. 4 .
[0036] FIG. 7( b ) shows a schematic diagram of the absolute value of the electric field strength profile of the laser optical mode of the device of FIG. 4 where the modulator is in the state ensuring low reflectivity of the stopband edge of the multilayer interference reflector.
[0037] FIG. 7( c ) shows a schematic diagram of the absolute value of the electric field strength profile of the laser optical mode of the device of FIG. 4 where the modulator is in the state ensuring high reflectivity of the stopband edge of the multilayer interference reflector.
[0038] FIG. 8 shows a schematic diagram of an intensity modulated tilted cavity surface-emitting laser including a light generating element and a tunable stopband multilayer interference reflector element, where a modulator is placed in the multilayer interference reflector element.
[0039] FIG. 9 shows a schematic diagram of a cross-sectional view of an electrooptically modulated edge-emitting laser including a light generating element and a stopband edge-modulated multilayer interference reflector element. Modulated absorption causes light intensity modulation in the exit waveguide.
[0040] FIG. 10 shows a schematic diagram of a cross-sectional view of the device of FIG. 9 in the perpendicular cross section plane.
[0041] FIG. 11 shows schematically the principle of the wavelength tuning in the electrooptically Bragg-reflector stopband tunable vertical cavity surface-emitting laser of the present invention. FIG. 11( a ) shows schematically the device wherein the second Bragg reflector is switched to a non-transparent state.
[0042] FIG. 11( b ) shows schematically the electric field strength in the resonant optical mode of the device, wherein the second DBR is switched to a non-transparent state.
[0043] FIG. 11( c ) shows schematically the device wherein the second Bragg reflector is switched to a transparent state.
[0044] FIG. 11( d ) shows schematically the electric field strength in the resonant optical mode of the device, wherein the second DBR is switched to a transparent state.
[0045] FIG. 12 shows schematically the electrooptically wavelength-modulated surface-emitting laser according to one of the embodiments of the present invention.
[0046] FIG. 13 shows schematically the electrooptically modulated resonant cavity photodetector according to one another embodiment of the present invention.
[0047] FIG. 14( a ) shows schematically the electrooptically modulated leaky edge-emitting laser according to yet another embodiment of the present invention, wherein the multilayer interference reflector is switched to a transparent state.
[0048] FIG. 14( b ) shows schematically the electrooptically modulated leaky edge-emitting laser according to yet another embodiment of the present invention, wherein the multilayer interference reflector is switched to a non-transparent state.
[0049] FIG. 14( c ) shows the spectrum of the allowed optical modes of the electrooptically modulated leaky edge-emitting laser in the state shown in FIG. 14( a ); and
[0050] FIG. 14( d ) shows the spectrum of the allowed optical modes of the electrooptically modulated leaky edge-emitting laser in the state shown in FIG. 14( b ).
DETAILED DESCRIPTION OF THE INVENTION
[0051] The present invention provides an ultrafast way to modulate the intensity of an optoelectronic device.
[0052] FIG. 1 shows a schematic diagram of a prior art electronically intensity-modulated vertical cavity surface-emitting laser, invented by the inventor of the present invention. The device ( 100 ) includes a wavelength-tunable cavity with a modulating element and a cavity with light generating element. The device ( 100 ) includes a substrate ( 101 ), which is preferably n-doped, a first distributed Bragg reflector ( 102 ), which is preferably n-doped, a light generating element ( 110 ), a first current spreading p-layer ( 124 ), a second distributed Bragg reflector ( 120 ), which is preferably undoped, a second current spreading p-layer ( 151 ), a filter element ( 130 ), into which a modulator region is introduced, a first current spreading n-layer ( 152 ), and a third distributed Bragg reflector ( 140 ), which is preferably undoped. The filter element ( 130 ) includes a weakly p-doped or an undoped layer ( 131 ), a modulator region ( 132 ), and a weakly n-doped or undoped layer ( 133 ). A forward bias ( 141 ) is applied to the light generating element ( 110 ) via the n-contact ( 131 ) and the p-contact ( 132 ). A reverse bias ( 142 ) is applied to the modulator region ( 132 ) via the p-contact ( 143 ) and the n-contact ( 144 ). Current apertures ( 115 ) are introduced between the first distributed Bragg reflector ( 102 ) and the light generating element ( 110 ), between the light generating element ( 110 ) and the first current spreading p-layer ( 124 ), between the second current spreading p-layer ( 151 ) and the filter element ( 130 ), and between the filter element ( 130 ) and the current spreading n-layer ( 152 ). Laser light ( 150 ) comes out through the third distributed Bragg reflector ( 140 ).
[0053] The part of the device, including the substrate ( 101 ), the first distributed Bragg reflector ( 102 ), the light generating element ( 110 ), and the second distributed Bragg reflector ( 120 ) is a vertical cavity surface-emitting laser. In addition, the device includes a filter element ( 130 ).
[0054] The substrate ( 101 ) is preferably formed from any III-V semiconductor material or III-V semiconductor alloy, e.g. GaAs, InP, GaSb. GaAs or InP are preferably used depending on the desired emitted wavelength of laser radiation. Alternatively, sapphire, SiC or Si( 111 ) may be used as substrates for GaN-based lasers, i.e. laser structures the layers of which are formed of GaN, AlN, InN, or alloys of these materials. The substrate ( 101 ) is doped by an n-type, or donor impurity. Possible donor impurities include, but are not limited to, S, Se, Te, and amphoteric impurities like Si, Ge, Sn where the latter are introduced under such technological conditions that they are incorporated predominantly into the cation sublattice and serve as donor impurities. Any substrate orientation including, but not limited to, ( 100 ), ( 110 ), ( 111 ), or a high Miller index substrate, may be used.
[0055] The first distributed Bragg reflector ( 102 ) preferably includes a periodic structure of layers, transparent for the generated laser light, having alternating high and low refractive indices and is n-doped. The layers are formed of the materials preferably lattice-matched or nearly lattice-matched to the substrate. In a GaAs-based device, the layers of the first distributed Bragg reflector are preferably formed of GaAs and GaAlAs, or of layers of GaAlAs with alternating Al content.
[0056] The light generating element ( 110 ) preferably includes an undoped or a weakly n-doped layer ( 111 ), an active region ( 112 ), and an undoped or weakly p-doped layer ( 113 ). Layers are formed of materials, lattice-matched or nearly lattice-matched to the substrate, and transparent to the generated laser light.
[0057] The active region ( 112 ) is formed of any insertion or combinations of insertions, including a double heterostructure, a quantum well, an array of quantum wires, and arrays of quantum dots, or any combination thereof. The active region generates light, when a forward bias ( 141 ) is applied.
[0058] For structures grown on a GaAs substrate, materials for the active region include, but are not limited to, GaAs, InGaAs, GaAsSb, GaAsP, GaAlAs, InGaAsN, and InGaAsNSb. For structures grown on sapphire, SiC, or Si( 111 ), materials for the active region include, but are not limited to, InGaN, InGaAlN, and InGaAlNAs. For structures grown on InP, materials for the active region include, but are not limited to, InGaAs, InGaAlAs, InGaAsSb, InGaAsP, and InGaAsN.
[0059] A forward bias ( 141 ) is applied via a first contact ( 131 ) (an n-contact) and a second contact ( 132 ) (a p-contact). The contacts and are preferably formed from the multi-layered metal structures. The n-contact ( 131 ) is preferably formed from the structures including, but not limited to, the structure Ni—Au—Ge. The p-contact ( 132 ) is preferably formed from structures including, but not limited to, the structure Ti—Pt—Au.
[0060] The p-contact ( 132 ) is preferably mounted on a current spreading p-layer ( 124 ). The current spreading p-layer ( 124 ) is preferably formed of a material lattice-matched or nearly lattice-matched to the substrate, transparent to the generated laser light and p-doped, i.e. doped by an acceptor impurity. Possible acceptor impurities include, but are not limited to, Be, Mg, Zn, Cd, Pb, Mn and amphoteric impurities like Si, Ge, Sn where the latter are introduced under such technological conditions that they are incorporated predominantly into the anion sublattice and serve as acceptor impurities.
[0061] The modulating element ( 130 ) includes a weakly p-doped or an undoped layer ( 131 ), a modulator cavity region ( 132 ), and a weakly n-doped or an undoped layer ( 133 ). Layers are preferably formed of any material, lattice-matched or nearly lattice-matched to the substrate and transparent to the generated laser light.
[0062] The modulator region includes one or more quantum wells, one or more layers of quantum wires or quantum dots, or any combination thereof. In the particular embodiment of FIG. 1 , the modulator operates when a reverse bias ( 142 ) is applied.
[0063] FIG. 2 describes schematically the functioning of the modulator element ( 130 ) of the device ( 100 ) in FIG. 1 . The operation of the modulator is based on the quantum confined Stark effect. By varying the bias, the electric field applied to the modulator is varied. Then the position of the optical absorption peak is shifted, due to the Stark effect as it is shown in FIG. 2( a ). Due to Kramers-Kronig relationship between the real and imaginary parts of the dielectric function of the medium, the shift of the absorption peak results in a modulation of the refractive index of the modulator, as it is shown in FIG. 2( b ). The latter leads to a shift of the resonant wavelength of the vertical cavity mode reflectivity spectrum from the position depicted in FIG. 2( c ) to the position in FIG. 2( d ), dashed line. This shift results in matching of the modulator transparency wavelength with the wavelength of the generated laser light and, thus, in a higher output power of the device.
[0064] In another embodiment, the modulator region operates under a forward bias. Applying a forward bias results in the exciton bleaching effect, which further leads to a change in refractive index of the modulator region.
[0065] FIG. 3 illustrates the principles of the operation of the electronically wavelength tunable vertical cavity surface-emitting laser of FIG. 1 . FIG. 3( a ) shows schematically the device of FIG. 1 in a simple form, showing only key elements. The elements shown include the substrate, the first distributed Bragg reflector, the first cavity (which includes the active region), the second distributed Bragg reflector, the electrooptically-modulated filter section, and the third distributed Bragg reflector.
[0066] FIG. 3( b ) shows the spatial profile of the resonant optical mode of the device when the modulator is switched to the resonant state. FIG. 3( b ) plots the absolute value of the electric field strength in the optical mode. In the resonant state, the laser generates the laser light at a wavelength, which corresponds to the resonant wavelength of the filter. Therefore the resonant optical mode of the laser is a coupled mode having high intensity in both the first cavity and in the filter. Consequently, the light output power proportional to the field intensity in the air is high.
[0067] FIG. 3( c ) shows the spatial profile of the resonant optical mode of the device when the modulator is switched to a non-resonant state. FIG. 3( c ) plots the absolute value of the electric field strength in the optical mode. In any non-resonant state, the laser generates the laser light at a wavelength other than the resonant wavelength of the filter. Therefore the optical mode of the laser at the non-resonant wavelengths is a mode having a high intensity in the first cavity and a low intensity in the filter. Consequently, the light output power proportional to the field intensity in the air is low.
[0068] Alternating a bias voltage applied to the modulator switches the device between the resonant state and some selected non-resonant state. The output light power alternates between a high intensity and a low intensity accordingly.
[0069] FIG. 4 shows a schematic diagram of an electrooptically-modulated vertical cavity surface-emitting laser according to a preferred embodiment of the present invention. The modulator element is integrated with the multilayer interference reflector element, for example, distributed Bragg reflector (DBR). By varying a voltage applied to a modulator, its refractive index changes. The stopband of the DBR then shifts towards the wavelength of the generated laser light, and prevents it's penetration through the top DBR structure. Thus, the output intensity of the device is modulated. Thus the device operates as an electronically wavelength tunable DBR stopband edge vertical cavity surface-emitting laser providing output laser light modulated in intensity.
[0070] The device ( 400 ) of the embodiment shown in FIG. 4 is grown epitaxially preferably on a p-doped substrate ( 401 ) and comprises a first, or bottom DBR ( 402 ), which is preferably p-doped, the light generating element ( 410 ), and a second, or top DBR ( 460 ). The top DBR ( 460 ) preferably comprises a first part ( 461 ), which is preferably n-doped, a second part ( 462 ), which is preferably undoped, and a third part ( 463 ), which is preferably p-doped. The light generating element ( 410 ) preferably includes a weakly p-doped or an undoped layer ( 411 ), an active region ( 412 ), a weakly n-doped or an undoped layer ( 413 ).
[0071] The active region ( 412 ) is formed of any insertion or combinations of insertions, including a double heterostructure, a quantum well, an array of quantum wires, and arrays of quantum dots, or any combination thereof. The active region generates light, when a forward bias ( 441 ) is applied via the p-contact ( 431 ) and the n-contact ( 432 ). In this embodiment, a current spreading n-layer is formed ( 424 ) between the light generating element ( 410 ) and the top DBR ( 460 ). Current apertures ( 415 ) are introduced between the first DBR ( 402 ) and the light generating element ( 410 ), and between the light generating element ( 410 ) and the current spreading layer ( 424 ).
[0072] The second part ( 462 ) of the top DBR operates as a modulator element. A reverse bias ( 442 ) is applied to the undoped part of the DBR via the n-contact ( 443 ) and the p-contact ( 444 ). The modulator element preferably includes a single or multiple quantum insertions ( 470 ), which can be a single or multiple quantum wells, a single or multiple layers of quantum wires, a single or multiple layers of quantum dots, or any combination thereof.
[0073] In order to provide high-frequency operation of the device ( 400 ), certain measures are preferably undertaken to reduce parasitic capacitance of the modulator region. The region underneath the n-contact ( 444 ) is preferably subject to proton bombardment, which results in the formation of a region ( 480 ) with a high concentration of defects and low conductivity. Thus, the region ( 480 ) formed of initially n-doped or p-doped regions, will behave as a region of intrinsic, i.e. semi-insulating semiconductor. In order to provide a possibility to apply the bias ( 442 ) to the quantum insertions ( 470 ) within the modulator element, diffusion of Zn is preferably performed to the region ( 485 ) underneath the p-contact ( 444 ). Due to the diffusion of Zn, a part of semi-insulating region transforms in a p-doped highly conducting region, allowing to apply bias from the p-contact ( 444 ) to the quantum insertions ( 470 ).
[0074] In one another embodiment of the present invention, the top DBR ( 460 ) does not comprise a third part ( 463 ), and the contacts ( 444 ) are mounted on the top exit surface of the device.
[0075] In yet another embodiment of the present invention, the top DBR ( 460 ) does not comprise a first part ( 461 ). And in one another embodiment of the present invention, the contacts ( 432 ) and ( 443 ) are combined to a single n-contact, and the device, instead of a four-contact design of FIG. 4 , is a three-contact device.
[0076] And in one another embodiment of the present invention, the bias ( 442 ) is applied to the entire top DBR ( 460 ).
[0077] The modulator element ( 462 ) of FIG. 4 contains an n-i-p structure. In another embodiment of the present invention, the modulator element contains an n-i-n structure. In yet another embodiment of the present invention, the modulator element contains a p-i-p structure. Here “i” denotes “intrinsic” or weakly doped region.
[0078] FIG. 5 schematically explains the operation of the device. Under a reverse bias, an electric field applied to the quantum insertions in the modulator region causes a quantum confined Stark effect. The latter results in a shift of the spectral position of the optical absorption peak. Due to Kramers-Kronig relationship between the real and the imaginary parts of the dielectric functions, a change in the absorption spectrum is accompanied by a corresponding variation of the refractive index. The change in the refractive index of the modulator leads to a shift in the stopband edge wavelength of the modulator element. Thus, by applying a different value of the reverse bias, it is possible to shift the stopband edge wavelength of the filter element. This allows the modulator element to turn the device into the closed state with minimum light intensity coming out of the device. The DBR stopband edge may be alternatively placed being red-shifted from the lasing wavelength.
[0079] The functionality of the devices of the present invention is based on electrooptical effect, namely on a change in the refractive index when an electric field is applied. If an electric field is applied perpendicularly to the layers, the conduction and the valence bands of the semiconductor device tilt due to the potential of the external field resulting in the shifting of the energy levels. This results in a smaller absorption energy, and the absorption edge shifts to longer wavelengths. The effect in bulk materials is known as the Franz-Keldysh effect (I. Galbraith, B. Ryvkin “Empirical determination of the electroabsorption coefficient in semiconductors”, J. Appl. Phys. 74, 4145 (1993)). A change in the absorption coefficient Δα (electroabsorption) results also in a refractive index change Δn (electrorefraction). The latter can be calculated by Kramers-Kronig transform, (see, e.g., D. S. Chelma et al. “Room Temperature Excitonic Nonlinear Absorption and Refraction in GaAs/AlGaAs Multiple Quantum Well Structures”, IEEE Journal of Quantum Electronics, Vol. QE-20 ( 3 ), pp. 265-275 ( 1984 )),
[0000]
Δ
n
(
ω
)
=
c
π
P
∫
0
∞
Δ
α
(
ω
′
)
ω
′
2
-
ω
2
ω
′
.
(
2
)
[0000] where the symbol P indicates that the principal value of the integral has to be evaluated, and c is the velocity of light.
[0080] The phenomenon in quantum confined structures like quantum wells, quantum wires or quantum dots is referred to as the Quantum Confined Stark Effect. In realistic electric fields, ranging from zero to a few hundred kV/cm, the electrorefraction is described as a sum of a linear eletrooptical effect (Pockel's effect) and a quadratic electrooptical effect (Kerr effect), (see, e.g. J. E. Zucker, T. L. Hendrickson, and C. A. Burrus, “Electro-optic phase modulation in GaAs/AlGaAs quantum well waveguides”, Applied Physics Letters, Vol. 52 (12), pp. 945-947 (1988)).
[0000]
Δ
n
=
1
2
n
0
3
(
rF
+
sF
2
)
,
(
3
)
[0000] where F is the electric field strength, n 0 is the refractive index in the zero electric field, and r and s are the linear and quadratic electrooptical coefficients.
[0081] In GaAs/GaAlAs quantum well structures, the quadratic electrooptical effect dominates at electric fields of about 50 kV/cm (see J. S. Weiner et al., “Quadratic electro-optic effect due to the quantum-confined Stark effect in quantum wells”, Applied Physics Letters, Vol. 50 (13), pp. 842-844 (1987) and J. E. Zucker et al. “Quaternary quantum wells for electro-optic intensity and phase modulation at 1.3 and 1.55 μm”, Applied Physics Letters, Vol. 54 (1), pp. 10-12 (1989)). Furthermore, the quadratic electrooptical coefficient s in GaInAs/InP, GaInAsP/InP, and GaAs/GaAlAs quantum well structures is inversely proportional to the detuning Δω between the exciton energy in the zero electric field and the photon energy below the bandgap, at which the refractive index is considered,
[0000]
Δ
n
=
η
F
2
Δ
ω
.
(
4
)
[0082] Here η is the so called figure of merit, which was estimated to be of the order of 3×10 −5 meV cm 2 kV −2 . The behavior (Eq. (4)) had initially been experimentally studied for quantum wells having a width between 6 and 10 nm, and detunings up to 40 meV. The electrooptical effect decreases at larger detuning (from 40 to 140 meV) much faster than given by Eq. (4) (see M. P. Earnshow and D. W. E. Allshop, “Electrooptic Effects in GaAs—AlGaAs Narrow Coupled Quantum Wells”, IEEE Journal of Quantum Electronics, Vol. 37 (7), pp. 897-904; ibid. Vol. 37 (8), p. 1103 (2001)).
[0083] Although the exciton peak absorption decreases significantly upon applied electric field (see, e.g., L. Chen, K. C. Rajkumar, and A. Madhukar “Optical Absorption and Modulation Behavior of Strained InxGa1-xAs/GaAs ( 100 ) (x≦0.25) multiple quantum well structure grown via molecular beam epitaxy”, Applied Physics Letters, Vol. 57 (23), pp. 2478-2480 (1990)), the exciton line width increases correspondingly. The integral excition absorption is proportional to the oscillator strength, which can also be roughly estimated to be proportional to the product of the peak absorption by the exciton line width, may either decrease much slower or even remain unchanged.
[0084] The exciton oscillator strength in a rather narrow quantum well remains unaffected by an applied electric field if the quantum well width is smaller than one half of the exciton Bohr radius (see Feng et al. “Exciton energies as a function of electric field: Confined quantum Stark effect”, Physical Review B, Vol. 48 (3), pp. 1963-1966 (1993)). For InGaAs quantum wells in GaAs, this means quantum wells preferably 7 nm or thinner. The unaffected oscillator strength implies unaffected integral excition absorption. Additionally, there is evidence of an increased electrooptical effect in narrow coupled quantum wells.
[0085] While selecting particular quantum wells for the modulator for the present invention, as well as particular values of the detuning and electric field, it is important to take into account electrooptical effects and their theoretical modeling, which are published in the references cited above. These references are hereby incorporated herein by reference.
[0086] In a different embodiment of the present invention, the modulator region operates under a forward bias. This causes the exciton bleaching effect that changes the optical absorption peak and thus affects the refractive index of the modulator.
[0087] In yet another embodiment of the present invention a resonant cavity light-emitting diode comprises an electrooptically-modulated Bragg reflector. Applying bias to a Bragg reflector or its part, it is possible to modulate intensity of light coming out of the light-emitting diode.
[0088] FIG. 5 illustrates the principles of the operation of the electronically wavelength tunable vertical cavity surface-emitting laser of FIG. 4 . FIG. 5( a ) shows schematically the position of the optical absorption peak being shifted with applied voltage, due to the Stark effect. Due to Kramers-Kronig relationship between the real and imaginary parts of the dielectric function of the medium, the shift of the absorption peak results in a modulation of the refractive index of the modulator, as it is shown in FIG. 2( b ). The latter leads to a shift of the stopband edge wavelength of the modulator-DBR section from position depicted in FIG. 5( c ) to the position in FIG. 5( d ), dashed line. This shift results in suppression of the modulator transparency, and, thus, in a lower output power of the device.
[0089] Different embodiments resulting in a shift of the DBR stopband edge are possible. Let the DBR consist of alternating layers having, at zero bias, refractive indices n 1 and n 2 . Then, in one of the embodiments, quantum insertions are selected such that applying of the reverse bias results in an increase of the refractive indices of both layers.
[0000] Δn 1 >0, and Δn 2 >0, (5)
[0000] which further leads to a shift of the long wavelength stopband edge towards longer wavelengths. In another embodiment, quantum insertions are selected such that, upon an applied reverse bias, indices of the two layers change in opposite directions, and the optical contrast increases,
[0000] Δ| n 2 −n 1 |>0, (6)
[0000] which also further leads to a shift of the longwavelength stopband edge towards longer wavelength.
[0090] In yet another embodiment of the present invention, light output through the substrate is used. If the top DBR in the non-transparent state has the transparency comparable or lower than the transparency of the bottom DBR, the light output power through the bottom DBR and the substrate will be modulated. Thus, the device may operate in both directions, but the “on” and “off” states will be reversed. Namely, switching the top DBR to the “off” regime may lead to the enhancement of the light output through the bottom DBR, and vice versa.
[0091] In one another embodiment of the present invention, the transparency of the bottom DBR is modulated. Light output power through the bottom DBR and the substrate is modulated accordingly.
[0092] In yet another embodiment of the present invention, the transparency of the bottom DBR is modulated, and light output through the top DBR is modulated in the reverse manner.
[0093] In one another embodiment, the modulator region operates under a forward bias. Applying a forward bias results in an exciton bleaching effect, which further leads to a change in refractive index of the modulator region and the shift of the Bragg reflector stopband is of the opposite side.
[0094] FIG. 6 illustrates the fact that the transparency of the DBR may be modulated in both directions. Applying the reverse bias to the modulator element results in a shift of the spectral features to longer wavelengths. This is illustrated in FIG. 6 , where the optical reflectance of a DBR shown as a solid line is shifted and shown as a dashed line. If the laser wavelength is chosen as λ 1 or λ 2 , then the shift of the DBR optical reflectance spectrum leads to an increase in DBR reflectivity, the DBR becoming less transparent. If the laser wavelength is chosen as λ 3 , the shift of the DBR optical reflectance spectrum leads to a decrease in DBR reflectivity, the DBR becoming more transparent.
[0095] FIG. 7( a ) shows schematic diagram of the device of FIG. 4 in a simple form, showing only some of the elements. The elements shown include the substrate, the first distributed Bragg reflector, the first cavity (which includes the active region), the second distributed Bragg reflector and the third “modulator” distributed Bragg reflector (which includes the modulator elements) and the contact region or a fourth distributed Bragg reflector.
[0096] FIG. 7( b ) shows the spatial profile of the resonant optical mode of the device when the modulator is switched to the state, when the DBR reflectivity stopband does not overlap with the lasing wavelength. FIG. 7( b ) plots the absolute value of the electric field strength in the optical mode. As there is no attenuation of the optical wave in the modulator DBR the field intensity does not change significantly in this region. Consequently, the light output power proportional to the field intensity in the air is high.
[0097] FIG. 7( c ) shows the spatial profile of the resonant optical mode of the device when the modulator is switched to a reflecting, or non-transparent state. FIG. 7( c ) plots the absolute value of the electric field strength in the optical mode. In the reflecting DBR state, the laser generates the laser light at any wavelength that does not correspond to the transparency regime of the DBR. Therefore, the optical mode of the laser will decay in the DBR. Consequently, the light output power proportional to the field intensity in the air is low.
[0098] By alternating a bias voltage applied to the modulator, one switches the device between the transparent state and non-transparent state. As the stopband edge can be made arbitrarily abrupt, a significant modulation depth can be realized. An additional advantage is the fact that for high-order transverse optical modes, having a shorter wavelength than the fundamental optical mode, the stopband edge wavelength is also shifted to shorter wavelengths enabling robust operation also for multimode devices. The output light power alternates between a high intensity and a low intensity accordingly.
[0099] In a similar way, a tunable tilted cavity laser can be constructed. FIG. 8 shows an electrooptically modulated tilted cavity surface-emitting laser ( 800 ). The concept of a tilted cavity laser was proposed by N. N. Ledentsov et al. in an earlier patent application, N. N. Ledentsov and V. A. Shchukin, “Tilted Cavity Semiconductor Laser and Method o Making Same”, US patent Application No. 2003/0152120 A1. A tilted cavity laser comprises a cavity and at least one multilayer interference reflector (MIR), where the cavity and the at least one multilayer interference reflector are selected such, that optical mode, having the minimum leakage losses to the substrate and the contact layers is an optical mode, in which the light within the cavity propagates in a direction tilted with respect to both the p-n junction plane and the direction normal to the p-n junction plane.
[0100] Electooptically tunable tilted cavity surface-emitting laser ( 800 ) is grown epitaxially on a substrate ( 401 ) which is preferably p-doped. The device comprises a first multilayer interference reflector, MIR, ( 802 ), which is preferably p-doped, the light generating element ( 810 ), and a second, or top MIR ( 860 ). The top MIR ( 860 ) preferably comprises a first part ( 861 ), which is preferably n-doped, a second part ( 862 ), which is preferably undoped, and a third part ( 863 ), which is preferably p-doped. The light generating element ( 810 ) preferably includes a weakly p-doped or an undoped layer ( 811 ), an active region ( 812 ), a weakly n-doped or an undoped layer ( 813 ).
[0101] The active region ( 412 ) is formed of any insertion or combinations of insertions, including a double heterostructure, a quantum well, an array of quantum wires, and arrays of quantum dots, or any combination thereof. The active region generates light, when a forward bias ( 441 ) is applied via the p-contact ( 431 ) and the n-contact ( 432 ). In this embodiment, a current spreading n-layer is formed ( 824 ) between the light generating element ( 810 ) and the top MIR ( 860 ). The second part ( 862 ) of the top DBR operates as a modulator element. A reverse bias ( 442 ) is applied to the undoped part of the DBR via the n-contact ( 443 ) and the p-contact ( 444 ). The modulator element preferably includes a single or multiple quantum insertions ( 870 ), which can be a single or multiple quantum wells, a single or multiple layers of quantum wires, a single or multiple layers of quantum dots, or any combination thereof.
[0102] In order to provide high-frequency operation of the device ( 800 ), certain measures are preferably undertaken to reduce parasitic capacitance of the modulator region. The region underneath the n-contact ( 444 ) is preferably subject to proton bombardment, which results in the formation of a region ( 480 ) with a high concentration of defects and low conductivity. Thus, the region ( 480 ) formed of initially n-doped or p-doped regions, will behave as a region of intrinsic, i.e. semi-insulating semiconductor. In order to provide a possibility to apply the bias ( 442 ) to the quantum insertions ( 870 ) within the modulator element, diffusion of Zn is preferably performed to the region ( 485 ) underneath the p-contact ( 444 ). Due to the diffusion of Zn, a part of semi-insulating region transforms in a p-doped highly conducting region, allowing to apply bias from the p-contact ( 444 ) to the quantum insertions ( 470 ).
[0103] The light generating element ( 810 ) forms a tilted cavity. The tilted cavity, the first MIR ( 802 ), and the second MIR ( 860 ) are selected such, that among various optical modes, a mode having the minimum leaky losses to the substrate and the contacts is a tilted optical mode ( 890 ), in which light within the cavity propagates in a direction tilted with respect to both the p-n junction plane and to the direction normal to the p-n junction plane. Light of the tilted optical mode ( 890 ) propagates through the second MIR ( 860 ), and comes out of the device as tilted light ( 850 ).
[0104] In one another embodiment of the present invention, light comes out of the electrooptically tunable tilted cavity surface-emitting laser as vertically propagating light.
[0105] FIGS. 9 and 10 show an electronically intensity-modulated edge-emitting laser ( 900 ) in two mutually perpendicular cross-sectional planes. FIG. 9 shows a cross section in the vertical transverse plane, which is perpendicular to the direction of the propagation of laser light in the edge emitter. FIG. 10 shows a cross section in the vertical longitudinal plane, parallel to the direction of propagation of the laser light in the edge emitter. An active cavity ( 810 ), a first MIR ( 802 ), and a second top MIR ( 960 ) are selected such that only one tilted optical mode ( 890 ) has a high optical confinement factor in the active region ( 812 ) and low loss. The active cavity ( 810 ) is coupled to the exit waveguide ( 930 ) via the top MIR ( 960 ). The exit waveguide ( 930 ) is bounded by the second MIR ( 960 ) and the third reflector ( 940 ) which is preferably an evanescent reflector. Due to different refractive indices of the active cavity ( 810 ) and exit waveguide ( 930 ), the single combined optical mode has different effective mode angles in the active cavity and in the exit waveguide. This is illustrated schematically as different tilt directions of the optical mode ( 990 ) in the exit waveguide and ( 930 ) in the active cavity. Thus, the light can exit the waveguide ( 930 ) avoiding the effect of the total internal reflection on the side facets of the laser. Applying the bias ( 442 ) to the second MIR ( 960 ) results in the applying electric field to the quantum insertions ( 970 ). This leads to a change of the refractive indices of the insertions and, thus, may enhance or reduce penetration of the laser light to the exit waveguide ( 930 ) and, thus, enhance or reduce the intensity of the emitted laser light ( 950 ). In a preferred embodiment, a highly reflecting coat ( 916 ) is mounted on a rear facet, and an antireflecting coat ( 917 ) is mounted on a front facet such that laser light exits the exit waveguide only through the front facet.
[0106] In one another embodiment of the present invention, a distributed feedback laser is fabricated, e.g. by introducing a grating in the exit waveguide ( 930 ), in order to provide wavelength-stabilized operation of the device.
[0107] Electronically intensity-modulated light-emitting diode can be realized in a similar approach as yet another embodiment of the present invention.
[0108] FIG. 11 illustrates schematically a possibility to fabricate a wavelength-tunable laser based on an electrooptically modulated distributed Bragg reflector. FIG. 11( a ) shows schematically main elements of a laser, namely, a first DBR, a cavity with the active region, and a second DBR consisting of a tunable section and a non-tunable section. If the second DBR is switched to a non-transparent state, the wavelength of the emitted laser light is determined by the thickness of the cavity D 1 . FIG. 11( b ) illustrates the spatial profile of the resonant optical mode, namely the absolute value of the electric field strength.
[0109] FIG. 11( c ) shows schematically the same device when the second DBR is switched to a transparent state. Then the tunable section of the DBR is transparent and may be qualitatively considered as a part of the cavity. Thus, the device contains an effective cavity with a thickness D 2 >D 1 , and wavelength of the laser light will be determined by a modified effective thickness of the cavity. FIG. 11( d ) shows schematically the spatial profile of the resonant optical mode, namely the absolute value of the electric field strength.
[0110] When the device modulates the wavelength of the emitted laser light, it is preferred to separate the modulation of the wavelength and the modulation of the intensity, and to avoid the latter. Therefore, for the device of the embodiment schematically illustrated in FIG. 11 , it is preferred to choose the first DBR weaker than the second DBR in the transparent state such that the main output of light will occur through the first DBR and the substrate. As the first DBR is not changed when the transparency of the second DBR is modulated, the intensity of the emitted laser light will not be changed. Different positioning of the sections with respect to the substrate are possible and, consequently, both top emitting and bottom emitting devices can be realized.
[0111] Similar approach can be used for a wavelength-tunable resonant cavity light-emitting diode as one another embodiment of the present invention.
[0112] FIG. 12 illustrates schematically the electronically wavelength-tunable vertical cavity surface-emitting laser ( 1200 ), the operation of which is illustrated in FIG. 11 . The second DBR ( 1262 ) comprises a tunable section ( 1262 ) and a non tunable section ( 1263 ). Applying bias ( 442 ) to the tunable section ( 1262 ) of the second DBR ( 1260 ), it is possible to tune the wavelength of the laser light ( 1250 ) emitted through the substrate.
[0113] FIG. 13 illustrates schematically the electronically wavelength-tunable resonant cavity photodetector ( 1300 ). A zero or reverse bias ( 1341 ) is applied to the p-n junction in the active cavity ( 1310 ). External light ( 1350 ) impinging on the device is absorbed by the p-n junction element ( 1312 ) resulting in the generation of electron-hole pairs, and, thus, in the generation of a photocurrent which can be measured by a microampermeter ( 1393 ).
[0114] FIG. 14 illustrates a Bragg-reflector stopband-tunable leaky laser. FIG. 14( a ) shows a leaky laser ( 1400 ) comprising an active waveguide ( 1410 ) with an active region ( 1412 ) sandwiched between the bottom reflector ( 1402 ) which is preferably an evanescent reflector, or a cladding layer, and a tunable multilayer interference reflector ( 1460 ). The laser generates light in a leaky optical mode which leaks into the substrate ( 1401 ), is reflected back from the back side of the substrate ( 1481 ) forming a tilted optical mode ( 1491 ) within the substrate. The light exits the device ( 1451 ) forming preferably a two-lobe beam. Necessary conditions for lasing require constructive interference of the laser light propagating from the active region through the substrate to the back surface of the substrate and back to the active region. These conditions are met for certain wavelengths shown schematically as peaks in FIG. 14( c ). The spectral interval between the peaks is a function of the leaky angle. By varying the refractive index in the layers of the MIR ( 1460 ), the reflectivity of the MIR changes. This changes the leaky angle. FIG. 14( b ) shows the state of the device with a smaller leaky angle showing the optical mode in the substrate ( 1492 ), the emitted light ( 1452 ) for this case, and the spectrum of the allowed optical modes ( FIG. 14( d )). In a preferred embodiment, reduction of the transparency of the MIR ( 1460 ) results in a weaker confinement of the optical mode in the active waveguide ( 1410 ), and thus, in a larger leaky angle. Thus, FIGS. 14( a ) and 14 ( c ) correspond to a non-transparent state of the MIR ( 1460 ), and FIGS. 14( b ) and 14 ( d ) correspond to a transparent state of the MIR.
[0115] Bragg-reflector stopband-tunable leaky light-emitting diode can be realized in a similar way as one another embodiment of the present invention.
[0116] When any optoelectronic device of the present invention allowing the intensity modulation of the emitted light is fabricated, it is possible to control the intensity of the emitted light. A method of the control includes two stages: calibration and control itself.
[0117] A method of calibrating the device consists of the following steps:
a) introducing a microampermeter in the same electrical circuit, where the bias is applied to the modulator region, wherein the microampermeter is capable to measure the photocurrent generated in the modulator upon an applied reverse bias; b) applying a bias to the modulator region and to the light generating element independently with the electric contacts; c) electrooptically tuning a stopband reflectivity edge wavelength of the multilayer interference reflector with respect to a resonant wavelength of the cavity; d) varying an optical transmittance of the device, such that an output optical power is varied; e) measuring the photocurrent in the electric circuit of the modulator section under reverse bias, and measuring the output light power of the device; f) obtaining the light-photocurrent calibration curves.
[0124] Once the device is calibrated, a method of controlling the output power may be used, wherein the method consists of the steps of:
a) applying a bias to the modulator region and to the light generating element independently with the electric contacts; b) electrooptically tuning a stopband reflectivity edge wavelength of the multilayer interference reflector with respect to a resonant wavelength of the cavity; c) varying an optical transmittance of the device, such that an output optical power is varied; d) measuring the photocurrent in the electric circuit of the modulator section under reverse bias; and e) adjusting the drive current in the circuit of the active element to keep the requested output power of the device using the calibrated light-photocurrent curves.
[0130] A lot of modifications can be made. Photonic crystals can be used for better mode control and light extraction efficiency. The surface-emitting devices operating at high angles with respect to normal can be constructed. Different designs of multilayer interference reflectors used as Bragg reflectors can be applied. Multiple sections can be introduced. Photocurrent of the modulator section can be used for failure control or for power adjustment.
[0131] Certain features of the invention, which are, for clarity, described in the context of separate embodiments, may also be provided in combination in a single embodiment. Conversely, various features of the invention, which are, for brevity, described in the context of a single embodiment, may also be provided separately or in any suitable subcombination.
[0132] Although the invention has been illustrated and described with respect to exemplary embodiments thereof, it should be understood by those skilled in the art that the foregoing and various other changes, omissions and additions may be made therein and thereto, without departing from the spirit and scope of the present invention. Therefore, the present invention should not be understood as limited to the specific embodiments set out above but to include all possible embodiments which can be embodied within a scope encompassed and equivalents thereof with respect to the features set out in the appended claims. | A device contains at least one wavelength-tunable multilayer interference reflector controlled by an applied voltage and at least one cavity. The stopband edge wavelength of the wavelength-tunable multilayer interference reflector is preferably electrooptically tuned using the quantum confined Stark effect in the vicinity of the cavity mode (or a composite cavity mode), resulting in a modulated transmittance of the multilayer interference reflector. A light-emitting medium is preferably introduced in the cavity or in one of the cavities permitting the optoelectronic device to work as an intensity-modulated light-emitting diode or diode laser by applying an injection current. The device preferably contains at least three electric contacts to apply forward or reverse bias and may operate as a vertical cavity surface-emitting light emitter or modulator or as an edge-emitting light emitter or modulator. Using a multilayer interference reflector containing tunable section allows also obtaining a wavelength-tunable laser or a wavelength-tunable resonant cavity photodetector in the case where the optical field profile in the active cavity or cavities is affected by the stopband wavelength shift. Adding additional modulator sections enables applications in semiconductor optical amplifiers, frequency converters or lock-in optical amplifiers. | 67,541 |
FIELD OF THE INVENTION
The invention relates to stress reduction in a wheel designed to accelerate rapidly and to rotate at very high RPM, such as a turbine wheel of a turbocharger.
BACKGROUND OF THE INVENTION
Turbochargers extract energy from a vehicle exhaust to drive a compressor to deliver air at high density to the engine intake, allowing more fuel to be combusted, thus boosting the engine's horsepower. Tighter regulation of engine exhaust emissions has led to an interest in boost devices capable of delivering ever higher pressure ratios. One way to achieve this is to drive the compressor wheel at higher tip speeds, typically translating to 80,000 RPM to 300,000 RPM, depending upon the diameter of the compressor wheel. Not only high rotational speeds, but also shaft forces to rapidly accelerate the compressor wheel, create high tensile loading of the compressor wheel. This loading is especially severe particularly near the bore. It is conventional to reinforce the backwall of a compressor wheel with a central bulge.
Compared to a compressor wheel, a turbine wheel is usually made of a higher value alloy, able to withstand the high temperatures and corrosive gasses to which the turbine wheel is exposed. The turbine wheel also differs from a compressor wheel in the manner of joining to the shaft, i.e., while a compressor wheel typically has a through-going bore by which it is seated on a shaft, and is fixed to the shaft via a nut, a turbine wheel is solid and is materially fixed to the shaft, e.g., by welding or brazing. Turbine wheel backwalls also differ from compressor wheel backwalls. Turbine wheels backwalls are conventionally substantially flat. See US Patent Application 2010/0003132 (Holzschuh) assigned to the assignee of the present application, which forms the basis for FIGS. 1 and 2 .
Since the turbine wheel and compressor wheel are fixed to the same shaft, the turbine wheel must spin at the same high RPM as the compressor wheel. The turbine wheel is also subjected to repetitive stresses and can experience low cycle fatigue failure. There is thus a need to further guard against the possibility of low cycle fatigue failure in turbine wheels.
The commercial turbocharger industry is cost driven. While there is a need to reduce to low cycle fatigue failure, this objective must be accomplished economically, i.e., without resort to high cost measures such as multiple-alloy wheel manufacturing techniques, exotic alloys, five-axis milling from billet, time-consuming cold-working to remove surface defects, etc.
It has recently been discovered that compressor wheels provided with a slightly longer, profiled hub end have improved life against low cycle fatigue. Compressor wheels with this design have been referred to as “superback”. To accommodate the added length of the superback compressor wheel, the industry found the need to redesign other associated features of the turbocharger such as flinger and diffuser.
Although there are significant structural, metallurgical, and joining differences between compressor wheels and turbine wheels, the present inventors investigated wither increased hub length could also provide benefits to turbine wheels with regard to prevention of low cycle fatigue. Since turbine housings are generally designed to receive turbine wheels with flat backs, and since it is conventional practice to balance turbine wheels by removing material from a flat region of the backwall, there was a question as to how to design a “superback” turbine wheel to, on the one hand, possibly provide the desired benefit, and on the other hand, cause the minimum disruption to the industry, e.g., allow the industry to continue with conventional balancing processes, and to incorporated into the available line of turbine housing with minimum re-design and re-engineering of cooperating turbocharger components.
An initial turbine wheel superback design provided a generally conical transition between an elongated weld hub and the flat backwall of the turbine wheel ( FIG. 2 ). This turbine wheel superback design was tested commercially and was found to meet expectations. The present inventors nevertheless investigated to see whether even greater improvements could be achieved. The inventors considered different alloys, mechanical surface treatments, chemical surface treatments, coatings, heat treatments and other options.
SUMMARY OF THE INVENTION
Surprisingly, it was discovered that further improving turbine wheel resistance to low cycle fatigue lie not in complex, cost-adding conventional techniques, but in a further refinement of the overall superback design. With this seemingly small change, it became possible, without additional expense, to provide a turbine wheel that could continue to be easily balanced by conventionally available techniques, yet be less susceptible to stress and low cycle fatigue failure.
The invention is achieved by a turbocharger turbine wheel having a superback backwall characterized by a conical region between a weld hub and a flat backwall region, wherein the superback backwall is defined, in cross-section, by a triangle of which the sides are formed by lines derived from the axis of rotation ( 1 ), the planar region of the backwall (L 1 ) and the line describing the surface of the cone (L 2 ), wherein the line describing the surface of the cone (L 2 ) intersects the line defining the planar region of the backwall (L 1 ) at a point between 50% and 90% of the distance between shaft axis ( 1 ) and turbine wheel outer diameter, wherein the length of the side of the triangle derived from the axis of rotation is at least 2% of the diameter of the turbine wheel, wherein the transition between the conical region and the flat backwall region is described by an arc having a radius corresponding to at least 10% of the diameter of the turbine wheel, preferably at least 15% of the diameter of the wheel, most preferably between 20 and 30% of the diameter of the turbine wheel.
BRIEF DESCRIPTION OF THE DRAWINGS
The present invention is illustrated by way of example and not limitation in the accompanying drawings in which like reference numbers indicate similar parts, and in which:
FIG. 1 depicts a section of a typical rotating assembly;
FIG. 2 depicts a superback backwall that has not been modified in accordance with the invention; and
FIG. 3 depicts a rotating assembly with backwall modified according to the invention.
DETAILED DESCRIPTION OF THE INVENTION
A conventional turbine wheel ( 10 ) is shown in cross section in FIG. 1 . Between the backwall ( 13 ) of the wheel and the junction (A) between shaft ( 6 ) and wheel ( 10 ) is a journal or weld boss ( 17 ). The wheel is fused to a shaft ( 6 ) at junction (A) to form a shaft-and-wheel assembly which rotates about an axis ( 1 ).
Radial inlet flow turbine wheels can be classified into “scalloped backwall” (wherein some hub material is removed from between blades to reduce inertia of the turbine wheel) and “full backwall” (wherein no hub material is removed, providing greater efficiency). The additional material of the full backwall disk however causes elevated stress on the backface of the turbine. These increased stresses can cause a measurable reduction in the low cycle fatigue lifetime, reducing the lifetime below that required in a typical commercial diesel application. The present invention provides the greatest benefit to the full backwall turbine wheel, but can also be applied to scalloped backwall turbine wheels.
The invention can also be applied to mixed flow (wherein flow impinges the turbine wheel radial and axial) turbine in which the backwall and hub does not extend all the way to the tip diameter.
File FIG. 1 shows a scalloped back turbine wheel, the upper half of FIG. 1 is a cross section at a point where the backwall is full, thus could represent a fullback. The lower half of FIG. 1 shows a cross section through the scalloped area.
A turbine wheel can be identified as a “superback” in accordance with the present invention if the backwall reinforcement is designed based on the principle of a cone (with surface in cross section defined by a line) rather than a bell (with cross section forming a continuous curve). More specifically, viewed in cross section, an extended line along the conventional planar region of the turbine wheel backwall is defined as line L 1 . The conical reinforced section of the backwall is defined by a second line L 2 . The shaft axis defines a third line. To be a superback, the length of the side of the triangle along the shaft axis must be at least 2%, preferably 2-10%, most preferably 3-6% of the diameter of the turbine wheel.
Line L 2 intersects L 1 at a point between 50% and 90%, preferably between 55% and 75%, most preferably between 60% and 70% of the way from shaft axis to wheel outer diameter.
In accordance with the present invention, the line L 2 transitions into line L 1 along an arc having a radius corresponding to at least 10% of the diameter of the turbine wheel, preferably at least 15% of the diameter of the wheel, most preferably between 20 and 30% of the diameter of the wheel.
Turning back to FIG. 1 , blades ( 5 ) are provided on the hub away from the backwall ( 13 ). It is apparent that the backwall is substantially planar, with no reinforcing conical section characteristic of the inventive superback design.
FIG. 2 shows a superback backwall that has not been modified in accordance with the present invention. The transition between L 1 and L 2 is defined by an arc with radius having a length of less than 5 % of the diameter of the backwall.
FIG. 3 shows schematically the triangle formed by the three lines ( 1 ), L 1 and L 2 . FIG. 3 differs from FIG. 2 in that line L 1 transitions into line L 2 along an arc with a radius corresponding to at least 10% and at most 40% of the diameter of the turbine wheel, preferably at least 15% and at most 35% of the diameter of the turbine wheel, most preferably 20-30% of the diameter of the turbine wheel.
The minimum amount of “flat” backwall corresponding to line L 1 is the amount that will provide a surface for balancing operations.
Optionally, the turbine wheel may have a datum ring cast into the backface of the turbine wheel. The axially projecting surface of the datum ring, facing away from the turbine wheel blades, is used geometrically to axially locate the rotating assembly aerodynamics (compressor and turbine wheels) in the desired place in the compressor cover and turbine housing, so it is a critical surface. However, the inventive turbine wheel does not require a datum ring.
Now that the invention has been described, | Turbocharger turbine wheels are designed to accelerate rapidly and to rotate at very high RPM. A turbine wheel is provided with improved low cycle fatigue resistance. The wheel can be balanced by conventional methods. | 10,950 |
CROSS-REFERENCE TO RELATED APPLICATION
This application is based on and claims the benefit of priority from prior Japanese Patent Application No. 2006-348870, filed on Dec. 26, 2006, the entire contents of which are incorporated herein by reference.
FIELD OF THE INVENTION
The present invention relates to a semiconductor memory device, and more particularly to a DRAM (dynamic random access memory).
BACKGROUND OF THE INVENTION
There are various kinds of commercially-available semiconductor memory devices. Memories with relatively larger capacity and lower power consumption include an SRAM (static random access memory). The SRAM has problems, however, because variations in threshold voltage result in unstable operation, and leakage current flowing in turned-off transistors increases power consumption.
On the other hand, semiconductor memory devices suitable for high integration include a DRAM. A method of forming a DRAM with multi-layered wiring for much higher integration is disclosed in Japanese Patent Laying-open No. 2002-133892, which is incorporated herein by reference. The DRAM thus formed usually requires formation of capacitors. Since the capacitors needs processes different from a CMOS processes. Accordingly, it is difficult to manufacture the DRAM through CMOS process only.
Therefore, it is advantageous in a semiconductor memory device that a DRAM can be formed through a general CMOS process, and to provide a DRAM-combined semiconductor memory device manufacturable at a lower production cost.
SUMMARY OF THE INVENTION
In an aspect the present invention provides a semiconductor memory device, comprising: a memory cell array including a plurality of memory cells arranged at intersections of bit line pairs and word lines, wherein each of the memory cells includes a first transistor having one main electrode connected to a first bit line, a second transistor having one main electrode connected to a second bit line, a first node electrode for data-storage connected to the other main electrode of the first transistor, a second node electrode for data-storage connected to the other main electrode of the second transistor, and a shield electrode formed surrounding the first and second node electrodes, wherein the first transistor and the second transistor have respective gates both connected to an identical word line, wherein the first bit line and the second bit line are connected to an identical sense amp, wherein the first node electrode, the second node electrode, the first bit line, the second bit line, the word line and the shield electrode are isolated from each other using insulating films.
In another aspect the present invention provides a semiconductor memory device, comprising: a memory cell array including a plurality of memory cells arranged at intersections of bit line pairs and word lines, wherein each of the memory cells includes a transistor having one main electrode connected to one bit line of the bit line pair, a node electrode for data-storage connected to the other main electrode of the transistor, and a shield electrode formed surrounding the node electrode, wherein the transistor has a gate connected to the word line, wherein the bit line pair is connected to an identical sense amp, wherein the bit line pair, the word line, the node electrode and the shield electrode are isolated from each other using insulating films.
In another aspect the present invention provides a semiconductor memory device, comprising: a memory cell array including a plurality of memory cells arranged at intersections of bit line pairs and word lines, the memory cell including a first electrode layer containing a first transistor having one main electrode connected to a first bit line, a second transistor having one main electrode connected to a second bit line, a first node electrode connected to the other main electrode of the first transistor, and a second node electrode connected to the other main electrode of the second transistor, a second electrode layer formed on the first electrode layer and containing a third and a fourth node electrode connected via respective interlayer contact electrodes to the first and second node electrodes, and a power supply electrode surrounding the third and fourth node electrodes, a third electrode layer formed on the second electrode layer and containing a fifth and a sixth node electrode connected via respective interlayer contact electrodes to the third and fourth node electrodes, and an electrode surrounding the fifth and sixth node electrodes at least in part and serving as a word line, wherein the first transistor and the second transistor have respective gates both connected to an identical word line, wherein the first bit line and the second bit line are connected to an identical sense amp, wherein said first node electrode, said second node electrode, said third node electrode, said fourth node electrode, said fifth node electrode, said sixth node electrode, said bit lines, said power supply electrode, and said electrode serving as said word line are isolated from each other using insulating films.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a diagram showing a circuit of a semiconductor memory device in accordance with one embodiment.
FIG. 2 is a cross-sectional view of a memory cell in the semiconductor memory device in accordance with one embodiment taken in a direction vertical to a substrate.
FIG. 3 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with one embodiment taken in a direction vertical to the substrate.
FIG. 4 is a plan view of a semiconductor substrate for the memory cell in the semiconductor memory device in accordance with one embodiment.
FIG. 5 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with one embodiment taken in a direction parallel with FIG. 4 .
FIG. 6 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with one embodiment taken in a direction parallel with FIG. 4 .
FIG. 7 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with one embodiment taken in a direction parallel with FIG. 4 .
FIG. 8 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with one embodiment taken in a direction parallel with FIG. 4 .
FIG. 9 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with one embodiment taken in a direction parallel with FIG. 4 .
FIG. 10 is a surface arrangement diagram of a memory cell array in the semiconductor memory device in accordance with one embodiment.
FIG. 11 is a cross-sectional view of a memory cell in a semiconductor memory device in accordance with another embodiment taken in a direction vertical to a substrate.
FIG. 12 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with another embodiment taken in a direction vertical to the substrate.
FIG. 13 is a surface diagram of the memory cell in the semiconductor memory device in accordance with another embodiment.
FIG. 14 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with another embodiment taken in a direction parallel with FIG. 13 .
FIG. 15 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with another embodiment taken in a direction parallel with FIG. 13 .
FIG. 16 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with another embodiment taken in a direction parallel with FIG. 13 .
FIG. 17 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with another embodiment taken in a direction parallel with FIG. 13 .
FIG. 18 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with another embodiment taken in a direction parallel with FIG. 13 .
FIG. 19 is a surface arrangement diagram of a memory cell array in the semiconductor memory device in accordance with another embodiment.
FIG. 20 is a diagram showing a circuit of a semiconductor memory device in accordance with yet another embodiment.
FIG. 21 is a cross-sectional view of a memory cell in a semiconductor memory device in accordance with yet another embodiment taken in a direction vertical to a substrate.
FIG. 22 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with yet another embodiment taken in a direction vertical to the substrate.
FIG. 23 is a surface diagram of a semiconductor substrate for the memory cell in the semiconductor memory device in accordance with yet another embodiment.
FIG. 24 is a cross-sectional view ( 1 ) of the memory cell in the semiconductor memory device in accordance with yet another embodiment taken in a direction parallel with FIG. 23 .
FIG. 25 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with yet another embodiment taken in a direction parallel with FIG. 23 .
FIG. 26 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with yet another embodiment taken in a direction parallel with FIG. 23 .
FIG. 27 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with yet another embodiment taken in a direction parallel with FIG. 23 .
FIG. 28 is a cross-sectional view of the memory cell in the semiconductor memory device in accordance with yet another embodiment taken in a direction parallel with FIG. 23 .
FIG. 29 is a surface arrangement diagram of a memory cell array in the semiconductor memory device in accordance with yet another embodiment.
DETAILED DESCRIPTION OF THE EMBODIMENTS
One embodiment of the present invention will now be described below.
FIG. 1 shows a circuit diagram of memory cells in the present embodiment. A memory cell array in the present embodiment includes two types of complementary bit lines. The number of the bit lines is (N+1), respectively. Specifically, it includes bit lines BLtk, BLck (k=0-N). The number of word lines is (M+1). Specifically, it includes word lines WLj (j=0-M). The memory cells 11 in the present embodiment are formed in regions at intersections of the complementary bit lines BLtk, BLck (k=0-N) and the word lines WLj (j=0-M). For example, a memory cell 11 is formed in a region at an intersection of complementary bit lines BLt 0 , BLc 0 and a word line WL 0 as shown in FIG. 1 .
A memory cell 11 includes two N-type MOS transistors T 1 , T 2 and three capacitors C 1 , C 2 , C 3 . The N-type MOS transistor T 1 has a source connected to the bit line BLt 0 , and the N-type MOS transistor T 2 has a source connected to the bit line BLc 0 . The N-type MOS transistor T 1 and the N-type MOS transistor T 2 have respective gates, which are both connected to the word line WL 0 .
The N-type MOS transistor T 1 and the N-type MOS transistor T 2 have respective drains, between which both electrodes of the capacitor C 1 are connected. In addition, the drain of the N-type MOS transistor T 1 is connected to the capacitor C 2 . And the drain of the N-type MOS transistor T 2 is connected to the capacitor C 3 . Thus, the connection region between the drain of the N-type MOS transistor T 1 and the capacitor C 2 forms a data-storage node SNt. The connection region between the drain of the N-type MOS transistor T 2 and the capacitor C 3 forms a data-storage node SNc. The complementary bit lines BLt 0 , BLc 0 are connected to a sense amp (SA) 12 , which can read out stored information.
FIGS. 2-9 show a specific structure of the memory cell 11 for one bit shown in FIG. 1 . FIGS. 2 and 3 are cross-sectional views taken in a direction vertical to a semiconductor substrate 21 . FIG. 2 is a cross-sectional view taken vertical to the semiconductor substrate 21 along the line 3 A- 3 B. FIG. 3 is also a cross-sectional view taken along the line 3 A- 3 B but has an angle of 90 degrees from the cross-sectional view of FIG. 2 . FIGS. 4-9 are cross-sectional views taken in a direction parallel with the semiconductor substrate 21 . Namely, they are cross-sectional views vertical to the sections of FIGS. 2 and 3 . FIG. 4 is a cross-sectional view taken along the line 4 A- 4 B in FIG. 2 and the line 4 C- 4 D in FIG. 3 . FIG. 5 is a cross-sectional view taken along the line 5 A- 5 B in FIG. 2 and the line 5 C- 5 D in FIG. 3 . FIG. 6 is a cross-sectional view taken along the line 6 A- 6 B in FIG. 2 and the line 6 C- 6 D in FIG. 3 . FIG. 7 is a cross-sectional view taken along the line 7 A- 7 B in FIG. 2 and the line 7 C- 7 D in FIG. 3 . FIG. 8 is a cross-sectional view taken along the line 8 A- 8 B in FIG. 2 and the line 9 C- 9 D in FIG. 3 .
The present embodiment is directed to a semiconductor memory device having a multi-layered structure, which includes interlayer insulators 101 formed on the surface of the semiconductor substrate 21 , and wiring patterns serving as electrodes formed between the interlayer insulators 101 three-dimensionally. This structure is described on the basis of FIGS. 2 and 3 , layer by layer to be formed, based on FIGS. 4-9 . A region surrounded by a dashed-chain line in the figures shows a memory cell region for one bit.
In the present embodiment, active regions 24 and 25 are formed in the semiconductor substrate 21 as shown in FIG. 4 . The active region 24 is used to form a source region, a drain region and a channel region (not shown) of the transistor T 1 . The active region 25 is used to form a source region, a drain region and a channel region (not shown) of the transistor T 2 . Electrodes are formed on these regions.
The semiconductor substrate 91 includes a device isolation layer (STI) 22 formed therein. The isolation layer 22 contributes to isolation between plural memory cells 11 and also contributes to isolation between the transistors T 1 and T 2 in one memory cell 11 . Further, the word line WL 0 is formed over the semiconductor substrate 21 and the isolation layer (STI) 22 formed in the surface thereof. Specifically, the word line WL 0 is formed on the channel region of the transistor T 1 in the active region 24 and on the channel region of the transistor T 2 in the active region 25 , with a gate insulator, not shown, interposed therebetween. The word line WL 0 serves as gate electrodes of the transistors T 1 and T 2 .
An interlayer insulator 101 is formed on the semiconductor substrate 21 , and an interlayer contact electrode 26 is formed through the interlayer insulator 101 down to the active region 24 used to form the transistor T 1 . The bit line BLt and the source region of the transistor T 1 formed in the active region 24 are connected to each other via the interlayer contact electrode 26 . The data-storage node SNt and the transistor T 1 are connected to each other via an interlayer contact electrode 27 . Similarly, an interlayer contact electrode 28 is formed through the interlayer insulator 101 down to the active region 25 used to form the transistor T 2 . The bit line BLc and the transistor T 2 are connected to each other via the interlayer contact electrode 28 . The data-storage node SNc and the transistor T 2 are connected to each other via an interlayer contact electrode 29 .
FIG. 5 is a cross-sectional view taken along the line 5 A- 5 B in FIG. 2 and the line 5 C- 5 D in FIG. 3 . In the section of FIG. 5 , an electrode BLtM 1 serving as the bit line BLt, an electrode BLcM 1 serving as the bit line BLc, an electrode SNtM 1 serving as the data-storage node SNt, and an electrode SNcM 1 serving as the data-storage node SNc are formed.
As described above, the electrode BLtM 1 serving as the bit line BLt is connected to the transistor T 1 via the interlayer contact electrode 26 , and the electrode SNtM 1 serving as the data-storage node SNt is connected to the transistor T 1 via the interlayer contact electrode 27 .
In addition, the electrode BLcM 1 serving as the bit line BLc is connected to the transistor T 3 via the interlayer contact electrode 28 , and the electrode SNcM 1 serving as the data-storage node SNc is connected to the transistor T 2 via the interlayer contact electrode 29 .
In the section of FIG. 5 , the electrode SNtM 1 serving as the data-storage node SNt, the electrode SNcM 1 serving as the data-storage node SNc, and the interlayer insulator 101 sandwiched between these two electrodes SNtM 1 and SNcM 1 form the capacitor C 1 .
In addition, the region sandwiched between the electrode SNtM 1 serving as the data-storage node SNt and the electrode BLtM 1 serving as the bit line BLt, and the interlayer insulator 101 sandwiched between the electrode SNtM 1 serving as the data-storage node SNt and the electrode BLcM 1 serving as the bit line BLc form the capacitor C 2 .
Further, the region sandwiched between the electrode SNcM 1 serving as the data-storage node SNc and the electrode BLtM 1 serving as the bit line BLt, and the interlayer insulator 101 sandwiched between the electrode SNcM 1 serving as the data-storage node SNc and the electrode BLcM 1 serving as the bit line BLc form the capacitor C 3 . An interlayer insulator 101 is formed over these electrodes BLtM 1 , BLcM 1 , SNtM 1 , SNcM 1 , and then electrode patterns in the next layer are formed thereon.
FIG. 6 is a cross-sectional view taken along the line 6 A- 6 B in FIG. 2 and the line 6 C- 6 D in FIG. 3 . In the section of FIG. 6 , an electrode VM 2 for supplying power, an electrode SNtM 2 serving as the data-storage node SNt, and an electrode SNcM 2 serving as the data-storage node SNc are formed. The electrode SNtM 2 serving as the data-storage node SNt is connected to the electrode SNtM 1 via an interlayer contact electrode 30 , and the electrode SNcM 2 serving as the data-storage node SNc is connected to the electrode SNcM 1 via an interlayer contact electrode 31 . The electrode VM 2 is formed in a closed-loop surrounding the two electrodes SNtM 2 and SNcM 2 .
In the section of FIG. 6 , the interlayer insulator 101 sandwiched between the electrode SNtM 2 serving as the data-storage node SNt and the electrode SNcM 2 serving as the data-storage node SNc forms the capacitor C 1 . In addition, the interlayer insulator 101 sandwiched between the electrode SNtM 2 serving as the data-storage node SNt and the electrode VM 2 for supplying power forms the capacitor C 2 . Further, the interlayer insulator 101 sandwiched between the electrode Scams serving as the data-storage node SNc and the electrode VM 2 for supplying power forms the capacitor C 3 . An interlayer insulator 101 is formed over these electrodes SNtM 2 , SNcM 2 , VM 2 , and then electrode patterns in the next layer ( FIG. 7 ) are formed.
FIG. 7 is across-sectional view taken along the line 7 A- 7 B in FIG. 2 and the line 7 C- 7 D in FIG. 3 . In this section, an electrode SLAM serving as the word line WL 0 , an electrode WL 1 M 3 serving as an adjacent word line WL 1 , an electrode SNtM 3 serving as the data-storage node SNt, and an electrode SNcM 3 serving as the data-storage node SNc are formed. The electrode SNtM 3 serving as the data-storage node SNt is connected to the electrode SNtM 2 via an interlayer contact electrode 32 . The electrode SNcM 3 serving as the data-storage node SNc is connected to the electrode SNtM 2 via an interlayer contact electrode 33 . The electrode WL 0 M 3 serving as the word line WL 0 and the electrode WL 1 M 3 serving as an adjacent word line WL 1 are formed surrounding the two nodes SNtM 3 , SNcM 3 .
In the section of FIG. 7 , the interlayer insulator 101 sandwiched between the electrode SNtM 3 serving as the data-storage node SNt and the electrode SNcM 3 serving as the data-storage node SNc forms the capacitor C 1 . In addition, the region sandwiched between the electrode SNtM 3 serving as the data-storage node SNt and the electrode WL 0 M 3 serving as the word line WL 0 , and the interlayer insulator 101 sandwiched between the electrode SNtM 3 serving as the data-storage node SNt and the electrode WL 1 M 3 serving as the word line WL 1 form the capacitor C 2 . Further, the region sandwiched between the electrode SNcM 3 serving as the data-storage node SNc and the electrode WL 0 M 3 serving as the word line WL 0 , and the interlayer insulator 101 sandwiched between the electrode SNcM 3 serving as the data-storage node SNc and the electrode WL 1 M 3 serving as the word line WL 1 form the capacitor C 3 . An interlayer insulator 101 is formed over these electrodes SNtM 3 , SNcM 3 , WL 0 M 3 , WL 1 M 3 , and then electrode patterns in the next layer ( FIG. 8 ) are formed.
FIG. 8 is a cross-sectional view taken along the line 8 A- 8 B in FIG. 2 and the line 8 C- 8 D in FIG. 3 . In the section of FIG. 8 , an electrode VM 4 for supplying power, an electrode SNtM 4 serving as the data-storage node SNt, and an electrode SNcM 4 serving as the data-storage node SNc are formed. The electrode SNtM 4 serving as the data-storage node SNt is connected to the electrode SNtM 3 via an interlayer contact electrode 34 , and the electrode SNcM 4 serving as the data-storage node SNc is connected to the electrode SNcM 3 via an interlayer contact electrode 35 . Although the present embodiment forms two interlayer contact electrodes, that is, the interlayer contact electrodes 34 and 35 , only one may be sufficient. By forming plural interlayer contact electrodes 34 and 35 , capacitive components formed between the interlayer contact electrodes 34 and 35 serves to increase the capacities of the capacitors C 1 , C 2 and C 3 . In this way, it is possible to additionally increase the capacities of the capacitors C 1 , C 2 and C 3 . The electrode VM 4 is formed in a closed-loop surrounding the two electrodes SNtM 4 and SNcM 4 .
In the section of FIG. 8 , the interlayer insulator 101 sandwiched between the electrode SNtM 4 serving as the data-storage node SNt and the electrode SNcM 4 serving as the data-storage node SNc forms the capacitor C 1 .
In addition, the interlayer insulator 101 sandwiched between the electrode SNtM 4 serving as the data-storage node SNt and the electrode VM 4 for supplying power forms the capacitor C 2 . Further, the interlayer insulator 101 sandwiched between the electrode SNcM 4 serving as the data-storage node SNc and the electrode VM 4 for supplying power forms the capacitor C 3 . An interlayer insulator 101 is formed over these electrodes, and then electrode patterns in the next layer ( FIG. 9 ) are formed.
FIG. 9 is a cross-sectional view taken along the line 9 A- 9 B in FIG. 2 and the line 9 C- 9 D in FIG. 3 . In this section, an electrode VM 5 for supplying power, an electrode SNtM 5 serving as the data-storage node SNt, and an electrode SNcM 5 serving as the data-storage node SNc are formed. The electrode SNtM 5 serving as the data-storage node SNt is connected to the electrode SNtM 4 via an interlayer contact electrode 36 , and the electrode SNcM 5 serving as the data-storage node SNc is connected to the electrode SNcM 4 via an interlayer contact electrode 37 . The electrode VM 5 is connected to the electrode VM 4 via an interlayer contact electrode 38 . The electrode VM 5 is formed in a closed-loop surrounding the two electrodes SNtM 5 and SNcM 5 .
Although the present embodiment forms a plurality of the interlayer contact electrodes 36 , 37 and 38 , only one may be sufficient. If a plurality of the interlayer contact electrodes 36 , 37 and 38 are formed, capacitive components formed between the interlayer contact electrodes contribute for increasing capacities of the capacitors C 1 , C 2 and C 3 to additionally increase the capacities of the capacitors C 1 , C 2 and C 3 .
In the section of FIG. 9 , the interlayer insulator 101 sandwiched between the electrode SNtM 5 serving as the data-storage node SNt and the electrode SNcM 5 serving as the data-storage node SNc forms the capacitor C 1 . In addition, the interlayer insulator 101 sandwiched between the electrode SNtM 5 serving as the data-storage node SNt and the electrode VM 5 for supplying power forms the capacitor C 2 . Further, the interlayer insulator 101 sandwiched between the electrode SNcM 5 serving as the data-storage node SNc and the electrode VM 5 for supplying power forms the capacitor C 3 .
Although not shown, through formation of an interlayer insulator on the top surface of the three-dimensionally structured memory cell thus formed, and then a metal film thereon, an additional increase in capacity can be achieved. For the bit lines BLtk (k=0-N) and BLck (k=0-N), formation of paired bit lines as intersecting makes it possible to suppress noises between the bit lines. It is also possible to prevent a phenomenon in which bit lines have uneven capacities due to alignment and so forth during exposure on production.
In the present embodiment, the memory cell 11 is surrounded by the electrodes VM 2 , VM 4 , and VM 5 for forming power supplies. The electrodes are not limited to such the electrodes but rather may include those other than for power supplies so long as they can increase the capacities of the capacitors C 1 , C 2 , and C 3 .
FIG. 10 shows an arrangement of a memory cell array including the memory cells 11 formed therein in the present embodiment superimposing FIG. 4 on FIG. 5 . The memory cells 11 are formed two-dimensionally. In each of the memory cells 11 , the transistors T 1 , T 2 are formed in the active regions 24 and 25 .
The interlayer insulators 101 sandwiched between the electrodes BLtM 1 , BLcM 1 , SNtM 1 , and SNcM 1 form the capacitors C 1 , C 2 , and C 3 . Three-dimensional formation of the two-dimensionally formed memory cells 11 allows the interlayer insulators 101 sandwiched between the electrodes in the upper and lower layers to form the capacitors C 1 , C 2 , and C 3 . As a result, the total capacity of the whole memory cells becomes sufficient for DRAM operation. In a usual CMOS process, a silicon oxide (such as SiO 2 ) having a relative permittivity of 5 or below is used as the interlayer insulator for a reduction in parasitic capacity. Even in such the case, the memory cells three-dimensionally structured in accordance with the present embodiment make it possible to ensure necessary and sufficient capacities for DRAM operation.
The present embodiment allows the interlayer insulators to be used as capacitors in a DRAM. As a result, the usual CMOS process can be used to obtain a DRAM having a cell area equal to 60% or below of that of the SRAM.
A second embodiment is directed to the memory cell 11 having the circuitry shown in FIG. 1 and relates to an additionally space-reduced, three-dimensionally structured memory cell.
FIGS. 11-18 show a specific structure of the memory cell 11 for one bit shown in FIG. 1 . FIGS. 11 and 12 are cross-sectional views taken in a direction vertical to a semiconductor substrate 121 . FIG. 11 is a cross-sectional view taken vertical to the semiconductor substrate 121 along the line 12 A- 12 B. FIG. 12 is also a cross-sectional view taken along the line 12 A- 12 B but has an angle of 90 degrees from the cross-sectional view of FIG. 11 . FIGS. 13-18 are cross-sectional views taken in a direction parallel with the semiconductor substrate 121 . Namely, they are cross-sectional views vertical to the sections of FIGS. 11 and 12 . FIG. 13 is a cross-sectional view taken along the line 13 A- 13 B in FIG. 11 and the line 13 C- 13 D in FIG. 12 . FIG. 14 is a cross-sectional view taken along the line 14 A- 14 B in FIG. 11 and the line 14 C- 14 D in FIG. 12 . FIG. 15 is a cross-sectional view taken along the line 15 A- 15 B in FIG. 11 and the line 15 C- 15 D in FIG. 12 . FIG. 16 is a cross-sectional view taken along the line 16 A- 16 B in FIG. 11 and the line 16 C- 16 D in FIG. 12 . FIG. 17 is a cross-sectional view taken along the line 17 A- 17 B in FIG. 11 and the line 17 C- 17 D in FIG. 12 . FIG. 18 is a cross-sectional view taken along the line 18 A- 18 B in FIG. 11 and the line 18 C- 18 D in FIG. 12 .
The present embodiment is directed to a semiconductor memory device having a multi-layered structure, which includes interlayer insulators 101 formed on the surface of the semiconductor substrate 121 , and wiring patterns serving as electrodes formed between the interlayer insulators 101 three-dimensionally. This structure is described on the basis of FIGS. 11 and 12 , layer by layer to be formed, based on FIGS. 13-18 . A region surrounded by a dashed-chain line in the figures shows a memory cell region for one bit.
In the present embodiment, active regions 124 and 125 are formed in the semiconductor substrate 121 as shown in FIG. 13 . The active region 124 is used to form a source region, a drain region and a channel region (not shown) of the transistor T 1 therein. The active region 125 is used to form a source region, a drain region and a channel region (not shown) of the transistor T 2 therein.
The semiconductor substrate 121 includes a device isolation layer (STI) 122 formed therein. The isolation layer 122 contributes to isolation between plural memory cells 11 and also contributes to isolation between the transistors T 1 and T 2 in one memory cell 11 . Further, the word line WL 0 is formed over the semiconductor substrate 121 and the isolation layer (STI) 122 formed in the surface thereof. Specifically, the word line WL 0 is formed on the channel region of the transistor T 1 in the active region 124 and on the channel region of the transistor T 2 in the active region 125 , with a gate insulator, not shown, interposed therebetween. The word line WL 0 serves as gate electrodes of the transistors T 1 , T 2 .
An interlayer insulator 101 is formed on the semiconductor substrate 121 , and an interlayer contact electrode 126 is formed through the interlayer insulator 101 down to the active region 124 used to form the transistor T 1 . The bit line BLt and the source region of the transistor T 1 formed in the active region 124 are connected to each other via the interlayer contact electrode 126 . The data-storage node SNt and the transistor T 1 are connected to each other via an interlayer contact electrode 127 . Similarly, an interlayer contact electrode 128 is formed through the interlayer insulator 101 down to the active region 125 used to form the transistor T 2 . The bit line BLc and the transistor T 2 are connected to each other via the interlayer contact electrode 128 . The data-storage node SNt and the transistor T 2 are connected to each other via an interlayer contact electrode 129 .
FIG. 14 is a cross-sectional view taken along the line 14 A- 14 B in FIG. 11 and the line 14 C- 14 D in FIG. 12 . In the section of FIG. 14 , an electrode BLtM 1 serving as the bit line BLt, an electrode BLcM 1 serving as the bit line BLc, an electrode SNtM 1 serving as the data-storage node SNt, and an electrode SNcM 1 serving as the data-storage node SNc are formed.
As described above, the electrode BLtM 1 serving as the bit line BLt is connected to the transistor T 1 via the interlayer contact electrode 126 , and the electrode SNtM 1 serving as the data-storage node SNt is connected to the transistor T 1 via the interlayer contact electrode 127 .
In addition, the electrode BLcM 1 serving as the bit line BLc is connected to the transistor T 1 via the interlayer contact electrode 128 , and the electrode SNcM 1 serving as the data-storage node SNc is connected to the transistor T 1 via the interlayer contact electrode 129 . The electrode BLtM 1 serving as the bit line BLt is connected to the transistor T 2 via the interlayer contact electrode 126 , and the electrode SNtM 1 serving as the data-storage node SNt is connected to the transistor T 2 via the interlayer contact electrode 127 .
FIG. 15 is a cross-sectional view taken along the line 15 A- 15 B in FIG. 11 and the line 15 C- 15 D in FIG. 12 . In the section of FIG. 15 , an electrode SNtM 2 serving as the data-storage node SNt, and an electrode SNcM 2 serving as the data-storage node SNc are formed.
As described above, the electrode SNcM 2 serving as the data-storage node SNc is connected to the electrode SNcM 1 via an interlayer contact electrode 131 , and the electrode SNtM 2 serving as the data-storage node SNt is connected to the electrode SNtM 1 via an interlayer contact electrode 130 .
In the section of FIG. 15 , the electrode SNtM 2 serving as the data-storage node SNt, the electrode SNcM 2 serving as the data-storage node SNc, and the interlayer insulator 101 sandwiched between these two electrodes SNtM 2 and SNcM 2 form the capacitor C 1 .
FIG. 16 is a cross-sectional view taken along the line 16 A- 16 B in FIG. 11 and the line 16 C- 16 D in FIG. 12 . In this section of FIG. 16 , an electrode WL 0 M 3 serving as the word line WL 0 , an electrode WL 1 M 3 serving as the word line WL 1 , an electrode SNtM 3 serving as the data-storage node SNt, and an electrode SNcM 3 serving as the data-storage node SNc are formed.
The electrode SNtM 3 serving as the data-storage node SNt is connected to the electrode SNtM 2 via an interlayer contact electrode 132 . The electrode SNcM 3 serving as the data-storage node SNc is connected to the electrode SNcM 2 via an interlayer contact electrode 133 . The electrode WL 0 M 3 serving as the word line WL 0 is formed surrounding the two electrodes SNtM 3 , SNcM 3 at least in part and, opposite to the electrode WL 0 M 3 , the electrode WL 1 M 3 serving as the word line WL 1 is formed surrounding the two electrodes SNtM 3 , SNcM 3 at least in part.
In the section of FIG. 16 , the interlayer insulator 101 sandwiched between the electrode SNtM 3 serving as the data-storage node SNt and the electrode SNcM 3 serving as the data-storage node SNc forms the capacitor C 1 . In addition, the interlayer insulator 101 sandwiched between the electrode SNtM 3 serving as the data-storage node SNt and the electrode WL 0 M 3 serving as the word line WL 0 forms the capacitor C 2 , and the interlayer insulator 101 sandwiched between the electrode SNtM 3 serving as the data-storage node SNt and the electrode WL 1 M 3 serving as the word line WL 1 forms the capacitor C 2 . Further, the interlayer insulator 101 sandwiched between the electrode SNcM 3 serving as the data-storage node SNc and the electrode WL 0 M 3 serving as the word line WL 0 forms the capacitor C 3 , and the interlayer insulator 101 sandwiched between the electrode SNcM 3 serving as the data-storage node SNc and the electrode WL 1 M 3 serving as the word line WL 1 forms the capacitor C 3 . An interlayer insulator 101 is formed over these electrodes SNcM 3 , SNtM 3 , WL 0 M 3 , and WL 1 M 3 , and then electrode patterns in the next layer ( FIG. 17 ) are formed.
FIG. 17 is a cross-sectional view taken along the line 17 A- 17 B in FIG. 11 and the line 17 C- 17 D in FIG. 12 . In the section of FIG. 17 , an electrode VM 4 for supplying power, an electrode SNtM 4 serving as the data-storage node SNt, and an electrode SNcM 4 serving as the data-storage node SNc are formed. The electrode SNtM 4 serving as the data-storage node SNt is connected to the electrode SNtM 3 via an interlayer contact electrode 134 , and the electrode SNcM 4 serving as the data-storage node SNc is connected to the electrode SNcM 3 via an interlayer contact electrode 135 . The electrode VM 4 is formed in a closed-loop surrounding the two electrodes SNtM 4 and SNcM 4 .
In the section of FIG. 17 , the interlayer insulator 101 sandwiched between the electrode SNtM 4 serving as the data-storage node SNt and the electrode SNcM 4 serving as the data-storage node SNc forms the capacitor C 1 . In addition, the interlayer insulator 101 sandwiched between the electrode SNtM 4 serving as the data-storage node SNt and the electrode VM 4 for supplying power forms the capacitor C 2 . Further, the interlayer insulator 101 sandwiched between the electrode SNcM 4 serving as the data-storage node SNc and the electrode VM 4 for supplying power forms the capacitor C 3 . An interlayer insulator 101 is formed over these electrodes SNcM 4 , SNtM 4 , VM 4 , and then electrode patterns in the next layer ( FIG. 18 ) are formed.
FIG. 18 is a cross-sectional view taken along the line 18 A- 18 B in FIG. 11 and the line 18 C- 18 D in FIG. 12 . In this section of FIG. 18 , an electrode VM 5 for supplying power, an electrode SNtM 5 serving as the data-storage node SNt, and an electrode SNcM 5 serving as the data-storage node SNc are formed. The electrode SNtM 5 serving as the data-storage node SNt is connected to the electrode SNtM 4 via an interlayer contact electrode 136 , and the electrode SNcM 5 serving as the data-storage node SNc is connected to the electrode SNcM 4 via an interlayer contact electrode 137 . The electrode VM 5 for supplying power is connected to the electrode VM 4 via an interlayer contact electrode 138 . The electrode VM 5 is formed in a closed-loop surrounding the two electrodes SNtM 5 and SNcM 5 .
Although the present embodiment forms a plurality of the interlayer contact electrodes 138 , only one may be sufficient. If the interlayer contact electrodes 138 are formed plural, capacitive components formed between the interlayer contact electrodes contribute to increases in capacity of the capacitors C 2 , C 3 to additionally increase the capacities of the capacitors C 2 , C 3 .
In the section of FIG. 18 , the interlayer insulator 101 sandwiched between the electrode SNtM 5 serving as the data-storage node SNt and the electrode SNcM 5 serving as the data-storage node SNc forms the capacitor C 1 . In addition, the interlayer insulator 101 sandwiched between the electrode SNtM 5 serving as the data-storage node SNt and the electrode VM 5 for supplying power forms the capacitor C 2 . Further, the interlayer insulator 101 sandwiched between the electrode SNcM 5 serving as the data-storage node SNc and the electrode VM 5 for supplying power forms the capacitor C 3 .
FIG. 19 shows an arrangement of a memory cell array including the memory cells 11 formed therein in the present embodiment superimposing FIG. 13 on FIG. 14 . The memory cells 11 are formed two-dimensionally. In each of the memory cells 11 , the transistors T 1 , T 2 are formed in the active regions 124 and 125 and the interlayer insulators 101 sandwiched between the electrodes BLtM 1 , BLcM 1 , SNtM 1 , and SNcM 1 form the capacitors C 1 , C 2 , and C 3 . Three-dimensional formation of the two-dimensionally formed memory cells 11 allows the interlayer insulators 101 sandwiched between the electrodes in the upper and lower layers to form the capacitors C 1 , C 2 , and C 3 . As a result, the total capacity of the whole memory cells becomes sufficient for DRAM operation. In a usual CMOS process, for a reduction in parasitic capacity, a silicon oxide (such as SiO 2 ) having a relative permittivity of 5 or below is used as the interlayer insulator. Even in such the case, the memory cells three-dimensionally structured in accordance with the present embodiment make it possible to ensure necessary and sufficient capacities for DRAM operation.
The present embodiment allows the interlayer insulators to be used as capacitors in a DRAM. As a result, the usual CMOS process can be used to obtain a DRAM having a cell area equal to 40-60% of that in the SRAM.
A third embodiment of the present invention is described next. The present embodiment relates to a DRAM that uses one transistor and one capacitor to configure a memory cell for one bit. FIG. 20 shows a circuit diagram of memory cells in the present embodiment. A memory cell array in the present embodiment includes two types of complementary bit lines. The number of the bit lines is (N+1), respectively. Specifically, it includes bit lines BLtk, BLck (k=0-N).
Word lines are provided. The number of word lines is M+1. Specifically, it includes word lines WLj (j=0-M). Further, dummy word lines DWL 0 , DWL 1 are provided.
The memory cells 211 in the present embodiment are formed in regions at intersections of the complementary bit lines BLtk, BLck (k=0-N) and the word lines WLj (j=0-M). Such the arrangement of the memory cells is called the folded bit-line arrangement. For example, a memory cell 211 is formed in a region at an intersection of complementary bit lines BLt 0 , BLc 0 and a word line WL 1 as shown in FIG. 20 . In addition, a dummy cell 213 is formed in a region at an intersection of the complementary bit lines BLt 0 , BLc 0 and the dummy word line DWL 1 .
A memory cell 211 includes an N-type MOS transistor T and a capacitor C. The N-type MOS transistor T has a source connected to the bit line BLt 0 . The N-type MOS transistor T has a gate connected to the word line WL 1 . The N-type MOS transistor T has a drain connected to the capacitor C. Thus, a data-storage node SNs is formed in the connection region between the drain of the N-type MOS transistor T and the capacitor C. The complementary bit lines BLt 0 and BLc 0 are connected to a sense amp (SA) 212 , which can read out stored information. Dummy cells 213 are formed in the regions at intersections of the complementary bit line BLtk or BLck (k=0-N), the dummy word line DWL 0 or DWL 1 , and lines EQL, VBL for supplying voltages required for driving the dummy cells.
FIGS. 21-28 show a specific structure of the memory cell 211 for one bit shown in FIG. 20 . FIGS. 21 and 22 are cross-sectional views taken in a direction vertical to a semiconductor substrate 221 . FIG. 21 is a cross-sectional view taken vertical to the semiconductor substrate 221 along the line 22 A- 22 B. FIG. 22 is also a cross-sectional view taken along the line 22 A- 22 B but has an angle of 90 degrees from the cross-sectional view of FIG. 21 . FIGS. 23-28 are cross-sectional views taken in a direction parallel with the semiconductor substrate 221 . Namely, they are cross-sectional views vertical to the sections of FIGS. 21 and 22 . FIG. 23 is a cross-sectional view taken along the line 23 A- 23 B in FIG. 21 and the line 23 C- 23 D in FIG. 22 . FIG. 24 is a cross-sectional view taken along the line 24 A- 24 B in FIG. 21 and the line 24 C- 24 D in FIG. 22 . FIG. 25 is a cross-sectional view taken along the line 25 A- 25 B in FIG. 21 and the line 25 C- 25 D in FIG. 22 . FIG. 26 is a cross-sectional view taken along the line 26 A- 26 B in FIG. 21 and the line 26 C- 26 D in FIG. 22 . FIG. 27 is a cross-sectional view taken along the line 27 A- 27 B in FIG. 21 and the line 27 C- 27 D in FIG. 22 . FIG. 28 is a cross-sectional view taken along the line 28 A- 28 B in FIG. 21 and the line 28 C- 28 D in FIG. 22 .
The present embodiment is directed to a semiconductor memory device having a multi-layered structure, which includes interlayer insulators 101 formed on the surface of the semiconductor substrate 221 , and wiring patterns serving as electrodes formed between the interlayer insulators 101 three-dimensionally. This structure is described on the basis of FIGS. 21 and 22 , layer by layer to be formed, based on FIGS. 23-28 . A region surrounded by a dashed-chain line in the figures shows a memory cell region for one bit.
In the present embodiment, an active region 224 is formed in the semiconductor substrate 221 as shown in FIG. 23 . The active region 224 is used to form a source region, a drain region and a channel region (not shown) of the transistor T therein.
The semiconductor substrate 221 includes a device isolation layer (STI) 222 formed therein. The isolation layer 222 contributes to isolation between plural memory cells 211 and also contributes to isolation between the memory cell 211 and the dummy cell 213 . Further, the word lines WL 0 , WL 1 are formed over the semiconductor substrate 221 and the isolation layer (STI) 222 formed in the surface thereof. Specifically, the word line WL 1 is formed on the channel region of the transistor T in the active region 224 with a gate insulator, not shown, interposed therebetween.
An interlayer insulator 101 is formed on the semiconductor substrate 221 , and an interlayer contact electrode 226 is formed through the interlayer insulator 101 down to the active region 224 used to form the transistor T therein. The bit line BLt and the transistor T are connected to each other via the interlayer contact electrode 226 . The data-storage node SNs and the transistor T are connected to each other via an interlayer contact electrode 227 .
FIG. 24 is a cross-sectional view taken along the line 24 A- 24 B in FIG. 21 and the line 24 C- 24 D in FIG. 22 . In the section of FIG. 24 , an electrode BLtM 1 serving as the bit line BLt, an electrode BLcM 1 serving as the bit line BLc, and an electrode SNsM 1 serving as the data-storage node SNs are formed. The electrode BLtM 1 serving as the bit line BLt is connected to the transistor T via the interlayer contact electrode 226 , and the electrode SNsM 1 serving as the data-storage node SNs is connected to the transistor T via the interlayer contact electrode 227 .
In the section of FIG. 24 , the interlayer insulator 101 sandwiched between the electrode SNsM 1 serving as the data-storage node SNs and the electrode BLtM 1 serving as the bit line BLt forms the capacitor C. In addition, the interlayer insulator 101 sandwiched between the electrode SNsM 1 serving as the data-storage node SNs and the electrode BLcM 1 serving as the bit line BLc forms the capacitor C. An interlayer insulator 101 is formed over these electrodes SNsM 1 , BLtM 1 , BLcM 1 , and then electrode patterns in the next layer ( FIG. 25 ) are formed.
FIG. 25 is a cross-sectional view taken along the line 25 A- 25 B in FIG. 21 and the line 25 C- 25 D in FIG. 22 . In this section of FIG. 25 , an electrode WL 0 M 2 serving as the word line WL 0 , an electrode WL 2 M 2 serving as a word line WL 2 , and an electrode SNsM 2 serving as the data-storage node SNs are formed. The electrode SNsM 2 serving as the data-storage node SNs is connected to the electrode SNsM 1 via an interlayer contact electrode 228 .
The electrode WL 0 M 2 serving as the word line WL 0 is formed surrounding the node SNsM 2 at least in part. In addition, opposite to the electrode WL 0 M 2 , the electrode WL 2 M 2 serving as the word line WL 2 is formed surrounding the node SNsM 2 at least in part.
In the section of FIG. 25 , the interlayer insulator 101 sandwiched between the electrode SNsM 2 serving as the data-storage node SNs and the electrode WL 0 M 2 serving as the word line WL 0 forms the capacitor C. In addition, the interlayer insulator 101 sandwiched between the electrode SNsM 2 serving as the data-storage node SNs and the electrode WL 2 M 2 serving as the word line WL 2 forms the capacitor C. An interlayer insulator 101 is formed over these electrodes SNsM 2 , WL 0 M 2 , WL 2 M 2 , and then electrode patterns in the next layer ( FIG. 26 ) are formed.
FIG. 26 is a cross-sectional view taken along the line 26 A- 26 B in FIG. 21 and the line 26 C- 26 D in FIG. 22 . In the section of FIG. 26 , an electrode WL 1 M 3 serving as the word line WL 1 , an electrode WL 3 M 3 serving as a word line WL 3 , an electrode SNsM 3 serving as the data-storage node SNs are formed. The electrode SNsM 3 serving as the data-storage node SNs is connected to the electrode SNsM 2 via an interlayer contact electrode 229 . The electrode WL 1 M 3 serving as the word line WL 1 is formed surrounding the electrode SNsM 3 in part. In addition, opposite to the electrode WL 1 M 3 , the electrode WL 3 M 3 serving as the word line WL 3 is formed surrounding the node SNsM 3 at least in part.
In the section of FIG. 26 , the interlayer insulator 101 sandwiched between the electrode SNsM 3 serving as the data-storage node SNs and the electrode WL 1 M 3 serving as the word line WL 1 forms the capacitor C. In addition, the interlayer insulator 101 sandwiched between the electrode SNsM 3 serving as the data-storage node SNs and the electrode WL 3 M 3 serving as the word line WL 3 forms the capacitor C. An interlayer insulator 101 is formed over these electrodes SNsM 3 , WL 1 M 3 , WL 3 M 3 , and then electrode patterns in the next layer ( FIG. 27 ) are formed.
FIG. 27 is a cross-sectional view taken along the line 27 A- 27 B in FIG. 21 and the line 27 C- 27 D in FIG. 22 . In the section of FIG. 27 , an electrode VM 4 for supplying power, and an electrode SNsM 4 serving as the data-storage node SNs are formed. The electrode SNsM 4 serving as the data-storage node SNs is connected to the electrode SNsM 3 via an interlayer contact electrode 230 . The electrode VM 4 is formed in a closed-loop surrounding the electrode SNsM 4 .
In the section of FIG. 27 , the interlayer insulator 101 sandwiched between the electrode SNsM 4 serving as the data-storage node SNs and the electrode VM 4 for supplying power forms the capacitor C. An interlayer insulator 101 is formed over these electrodes SNsM 4 , VM 4 , and then electrode patterns in the next layer ( FIG. 28 ) are formed.
FIG. 28 is a cross-sectional view taken along the line 28 A- 28 B in FIG. 21 and the line 28 C- 28 D in FIG. 22 . In this section of FIG. 28 , an electrode VM 5 for supplying power, and an electrode SNsM 5 serving as the data-storage node SNs are formed. The electrode SNsM 5 serving as the data-storage node SNs is connected to the electrode SNsM 4 via an interlayer contact electrode 231 . The electrode VM 5 for supplying power is connected to the electrode VM 4 via an interlayer contact electrode 232 . The electrode VM 5 is formed in a closed-loop surrounding the electrode SNsM 5 .
In the present embodiment the interlayer contact electrodes 232 are formed plural though only one may be sufficient. If the interlayer contact electrodes 232 are formed plural, capacitive components formed between the interlayer contact electrodes contribute to increases in capacity of the capacitor C to additionally increase the capacity.
In the section of FIG. 28 , the interlayer insulator 101 sandwiched between the electrode SNsM 5 serving as the data-storage node SNs and the electrode VM 5 for supplying power forms the capacitor C.
FIG. 29 shows an arrangement of a memory cell array including the memory cells 211 formed therein in the present embodiment superimposing FIG. 23 on FIG. 24 . The memory cell array is formed such that the memory cells 211 are alternately rotated 180 degrees in the direction vertical to the page and arranged laterally and longitudinally. The memory cells 211 are formed two-dimensionally. Each of the memory cells 211 includes the transistor T and the capacitor C formed in a respective active region 224 .
Three-dimensional formation of the two-dimensionally formed memory cell array allows the interlayer insulators 101 sandwiched between the electrodes in the upper and lower layers to form the capacitor C. As a result, the total capacity of the whole memory cells becomes sufficient for DRAM operation. In a usual CMOS process, for a reduction in parasitic capacity, a silicon oxide (such as SiO 2 ) having a relative permittivity of 5 or below is used as the interlayer insulator. Even in such the case, the memory cells three-dimensionally structured in accordance with the present embodiment make it possible to ensure necessary and sufficient capacities for DRAM operation.
The present embodiment allows the interlayer insulators to be used as the capacitor in a DRAM. As a result, the usual CMOS process can be used to obtain a DRAM having a cell area equal to 30-50% of that in the SRAM.
Several embodiments of the semiconductor memory device in accordance with the present invention have been described in detail above by way of example only. The present invention is not limited to the above embodiments but rather can be variously modified and varied without departing from the scope and spirit of the invention as recited in the appended claims as has been known by the skilled person in the art. | A memory cell array includes a plurality of memory cells arranged at intersections of bit line pairs and word lines. Each memory cell includes a first transistor having one main electrode connected to a first bit line, a second transistor having one main electrode connected to a second bit line, a first node electrode for data-storage connected to the other main electrode of the first transistor, a second node electrode for data-storage connected to the other main electrode of the second transistor, and a shield electrode formed surrounding the first and second node electrodes. The first and second transistors have respective gates both connected to an identical word line, and the first and second bit lines are connected to an identical sense amp. The first and second node electrodes, the first and second bit lines, the word line and the shield electrode are isolated from each other using insulating films. | 53,711 |
INTRODUCTION
[0001] Ventilator systems have long been used to provide supplemental oxygen support to patients. These ventilators typically comprise a source of pressurized oxygen which is fluidly connected to the patient through a conduit. In some systems, ventilators are designed to automatically adjust to changes in a patient's respiration. Care providers often rely on these automatic adjustments for proper patient care.
[0002] Further, other medical devices, such as a pulse oximeter, are also designed to automatically adjust or respond to changes in a patient. Care providers often rely on these automatic adjustments or responses for proper patient care as well.
[0003] Because medical devices, such as ventilators, often provide life sustaining functions, a malfunctioning medical device could cause serious problems in patient care. Accordingly, a system or method for checking the function of a medical device is desirable.
SUMMARY
[0004] This disclosure describes systems and methods for testing a medical device. The disclosure describes a novel approach determining if the ventilator system is functioning properly without having to connect the medical device to a patient.
[0005] In part, this disclosure describes a method for testing a ventilator system. The method includes performing the following steps:
[0006] a) sending simulation commands from a simulation system via a software module to a central processing unit on a ventilator system, thereby causing the central processing unit to generate response data and transmit the response data to a controller on the ventilator system;
[0007] b) sending an overwrite command that causes the software module to overwrite at least one of monitored data sent to the central processing unit from a breath delivery system and operator input with simulation data based on the simulation commands;
[0008] d) intercepting the response data, prior to delivery of the response data to the controller, from the central processing unit based on the simulation commands via the software module; and
[0009] e) rerouting the response data to the simulation system via the software module based on the simulation commands.
[0010] Yet another aspect of this disclosure describes a ventilator-testing device system that includes: a ventilator system and a testing device. The ventilator system includes:
a) a breath delivery system, the breath delivery system includes hardware components that control gas flow from a gas supply to a patient and control ventilator parameters; b) a central processing unit that generates commands for the breath delivery system in response to at least one of received data and operator input; and c) a software module, wherein the software module sends simulation data based on received simulation commands to the central processing unit instead of the monitored data sent by the breath delivery system to the central processing unit and receives the response data generated by the central processing unit in response to the simulation data. The hardware components include at least one sensor, the at least one sensor monitors at least one of patient data and breath delivery system data to form monitored data. The testing device includes: a) a ventilator electrical connection device that electrically connects a ventilator to the testing device; b) a controller on the testing device that interacts with the software module on the ventilator system and sends simulation commands to the software module via the ventilator electrical connection device; c) a ventilator system reader that receives response data from the software module generated by the ventilator system in response to the simulation commands, wherein the ventilator system generates the response data by analyzing simulation data generated in response to the simulation commands as if the simulation data were monitored data derived from the hardware within the ventilator system; and d) a compare module in communication with the ventilator system reader, the compare module compares the response data with expected ventilator system response data.
[0018] In yet another aspect, the disclosure describes system for simulating sensor data for testing a ventilator system that includes: means for sending simulation commands from a simulation system via a software module to a central processing unit on a ventilator system, thereby causing the central processing unit to generate response data and transmit the response data to a controller on the ventilator system; means for sending an overwrite command that causes the software module to overwrite at least one of monitored data sent to the central processing unit from a breath delivery system and operator input with simulation data based on the simulation commands; means for intercepting the response data, prior to delivery of the response data to the controller, from the central processing unit based on the simulation commands via the software module; and means for rerouting the response data to the simulation system via the software module based on the simulation commands.
[0019] In an additional aspect, the disclosure describes a computer-readable medium having computer-executable instructions for performing a method for simulating sensor data for testing a ventilator system. The method includes the following steps:
[0020] a) repeatedly sending simulation commands from a simulation system via a software module to a central processing unit on a ventilator system, thereby causing the central processing unit to generate response data and transmit the response data to a controller on the ventilator system;
[0021] b) repeatedly sending an overwrite command that causes the software module to overwrite at least one of monitored data sent to the central processing unit from a breath delivery system and operator input with simulation data based on the simulation commands;
[0022] c) repeatedly intercepting the response data, prior to delivery of the response data to the controller, from the central processing unit based on the simulation commands via the software module;
[0023] and
[0024] d) repeatedly rerouting the response data to the simulation system via the software module based on the simulation commands.
[0025] These and various other features as well as advantages which characterize the systems and methods described herein will be apparent from a reading of the following detailed description and a review of the associated drawings. Additional features are set forth in the description which follows, and in part will be apparent from the description, or may be learned by practice of the technology. The benefits and features of the technology will be realized and attained by the structure particularly pointed out in the written description and claims hereof as well as the appended drawings.
[0026] It is to be understood that both the foregoing general description and the following detailed description are exemplary and explanatory and are intended to provide further explanation of the technology as claimed.
BRIEF DESCRIPTION OF THE DRAWINGS
[0027] The following drawing figures, which form a part of this application, are illustrative of embodiments systems and methods described below and are not meant to limit the scope of the technology in any manner, which scope shall be based on the claims appended hereto.
[0028] FIG. 1 illustrates an embodiment of a ventilator-testing device system.
[0029] FIG. 2 illustrates an embodiment of a testing device.
[0030] FIG. 3 illustrates an embodiment of a simulation system.
[0031] FIG. 4 illustrates an embodiment of a method for testing a ventilator system.
[0032] FIG. 5 illustrates an embodiment of a method for testing a ventilator system.
DETAILED DESCRIPTION
[0033] Although the systems and method introduced above and discussed in detail below may be utilized on a variety of medical devices, the present disclosure will discuss the utilization of these systems and methods on a medical ventilator for use in providing ventilation support to a human patient. The reader will understand that the technology described in the context of a medical ventilator for human patients could be adapted for use with other systems such as ventilators for non-human patients and general gas transport systems.
[0034] Medical ventilators are used to provide a breathing gas to a patient who may otherwise be unable to breathe sufficiently. In modern medical facilities, pressurized air and oxygen sources are often available from wall outlets. Accordingly, ventilators may provide pressure regulating valves (or regulators) connected to centralized sources of pressurized air and pressurized oxygen. The regulating valves function to regulate flow so that respiratory gas having a desired concentration of oxygen is supplied to the patient at desired pressures and rates. Ventilators capable of operating independently of external sources of pressurized air are also available.
[0035] While operating a ventilator, it is desirable to monitor the rate at which breathing gas is supplied to the patient, to monitor the patient, and to monitor other ventilator features. This data may be gathered with sensors. Some ventilators utilize sensor data to change ventilation parameters and settings, such as changes in gas flow, pressure, timing, and other ventilator settings.
[0036] Ventilators often provide life sustaining treatment. Accordingly, systems and methods for testing ventilator function are desired to avoid maintenance issues or malfunctions from occurring during patient treatment. Previously, artificial lungs had been utilized to simulate desired patient breaths to test for proper ventilator response. However, the use of an artificial lung provides limited testing scenarios and little precision. Further, other testing methods require specific hardware changes within the ventilator or the use of additional expensive external electronics, which is costly and burdensome to the operator. Further, these previous systems were extremely expensive, limited to specific devices, and took years to develop. Accordingly, economical testing devices and methods as described herein, which provide more precise ventilator testing and allow for the testing of numerous ventilation scenarios on different types of ventilators, are desirable.
[0037] Those skilled in the art will recognize that the methods and systems of the present disclosure may be implemented in many manners and as such are not to be limited by the foregoing exemplary embodiments and examples. In other words, functional elements being performed by a single or multiple components, in various combinations of hardware and software or firmware, and individual functions, can be distributed among software applications at either the client or server level or both. In this regard, any number of the features of the different embodiments described herein may be combined into single or multiple embodiments, and alternate embodiments having fewer than or more than all of the features herein described are possible. Functionality may also be, in whole or in part, distributed among multiple components, in manners now known or to become known. Thus, myriad software/hardware/firmware combinations are possible in achieving the functions, features, interfaces and preferences described herein. Moreover, the scope of the present disclosure covers conventionally known manners for carrying out the described features and functions and interfaces, and those variations and modifications that may be made to the hardware or software or firmware components described herein as would be understood by those skilled in the art now and hereafter.
[0038] FIG. 1 illustrates a ventilator-testing device system 100 . The ventilator-testing device system 100 includes a medical ventilator 101 and a testing device 122 . The ventilator 101 includes a breath delivery system 110 (also referred to as a pressure generating system) for circulating breathing gases to and from a patient via a ventilation breathing circuit 112 , which couples the patient to the ventilator breathing circuit 112 via a physical patient interface. Breath delivery system 110 includes the hardware components for controlling the flow of gas from a gas supply to a patient and for controlling ventilator parameters. The ventilator parameters include any suitable ventilator parameters and/or settings for controlling the ventilation of a patient such as gas mixture, flow rate, pressure, tidal volume, inspiration time, and/or expiration time. This list is exemplary only and is not meant to limit the disclosure.
[0039] The breath delivery system 110 has at least one sensor 116 . The sensor 116 monitors at least one of patient data and breath delivery system data either or both of which may be referred to as monitored data. The patient data are received from monitoring the patient with a sensor, such as a heart rate sensor or cardiac monitor and/or an oximeter sensor. The breath delivery system data are received from a sensor on the medical ventilator monitoring ventilator parameters, such as a flow sensor and/or carbon dioxide sensor. Any sensor 116 for monitoring the patient or ventilator may be utilized by the ventilator 101 .
[0040] Breath delivery system 110 may be configured in a variety of ways. The breath delivery system 110 may include an expiratory module 115 coupled with an expiratory limb and an inspiratory module 114 coupled with an inspiratory limb. A compressor or another source or sources of pressurized gas (e.g., pressured air and/or oxygen controlled through the use of one or more gas regulators) may be coupled with the inspiratory module 114 to provide a source of pressurized breathing gas for ventilatory support via the inspiratory limb. Inspiratory module 114 and/or expiratory module 115 may further include gas regulators or valves for controlling the flow of gas through the ventilator breathing circuit 112 .
[0041] The breath delivery system 110 may include a variety of other hardware components, including sources for pressurized air and/or oxygen, mixing modules, valves, tubing, accumulators, filters, etc. as necessary depending on how the hardware is configured and the capabilities desired.
[0042] A ventilator controller 102 or a central processing unit (CPU) 102 communicates through a software module 120 with breath delivery system 110 and a graphical operator interface (GUI) 118 . GOI 118 may enable an operator to interact with the ventilator system 101 . The CPU 102 may include one or more processors 104 , memory 106 , storage 108 , and/or other components of the type commonly found in command and control computing devices.
[0043] The memory 106 is non-transitory or transitory computer-readable storage media that stores software that is executed by the processor and which controls the operation of the medical ventilator 101 . In an embodiment, the memory 106 comprises one or more solid-state storage devices such as flash memory chips. In an alternative embodiment, the memory 106 may be mass storage connected to the processor through a mass storage controller (not shown) and a communications bus (not shown). Although the description of non-transitory computer-readable media contained herein refers to a solid-state storage, it should be appreciated by those skilled in the art that non-transitory computer-readable storage media can be any available media that can be accessed by the processor. Non-transitory computer-readable storage media includes volatile and non-volatile, removable and non-removable media implemented in any method or technology for storage of information such as computer-readable instructions, data structures, program modules or other data. Non-transitory computer-readable storage media includes, but is not limited to, RAM, ROM, EPROM, EEPROM, flash memory or other solid state memory technology, CD-ROM, DVD, or other optical storage, magnetic cassettes, magnetic tape, magnetic disk storage or other magnetic storage devices, or any other medium which can be used to store the desired information and which can be accessed by the processor.
[0044] Ventilator 101 and/or breath delivery system 110 may change ventilator settings and parameters based on sensor readings in order to control the breathing assistance provided to the patient by the medical ventilator 101 . In an embodiment, the specific changes or commands are determined and sent by CPU 102 and are based on data monitored by the at least one sensor 116 (i.e., the monitored data) and/or inputs received from the graphical operator interface (GOI) 118 of the ventilator 101 . In one embodiment, the CPU 102 of the ventilator system 101 fills its internal buffers with analog samples, converts the samples to engineering units, and then continues to process the input (filtering the samples, for example).
[0045] Alternatively, CPU 102 may receive simulation commands from the testing device 122 . When interpreting/receiving simulation commands from the testing device 122 , CPU 102 processes the simulation commands as if it were the monitored data received from physical sensors, operator inputs from the GOI 118 , or sampled engineering values from the ventilator system 101 .
[0046] In one embodiment, just as the CPU 102 runs every 5 msec a pointer into the sent simulation commands would be incremented every 5 msec. In a further embodiment, exact values for the engineering units can be supplied for most parameters/channels in the simulation commands.
[0047] Certain advantages of the testing device 122 are that it does not necessarily require any hardware simulations or any additional external electronic device to function; therefore, the inaccuracy of devices such as a digital to analog (d/a) and analog to digital (a/d) converter may be reduced or eliminated.
[0048] In the depicted example, the ventilator 110 includes a graphical operator interface (GOI) 118 that includes a display that is touch-sensitive, enabling the GOI 118 to serve both as an input user interface and an output device. In an alternative embodiment, the GOI 118 receives input in addition to and/or solely from another means, such as keyboard, keypad and/or dial. In another embodiment, GOI 118 is merely an output device and does not receive operator information.
[0049] The software module 120 of the ventilator 101 is a layer of software on the ventilator 101 that communicates between CPU 102 and breath delivery system 110 and GOI 118 . Software module 120 receives the monitored data from sensor 116 and the operator inputs from the GOI 118 . Software module 120 selects to send on the monitored data received from the sensor 116 and the operator input received from the GOI 118 to CPU 102 or selects to overwrite the monitored data and the operator input based on simulated commands ands send simulated data to CPU 102 . Software module 120 can select to send simulation data from the simulation commands to CPU 102 even if no or only partial monitored data is received from sensor 116 and/or if no or only partial operator inputs are received from the GOI 118 . Accordingly, software module 120 , CPU 102 , and testing device 122 are capable of operating independently of GOI 118 and sensor 116 .
[0050] In one embodiment, the software module 120 receives the simulation commands from the testing device 122 electrically connected but separate from the ventilator 101 . In an embodiment, the simulation commands are selected or input by an operator. In another embodiment, the simulation commands are preset and preconfigured, such as in a test scenario designed to test one or more specific functions of the ventilator 101 .
[0051] If the software module 120 selects to send on the monitored data received from the sensor 116 and the operator input received from the GOI 118 , CPU 102 determines response data for the breath delivery system 110 and GOI 118 based on the monitored data and the operator input and then sends the response data to software module 120 for execution by the various hardware components of the breath delivery system 110 . As used herein the term “response data” includes any suitable instructions for the breath delivery system 110 and display information for the GOI 118 based on data received by the CPU 102 from the software module 120 . In one embodiment, the response data or instructions includes work of breathing, flow changes, gas mixture changes, alarm setting changes, breath type changes, modes changes, parameter setting changes, etc. This list is exemplary only and is not meant to limit the disclosure.
[0052] In one embodiment, software module 120 selects to send the response data to GOT 118 and breath delivery system 110 . In another embodiment, software module 120 selects to send the response data to GOI 118 , breath delivery system 110 , and testing device 122 . In an alternative embodiment, software module 120 selects to send the response data to testing device 122 and does not send at least some of the response data to GOI 118 and breath delivery system 110 .
[0053] If the software module 120 selects to send the response data on to GOI 118 and breath delivery system 110 , breath delivery system 110 may utilize the response data from the CPU 102 to change the ventilator parameters for ventilating the patient and GOI 118 may display the sent display information. If the software module 120 selects not to send the response data to GOI 118 and breath delivery system 110 , the GOI 118 and breath delivery system 110 continue to operate based on their current settings and/or modes without the response data. In a further embodiment, the software module 120 selects to send the response data to testing device 122 for evaluation.
[0054] In one embodiment, the testing device 122 determines if the actual response data are proper based on whether the response data are within an acceptable range or are the same as expected ventilator system response data. As used herein the term “expected ventilator system response data” is an appropriate ventilator response generated in the appropriate amount of time to the simulation data sent by the software module. The response data are appropriate or proper if the response data are within an acceptable range or are the same as the expected ventilator system response data. The response data are not proper if the response data are not within an acceptable range or are not the same as the expected ventilator system response data.
[0055] FIG. 2 illustrates one embodiment of a testing device 122 . In this embodiment, the testing device 122 includes a controller 202 , a ventilator electrical connection device 220 , a software module 210 , a ventilator system reader 216 , and a determination module 218 . In another embodiment, the testing device 122 further includes a pass-fail indicator 212 and/or a graphical user interface 224 . While FIG. 2 is directed to utilizing the testing device 122 on a ventilator system 101 , it is understood by a person of skill in the art that the testing device 122 can be adapted for testing any medical device that responds to received patient data and/or operator inputs, such as a pulse oximeter and a capnograph.
[0056] The testing device 122 automatically tests a ventilator system 101 to determine if the ventilator system 101 is functioning properly. The testing device 122 tests the functionality of the ventilator system 101 without utilizing an artificial lung or controlling pressure and flow monitored by the ventilator 101 and without making any hardware changes to the ventilator system 101 . Further, the testing device 122 does not require the use of any additional external electrical devices, such as d/a converter, an additional electrical interface, voltage converter, external sensors, emulation hardware, and an optical character recognition system. This list is exemplary only and is not meant to limit the disclosure.
[0057] The ventilator electrical connection device 220 electrically connects the testing device 122 to the ventilator system 101 . In one embodiment, the ventilator electrical connection device 220 electrically connects the controller 202 to the software module 120 of the ventilator system 101 . The ventilator electrical connection device 220 allows data, commands, instructions, and/or information (e.g. simulation commands and/or response data) to pass between the testing device 122 and the ventilator system 101 when the ventilator electrical connection device 220 is connected to ventilator system 101 .
[0058] In one embodiment, the ventilator electrical connection device 220 allows the testing device 122 to communicate with the ventilator system 101 over a wired network or a wireless network. In another embodiment, the ventilator electrical connection device 220 is a cable connecting two communication ports and may be any suitable connection, such as a USB cable or a wireless connection.
[0059] In one embodiment, a software module 210 of the testing device 122 interacts with a software module 120 on the ventilator 101 and sends simulation commands to the software module 120 on the ventilator system 101 via the ventilator electrical connection device 220 .
[0060] The software module 120 on the ventilator system 101 controls all communications between the CPU 202 and the testing device 122 , breath delivery system 110 , and/or the GOI 118 . The simulation commands may be any suitable data for testing the response of a ventilator 101 and/or CPU 202 to received sensor data, operator inputs, patient data, and/or ventilator setting and/or parameters. Accordingly, the simulation commands sent to the ventilator system 101 simulates actual received sensor data, operator inputs, patient data, and/or ventilator setting and/or parameters in the ventilator system 101 .
[0061] In one embodiment, the simulation commands sent by software module 210 on the testing device 122 simulate a breath parameter, an alarm setting, a power supply setting, a gas supply setting, compressor sensor readings, battery sensor readings, and/or oxygen sensor readings. In an embodiment, the breath parameter is intended to model the changes in pressure and flow resulting from a patient cough or hiccup. In another embodiment, the simulation commands sent by the software module 210 simulate power supply sensor readings and/or flow sensor readings. In one embodiment, the simulation commands simulate different ventilation scenarios, such as severe occlusion in the circuit, high exhaled flow, and/or out of range autozero pressures.
[0062] Ventilator system reader 216 records a ventilator system response to simulation commands as response data. In one embodiment, the software module 120 on ventilation system 101 sends the response data to the testing device 122 based on simulation commands sent from the software module 210 on the testing device 122 . In another embodiment, the software module 120 on ventilation system 101 sends the response data to the testing device 122 based on commands/instructions sent from the ventilation system reader 216 on the testing device 122 . In one embodiment, the response data or response instructions include work of breathing, flow changes, gas mixture changes, alarm setting changes, breath type changes, modes changes, and/or parameter setting changes data. Ventilator system reader 216 receives the response data via the ventilator electrical connection device 220 .
[0063] Determination module 218 determines if the ventilator system 101 is functioning properly after a predetermined amount of time, number of tests, or number of simulated breaths are recorded by the ventilator system reader 216 . The desired number of breaths may be selected by a user, input by a user, or predetermined and preprogrammed into the testing device 122 . The determination module 218 determines if the ventilator system 101 is functioning properly by comparing the response data to predetermined expected ventilator system response data for the simulation commands sent to the CPU 102 of the ventilator system 101 . The determination module 218 determines if the response data are proper based on whether the response data are within an acceptable range or are the same as the expected ventilator system response data.
[0064] If the determination module 218 determines that the response data are not the same as the expected ventilator system response data or are outside an acceptable range, the determination module 218 determines that the ventilator system 101 is not functioning properly. Accordingly, in this embodiment, a pass-fail indicator 212 notifies the user that the ventilator system 101 failed the test performed by the testing device 122 on the ventilator system 101 . If the determination module 218 determines that the response data are within an acceptable range or the same as the expected ventilator system response data, the determination module 218 determines that the ventilator system 101 is functioning properly. Accordingly, in this embodiment, the pass-fail indicator 212 notifies the user that the ventilator system 101 passed the test performed by the testing device 122 on the ventilator system 101 .
[0065] In another embodiment, the testing device 122 sends the appropriate simulation commands to the ventilator 101 to trigger any desired ventilator alarm. In this embodiment, the response data evaluated by the testing device 122 is the execution of an alarm by the ventilator 101 or the absence of an execution of an alarm by the ventilator 101 . Accordingly, in this embodiment, the expected ventilator system response data is the execution of an alarm within a predetermined amount of time. Therefore, in this embodiment, if the determination module 218 determines that the ventilator 101 did not execute an alarm in the predetermined amount of time in response to the simulation commands, the determination module 218 determines that the ventilator system 101 is not functioning properly. In this embodiment, if the determination module 218 determines that the ventilator 101 did execute an alarm within the predetermined amount of time in response to the simulation commands, the determination module 218 determines that the ventilator system 101 is functioning properly.
[0066] The determination module 218 may also perform more complicated analyses than the simple comparison. Any such analyses from which the response data may be validated or verified to determine the operating condition of the ventilator 101 are contemplated within this technology.
[0067] The pass-fail indicator 212 notifies the user/operator if the ventilator system passed or failed the performed test by using any suitable visual, audible, and/or vibrational notification. In one embodiment, the pass-fail indicator 212 is displayed on a display screen and may utilize text, icons, animation, and/or color. Notifications may also include email, text message or other electronic message alerts, hardcopy printouts or the like.
[0068] The controller 202 of the testing device 122 is electrically connected to or in communication with the software module 210 , ventilator system reader 216 , and the determination module 218 . Further, the controller 202 is electrically connected to or in communication with the ventilator electrical connection device 220 . In another embodiment, the controller 202 is electrically connected to or in communication with the pass-fail indicator 212 .
[0069] In one embodiment, the controller 202 controls the operation of the pass-fail indicator 212 . In another embodiment, the controller 202 controls the software module 210 , ventilator system reader 216 , and/or the determination module 218 . In an additional embodiment, the controller 202 monitors the software module 210 , ventilator system reader 216 , and/or the determination module 218 . Accordingly, the software module 210 , ventilator system reader 216 , and the determination module 218 may be located within the controller 202 as illustrated in FIG. 2 . In an alternative embodiment, not illustrated, the software module 210 , ventilator system reader 216 , and/or the determination module 218 are individual components of testing device 122 located separate from the controller 202 .
[0070] Controller 202 may include memory, one or more processors, storage, and/or other components of the type commonly found in command and control computing devices as previously described above.
[0071] In one embodiment, the testing device 122 includes a graphical user interface (GUI) 224 . The GUI 224 includes a display that is touch-sensitive, enabling the GUI 224 to serve both as an input user interface and an output device. In an alternative embodiment, the GUI 224 receives input in addition to and/or solely from another means, such as keyboard, keypad and/or dial. In another embodiment, GUI 224 is merely an output device and does not receive operator information.
[0072] The GUI 224 may display any desirable testing system information or data, such as the simulation commands sent to the ventilator system 101 . The GUI 224 may further display any desirable ventilator system data or information, such as the ventilator system response data. In one embodiment, the GUI 224 allows a user to input, select, and/or change the simulation commands. In another embodiment, the GUI 224 allows a user to input, select, and/or change ventilation scenarios, thereby causing the simulation commands to change accordingly. In a further embodiment, the GUI 224 displays the pass-fail indicator 212 . In one embodiment, the controller 202 is electrically connected to or in communication with the GUI 224 . In another embodiment, the controller 202 controls the GUI 224 .
[0073] FIG. 3 illustrates an embodiment of a simulation system 300 . In one embodiment, testing device 122 illustrated in FIG. 1 functions as the simulation system 300 . The simulation system 300 includes a controller 304 , a software module 306 , and a ventilator electrical connection device 310 . In one embodiment, simulation system 300 further includes a GUI 308 . While FIG. 3 is directed to use of the simulation system 300 on a ventilator system 101 , it is understood by a person of skill in the art that the simulation system 300 can be adapted for testing any medical device that responds to received patient data or operator inputs, such as a pulse oximeter and capnograph.
[0074] Controller 304 of the simulation system 300 is electrically connected to or in communication with the software module 306 , Further, controller 304 is electrically connected to or in communication with the ventilator electrical connection device 310 . In one embodiment, where the simulation system 300 includes a GUI 308 , the GUI 308 is electrically connected to or in communication with the controller 304 . In another embodiment, the controller controls the GUI 308 and/or the software module 306 . As illustrated in FIG. 3 , the software module 306 may be located within controller 304 . In an alternative embodiment, not shown, the software module 306 is a component separate from controller 304 . In one embodiment, controller 304 sends simulation commands/data to the ventilator system through a ventilator electrical connection device 310 .
[0075] In one embodiment, controller 304 receives response data from the ventilator system 101 . The controller 304 could further evaluate the received response data to determine if the ventilator system 101 is functioning properly as defined above. The controller 304 could further generate a pass indicator if the controller determines that the ventilator system 101 is functioning properly. Additionally, the controller 304 could generate a fail indicator if the controller determines that the ventilator system 101 is not functioning properly. In one embodiment, the pass indicator and/or fail indicator is any suitable visual, audio, and/or vibrational notification. In one embodiment, the generated pass indicator or fail indicator is displayed on GUI 308 , which may be substantially the same as the GUI 224 described above.
[0076] The simulation system 300 tests a ventilator system 101 to determine if the software on the ventilator system 101 is functioning properly. The simulation system 300 sends simulation commands to the software module 120 on the ventilation system 101 . Based on the received simulated commands software module 120 generates precise and/or complicated simulated data sent to the ventilator system 101 without connecting an artificial lung to the ventilator system 101 and/or without making any hardware changes to ventilator system 101 . Further, the simulation system 300 does not require the use of any additional external electrical devices, such as d/a converter, an additional electrical interface, voltage converter, emulation hardware, external sensors, and an optical character recognition system.
[0077] Software module 306 sends simulation commands to the software module 120 on the ventilator system 101 via the ventilator electrical connection device 310 when the ventilator electrical connection device 310 is connected to the ventilator system 101 .
[0078] As discussed above, the simulation commands, in one embodiment, may simulate patient breaths, coughs, hiccups, and/or any other event for which the performance of the ventilator or any of its subcomponents is to be analyzed. In another embodiment, the simulation commands simulate different ventilation scenarios, such as severe occlusion in the circuit, high exhaled flow, and out of range autozero pressures.
[0079] In another embodiment, the simulation system 300 sends a set of “instructions” (or data or commands) that are transmitted from a processor via a JTAG-like process as the simulation commands. This simulation commands or system instructions are sent by the simulation system 300 and are not JTAG operations, instead the controller 304 , in this embodiment of the simulation system 300 , uses JTAG to transmit instructions or the simulation commands to the module 120 running in the ventilation system 101 . As used herein “JTAG” stands for Joint Test Action Group. Background Debug Mode (BDM) and On-Chip Debugging (OCD); are debugging ports. The disclosure refers to a JTAG capability, even though the simulation system 300 may use BDM, OCD, Ethernet or any other known or later developed communication medium.
[0080] In one embodiment, typical analog simulation functions or ventilation scenarios of the simulation commands sent by the simulation system 300 are:
Simulate a pressure spike during inspiration (to trigger a High Ppeak or High Pvent alarm) Simulate out-of-range autozero pressures Simulate high exhaled flow during exhalation to prolong the Restricted phase of Exhalation Simulate low exhaled flow during exhalation to create low tidal volume alarms Simulate low pressure during exhalation to trigger an inspiration Simulate low pressure during inspiration to prolong a spontaneous inspiration Simulate low pressure during inspiration to create a Pcomp alarm Simulate pressures to cause or autoreset CIRCUIT DISCONNECT alarms Simulate high or low pressures during SEVERE OCCLUSION to shorten or prolong each breath Simulate high Pi, Pe pressures to test SEVERE OCCLUSION detection Simulate unstable pressures to prolong INSP PAUSE or EXP PAUSE maneuvers Simulate out-of-range values for all A/D channels to verify Background/Safety Net checks Simulate screen touch on button “set breath rate” Simulate knob rotation clockwise/counter clockwise by 5 clicks
[0095] In another embodiment, typical timing functions or simulation commands sent by the simulation system 300 are:
Wait for a specified time to elapse Wait for the start of inspiration or exhalation Wait for an autozero to begin Wait for the safety valve to be energized Calculate the frequency of LED flashing Calculate the frequency of watchdog strobe pulses
[0102] In an additional embodiment, simulation system 300 sends several digital outputs as simulation commands, such as:
Set a time tick (set a digital output and record the current time whenever the tick changes state) Simulate loss of air or O 2 gas supplies (by simulating the gas pressure switches) Simulate the presence or absence of the compressor (or simulate compressor failures) Set a digital output when the simulation queue becomes empty
[0107] In one embodiment, the simulation system 300 sends the following simulation commands (or instructions): Deliver a pressure spike in the middle of a simulated inspiration and verify (1) that the inspiration was truncated immediately, but (2) that the breath interval was unchanged. In another embodiment, the scripts in a script-batch file for the previous example include the following:
[0000] WT4_INSP (1) #Wait for inspiration to begin; TICK (1) #Record the current time; WT4_TIME (500) #Wait for 500 msec; SET_PRESS (PINSP, 60) #Create a 60 cmH2O pressure spike on Pi; WT4_EXH (0) #Wait for exhalation; TICK (0) #Record the current time; WT4_INSP (1) #Wait for inspiration to begin; and/or TICK (1) #Record the current time.
This list is exemplary only is not meant to be limiting.
[0108] In another embodiment, the simulation commands sent by the simulation system 300 are digital inputs and outputs. In one embodiment, the simulation system 300 latches the digital channels. In a further embodiment, the simulation commands sent by the simulation system 300 simulates current inputs with the same scheme that simulates voltage inputs.
[0109] The software module 306 includes a software component and a hardware component. The software component runs on the CPU 102 of the ventilator system 101 . The hardware component communicates between the CPU 102 of the ventilator system 101 and the controller 304 in the simulation system 300 .
[0110] In one embodiment, the hardware component is an Ethernet interface. In another embodiment, the hardware component is a JTAG hardware interface. In an additional embodiment, the simulation commands are sent to the software component on the CPU 102 via a JTAG interface and saved into simulation queues on the CPU 102 . In this embodiment, the simulation commands are a set of interpreter commands that are fetched and executed every 5 msec.
[0111] In one embodiment, the instructions/simulation commands sent by the simulation system 300 are interpreted in the CPU 102 and do not require any switchable circuitry or hardware. Previously utilized systems had the ability to simulate analog data, and to force the breath delivery system to sample either the real-world analog inputs or simulated inputs. However, these previous systems require a significant investment in hardware to perform these functions unlike the simulation system 300 . For example, unlike the simulation system 300 , some previous system required outputs to be sent through d/a converters to perform the simulations.
[0112] The software module 120 overwrites monitored data received from components of the ventilator system 101 with simulated data based on simulation commands from the software module 306 . The overwriting of monitored data by the software module 120 includes sending simulation data to the CPU 102 even in the absence of monitored data from the components of the ventilator system 101 . Accordingly, the CPU 102 generates instructions and/or data (i.e. response data) based on the simulation data from the simulation commands instead of monitored data from the ventilator system 101 .
[0113] In an alternative embodiment, the testing device 122 is directly integrated in the ventilator system 101 and is a not a separate component or system from the ventilation system 101 . In this embodiment, the testing device 122 would be a selectable mode on the ventilator system 101 for testing the ventilator system 101 .
[0114] FIG. 4 represents an embodiment of a method 400 for testing a ventilator system. While FIG. 4 is directed to a method of testing a ventilator system, it is understood by a person of skill in the art that this method of testing can be applied to any medical device that responds to received patient data or operator inputs, such as a pulse oximeter and capnograph. As illustrated, method 400 includes sending operation 402 . In the sending operation 402 , the simulation system transmits simulation commands from a testing device to a ventilator system. In one embodiment, the testing device is electrically connected to ventilator system.
[0115] Next, method 400 includes a receiving operation 404 . In receiving operation 404 , the testing device receives response data from the ventilator system. In one embodiment, the response data are generated by the CPU of the ventilator system. In another embodiment, the response data are sent via an electrical connection formed by a ventilator connection device between a testing device and a ventilation system. The response data includes commands, instruction, and/or data for operating the hardware of the ventilator system.
[0116] Further, method 400 includes a recording operation 406 . In the recording operation 406 , the simulation system records the response data onto the memory of the testing device. In one embodiment, the recording operation 406 is performed by a controller. In another embodiment, the recording operation 406 is performed by a recording module.
[0117] Method 400 also includes a comparing operation 408 . The ventilator system in comparing operation 408 compares the response data to the expected ventilator system response data. In one embodiment, method 400 may wait to perform comparing operation 408 until recording operation 406 has recorded a predetermined amount of data or the test scenario has completely run (i.e. a test scenario based on desired number of breaths).
[0118] Next, method 400 includes a determination operation 410 . In determination operation 410 , the ventilator system determines if the response data are proper based on whether the response data are within an acceptable range or are the same as expected ventilator system response data. If the determination operation 410 determines that the response data are not within an acceptable range or are not the same as the expected ventilator system response data, determination operation 410 determines that the ventilator system fails the simulation test performed by method 400 and the simulation system executes a fail notification 414 . Further, if the determination operation 410 determines that the response data are within an acceptable range or are the same as the expected ventilator system response data, determination operation 410 determines that the ventilator system passes the simulation test performed by method 400 and the simulation system executes a pass notification 412 . In one embodiment, the determination operation 412 is performed by a determination module. In another embodiment, the determination operation 412 is performed by a controller.
[0119] In one embodiment a pass-fail indicator on the testing device may perform the pass notification 412 and the fail notification 414 . The pass-fail indicator may be any suitable type of indicator for notifying a user of whether the ventilator system passed or failed the test performed by method 400 , such as an audio, visual, email, SMS text, and/or vibrating notification. In one embodiment, the indicator operation displays the fail notification if the determination operation 410 determines that the response data are not within an acceptable range or are not the same as the expected ventilator system response data. In the same or an alternative embodiment, the indicator operation displays a pass indicator if the determination operation 410 determines that the response data are within an acceptable range or are the same as the expected ventilator system response data.
[0120] In an additional embodiment, method 400 further includes a selection operation. In the selection operation of method 400 , the testing device receives a selection of user selectable simulation commands, such as simulated sensor readings, ventilation scenarios, ventilator settings, and/or ventilator parameters. Accordingly, in this embodiment, the operator of a testing device is provided with the option of selecting preconfigured simulated sensor readings, ventilation scenarios, ventilator settings, and/or ventilator parameters for the testing of the ventilation system by method 400 . This list exemplary only and is not meant to be limiting to the disclosure.
[0121] In another embodiment, method 400 includes a display operation. In the display operation of method 400 , the testing device displays any desirable testing device information or data. In an embodiment, the desirable testing device information or data includes the simulation commands being sent to the ventilator system. The display operation of method 400 may further display any desirable ventilator system data or information. In one embodiment, the desirable ventilator data or information includes ventilator system response data.
[0122] In one embodiment, method 400 is preformed or implemented by the testing device 122 or simulation system 300 as illustrated in FIGS. 1-3 and described above.
[0123] FIG. 5 represents an embodiment of a method 500 for testing a ventilator system. While FIG. 5 is directed to a method of testing a ventilator system, it is understood by a person of skill in the art that this method of testing can be applied to any medical device that responds to received patient data or operator inputs, such as a pulse oximeter and capnograph. As illustrated, method 500 includes a simulation commands send operation 504 . In the simulation commands send operation 504 , the simulation system transmits simulation data via the software module to the central processing unit on a ventilator system based on sent simulation commands, thereby causing the central processing unit to generate response data and transmit the response data to the software module on the ventilation system. In one embodiment, the software module on the ventilator system controls communication between a central processing unit and a breath delivery system on the ventilator system. Further, in this embodiment, the software module on the ventilator system may control communication between a central processing unit and a GOT on the ventilator system. In one embodiment, simulation commands send operation 504 is performed by a software module and/or controller on a testing device.
[0124] Further, method 500 includes an overwrite command send operation 506 . In the overwrite command send operation 506 , the simulation system sends a command to the software module on the ventilator system to overwrite monitored data from a breath delivery system and/or GOI on the ventilator system with the sent simulation commands. As used herein the phrase “overwrite monitored data” may include, in one embodiment, overwriting the monitored data, replacing the monitored data, not sending the monitored data, utilizing simulated data from simulation commands in the absence of monitor data, and any other suitable process for preventing the monitored data from reaching the CPU or from being processed/analyzed by the CPU. In one embodiment, overwrite command operation 508 is performed by a software module or controller on a testing device.
[0125] As illustrated, method 500 includes an intercept operation 508 . In the intercept operation 508 , the simulation system intercepts response data, such as commands and/or instructions, prior to delivery of the response data to the controller, from the central processing unit based on the simulation commands via the software module. As used herein, the phrase “intercepts response data” may include in one embodiment, any suitable process for controlling what response data, if any, is sent from the CPU of the ventilator system to the breath delivery system or the hardware of the ventilator system. In one embodiment, the intercept operation prevents the response data from being sent to the breath delivery system or hardware of the ventilation system. In another embodiment, the intercept operation sends the response data to the breath delivery system as well as to the simulation system.
[0126] Additionally, method 500 includes a reroute operation 510 . The simulation system in reroute operation 510 , reroutes the response data to the simulation system via the software module. In one embodiment, method 500 records the rerouted response data. In another embodiment, the response data is recorded by a ventilator system reader. In another embodiment, the response data is recorded by a controller.
[0127] In another embodiment, method 500 also includes a determination operation. In the determination operation, the simulation system determines if the rerouted response data are proper based on whether the response data are within an acceptable range or are the same as expected ventilator system response data. In one embodiment, method 500 may wait to perform the determination operation until intercept operation 506 has intercepted a predetermined amount of data or the test scenario has completely run, such as a desired number of breathes.
[0128] If the determination operation determines that the response data are not within an acceptable range or are not the same as the expected ventilator system response data, determination operation determines that the ventilator system fails the software test performed method 500 and the simulation system executes a fail notification operation. Further, if the determination operation determines that the response data are within an acceptable range or are the same as the expected ventilator system response data, determination operation determines that the ventilator system passes the software test being performed by method 500 and the simulation system executes a pass notification operation. In one embodiment, the determination operation of method 500 is performed by a determination module. In another embodiment, the determination operation of method 500 is performed by a controller.
[0129] In one embodiment of method 500 , a pass notification operation and a fail notification operation are performed by a pass-fail indicator on the simulation system. The pass-fail indicator notifies the user that the ventilator system being tested by the simulation system passed or failed the test. The pass-fail indicator may be any suitable type of indicator for notifying a user, such as a visual, an audio, an email, an SMS text, and/or a vibration notification. In one embodiment, the indicator displays a fail indicator if the determination operation determines that the response data are not within an acceptable range or are not the same as the expected ventilator system response data. In the same or an alternative embodiment, the indicator displays a pass indicator if the determination operation determines that the response data are within an acceptable range or are the same as the expected ventilator system response data.
[0130] In an additional embodiment, method 500 further includes a selection operation. In the selection operation of method 500 , the simulation system receives a selection of user selectable simulation commands from the graphical user interface of the simulation system. Accordingly, in this embodiment, the simulation system provides the user with an option to select the simulation commands sent to the ventilator system for software testing the ventilator system.
[0131] In another embodiment, method 500 includes a display operation. In the display operation of method 500 , the simulation system displays any desirable testing device information or data. In an embodiment, the desirable testing device information or data includes the simulation commands sent to the ventilator system. The display operation of method 500 may further display any desirable ventilator system data or information. In one embodiment, the desirable ventilator system data or information includes ventilator system response data to the simulated sensor data. In one embodiment, method 500 is preformed or implemented by the testing device 122 or simulation system 300 as illustrated in FIGS. 1-3 and described above.
[0132] In another embodiment, a computer-readable medium having computer-executable instructions for performing methods for testing a ventilator system and for software testing a ventilator system are disclosed. These methods include repeatedly performing the steps disclosed in method 400 and method 500 .
[0133] In an additional embodiment, method 400 and method 500 are performed by a ventilator system 101 that has the testing device 122 incorporated into the ventilation system 101 . Accordingly, this method is performed entirely by the ventilator system 101 itself and does not include a separate testing device 122 . In this embodiment, the simulation testing of the ventilator system 101 would be a selectable mode on the ventilator system 101 for testing the ventilator system 101 .
[0134] In another embodiment, a testing device is disclosed. The testing device includes means for sending simulation commands to a ventilator system via a testing device electrically connected to the ventilator system, means for receiving a ventilator system response to the simulation commands, means for recording the ventilator system response to the simulation commands as response data on the testing device, and means for comparing the response data to expected ventilator system response data. In one embodiment, the means for the testing device are illustrated in FIGS. 1-3 and described in the above description of FIGS. 1-3 . However, the means described above for FIGS. 1-3 and illustrated in FIGS. 1-3 are exemplary only and are not meant to be limiting.
[0135] In an additional embodiment, a simulation system is disclosed. The ventilator simulation includes means for sending simulation commands from a simulation system via an software module to a central processing unit on a ventilator system, thereby causing the central processing unit to generate response data and transmit the response data to a controller on the ventilator system, means for intercepting the response data, prior to delivery of the response data to the controller, from the central processing unit based on the simulation commands via the software module, means for sending an overwriting command that causes the software module to overwrite monitored data sent to the central processing unit from a breath delivery system with the simulation commands, and means for rerouting the response data to the simulation system via the software module. In one embodiment, the means for the simulation system are illustrated in FIGS. 1-3 and described in the above descriptions of FIGS. 1-3 . However, the means described above for FIGS. 1-3 are exemplary only and are not meant to be limiting.
EXAMPLES
Example 1
[0136] In this example, a testing device simulated a patient triggered breath after 200 ms from the start of a previous breath exhalation by utilizing the following commands:
[0000]
Command
Simulation Command
Description
simulate Value = PEEP − Psens − 3
Calculate required
pressure value
to simulate
waitevent
Wait for start
(SENSOR_EVENT_START_OF_EXH)
of exhalation
waittime (200)
Wait 200 ms
simulate
Set exhalation
(SENSOR_EXH_SIDE_PRESSURE_SENSOR,
side pressure
simulateValue)
sensor value to
the value
calculated earlier
waittime (1)
Wait 1 ms
stopsimulate
Stop simulation,
(SENSOR_EXH_SIDE_PRESSURE_SENSOR)
start sending
the actual
patient data to
the CPU
wait_for_breaths (“Assist”)
Wait for assist
breath generated
by the ventilator
in response to the
simulated low
pressure
[0137] The simulation commands sent by the testing device cause the software module to send data to the CPU that simulates sensor values that trick the ventilator into perceiving that a patient is trying to take a breath. The ventilator system in response to this type of a sensor reading should start a new breath of type “Assist”. If the ventilator does not start a new “Assist” breath, the ventilator is not functioning properly. However, in this example, the ventilator system did start a new breath. Accordingly, the ventilator system being tested was functioning properly.
Example 2
[0138] In this example, a testing device sent the following simulation commands to a ventilator software module as listed below:
[0000]
Simulation Command
Command Description
simulateuserclick
select Assist Control mode
(“AC_BUTTON”)
simulateusersetbuttonvalue
set tidal volume to 500 ml
(“TIDAL_VOLUME_BUTTON”, 500)
simulateuseruserclick
set Trigger Type: Pressure
(“TRIG_PRESSURE_BUTTON”)
simulateusersetbuttonvalue
set Breath Rate: 6 BPM
(“ID_RESP_RATE_BUTTON”, 6)
simulateusersetbuttonvalue
set PEEP: 5 cmH20
(“ID_PEEP_BUTTON”, 5)
wait_for_breaths (5)
wait for 5 breaths before
collecting response data
PeakPressure = get_value
receive peak pressure
(“PeakPressure”)
response data from the
ventilator
BreathRate = get_value
Receive breath rate response
(“BreathRate”)
data from the ventilator
TidalVolume = get_value
receive tidal volume
(“TidalVolume”)
response data from the
ventilator
[0139] The software module simulated GOI data based on the received simulation commands and sent the simulated data to the CPU. Additionally, the sent simulation commands from the testing device caused the software module to send data to the CPU to simulate different ventilation modes and setting changes, Further, the simulation commands from the testing device caused the software module to send the response data from the CPU to the testing device. The testing device then compared the received response data to expected ventilator response data. The expected ventilator response data utilized for this example is listed below:
A peak pressure between 20 and 30 cm H 2 O A breath rate between 3 and 7 bpm; and A tidal volume between 480 and 520 ml
The ventilator system being tested by the testing device sent response data within the ranges listed above. Accordingly, the ventilation system being tested by the testing device in this example passed the test performed by the testing device. The testing device displayed that the ventilation system passed the test or simulation performed by the testing device. If the response data was outside of the expected ventilator response data, the testing device would have found that the ventilator system failed the test performed by the testing device and would have displayed this failure.
[0143] Numerous other changes may be made which will readily suggest themselves to those skilled in the art and which are encompassed in the spirit of the disclosure and as defined in the appended claims. While various embodiments have been described for purposes of this disclosure, various changes and modifications may be made which are well within the scope of the present disclosure. Numerous changes may be made which will readily suggest themselves to those skilled in the art and which are encompassed in the spirit of the disclosure and as defined in the appended claims. | This disclosure describes systems and methods for testing a medical device. The disclosure describes a novel approach determining if the ventilator system is functioning properly without having to connect the medical device to a patient. | 69,524 |
RELATED APPLICATIONS
[0001] The present application claims the benefit of priority under 35 U.S.C. §119 to Korean Patent Application No. 2006-0060866 filed in Korea on Jun. 30, 2006, which is hereby incorporated by reference.
BACKGROUND
[0002] 1. Technical Field
[0003] The present disclosure relates to a liquid crystal display (LCD) device and more particularly to an array substrate having no wavy noise problem and an improved aperture ratio and a method of fabricating the array substrate.
[0004] 2. Description Of The Related Art
[0005] The conventional LCD devices use an optical anisotropic property and polarization properties of liquid crystal molecules to display images. The liquid crystal molecules have orientation characteristics of arrangement resulting from their thin and long shape. Thus, an arrangement direction of the liquid crystal molecules can be controlled by applying an electrical field to them. Accordingly, when the electric field is applied to them, the polarization properties of light are changed according to the arrangement of the liquid crystal molecules such that the LCD devices display images.
[0006] The LCD device includes a first substrate, a second substrate and a liquid crystal layer interposed therebetween. A common electrode and a pixel electrode are respectively formed on the first and second substrates. The first and second substrates may be referred to as a color substrate and an array substrate, respectively. The liquid crystal layer is driven by a vertical electric field induced between the common and pixel electrodes. The LCD device usually has excellent transmittance and aperture ratio.
[0007] Among the known types of LCD devices, active matrix LCD (AM-LCD) devices, which have thin film transistors (TFTs) arranged in a matrix form, are the subject of significant research and development because of their high resolution and superior ability in displaying moving images.
[0008] FIG. 1 is a schematic perspective view of an LCD device according to the related art. As shown in FIG. 1 , the LCD device 51 includes a first substrate 5 , a second substrate 10 and a liquid crystal layer (not shown) interposed therebetween. The first and second substrates 5 and 10 face and are spaced apart from each other. A black matrix 6 , a color filter layer, which includes sub-color filters 7 a , 7 b and 7 c , and a common electrode 9 are formed on the first substrate 5 . The black matrix 6 has a lattice pattern and blocks light through the second substrate 10 . Each of the sub-color filters 7 a , 7 b and 7 c has one of red R, green G and blue B colors. The sub-color filters 7 a , 7 b and 7 c are formed in the lattice patterns. The common electrode 9 of a transparent conductive material is formed on the black matrix 6 and the color filter layer 7 .
[0009] A gate line 14 and a data line 26 are formed on the second substrate 10 . The gate and data lines 14 and 26 cross each other such that a pixel region P is defined on the second substrate 10 . A thin film transistor (TFT) T is formed in the pixel region P. The TFT T is connected to the gate and data lines 14 and 26 . Although not shown, the TFT T includes a gate electrode, a semiconductor layer, a source electrode, and a drain electrode. The gate and source electrodes are connected to the gate line 14 and the data line 26 , respectively. The source electrode is spaced apart from the drain electrode. Moreover, a pixel electrode 32 is formed in the pixel region P. The pixel electrode 32 is connected to the TFT T. The pixel electrode 32 is formed of a transparent conductive material, such as indium-tin-oxide (ITO) and indium-zinc-oxide (IZO). As mentioned above, an electric field is induced between the common and pixel electrodes 9 and 32 to drive the liquid crystal layer (not shown).
[0010] Generally, the array substrate may be fabricated by one of a five mask process and a six mask process. The five mask process includes the following steps.
[0011] In a first mask process, the gate electrode and the gate line are formed on the second substrate. At the same time, a gate pad, which is formed at one end of the gate line, is formed on the second substrate. Then, a gate insulating layer is formed on the entire surface of the second substrate having the gate electrode and the gate line.
[0012] In a second mask process, the semiconductor layer, which includes an active layer and an ohmic contact layer, is formed on the gate insulating layer. The semiconductor layer corresponds to the gate electrode.
[0013] In a third mask process, the data line, the source electrode and the drain electrode are formed on the gate insulating layer and the semiconductor layer. The source and drain electrodes correspond to the semiconductor layer. At the same time, a data pad, which is disposed at one end of the data line, is formed on the gate insulating layer.
[0014] In a fourth mask process, a passivation layer having a drain contact hole is formed on the data line, the source electrode and the drain electrode. The drain contact hole exposes the drain electrode.
[0015] In a fifth mask process, the pixel electrode is formed on the passivation layer. The pixel electrode is connected to the drain electrode through the drain contact hole.
[0016] Since the array substrate is fabricated through a complicated mask process, a possibility of deterioration increases and production yield decreases. In addition, since fabrication time and cost increase, a competitiveness of product is weakened.
[0017] To resolve these problems in the five mask process, a four mask process is suggested.
[0018] FIG. 2 is a plane view of one pixel region of the array substrate fabricated by a four mask process according to the related art. As shown in FIG. 2 , the gate line 62 and the data line 98 are formed on the substrate 60 . The gate and data lines 62 and 98 cross each other such that the pixel region P is defined on the substrate 60 . The gate pad 66 is formed at one end of the gate line 62 . The data pad 99 is formed at one end of the data line 98 . A transparent gate pad terminal (GPT) is formed on the gate pad 66 . The gate pad terminal GPT contacts the gate pad 66 . A data pad terminal (DPT) of being transparent is formed on the data pad 99 . The data pad terminal DPT contacts the data pad 99 .
[0019] A TFT T including a gate electrode 64 , a first semiconductor layer 91 , a source electrode 94 and a drain electrode 96 is disposed at a crossing portion of the gate and data lines 62 and 98 . The gate electrode 64 is connected to the gate line 62 and the source electrode 94 is connected to the data line 98 . The source and drain electrodes 94 and 96 are spaced apart from each other on the first semiconductor layer 91 . A pixel electrode PXL is formed in the pixel region P and contacts the drain electrode 96 .
[0020] A metal layer 97 having an island shape and contacting the pixel electrode PXL overlaps a portion of the gate line 62 . The portion of the gate line 62 as a first storage electrode, the metal layer 97 as a second storage electrode and a gate insulating layer (not shown) between the first and second storage electrodes as a dielectric material constitute a storage capacitor Cst.
[0021] A second semiconductor layer 92 is formed under the data line 98 , and a third semiconductor layer 93 is formed under the metal layer 97 . Because the second semiconductor layer 92 extends from the first semiconductor layer 91 in the four mask process, the second semiconductor layer 92 has the same structure as the first semiconductor layer 91 . A portion of an active layer of the first semiconductor layer 91 is not covered by the gate electrode 64 and is exposed to light from a backlight unit (not shown) under the substrate 60 . And, a portion of an active layer of the second semiconductor layer 92 is not covered by the data line 98 and is exposed to ambient light. Namely, the active layer of the second semiconductor layer 92 protrudes beyond the data line 98 . Because the active layer of the first semiconductor layer 91 is formed of amorphous silicon, a photo leakage current is generated due to the light from the backlight unit. As a result, properties of the TFT T are degraded due to the photo leakage current. Moreover, because the active layer of the second semiconductor layer 92 is also formed of amorphous silicon, a leakage current is also generated in the second semiconductor layer 92 due to the ambient light. The light leakage current causes a coupling of signals in the data line 98 and the pixel electrode PXL to generate deterioration, such as a wavy noise, when displaying images. A black matrix (not shown) designed to cover the protruding portion of the second semiconductor layer 92 reduces aperture ratio of the LCD device.
[0022] FIGS. 3A and 3B are cross-sectional views taken along the line IIIa-IIIa and IIIb-IIIb of FIG. 2 , respectively. As shown in FIGS. 3A and 3B , the first semiconductor layer 91 is formed under the source and drain electrodes 94 and 96 and the second semiconductor layer 92 is formed under the data line 98 in an array substrate fabricated through a four mask process according to the related art. The second semiconductor layer 92 extends from the first semiconductor layer 91 .
[0023] The first semiconductor layer 91 includes an intrinsic amorphous silicon layer as an active layer 91 a and an impurity-doped amorphous silicon layer as an ohmic contact layer 91 b . The second semiconductor layer 92 includes an intrinsic amorphous silicon layer 92 a and an impurity-doped amorphous silicon layer 92 b.
[0024] Since the first semiconductor layer 91 is connected to the second semiconductor layer 92 , a portion of the active layer 91 a can not be completely covered by the gate electrode 64 . The portion of the active layer 91 a is exposed to light from the backlight unit (not shown), and thus a photo current is generated in the active layer 91 a. This photo current becomes a leakage current in the TFT T, which causes an abnormal leakage of voltage in the pixel region P. As a result, properties of the TFT T are degraded.
[0025] Further, the intrinsic amorphous silicon layer 92 a of the second semiconductor layer 92 under the data line 98 protrudes beyond the data line 98 . When the protruding portion of the intrinsic amorphous silicon layer 92 a is exposed to light from the backlight unit or an ambient light, it is repeatedly activated and inactivated, and thus a light leakage current is generated. Since the light leakage current is coupled with the signal in the pixel electrode PXL, arrangement of liquid crystal molecules is abnormally distorted. Accordingly, a wavy noise such as indesired waves shaped with thin lines are displayed in the LCD device occurs.
[0026] In one embodiment, a width of the data line is about 3.9 μm and the protruding portion of the active layer 92 a of the second semiconductor layer 92 is about 1.85 μm. Generally, a distance between the data line 98 and the pixel electrode PXL is about 4.5 μm in consideration of alignment error in an LCD device through a five or a six mask process. Accordingly, a distance D between the data line 98 and the pixel electrode PXL is about 6.35 μm due to the protrusion of the amorphous silicon layer 92 a.
[0027] Assume that a width of the black matrix BM and a width of the data line 98 are indicated as W 1 and W 2 , respectively, and a width of a protruding portion of the active layer 92 a of the second semiconductor layer 92 is indicated as D 1 . A distance between the data line and the pixel electrode PXL is indicated as D 2 , and a width considering the alignment error is indicated as D 3 . When the array substrate fabricated by the four mask process has the same distance D 2 as width D 3 considering the alignment error as the array substrate fabricated by the five mask process, the array substrate fabricated by the four mask process has a black matrix BM with a greater width W 1 . The increase in width W 1 corresponds to the excess width of the protruding portion of the active layer 92 a beyond the black matrix BM in the LCD device fabricated by the five mask. This difference in width W 1 is because the array substrate fabricated by the five mask process does not have the protruding portion of an active layer under a data line. The increase in the width of the black matrix BM reduces aperture ratio.
[0028] FIGS. 4A to 4G are cross-sectional views showing a fabrication process of a portion taken along the line IIIa-IIIa of FIG. 2 , FIGS. 5A to 5G are cross-sectional views showing a fabrication process of a portion taken along the line V-V of FIG. 2 , and FIGS. 6A to 6G are cross-sectional views showing a fabrication process a portion taken along the line VI-VI of FIG. 2 .
[0029] FIGS. 4A , 5 A and 6 A show a first mask process. As shown in FIGS. 4A , 5 A and 6 A, a gate line 62 , a gate pad 66 and a gate electrode 64 are formed on a substrate 60 having a pixel region P, a switching region S, a gate pad region GP, a data pad region DP and a storage region C through a first mask process. The gate pad 66 is formed at one end of the gate line 62 . The gate electrode 64 is connected to the gate line 62 and disposed in the switching region S. The gate pad 66 is disposed in the gate pad region GP. The gate line 62 , the gate pad 66 and the gate electrode 64 are formed by depositing and patterning a first metal layer (not shown) using a first mask (not shown) as a pattering mask. The first metal layer includes one or more selected from a conductive metallic material group including aluminum (Al), aluminum alloy (AlNd), tungsten (W), chromium (Cr), molybdenum (Mo). The first metal layer may have a double-layered structure.
[0030] FIGS. 4B to 4E , 5 B to 5 E and 6 B to 6 E show a second mask process. As shown in FIGS. 4B , 5 B and 6 B, a gate insulating layer 68 , an intrinsic amorphous silicon layer 70 , an impurity-doped amorphous silicon layer 72 and a second metal layer 74 are formed on the substrate 60 having the gate line 62 . The gate insulating layer 68 is formed of an inorganic insulating material or an organic insulating material. The inorganic insulating material may include one of silicon nitride and silicon oxide, and the organic insulating material may include one of benzocyclobuene (BCB) and acrylate resin. The second metal layer includes one or more selected from a conductive metallic material group including aluminum (Al), aluminum alloy (AlNd), tungsten (W), chromium (Cr), molybdenum (Mo). The second metal material may have a double-layered structure. A photoresist (PR) layer 76 is formed on the second metal layer 74 . A second mask M is disposed over the photoresist layer 76 . The second mask M has a transmitting portion B 1 , a blocking portion B 2 and a half-transmitting portion B 3 . The transmitting portion B 1 has a relatively high transmittance so that light through the transmitting portion B 1 can completely change the PR layer 76 chemically. The blocking portion B 2 shields light completely. The half-transmitting portion B 3 has a slit structure or a half-transmitting film so that intensity or transmittance of light through the half-transmitting portion B 3 can be lowered. As a result, a transmittance of the half-transmitting portion B 3 is smaller than that of the transmitting portion B 1 and is greater than that of the blocking portion B 2 .
[0031] The half-transmitting portion B 3 and the blocking portions B 2 at both sides of the half-transmitting portion B 3 correspond to the switching region S. The transmitting portion B 1 corresponds to the gate pad region GP and the pixel region P, and the blocking portion B 2 corresponds to the storage region C and the data pad region DP. The PR layer 76 is exposed to light through the second mask M.
[0032] Next, as shown in FIGS. 4C , 5 C and 6 C, first to third PR patterns 78 a, 78 b and 78 c are formed in the switching region S, the data pad region DP and the storage region C, respectively such that the second metal layer 74 is exposed by the first to third PR patterns 78 a , 78 b and 78 c. The first PR pattern 78 a has relatively low height in a center portion due to the half-transmitting portion B 3 of the second mask M. Then, the second metal layer 74 , the impurity-doped amorphous silicon layer 72 and the intrinsic amorphous silicon layer 70 are etched using the first to third PR patterns 78 a to 78 c as a mask.
[0033] The second metal layer 74 , the impurity-doped amorphous silicon layer 72 and the intrinsic amorphous silicon layer 70 are continuously or separately etched depending on the metallic material of the second metal layer 74 .
[0034] As shown in FIGS. 4D , 5 D and 6 D, first to third metal patterns 80 , 82 and 86 are formed under the first to third PR patterns 78 a , 78 b and 78 c , and first to third semiconductor patterns 90 a , 90 b and 90 c are formed under the first to third metal patterns 80 , 82 and 86 . The second metal pattern 82 extends from the first metal pattern 80 , and the third metal pattern 86 having an island shape is formed in the storage region C. The first to third semiconductor patterns 90 a , 90 b and 90 c include an intrinsic amorphous silicon pattern 70 a and an impurity-doped amorphous silicon pattern 72 a.
[0035] Next, the first to third PR patterns 78 a , 78 b and 78 c are ashed such that the thinner portion of the first PR pattern 78 a is removed to expose the first metal pattern 80 . At the same time, boundary portions of the first to third PR patterns 78 a , 78 b and 78 c are also removed. As a result, the first to third PR patterns 78 a to 78 c are partially removed to form fourth to sixth PR patterns 79 a , 79 b and 79 c exposing the first to third metal patterns 80 , 82 and 86 , respectively.
[0036] As shown in FIGS. 4E , 5 E and 6 E, the first to third metal patterns 80 , 82 and 86 and the impurity-doped amorphous silicon layer 72 a of the first to third semiconductor layers 90 a , 90 b and 90 c are etched using the fourth to sixth PR patterns 79 a to 79 c. The first metal pattern 80 (of FIG. 4D ) in the switching region S is etched to form source and drain electrodes 94 and 96 , the second metal pattern 82 (of FIG. 6D ) in the data pad region DP is etched to form a data line 98 and a data pad 99 , and the third metal pattern 86 (of FIG. 4D ) in the storage region C is etched to form a metal layer 97 . The intrinsic amorphous silicon layer 70 a (of FIG. 4D ) and the impurity-doped amorphous silicon layer 72 a (of FIG. 4D ) of the first semiconductor pattern 90 a (of FIG. 4D ) are etched to form an active layer 91 a and an ohmic contact layer 91 b, respectively.
[0037] The active layer 91 a and the ohmic contact layer 91 b constitute a first semiconductor layer 91 . The active layer 91 a is exposed through the ohmic contact layer 91 b and is over-etched so that impurities do not remain on the active layer 92 a. In addition, the second and third semiconductor patterns 90 b and 90 c (of FIGS. 6D and 4D ) are etched to form second and third semiconductor layers 92 and 93 , respectively. An overlapped portion of the gate line 62 as a first storage electrode and the metal layer 97 as a second storage electrode constitutes a storage capacitor Cst with the gate insulating layer 68 , which is interposed between the gate line 62 and the first metal layer 97 , and the third semiconductor layer 93 . The fourth to sixth PR patterns 79 a , 79 b and 79 c are then removed.
[0038] FIGS. 4F , 5 F, and 6 F show a third mask process. As shown in FIGS. 4F , 5 F, and 6 F, a passivation layer PAS is formed on the substrate 60 having the data line 98 . The passivation layer PAS is patterned using a third mask (not shown) to form a drain contact hole CH 1 exposing the drain electrode 96 , a storage contact hole CH 2 exposing the metal layer 97 , and a data pad contact hole CH 4 exposing the data pad 99 . Also, the passivation layer PAS and the gate insulating layer 68 are patterned using the third mask (not shown) to form a gate pad contact hole CH 3 exposing the gate pad 66 .
[0039] FIGS. 4G , 5 G and 6 G show a fourth mask process. As shown in FIGS. 4G , 5 G and 6 G, a transparent conductive material is deposited on the passivation layer PAS and patterned through a fourth mask (not shown) to form a pixel electrode PXL, a gate pad terminal GPT and a data pad terminal DPT. The pixel electrode PXL contacts the drain electrode 96 through the drain contact hole CH 1 and the metal layer 97 through the storage contact hole CH 2 . The gate pad terminal GPT contacts the gate pad 66 through the gate pad contact hole CH 3 , and the data pad terminal DPT contacts the data pad 99 through the data pad contact hole CH 4 .
[0040] Through the above four mask process, the array substrate is fabricated. Compared to the five mask process, production costs and production time can be saved by the four mask process.
[0041] However, as mentioned above, the intrinsic amorphous silicon layer of the second semiconductor layer protrudes beyond the data line. Accordingly, a wavy noise occurs and aperture ratio is reduced.
[0042] Further, because the active layer is connected to the intrinsic amorphous silicon layer of the second semiconductor layer, a portion of the active layer is not covered by the gate electrode. Accordingly, the light leakage current is generated in the thin film transistor. Also, because the active layer should be formed thickly in consideration of the over-etching, fabrication time and product cost increase.
[0043] Moreover, because the LCD device having the array substrate fabricated by the fourth mask process requires a black matrix having a width greater than that of the LCD device having the array substrate fabricated by the five mask process, aperture ratio is further reduce.
SUMMARY
[0044] Accordingly, the present disclosure is directed to an array substrate for a liquid crystal display (LCD) device and a method of fabricating the same that substantially obviates one or more of the problems due to limitations and disadvantages of the related art.
[0045] To achieve these and other advantages and in accordance with one aspect of the disclosure, an array substrate for a liquid crystal display (LCD) device includes a substrate having a pixel region, a gate line on the substrate, and a data line crossing the gate line to define the pixel region. A thin film transistor (TFT) includes a gate electrode connected to the gate line, an insulating layer on the gate electrode, an active layer on the insulating layer, an ohmic contact layer on the active layer, a source electrode connected to the data line and a drain electrode spaced apart from the source electrode. A pixel electrode connects to the drain electrode and is disposed in the pixel region. An opaque metal pattern is provided on end portions of the pixel electrode.
[0046] In another aspect of the present disclosure, a method of fabricating an array substrate for a liquid crystal display (LCD) device includes forming a gate electrode on a substrate having a pixel region and a gate line connected to the gate electrode; forming an insulating layer on the gate electrode and the gate line, an active layer and an ohmic contact pattern on the insulating layer and corresponding to the gate electrode; forming source and drain electrodes on the ohmic contact pattern, the source electrode including a first source layer of a transparent conductive metallic material and a second source layer of an opaque conductive metallic material, the drain electrode includes a first drain layer of the transparent conductive metallic material and a second drain layer of the opaque conductive metallic material, forming a pixel region from a data line connected to the source electrode and that crosses the gate line, the pixel region being connected to the drain electrode and including a first pixel layer of the transparent conductive metallic material and a second pixel layer of the opaque conductive metallic material; and partially removing the second pixel layer through a fourth mask process to form a pixel electrode of the first pixel layer and an opaque metal pattern of the second pixel layer on end portions of the pixel electrode.
[0047] It is to be understood that both the foregoing general description and the following detailed description are exemplary and explanatory and are intended to provide further explanation of the disclosure as claimed.
BRIEF DESCRIPTION OF THE DRAWINGS
[0048] The accompanying drawings, which are included to provide a further understanding of the disclosure and are incorporated in and constitute a part of this specification, illustrate embodiments of the disclosure and together with the description serve to explain the principles of the disclosure.
[0049] FIG. 1 is a schematic perspective view of a liquid crystal display (LCD) device according to the related art.
[0050] FIG. 2 is a plane view of one pixel region of the array substrate fabricated by a four mask process according to the related art.
[0051] FIGS. 3A and 3B are cross-sectional views taken along the lines IIIa-IIIa and IIIb-IIIb of FIG. 2 , respectively.
[0052] FIGS. 4A to 4G are cross-sectional views showing a fabrication process of a portion taken along the line IIIa-IIIa of FIG. 2 .
[0053] FIGS. 5A to 5G are cross-sectional views showing a fabrication process of a portion taken along the line V-V of FIG. 2 .
[0054] FIGS. 6A to 6G are cross-sectional views showing a fabrication process of a portion taken along the line VI-VI of FIG. 2 .
[0055] FIG. 7 is a plane view of one pixel region of an array substrate according to an exemplary embodiment of the present disclosure.
[0056] FIGS. 8A to 8D are cross-sectional views taken along the lines VIIIa-VIIIa, VIIIb-VIIIb, VIIIc-VIIIc and VIIId-VIIId of FIG. 7 , respectively.
[0057] FIGS. 9A to 9L are cross-sectional views showing a fabrication process of a portion taken along the line VIIIa-VIIIa of FIG. 7 .
[0058] FIGS. 10A to 10L are cross-sectional views showing a fabrication process of a portion taken along the line VIIIb-VIIIb of FIG. 7 .
[0059] FIGS. 11A to 11L are cross-sectional views showing a fabrication process of a portion taken along the line VIIIc-VIIIc of FIG. 7 .
[0060] FIGS. 12A to 12L are cross-sectional views showing a fabrication process of a portion taken along the line VIIId-VIIId of FIG. 7 .
DETAILED DESCRIPTION
[0061] Reference will now be made in detail to the preferred embodiments, examples of which are illustrated in the accompanying drawings.
[0062] In an embodiment of the present disclosure, an array substrate is fabricated by a four mask process. The array substrate includes an active layer having an island shape on the gate electrode and a metal layer having a relatively small width at a boundary portion of a pixel electrode.
[0063] FIG. 7 is a plane view of one pixel region of an array substrate according to an exemplary embodiment of the present disclosure. As shown in FIG. 7 , a gate line 104 and a data line 146 cross each other on a substrate 100 to define a pixel region P. A gate pad 106 and a data pad 148 are formed at respective ends of the gate and data lines 104 , 146 , respectively. A transparent gate pad terminal 142 is formed on and contacts the gate pad 106 . A thin film transistor (TFT) T is connected to the gate line 104 and to the data line 146 . The TFT T includes a gate electrode 102 , an active layer 122 , an ohmic contact layer (not shown), a buffer metal layer 126 , a source electrode 136 and a drain electrode 138 . The gate electrode 102 and the source electrode 136 are connected to gate line 104 and the data line 146 , respectively. The buffer metal layer 126 is formed between the ohmic contact layer and each of the source and drain electrodes 136 , 138 .
[0064] A pixel electrode 140 is connected to and extends from the drain electrode 138 . The pixel electrode 140 is disposed in the pixel region P. An opaque metal pattern MP is formed in a boundary portion of the pixel electrode 140 to minimize an alignment error of a black matrix (not shown) and increase aperture ratio. Moreover, since the pixel electrode has a relatively low resistance due to the opaque metal pattern MP, the pixel electrode can have a relatively thin thickness such that transmittance is improved.
[0065] The gate line 104 and the pixel electrode 140 overlap each other to constitute a storage capacitor Cst such that an overlapped portion of the gate line 104 and an overlapped portion of the pixel electrode 140 function as a first storage electrode and a second storage electrode, respectively. The above-mentioned array substrate for the LCD device is fabricated by the four mask process. However, unlike the related art, a semiconductor layer does not exist under the data line 146 .
[0066] FIGS. 8A to 8D are cross-sectional views taken along the lines VIIIa-VIIIa, VIIIb-VIIIb, VIIIc-VIIIc and VIIId-VIIId of FIG. 7 , respectively. FIG. 8A shows a switching region, a pixel region and a storage region, FIG. 8B shows a pixel region, FIG. 8C shows a gate region, and FIG. 8D shows a data region.
[0067] As shown in FIGS. 8A to 8D , the substrate 100 includes a pixel region P, a switching region S, a storage region C, a gate region G and a data region D. A portion of a gate region GL, where the gate line and the gate pad are formed, is defined as a storage region C where the storage capacitor is formed. Each pixel region P includes a switching region S. The data line and the data pad are formed in the data region D, and the TFT T is formed in the switching region S.
[0068] The TFT T includes the gate electrode 102 , a first insulating layer 108 , the active layer 122 , the ohmic contact layer 124 , the buffer metal layer 126 , the source electrode 136 and the drain electrode 138 . A second insulating layer 150 is formed on the TFT T. The gate electrode 102 is formed on the substrate 100 , and the first gate insulating layer 108 is formed on the gate electrode 102 . The active layer 122 is formed on the gate insulating layer 108 and corresponds to the gate electrode 102 . The ohmic contact layer 124 is formed on the active layer 122 and the active layer 122 is exposed through the ohmic contact layer 124 . The buffer metal layer 126 is formed between the ohmic contact layer 124 and the source electrode 136 and between the ohmic contact layer 124 and the drain electrode 138 . Accordingly, the source electrode 136 and the drain electrode 138 are connected to the ohmic contact layer 124 through the buffer metal layer 126 .
[0069] The source electrode 136 includes first and second source metal layers 136 a and 136 b , and the drain electrode 138 includes first and second drain metal layers 138 a and 138 b. The first source metal layer 136 a is formed of the same material and the same layer as the first drain metal layer 138 a. For example, the first source metal layer 136 a and the first drain metal layer 138 a may include a transparent conductive material. In addition, the second source metal layer 136 b is formed of the same material and the same layer as the second drain metal layer 138 b . For example, the second source metal layer 136 b and the second drain metal layer 138 b may include an opaque metallic material.
[0070] When the first source metal layer 136 a and the first drain metal layer 138 a directly contact the ohmic contact layer 124 , the TFT T may have a relatively high contact resistance of the source and drain electrodes 136 and 138 . The buffer metal layer 126 may be formed between the first source and first drain metal layers 136 a and 138 a and the ohmic contact layer 124 to reduce the contact resistance.
[0071] Moreover, the data line 146 , which extends from the source electrode 138 and is disposed in the data region D, has the same structure as the source electrode 138 . Namely, the data line 146 has a first data metal layer 146 a and a second data metal layer 146 b. The first and second data metal layers 146 a and 146 b are formed of the same material and in the same layer as the first and second source metal layers 136 a and 136 b, respectively. The data pad 148 , however, is disposed at one end of the data line 146 and is a single layer. The single layer of the data pad 148 is formed of the same material and the same layer as the first data metal layer 146 a. Namely, the data pad 148 is formed of a transparent conductive material. The second insulating layer 150 covers the data line 146 and the data pad 148 is exposed through the second insulating layer 150 .
[0072] The gate line 104 extends from the gate electrode 102 and is disposed in the gate region G. The gate pad 106 is disposed at one end of the gate line 104 . The first insulating layer 108 covers the gate line 104 , while the gate pad 106 is exposed through the first insulating layer 108 . The transparent gate pad terminal 142 is formed on the gate pad 106 and contacts the gate pad 106 .
[0073] The gate line 104 and the pixel electrode 140 overlap each other to constitute the storage capacitor Cst such that an overlapped portion of the gate line 104 and an overlapped portion of the pixel electrode 140 function as a first storage electrode and a second storage electrode, respectively.
[0074] The opaque metal pattern MP is formed in edge portions of the pixel electrode 140 . The opaque metal pattern MP has a desired width considering an alignment error. Aperture ratio is not reduced because of the opaque metal pattern MP. When a black matrix (not shown) to shield the data line 146 is formed on a counter substrate (not shown), the black matrix can be formed to have a relatively small width due to the opaque metal pattern MP. Moreover, since the opaque metal pattern MP is disposed in a boundary portion between the pixel electrode 140 and the black matrix (not shown), there is no light leakage between the pixel electrode 140 and the black matrix due to the opaque metal pattern MP.
[0075] In the array substrate for an LCD device, the active layer 122 of amorphous silicon and the ohmic contact layer 124 of impurity-doped amorphous silicon have an island shape formed within the gate electrode 102 and an amorphous silicon layer is not formed under the data line 146 . Because the gate electrode 102 shields light from a backlight unit (not shown) under the array substrate, the active layer 122 is not exposed to the light and a light leakage current is not generated in the TFT T. Further, since the amorphous silicon layer is not formed under the data line 146 and does not protrude beyond the data line 146 , a wavy noise does not occur in the LCD device and the black matrix covering the protruding portion is not necessary. As a result, an aperture ratio of the LCD device is improved. Moreover, as mentioned above, because the pixel electrode 140 has a relatively small resistance due to the opaque metal pattern MP, the pixel electrode is formed to have a relatively thin thickness such that transmittance and brightness are improved.
[0076] A four mask process for fabricating an array substrate for an LCD device is explained with reference to FIGS. 9A to 9L , FIGS. 10A to 10L , FIGS. 11A to 11L and FIGS. 12A to 12L .
[0077] FIGS. 9A to 9L are cross-sectional views showing a fabrication process of a portion taken along the line VIIIa-VIIIa of FIG. 7 . FIGS. 10A to 10L are cross-sectional views showing a fabrication process of a portion taken along the line VIIIb-VIIIb of FIG. 7 . FIGS. 11A to 11L are cross-sectional views showing a fabrication process of a portion taken along the line VIIIc-VIIIc of FIG. 7 . FIGS. 12A to 12L are cross-sectional views showing a fabrication process of a portion taken along the line VIIId-VIIId of FIG. 7 . FIGS. 9A to 9L show the switching region and the storage region, FIGS. 10A to 10L show the pixel region, FIGS. 11A to 11L show the gate region, and FIGS. 12A to 12L show the data region.
[0078] FIGS. 9A , 10 A, 11 A and 12 A show a first mask process. As shown in FIGS. 9A , 10 A, 11 A and 12 A, a first metal layer (not shown) is formed on a substrate 100 by depositing one or more selected from a conductive metallic material group including aluminum (Al), aluminum alloy (AlNd), chromium (Cr), molybdenum (Mo), tungsten (W), titanium (Ti), copper (Cu) and tantalum (Ta). The first metal layer is patterned through a first mask process using a first mask (not shown) to form a gate electrode 102 in the switching region S, a gate line 104 and a gate pad 106 in the gate region G. The gate electrode 102 is connected to the gate line 104 and the gate pad 106 is formed at one end of the gate line 104 . The gate line 104 is also formed in the storage region C which functions as a first electrode of a storage capacitor.
[0079] FIGS. 9B to 9E , 10 B to 10 E, 11 B to 11 E and 12 B to 12 E show a second mask process. As shown in FIGS. 9B , 10 B, 11 B and 12 B, a first insulating layer 108 , an intrinsic amorphous silicon layer 110 , an impurity-doped amorphous silicon layer 112 and a second metal layer 114 are sequentially formed on the gate electrode 102 , the gate line 104 and the gate pad 106 . A first PR layer 116 is formed on the second metal layer 114 .
[0080] The first insulating layer 108 may include at least one of an inorganic insulating material such as silicon nitride and silicon oxide, and the second metal layer 114 may include one or more selected from a conductive metallic material group including aluminum (Al), aluminum alloy (AlNd), chromium (Cr), molybdenum (Mo), tungsten (W), titanium (Ti), copper (Cu), copper (Cu) alloy and tantalum (Ta). The second metal layer 114 may include a material, e.g., molybdenum (Mo), which constitutes an ohmic contact with impurity-doped amorphous silicon and is available in a dry etching method.
[0081] A second mask M 1 having a transmitting portion B 1 , a blocking portion B 2 and a half-transmitting portion B 3 is disposed over the first PR layer 116 . The blocking portion B 2 corresponds to the switching region S, the transmitting portion B 1 corresponds to the gate pad 106 and the half-transmitting portion B 3 corresponds to the data region D and the pixel region P. Note that an area of the blocking portion B 2 corresponding to the switching region S is smaller than an area of the gate electrode 102 . The first PR layer 116 is exposed to light through the second mask M 1 and then the exposed first PR layer 116 is developed.
[0082] Next, as shown in FIGS. 9C , 10 C, 11 C and 12 C, first and second PR patterns 118 a and 118 b are formed on the second metal layer 114 . The first PR pattern 118 a corresponds to the half-transmitting portion B 3 of the second mask M 1 and has a first thickness t 1 . The second PR pattern 118 b corresponds to the blocking portion B 2 of the second mask M 1 and has a second thickness t 2 greater than the first thickness t 1 . The gate pad 106 is exposed through the first PR pattern 118 a. In other words, the first PR layer 116 is partially removed to form the first PR pattern 118 a and is not removed to form the second PR pattern 118 b. And the first PR layer 116 is completely removed to expose the gate pad 106 . The second PR pattern 118 b corresponds to the gate electrode 102 .
[0083] Next, as shown in FIG. 9D , 10 D, 11 D and 12 D, the second metal layer 114 , the impurity-doped amorphous silicon layer 112 , the intrinsic amorphous silicon layer 110 and the first insulating layer 108 are removed using the first and second PR patterns 118 a and 118 b (of FIGS. 9C , 10 C, 11 C and 12 C) as a mask to form a gate pad contact hole CH 1 in the gate region G. The gate pad contact hole CH 1 exposes the gate pad 106 .
[0084] And then, the first PR pattern 118 a is removed to form a third PR pattern 120 in the switching region S. The second PR pattern 118 b (of FIG. 9C ) having the second thickness t 2 is partially removed to form the third PR pattern 120 having a third thickness t 3 corresponding to the difference of the first and second thicknesses t 1 and t 2 . The first PR pattern 118 a having the first thickness t 1 is completely removed to expose the second metal layer 114 .
[0085] Next, as shown in FIGS. 9E , 10 E, 11 E and 12 E, the second metal layer 114 , the impurity-doped amorphous silicon layer 112 and the intrinsic amorphous silicon layer 110 are patterned using the third PR pattern 120 as a mask to form an active layer 122 , an ohmic contact layer 124 and a buffer metal layer 126 on the first gate insulating layer 108 in the switching region S. Then, the third PR pattern 120 is removed.
[0086] Because the active layer 122 has an island shape and is disposed within the gate electrode 102 , the active layer is not exposed by light emitted from a backlight unit (not shown) under the array substrate and there is no current leakage.
[0087] FIGS. 9F to 9H , 10 F to 10 H, 11 F to 11 H and 12 F to 12 H show a third mask process. As shown in FIGS. 9F , 10 F, 11 F and 12 F, a transparent metal layer 128 and an opaque metal layer 130 are sequentially formed on the substrate 100 having the active layer 122 , the ohmic contact layer 124 and the buffer metal layer 126 . The transparent metal layer 128 includes a transparent conductive material such as indium-tin-oxide (ITO) and indium-zinc-oxide (IZO), and the opaque metal layer 130 includes one or more selected from metallic a conductive material group including aluminum (Al), aluminum alloy (AlNd), chromium (Cr), molybdenum (Mo), tungsten (W), titanium (Ti), copper (Cu), copper (Cu) alloy and tantalum (Ta). Next, a second PR layer 132 is formed on the opaque metal layer 130 .
[0088] A third mask M 2 having a transmitting portion B 1 and a blocking portion B 2 is disposed over the second PR layer 132 . The transmitting portion B 1 and the blocking portion B 2 at both sides of the transmitting portion B 1 respectively correspond to the switching region S and the storage region C, and the blocking portion B 2 corresponds to the gate pad 106 , the data region D and the pixel region P. The transmitting portion B 1 also corresponds to boundary portions between the pixel region P and the data region D. The second PR layer 132 is exposed to light through the third mask M 3 and then the exposed second PR layer 132 is developed.
[0089] As shown in FIGS. 9G , 10 G, 11 G and 12 G, fourth, fifth, sixth and seventh PR patterns 134 a , 134 b , 134 c and 134 d are formed on the opaque metal layer 130 such that the opaque metal layer 130 is partially exposed by the fourth, fifth, sixth and seventh PR patterns 134 a , 134 b , 134 c and 134 d. The fourth, fifth, sixth and seventh PR patterns 134 a , 134 b , 134 c and 134 d correspond to the switching region S, the pixel region P and the storage region C, the gate pad 106 and the data region D, respectively. A center portion of the switching region S is exposed by the fourth PR pattern 134 a.
[0090] Next, as shown in FIGS. 9H , 10 H, 11 H and 12 H, the opaque metal layer 130 and the transparent metal layer 128 are sequentially patterned using the fourth, fifth, sixth and seventh PR patterns 134 a , 134 b , 134 c and 134 d as a mask. As a result, the source electrode 136 and the drain electrode 138 are formed in the switching region S, and first and second pixel patterns 129 and 131 are formed in the pixel region P and the storage region C. Moreover, first and second gate pad terminal patterns 143 and 144 are formed on the gate pad 106 , and the data line 146 formed in the data region D. The source electrode 136 , the drain electrode 138 and the data line 146 have a double-layered structure formed from the transparent metal layer 128 and the opaque metal layer 130 . Namely, the source electrode 136 includes the first and second source metal layers 136 a and 136 b, the drain electrode 138 includes the first and second drain metal layers 138 a and 138 b , and the data line 146 includes the first and second data metal layers 146 a and 146 b. The first source metal layer 136 a, the first drain metal layer 138 a and the first data metal layer 146 a are formed of a transparent metallic material. The second source metal layer 136 b , the second drain metal layer 138 b and the second data metal layer 146 b are formed of an opaque metallic material. Moreover, the transparent metal layer 128 and the opaque metal layer 130 in the center portion of the switching region S are removed to partially expose the buffer metal layer 126 . Namely, the buffer metal pattern 126 is exposed between the source and drain electrodes 136 and 138 . Next, the fourth, fifth, sixth and seventh PR patterns 134 a , 134 b , 134 c and 134 d are removed. And then, the buffer metal layer 126 exposed between the source and drain electrodes 136 and 138 and the ohmic contact layer 124 under the exposed the buffer layer 126 are removed such that the active layer 122 is exposed. A contact resistance between each of the first source metal layer 136 a and the first drain metal layer 138 a and the ohmic contact layer 124 is reduced due to the buffer metal layer 126 . When the buffer layer 126 and the ohmic contact layer 124 are removed with a removing condition, the source electrode 136 , the drain electrode 138 , the pixel patterns 129 and 131 , the gate pad terminal pattern 141 , the data line 146 and the data pad pattern 147 are not etched.
[0091] FIGS. 91 to 9L , 10 I to 10 L, 11 I to 11 L and 121 to 12 L show a fourth mask process.
[0092] As shown in FIGS. 9I , 10 I, 11 I and 12 I, a second insulating layer 150 is formed on the substrate 100 . The second insulating layer 150 includes an inorganic insulating material such as silicon nitride and silicon oxide. A third PR layer 152 is formed on the second insulating layer 150 , and a fourth mask M 3 having a transmitting portion B 1 and a blocking portion B 2 is disposed over the third PR layer 152 . The blocking portions B 2 correspond to at least the switching region S, and the transmitting portion B 1 corresponds to at least the pixel region P and the gate pad 106 . Moreover, the blocking portion B 2 corresponds to the data region D except for an end portion of the data region D. The transmitting portion B 1 corresponds to the end portion of the data region D. The blocking portion B 2 corresponding to the data region D has a width greater than the data line 146 . A width of the blocking portion B 2 corresponding to the data region D depends on the alignment error. And the data pad is to be formed in the end portion of the data region D. The third PR layer 152 is exposed to light through the fourth mask M 3 and then the exposed third PR layer 152 is developed.
[0093] As shown in FIGS. 9J , 10 J, 11 J and 12 J, eighth, ninth, tenth, eleventh and twelfth PR patterns 154 a , 154 b , 154 c , 154 d and 154 e respectively corresponding to the blocking portion B 2 of the fourth mask M 3 are formed on the second insulting layer 150 . The eighth PR pattern 154 a is disposed in the switching region S, the ninth PR pattern 154 b is disposed adjacent to the storage region C, the tenth PR pattern 154 c is disposed in the data region D, the eleventh PR pattern 154 d is disposed at both sides of the gate pad 106 , and the twelfth PR pattern 154 e is disposed at both sides of the end portion of the data region D. Because the blocking portion B 2 corresponding to the data region D has a width greater than that of the data line 146 , the tenth PR pattern 154 c covers boundary portions of the pixel region P. The second insulating layer 150 corresponding to the pixel region P, the gate pad 106 and the end portion of the data region D is exposed through the eighth, ninth, tenth, eleventh and twelfth PR patterns 154 a , 154 b , 154 c , 154 d and 154 e.
[0094] Next, as shown in FIGS. 9K , 10 K, 11 K and 12 K, the second insulating layer 150 , the second pixel pattern 131 , the second gate pad terminal pattern 141 and the second data metal layer 146 b in the end portion of the data region D are patterned using the eighth, ninth, tenth, eleventh and twelfth PR patterns 154 a , 154 b , 154 c , 154 d and 154 e as a mask. As a result, a pixel electrode 140 of a transparent metal is formed in the pixel region P, the gate pad terminal 142 is formed on the gate pad 106 , and the data pad 148 is formed in the end portion of the data region D. The pixel electrode 140 , the gate pad terminal 142 and the data pad 148 are formed from the transparent metal layer 128 . Since the tenth PR pattern 154 c cover the boundary portions of the pixel region P, the opaque metal layer 130 in the boundary portion of the pixel region P is not removed to form an opaque metal pattern MP on the pixel electrode 140 in the boundary portion of the pixel region P. Moreover, the pixel electrode 140 overlaps the gate line 104 in the storage region C.
[0095] Next, as shown in FIGS. 9L , 10 L, 11 L and 12 L, the eighth, ninth, tenth, eleventh and twelfth PR patterns 154 a , 154 b , 154 c , 154 d and 154 e are removed. As a result, a TFT T including the gate electrode 102 , the first insulating layer 120 , the active layer 122 , the ohmic contact layer 124 , the buffer metal layer 126 , the source electrode 136 and the drain electrode 138 is formed in the switching region S. Each of the source and drain electrodes 136 and 138 includes a double-layered structure of a first layer of a transparent metal material and a second layer of an opaque metal material. The pixel electrode 140 in the pixel region P includes a single layer of the transparent metal material and extends from the first drain metal layer 138 a of the drain electrode 138 . The gate pad terminal 142 in the end portion of the gate region G includes a single layer of the transparent metal material and contacts the gate pad 106 . The data pad 148 in the end portion of the data region D includes a single layer of the transparent metal material and extends from the first data metal layer 146 a of the data line 146 . In addition, the pixel electrode 140 overlaps the gate line 104 in the storage region C to constitute a storage capacitor Cst having the overlapped portion of the gate line 104 as a first storage electrode, the overlapped portion of the pixel electrode 140 as a second storage electrode and the first insulating layer 120 between the first and second storage electrodes as a dielectric material.
[0096] An array substrate for an LCD device according to the present disclosure, where a semiconductor layer is not formed under a data line, is fabricated through the above four mask process. The four mask process of fabricating an array substrate for an LCD device according to the present disclosure may include: a first mask process of forming a gate electrode on a substrate, a gate line connected to the gate electrode and a gate pad at one end of the gate line; a second mask process of forming a first insulating layer exposing the gate pad, an active layer on the first insulating layer, an ohmic contact pattern on the active layer and a buffer metal pattern on the ohmic contact pattern; a third mask process of forming source and drain electrodes on the buffer metal pattern, a pixel pattern extending from the drain electrode, a gate pad terminal pattern contacting the gate pad, a data line extending from the source electrode and a data pad pattern at one end of the data line with a transparent metal layer and an opaque metal layer, and patterning the buffer metal pattern and the ohmic contact pattern to form a buffer metal layer and an ohmic contact layer; a fourth mask process of forming a second insulating layer on an entire surface of the substrate and patterning the pixel pattern, the gate pad terminal pattern and the data metal layer to form a pixel electrode, an opaque metal pattern on boundary portion of the pixel electrode, a gate pad terminal and a data pad of the transparent metal layer.
[0097] As a result, in an array substrate for an LCD device according to the present disclosure, since a semiconductor layer is not formed under a data line, a wavy noise is prevented and aperture ratio is improved. In addition, because an active layer having an island shape is formed within a gate electrode, a light leakage current is prevented and properties of a thin film transistor (TFT) is improved. Further, because an opaque metal pattern is formed on a boundary portion of a pixel electrode, aperture ratio is improved. Moreover, because resistance of a pixel electrode is reduced due to an opaque metal pattern on a boundary portion of the pixel electrode, the pixel electrode can be formed to have a relative low thickness such that transmittance of the LCD device is improved.
[0098] It will be apparent to those skilled in the art that various modifications and variations can be made in the organic electroluminescent device and fabricating method thereof of the present disclosure without departing from the spirit or scope of the disclosure. Thus, it is intended that the present disclosure cover the modifications and variations of this disclosure provided they come within the scope of the appended claims and their equivalents. | An array substrate for a liquid crystal display device comprises a substrate having a pixel region, a gate line on the substrate, and a data line crossing the gate line to define the pixel region. A thin film transistor (TFT) includes a gate electrode connected to the gate line, an insulating layer on the gate electrode, an active layer on the insulating layer, an ohmic contact layer on the active layer, a source electrode connected to the data line and a drain electrode spaced apart from the source electrode. A pixel electrode connects to the drain electrode and is disposed in the pixel region. An opaque metal pattern is provided on end portions of the pixel electrode. | 56,294 |
BACKGROUND OF THE INVENTION
[0001] The present invention relates to a surgical exploratory testing system.
[0002] In laparoscopic surgery endoscopic stem implements are inserted through puncture apertures into the abdominal space usually insufflated with CO 2 .
[0003] After the abdominal space has been insufflated and once said space may be observed internally using an appropriate instrument, further punctures may be carried out devoid of jeopardy. However the first puncture is critical in that the abdominal wall must be pierced without damaging any organs underneath. This constraint entails difficulties even when conventionally palliated by raising the puncture site off the organs underneath it.
[0004] Particular problems frequently arise in that the abdominal wall and the organs underneath it knit into each other. As a result the puncture site is always explored beforehand by a suitable means.
[0005] Known exploratory systems are puncturing instruments. The known Veress needle is a hollow needle fitted with an internal bar advanced by a spring element. If the Veress needle punctures the abdominal wall and if then the internal bar does advance in proper manner a cavity shall be known to be situated underneath the abdominal wall and as a result a wider trocar spindle may be used at this puncture site. Other known exploratory systems illustratively are designed as trocar spindles with integrated optics. In that case the abdominal wall may be punctured while being optically observed. Following puncturing the abdominal wall, the optics allows for ascertaining whether behind this wall there is a cavity or an adhering organ.
[0006] Such known systems are complex, especially in their handling, and frequently entail observational errors.
BRIEF SUMMARY OF THE INVENTION
[0007] The objective of the present invention is to simplify and hence to increase the reliability of such exploratory puncture testing.
[0008] This goal is attained in the present invention by the features described in the claims.
[0009] It is known to measure eddy currents in body tissue. Applying alternating current (AC) to a coil unit generates an AC magnetic field in turn inducing circular currents about the coil axis in the electrically conducting body tissue that in turn by induction generate back currents in the generating coil or in a separate test coil. Optionally, using different frequencies, a detector element may then detect the tissue conductivity and hence the kind of tissue being tested.
[0010] The present invention employs this exploratory testing principle in a system pre-testing the puncture site. A coil system is placed on the puncture site. The connected eddy current test element then provides information about the tissue underneath the coil unit and in particular can determine whether a cavity or an organ is present at the tentative puncture site underneath the abdominal wall. By moving the coil unit to-and-fro, an appropriate puncture site can be determined very simply and rapidly that shall allow for piercing the trocar tube through said abdominal wall in very safe manner.
[0011] The design/application of the present invention allows for finding a puncture site in a very simple manner. Such a procedure may be carried out by less skilled personnel than the surgeon, for instance by a technician, when preparing for laparoscopic surgery. Its simplicity and reliability does not require a physician.
[0012] In the preferred manner, the coil unit is configured in an electrically insulated manner in a flexurally elastic flat pad. Illustratively, this flat pad is made of an elastomeric material or the like and shall be in the shape of a beer coaster. Accordingly, it can be easily placed on the abdomen and one or more flat coils connected by cables to an eddy current detector may be mounted to it.
[0013] Advantageously, the flat pad may be fitted with a central hole centered on the coil axis and hence configured for maximum detection accuracy. Once an appropriate puncture site has been found, said hole may be used to apply a mark to the abdomen or the site may be pierced directly through it.
[0014] Preferably, several adjoining coils emitting different signals may also be used. Illustratively, the connected test element then may provide information about a more advantageous puncture site by shifting the coil unit in a given direction along the abdomen.
BRIEF DESCRIPTION OF THE DRAWINGS
[0015] The present invention is shown in illustrative and schematic manner in the appended drawing.
[0016] FIG. 1 is a section through the abdomen and the exploratory testing system of the present invention.
[0017] FIG. 2 is a topview of the exploratory testing system of FIG. 1 , and
[0018] FIG. 3 is a topview of another embodiment mode of the exploratory testing system of the present invention.
DETAILED DESCRIPTION OF THE INVENTION
[0019] FIG. 1 shows a cross-section of a patient's abdomen and abdominal wall 1 , said wall being raised into a fold 2 when preparing a puncture site, for instance using an omitted grip element. Abdominal organs 3 not further differentiated in this Figure are situated underneath the abdominal wall.
[0020] FIG. 1 shows that by raising the abdominal wall 1 at the fold 2 , said wall is lifted off the abdominal organs 3 at that site except for one spot where the abdominal organs 3 are knitted together with the wall 1 .
[0021] It is assumed that the first step of a laparoscopic surgery shall be a first puncture for the purpose of insufflating with gas the abdominal space between the abdominal wall 1 and the organs 3 and that thereupon instruments shall be inserted through further punctures.
[0022] The first puncture is routinely and tentatively set in the direction of the arrow 5 . Now, a check must be run to see whether a puncture at that site is harmless or whether other punctures at the sites of arrows 6 or 7 would be more appropriate.
[0023] For that purpose a flat pad 8 , shown in topview in FIG. 2 , is placed at the intended puncture site 5 on the abdominal wall 1 . As shown by FIG. 1 , the flat pad is made of a resilient material, for instance an elastomeric material or the like. An electrical coil unit is mounted in an electrically insulating manner inside said flat pad and in a simple embodiment consists of a flat coil 9 as shown in FIG. 2 . Said flat coil is connected by two conductors 10 to an eddy current detector 11 .
[0024] The eddy current detector 11 applies an AC of suitable, for instance variable frequency to the flat coil 9 . The generated magnetic field generates eddy currents about the axis of the flat coil 9 in the body tissue situated underneath. The inductive feedback affects the current in the coil 9 , and this reaction is detected by the eddy current detector and illustratively may be shown on a display ( FIG. 1 ) of the said eddy current detector.
[0025] Regarding the illustrative anatomy shown in FIG. 1 , different displays shall result as the flat pad 8 moves from the puncture site 5 to the puncture site 6 or the puncture site 7 because the electrical reaction at the site 5 will be much different due to the local knit 4 of abdominal wall and organ(s) than for the puncture sites 6 and 7 which are situated above a cavity underneath the abdominal wall 1 . Accordingly, the surgeon is able to determine very rapidly, by moving the flat pad 8 to-and-fro and by noting the particular displays on the eddy current detector 11 , where to safely puncture.
[0026] FIG. 3 shows a similar flat pad 8 ′ fitted with cables 10 ′ connected to an omitted eddy current detector. The flat pad 8 ′ comprises three triangularly adjoining coils 9 . 1 , 9 . 2 and 9 . 3 . As indicated in FIG. 3 , said coils each are connected by conductors and the cable 10 ′ to the eddy current detector. When separately analyzing the outputs of the coils 9 . 1 through 9 . 3 , a suitable puncture site can be determined, or at least a trend indicating, i.e. that a more advantageous site might lie in the direction of the coil 9 . 3 .
[0027] The embodiment mode of the flat pad 8 shown in FIG. 2 comprises a coil which is a transmitting and receiving coil. However, two illustratively mutually concentric coils may be used, one acting as a transmitter and the other as a receiver.
[0028] Centrally at the axis of the coil 9 , FIG. 2 also shows a hole 12 in said sliding element 8 . Once a suitable puncture site has been found using the flat pad 8 , a marking may be applied through said hole or puncturing may be carried out directly through it. | A surgical exploratory testing system ( 8, 11 ) to select a laparoscopic trocar's puncture site ( 5, 6, 7 ) through the abdominal wall ( 1 ) is characterized in that said system is designed as a coil unit ( 9 ) which can be placed on the puncture site ( 5, 6, 7 ) and which is connected to an eddy current detector ( 11 ). | 9,074 |
CROSS-REFERENCE TO RELATED APPLICATIONS
[0001] This application is a continuation of U.S. patent application Ser. No. 11/026,746, filed Dec. 31, 2004, and International Application No. PCT/US2005/018870, filed May 27, 2005, which claims priority to U.S. patent application Ser. No. 11/026,746, filed Dec. 31, 2004, both entitled, VOICE OVER IP (VoIP) NETWORK INFRASTRUCTURE COMPONENTS AND METHOD, the entire content of which is hereby incorporated by reference.
BACKGROUND OF THE INVENTION
[0002] 1. Field of the Invention
[0003] The present invention relates generally to a method and apparatus for carrying real time services, such as voice telecommunication, via a packet switched network and in particular to an apparatus and method for voice, facsimile and multimedia over Internet Protocol (IP) communications components.
[0004] 2. Description of the Related Art
[0005] Voice telecommunications has traditionally been conducted via dedicated telephone networks utilizing telephone switching offices and either wired or wireless connections for transmitting the voice signal between the users' telephones. Such telecommunications, which use the Public Switched Telephone Network (PSTN), may be referred to as circuit committed communications. Voice over Internet Protocol (VoIP) provides an alternative voice telecommunication means which use discrete packets digitized voice information to transmit the voice signals. The packets are transmitted either over the public Internet or within intranets.
[0006] Typical VoIP network infrastructure includes gateways, gatekeepers, proxy servers, softswitches, session border controllers, etc. Due to optimization of network resources and to particular designs, network operators may choose to integrate functionality of the separate components with one another such that multiple infrastructure components can be collocated on one physical component.
[0007] It is desirable that the VoIP network infrastructure components be designed into a network such that network operators can provide meaningful services to their customers.
[0008] The following terms are used in this disclosure:
[0009] Gateway—An entity that can bridge or serve as a “gateway” between networks. In VoIP, it typically refers to a device that can “gateway” between the traditional Public Switched Telephone Network (PSTN) and the VoIP network.
[0010] Gatekeeper—An entity that works in conjunction with the gateway to determine how to handle VoIP calls. The gatekeeper can be either in the call path or play only a consultative role in every call. The gatekeeper usually only handles VoIP calls setup using the H.323 protocol.
[0011] Proxy Server—An intermediate entity, similar in functionality to the gatekeeper, that determines how to handle VoIP calls. A proxy server usually only handles VoIP calls setup using the session initiation protocol (SIP).
[0012] User Agent—An entity that can place or receive a VoIP call, usually based on the SIP protocol (session initiation protocol).
[0013] Border element—A border element is also called network edge element. This is typically where the policy definitions or the administrative control changes. Policy can be defined at virtually all layers in the seven layer open systems interconnection (OSI) model. For example, at layer three of the seven layer model policy can typically be described in terms of routing peers, advertised IP routes etc. Routers would typically act as the border elements where such policies change between networks. Network address translators (NATs) act as border elements to connect two or more non-routable address domains. Firewalls implement policy control (for layer three and above) as border elements where the administrative control changes. The application layer typically uses flows at lower layers as well (for example, in the network layer and the transport layer). Control of the application layer potentially allows control of microflows at lower layers. For example, individual media streams for SIP calls having identical layer three characteristics may be subject to different policies. Session layer border control (SBC) allows other border elements (like routers, NAT/Firewalls, and quality of service brokers) to understand these microflows and provide the appropriate policy on a more granular basis. As a stand-alone element, an SBC simply allows policy control at the application layer.
[0014] Subnet—A subnet is an IP (Internet protocol) subnetwork inside a realm
[0015] Call Peer—JA call peer is a logical grouping for calls) Call peers may be static (created by the administrator) or dynamic (created at runtime by the multi-protocol session controller). A call peer must belong to a single device and may belong to one or more call peer groups. There are two kinds of call peers: an ingress call peer and an egress call peer, as defined in the following.
[0016] Ingress Call Peer—An ingress call peer is a call peer which is associated with the incoming of a call.
[0017] Egress Call Peer—An egress call peer is a call peer which is associated outgoing of a call.
[0018] Call Peer Group—A call peer group is a (logical) grouping of call peers based on policy (business policy, for example, service level assurances or allocation of enterprise resources), for example, sites or peers.
[0019] Device—A device is a collection of call peers. A device may be static (have a fixed binding between call peers and a layer three address) or dynamic (when protocol registrations are to create the binding between call peers and layer three addresses). A dynamic device may have static or dynamic call peers. A static device only has static call peers.
[0020] Template—A template is a rule set used for dynamically managing devices and call peers, such as subnets.
[0021] IWF—SIP/H.323 Inter-working Function
[0022] A-O-R SIP—Address of Record (RFC 3261)
[0023] AAA—Authentication, Authorization and Accounting. These refer to the three functions performed for every call to authenticate a user's phone call, authorize the user to utilize resources in the network and account for the resource usage.
SUMMARY OF THE INVENTION
[0024] The present invention provides infrastructure such that network operators can enable their services to be delivered to other network operators, to other enterprise customers, as well as to residential customers. This includes carrier-carrier peering, carrier-enterprise peering, and carrier-residential peering, respectively.
[0025] The present invention provides a system that includes session controllers for packet switched voice telecommunications, including a multi-protocol signaling switch and a multi-protocol session controller, and a comprehensive management system for the session controllers. The management system is able to provision information into the session controllers, as well as to report on the operation of the session controllers.
[0026] A family of session controller (SC) products, is preferably provided along with a comprehensive management system for the session controllers. The management system is able to provision information into the session controller, as well as to report on the operation of the session controller.
[0027] When incorporated into an overall architecture of the network the session controller typically processes calls and hence participates in all calls that flow through it. Every call processed by the session controller produce a call detailed record (CDR) that is stored locally on the session controller until it is securely and reliably transported to operations support systems (OSS) and/or to the management system. The management system also receives a copy of every call detailed record produced. An analytics engine (AE) of the management systems processes the call detailed records to produce engineering reports, generate alarms and exceptions, an to produce routing rules for the session controller based on business policy.
BRIEF DESCRIPTION OF THE DRAWINGS
[0028] FIG. 1 is a schematic representation of a telecommunications system architecture according to the principles of the present invention;
[0029] FIG. 2 is a block diagram of the elements of a multi-protocol session controller 25 * policy database, including call peers, groups, devices and templates;
[0030] FIG. 3 is a block diagram showing the association of one ingress call peer and one egress call peer in the call routing process;
[0031] FIG. 4 is a block diagram of a database policy model for the call routing process;
[0032] FIG. 5 is a block diagram of call routing on a multiprotocal session controller;
[0033] FIG. 6 is a block diagram of an error code handling process;
[0034] FIG. 7 is a block diagram of a system for simultaneously deploying session and border control;
[0035] FIG. 8 is a block diagram of a session control architecture;
[0036] FIG. 9 is a block diagram of policy;
[0037] FIG. 10 is a schematic diagram of a call admission control on a peer group basis;
[0038] FIG. 11 is a schematic diagram of a media routing policy configuration;
[0039] FIG. 12 is a schematic diagram of a firewall traversal on a multi-protocol session controller;
[0040] FIG. 13 is a schematic diagram of a separation between signally and media on a far-end network address translator traversal;
[0041] FIG. 14 is a schematic diagram of a first scenario for a network address translator traversal trough a single firewall;
[0042] FIG. 15 is a schematic diagram of is a second scenario for a network address translator traversal trough a distributed firewall;
[0043] FIG. 16 is a-schematic diagram of is a third scenario for a network address translator traversal through two firewalls;
[0044] FIG. 17 is a schematic diagram of a multi-protocol session controller as an SDX gateway client;
[0045] FIG. 18 is a schematic representation of shared transcoding resources at a network core;
[0046] FIG. 19 is a diagram of the physical architecture of a multi-protocol session controller according to the present invention;
[0047] FIG. 20 is a schematic view of a session controller within a trusted network providing media communications to non-trusted network;
[0048] FIG. 21 is a schematic representation of a measure of call quality using the present session controller; and
[0049] FIG. 22 is a schematic representation of an in memory database.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
[0050] FIG. 1 illustrates an overall network architecture of a system using session controllers and a management system of the present invention to provide voice over Internet protocol telephone service. The term voice over Internet protocol (VoIP) includes not only voice communications but also includes fax data, multimedia data and other real time or near real time services. These services may also be known collectively as media calls. The system, denoted generally at 20 in the figure, provides an interface between a public switched telephone network (PSTN) 22 , a broadband network address translator (NAT) traversal 24 , enterprise peering 26 , an H.323 network 28 , and a session initiation protocol (SIP) softswitch network 30 . By way of explanation, the public switched telephone network 22 is the traditional public telephone system using circuit switched voice networks. An H.323 network 28 refers to a network utilizing H.323 standards for packet-based transfer of information, including voice transmissions, and in particular to the interface between the circuit switched voice transmissions and the packet switched voice transmissions. For example, the H.323 network may be the Internet. A softswitch network refers to a network using switches in which there is a separation of the network hardware from the network software. The SIP softswitch network and H.323 network utilize carrier peering. Peering refers to the exchange of information via nodes in a network without a central controller using the same protocol layer as other units in the communication system. Enterprise peering refers to such communications within an enterprise.
[0051] The public switched telephone network 22 interfaces through a softswitch 32 to the system 20 . The interface between the broadband network address translator (NAT) traversal 24 and the system 20 is via broadband system 34 and a multi-protocol session controller (MSC) 36 . The enterprise peering system 26 communications through the present system 20 via a multi-protocol session controller (MSC) 38 . A single multi-protocol session controller (MSC) 40 is provided for the H.323 network 28 and the session initiation protocol (SIP) softswitch network 30 .
[0052] Within the system 20 , the multi-protocol session controllers 36 , 38 and 40 and the softswitch 32 communicates with a multi-protocol signaling switch (MSW) 42 . The multi-protocol signaling switch 42 and the multi-protocol session controllers 36 , 38 and 40 are controlled by a management system 44 . The management system 44 is operable to provision information into the session controllers 36 , 38 and 40 , as well as to report on the operation of the session controllers. The session controllers 36 , 38 and 40 process calls and participate in all calls that flow through the respective session controller. The calls processed by the session controllers 36 , 38 and 40 are documented in a call detail record (CDR) that is stored locally on the session controller and then is transmitted to the management system. The management system also receives a copy of every call detail record produced by each of the session controllers and processes the call detail records to produce engineering reports, generate alarms and exceptions, and produce routing rules for the session controller based on business policy.
[0053] The session controllers process calls that are either at the edge of the network, or at the core of the Vo]P network. If a session controller is placed at the edge of the VoIP network, peering with other networks, then the function is called border session controller (BSC) or session border controller (SBC). A session controller at the core of the network provides functions such as call routing and aggregate call admission control (CAC) and is referred to as a core session controller (CSC).
[0054] The multi-protocol session controllers 36 , 38 and 40 can act either as the core session controller or as the border session controller in a network. The following briefly describes the functions that are supported.
[0055] In a deployment of a session controller as a core session controller, for example, the controller performs call routing and serves as a hunting engine. When deployed as a core session controller, it also functions as a core call controller, wherein all calls are routed through the multi-protocol session controller. The multi-protocol session controller 36 , 38 and 40 identifies calls which need external feature and application servers. Further, the multi-protocol session controller 36 , 38 and 40 can act as the session initiation protocol (SIP) outbound proxy for endpoints accessing services on an application server. Another function performed is authentication, authorization and accounting (AAA), wherein the multi-protocol session controller 36 , 38 and 40 can enable authentication, authorization and accounting using a remote authentication dial-in user server (RADIUS). Local password authorization and call detail record logging can also be used. The core session controller also performs core network call admission control, such as regulating network capacity. The multi-protocol session controller 36 , 38 and 40 exchanges telephony routing information protocol (TRIP) messages with other domains to advertise and learn routes. Lastly, the multi-protocol session controller can act as the 3GPP S-CSCF (Third Generation Partnership Project Service Call Session Control Function).
[0056] In a second deployment scenario, the session controller functions as a border session controller where it performs topology hiding. The multi-protocol session controller 36 , 38 or 40 can be engaged in inter-working function calls, typically between SIP (Session Initiation Protocol) and H.323 networks. This is because the multi-protocol session controller 36 , 38 or 40 can connect to the various access networks which have H.323 entities in them. The conversion between SIP and H.323 is referred to the inter-working function (IWF). The inter-working function is well known for voice calls. The present session controller includes an inter-working function for video calls. In particular, the present session controller has support for video calls between H.323 endpoints and SIP endpoints, as well as having such inter-working function support for voice calls.
[0057] The multi-protocol session controller 36 , 38 or 40 will also be providing interoperability functions in the network. The controller performs access network call admission control, such as bandwidth control. For networks directly registering to it, the multi-protocol session controller can enable call screening and user authentication. The multi-protocol session controller 36 , 38 or 40 can use RADIUS (Remote Authentication Dial-In User Server) or DIAMETER (a protocol similar to RADIUS, for authentication, authorization and accounting) based SIP (Session Initiation Protocol) authentication.
[0058] Additional functions of the multi-protocol session controller 36 , 38 or 40 is to control media flows between the access networks. The multi-protocol session controller provides far-end network address translation traversal for the access network. The multi-protocol session controller can provide transcoding services in the network for calls going out to the access network. The transcoding media server resources may be centralized in the network or collocated with the multi-protocol session controller (for example, at the border). The multi-protocol session controller also acts as the interception related information (IRI) intercept access point and content intercept access point for CALEA (the Communications Assistance for Law Enforcement Act (of 1994)). Additionally, the multi-protocol session controller 36 , 38 or 40 provides monitoring for call jitter and for the mean opinion score for the media streams.
[0059] Quality of service monitoring is performed by the border session controller, wherein the multi-protocol session controller acts as a Diffserv (differentiated services) border element. The differentiated services code point (DSCP) is controllable on a per call basis. The multi-protocol session controller also takes care of inserting and/or modifying the virtual local area network tags and priority bits. The virtual local area network tags are controlled on a per realm basis and the virtual local area network priority values are controlled on a per call basis. The controller also provides the 3GPP (Third Generation Partnership Project) proxy call session control function (P-CSCF), the interrogating call session control function (I-CSCF) and the breakout gateway control function (BGCF). Lastly, as the border controller, the multi-protocol session controller can act as the SIP outbound proxy for endpoints registered to a third party application server.
[0060] All the multi-protocol session controllers (both the border controllers as well as the core controllers) in the network download their respective databases from the centralized partitioned database schema stored on the iVMS management system (a proprietary management system of the assignee of the present application). For accounting purposes, the multi-protocol session controllers can also be integrated with a RADIUS server (Remote Authentication Dial-In User Server) for accounting. An SNMP (Simple Network Management Protocol) agent runs on the multi-protocol session controller as well as on the iVMS management system.
[0061] FIG. 2 shows the multi-protocol session controller policy database. Templates 50 are used to manage dynamic devices 52 (which are dynamically created devices), call peers 54 and bindings 56 . A dynamic association with call peer groups 58 using the templates 50 is indicted by the line 60 . Static devices 62 are indicated
[0062] Call peers 54 are by far the most important element in the processing of a call. As mentioned above, a call peer is a logical grouping of calls, and can be either an ingress call peer of incoming calls or an egress call peer of outgoing calls. The multi-protocol session controller associates exactly one ingress call peer for each call being processed. The process of call routing ensures that exactly one egress call peer can be associated with the call.
[0063] FIG. 3 shows this conceptually. The incoming or ingress call peer 68 is matched to a call peer 70 provisioned in the database. The ingress call peer 68 is instantiated by the multi-protocol session controller by mostly looking at the protocol message which triggered the call/session processing. Information at layers three through seven of the OSI seven layer model is analyzed to create this instantiation. The outgoing or egress call peer 72 is instantiated by the routing policy 74 configured in the database. In particular, once the ingress call peer 68 is created, the multi-protocol session controller looks for a match for this call peer in the database (or policy). If a match is not found, the call may still be accepted if access control has been disabled. Under normal configuration, however, such calls are dropped. The process of call routing loops through the database and instantiates the egress call peer 72 for the call leg. The multi-protocol session controller may not be able to associate an egress call peer 72 for a call leg if resources are not available or user policy prevents it. Under such circumstances the call is rejected.
[0064] As an intermediate system that does not originate or terminate phone calls, the present system sits in the path of the phone call an switches the call. Each call has two call legs, an incoming call leg and an outgoing call leg when seen from the intermediate components.
[0065] The process of matching an ingress call peer 68 with one provisioned in the policy 74 depends on how call peers, devices and templates are defined. The matching process results in the allocation of the ingress call peer 68 with a call peer defined in the database and hence allows the latter to define policy on groups of calls.
[0066] In the following, it is assumed that the term call peer refers to the call peer defined in the database. The process of call routing is simply represented in FIG. 4 .
[0067] Some examples of call peers 68 are: calls identified by the called party number (or pattern) or the calling party number (or pattern); calls originating from a single signaling entity, for example an H.323-ID or an address-of-record; or calls already grouped by trunks groups.
[0068] A device contains one or more call peers (and contains at least one). The containment relationship is referred to as binding. Both the device as well as this binding can be static or dynamic. Devices usually correspond to physical things in the network around the multi-protocol session controller, such as gateways, terminals, gatekeepers, multi-port conferencing units (MCUs), conferencing servers, private branch exchanges (PBXes), proxy servers, etc.
[0069] The association of a call to a device is not a hard and fast rule. The following restrictions do apply. Each registration must correspond to a unique device. The multi-protocol session controllers will not allow a device to register successively or in multiple registration messages. This simplifies registration management, caching, and timeouts of devices which use registration.
[0070] A registration activates all call peers on a device which uses registration. Until the first registration arrives, the call peers, device and the bindings are considered disabled.
[0071] Examples of device-based identification criteria used by the multi-protocol session controllers are: the resolved value of the via address in the first session initiation protocol (SIP) INVITE (identifying the previous hop proxy—hop to hop identification); the resolved value of the contact uniform resource identifier (URI) in the first SIP INVITE or source signaling address in the H.323 SETUP (identifying the previous hop back to back user agent or the end user agent/endpoint/gateway—end to end identification); and the source IP (Internet protocol) address of the incoming SIP INVITE or H.323 SETUP (identifying the previous hop network address translation or middlebox).
[0072] A call peer group 58 allows multiple call peers to be part of a common policy specification.
[0073] The templates 50 have multiple functions. In particular, templates 50 function as rule sets which govern the application of policy to devices and to call peers which are not explicitly provisioned on the multi-protocol session controller. Templates 50 function as rule sets which govern the application of policy to devices which register with the multi-protocol session controller. Both of these functions are explained in detail hereinafter.
[0074] For every call, the existence of the call peer at ingress allows the following functions to be performed.
[0075] Call admission control is based on call legs or bandwidth. If access control is enabled and no ingress call peer is found or no template exists which allows the creation of a call peer dynamically, the call is rejected. If a call peer is found, call legs and bandwidth used are compared against limits.
[0076] The call peer at ingress also permits the peer to be reported in the call detail record for every call. Further, a media routing policy is provided for the call. In addition, a privacy policy for the call (SIP Privacy and 11.323 presentation and screening indicators) are provided.
[0077] The call peer allows interworking of related information for originating or terminating signaling on the peer. Specifically, the calling peer specifies what kind of signaling (SIP or H.323) is used to terminate calls on the peer (this applies to device peers, see below).
[0078] Yet another function permitted by the call peer is the specification of the class of service (in a tiered service model) for calls originating from the call peer. The class of service is specified using trunk groups, zones, call hunting timeouts and attempts, etc.
[0079] There are also limitations in some embodiment, such as the multi-protocol session controller lacks extensive support for device peers and subnet peers in the current releases. However most of these concepts are visible in the current database and policy settings. A reg-id/u-port acts as a call peer and the reg-id (registry identification) functions as the device holder. There is also no clear separation between devices and call peers. Configuration specific to devices is part of each call peer which is part of the device. For example, the IP address information is statically configured on all reg-id/u-ports which are assumed part of the same device. An i-edge group is the only call peer group defined.
[0080] Further, the multi-protocol session controller does not require explicit provisioning of devices and call peers. In the scenario where SIP user agents access services on a third party SIP server using the multi-protocol session controller as the outbound proxy, the multi-protocol session controller does not require the user agents to be explicitly provisioned as call peers or devices. These devices must register with the server and the multi-protocol session controller creates dynamic devices and call peers based on these registrations. The multi-protocol session controller also instantiates policy for these dynamic devices/peers using templates. In this case, templates 50 (based on subnets) may be used to dictate creation of these dynamic call peers and devices and their association with i-edge groups. Each template has a reg-id/u-port.
[0081] Gateways/user agents may sometimes be moved (providing mobility). The multi-protocol session controller detects mobility only via registrations. Mobile devices may be registered (and hence configured) on the multi-protocol session controller or a third party server. Templates 50 govern the instantiation of policy on both cases.
[0082] In the following is described the policy configuration on a call peer.
[0083] The multi-protocol session controller policy and configuration parameters on each call peer are assumed to be in four broad categories. The categorization is two ways, namely IN, representing parameters which apply for incoming calls or those defined on an ingress call peer, and OUT, representing parameters which apply for outgoing calls or those defined on egress call peers. Within each of these categories there are two categories, namely MATCH, parameters which are used for matching calls (These may be protocol parameters, layer three (network) parameters or application aliases.), or SET, parameters which are used for modification of call parameters (These may be protocol parameters, layer three parameters or application aliases.).
[0084] The use of these parameters is explained further in the call routing section. The IN/MATCH parameters function to associate a call with an ingress call peer. When the same parameter is associated with multiple categories, for example IN/MATCH as well as IN/SET, it is assumed to be a unique instance of the parameter in each category which is unrelated to other categories.
[0085] Dynamic call peers are call peers that are created dynamically by the multi-protocol session controller when acting as the SIP outbound proxy. This is explained later in this specification.
[0086] The following describes use cases involving templates.
[0087] In an example including mobility, network address translation (NAT) and outbound proxy (OBP), a mobile endpoint registers with an address in subnet1. The endpoint is always behind a network address translator (NAT) (along with several other similar endpoints) and is registering with a third party SIP server through the multi-protocol session controller. The endpoint later moves to subnet2. In this case, the multi-protocol session controller creates a device and call peer dynamically for each registration and applies a subnet specific policy to instantiate the call peer. Each such endpoint behind the network address translator has a unique reg-id (registry identification) that is dynamically generated by the multi-protocol session controller.
[0088] In an example that is the same as above with the exception of the outbound proxy, the endpoint is registering with the multi-protocol session controller. In this case, the user has a predefined reg-id (registry identification) for the endpoint. Templates based on subnets govern policy instantiation when the endpoint moves.
[0089] In another example, a gateway within a subnet attempts to make a call. Subnet based templates allow the multi-protocol session controller to associate a call peer as well as a call peer group with the call.
[0090] The call processing algorithm, or method, used by the multi-protocol session controller as shown in FIG. 5 includes four steps. In Step 1 , labeled IF, reference number 80 , filter the call on the ingress (using the IN/MATCH parameters above). In Step 2 , labeled IX, reference number 82 , translate the call on the ingress (using the IN/SET parameters above). In Step 3 , labeled EF, reference number 84 , filters the call on the egress (using the OUT/MATCH parameters above). In Step 4 , labeled EX, reference number 86 , translates the call on the egress (using the OUT/SET parameters above).
[0091] In further detail, step 1 , 80 , is the process of source identification and applying common source policy. Steps 2 and 3 , 82 and 84 , together accomplish “routing” of the call. Step 2 , 82 , is also called tagging and step 3 , 84 , is called matching. Thus, routing is the combined process of tagging and matching. Step 4 , 86 , accomplishes hand-off of the call.
[0092] All steps except step 3 (routing) are optional. Generally, there are two kinds of calls. The first type of call are calls which are directed to a specific endpoint (for example, to an address of record, a particular phone or to a particular H.323 identification). These calls execute step three only and are referred to as direct end point calls. The second type of calls are calls which require call hunting on the multi-protocol session controller. Call hunting is the process by which the multi-protocol session controller finds the best possible destination among an identified group of destinations for the call.
[0093] Call hunting uses the following criteria: filter priority; call-peer priority; filter match strength; administration policies on call-peer or filter (like time of day filtering); load balancing (least recently used or percent utilization); and run time criteria like ISDN/SIP response codes/redirects, etc. Similarly, source identification uses the following: filter priority; call-peer priority; filter match strength; and administration policies on call-peer or a filter (like time of day).
[0094] The control of error codes returned by the multi-protocol session controller are as follows. Both SIP and H.323 calls use several error codes to signal why a call is dropped. The multi-protocol session controller allows control of the call hunting process based on the error codes and the mapping of the error codes when they are returned back to the caller. Generally, an error code can be interpreted: as a stop, (wherein no more attempts are necessary for the call and the multi-protocol session controller also uses this interpretation for direct end point calls which fail); as a temporary failure (keep trying); or as a redirect (try the attached list of destinations).
[0095] FIG. 6 illustrates the error code handling process.
[0096] The call hunting policy 88 is applied before the error code 90 is mapped 92 and sent to the caller. No error code mapping 92 is done for direct end point calls. The multi-protocol session controller uses a default policy on how the error code is used by the call hunting policy. By default, no error code mapping is applied unless protocol inter-working is necessary. The inter-working error code map is also defined as part of the full error code map on the in or ingress peer (device peer).
[0097] The following describe call routing and hunting. The policy described above enables the following modes of routing:
[0098] Automatic number identification (ANI) based routing: The multi-protocol session controller is capable of doing automatic number identification based routing in a multitude of ways. If the ANI policy is specific to a call origination, but common to all terminations, then the IN/MATCH parameters are used to filter the automatic number identification at the ingress (Step 1 of call routing above). The call is tagged (Step 2 ). This tag is used as the filter for the OUT/MATCH step which follows. The tag applied in the call tagging step is filtered (this is the step 3 of call routing). Translations may be applied as part of Step 1 and Step 4 in call routing.
[0099] If the automatic number identification policy is specific to a call termination, but common to all originations, then the OUT/MATCH parameters are used to filter the automatic number identification at the egress (Step 3 of call routing). Translation may be applied as part of step 4 in call routing.
[0100] The multi-protocol session controller can use the automatic number identification to identify the true origination of the call. For example, in the scenario where the multi-protocol session controller functions as a session initiation protocol outbound proxy, a call originated by an endpoint registered to a session initiation protocol server may get hair-pinned through the multi-protocol session controller. The hair-pinned instance may have no session initiation protocol headers in common with the original call coming in (for example where the session initiation protocol server is a back to back user agent). For such a call, the multi-protocol session controller can use the automatic number identification as a selector identifying the true access network originating the call. In this way, if the call is destined towards any public switched telephone network gateway registered to the multi-protocol session controller, the policy can be selected based on the originating access network. Automatic number identification based call routing can also used by the multi-protocol session controller on calls coming in from the access networks themselves to determine if they need any application services. Calls which do not need application services may be directly routed to other registered endpoints (such as the public switched telephone network endpoints).
[0101] In trunk group based routing, the trunk groups can be used on the multi-protocol session controller in a multitude of ways. First, an origination can specify a termination policy by providing the multi-protocol session controller with a trunk group identifier. Second, for class of service, the tagging step in call routing process can be used to tag calls based on a required class of service. Thirdly, partitioned routing or interconnects is used somewhat like a dumb patch panel, where a call origination is connected with one or more terminations. Fourthly, for simple automatic number identification or dialed number identification service based routing, using the filtering mechanism (step 1 of routing), calls can be tagged based on automatic number identification or dialed number identification service. Step 3 then chooses a termination based on these tags.
[0102] All call-peer ports can be placed into zones. A caller which is in zone A is allowed to speak only to other parties in the same zone.
[0103] Control of the call hunting process is provided in the multi-protocol session controller. In particular, control specific to call origination (characterizing policy applied to a call source) is provided. This includes the maximum number of attempts allowed for a call source and a maximum post-dial delay specified for the source. The post-dial delay (PDD) timer may also expire when a destination responds with a call proceeding or a 100 trying. 100 trying is a SIP message code formatted according to RFC822. In this case, the multi-protocol session controller will abandon the call attempt.
[0104] Further, the multi-protocol session controller controls the call hunting process by providing that any Internet control message protocol (ICMP) destination that is unreachable may be coming in response to a pending request (both SIP and H.323).
[0105] Another mechanism for control of the call hunting process provides for a hunt timeout specified on a destination basis (SIP and H.323). This timeout determines when the multi-protocol session controller considers an attempt failed and tries the next alternate route.
[0106] As a further control of call hunting, sticky routes are used. A sticky route is defined as the last route used in the call hunting process. In essence it is used to terminate the call in case the attempt which uses the sticky route fails. Sticky routes function as good exception mechanisms to a general hunt process and allow a call termination to determine and terminate the call hunting algorithm.
[0107] Filters and Translations which are common to all calls can be applied as part of transit routes (special kind of routes).
[0108] The multi-protocol session controller interacts with an external application server.
[0109] For endpoints that are registered directly with an application server, the multi-protocol session controller directly hands off calls to the application server. The application server may direct the call to a voice mail server (which may pass through the multi-protocol session controller) or to another registered endpoint through the multi-protocol session controller (hairpin).
[0110] The multi-protocol session controller also creates a dynamic endpoint state for each registration destined to the application server. The dynamic state is created on the realm which the registration comes on and all calls originating from and terminating to these endpoints assume the media routing characteristics of the realm.
[0111] The multi-protocol session controller also uses the session initiation protocol mirror proxy functionality to achieve the same. The multi-protocol session controller will allow assignment of a mirror proxy on a call-peer basis.
[0112] The multi-protocol session controller routes registrations and calls for all endpoints using the mirror proxy functionality to their respective mirror proxy (provisioned at the source of call identified by the multi-protocol session controller).
[0113] The multi-protocol session controller also function as a session initiation protocol (SIP) outbound proxy. The concept of the outbound proxy is defined for the SIP protocol only and applies to calls or services being accessed off a third party session initiation protocol server using the multi-protocol session controller as an intermediate element.
[0114] An ingress session initiation protocol call/registration is classified by the multi-protocol session controller into two categories. First, the multi-protocol session controller serves as the proxy/registrar. In this case, the call/registration is accessing authentication/routing services of the multi-protocol session controller. A request for a uniform resource identifier for registrations must be addressed to the multi-protocol session controller. However, request for a uniform resource identifier for calls may not be addressed to the multi-protocol session controller. The multi-protocol session controller also processes SIP 3xx messages locally without passing them on to the caller.
[0115] Second, the multi-protocol session controller serves as the outbound proxy. For a registration, the request uniform resource identifier is addressed to a third party SIP server. All calls coming from such endpoints and not addressed to the multi-protocol session controller are treated as outbound proxy calls. Calls addressed to the multi-protocol session controller are still routed as in the proxy mode above. The multi-protocol session controller always relays all SIP final responses (including the 3xx message codes, which relate to redirection responses of the SIP messages) back to the caller in this case. As a consequence of this, no hunting services are provided on the multi-protocol session controller as well. (This is to make sure authentication works properly on each hunt attempt as well as that there is no undue effect on the hunting algorithm implemented on the external server).
[0116] As described above, the multi-protocol session controller has the ability to act as a SIP outbound proxy in both the border as well as core of the session control. A border controller acting as the SIP outbound proxy would forward registrations and signaling messages directly to the end server. Location of such an end server (using a domain name server (DNS), for example RFC 3263) is typically hidden from the endpoints using the multi-protocol session controller as the outbound proxy. The multi-protocol session controller can also employ call hunting to hunt through a locally configured list of servers as part of the location process. Processing of SIP 3xx redirect message codes is also executed on the multi-protocol session controller.
[0117] The multi-protocol session controller can treat a call as an outbound proxy call in two ways. The first way uses SIP request-uniform resource identifier based forwarding for calls from endpoints which are registered with a third party registrar. In this method, the end system accessing the SIP server is aware of the existence of the multi-protocol session controller as the outbound proxy. This method is advisable when the multi-protocol session controller executes the core session control function (as a core controller). The second way uses mirror proxy functionality on the multi-protocol session controller. In this method, the end system accessing the SIP server presumes that service is provided by the multi-protocol session controller. Note that the mirror proxy functionality only applies to endpoints which are registered. The multi-protocol session controller forwards all registrations and signaling messages transparently between the end system and the server. This method is preferable when the multi-protocol session controller executes the border session control function (as a border controller). The mirror proxy functionality allows more control by the administrator over non-conforming SIP endpoints.
[0118] FIG. 7 illustrates a scenario where border control and core session control are not on the same element, both methods may be simultaneously deployed in the system. In particular, the border controller 100 deploys a proxy to the core controller 102 , that in turn provides the proxy to the application sever 104 .
[0119] A mirror proxy may be deployed on the border controller. A request-uniform resource identifier based forwarding is deployed in the core. Call hunting is also executed at the core.
[0120] The following discloses the creation and management of dynamic peers.
[0121] The multi-protocol session controller uses dynamic peers (also known as dynamic endpoints) to manage registrations and calls for user agents which register with a third party registrar. Both the device and the call peer are created and managed at runtime. The following steps describe how this state is managed.
[0122] In the first step, the state is created on a successful registration when the registrar returns a 200 OK. The 200 OK refers to the SIP message code indicating that the response has been successfully processed. A temporary state is maintained while the registration is in progress. The profile used to create the dynamic call peer and device may vary depending on whether a template is discovered for it or whether defaults are being used.
[0123] In the second step, the state is refreshed on every registration. The multi-protocol session controller maintains a timeout based on the 200 OK message sent back for a register. If the endpoint does not refresh, it is deleted.
[0124] In the third step, the state is deleted on an unregistration.
[0125] In the fourth step, the multi-protocol session controller always assigns a timeout value (in response to a 200 OK message) which is the minimum of the locally configured value and that assigned by the registrar.
[0126] In the fifth step, the network address translation state is stored in the dynamic device and maintains signaling information for routing calls back to the user agent.
[0127] In the sixth step, an implicit access control may be enabled for all dynamic call peers by limiting the previous hop for routing calls to the user agent. The multi-protocol session controller allows the previous hop to be open or restricted to the proxy/registrar to which the endpoint registers.
[0128] In the seventh step, the uniform resource identifier with which the user agent can be accessed on the multi-protocol session controller is of the form: user@MSC-Realm, where the registration is for user proxy.
[0129] In the eighth step, each dynamic call peer and device corresponds to a unique session initiation protocol registration and has a unique reg-id (and a port of zero). This allows the user agent to be mobile from one network to another, especially when there is a network address translation between the user agent and the multi-protocol session controller.
[0130] In the ninth step, a dynamic endpoint belongs to the realm on which the registration arrives. When the endpoint moves and the realm changes, the multi-protocol session controller will update it on the next successful registration.
[0131] The templates provide the following functionality. A dynamic call peer is created when the third party session initiation protocol registrar responds with a 200 OK message for the registration. An administrator may associate policy which applies to these dynamically created peers. For example, depending on which subnet the registration originates from, it is within the scope of the invention to associate calls coming from these devices to a site specific media or call admission control policy. When a template is not found, the multi-protocol session controller preferably creates the device and call peer using default parameters.
[0132] Templates have two main functions. The first is assignment of policy to inactive devices and the bound call peers based on registration information. The second is assignment of policy to non-existent devices and call peers based on registration information.
[0133] For example, a template can contain a subnet IP address and mask as its IN/MATCH criteria. On the first registration from this subnet, there are two possibilities:
[0134] The call peer is located and holds the registration alias. In this case, the multi-protocol session controller may use the templates IN/SET and OUT/SET parameters to modify the existing parameters on the device and call peers. This would be used, for example, in case a user agent moves from one subnet to another and the system applies a new media routing policy to calls coming from it.
[0135] When a call peer is non-existent as well as the device then the multi-protocol session controller would use the IN/SET and OUT/SET parameters to instantiate the call peer and device. The IN/MATCH and OUT/MATCH parameters would be initialized by the multi-protocol session controller based on the protocol parameters and state created. This would be used, for example, when session initiation protocol user agents are registering to a third party session initiation protocol server. The OUT/MATCH parameter in this case would be the session initiation protocol A-O-R=user@MSC-Realm. The IN/MATCH parameter would be the session initiation protocol contact address=user@Private-Address and is used to group calls coming from the user agent.
[0136] The present multi-protocol session controller (MSC) also addresses billing issues. The multi-protocol session controller can function as the central point in the network which routes all calls. Call detailed records are produced for each call and logged using ASCII/RADIUS. For calls (identified by Call ID or Callid) which are hairpinned by an application server (AS), the call flow appears as follows:
[0137] Callid1->MSC->Callid2->AS->Callid 3-+MSC->Callid4
[0138] The call detailed records (CDRs) produced for such a call are as follows:
[0139] CDR1 (on MSC): Callid1, Callid2
[0140] CDR2 (on AS): Callid2, Callid3
[0141] CDR3 (on MSC): Callid3, Callid4.
[0142] Extra CDR desired: Callid1, Callid4. All of these call detailed records are desirable to be able to debug and account for all call legs.
[0143] To mediate the call detailed records to be able to produce a single call detailed record, several approaches can be taken. The multi-protocol session controller can implement the IMS charging ID (3GPP) and insert it as part of the P-Charging-Vector (RFC 3455). The application server must support this header and relay it back to the multi-protocol session controller. This is the best solution. Unfortunately, it requires that the application server (which will be a back to back user agent in most cases) pass this header on, unmodified. In this case, the multi-protocol session controller will specially mark CDR1-3 as the intermediate call detailed record (CDR) and produce the final call detailed record.
[0144] The three call detailed records can be mediated on an external system to produce the final call detailed record.
[0145] A topology hiding function is provided for all endpoints directly registered to the multi-protocol session controller. The multi-protocol session controller provides these functions for calls going between realms, calls within a realm, media flowing between realms, and media flowing within a realm (if necessary).
[0146] Under the heading of inter-working function and interoperability, the following apply. For border control, the multi-protocol session controller uses the session initiation protocol back to back user agent and the H.323 back to back gateway as the architectural components.
[0147] In FIG. 8 , the session control architecture also referred to as a protocol stack, provides that the border session control function (BSCF) Policy 106 provides the border session control function (BSCF) 108 . Likewise, the core session control function (CSCF) 112 . The BSCF 108 effects the H.323 routed gatekeeper (GK) 114 , the session initiation protocol (SIP)/H.323 inter-working function (IWF) 116 , the session initiation protocol (SIP) proxy/registrar 118 , and the session initiation protocol (SIP) outbound proxy (OBP) 120 . The core session control function (CSCF) 112 , on the other hand, effects only the SIP proxy/registrar 118 and the SIP OBP 120 .
[0148] The H.323 routed gatekeeper 114 accesses an H.323 gatekeeper 122 and an H.323 gateway 124 . the SIP/H.323 inter-working function accesses the H.323 gateway 124 and an SIP user agent (UA) 126 . The SIP user agent is also referred to as session description protocol (SDP) or SIP-T (session initiation protocol for telephony). The SIP proxy/registrar 118 accesses a back to back user agent 128 that sits atop the SIP user agent 126 , as well as accessing an SIP registrar 130 . The SIP outbound proxy (OBP) 120 only accesses the back to back user agent 128 .
[0149] The H.323 gatekeeper 122 , H.323 gateway 124 , SIP user agent 126 and SIP registrar 130 form a layer that sits atop a layer formed by an H.225/H.235/H.245 component 132 and an SIP TSM component 134 . The H.225/H.235/H.245 component describes the H. 232 protocols suite, where H.225 covers narrow-band visual telephone services, H.235 concerns security and authentication, and H.245 negotiates channel usage and capabilities.
[0150] This protocol architecture provides a TCP/UDP layer 136 , an IP4 and IP6 layer 138 and 140 and at the bottom a media processing layer 142 .
[0151] FIG. 9 shows the policy structure including the SIP registrar 130 and H.323 gatekeeper 122 which accesses a policy 144 including a lookup server 146 , calling plans and virtual private networks (VPN) 148 , and realms/CAC (call admission control) 150 .
[0152] The architecture of FIG. 8 provides flexible mapping of the application as well as protocol information such as user identify (the user name and phone numbers); network topology (the host names domains) and the SIP protocol headers (including “from”, “to”, “privacy”).
[0153] The architecture also provides full control of SIP messages, timers, state machines and call flows. This enables the issuing of messages independently of call participants and enables third party call control (3 pcc) which is used by various applications.
[0154] The architecture of FIG. 8 also provides full control of H. 225 and H.245 state machines. An inter-working with early H.245, H.245 tunneling, H.323 fast connect and H.323 v1 (which are slow start calls such as those used by Cisco call manager) is provided. The inter-working with endpoints implementing the extended fast connect in accordance with H.460.6 such as Avaya PBX) is also provided.
[0155] The present architecture also offers flexible inter-working between SIP and H.323. Specifically, regular voice calls which use any of the above features as well as advanced services such as video can be inter-worked. Facsimile transmission such as T.38 fax inter-working is also supported.
[0156] The access network call admission control is used for call routing load balancing, rejecting calls that exceed the provisioned service level assurance (SLA), or to provide the best effort service for overflow calls. Call routing here refers to selecting the destination of the call.
[0157] The multi-protocol session controller provides an enhanced call admission control for signaling resources, including the call peers and the call peer groups, as well as for bandwidth control for the call peers and call peer groups. The signaling resources refers to the number of call legs that are active on the multi-protocol session controller.
[0158] Bandwidth measurement is not based on call legs originating from or terminating on an endpoint (or realm or subnet or i-edge group). For example, a softswitch (an endpoint) may make a call which is hairpinned through the MSC and media never leaves the endpoint. In this case, there are two call legs (an originating and a terminating call leg) on the endpoint, while the bandwidth used is zero (inter bandwidth, which we are concerned with is zero, however, intra-bandwidth would be non-zero).
[0159] The MSC provides bandwidth control even if it is not in the media path or in control of how the media flows in the underlying network. Media can either be routed directly by the MSC or controlled by using a third party media server. In a case where network topology closely resembles the logical groups created for bandwidth control (a-d above), the MSC can provide control of how bandwidth is used. For example, an administrator may have fixed network resources to route media between Subnet1 and Subnet2 and they may be connected via an MPLS network.
[0160] In FIG. 10 , a peer group is used to bundle subnets and provide call admission control based on groups of subnets. Call admission control can be enforced at the peer level or at the peer group level.
[0161] The provisioning of media routing policy is provided according to an embodiment of the invention. The multi-protocol session controller allows media routing policy to be provisioned in each of the peer, the peer-group, and the realm. At each level two separate kinds of media routing policy are specified, namely intra-X media routing and inter-X media routing. Here X is one of the peer, the peer-group or the realm. The following describes these policies:
[0162] For peer policies under the intra-x media routing, the media routing policy for hairpinned calls is provided. Hairpinned calls are calls for which the originating and terminating peer are the same. For peer policies under the inter-x media routing, media routing policy for calls between this peer and the rest of the peers.
[0163] For peer group policies under the intra-X media routing, media routing policy is provided for calls where the originating and terminating peer are in the same peer group. For peer group policies under the inter-X media routing, media routing policy is provided for calls where the originating and terminating peer are in the different peer groups. For realm policies under the intra-x media routing, media routing policy is provided for calls where the originating and terminating peer are in the same realm. For realm policies under the inter-x media routing, media routing policy is provided for calls where the originating and terminating peer are in the different realms.
[0164] For each of these, the policy definition consists of two values, the policy precedence and the policy on/off. The precedence is a numerical value (integer) and a higher value implies a higher precedence.
[0165] In FIG. 11 , for a call from peer A to peer B, the relevant policy on the source and destination peer is first determined. For example, the call may be between different peers in the same peer group but between different realms. This means that on the source as well as destination peer, the call is subject to the following policies: inter-peer MR (media routing), intra-peer-group MR, or inter-realm MR. The following hierarchy is then applied to determine the media routing policy applicable to the source or destination peer. If the peer has the media routing (MR) policy specified, it is used. If the peer-group has media routing (MR) policy specified, it is used. If the realm has the media routing (MR) policy specified, it is used.
[0166] Once the media routing policy on each peer is determined, the precedence (the integer value) is used to determine which policy wins.
[0167] FIG. 11 provides examples of media routing policy configurations. For an untrusted link (top example) 164 between peer A and peer C is on, the peers A and C are on while peer B is off. For an untrusted network (bottom example) 166 where the link between A and B and between A and C are on, the peer A is on and peers B and C are off.
[0168] Far-end network address translation traversal is discussed hereinafter. The multi-protocol session controller 170 , shown in FIG. 12 , can interface with any kind of generic network address translation/firewall 171 (symmetric, full cone, restricted cone, etc) on a session initiation protocol access network 172 . The network address translation/firewall may be connecting an enterprise/carrier 174 , 176 and 178 to the public internet via a gateway 180 or to the private network 182 of a provider.
[0169] For all session initiation protocol request messages, the existence of the network address translation itself is detected by matching the via header to the source IP address of the message. The response to such a request is always sent back to the source IP and port from which the request came. The multi-protocol session controller also implements RFC 3581, which can be used by the session initiation protocol user agent behind the firewall to register its contact properly.
[0170] Session initiation protocol registrations are provided as follows. The multi-protocol session controller maps the contacts registered by the session initiation protocol endpoints behind the firewall to the source IP and port from which the registration comes. The multi-protocol session controller implements the following mechanism to keep the signaling pin-hole open.
[0171] If the multi-protocol session controller detects that the registration is coming from behind a network address translator, the multi-protocol session controller will tweak down the expiration timeout assigned to the endpoint. The default timeout used will be two minutes (which can be configured by the admin). Some of the considerations for adopting this approach over others are: The suggested mechanism for network address translators to refresh user datagram protocol (UDP) bindings is outbound traffic (where traffic comes from behind the firewall, going to the network address translator's public side). This is mostly for security concerns in that some hacker may attempt to keep a binding open long after it has been closed.
[0172] This method may introduce a significant higher load on the multi-protocol session controller since it requires a large number of messages and the messages to be parsed and created on the multi-protocol session controller. If the registrations are destined to an application server, they may create a lot of load on the application server too. The multi-protocol session controller will provide a filtering mechanism to turn down the frequency at which these registrations are sent to the application server. The multi-protocol session controller will also monitor these registrations to see if any of them need exception processing and need to be sent to the application server (for example, the callid (call ID) or contacts or any other registration uniform resource identifier/contact parameters have changed). The timeout on the application server side will be one day (which can be tweaked down by the application server based on the application server configuration). For example, if the application server assigns a timeout of 60 minutes, the multi-protocol session controller will end up forwarding every 30th registration given a two minute timeout on the network address translator-side.
[0173] The multi-protocol session controller may also provide a mechanism to detect the network address translation timeout using the OPTIONS packets. The OPTIONS refers to a command in a request pocket header relating to the method to be performed on the resource. Possible methods include, Invite, Ach, eye, Cancel, Options, Register, as are known. This mechanism is theoretically possible, but is not guaranteed to work deterministically given the non-deterministic behavior of network address translators. A per endpoint/subnet/realm timeout for network address translation traversal is preferred.
[0174] Static endpoints are session initiation protocol gateways which do not register are also supported. Static pinholes must be provisioned on the firewall to let inbound signaling through.
[0175] Separation between signaling and media network address translation traversal is far-end signaling and media network address translation traversal is shown in FIG. 13 . The multi-protocol session controller separates the far end NAT traversal from the signaling end NAT traversal, and is controlled through configuration. For example, the multi-protocol session controller can be deployed in the configuration shown in FIG. 13 .
[0176] Independence of network address translation traversal and media routing policy is now discussed. Enabling network address translator traversal on an endpoint does not imply that the multi-protocol session controller will take control of media routing for all calls destined to/originating from it.
[0177] See FIGS. 14, 15 and 16 for network address translator traversal scenarios. In each of these scenarios, the administrator would have network address translator traversal enabled on the call peers. In the scenario where the endpoints are dynamic, their configuration for network address translator traversal will be inherited from a global configuration file or the templates. This configuration will enable signaling network address translator traversal. The media routing configuration for the call peer groups which the call peers are part of will then be applied to determine how media must be routed.
[0178] The ring-back problem ( 183 -> 200 ) will now be described. The numbers 183 and 200 refer to message codes for responses. In the SIP, a message code 183 refers to ringing of the phone being called and a message coded 200 indicates that the user has picked up the phone and that the call set up is completed. The 200 OK message is sent to the call initiating phone. The multi-protocol session controller will optionally allow a SIP 183 message to be signaled as a 200 to the caller, to circumvent the ring-back problem. Calls for which this signaling is employed and which do not connect are reported in a normal fashion. The only change in the call detailed records will be that the last message sent to a caller indicates a 200 OK. It is not advisable to do billing on the caller side in this scenario. This feature can be configured on the template ports or actual phone ports. This feature is not advised to be used for STUN (simple traversal of UDP Through NATs) capable clients. This is a protocol that allows applications to discover the presence and types of network address translators.
[0179] Issues with network address translator traversal, include that any media sent by the called party before the caller sends media may get clipped. The 183 -> 200 conversion above alleviates this problem in cases where the called party sends media along with 183 and not before it. With the 183 -> 200 conversion described above, the multi-protocol session controller will hang up the calling party if any other final response other than 200 is received on the called side. An appropriate reason header may be used in the BYE message. Note that 3xx responses coming after the 183 will not be pursued.
[0180] Another solution to this is to use a media server/application server. The multi-protocol session controller can route the call to an application server after detecting that the call came from a device behind a network address translator. The application server will connect the call to a media server and hunt on the second leg of the call.
[0181] Interaction with STUN/ICE based systems: The Far-End NAT traversal implemented on the multi-protocol session controller is fully compatible with STUN/ICE based systems which may also use RFC 3581.
[0182] Quality of service and integration with the Juniper Networks Service Deployment System are described hereinafter.
[0183] The multi-protocol session controller 170 can be integrated with the Juniper Networks SDX system. The SDX enables service delivery to subscribers over a variety of broadband access technologies like DSL, Cable etc. The SDX works with the Juniper Networks Edge Router (ERX) and allows activation of service on an as needed basis. The multi-protocol session controller 170 could be owned by the wholesaler (who owns and administers the core network) or the retailer (who may manage the subscribers or services). The FIG. 17 illustrates the positioning of multi-protocol session controller in such a system.
[0184] The SDX Gateway 190 is a component of the SDX system which allows external components to interact with the SDX components through a simple object access protocol (SOAP) interface 192 (the multi-protocol session controller uses the Content Provider web application). The SDX Gateway communicates policy to the SAE 194 which uses common object policy service (COPS) 196 to provision the ERX (a Juniper Networks ERX Series Edge Router) 198 and reserve resources for the media to flow through the network.
[0185] A simplified session initiation protocol call flow is outlined. Media which starts to flow before the multi-protocol session controller communicates the policy to the SDX may not get the right class of treatment. For H.323, the provisioning is similar. The multi-protocol session controller does not report media/quality of service statistics in call detailed records in this scenario.
[0186] The reporting of quality of service and call statistics is carried out as follows. The multi-protocol session controller will report the following quality of service and call statistics in order to enable quality reporting and diagnostics. These statistics will be reported only when multi-protocol session controller is controlling the media flows in the network.
Parameter Reporting basis Format Definition SIP Signaling Call-peer integer Resettable. Indicates how message many retransmissions of retransmissions requests and responses have occurred over an aggregate of calls done since the last reset Codec CDR string Indicates what codec was used for the call Packet Loss Rate CDR Fixed point number The fraction of RTP data with the binary point packets from the source at left edge of the lost since the beginning of field. reception Packet Discard Rate CDR Fixed point number The fraction of RTP data with the binary point packets from the source at left edge of the that have been discarded field. since the beginning of reception, due to late or early arrival, under-run or overflow at the receiving jitter buffer. Burst Density CDR Fixed point number The fraction of RTP data with the binary point packets within burst at left edge of the periods since the field. beginning of reception that were either lost or discarded. Gap Density CDR Fixed point number The fraction of RTP data with the binary point packets within inter-burst at left edge of the gaps since the beginning field. of reception that were either lost or discarded. Burst Duration CDR milliseconds The mean duration, expressed in milliseconds, of the gap periods that have occurred since the beginning of reception. R factor CDR integer in the range 0 The R factor is a voice to 100, with a value quality metric describing of 94 corresponding the segment of the call to “toll quality” and that is carried over this values of 50 or less RTP session. regarded as unusable MOS-LQ CDR on a scale from 1 to The estimated mean 5, in which 5 opinion score for listening represents excellent quality and 1 represents unacceptable. MOS-CQ CDR on a scale from 1 to The estimated mean 5, in which 5 opinion score for represents excellent conversational quality and 1 represents unacceptable.
[0187] For voice and fax, or facsimile, transcoding the MSC can act as a transcoding engine for voice and fax calls. Transcoding services are provided for calls handed off to an access network which requires a different level of compression than used by the ingress network.
[0188] The multi-protocol session controller may deploy external media resources to perform the transcoding. These resources may be deployed at the access network or centralized in the network core.
[0189] As shown in FIG. 18 , the multi-protocol session controller 170 provides the following transcoding functions: G.729 4<->G.711, T.38 Fax<->G.711 Pass Through fax, and DTMF (dual tone multi frequency) Transcoding (RFC 2833 based DTMF<->G.711 in band DTMF).
[0190] The transcoding function complies with the RTP Translator defined in RFC 3550. The transcoding function is available for both session initiation protocol and H.323 calls and is done on a per call basis.
[0191] Deployment of transcoding resources may be provided in the access network or core network The multi-protocol session controller 170 controls the transcoding resource by using the MSCP (Media Services Control Protocol) 200 which allows the transcoding resource to be controlled by multiple multi-protocol session controllers. The multi-protocol session controller always acts as the point where media enters or leaves the access network.
[0192] The multi-protocol session controller can use the following media gateways for purposes of transcoding.
Support for Support for 1 + 1 Fax Media Gateway Redundancy Transcoding Density Brooktrout's Snowshore Yes Planned 700 Media Firewall Audiocodes IP Media No Yes 1810-200 2000 Server 2810-300 6310-2000
[0193] The call flows are described. These flows also use the MSCP Gateway which converts between MSCP and the proprietary TPNCP (Audiocodes).
[0194] Thus, the present invention provides improvements including: selective media routing; call routing with layer two, layer three, codec (coding and decoding), and MOS (mean opinion score) qualifiers; an MFCP and MFCP gateway, inter-working function (IWF) and video; an integrated system for least cost call routing; and an integrated system for maximum profit call routing. These features unique to embodiments of the present invention and provide significant differentiation to this technology.
[0195] The mean opinion score (MOS) is a scale that determines relative quality of voice communications as subjectively perceived by human users listening to speech over a communications network. One way delay and signal loss are significant factors in the mean opinion score, although other factors effect the perception of the human user as well.
[0196] Selective media routing is provided. The present technology allows the separation of the signaling and bearer networks. However, typically, the signaling and/or bearer are forced through certain network elements to monitor and enforce quality of service, optimize network route etc.
[0197] Selective media routing provides control to the network service provider to do media routing on a dynamic basis, with the least amount of configuration. Selective media routing policies are based on either ingress or egress call peer's policies. The criteria for both precedence values and on/off is network design, based on the creation of trust boundaries. If the peers are all inside the network operators trust boundary, then there is no need to do media routing. Hence, most of the peers that are designed to handle calls within the trust boundary will have the default value for the policy set to “OFF”. However, peers at the edge of the network can potentially have calls routed to them from non-trusted networks. When calls come from non-trusted networks, then such calls should be media routed. So, a precedence value is set in the edge peers; if the value of the precedence value is lower than the non-trusted peer's precedence value, then the media routing policy of the non-trusted peer takes over and media routing happens.
[0198] See FIG. 20 for an example wherein the multi-protocol session controller 170 is connected at a trust boundary 240 to provide media communications across the trust boundary to an endpoint C 242 . Endpoints A and B 244 and 246 are within the trust boundary 240 . The precedence for endpoint C is at 10 with the value set to ON, while the precedence for endpoint A 244 is at 5 with the value OFF, and for endpoint B is at 5 with the value OFF.
[0199] The following table provides an overview of whether media routing is used in communications between trusted and non-trusted networks.
Non-trusted network Trusted network Always media route Non-trusted network Non-trusted network Always media route Trusted network Trusted network Do not media route Trusted network Non-trusted network Always media route
[0200] Turning to FIG. 19 , the figure shows the physical architecture of the multi-protocol session controller 170 . A dual CPU processing unit 210 is liked with a network processor cart 212 . Operating components include a call processing unit 214 with a firewall control entity (FCE) 216 as an interface to a media firewall control protocol (MFCP) 218 . The MFCP 218 communicates through an MFCP server 220 to a session filter on iXP2400, 222 , that enables separation of signaling and bearer channels.
[0201] The Media Routing functionality has been described elsewhere in this specification.
[0202] Call routing with qualifiers will now be described. The traditional concept of call routing involves making decisions on which trunk to “switch” on based on the dialed number for the call, and/or e originating trunk. However, in VoIP based call routing, the present invention has extended that notion to include call routing with layer two identifiers such as VLAN IDs (Virtual LAN Identifiers), with layer three identifiers such as DiffServ/TOS markings, with codec (coding and decoding device) preferences for the call, and with mean opinion scores (MOS) qualifier for previous calls to and/or from that destination/origination, etc. The present call routing can ensure a high quality of service of the call by controlling the call routing.
[0203] In call routing with qualifiers, criteria are used for identifying layer 2 and layer 3 components. The layer 2 and layer 3 qualifiers are used to identify the source as well as set a marker for the egress network to use for its quality of service. Typical layer 2 qualifiers are VLAN tags and priority bits. The VLAN tags are specified in IEEE Standard 802.1Q and the priority bits are specified in IEEE Standard 802.1p. Using the VLAN tags, the present multi-protocol session controller can identify the source of the call and media as from a given call peer. Once the ingress call peer is identified, then appropriate policies can be applied to the call. Layer 3 identifiers are typically a uniquely identifiable IP address and IP subnet addresses.
[0204] The mean opinion score (MOS) is used by the multi-protocol session controller and is derived by looking at the incoming media stream and making measurements of jitter, latency and packet loss. The computation of the MOS score is based on the ITU-T standard E-model (G.107). FIG. 21 illustrates the voice quality measurement for MOS and E-model. The multi-protocol session controller 170 is provided between endpoint A 250 on an access network 252 and an endpoint B 254 on a provider network 256 . Measurements of call quality are based on jitter and packet loss and are made as forward measurements for communications from endpoint A 250 to endpoint B 254 and as reverse measurements for communications from endpoint B 254 to endpoint A 250 .
[0205] A media firewall control protocol (MFCP) gateway is provided. To separate signaling and media networks and to scale signaling and media independently, a “control” protocol was specified. This control protocol is referred to as Media Firewall Control Protocol (MFCP) 218 . The media firewall control protocol can be used to control firewalls, media servers and also edge routers. However, firewalls, media servers and edge routers may have implemented their own control protocol for updating policies on their system. The present invention provides a logical entity called the MFCP Gateway that takes MFCP as an input and converts it to the appropriate control protocol of the firewall, media server or edge router.
[0206] An interworking function (IWF) and video is provided. The interworking Function (IWF) involves the conversion between SIP and H.323 call setup protocols used widely for setting up calls in the VoIP arena. Mapping between SIP and H.323 is not very straightforward, and has heretofore been loosely specified. The present technology provides for seamless conversion between SIP and H.323, and vice versa. However, video calls or calls that involves sending video and audio as media is a hard problem to solve. The mapping of video capabilities between SIP and H.323 is not well understood and not well documented. The present technology encompasses SIP-H.323 IWF for video calls also.
[0207] The present invention provides an integrated system or least cost call routing. The cost of call routing includes a number of factors, including the actual dollar cost of buying and selling routes, as well as the quality parameters such as post dial delay (PDD), answer seizure ratio (ASR), mean opinion score (MOS), and others. The dollar cost of buying and selling routes is known by the network administrator and is input by the network administrator for utilization by the session controller. The quality factors may be measured and the measurements utilized by the session controller. The present session controller utilizes this hybrid notion of cost which includes the network operator's actual cost of doing business (on that route) as well as the user experience (as measured by the quality parameters such as PDD, ASR, MOS, etc), so that the network operator can have a very optimized network for both profit and operations.
[0208] Network operators whose primary service to their customers is network transit, find that their cost for carrying a telephone call depends upon where the VoIP call is destined and is variable depending upon the path that that call takes through their network as well as through the networks of their partners. Hence, network operators seek to transit every call through their network, using the technique called least cost routing (LCR).
[0209] The present session controller along with the iVMS provides a method for doing LCR. The present session controllers route all VoIP calls based on policies setup by the network operators. The iVMS system actually takes in rates for various paths through the network, and can compute the best set of policies that result in least cost routing of every call that the present session controllers process.
[0210] The present invention provides an integrated system for maximum profit call routing. Network operators, once they have the right policies for doing least cost routing (LCR), also have to consider the profit that they make on every call that passes through their network. To maximize profit, they have to consider not only least cost routing for carriage or termination through their network, but also the origination income. This mode of operation involves looking at aggregate cost of termination, and provides a policy layer on top of LCR, but which can also be sometimes orthogonal to it.
[0211] The present session controller along with iVMS provides a method for doing maximum profit routing (MPR). The present session controllers route all VoIP calls based on policies setup by the network operators. The iVMS system takes as input, dollar rates not only for various transit and/or terminations, but also rates for originations and then can compute the appropriate policies that result in MPR. These policies are then input into the session controller directly from the iVMS, resulting in MPR for the network operator.
[0212] In another feature of a preferred embodiment, the system uses an in-memory database. In FIG. 22 , the multi-protocol session controller policy database (referred to hereinafter as simply the “database”) is stored in two forms on a runtime multi-protocol session controller, as a persistent database on the hard drive disk and in-memory in Random Access Memory (RAM) of the computing platform used to run the multi-protocol session controller. When the multi-protocol session controller application is started, the persistent database (“P-DB”) on the disk is read and stored in memory (“M-DB”) for very fast querying of the policy information required to process each call handled by the multi-protocol session controller.
[0213] Every call handled by the multi-protocol session controller requires policy lookups. The in-memory database, M-DB, provides a repository for policy information, required to process calls. Since very high performance is required of the multi-protocol session controller, these policy lookups must possess the following properties: The query time must be minimal, and must not change under the same load conditions due to other activity in the system, and the query time should not increase linearly or exponentially with the increase in the number of simultaneous calls being handled.
[0214] The in memory database M-DB was designed to satisfy these constraints. The in memory database is organized into multiple “database tables” to structure the policy data. The in memory database does not expose a standard query language interface such as SQL, to other programs. A programmatic application programming interface (API) provides atomic operations on the persistent database P-DB, which is used by the components of the multi-protocol session controller, such as the GIS (call processor), the Jserver (provisioning agent) and the CLI (command line interface). In one embodiment, the in memory database includes the following tables call routes table, endpoint table, call plan binding table, call admission control (CAC) table, triggers table, VPN table, and realms table.
[0215] In order to query the database as quickly as possible, each table is indexed multiple times, resulting in multiple “keys” (in traditional database parlance). The innovative aspect of this table structure is that each key does not have to be unique, even though some keys are unique, such as phone numbers, for example. The search methodology for each of these keys could be different. The search methodologies used within the in memory database M-DB include: binary search, hash search, and ternary search tree.
[0216] In particular, see the following:
Search Algorithm Algorithm Efficiency Binary search 0 (log n) Hash search 0 (1) Ternary search tree 0 (constant * log n)
[0217] According to an aspect of the present system, asynchronous write-through is provided. The persistent database P-DB provides persistence to the information stored in the in memory database M-DB. Hence, the information in the M-DB and the P-DB should be identical and cannot get out of synchronization for too long. At any point in time, in an operational multi-protocol session controller, the in memory database M-DB will hold the more authoritative information than the persistent database P-DB. As such, whatever information is written into the persistent database P-DB must also be written into the in memory database M-DB and vice versa. However, there are several processes that read from and update the persistent database P-DB. A common Application Programming Interface (API) is used to interface to the database. The API to the persistent database P-DB is used by the CLI (command line interface), GIS (call processor) and the Jserver (provisioning agent) processes.
[0218] This is a process whereby the persistent database P-DB is updated via a “write-through” of the in memory M-DB. The in memory database M-DB is always updated first before persistent database P-DB is-updated.
[0219] The API to the persistent database P-DB updates the in memory database M-DB database transparently. The API also updates the in memory database M-DB first, before updating the persistent database P-DB. The side effect of this is that multiple commits to the same table of the M-DB can happen before the P-DB is actually updated. In such cases, the persistent database P-DB will only have the last and most authoritative update committed. This is achieved by the API using two principles: asynchronicity and data independent update
[0220] In updating using asynchronicity, the API performs an asynchronous update of the information. Any information given to the API for committing into the database is first updated into the in memory database M-DB and then queued for update to the persistent database P-DB. The queuing is necessary as the disk update requires operating system scheduling intervention, and a bulk update of the disk is more efficient than multiple sporadic writes to the disk. However, the information is already committed to the in memory database M-DB and hence is available to all the processes for querying.
[0221] The API when updating the in memory database M-DB, only uses the keys to the table and is not aware of the data itself. In traditional database Structured Query Language (SQL) based systems, the commit command carries the data to be updated too. However, the API here is only aware of the keys and not the data itself The data is opaque to the API. As soon as the API uses the key to find the correct entry, the commit of the data happens in one operation. If a subsequent commit operates on the same key, then the data in the in memory database M-DB will get updated again, even before the commit queue to the persistent database P-DB is completed.
[0222] The asynchronous write-through procedure of the database provides a number of benefits, including that the information is always available for high performance applications, the integrity of information and sequentiality is maintained, and the persistence of information is transparently maintained.
[0223] Thus, there is provided a system and method for voice and real time or at least nearly real time communications over a packet switched network. The present system includes a multi-protocol session controller that can be deployed as either a core controller or a border controller. The present session controller provides selective media routing; call routing with layer two, layer three, codec (coding and decoding), and MOS (mean opinion score) qualifiers; an MFCP and MFCP gateway; inter-working function (IWF) and video; an integrated system for least cost call routing; an integrated system for maximum profit call routing; and an in memory database.
[0224] Although other modifications and changes may be suggested by those skilled in the art, it is the intention of the inventors to embody within the patent warranted hereon all changes and modifications as reasonably and properly come within the scope of their contribution to the art. | A session controller coupled to a database and configured to receive an indication associated with an ingress call is disclosed. The disclosed session controller is further configured to compare at least one of a network capacity, a call-peer bandwidth, or a number of active call-legs associated with the ingress call session against a respective threshold, and to reject the ingress call when a respective threshold is exceeded. | 96,630 |
CROSS-REFERENCE TO RELATED APPLICATIONS
This application is a 371 of PCT/EP2009/058205 filed on Jun. 30, 2009, which claims the benefit of European Patent Application No. 08159692.6 filed on Jul. 4, 2008, the contents of each of which are incorporated herein by reference.
FIELD OF THE INVENTION
The present invention relates to aryl isoxazole derivatives having antitumoural activities through, as one possible biological target, the molecular chaperone heat shock protein 90 (Hsp90) inhibition. The invention includes the use of such compounds in medicine, in relation to cancer disease as well as other diseases where an inhibition of HSP90 is responsive, and the pharmaceutical composition containing such compounds.
BACKGROUND OF THE INVENTION
Heat shock proteins (Hsp's) play a key role in cell protection against various cell stress factors (i.e. toxic xenobiotic, chemotherapy, radiation) acting as a protective factor against the misfolding of essential proteins involved in maintaining cell functionality. Hsp90 proteins, members of these molecular chaperones are proteins that play a key role in the conformational maturation, stability and function of so-called “client” proteins, many of them belonging to the oncogenic protein family, such as Bcr-Abl, p53, Raf-1, Akt/, ErbB2, EGFR, Hif and other proteins, as well as steroid hormone receptors. The inhibition of Hsp90 triggers the disruption of the Hsp90-client protein complex, and subsequently, its proteasome-mediated degradation causes loss of function and inhibition of cell growth. Interestingly, heat shock protein 90 has emerged as an important target in several diseases. In particular, the role played by Hsp90 in regulating and maintaining the transformed phenotype in cancers and neurodegenerative diseases has been recently identified, as well as its roles in fungal and viral infections (Solit D. B., et al., Drug Discov. Today, 2008, 13(1-2), 38). In particular, Hsp90 inhibition has also been reported to be beneficial in the treatment of neurodegenerative diseases such as dementia with Lewy bodies, amyotrophic lateral sclerosis, spinal and bulbar muscular atrophy, spinocerebellar ataxias, Parkinson, Huntington and Alzheimer's diseases (Taylor D. M., et al., Cell Stress Chaperones, 2007, 12, 2, 151; Yang Z., et al., Nat. Med., 2007, 13, 3, 348; Katsuno M., et al., Proc. Natl. Acad. Sci. USA, 2005, 12, 46, 16801; Gallo K. A., Chem. Biol., 2006, 13, 115; Luo W., et al., Proc. Natl. Acad. Sci., 2007, 104, 9511; Macario A. J., et al., N. Engl. J. Med., 2005, 353, 1489; Dou F., et al., Int. J. Mol. Sci., 2007, 8, 51); inflammatory diseases (Vega V. L., et al., Mol. Biol. Cell., 2003, 14, 764; Poulaki V., et al., Faseb J., 2007, 21, 2113); cerebral ischemia (Lu A., et al., J. Neurochem., 2002, 81, 2, 355) and malaria (Kumar R., et al., J. Biosci., 2007, 32, 3, 531).
Moreover, many Hsp90 client proteins are over-expressed in cancer, often in mutated forms, and are responsible for unrestricted cancer cell proliferation and survival. Interestingly, Hsp90 derived from tumour cells has particularly high ATPase activity with higher binding affinity to Hsp90 inhibitors than the latent form in normal cells, allowing specific targeting of Hsp90 inhibitors to tumour cells with little inhibition of Hsp90 function in normal cells (Chiosis G., et al., ACS Chem. Biol., 2006, 1, 5, 279). In addition, Hsp90 has also been recently identified as an important extracellular mediator for tumour invasion (Eustace B. K., et al., Nature Cell Biol., 2004, 6, 6, 507; Koga F., et al., Cell cycle, 2007, 6, 1393).
Thus, Hsp90 is considered a major therapeutic target for anticancer drug development because inhibition of a single target represents attack on all of the hallmark traits of cancer.
Since the discovery that two natural compounds, geldanamycin and radicicol, were able to inhibit Hsp90 function through binding to an ATP binding pocket in its N-terminal domain, the interest for Hsp90 inhibitors has grown. The natural antibiotic geldanamycin was shown to exhibit potent antitumour activity against human cancer cells (Whitesell L., et al., Cancer Res., 1992, 52, 1721), but significant toxicity prevented its clinical development (Supko J. G., et al., Cancer Chemother. Pharmacol., 1995, 36, 305).
The first-in-class Hsp90 inhibitor to enter clinical trials was the geldanamycin analogue 17-AAG (17-allylaminogeldanamycin). Even though high in vitro activity characterizes this geldanamycin derivative, its interest is shadowed by poor solubility coupled to hepatotoxicity properties. Some of these problems have been partially solved by the discovery of 17-dimethylaminoethylgeldanamycin.
Radicicol, a natural macrocyclic anti-fungal antibiotic, was found to inhibit Hsp90 protein by interacting at a different site of action than Geldanamycin (Sharma S. V., et al., Oncogene, 1998, 16, 2639). However, due to its intrinsic chemical instability it was deprived of in vivo activity.
Another important class of inhibitors resides in the purine scaffold. This class of derivatives was devised by structural homology with ATP. Among the many inhibitors developed within this family, PU24FCl was found to possess high in vitro and in vivo activity (He H., et al., J. Med. Chem., 2006, 49, 381).
High-throughput screening campaigns permitted the discovery of benzisoxazole derivatives endowed of Hsp90 inhibitory properties having a resorcinol moiety in position 3 (Gopalsamy A., et al., J. Med. Chem., 2008, 51, 373).
Among the different class of Hsp90 inhibitors, Vernalis Ltd. has disclosed 4,5-diarylpyrazoles (Cheung K. M., et al., Bioorg. Med. Chem. Lett., 2005, 15, 3338); 3-aryl,4-carboxamide pyrazoles (Brough P. A., et al, Bioorg. Med. Chem. Lett., 2005, 15, 5197), 4,5-diarylisoxazoles (Brough P. A., et al., J. Med. Chem., 2008, 51, 196), 3,4-diaryl pyrazole resorcinol derivative (Dymock B. W., et al., J. Med. Chem., 2005, 48, 4212; Smith N. F., et al., Mol. Cancer Ther., 2006, 5, 6, 1628) and thieno[2,3-d]pyrimidine (WO2005034950, AACR 2009, Denver, Colo., poster 4684).
WO2003013517 reports 3-aryl-5-aminoisoxazole derivatives as kinase inhibitors useful as anticancer agents.
WO2002070483 discloses heterocyclic diamide compounds of general formula I as useful agents for controlling invertebrate pest.
However, to date, no Hsp90 inhibitors fully satisfy the requisites of safety and stability. Therefore, the desire of potent and selective Hsp90 inhibitors remains an interesting and promising goal. We have now found that 4-amino substituted aryl isoxazole are endowed of high and unexpected Hsp90 inhibitory properties.
DESCRIPTION OF THE INVENTION
The present invention relates to a new class of substituted 4-amino-5-aryl isoxazole compounds and its use as Hsp90 inhibitors. A core isoxazole ring with one aromatic substitution on position 5, and a limited class of amido substitution on position 3, associated to a NH-substitution like amine, amide, ureido, carbamate, etc. on position 4 are the principle characterising features of the compounds of the present invention.
The invention provides compounds of formula (I) or a salt, N-oxide, hydrate or solvate thereof, in the preparation of a composition for inhibition of Hsp90 activity:
wherein,
X is halogen, alkyl, alkenyl, haloalkyl, aryl, heteroaryl, benzyl, amino, alkylamino, or aminocarbonyl;
Y and Z, the same or different, are halogen, nitro, haloalkyl, R 3 , OR 3 , amino, alkylamino, or aminocarbonyl;
R 3 is hydrogen, alkyl;
R 1 is NHC(=D)ER 4 or NR 5 R 6 ;
D is O or S;
E is O, NR 7 or is absent;
R 7 is hydrogen or alkyl;
R 4 is alkyl optionally substituted once with alkoxy or amino; alkenyl, aryl optionally substituted once or more with alkoxy, halo or heterocycloalkylalkyl; cycloalkyl optionally substituted once or more with alkyl, haloalkyl, alkoxy, amino or aminoalkyl; norbornyl, adamantyl, heteroaryl optionally substituted once or more with alkyl, alkylaminocarbonyl; heterocycloalkyl optionally substituted once or more with alkyl; or heterocycloalkylalkyl optionally substituted once or more with alkyl;
R 5 and R 6 independently are hydrogen, alkyl, cycloalkyl, heterocycloalkyl optionally substituted once or more with alkyl; alkenyl, benzyl, aryl, arylkyl optionally substituted with alkoxy; heteroaryl, heteroarylkyl optionally substituted once or more with alkyl, hydroxyalkyl, alkoxy, alkoxycarbonyl; or R 5 and R 6 taken together with the nitrogen atom to which they are attached can form an optionally substituted 5 to seven-membered heterocycle ring, which optional substitution being halogen, hydroxyl, alkoxyl, alkyl, aryl, arylkyl, alkylcarbonyl or aminocarbonyl.
R 2 is NR 8 R 9 ;
R 8 and R 9 , the same or different are chosen from H, alkyl optionally substituted with halogen; haloalkyl, aryl, cycloalkyl, heterocycloalkyl and heteroaryl; or R 8 and R 9 , taken together with the nitrogen atom to which they are attached, form a heterocycle that may contain one or two further heteroatoms selected from O, S or N and which can optionally be substituted once or twice with alkyl or halogen;
their tautomers, their geometrical isomers, their optically active forms such as enantiomers, diastereomers and their racemate forms, as well as their pharmaceutically acceptable salts thereof.
An embodiment of this invention is that of compounds of formula I, for use as medicaments.
In a further embodiment, said medicament is used for treating a subject afflicted by cancer diseases, neurodegenerative diseases, inflammatory diseases, cerebral ischemia or malaria.
In a preferred embodiment, said medicament is used for treating cancer diseases.
In another preferred embodiment, said medicament is used for treating inflammatory diseases.
In another still preferred embodiment, said medicament is used for treating autoimmune diseases.
In a still preferred embodiment, said medicament is used for treating cerebral ischemia.
In another still preferred embodiment, said medicament is used for treating parasitemia including malaria.
The invention furthermore provides a process for the preparation of compounds of formula I, which can be prepared by conventional synthetic methods and are described underneath.
Compounds of formula I, where R 4 is NHC(=D)ER 4 , D is O and E is absent, can be obtained for example by reacting a compound of formula II,
wherein X, Y, Z and R 2 are as described above, with an acyl chloride of formula ClCOR 4 in an aprotic solvent (i.e., DCM) in the presence of a base such as NEt 3 . Corresponding compounds where D is S can be obtained by reacting the latter with the Lawesson's reagent in toluene at a temperature ranging from RT to 90° C.
Compounds of formula I, where R 1 is NR 5 R 6 and where R 5 and R 6 are alkyl, cycloalkyl, heterocycloalkyl, arylkyl or heteroarylkyl can be obtained for example by reacting a compound of formula II, wherein X, Y, Z and R 2 are as described above, with one or more equivalents of compounds of formula R—CHO or R′═O (with the meaning of ketone), where the moieties R—C and R′ have the meaning of R 5 and/or R 6 as described above, in a polar solvent (i.e., MeOH) in the presence of an acid such as AcOH and of a reducing agent such as NaCNBH 4 .
Alternatively, compounds of formula I, where R 1 is NR 5 R 6 and where R 5 and R 6 are alkyl, alkenyl, arylkyl or heteroarylkyl can be obtained for example by reacting a compound of formula II, wherein X, Y, Z and R 2 are as described above, with one or more equivalents of compounds of formula R—X′, where R has the meaning of R 5 and/or R 6 as described above, and X 1 has the meaning of a leaving group such as Cl, Br or Tf, in an aprotic solvent (i.e., DCM) in the presence of a base such as NEt 3 .
Alternatively, compounds of formula I, where R 1 is NR 5 R 6 and where R 5 and/or R 6 represent aryl or heteroaryl, can be obtained for example by reacting a compound of formula III,
wherein X, Y, Z and R 2 are as described above, with an amine of formula IV
(R 5 R 6 NH) Formula IV
where R 5 and R 6 have the meanings as defined above, in the presence of a catalyst such as Pd(dba) 2 /P(tBu) 3 .
Compounds of formula III can be obtained as described in WO04072051 via bromination of the corresponding 4-H isoxazole derivative with bromine in acetic acid in the presence of sodium acetate.
Compounds of formula I, where R 1 is NHC(=D)ER 4 can be obtained for example by reacting a compound of formula V,
wherein X, Y, Z, D and R 2 are as described above, with a compound of formula ER 4 , wherein E is NR 7 and R 4 are as described above, in an aprotic solvent (i.e., THF) in the presence of a base.
Compounds of formula II, wherein X, Y, Z and R 2 are as described above, can be obtained for example by reacting compounds of formula VI
wherein X, Y, Z and R 2 are as described above,
with HNO 3 /Ac 2 O to get the nitro-derivatives of formula VII (Chimichi S.; et al., Heterocycles, 1989, 29, 1965)
wherein X, Y, Z and R 2 are as described above which in turn undergoes a reduction process (i.e., by means of Zn/NH 4 Cl as reported, Pascual A., Helvetica Chim. Act., 1989, 72, 3, 556).
An embodiment of the present invention is that of compounds of formula VII wherein X, Y, Z and R 2 are as described above as an intermediate in the synthesis of compounds of formula I.
Another embodiment of the present invention is that of compounds of formula II wherein X, Y, Z and R 2 are as described above as an intermediate in the synthesis of compounds of formula I.
In all said transformations, any interfering reactive group can be protected and then deprotected according to well-established procedures described in organic chemistry (see for example: Greene T. W. and P. G. M. Wuts “Protective Groups in Organic Synthesis”, J. Wiley & Sons, Inc., 3rd Ed., 1999) and well known to those skilled in the art.
All said transformations are only examples of well-established procedures described in organic chemistry (see for example: March J., “Advanced Organic Chemistry”, J. Wiley & Sons, Inc., 4th Ed., 1992) and well known to those skilled in the art.
The term “alkyl” refers to linear or branched alkyl groups having from 1 to 20 carbon atoms, or preferably, 1 to 12 carbon atoms, or even more preferably 1 to about 6 carbon atoms. Lower alkyl group is exemplified by groups such as methyl, ethyl, n-propyl, isopropyl, n-butyl, isobutyl, neo-butyl, tert-butyl, pentyl, iso-pentyl, n-hexyl and the like. Said “alkyl” can optionally be substituted with one or more possible substituents like hydroxyl, halogen, amino, and the like.
The term “cycloalkyl” refers to a saturated or partially unsaturated (but not aromatic) carbocyclic group of 3 to 10 carbon atoms having a single ring. Examples of “C 3 -C 10 -cycloalkyl” include cyclopropyl, cyclobutyl, cyclopentyl, cyclohexyl, and the like. Said cycloalkyl can optionally be substituted with one or more hydroxyl, halogen, lower alkyl, haloalkyl, lower alkoxy, amino, aminocarbonyl, alkylcarbonyl or alkoxycarbonyl.
The term “haloalkyl” refers to CF 3 or CHF 2 moieties or to alkyl groups as previously defined containing CF 3 or CHF 2 moieties.
The term “alkenyl” refers to linear or branched alkenyl groups preferably having from 2 to 12 carbon atoms, or more preferably, from 2 to 6 carbon atoms also named “lower” alkenyl group and having at least 1 or 2 sites of alkenyl unsaturation. Preferable alkenyl groups include ethenyl (—CH═CH 2 ), propenyl (allyl, —CH 2 CH═CH 2 ) and the like. The term alkenyl embraces radicals having “cis” and “trans” orientation, or alternatively “Z” and “E”.
The term “alkoxy” refers to the group —OR where R includes “alkyl”, “cycloalkyl” and “heterocycloalkyl”.
The term “alkoxycarbonyl” refers to the group —C(O)OR where R includes “alkyl”, “cycloalkyl” and heterocycloalkyl.
The term “amino” refers to the group —NH 2 .
The term “alkylamino” refers to the group —NHR where R is “alkyl”.
The term “cycloalkylamino” refers to the group —NHR where R is “cycloalkyl”.
The term “arylamino” refers to the group —NHR where R is “aryl”.
The term “aminoalkyl” refers to the group H 2 NR— where R is “alkylene”.
The term “lower” when associated with the terms alkyl, alkoxy, alkylamino, aminoalkyl, or heteroarylkyl, means that the respective alkyl group contains from 1 to 6 carbon atoms.
The terms “heterocycloalkyl” and heterocycle refer to a saturated or partially unsaturated (but not aromatic) four, five-, six- or seven-membered ring containing one or two nitrogen, oxygen or sulfur atoms, which may be the same or different and which rings may be substituted with amino or alkyl. Preferred heterocycloalkyl include azetidine, pyrrolidine, piperidine, piperazine, ketopiperazine, 2,5-diketopiperazine, morpholine and thiomorpholine.
The term “heterocycloalkylalkyl” refers to alkyl groups as defined above, having a heterocycloalkyl substituent; including 2-(1-pyrrolidinyl)ethyl, 4-morpholinyl methyl, 4-morpholinyl ethyl, (1-methyl-4-piperidinyl)methyl, (1-methyl-4-piperazinyl)ethyl and the like.
The term “aryl” refers to an aromatic carbocyclic group of 6 to 14 carbon atoms having a single ring (e.g., phenyl) or multiple rings that may be attached in a pendent manner or may be fused. Preferred aryl include phenyl, naphthyl, phenantrenyl, biphenyl and the like. Said “aryl” may have 1 to 3 substituents chosen among hydroxyl, halogen, haloalkyl, cyano, lower alkyl, lower alkoxy, amino, heterocycloalkylalkyl and lower aminoalkyl or lower alkylamino.
The term “heteroaryl” refers to a monocyclic heteroaromatic, or a bicyclic fused-ring heteroaromatic group. Particular examples of heteroaromatic groups include pyridyl, pyrrolyl, furyl, thienyl, imidazolyl, oxazolyl, isoxazolyl, thiazolyl, isothiazolyl, pyrazolyl, benzofuryl, [2,3-dihydro]benzofuryl, isobenzofuryl, benzothienyl, benzotriazolyl, indolyl and isobenzothienyl. Said “heteroaryl” may have 1 to 3 substituents chosen among hydroxyl, hydroxyalkyl, halo, haloalkyl, nitro, cyano, lower alkyl, lower alkoxy, amino, lower aminoalkyl, lower alkylamino, aminocarbonyl and alkoxycarbonyl.
The term “arylkyl” refers to alkyl groups as defined above, having one or more aryl substituent, including benzyl, phenethyl, diphenyl methyl and the like.
The term “heteroarylkyl” refers to alkyl groups as defined above, having a heteroaryl substituent. Preferred heteroarylkyl are lower heteroarylkyl having the heteroaryl radical attached to a lower alkyl.
The term “aminocarbonyl” refers to the group —C(O)NRR′ where each R, R′ includes independently H, “alkyl”, “alkenyl”, “alkynyl”, “cycloalkyl”, “heterocycloalkyl”, “aryl” and “heteroaryl”.
We have found that the derivatives (I) and their pharmaceutically acceptable salts, prepared according to the invention, are useful agents for the treatment of disease states, disorders and pathological conditions mediated by Hsp90; in particular for the treatment of cancer diseases, neurodegenerative diseases, inflammatory diseases; cerebral ischemia and malaria.
The pharmaceutical compositions will contain at least one compound of Formula (I) as an active ingredient, in an amount such as to produce a significant therapeutic effect. The compositions covered by the present invention are entirely conventional and are obtained with methods which are common practice in the pharmaceutical industry, such as, for example, those illustrated in Remington's Pharmaceutical Science Handbook, Mack Pub. N.Y.—last edition. According to the administration route chosen, the compositions will be in solid or liquid form, suitable for oral, parenteral or topical administration. The compositions according to the present invention contain, along with the active ingredient, at least one pharmaceutically acceptable vehicle or excipient. These may be particularly useful formulation coadjuvants, e.g. solubilising agents, dispersing agents, suspension agents, and emulsifying agents.
Generally, the compounds of this invention are administered in a “therapeutically effective amount”. The amount of the compound actually administered will typically be determined by a physician, in the light of the relevant circumstances, including the condition to be treated, the chosen route of administration, the actual compound administered, drug combination, the age, body weight, and response of the individual patient, the severity of the patient's symptoms, and the like. For any compound, the therapeutically effective dose can be estimated initially either in cell culture assays or in animal models, usually mice, rats, guinea pigs, rabbits, dogs, or pigs. The animal model may also be used to determine the appropriate concentration range and route of administration. Such information can then be used to determine useful doses and routes for administration in humans. In calculating the Human Equivalent Dose (HED) it is recommended to use the conversion table provided in Guidance for Industry and Reviewers document (2002, U.S. Food and Drug Administration, Rockville, Md., USA).
Generally, an effective dose will be from 0.01 mg/kg to 100 mg/kg, preferably 0.05 mg/kg to 50 mg/kg. For any compound, the therapeutically effective dose can be estimated initially either in cell culture assays or in animal models, usually mice, rats, guinea pigs, rabbits, dogs, or pigs. The precise effective dose for a human subject will depend upon the severity of the disease state, general health of the subject, age, weight, and gender of the subject, diet, time and frequency of administration, drug combination(s), reaction sensitivities, and tolerance/response to therapy. This amount can be determined by routine experimentation and is within the judgement of the clinician.
Compositions may be administered individually to a patient or may be administered in combination with other agents, drugs or hormones.
The medicament may also contain a pharmaceutically acceptable carrier, for administration of a therapeutic agent. Such carriers include antibodies and other polypeptides, genes and other therapeutic agents such as liposomes, provided that the carrier does not induce the production of antibodies harmful to the individual receiving the composition, and which may be administered without undue toxicity.
Suitable carriers may be large, slowly metabolised macromolecules such as proteins, polysaccharides, polylactic acids, polyglycolic acids, polymeric amino acids, amino acid copolymers and inactive virus particles.
A thorough discussion of pharmaceutically acceptable carriers is available in Remington's Pharmaceutical Sciences (Mack Pub. Co., N.J. 1991).
Pharmaceutically acceptable carriers in therapeutic compositions may additionally contain liquids such as water, saline, glycerol and ethanol. Additionally, auxiliary substances, such as wetting or emulsifying agents, pH buffering substances, and the like, may be present in such compositions. Such carriers enable the pharmaceutical compositions to be formulated as tablets, pills, dragees, capsules, liquids, gels, syrups, slurries, suspensions, and the like, for ingestion by the patient.
Once formulated, the compositions of the invention can be administered directly to the subject. The subjects to be treated can be animals; in particular, human subjects can be treated.
The medicament of this invention may be administered by any number of routes including, but not limited to, oral, intravenous, intramuscular, intra-arterial, intramedullary, intrathecal, intraventricular, transdermal or transcutaneous applications, subcutaneous, intraperitoneal, intranasal, enteral, topical, sublingual, intravaginal or rectal means.
The compositions for oral administration may take the form of bulk liquid solutions or suspensions, or bulk powders. More commonly, however, the compositions are presented in unit dosage forms to facilitate accurate dosing. The term “unit dosage forms” refers to physically discrete units suitable as unitary dosages for human subjects and other mammals, each unit containing a predetermined quantity of active material calculated to produce the desired therapeutic effect, in association with a suitable pharmaceutical excipient. Typical unit dosage forms include refilled, pre-measured ampoules or syringes of the liquid compositions or pills, tablets, capsules or the like in the case of solid compositions. In such compositions, the compound of the invention is usually a minor component (from about 0.1 to about 50% by weight or preferably from about 1 to about 40% by weight) with the remainder being various vehicles or carriers and processing aids helpful for forming the desired dosing form. Dosage treatment may be a single dose schedule or a multiple dose schedule.
As above disclosed, the compounds of the present invention are useful as medicaments due to their Hsp90 inhibiting properties for the treatment of disorders where such inhibition result in improving the health of the patient. In particular, patients suffering from cancer diseases, neurodegenerative diseases, inflammatory diseases, cerebral ischemia and malaria can be treated. Objects of the present invention are pharmaceutical compositions containing one or more of the compounds of formula (I) described earlier, in combination with excipients and/or pharmacologically acceptable diluents.
The compositions in question may, together with the compounds of formula (I), contain known active principles.
A further object of the invention is a process for the preparation of pharmaceutical compositions characterised by mixing one or more compounds of formula (I) with suitable excipients, stabilizers and/or pharmaceutically acceptable diluents.
An embodiment of this invention is that of compounds of formula (I) described earlier, wherein R 4 represents NHC(D)ER 4 with D being 0 and E being absent, or NR 5 R 6 .
Another embodiment of this invention is that of compounds of formula (I) described earlier, wherein X represents alkyl or halogen.
A still another embodiment of the present invention consists of the compounds selected from the group consisting of 4-acetylamino-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0072AA1; 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(4-methoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide SST0081AA1; 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(3,4-dimethoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide SST0100AA1; 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(3,4,5-trimethoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide SST0101AA1; 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(2,2-dimethyl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0091AA1; 4-[(adamantane-1-carbonyl)-amino]-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0093AA1; 4-acryloylamino-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0098AA1; 5-(5-chloro-2,4-dihydroxy-phenyl)-4-[(3-methyl-thiophene-2-carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0092AA1; 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(3-morpholin-4-yl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0099AA1; 4-(4-bromo-benzoylamino)-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0102AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(4-methoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide SST0107AA1; 4-acetylamino-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0113AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(2,2-dimethyl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0114AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(3-methyl-thiophene-2-carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0115AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(3-morpholin-4-yl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0116AA1; 4-(3-(4-methylpiperazin-1-yl)propanamido)-N-ethyl-5-(2,4-dihydroxy-5-isopropylphenyl)-isoxazole-3-carboxamide SST0203AA1; 1H-indole-6-carboxylic acid [5-(2,4-dihydroxy-5-isopropyl-phenyl)-3-ethyl carbamoyl-isoxazol-4-yl]-amide SST0220AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(4-morpholin-4-yl-methyl-benzoyl amino)-isoxazole-3-carboxylic acid ethylamide hydrochloride SST0201CL1; 4-(cyclohexanecarbonyl-amino)-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0221AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(trans-4-pentyl-cyclohexanecarbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0222AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(4-trifluoromethyl-cyclohexane carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0223AA1; N 5 -(3-(ethylcarbamoyl)-5-(2,4-dihydroxy-5-isopropylphenyl)-isoxazol-4-yl)-N 3 -ethylisoxazole-3,5-dicarboxamide SST0211AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(4-methoxy-cyclohexanecarbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0226AA1; 4-[(4-tert-butyl-cyclohexanecarbonyl)-amino]-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0227AA1; 4-[(4-amino-cyclohexanecarbonyl)-amino]-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0228CL1; 4-[(4-aminomethyl-cyclohexanecarbonyl)-amino]-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0229CL1; 4-(4-methoxybenzylamino)-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide SST0207AA1; 4-((3-methylthiophen-2-yl)methylamino)-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide SST0206AA1; 5-(5-chloro-2,4-dihydroxyphenyl)-4-(cyclohexylamino)-N-ethylisoxazole-3-carboxamide SST0208AA1; 4-(1-methylpiperidin-4-ylamino)-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide SST0209AA1; Methyl 5-((3-(ethylcarbamoyl)-5-(5-chloro-2,4-dihydroxyphenyl)isoxazol-4-ylamino)methyl)isoxazole-3-carboxylate SST0210AA1; 4-((3-(hydroxymethyl)isoxazol-5-yl)methylamino)-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide SST0212AA1; 4-(4-methoxybenzamido)-5-(5-chloro-2,4-dihydroxyphenyl)-N-(2,2,2-trifluoroethyl)-isoxazole-3-carboxamide SST0204AA1; 4-(4-methoxybenzamido)-5-(5-chloro-2,4-dihydroxyphenyl)-isoxazol-3-yl-(3,3-difluoroazetidin-1yl)-methanone SST0205AA1; 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(4-methoxy-benzoylamino)-isoxazol-3-yl-(4-methylpiperazin-1-yl)-methanone SST0123AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(3,4-dimethoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(3,4,5-trimethoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide; 4-[(adamantane-1-carbonyl)-amino]-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide; 4-acryloylamino-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide; 4-(4-bromo-benzoylamino)-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(4-methoxy-benzenesulfonylamino)-isoxazole-3-carboxylic acid ethylamide; 4-amino-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(toluene-4-sulfonylamino)]-isoxazole-3-carboxylic acid ethylamide and 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[bis-(toluene-4-sulfonylamino)]-isoxazole-3-carboxylic acid ethylamide.
Preferred compounds are selected from the group consisting of 4-acetylamino-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0072AA1; 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(4-methoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide SST0081AA1; 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(3,4-dimethoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide SST0100AA1; 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(3,4,5-trimethoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide SST0101AA1; 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(2,2-dimethyl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0091AA1; 4-[(adamantane-1-carbonyl)-amino]-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0093AA1; 4-acryloylamino-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0098AA1; 5-(5-chloro-2,4-dihydroxy-phenyl)-4-[(3-methyl-thiophene-2-carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0092AA1; 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(3-morpholin-4-yl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0099AA1; 4-(4-bromo-benzoylamino)-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0102AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(4-methoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide SST0107AA1; 4-acetylamino-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0113AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(2,2-dimethyl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0114AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(3-methyl-thiophene-2-carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0115AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(3-morpholin-4-yl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0116AA1; 4-(3-(4-methylpiperazin-1-yl)propanamido)-N-ethyl-5-(2,4-dihydroxy-5-isopropylphenyl)-isoxazole-3-carboxamide SST0203AA1; 1H-indole-6-carboxylic acid [5-(2,4-dihydroxy-5-isopropyl-phenyl)-3-ethyl carbamoyl-isoxazol-4-yl]-amide SST0220AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(4-morpholin-4-yl-methyl-benzoyl amino)-isoxazole-3-carboxylic acid ethylamide hydrochloride SST0201CL1; 4-(cyclohexanecarbonyl-amino)-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0221AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(trans-4-pentyl-cyclohexanecarbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0222AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(4-trifluoromethyl-cyclohexane carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0223AA1; N 5 -(3-(ethylcarbamoyl)-5-(2,4-dihydroxy-5-isopropylphenyl)-isoxazol-4-yl)-N 3 -ethylisoxazole-3,5-dicarboxamide SST0211AA1; 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(4-methoxy-cyclohexanecarbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0226AA1; 4-[(4-tert-butyl-cyclohexanecarbonyl)-amino]-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0227AA1; 4-[(4-amino-cyclohexanecarbonyl)-amino]-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0228CL1; 4-[(4-aminomethyl-cyclohexanecarbonyl)-amino]-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0229CL1; 4-(4-methoxybenzylamino)-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide SST0207AA1; 4-((3-methylthiophen-2-yl)methylamino)-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide SST0206AA1; 5-(5-chloro-2,4-dihydroxyphenyl)-4-(cyclohexylamino)-N-ethylisoxazole-3-carboxamide SST0208AA1; 4-(1-methylpiperidin-4-ylamino)-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide SST0209AA1; Methyl 5-((3-(ethylcarbamoyl)-5-(5-chloro-2,4-dihydroxyphenyl)isoxazol-4-ylamino)methyl)isoxazole-3-carboxylate SST0210AA1; 4-((3-(hydroxymethyl)isoxazol-5-yl)methylamino)-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide SST0212AA1; 4-(4-methoxybenzamido)-5-(5-chloro-2,4-dihydroxyphenyl)-N-(2,2,2-trifluoroethyl)-isoxazole-3-carboxamide SST0204AA1; 4-(4-methoxybenzamido)-5-(5-chloro-2,4-dihydroxyphenyl)-isoxazol-3-yl-(3,3-difluoroazetidin-lyl)-methanone SST0205AA1 and 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(4-methoxy-benzoylamino)-isoxazol-3-yl-(4-methylpiperazin-1-yl)-methanone SST0123AA1. Even more preferred compounds are selected from the group consisting of 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(2,2-dimethyl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0091AA1, 4-[(adamantane-1-carbonyl)-amino]-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0093AA1, 5-(5-chloro-2,4-dihydroxy-phenyl)-4-[(3-methyl-thiophene-2-carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0092AA1, 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(3-morpholin-4-yl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0099AA1, 4-acetylamino-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0113AA1, 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(2,2-dimethyl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0114AA1 and 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(3-methyl-thiophene-2-carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0115AA1.
The following illustrated examples are by no means an exhaustive list of what the present invention intends to protect.
EXAMPLES
Abbreviations
Ac 2 O: acetic anhydride
AcOEt: ethyl acetate
BF 3 .OEt 2 : boron trifluoride dietherate
Boc: t-butoxycarbonyl
DCM: dichloromethane
DIPEA: diisopropylethylamine
DMF: dimethylformamide
MeOH: methanol
EtOH: ethanol
Et 2 O: diethyl ether
RP-HPLC: reversed phase-high-performance liquid chromatography
RT: room temperature
Rt: retention time
Tf: triflate
TEA: triethylamine
TFA: trifluoroacetic acid
General Remarks: Reaction courses and product mixtures were routinely monitored by thin-layer chromatography (TLC) on silica gel F 254 Merck plates. Flash column chromatography was carried out using silica gel (Merck 230-400 mesh). Nuclear magnetic resonance ( 1 H and 13 C NMR) spectra were gathered, with a Bruker AC-200 spectrometer or with a Varian Mercury Plus 300 or 400, and chemical shifts are given in part per million (ppm) downfield from tetramethylsilane as internal standard. The coupling constants are given in Hz. Mass spectra were obtained with an ESI MICROMASS ZMD2000.
All drying operations were performed over anhydrous sodium sulphate. Flash column chromatography (medium pressure) was carried out using silica gel (Merck 230-400 mesh).
Examples 1 has been synthesized following the procedure as described in scheme 1.
Example 1
4-acetylamino-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0072AA1
Step i: 1-(5-chloro-2,4-dihydroxyphenyl)-ethanone
Acetic acid (17.5 ml) was added dropwise to a suspension of 4-chlorobenzene-1,3-diol (20 g, 0.138 mol) in BF 3 .OEt 2 (100 ml) under a nitrogen atmosphere. The reaction mixture was stirred at 90° C. for 3.5 h and then allowed to cool to RT, causing a solid to precipitate. The mixture was poured into a 10% w/v aqueous sodium acetate solution (350 ml). This mixture was then stirred vigorously for 2.5 h to afford a light brown solid, which was filtered, washed with water, and air-dried overnight to afford the title compound 1-(5-chloro-2,4-dihydroxyphenyl)-ethanone (11.3 g, 44%).
1 H NMR (200 MHz CDCl 3 ), δ: 2.56 (s, 3H), 6.11 (s, 1H), 6.59 (s, 1H), 7.70 (s, 1H), 12.48 (s, 1H).
Step ii: 1-[2,4-bis(benzyloxy)-5-chlorophenyl]ethanone
Benzyl bromide (17.5 ml, 0.147 mol) was added to a mixture of 1-(5-chloro-2,4-dihydroxyphenyl)ethanone (11 g, 0.059 mol) and potassium carbonate (20.34 g, 0.147 mol) in acetonitrile (180 ml). The mixture was stirred at reflux for 6 h and then allowed to cool to RT and stirred overnight. The mixture was filtered, and the solid residue was rinsed with DCM (3×50 ml). The combined organic filtrates were evaporated under vacuo to give a pale yellow solid. The latter was triturated with a mixture of hexane/EtOAc (175/7.5) and filtered to afford the title compound 1-[2,4-bis(benzyloxy)-5-chlorophenyl]ethanone (20.4 g, 93% yield) as an off-white solid.
1 H NMR (200 MHz CDCl 3 ), δ: 2.54 (s, 3H), 5.07 (s, 2H), 5.15 (s, 2H), 6.55 (s, 1H), 7.36-7.42 (m, 10H), 7.91 (s, 1H).
Step iii: ethyl 4-(2,4-bis(benzyloxy)-5-chlorophenyl)-2-hydroxy-4-oxobut-2-enoate
Sodium metal (1.35 g, 58 mmol) was cut into small pieces, rinsed with hexane to remove mineral oil, and added portion wise to anhydrous EtOH (100 ml) under a nitrogen atmosphere over a period of 20 min. The reaction mixture was stirred for a further 10 min until all sodium had reacted. 1-[2,4-bis(benzyloxy)-5-chlorophenyl]ethanone (10 g, 27.3 mmol) was added portion wise over 5 min, and the resulting suspension was then stirred for further 5 min at RT. Diethyloxalate (6 ml, 43 mmol) was added, resulting in a thick yellow coloured precipitate. The reaction mixture was heated to reflux for 4 h, affording a dark homogeneous solution, which, upon cooling, produced a solid mass to which acetic acid (6 ml) was added. The mixture was triturated to afford a yellow solid, which was filtered, washed sequentially with water, EtOH, and Et 2 O, and then dried under vacuo to afford the title compound ethyl 4-(2,4-bis(benzyloxy)-5-chlorophenyl)-2-hydroxy-4-oxobut-2-enoate (12.4 g, 98%) as a yellow solid.
1 H NMR (200 MHz CDCl 3 ), δ: 1.28 (t, J=7.4 Hz, 3H), 4.28 (q, J=7.4 Hz, 2H), 5.11 (s, 2H), 5.18 (s, 2H), 6.58 (s, 1H), 7.35-7.40 (m, 10H), 8.02 (s, 1H). 15.36 (br, 1H).
Step iv: ethyl 5-(2,4-bis(benzyloxy)-5-chlorophenyl)isoxazole-3-carboxylate
Hydroxylamine hydrochloride (0.89 g, 12.8 mmol) was added to a suspension of 4-(2,4-bis(benzyloxy)-5-chlorophenyl)-2-hydroxy-4-oxobut-2-enoate (5.0 g, 10.7 mmol) in EtOH (100 ml). The reaction mixture was heated to reflux for 3.5 h and then allowed to cool to RT. The resulting suspension was filtered, washed sequentially with EtOH (2×10 ml), water (2×10 ml), and EtOH (2×10 ml), and dried under vacuo to afford the title compound ethyl 5-(2,4-bis(benzyloxy)-5-chlorophenyl)isoxazole-3-carboxylate (3.97 g, 80%) as a flocculent light-yellow solid.
1 H NMR (200 MHz CDCl 3 ), δ: 1.40 (t, J=7.2 Hz, 3H), 4.41 (q, J=7.2 Hz, 2H), 5.14 (s, 4H), 6.61 (s, 1H), 7.01 (s, 1H), 7.38 (s, 10H), 8.0 (s, 1H).
[M+H] + 464.4/465.9
Step v: 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-isoxazole-3-carboxylic acid ethylamide
Ethylamine in MeOH solution (2 M, 80 mmol, 40 ml) was added to a suspension of ethyl 5-(2,4-bis(benzyloxy)-5-chlorophenyl)isoxazole-3-carboxylate (9.51 mmol) in EtOH (50 ml) and the reaction mixture was heated to 80° C. with stirring for 18 h, affording a yellow homogeneous solution, which was allowed to cool to RT. A flocculent colourless solid formed upon cooling to 4° C. After filtration, washing with cold EtOH and drying under vacuo, the desired compound was obtained.
1 H NMR (200 MHz CDCl 3 ), δ: 1.25 (t, J=7.2 Hz, 3H), 3.41-3.57 (m, 2H), 5.10 (s, 2H), 5.16 (s, 2H), 6.59 (s, 1H), 6.80 (br, 1H), 7.09 (s, 10H), 7.35-7.40 (m, 10H), 7.97 (s, 1H).
[M+H] + 463.4/464.8
Step vi: 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-4-nitro-isoxazole-3-carboxylic acid ethylamide
A suspension of 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-isoxazole-3-carboxylic acid ethylamide (1 g, 2.2 mmol) in Ac 2 O (20 ml) was cooled to 0° C. and HNO 3 (0.26 ml, 4.3 mmol) was added dropwise under stirring, the temperature being maintained between 0-5° C. After the addition was complete, the mixture was stirred for 70 h at 5-10° C. and then poured into ice and extracted with DCM (3×40 ml). The extract was dried and concentrated under vacuo. The yellow solid obtained was triturated with Et 2 O and filtered to give 5-[2,4-bis(benzyloxy)-5-chlorophenyl]-N-ethyl-4-nitroisoxazole-3-carboxamide (810 mg, 73%).
1 H NMR (200 MHz CDCl 3 ), δ: 1.26 (t, J=7.4 Hz, 3H), 3.46-3.55 (m, 2H), 5.0 (s, 2H), 5.10 (s, 2H), 6.57 m 2H, 7.23-7.29 (m, 2H), 7.32-7.37 (m, 8H), 7.66 (s, 1H).
Step vii: 4-amino-5-(2,4-bis-benzyloxy-5-chloro-phenyl)-isoxazole-3-carboxylic acid ethylamide
A solution of 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-4-nitro-isoxazole-3-carboxylic acid ethylamide (1 g, 1.97 mmol) in THF (7 ml) was added to a solution of NH 4 Cl (2.7 g, 50 mmol) in water (15 ml). Zinc dust (4 g, 61 mmol) was then added portion wise over 15 min with stirring at 0° C. After 30 min at 0° C., the mixture was filtered and the resulting cake was rinsed with MeOH. The combined filtrate were evaporated under vacuo to give 5-[2,4-bis(benzyloxy)-5-chlorophenyl]-4-amino-N-ethylisoxazole-3-carboxamide (820 mg, 82%).
1 H NMR (200 MHz CDCl 3 ), δ: 1.24 (t, J=7.2 Hz, 3H), 3.38-3.53 (m, 2H), 5.02 (s, 2H), 5.15 (s, 2H), 6.64 (s, 1H), 6.79 (br, 1H), 7.35-7.42 (m, 10H), 7.64 (s, 1H).
[M+H] + 478.3/479.4
Step viii: 4-acetylamino-5-(2,4-bis-benzyloxy-5-chloro-phenyl)-isoxazole-3-carboxylic acid ethylamide
To a solution of acetyl chloride (1.45 mmol) in DCM were added 5-[2,4-bis(benzyloxy)-5-chlorophenyl]-4-amino-N-ethylisoxazole-3-carboxamide (1.45 mmol, 700 mg) and TEA (1.74 mmol, 0.24 ml) dropwise. The mixture was stirred for 5 h, diluted with DCM and washed HCl 1N. The organic extract was dried and filtered. Solvents were removed under vacuo to give the crude residue that was purified by flash chromatography on silica gel.
1 H NMR (200 MHz CDCl 3 ), δ: 1.28 (t, J=7.4 Hz, 3H), 1.81 (s, 3H), 3.43-3.52 (m, 2H), 4.99 (s, 2H), 5.14 (s, 2H), 6.61 (s, 1H), 6.86 (br, 1H), 7.27-7.45 (m, 10H), 7.66 (s, 1H), 7.75 (s, 1H), 8.40 (s, 1H).
Step ix: 4-acetylamino-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide
A solution of 4-acetylamino-5-(2,4-bis-benzyloxy-5-chloro-phenyl)-isoxazole-3-carboxylic acid ethylamide (0.35 mmol) in DCM (10 ml) under inert atmosphere was cooled at 0° C. and BCl 3 in DCM (1M, 1.05 mmol, 1.05 ml) was added dropwise. The reaction was stirred at 0° C. for 20 min, the cooling bath was then removed and the mixture stirred for a further 50 min. The mixture was cooled back and then quenched by cautious addition of saturated aqueous NaHCO 3 solution (20 ml). The DCM was removed under vacuo and water (20 ml) was added. The mixture was then extracted with EtOAc (200 ml). The phases were separated and the organic phase was washed with water (2×30 ml), sat. aqueous NaCl solution (50 ml) and then dried and filtered. Solvent was removed under vacuo and the crude product purified by flash chromatography on silica gel.
1 H NMR (400 MHz CD 3 OD), δ: 1.21 (t, J=6.8 Hz, 3H), 2.07 (s, 3H), 3.39 (q, J=6.8 Hz, 2H), 6.55 (s, 1H), 7.40 (s, 1H).
13 C NMR (100 MHz CD 3 OD), δ: 14.7, 22.6, 35.3, 104.9, 108.2, 113.2, 114.2, 130.9, 156.3, 156.5, 157.6, 161.5, 162.7, 172.4.
[M+H] + 340.0/341.9
Examples 2 to 14 were synthesized following procedures described in step viii and ix of example 1 using the appropriate acid chloride derivative for the amide formation (i.e., step viii).
Example 2
5-(5-chloro-2,4-dihydroxy-phenyl)-4-(4-methoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide SST0081AA1
Step viii: 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-4-(4-methoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.28 (t, J=7.2 Hz, 3H), 3.45-3.54 (m, 2H), 3.84 (s, 3H), 4.85 (s, 2H), 5.11 (s, 2H), 6.57 (s, 1H), 6.83 (d, J=9.0 Hz, 2H), 6.95 (br, 1H), 7.08-7.13 (m, 2H), 7.21-7.29 (m, 2H), 7.35-7.43 (m, 6H), 7.55 (d, J=9.0 Hz, 2H), 7.75 (s, 1H), 9.47 (s, 1H).
[M+H] + 612.1/613.3
Step ix: 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(4-methoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz DMSO), δ: 1.06 (t, J=6.8 Hz, 3H), 3.19-3.24 (m, 3H), 3.82 (s, 3H), 6.64 (s, 1H), 7.04 (d, J=8.8 Hz, 2H), 7.43 (s, 1H), 7.87 (d, J=8.8 Hz, 2H), 8.71 (t, J=5.6 Hz, 1H), 9.62 (s, 1H), 10.48 (br, 1H), 10.68 (s, 1H).
13 C NMR (100 MHz DMSO), δ: 14.4, 33.5, 55.3, 103.8, 106.2, 110.4, 113.6, 125.7, 129.4, 155.3, 155.5, 155.7, 158.5, 161.3, 162.0, 164.9. [M+H] + 432.1/434.1
Example 3
5-(5-chloro-2,4-dihydroxy-phenyl)-4-(3,4-dimethoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide SST0100AA1
Step viii: 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-4-(3,4-dimethoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.27 (t, J=7.2 Hz, 3H), 3.46-3.54 (m, 2H), 3.84 (s, 3H), 3.92 (s, 3H), 4.85 (s, 2H), 5.10 (s, 2H), 6.57 (s, 1H), 6.74 (d, J=8.6 Hz, 1H), 6.94 (br, 1H), 7.05-7.12 (m, 2H), 7.22-7.25 (m, 2H), 7.32-7.40 (m, 8H), 7.75 (s, 1H), 9.56 (s 1H).
Step ix: 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(3,4-dimethoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz, DMSO), δ: 1.06 (t, J=6.8 Hz, 3H), 3.18-3.22 (m, 3H), 3.79 (s, 3H), 3.81 (s, 3H), 6.63 (s, 1H), 7.05 (d, J=8.8 Hz, 1H), 7.41 (s, 1H), 7.43 (d, J=1.6 Hz, 1H), 7.52 (dd, J=8.8, J=1.6 Hz, 1H), 8.69 (t, J=6.0 Hz, 1H), 9.59 (s, 1H), 10.44 (br, 1H), 10.66 (s, 1H).
13 C NMR (100 MHz, DMSO), δ: 14.4, 33.5, 55.5, 55.6, 103.8, 106.2, 110.7, 110.9, 113.6, 120.9, 125.7, 129.5, 148.2, 151.7, 155.6, 155.7, 158.5, 161.4, 165.0.
[M+H] + 462.4/463.5.
Example 4
5-(5-chloro-2,4-dihydroxy-phenyl)-4-(3,4,5-trimethoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide SST0101AA1
Step viii: 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-4-(3,4,5-trimethoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.28 (t, J=7.2 Hz, 3H), 3.45-3.56 (m, 2H), 3.79 (s, 6H), 3.87 (s, 3H), 4.90 (s, 2H), 5.12 (s, 2H), 6.60 (s, 1H), 6.89 (s, 2H), 6.96 (br, 1H), 7.08-7.14 (m, 2H), 7.22-7.26 (m, 4H), 7.35-7.41 (m, 4H), 7.76 (s, 1H), 9.60 (s 1H).
Step ix: 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(3,4,5-trimethoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz, DMSO), δ: 1.08 (t, J=6.8 Hz, 3H), 3.19-3.23 (m, 2H), 3.71 (s, 3H), 3.83 (s, 6H), 6.64 (s, 1H), 7.23 (s, 2H), 7.43 (s, 1H), 8.72 (t, J=5.6 Hz 1H), 9.70 (br, 1H), 10.45 (s, 1H), 10.70 (s, 1H).
13 C NMR (100 MHz DMSO), δ: 14.4, 33.4, 33.5, 55.9, 60.0, 103.8, 105.1, 106.1, 113.4, 128.7, 129.4, 140.3, 152.6, 155.6, 155.8, 158.3, 161.5, 165.0.
[M+H] + 492.4/494.4.
Example 5
5-(5-chloro-2,4-dihydroxy-phenyl)-4-(2,2-dimethyl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0091AA1
Step viii: 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-4-(2,2-dimethyl-propionylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz CDCl 3 ), δ: 1.82 (s, 9H), 1.29 (t, J=6.8 Hz, 3H), 3.49-3.53 (m, 2H), 4.98 (s, 2H), 5.13 (s, 2H), 6.59 (s, 1H), 6.91 (br, 1H), 7.24-7.26 (m, 2H), 7.31-7.43 (m, 8H), 7.62 (s, 1H), 9.01 (s, 1H).
[M+H] + 562.5/563.7.
Step ix: 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(2,2-dimethyl-propionylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz DMSO), δ: 1.06 (t, J=7.2 Hz, 3H), 1.14 (s, 9H), 3.19-3.24 (m, 2H), 6.66 (s, 1H), 7.34 (s, 1H), 8.58 (t, J=5.6 Hz, 1H), 8.83 (s, 1H), 10.50 (br, 1H), 10.70 (s, 1H).
13 C NMR (100 MHz DMSO), δ: 14.5, 27.1, 33.6, 38.3, 103.9, 106.2, 110.5, 113.5, 129.4, 155.2, 155.6, 155.7, 158.5, 161.2, 177.9.
[M+H] + 382.2/384.2.
Example 6
4-[(adamantane-1-carbonyl)-amino]-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0093AA1
Step viii: 4-[(adamantane-1-carbonyl)-amino]-5-(2,4-bis-benzyloxy-5-chloro-phenyl)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.30 (t, J=7.2 Hz, 3H), 1.58-1.70 (m, 12H), 1.94 (s, 3H), 3.46-3.60 (m, 2H), 4.98 (s, 2H), 5.16 (s, 2H), 6.61 (s, 1H), 6.92 (br, 1H), 7.30-7.44 (m, 10H), 7.64 (s, 1H), 8.99 (s, 1H).
[M+H] + 640.4/641.4.
Step ix: 4-[(adamantane-1-carbonyl)-amino]-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz DMSO), δ: 1.09 (t, J=7.2 Hz, 3H), 1.65-1.69 (m, 6H), 1.81-1.82 (m, 6H), 1.99 (s, 3H), 3.18-3.24 (m, 2H), 6.67 (s, 1H), 7.34 (s, 1H), 8.74 (t, J=5.6 Hz, 1H), 10.55 (br, 2H).
13 C NMR (100 MHz DMSO), δ: 14.5, 33.3, 104.0, 107.8, 110.9, 124.4, 128.0, 148.9, 150.7, 153.4, 154.6, 160.3.
[M+H] + 298.0/300.0.
Example 7
4-acryloylamino-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0098AA1
Step viii: 4-acryloylamino-5-(2,4-bis-benzyloxy-5-chloro-phenyl)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.27 (t, J=7.0 Hz, 3H), 3.41-3.55 (m, 2H), 4.94 (s, 2H), 5.11 (s, 2H), 5.60 (dd, J=10.0, J=1.4 Hz, 1H), 5.94 (dd, J=16.8, J=10.0 Hz, 1H), 6.15 (dd, J=16.8, J=1.4 Hz, 1H), 6.58 (s, 1H), 6.90 (br, 1H), 7.31-7.41 (m, 10H), 7.69 (s, 1H), 8.76 (s, 1H).
[M+H] + 532.4/533.5.
Step ix: 4-acryloylamino-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz CD 3 OD), δ: 1.22 (t, J=7.6 Hz, 3H), 3.23-3.41 (m, 2H), 5.76 (dd, J=10.4, J=1.6, 1H), 6.26 (dd, J=16.8, J=1.6, 1H), 6.39 (dd, J=16.8, J=10.4, 1H), 6.56 (s, 1H), 7.42 (s, 1H).
13 C NMR (100 MHz CD 3 OD), δ: 14.7, 35.3, 104.9, 108.3, 111.6, 113.2, 128.2, 130.8, 131.5, 156.2, 157.6, 161.5, 162.6, 166.7.
[M+H] + 352.1/353.6.
Example 8
5-(5-chloro-2,4-dihydroxy-phenyl)-4-[(3-methyl-thiophene-2-carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0092AA1
Step viii: 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-4-[(3-methyl-thiophene-2-carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.27 (t, J=7.0 Hz, 3H), 2.35 (s, 3H), 3.42-3.58 (m, 2H), 4.90 (s, 2H), 5.10 (s, 2H), 6.56 (s, 1H), 6.84 (d, J=4.8 Hz, 1H), 6.90 (br, 1H), 7.02-7.10 (m, 2H), 7.21-7.42 (m, 9H), 7.75 (s, 1H), 9.28 (s, 1H).
[M+H] + 602.3/603.4.
Step ix: 5-(5-chloro-2,4-dihydroxy-phenyl)-4-[(3-methyl-thiophene-2-carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz DMSO), δ: 1.09 (t, J=6.8 Hz, 3H), 2.43 (s, 3H), 3.20-3.25 (m, 2H), 6.65 (s, 1H), 7.01 (d, J=5.2 Hz, 1H), 7.44 (s, 1H), 7.66 (d, J=5.2 Hz, 1H), 8.58 (t, J=5.6 Hz, 1H), 9.29 (br, 1H), 10.70 (s, 2H).
13 C NMR (100 MHz DMSO), δ: 14.5, 15.3, 33.6, 103.9, 106.4, 113.4, 128.4, 129.3, 131.8, 141.2, 154.9, 155.9, 158.7, 160.6, 160.9.
[M+H] + 422.1/424.1.
Example 9
5-(5-chloro-2,4-dihydroxy-phenyl)-4-(3-morpholin-4-yl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0099AA1
Step viii: 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-4-(3-morpholin-4-yl-propionylamino)-isoxazole-3-carboxylic acid ethylamide
A solution of 4-acryloylamino-5-(2,4-bis-benzyloxy-5-chloro-phenyl)-isoxazole-3-carboxylic acid ethylamide as described in example 7 (step viii), (170 mg, 0.32 mmol) and morpholine (1 ml) in EtOH (5 ml) was heated under reflux for 1 h.
Solvents were removed under reduced pressure, and the residue was chromatographed on silica gel (eluent: AcOEt/MeOH: 95/5).
1 H NMR (200 MHz CDCl 3 ), δ: 1.25 (t, J=7.4 Hz, 3H), 2.24-2.34 (m, 4H), 2.41-2.45 (m, 2H), 3.38-3.50 (m, 2H), 3.64-3.72 (m, 4H), 4.97 (s, 2H), 5.12 (s, 2H), 6.58 (s, 1H), 6.86 (br, 1H), 7.28-7.42 (m, 10H), 7.62 (s, 1H), 9.95 (m, 1H).
[M+H] + 619.6/621.5.
Step ix: 5-(5-chloro-2,4-dihydroxy-phenyl)-4-(3-morpholin-4-yl-propionylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz DMSO), δ: 1.09 (t, J=7.4 Hz, 3H), 2.36-2.40 (m, 4H), 2.51-2.55 (m, 4H), 3.19-3.25 (m, 2H), 3.33-3.39 (m, 2H), 3.49-3-54 (m, 2H), 6.73 (s, 1H), 7.29 (s, 1H), 8.65 (br, 1H), 10.09 (br, 1H), 10.81 (br, 1H).
13 C NMR (100 MHz DMSO), δ: 14.4, 32.5, 33.5, 52.8, 53.8, 65.9, 104.0, 106.2, 113.1, 129.3, 155.5, 158.5, 161.1, 170.5.
[M+H] + 439.4/440.5.
Example 10
4-(4-bromo-benzoylamino)-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0102AA1
Step viii: 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-4-(4-bromo-benzoylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.29 (t, J=7.4 Hz, 3H), 3.47-3.52 (m, 2H), 4.85 (s, 2H), 5.15 (s, 2H), 6.60 (s, 1H), 6.88-7.00 (m, 1H), 7.08-7.11 (m, 2H), 7.24-7.29 (s, 2H), 7.34-7.44 (m, 10H), 7.78 (s, 1H), 9.52 (m, 1H).
Step ix: 4-(4-bromo-benzoylamino)-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0102AA1
1 H NMR (200 MHz CD 3 OD), δ: 1.22 (t, J=7.4 Hz, 3H), 3.33-3.41 (m, 2H), 6.54 (s, 1H), 7.49 (s, 1H), 7.67 (d, J=8.8 Hz, 2H), 7.80 (d, J=8.8 Hz, 2H), 10.81 (br, 1H).
13 C NMR (50 MHz CD 3 OD), δ: 14.7, 35.4, 104.9, 108.4, 113.4, 114.3, 127.7, 130.4, 130.7, 132.8, 134.1, 156.1, 156.2, 157.6, 161.7, 162.4, 167.3.
[M+H] + 480.1/482.2/483.5.
Example 11 was synthesized following procedures described in scheme 1-steps vi-ix of example 1 starting from 5-(2,4-bis-benzyloxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide instead of 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-isoxazole-3-carboxylic acid ethylamide and using the appropriate acid chloride derivative for the amide formation (i.e., step viii).
Example 11
5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(4-methoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide SST0107AA1
Step vi: 5-(2,4-bis-benzyloxy-5-isopropyl-phenyl)-4-nitro-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.22-1.26 (m, 9H), 3.24-3.38 (m, 1H), 3.43-3.57 (m, 2H), 5.02 (s, 4H), 6.54 (s, 1H), 6.59 (br, 1H), 7.30-7.39 (m, 10H), 7.46 (s, 1H).
[M+H] + 516.5.
Step vii: 4-amino-5-(2,4-bis-benzyloxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.21-1.28 (m, 9H), 3.28-3.38 (m, 1H), 3.39-3.53 (m, 2H), 4.38 (br, 2H), 5.05 (s, 2H), 5.08 (s, 2H), 6.61 (s, 1H), 6.83 (br, 1H), 7.33-7.42 (m, 10H), 7.45 (s, 1H).
[M+H] + 486.6.
Step viii: 5-(2,4-bis-benzyloxy-5-isopropyl-phenyl)-4-(4-methoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.21-1.29 (m, 9H), 3.30-3.37 (m, 1H), 3.41-3.51 (m, 2H), 3.82 (s, 3H), 4.91 (s, 2H), 5.04 (s, 2H), 6.55 (s, 1H), 6.78 (d, J=8.8 Hz, 2H), 6.94-7.0 (m, 1H), 7.16-7.19 (m, 2H), 7.25-7.30 (m, 3H), 7.34-7.40 (m, 5H), 7.49 (d, J=8.8 Hz, 2H), 7.58 (s, 1H), 9.19 (s, 1H).
13 C NMR (50 MHz CDCl 3 ), δ: 14.6, 27.0, 34.4, 55.5, 70.1, 71.0, 97.5, 110.9, 113.7, 114.2, 115.7, 126.5, 127.3, 128.0, 128.6, 128.7, 129.3, 129.9, 136.5, 136.8, 151.0, 155.3, 158.7, 159.8, 160.5, 162.4, 164.1.
[M+H] + 620.9.
Step ix: 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(4-methoxy-benzoylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz DMSO), δ: 1.04-1.28 (m, 9H), 3.03-3.08 (m, 1H), 3.19-3.23 (m, 2H), 3.82 (s, 3H), 6.47 (s, 1H), 7.02 (d, J=8.8 Hz, 2H), 7.23 (s, 1H), 7.87 (d, J=8.8 Hz, 2H), 8.61 (t, J=5.6 Hz, 1H), 9.56 (br, 1H), 9.82 (s, 1H), 10.08 (br, 1H).
13 C NMR (100 MHz DMSO), δ: 14.5, 22.6, 25.6, 33.6, 55.4, 102.7, 104.5, 112.6, 113.6, 125.8, 126.1, 126.5, 129.4, 155.9, 157.7, 158.7, 162.0, 163.5, 165.2.
[M+H] + 440.4.
Examples 12-21 were synthesized according to the procedure described for example 11 (step viii to step ix), starting from the common intermediate 4-amino-5-(2,4-bis-benzyloxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide and using the adequate acid chloride in step viii.
Example 12
4-acetylamino-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0113AA1
Step viii: 4-acetylamino-5-(2,4-bis-benzyloxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.22-1.29 (m, 9H), 1.77 (s, 3H), 3.28-3.36 (m, 1H), 3.40-3.50 (m, 2H), 5.03 (s, 2H), 5.08 (m, 2H), 6.58 (s, 1H), 6.83 (br, 1H), 7.31-7.42 (m, 10H), 7.49 (s, 1H), 8.07 (s, 1H).
[M+H] + 528.7.
Step ix: 4-acetylamino-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz DMSO), δ: 1.07-1.12 (m, 9H), 3.06-3.13 (m, 1H), 3.21-3.26 (m, 2H), 6.49 (s, 1H), 7.11 (s, 1H), 8.55 (t, J=6.0 Hz, 1H), 9.15 (br, 1H), 9.81 (s, 1H), 9.90 (br, 1H).
13 C NMR (100 MHz DMSO), δ: 14.4, 22.4, 22.5, 33.4, 102.6, 104.2, 112.3, 125.9, 126.4, 154.1, 155.8, 157.6, 158.6, 163.3, 169.1.
[M+H] + 348.5.
Example 13
5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(2,2-dimethyl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0114AA1
Step viii: 5-(2,4-bis-benzyloxy-5-isopropyl-phenyl)-4-(2,2-dimethyl-propionylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.05 (s, 9H), 1.21-1.26 (m, 9H), 3.26-3.35 (m, 1H), 3.44-3.53 (m, 2H), 5.00 (s, 2H), 5.06 (m, 2H), 6.57 (s, 1H), 6.88 (br, 1H), 7.25-7.41 (m, 10H), 7.45 (s, 1H), 8.71 (s, 1H).
Step ix: 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(2,2-dimethyl-propionylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz CD 3 OD), δ: 1.18-1.24 (m, 18H), 3.17-3.24 (m, 1H), 3.48 (q, J=6.8 Hz, 2H), 6.47 (s, 1H), 7.27 (s, 1H).
13 C NMR (100 MHz CD 3 OD), δ: 14.8, 23.2, 27.8, 35.6, 40.2, 103.7, 106.2, 111.8, 113.4, 127.7, 129.2, 154.7, 156.7, 159.8, 162.2, 163.6, 179.9.
[M+H] + 390.5.
Example 14
5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(3-methyl-thiophene-2-carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0115AA1
Step viii: 5-(2,4-bis-benzyloxy-5-isopropyl-phenyl)-4-[(3-methyl-thiophene-2-carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.22-1.28 (m, 9H), 2.33 (s, 3H), 3.23-3.38 (m, 1H), 3.41-3.54 (m, 2H), 4.95 (s, 2H), 5.01 (m, 2H), 6.52 (s, 1H), 6.80 (d, J=5.2 Hz, 1H), 6.89 (br, 1H), 7.09-7.14 (m, 2H), 7.21-7.25 (m, 4H), 7.35-7.39 (m, 5H), 7.55 (s, 1H), 9.0 (s, 1H).
Step ix: 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(3-methyl-thiophene-2-carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz DMSO), δ: 1.07-1.11 (m, 9H), 2.44 (s, 3H), 3.05-3.11 (m, 1H), 3.19-3.25 (m, 2H), 6.52 (s, 1H), 7.01 (d, J=5.2 Hz, 1H), 7.22 (s, 1H), 7.66 (d, J=5.2 Hz, 1H), 8.66 (t, J=5.6 Hz, 1H), 9.12 (s, 1H), 9.89 (s, 1H), 10.22 (br, 1H).
13 C NMR (100 MHz DMSO), δ: 14.4, 15.2, 22.4, 25.7, 33.3, 33.5, 102.5, 104.4, 112.2, 126.2, 128.2, 130.4, 131.7, 141.1, 153.6, 155.3, 157.6, 157.8, 158.6, 161.1, 162.4.
[M+H] + 430.6/431.6
Example 15
5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(3-morpholin-4-yl-propionylamino)-isoxazole-3-carboxylic acid ethylamide SST0116AA1
Step viii: 5-(2,4-bis-benzyloxy-5-isopropyl-phenyl)-4-(3-morpholin-4-yl-propionylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (200 MHz CDCl 3 ), δ: 1.18-1.25 (m, 9H), 2.22-2.27 (m, 2H), 2.36-2.44 (m, 2H), 2.88-2.86 (m, 4H), 3.20-3.48 (m, 3H), 3.62-3.66 (m, 4H), 4.97 (s, 2H), 5.02 (m, 2H), 6.52 (s, 1H), 6.88 (br, 1H), 7.24-7.37 (m, 10H), 7.42 (s, 1H), 10.66 (s, 1H).
Step ix: 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(3-morpholin-4-yl-propionylamino)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (400 MHz CD 3 OD), δ: 1.19-1.24 (m, 9H), 2.51-2.54 (m, 6H), 2.71 (t, J=6.8 Hz, 1H), 3.17-3.23 (m, 1H), 3.38 (d, J=7.2 Hz, 2H), 3.61-3.63 (m, 4H), 6.43 (s, 1H), 7.23 (s, 1H).
13 C NMR (100 MHz CD 3 OD), δ: 14.9, 23.3, 27.8, 33.5, 35.5, 54.4, 55.2, 67.8, 103.9, 106.8, 113.5, 128.0, 128.9, 155.4, 156.4, 159.8, 161.9, 164.7, 173.8.
[M+H] + 447.6.
Example 16
4-(3-(4-methylpiperazin-1-yl)propanamido)-N-ethyl-5-(2,4-dihydroxy-5-isopropylphenyl)-isoxazole-3-carboxamide SST0203AA1
Step viii: 5-(2,4-bis(benzyloxy)-5-isopropylphenyl)-4-(3-(4-methylpiperazin-1-yl)-propanamido)-N-ethylisoxazole-3-carboxamide
1 H NMR (400 MHz CD 3 Cl), δ: 1.22-1.28 (m, 9H), 2.23 (s, 3H), 2.27 (t, J=6.4 Hz, 2H), 2.30-2.42 (m, 8H), 2.50 (t, J=6.4 Hz, 2H), 3.30-3.34 (m, 1H), 3.44-3.49 (m, 2H), 5.02 (s, 2H), 5.04 (s, 2H), 6.55 (s, 1H), 6.84 (br, 1H), 7.30-7.40 (m, 10H), 7.44 (s, 1H), 9.68 (s, 1H).
13 C NMR (100 MHz CD 3 Cl), δ: 14.7, 22.7, 26.6, 32.7, 34.4, 46.1, 52.6, 53.5, 54.8, 70.1, 71.3, 98.3, 110.5, 114.6, 127.0, 127.2, 128.1, 128.7, 130.2, 136.7, 136.8, 152.5, 155.3, 158.6, 159.6, 161.4, 170.3.
[M+H] + 640.7
Step ix: 4-(3-(4-methylpiperazin-1-yl)propanamido)-N-ethyl-5-(2,4-dihydroxy-5-isopropylphenyl)-isoxazole-3-carboxamide
1 H NMR (400 MHz CD 3 OD), δ: 1.19-1.24 (m, 9H), 2.40 (s, 3H), 2.52 (t, J=6.4 Hz, 2H), 2.55-2.71 (m, 8H), 2.75 (t, J=6.4 Hz, 2H), 3.14-3.25 (m, 1H), 3.34-3.39 (m, 2H), 6.44 (s, 1H), 7.23 (s, 1H).
13 C NMR (100 MHz CD 3 OD), δ: 14.7, 23.1, 27.6, 27.6, 33.6, 35.3, 45.2, 52.4, 54.4, 55.3, 103.8, 106.7, 113.3, 127.8, 128.7, 155.3, 156.2, 159.6, 161.7, 164.4, 173.5.
[M+H] + 460.4.
Example 17
1H-indole-6-carboxylic acid [5-(2,4-dihydroxy-5-isopropyl-phenyl)-3-ethyl carbamoyl-isoxazol-4-yl]-amide SST0220AA1
Step ix: 1H-indole-6-carboxylic acid [5-(2,4-dihydroxy-5-isopropyl-phenyl)-3-ethyl carbamoyl-isoxazol-4-yl]-amide
1 H NMR (300 MHz CD 3 OD), δ: 1.16-1.28 (m, 9H), 3.18 (m, 1H), 3.40 (q, 2H), 6.44 (s, 1H), 6.53 (d, 1H), 7.35 (s, 1H), 7.42 (d, 1H), 7.53 (d, 1H), 7.63 (d, 1H), 8.01 (s, 1H).
[M+H] + 449.09.
Example 18
5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(4-morpholin-4-yl-methyl-benzoyl amino)-isoxazole-3-carboxylic acid ethylamide hydrochloride SST0201CL1
Step ix: 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-(4-morpholin-4-yl-methyl-benzoyl amino)-isoxazole-3-carboxylic acid ethylamide hydrochloride
1 H NMR (300 MHz, DMSO), δ: 1.03-1.09 (m, 9H), 3-3.27 (m, 7H), 3.72 (m, 2H), 3.93 (m, 2H), 4.41 (s, 2H), 6.50 (s, 1H), 7.22 (s, 1H), 7.69 (d, 2H), 7.97 (d, 2H), 8.67 (t, 1H), 9.78 (s, 1H), 9.86 (s, 1H), 10.1 (s, 1H), 10.80 (s, 1H).
[M+H] + 509.
Example 19
4-(cyclohexanecarbonyl-amino)-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0221AA1
Step ix: 4-(cyclohexanecarbonyl-amino)-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide
1 H NMR (300 MHz CD 3 OD), δ: 1.18-1.41 (m, 13H), 1.7 (m, 2H), 1.78 (m, 2H), 1.9 (m, 2H), 2.3 (m, 1H), 3.18 (m, 1H), 3.34 (q, 2H), 6.44 (s, 1H), 7.24 (s, 1H).
[M+H] + 416.3.
Example 20
5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(trans-4-pentyl-cyclohexanecarbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0222AA1
Step ix: 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(trans-4-pentyl-cyclohexanecarbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide
1 H NMR (300 MHz CD 3 OD), δ: 0.87-1.02 (m, 5H), 1.18-1.51 (m, 20H), 1.84 (m, 2H), 1.95 (m, 2H), 2.25 (m, 1H), 3.19 (m, 1H), 3.37 (q, 2H), 6.44 (s, 1H), 7.24 (s, 1H).
[M+H] + 486.3.
Example 21
5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(4-trifluoromethyl-cyclohexane carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0223AA1
Step ix: 5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(4-trifluoromethyl-cyclohexane carbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide
1 H NMR (300 MHz CD 3 OD), δ: 1.18-1.20 (m, 9H), 1.65-1.75 (m, 6H), 2.06-2.20 (m, 3H), 2.64 (m, 1H), 3.19 (m, 1H), 3.37 (q, 2H), 6.44 (s, 1H), 7.24 (s, 1H).
[M+H] + 484.2.
Example 22 was synthesized according to the procedure described in examples 11-21 (step viii to step ix), including a further step corresponding to step v of scheme 1 between step viii and step ix.
Example 22
N 5 -(3-(ethylcarbamoyl)-5-(2,4-dihydroxy-5-isopropylphenyl)-isoxazol-4-yl)-N 3 -ethylisoxazole-3,5-dicarboxamide SST0211AA1
Step viii: methyl 5-(3-(ethylcarbamoyl)-5-(2,4-bis(benzyloxy)-5-isopropylphenyl)-isoxazol-4-ylcarbamoyl)-isoxazole-3-carboxylate
1 H NMR (200 MHz CDCl 3 ), δ: 1.22-1.32 (m, 9H), 3.28-3.42 (m, 1H), 3.44-3.56 (m, 2H), 4.01 (s, 3H), 4.97, (s, 2H), 5.08 (s, 2H), 6.59 (s, 1H), 6.84 (br, 1H), 7.06 (s, 1H), 7.14-7.19 (m, 2H), 7.26-7.29 (m, 2H), 7.38-7.42 (m, 6H), 7.56 (s, 1H), 9.43 (s, 1H).
[M+H] + 639.7.
Step v: N 5 -(3-(ethylcarbamoyl)-5-(2,4-bis(benzyloxy)-5-isopropylphenyl)-isoxazol-4-yl)-N 3 -ethylisoxazole-3,5-dicarboxamide
1 H NMR (400 MHz CDCl 3 ), δ: 1.24-1.30 (m, 12H), 3.30-3.38 (m, 1H), 3.47-3.54 (m, 4H), 4.94 (s, 2H), 5.10, (s, 2H), 6.57 (s, 1H), 6.78 (br, 1H), 6.89 (br, 1H), 7.10 (s, 1H), 7.13-7.15 (m, 2H), 7.24-7.27 (m, 2H), 7.40-7.41 (m, 6H), 7.56 (s, 1H), 9.50 (s, 1H).
[M+H] + 652.6.
Step ix: N 5 -(3-(ethylcarbamoyl)-5-(2,4-dihydroxy-5-isopropylphenyl)-isoxazol-4-yl)-N 3 -ethylisoxazole-3,5-dicarboxamide
1 H NMR (400 MHz DMSO), δ: 1.05-1.12 (m, 12H), 3.04-3.08 (m, 1H), 3.19-3.28 (m, 4H), 3.31 (s, 1H), 6.47 (s, 1H), 7.18 (s, 1H), 7.44 (s, 1H), 8.71 (t, J=5.6 Hz, 1H), 8.95 (t, J=5.6 Hz, 1H), 9.88 (s, 1H), 10.08 (s, 1H).
13 C NMR (100 MHz DMSO), δ: 14.3, 14.4, 22.4, 25.6, 33.5, 33.8, 102.6, 104.0, 106.0, 126.2, 126.5, 154.1, 154.2, 155.2, 157.2, 158.0, 158.3, 159.4, 163.6, 163.7.
[M+H] + 472.3.
Examples 23-26 were synthesized according to the procedure described in example 12 (step viii to step ix) using the adequate acid chloride in step viii.
Example 23
5-(2,4-dihydroxy-5-isopropyl-phenyl)-4-[(4-methoxy-cyclohexanecarbonyl)-amino]-isoxazole-3-carboxylic acid ethylamide SST0226AA1
1 H NMR (300 MHz, DMSO), δ: 1.04-1.10 (m, 9H), 1.33-1.82 (m, 8H), 2.26 (m, 1H), 3.06 (m, 1H), 3.16 (s, 3H), 3.21 (q, 2H), 3.35 (m, 1H), 6.47 (s, 1H), 7.09 (s, 1H), 8.47 (t, 1H), 9.76 (s, 1H).
[M+H] + 446.4.
Example 24
4-[(4-tert-butyl-cyclohexanecarbonyl)-amino]-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0227AA1
1 H NMR (300 MHz, DMSO), δ: 0.73 (s, 6H), 0.8 (s, 3H), 0.93 (m, 2H), 1.04-1.1 (m, 9H), 1.18-2.07 (m, 8H), 3.06 (m, 1H), 3.19 (q, 2H), 6.46 (s, 1H), 7.10 (s, 1H), 8.48 (t, 1H), 9.76 (s, 1H).
[M+H] + 472.2.
Example 25
4-[(trans-4-amino-cyclohexanecarbonyl)-amino]-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide hydrochloride SST0228CL1
1 H NMR (300 MHz, CD 3 OD), δ: 1.18-1.24 (m, 9H), 1.43-2.12 (m, 7H), 3.14 (m, 2H), 3.19 (m, 1H), 3.40 (q, 2H), 4.4 (s, 1H), 6.44 (s, 1H), 7.23 (s, 1H).
[M+H] + 431.2.
Example 26
4-[(trans-4-aminomethyl-cyclohexanecarbonyl)-amino]-5-(2,4-dihydroxy-5-isopropyl-phenyl)-isoxazole-3-carboxylic acid ethylamide hydrochloride SST0229CL1
1 H NMR (300 MHz, CD 3 OD) δ: 1.17-1.24 (m, 9H), 1.4-2.05 (m, 9H), 2.33 (m, 1H), 2.79 (d, 2H), 3.20 (m, 1H), 3.37 (q, 2H), 6.43 (s, 1H), 7.23 (s, 1H).
[M+H] + 445.2.
Example 27 was synthesized following the procedure as described in scheme 2, the first step corresponding to the reaction conditions described for step ix of scheme 1.
Example 27
4-(4-methoxybenzylamino)-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide SST0207AA1
Step i: 4-amino-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide
1 H NMR (400 MHz DMSO), δ: 1.11 (t, J=7.2 Hz, 3H), 3.23-3.30 (m, 2H), 4.70 (br, 2H), 6.67 (s, 1H), 7.35 (s, 1H), 8.73 (t, J=6.0 Hz, 1H), 10.54 (br, 2H).
13 C NMR (100 MHz DMSO), δ: 14.5, 33.3, 104.0, 107.8, 110.9, 124.4, 128.0, 148.9, 150.7, 153.4, 154.6, 160.0.
[M+H] + 298.1/300.1.
Step ii: 4-(4-methoxybenzylamino)-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide
A solution of 4-amino-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide (298 mg, 1 mmol) and p-methoxy benzaldehyde (2 mmol) in a mixture di MeOH/AcOH (1%) (15 ml) was refluxed over night. Sodium cyanoborohydride (125 mg, 2 mmol) was added to the cooled suspension and the mixture was stirred for 3 hours. The residue was treated with aqueous 5% NaHCO 3 (10 ml) and extracted with AcOEt. The combined organic extracts were washed with brine, dried, and evaporated under reduced pressure. The crude reaction material was purified by chromatography (AcOEt/light petroleum).
1 H NMR (400 MHz CDCl 3 ), δ: 1.25 (t, J=7.6 Hz, 3H), 3.44-3.48 (m, 2H), 3.76 (s, 3H), 3.83-3.85 (m, 2H), 4.84 (br, 1H), 5.76 (s, 1H), 6.67 (s, 1H), 6.71 (br, 1H), 6.78 (d, J=8.2 Hz, 2H), 7.14 (d, J=8.2 Hz, 2H), 7.62 (s, 1H), 12.02 (br, 1H).
13 C NMR (100 MHz CDCl 3 ), δ: 14.6, 34.3, 54.9, 55.3, 106.1, 108.1, 111.7, 114.0, 120.2, 127.0, 127.9, 130.8, 152.3, 154.5, 157.2, 159.4, 159.5, 163.0.
[M+H] + 418.3/420.2.
Examples 28-32 were synthesized from the common intermediate 4-amino-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide following the procedure described in scheme 2-step ii using the adequate aldehyde or ketone derivative instead.
Example 28
4-((3-methylthiophen-2-yl)methylamino)-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide SST0206AA1
1 H NMR (400 MHz CDCl 3 ), δ: 1.24 (t, J=7.2 Hz, 3H), 2.10 (s, 3H), 3.42-3.46 (m, 2H), 4.02 (s, 2H), 4.89 (br, 1H), 5.75 (s, 1H), 6.67-6.71 (m, 3H), 7.08-7.09 (m, 1H), 7.64 (s, 1H), 11.68 (br, 1H).
13 C NMR (100 MHz CDCl 3 ), δ: 13.3, 14.6, 34.2, 46.7, 106.4, 107.9, 111.8, 119.7, 124.5, 127.0, 130.0, 130.8, 136.8, 152.5, 154.6, 156.9, 159.3, 163.0.
[M+H] + 408.2/410.2.
Example 29
5-(5-chloro-2,4-dihydroxyphenyl)-4-(cyclohexylamino)-N-ethylisoxazole-3-carboxamide SST0208AA1
1 H NMR (400 MHz CDCl 3 ), δ: 1.10-1.29 (m, 7H), 1.57-1.82 (m, 6H), 2.61 (br, 1H), 3.45-3.53 (m, 2H), 4.48 (br, 1H), 5.80 (br, 1H), 6.65 (s, 1H), 6.85 (br, 1H), 7.69 (s, 1H), 12.18 (br, 1H).
13 C NMR (100 MHz CDCl 3 ), δ: 14.6, 24.8, 25.4, 32.0, 34.3, 59.8, 106.2, 108.2, 111.6, 119.2, 127.0, 152.6, 154.5, 157.2, 159.6, 163.3.
[M+H] + 380.4/382.3.
Example 30
4-(1-methylpiperidin-4-ylamino)-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide SST0209AA1
1 H NMR (400 MHz CD 3 OD), δ: 1.22 (t, J=7.6 Hz, 3H), 1.62-1.70 (m, 2H), 2.05-2.09 (m, 2H), 2.78 (s, 3H), 2.87-2.96 (m, 2H), 3.11-3.17 (m, 1H), 3.38-3.48 (m, 4H), 6.49 (s, 1H), 7.59 (s, 1H).
13 C NMR (100 MHz CD 3 OD), δ: 14.8, 30.3, 35.1, 43.5, 54.4, 54.6, 106.6, 108.0, 113.9, 119.8, 129.5, 157.3, 158.0, 161.3, 163.9.
[M+H] + 395.4/397.3.
Example 31
Methyl 5-((3-(ethylcarbamoyl)-5-(5-chloro-2,4-dihydroxyphenyl)isoxazol-4-ylamino)methyl)isoxazole-3-carboxylate SST0210AA1
1 H NMR (400 MHz CD 3 OD), δ: 1.22 (t, J=7.6 Hz, 3H), 3.38 (q, J=7.6 Hz, 2H), 3.90 (s, 3H), 4.26 (s, 2H), 6.45 (s, 1H), 6.49 (s, 1H), 7.32 (s, 1H).
13 C NMR (100 MHz CD 3 OD), δ: 14.7, 35.1, 44.1, 53.2, 104.6, 105.7, 108.2, 113.5, 123.1, 130.3, 153.6, 156.7, 157.1, 157.6, 160.2, 161.3, 161.6, 173.2.
[M+H] + 437.2/438.4/439.2.
Example 32
4-((3-(hydroxymethyl)isoxazol-5-yl)methylamino)-5-(5-chloro-2,4-dihydroxyphenyl)-N-ethylisoxazole-3-carboxamide SST0212AA1
Sodium borohydride (2 eq) was added portionwise at 0° C. to a solution of methyl 5-((3-(ethylcarbamoyl)-5-(5-chloro-2,4-dihydroxyphenyl) isoxazol-4-ylamino)methyl)isoxazole-3-carboxylate (0.34 mmol, 150 mg) in EtOH 95% (5 ml). After 30 min, few drops of a 5% HCl solution were added to the mixture and the solvent was evaporated under vacuo. The crude reaction mixture was diluted with H 2 O (10 ml) and extracted with AcOEt (2×10 ml). The combined organic phases were washed with brine, dried and filtered. Solvent was removed under vacuo and the crude product was purified by flash chromatography on silica gel (AcOEt/light petroleum).
1 H NMR (400 MHz CD 3 OD), δ: 1.22 (t, J=7.6 Hz, 3H), 3.39 (q, J=7.6 Hz, 2H), 4.18 (s, 2H), 4.50 (s, 2H), 6.15 (s, 1H), 6.51 (s, 1H), 7.39 (s, 1H).
13 C NMR (100 MHz CD 3 OD), δ: 14.8, 35.1, 44.3, 56.6, 103.0, 105.8, 108.3, 113.5, 123.2, 130.3, 153.6, 156.9, 157.6, 160.1, 161.7, 165.4, 171.0.
[M+H] + 409.1/411.1.
Example 33 was synthesized following the procedure as described in scheme 3.
Example 33
4-(4-methoxybenzamido)-5-(5-chloro-2,4-dihydroxyphenyl)-N-(2,2,2-trifluoroethyl)-isoxazole-3-carboxamide SST0204AA1
Step i: 5-[2,4-bis(benzyloxy)-5-chlorophenyl]-isoxazole-3-carboxylic acid
A mixture of ethyl 5-(2,4-bis(benzyloxy)-5-chlorophenyl)isoxazole-3-carboxylate (200 mg, 0.43 mmol), methanol (10 ml), water (6-7 ml), and LiOH (16 mg, 0.65 mmol) was allowed to stand at 50-60° C. for 24 h. The solution was concentrated under vacuo to remove methanol, and the remaining aqueous solution was extracted with Et 2 O to remove traces of unreacted starting material. The aqueous solution was acidified with 1 M HCl and extracted with three portions of AcOEt. The combined organic extracts were washed with saturated aqueous sodium chloride and dried over sodium sulfate. Removal of the solvent under reduced pressure afforded a residue, which was chromatographed on silica gel (DCM/methanol: 9/1).
1 H NMR (200 MHz DMSO), δ: 5.34 (s, 2H), 5.38 (s, 2H), 6.91, (s, 1H), 7.36-7.51 (m, 11H), 7.90 (s, 1H), 13.95, (br, 1H).
[M+H] + 436.2/438.4.
Step ii: 5-[2,4-bis(benzyloxy)-5-chlorophenyl]-N-(2,2,2-trifluoroethyl)isoxazole-3-carboxamide
Thionyl chloride (0.26 ml, 3.55 mmol) was added to a suspension of 3-(2,4-bis(benzyloxy)-5-chlorophenyl)isoxazole-5-carboxylic acid (310 mg, 0.7 mmol) in toluene (5 ml). The resulting mixture was heated to 110° C. for 5 hours and then allowed to return to RT. After concentration under vacuo, DCM (15 ml) was added to the solution, followed by addition of 2,2,2-trifluoroethylamine hydrochloride (114 mg, 0.84 mmol), TEA (0.22 ml, 1.6 mmol). The mixture was stirred at RT overnight. The solution was diluted with DCM (15 ml) washed with HCl 1N (15 ml), water (15 ml) and brine (15 ml), dried over sodium sulphate and evaporated in vacuo. The residue was chromatographed on silica gel (eluent, Et 2 O/light petroleum).
1 H NMR (400 MHz CDCl 3 ), δ: 4.08-4.12 (m, 2H), 5.12 (s, 2H), 5.16 (s, 2H), 6.61, (s, 1H), 7.10-7.12 (m, 2H), 7.33-7.40 (m, 10H), 7.98 (s, 1H).
[M+H] + 517.5/518.5/519.3.
Step iii: 5-[2,4-bis(benzyloxy)-5-chlorophenyl]-N-(2,2,2-trifluoroethyl)-4-nitroisoxazole-3-carboxamide
This step was executed following the procedure as described in step vi of scheme 1.
1 H NMR (400 MHz CDCl 3 ), δ: 4.07-4.15 (m, 2H), 5.01 (s, 2H), 5.10 (s, 2H), 6.59, (s, 1H), 6.93, (br, 1H), 7.22-7.27 (m, 2H), 7.32-7.40 (m, 8H), 7.68 (s, 1H).
[M+H] + 562.5/563.3/564.4.
Step iv: 5-(2,4-bis-(benzyloxy)-5-chlorophenyl)-4-amino-N-(2,2,2-trifluoroethyl)isoxazole-3-carboxamide
This step was executed following the procedure as described in step vii of scheme 1.
1 H NMR (200 MHz CDCl 3 ), δ: 3.97-4.14 (m, 2H), 4.35 (br, 2H), 5.04 (s, 2H), 5.16 (s, 2H), 6.65, (s, 1H), 7.08, (br, 1H), 7.31-7.44 (m, 10H), 7.65 (s, 1H).
[M+H] + 532.3/533.6/534.3.
Step v: 5-[2,4-bis(benzyloxy)-5-chlorophenyl]-4-(4-methoxybenzamido)-N-(2,2,2-trifluoroethyl)-isoxazole-3-carboxamide
This step was executed following the procedure as described in step viii of scheme 1.
1 H NMR (400 MHz CDCl 3 ), δ: 3.85 (s, 3H), 4.04-4.12 (m, 2H), 4.86 (br, 2H), 5.11 (s, 2H), 5.16 (s, 2H), 6.58 (s, 1H), 6.82 (d, J=8.8 Hz, 2H), 7.12-7.12 (m, 2H), 7.24-7.27 (m, 4H), 7.35-7.43 (m, 6H), 7.51 (d, J=8.8 Hz, 2H), 7.45 (s, 1H), 9.04 (s, 1H).
[M+H] + 532.3/533.6/534.3.
Step vi: 4-(4-methoxybenzamido)-5-(5-chloro-2,4-dihydroxyphenyl)-N-(2,2,2-trifluoroethyl)-isoxazole-3-carboxamide
This step was executed following the procedure as described in step ix of scheme 1.
1 H NMR (400 MHz DMSO), δ: 3.82 (s, 3H), 3.99-4.04 (m, 2H), 6.62 (s, 1H), 7.02 (d, J=8.8 Hz, 2H), 7.43 (s, 1H), 7.86 (d, J=8.8 Hz, 2H), 9.36-9.39 (m, 1H), 9.80 (br, 1H), 10.66 (br, 2H).
13 C NMR (100 MHz DMSO), δ: 55.3, 59.7 (q, J=30 Hz), 104.0, 106.0, 113.5, 122.9, 126.1, 124.3 (q, J=255 Hz), 139.4, 154.8, 155.9, 159.6, 161.7, 161.9, 164.8.
[M+H] + 486.3/487.5/488.1.
Example 34 was synthesized following the procedure as described in example starting from the common intermediate 5-[2,4-bis(benzyloxy)-5-chlorophenyl]-isoxazole-3-carboxylic acid and using 3,3-difluoro-azetidine instead of 2,2,2-trifluoroethyl in step ii.
Example 34
4-(4-methoxybenzamido)-5-(5-chloro-2,4-dihydroxyphenyl)-isoxazol-3-yl-(3,3-difluoroazetidin-lyl)-methanone SST0205AA1
Step ii: 5-(2,4-bis-(benzyloxy)-5-chlorophenyl)isoxazol-3-yl)(3,3-difluoroazetidin-1-yl)-methanone
1 H NMR (200 MHz CDCl 3 ), δ: 4.46-4.59 (m, 2H), 4.84-4.97 (m, 2H), 5.11 (s, 2H), 5.15 (s, 2H), 6.60, (s, 1H), 7.09 (s, 2H), 7.35-7.41 (m, 10H), 7.97 (s, 1H).
[M+H] + 511.4/512.5/513.5.
Step iii: (5-(2,4-bis-(benzyloxy)-5-chlorophenyl)-4-nitroisoxazol-3-yl)(3,3-difluoroazetidin-1-yl)-methanone
1 H NMR (400 MHz CDCl 3 ), δ: 4.52-4.58 (m, 4H), 4.99 (s, 2H), 5.14 (s, 2H), 6.62, (s, 1H), 7.25-7.27, (m, 2H), 7.35-7.41 (m, 8H), 7.66 (s, 1H).
[M+H] + 556.5/557.5/558.4.
Step iv: (5-(2,4-bis-(benzyloxy)-5-chlorophenyl)-4-aminoisoxazol-3-yl)(3,3-difluoroazetidin-1-yl)-methanone
1 H NMR (200 MHz CDCl 3 ), δ: 4.43-4.55 (m, 4H), 4.83-4.95 (m, 2H), 5.03 (s, 2H), 5.15 (s, 2H), 6.64, (s, 1H), 7.29-7.43 (m, 10H), 7.64 (s, 1H).
[M+H] + 526.4/527.5/528.5.
Step v: 5-[2,4-bis(benzyloxy)-5-chlorophenyl]-4-(4-methoxybenzamido)-isoxazol-3-yl-(3,3-difluoroazetidin-1-yl)-methanone
1 H NMR (200 MHz CDCl 3 ), δ: 3.83 (s, 3H), 4.46-4.60 (m, 2H), 4.88-5.0 (m, 4H), 5.11 (s, 2H), 6.59 (s, 1H), 6.80 (d, J=9.2 Hz, 2H), 7.10-7.14 (m, 2H), 7.27-7.29 (m, 2H), 7.34-7.49 (m, 8H), 7.75 (s, 1H), 9.18 (s, 1H).
[M+H] + 660.7/661.6/662.5.
Step vi: 4-(4-methoxybenzamido)-5-(5-chloro-2,4-dihydroxyphenyl)-isoxazol-3-yl-(3,3-difluoroazetidin-1yl)-methanone
1 H NMR (400 MHz DMSO), δ: 3.82 (s, 3H), 4.46-4.52 (m, 2H), 4.74-4.80 (m, 2H), 6.66 (s, 1H), 7.02 (d, J=8.8 Hz, 2H), 7.47 (s, 1H), 7.86 (d, J=8.8 Hz, 2H), 9.88 (br, 1H), 10.72 (br, 1H), 10.66 (br, 2H).
13 C NMR (100 MHz DMSO), δ: 55.4, 59.9 (t, J=28 Hz), 63.2 (t, J=28 Hz), 104.0, 105.9, 110.3, 113.5, 113.6, 116.2 (t, J=270 Hz), 125.4, 126.2, 129.4, 150.2, 153.5, 155.9, 160.2, 161.4, 162.1, 164.7.
[M+H] + 480.1/481.5/482.2.
Example 35 was synthesized according to the procedure described in example 1 (steps v-ix), using N-methyl piperazine instead of ethylamine in step v.
Example 35
5-(5-chloro-2,4-dihydroxy-phenyl)-4-(4-methoxy-benzoylamino)-isoxazol-3-yl-(4-methylpiperazin-1-O-methanone SST0123AA1
Step v: [5-(2,4-bis-benzyloxy-5-chloro-phenyl)-isoxazol-3-yl]-(4-methyl-piperazin-1-yl)-methanone
N-methylpiperazine (25.4 mmol) was added to a suspension of ethyl 5-(2,4-bis(benzyloxy)-5-chlorophenyl)isoxazole-3-carboxylate (2.1 mmol) in EtOH (5 ml) and the reaction mixture was heated to 90° C. under stirring for 18 h. The reaction mixture was poured into a mixture of water (15 ml) and AcOEt (30 ml). After standard extraction, the organic layer was washed with water and brine, dried over Na 2 SO 4 , and evaporated. The resulting solid was purified by silica gel column chromatography (CHCl 3 /MeOH: 95/0.5) to give the desired compound (620 mg, 57%).
1 H NMR (200 MHz CDCl 3 ), δ: 2.32 (s, 3H), 2.45-2.50 (m, 4H), 3.77-3.84 (m, 4H), 5.11 (s, 2H), 5.13 (s, 2H), 6.60 (s, 1H), 6.89 (s, 1H), 7.36-7.41 (m, 10H), 7.97 (s, 1H).
[M+H] + 518.8/519.9
Step vi: [5-(2,4-bis-benzyloxy-5-chloro-phenyl)-4-nitro-isoxazol-3-yl]-(4-methyl-piperazin-1-yl)-methanone
1 H NMR (200 MHz CDCl 3 ), δ: 2.23 (s, 3H), 2.46-2.64 (m, 4H), 3.24-3.42 (m, 4H), 4.94 (s, 2H), 5.11 (s, 2H), 6.94 (s, 1H), 7.05-7.16 (m, 10H), 7.70 (s, 1H).
Step vii: [4-amino-5-(2,4-bis-benzyloxy-5-chloro-phenyl)-isoxazol-3-yl]-(4-methyl-piperazin-1-yl)-methanone
1 H NMR (200 MHz CD 3 OD), δ: 2.23 (s, 3H), 2.40-2.63 (m, 4H), 3.27-3.48 (m, 4H), 4.94 (s, 2H), 5.11 (s, 2H), 6.76 (s, 1H), 7.05-7.16 (m, 10H), 7.60 (s, 1H).
Step viii: N-[5-(2,4-bis-benzyloxy-5-chloro-phenyl)-3-(4-methyl-piperazine-1-carbonyl)-isoxazol-4-yl]-4-methoxy-benzamide
1 H NMR (200 MHz CD 3 OD), δ: 2.25 (s, 3H), 2.30-2.42 (m, 4H), 3.11-3.35 (m, 4H), 3.82 (s, 3H), 5.01 (s, 2H), 5.25 (s, 2H), 6.60 (s, 1H), 7.20-7.38 (m, 12H), 7.66 (d, J=8.0 Hz, 2H), 7.72 (s, 1H).
Step ix: N-[5-(5-chloro-2,4-dihydroxy-phenyl)-3-(4-methyl-piperazine-1-carbonyl)-isoxazol-4-yl]-4-methoxy-benzamide
1 H NMR (200 MHz CD 3 OD), δ: 2.28 (s, 3H), 2.50-2.67 (m, 4H), 3.24-3.43 (m, 4H), 3.80 (s, 3H), 6.47 (s, 1H), 7.59 (s, 1H), 7.65 (d, J=8.2 Hz, 2H), 7.85 (d, J=8.2 Hz, 2H).
[M+H] + 487.9/488.9.
Preparation 1 was synthesized according to the procedure described in example 1 (step ix), starting from 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-4-nitro-isoxazole-3-carboxylic acid ethylamide.
Preparation 1
4-nitro-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0068AA1
This compound was obtained following the procedure of step ix as described in example 1 starting from 5-(2,4-bis-benzyloxy-5-chloro-phenyl)-4-nitro-isoxazole-3-carboxylic acid ethylamide.
1 H NMR (200 MHz CD 3 OD), δ: 1.25 (t, J=7.2 Hz, 3H), 3.41-3.45 (q, J=7.2 Hz, 2H), 6.57 (s, 1H), 7.53 (s, 1H).
13 C NMR (400 MHz, CDCl 3 ), δ: 14.77, 33.06, 112.99, 117.25, 117.87, 122.56, 133.53, 145.18, 150.23, 152.31, 154.05, 162.69.
Preparation 2
4-amino-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide SST0090AA1
This compound was obtained following the procedure of step vii as described in example 1 starting from 4-nitro-5-(5-chloro-2,4-dihydroxy-phenyl)-isoxazole-3-carboxylic acid ethylamide and followed by standard benzyl deprotection using the reaction conditions described in example 1-step ix.
1 H NMR (400 MHz DMSO), δ: 1.11 (t, J=7.6 Hz, 3H), 3.26-3.30 (m, 2H), 6.67 (s, 1H), 7.35 (s, 1H), 8.58 (t, J=5.6 Hz, 1H), 8.75 (s, 1H), 10.15 (s, 1H), 10.70 (s, 1H).
13 C NMR (100 MHz DMSO), δ: 14.3, 27.4, 33.5, 35.9, 38.3, 38.8, 103.8, 106.1, 113.4, 129.3, 139.8, 155.0, 155.3, 155.6, 158.4, 176.0.
[M+H] + 460.2/461.3.
Biological Results
Materials and Methods
Cytotoxicity Assay:
To evaluate the effect of the compounds on cells survival, the sulphorodamine B test was used. To test the effects of the compounds on cell growth, NCI-H460 non-small cell lung carcinoma cells were used. Tumour cells were grown in RPMI 1640 containing 10% fetal bovine serum (GIBCO).
Tumour cells were seeded in 96-well tissue culture plates at approximately 10% confluence and were allowed to attach and recover for at least 24 h. Varying concentrations of the drugs were then added to each well to calculate their IC 50 value (the concentration which inhibits the 50% of cell survival). The plates were incubated at 37° C. for 72 h. At the end of the treatment, the plates were washed by removal of the supernatant and addition of phosphate buffered saline (PBS) 3 times. 200 μl PBS and 50 μl of cold 80% trichloroacetic acid (TCA) were added. The plates were incubated on ice for at least 1 h. TCA was removed, the plates were washed 3 times by immersion in distilled water and dried on paper and at 40° C. for 5 min. Then 200 μl of 0.4% sulphorodamine B in 1% acetic acid were added. The plates were incubated at RT for 30 min. Sulphorodamine B was removed, the plates were washed by immersion in 1% acetic acid for 3 times, then they were dried on paper and at 40° C. for 5 min. Then, 200 μl Tris 10 mM were added, the plates were kept under stirring for 20 min. The cell survival was determined as optical density by a Multiskan spectrofluorimeter at 540 nm. The amount of cells killed was calculated as the percentage decrease in sulphorodamine B binding compared with control cultures.
The IC 50 values were calculated with the “ALLFIT” program.
Fluorescence Polarization (FP)
GM-BODIPY (PerkinElmer, CUSN60342000MG) was previously dissolved in DMSO to obtain 10 mM stock solutions and kept at −20° C. until use.
Hsp90 (Stressgen, SPP-776), was previously dissolved in assay buffer (HFB) containing 20 mM HEPES (K) pH 7.3, 50 mM KCl, 5 mM MgCl 2 , 20 mM Na 2 MoO4 and 0.01% NP40 to form 2.2 μM stock solutions and kept at −80° C. until use.
The compounds were previously dissolved in DMSO to obtain stock solutions and kept at −20° C. The day of experiment, the compounds were prepared by serial dilutions in HFB. Before each use, 0.1 mg/ml Bovine Gamma globulin and 2 mM DTT were freshly added.
Fluorescence Polarization (FP) was performed in Opti-Plate™-96F well plates (Perkin Elmer, Zaventem, Belgium) using a plate reader (Wallac Envision 2101 multilabel reader, Perkin Elmer, Zaventem, Belgium). To evaluate the binding affinity of the molecules, 50 μl of the GM-BODIPY solution (100 nM) were added to 125 nM of Hsp90 in the presence of 5 μl of the test compounds at increasing concentrations. The plate was mixed on a shaker at 4° C. for 4 hours, and the FP values in mP (millipolarization units) were recorded. The IC 50 values were calculated as the inhibitor concentration where 50% of the tracer is displaced; each data point is the result of the average of triplicate wells, and was determined from a plot using nonlinear least-squares analysis. Curve fitting was performed using Prism GraphPad software program (GraphPad software, Inc., San Diego, Calif.).
The antiproliferative activity of novel Hsp90 inhibitors was evaluated on NCI-H460 non-small cell lung carcinoma cells and on a human epithelial carcinoma cell line A431. Most of the molecules evaluated for their binding affinity on Hsp90 catalytic site revealed to be potent with submicromolar IC 50 values (table 1). According to this high specificity for the Hsp90 catalytic ATP-binding site, all compounds resulted to possess a strong antiproliferative activity.
TABLE 1
F.P. binding
Cytotoxicity
Cytotoxicity
assay
NCI-H460
A431
Examples
SST Nbr
IC50 (μM)
IC50 (μM)
IC50 (μM)
1
SST0072AA1
++++
++
++
2
SST0081AA1
+++
++
+++
3
SST0100AA1
+++
++
+++
4
SST0101AA1
+++
+++
+++
5
SST0091AA1
++++
+++
++++
6
SST0093AA1
+++
+++
+++
7
SST0098AA1
+++
++
+++
8
SST0092AA1
++++
+++
++++
9
SST0099AA1
+++
+++
+++
10
SST0102AA1
+++
++
+++
11
SST0107AA1
+++
++++
NT
12
SST0113AA1
++++
++++
NT
13
SST0114AA1
++++
++++
NT
14
SST0115AA1
++++
++++
++++
15
SST0116AA1
+++
+++
NT
16
SST0203AA1
+++
++
+++
17
SST0220AA1
++++
+++
+++
18
SST0201CL1
++++
++++
++++
19
SST0221AA1
+++
++++
++++
20
SST0222AA1
+++
++
++
21
SST0223AA1
+++
++++
++++
22
SST0211AA1
++++
++
++
23
SST0226AA1
++++
++++
NT
24
SST0227AA1
++++
+++
NT
25
SST0228CL1
++++
++
NT
26
SST0229CL1
++++
++
NT
27
SST0207AA1
+++
++
++
28
SST0206AA1
+++
++
++
29
SST0208AA1
+++
++
++
30
SST0209AA1
++
++
++
31
SST0210AA1
++++
++
++
32
SST0212AA1
+++
++
++
33
SST0204AA1
+++
++
+++
34
SST0205AA1
NA
NA
NA
[++++] [IC 50 ] < 100 nM; [+++] 100 nM < [IC 50 ] < 1 μM; [++] 1 μM < [IC 50 ] < 10 μM; [+]10 μM < [IC 50 ]; NA: not active; NT: not tested
The FP binding assay IC 50 values were calculated as the inhibiting concentration where 50% of the tracer was displaced; each data point is the result of the average of triplicate wells, and were determined from a plot using nonlinear least-squares analysis. Curve fitting was performed using Prism GraphPad software program (GraphPad software, Inc., San Diego, Calif.).
The antiproliferative IC 50 was evaluated as drug concentration required for 50% reduction of cell growth as compared with untreated controls after 72-h exposure to the drug. The IC 50 ±SD values reported were calculated by ALLFIT program. | The present invention relates to formula I compounds having antitumoural activities through, as one possible biological target, the molecular chaperone heat shock protein 90 (Hsp90) inhibition. The invention includes the use of such compounds in medicine, in relation to cancer disease as well as other diseases where an inhibition of Hsp90 is responsive, and the pharmaceutical compositions containing such compounds. | 97,477 |
FIELD OF THE INVENTION
The invention concerns a crop gathering arrangement for a baler including an assembly of a guide surface of a conveying channel, a cutting arrangement and a positioning arrangement.
BACKGROUND OF THE INVENTION
It is known practice according to DE 38 21 717 to pivot a complete cutting arrangement from a location underneath a self-loading forage box and behind a crop take-up arrangement about a vertical axis into a position located alongside the crop take-up arrangement where the knives of the cutting arrangement are easily accessible for maintenance.
Furthermore, the prospectus KRONE Big Pack—D-10/05-0510-2701 reveals a cutting arrangement with two modules that abut each other in the longitudinal center plane of a baler and that can be pushed aside for the purpose of maintenance. In addition, the entire cutting arrangement can be lowered into a non-operating positon by means of a servomotor. A similar arrangement is also known from EP 284 792 A1.
Finally, according to DE 198 41 598, it is known practice that the floor of a conveying channel of a baler can be pivoted away from the conveying channel along with all its knives in order to remove jams more easily.
The problem underlying the invention is seen in the fact that a solution does not exist that permits simple maintenance as well as an efficient reaction to jams.
SUMMARY OF THE INVENTION
According to the present invention, there is provided crop gathering assembly, for delivering crop for further processing, which includes components which may be repositioned in a manner for overcoming the drawbacks of the prior art.
An object of the invention is to provide a crop gathering assembly including a positioning arrangement for a guide surface of a conveying channel and for a cutting arrangement, wherein the positioning arrangement is operable for repositioning the cutting arrangement in the direction of, as well as with, the guide surface.
In this way, the entire assembly, that is, the guide surface as well as the cutting arrangement can be lowered in order to prevent or to remove a jam; but this assembly can also be repositioned to the side so that the knives, in particular, are accessible for maintenance purposes. The repositioning away from a rotor is performed by means of the positioning arrangement that can be configured as a motor, for example a hydraulic motor or an electric motor. The repositioning in the plane of the extent of the guide surface represents a translational movement, for example, in or on rails—a small pivoting movement could also be performed by means of short steering arms that move the cutting arrangement at first radially away from the conveyor rotor and then axially in its direction. Although only the cutting arrangement and the guide surface have been cited as essential components of the invention, other components are also present, for example, the knife retainers and their adjusting devices. Unlike in the state of the art, here the cutting arrangement is not repositioned alone but the guide surface with it, so that the cross section of the conveying channel is enlarged much further in order to safely avoid jams in the flow of the crop.
The use of guides in the form of rails on the guide surface for the adjustment of the cutting arrangement has the advantage that the cutting arrangement is guided safely during its movement and cannot be tilted or cocked. Rails with a U-shaped Omega-shaped or T-shaped or some other profile can be used for the rails as well as simple tubes that carry or guide wheels or sliding bearings of the cutting arrangement in or on themselves. The attachment of the guide arrangement to the guide surface has the advantage that a repositioning of the guide surface simultaneously repositions the cutting arrangement.
In cases in which the cutting arrangement is configured very wide, particularly as wide as a crop take-up arrangement located upstream of it, it can nevertheless be pulled to the side sufficiently, if the guide arrangement is configured so as to be telescoped. In this case, no retainer arrangement is required on an adjoining component, for example, on the crop take-up arrangement, but the guide arrangement in itself carries the cutting arrangement over the entire positioning path.
If, on the one hand, the cutting arrangement can preferably be moved in or on rails, tubes or the like, then it is also possible, on the other hand, to use steering arms or joints with which the cutting arrangement along with the guide surface can be pivoted away from the conveying channel and to the side. This pivoting movement need not provide the entire adjustment over the entire positioning path; rather a partial adjustment is sufficient, for example, until it reaches the guide arrangement and then can be brought completely into a maintenance position.
The conveying channel can be used for cutting arrangement as well as for conveying only, if the knives can be repositioned between an operating position and a non-operating position. This repositioning can be performed manually as well as by means of a motor under remote control. It is also possible to have the knives move under a load from their operating position if spring loaded retainers of known configuration are provided.
If the cutting arrangement can be immobilized at the guide surface, these two components can be repositioned together, so that a single positioning arrangement can be sufficient under certain circumstances. On the other hand, the immobilization can also be released so that the cutting arrangement can be removed or repositioned for maintenance purposes or the like.
A positioning arrangement to reposition the knives within the cutting arrangement, for example, by means of a hydraulic cylinder that acts upon all of the knives or a part of the knives, makes it possible to vary length of cut of the crop or to pivot the knives for a reversing process or to remove a jam. This pivoting can be triggered manually as desired or controlled by sensors.
Since the guide surfaces and the cutting arrangement are formed by two modules, that can be brought into a non-operating position away from each other, a cutting arrangement, possibly a very long one, need not be moved to one side, but two halves or one of them can be extracted to such a degree that maintenance or replacement of knives is possible.
The same advantage as that of telescopic guidance can be attained if the modules in their central region are configured so as to overlap at least partially, so that if they are then extracted over their entire length, they are still controlled by the guidance arrangement.
While such assemblies can be applied in many cases, for example, also in the industrial processing of goods to be baled, nevertheless the use in a baler, particularly for agricultural products is highly advantageous if they are arranged between a crop take-up arrangement and a baling chamber, since there malfunction in the flow of crop or damage to the knives can occur that must be remedied rapidly.
In the case of a baler in which the cutting arrangement is wider than the baling chamber, it is not necessary to initially deflect long or troublesome crop and then to cut it, but it can be cut into small pieces initially and then it can be conveyed considerably more easily, which in turn increases the service life of the cutting arrangement.
BRIEF DESCRIPTION OF THE DRAWINGS
The drawings show an embodiment of the invention that shall be described in greater detail in the following.
FIG. 1 shows a schematic side view of a baler with a crop gathering arrangement including an assembly of a guide surface, a conveying channel of a cutting arrangement and a positioning arrangement.
FIG. 2 shows a plan view of the baler of FIG. 1 in an operating position, with an upper forward portion of the baler being omitted and a central portion of the crop feed rotor being broken away so as to reveal an inner end region of a guide arrangement for a pair of cutting arrangement modules.
FIG. 3 shows the baler of FIG. 2 in a non-operating or maintenance position.
FIG. 4 shows an enlarged side view of the assembly in its operating position.
FIG. 5 shows the assembly of FIG. 4 , but with knives in a non-operating position.
FIG. 6 shows the assembly as it is pivoted as a unit away from the conveying surface.
FIG. 7 shows the assembly as it is pivoted downward with the conveying surface.
FIG. 8 shows an enlarged plan view of the guide arrangement with partially overlapping modules of the cutting arrangement, shown in FIG. 2 .
FIG. 9 shows a second embodiment of the invention in which the cutting arrangement is in a non-operating position.
DESCRIPTION OF THE PREFERRED EMBODIMENT
A baler 10 , shown in FIG. 1 , is generally provided with a baler housing 12 defining opposite sides of baling chamber 14 to which is attached to towbar 16 , running gear 18 , a crop take-up arrangement 20 and a conveyor assembly 22 constructed in accordance with the present invention.
In this embodiment, the baler 10 is configured as a rotobaler, with the baling chamber 14 being variable. The baler 10 could alternatively be provided with a baling chamber 14 of constant size, or the baler could be configured as a piston baler for producing parallelepiped bales. In the same sense, the configuration as a baler 10 is not necessarily significant; rather the conveyor assembly, according to the invention, can also be applied to a self-loading forage box or the like.
Depending on the configuration of the baler 10 , the baler housing 12 is equipped with walls, not shown or characterized, and baling elements also not shown, which form the baling chamber 14 in themselves and between themselves, are supported on the running gear 18 and can be attached to a towing vehicle by means of the towbar 16 .
The baling chamber accepts crop to be baled, for example, hay, straw or silage, or the product to be baled may be industrial garbage or the like, from the conveyor assembly 22 and lets a bale to be formed in its interior.
The crop take-up arrangement 20 is configured as a so-called pick-up that takes crop directly from the ground and conducts it to the conveyor assembly 22 in an overshot manner. Other crop take-up devices or crop supply arrangements in general, for example, conveyor belts or conveyor shafts, could also be used.
The conveyor assembly 22 is located between the crop take-up arrangement 20 and the baling chamber 14 in a conveyor channel 24 that is open upwards with a guide surface 26 towards the bottom and includes a cutting arrangement 28 and a positioning arrangement 30 .
The conveyor assembly 22 can be configured as a single unit and be connected interchangeably at corresponding interface locations to the crop take-up arrangement 20 and the baler housing 12 , or it may be an integral component of these.
As can be seen particularly in FIGS. 2 and 3 , in this embodiment the conveyor assembly 22 is as wide as the crop take-up arrangement 20 but narrower than the baling chamber 14 ; however, for the purposes of the invention, this is not a requirement.
The conveying channel 24 is bordered at its bottom by the guide surface 26 and at its sides by walls, not shown. At its upper side, the conveying channel 24 is bordered by a rotor 32 , which is driven and conveys in an undershot manner. This rotor 32 would also be provided if the assembly 22 does not include a cutting arrangement 28 .
The guide surface 26 is configured as a sheet metal component that is stiff in bending and is provided with a multitude of slots extending in the direction of conveying, it generally follows a part of the circumference of the rotor 32 . The forward, upstream end of the guide surface 26 is supported in bearings, free to pivot, on the crop take-up arrangement 20 , and on its rear side, located downstream, it is retained by the repositioning arrangement 30 . The downstream edge of the guide surface 26 reaches up to the baling chamber 14 , in order to permit a perfect transfer of the crop. On the bottom of the guide surface 26 , a guide arrangement 34 is provided at the front and a lock 36 at the rear. At its upstream end, the guide surface 26 can be attached to the crop take-up arrangement 20 so as to pivot simply or as well as in its height, movably supported in bearings and spring loaded and/or controlled towards the circumference of the rotor 32 or away from it, as this is known in itself but is not shown here.
The guide arrangement 34 contains a U-shaped rail 38 that is open to the rear and is rigidly attached to the underside of the guide surface 26 . A complementary guide part (slide 48 , carrier 54 , 56 ) engages in this guide arrangement 34 , and is located on the cutting arrangement 28 and shall be described further in the following.
In the embodiment shown, the lock arrangement 36 contains a hook 40 that can be actuated manually or remotely controlled by a motor. In place of the hook 40 , a pin connection or another lock could also be provided. Here, too, there is a complementary component on the cutting arrangement 28 .
Basically, the cutting arrangement 28 is configured in a known manner and includes a frame 42 in which a multitude of knives 44 are retained so that they can be repositioned, where the repositioning is performed, on the one hand, against the force of mechanical or hydraulic springs, in order to deflect in the case of an overload and that is triggered, on the other hand, by a positioning arrangement 46 in order to move all knives 44 out of the conveying channel 24 so that the crop can be conveyed through it without being cut. In the operating condition of the cutting arrangement 28 , the knives 44 extend through the slots in the guide surface 26 up to a position close to the rotor 32 ; in the non-operating condition they are retracted up to or below the guide surface 26 . Finally, strippers 47 are associated with the cutting arrangement 28 , they extend into the gaps between the drivers of the rotor 32 and are attached to the baler housing 12 .
According to FIGS. 2 and 3 , the cutting arrangement 28 is subdivided into two modules 49 that are divided in the area of the longitunal center plane of the baler 10 underneath the rotor 32 and come into contact with each other at the point.
On its side facing the guide arrangement 34 , the frame 42 is attached to a slide 48 that is engaged in the U-shaped rail 38 (see FIG. 8 ). This slide 48 is configured in a known manner and permits the cutting arrangement 28 to move over a distance that corresponds approximately to its length. For easier repositioning that can be performed manually as well as by means of a motor, the slide 48 contains rollers 50 oriented approximately vertically and rollers 52 oriented approximately horizontally, each of which is supported in the U-shaped rail 38 and, according to FIG. 3 , support in bearings, free to roll, a carrier 54 on the one hand and a carrier 56 on the other hand, which is connected to the frame 42 in a joint 68 , so as to pivot vertically. In the region facing the center of the baler 10 , the carriers 54 , 56 overlap transverse to the direction of operation so that they are actually wider than the frame 42 and are still retained in the U-shaped rail 38 in their fully extended condition, the U-shaped rail 38 , the rollers 50 and 52 and the carriers 54 , 56 are dimensioned in such a way that in the case of the configuration according to FIGS. 1 through 8 , they can carry freely and retain the cutting arrangement 28 , whereas according to the second embodiment they are conducted upstream as well as downstream.
In the embodiment shown, the positioning arrangement 30 is configured as a double-acting linear hydraulic motor that is connected to a conventionally configured hydraulic system which contains a gas pressure accumulator 58 , that operates only on the rod side of the positioning arrangement 30 , that is along the path of the cutting arrangement 28 away from the rotor 32 . The positioning arrangement 30 is attached at the top to the baler housing 12 and at the bottom to the guide surface 26 , in each case free to pivot. Although it is not shown, the positioning arrangement 30 can nevertheless be extended or retracted so that, for example, the cross section of the conveying channel 24 can be varied or it can move downward depending upon the supply of crop. In place of the hydraulic motor, an electric motor could be used or in the simplest case, a lever, a rope pull or the like could be used. The control or regulation of the positioning arrangement 30 can be performed automatically by means of sensors, not shown, as well as manually from a towing vehicle, also not shown.
The rotor 32 accepts harvested crop from the crop take-up arrangement 20 and conveys it to the baling chamber 14 , where it is pressed against the knives 44 and is cut by these, unless these are in a non-operating condition. The rotor 32 can also be operated in reverse in order to remove a possible jam.
The locking arrangement 36 includes the hook 40 that reaches over the frame 42 or a projection 60 attached to it. The hook 40 is attached to the guide surface 26 and can be repositioned manually or by means of a motor. If the hook 40 has been moved out of its position retaining the frame 42 , the frame 42 can pivot vertically downward so that the access to the knives 44 from above is opened up. If necessary, the frame 42 can be lowered and possibly raised again by means of a mechanical positioning arrangement or by a motor, not shown. In case that such a positioning arrangement is not available, the guide surface 26 is lowered by means of the positioning arrangement 30 , so that the frame 42 comes into contact with the guide surface 26 and the hook 40 , and the hook 40 can again be brought into engagement with the frame 42 or the projection 60 .
The knives 44 are of conventional configuration and are supported under spring load in such a way that they project vertically out of the flow of the crop and can again be moved into it on the basis of the spring load. The springs, not shown but known in themselves, can be unloaded by means of the positioning arrangement 46 , so that the knives 44 can be moved into a non-operating position either on the basis of the force of gravity or on the basis of levers engaging it. In the non-operating position, the forward edge of each of the knives 44 is located at or behind the guide surface 26 and is no longer in engagement with the rotor 32 . If, in addition, the frame 42 is also unlocked and is pivoted along with the knives 44 and the guide surface 26 , then the cutting arrangement 28 can be slid to the side along with the slide 48 , that is, in the plane of the guide surface 26 or in the axial direction of the rotor 32 , and then be maintained in the extended position (see FIG. 6 ).
The assembly 22 , shown in FIG. 9 , according to the second embodiment, differs from the first embodiment in such a way that the frame 42 is replaced by a double frame 62 , of which the inner frame corresponds to the previous frame 42 which is retained in an outer frame 64 and can pivot vertically and can be repositioned in the same way as the frame 42 , and while the outer frame 64 is guided in a lower guide arrangement 34 and an upper guide arrangement 66 so as to move sideways. In this case, the locking arrangement 36 operates between the outer and the inner frame 64 , 42 instead of operating between the guide surface 26 and the frame 42 . Finally, the frame 42 is supported in bearings, free to pivot vertically, not on the carrier 54 or 56 , but on the outer frame 64 .
Having described the preferred embodiment, it will become apparent that various modifications can be made without departing from the scope of the invention as defined in the accompanying claims. | A conveyor assembly is provided on a baler between a crop take-up arrangement and a baling chamber. The conveyor assembly includes a guide member assembly having an upwardly facing guide surface defining a lower limit of a crop conveying channel having an upper limit defined by an undershot rotor positioned above the guide surface. The conveyor assembly further includes a cutting arrangement mounted to a lower side of the guide member and having knives located for projecting through slots provided in the guide member. The cutting arrangement can be lowered together with the guide member, as well as shifted transverse to the forward operating direction relative to the guide member. In this way jams can be avoided or removed, and the cutting arrangement can be brought into a position accessible for purposes of maintenance, as well. | 20,465 |
BACKGROUND OF THE INVENTION
[0001] 1. Field of the Invention
[0002] The invention relates to a plasma display panel, and more particularly to a plasma display panel which is capable of preventing display defectiveness caused by breakage and/or defective shape of partition walls.
[0003] 2. Description of the Related Art
[0004] A plasma display panel is recently often used as a flat display, because a plasma display panel has advantages that it is thin and can be readily applied to a big screen, it has a broad viewing angle, and it has a high response speed.
[0005] FIG. 1 is a perspective view of a display cell in a conventional three-electrode surface-discharge AC type plasma display panel.
[0006] As illustrated in FIG. 1 , a front substrate 351 and a rear substrate 352 are arranged parallel to each other in a display cell.
[0007] The front substrate 351 is comprised of an electrically insulating substrate 302 composed of transparent material such as glass, a plurality of scanning electrodes 303 (only one of them is illustrated in FIG. 1 ) formed on the substrate 302 in facing relation to the rear substrate 352 , a plurality of common electrodes 304 (only one of them is illustrated in FIG. 1 ) formed on the substrate 302 in facing relation to the rear substrate 352 , a plurality of trace electrodes 305 each formed on each of the scanning electrodes 303 , a plurality of trace electrodes 306 each formed on each of the common electrodes 304 , a dielectric layer 312 formed on the substrate 302 , covering the scanning electrodes 303 , the common electrodes 304 and the trace electrodes 305 and 306 therewith, and a protection layer 313 formed on the dielectric layer 312 .
[0008] The scanning electrodes 303 and the common electrodes 304 are arranged alternately, and equally spaced away from adjacent ones in parallel with one another.
[0009] The trace electrodes 305 and 306 reduce an electrical resistance of the scanning electrode 303 and the common electrode 304 , respectively.
[0010] The protection layer 313 protects the dielectric layer 312 from discharges. The protection layer 313 is composed of magnesium oxide (MgO), for instance.
[0011] The rear substrate 352 is comprised of an electrically insulating substrate 301 composed of transparent material such as glass, a plurality of data electrodes 307 formed on the substrate 301 in a direction perpendicular to a direction in which the scanning electrodes 303 and the common electrodes 304 extend, in facing relation to the front substrate 351 , a dielectric layer 341 formed on the substrate 301 , covering the data electrodes 307 therewith, a partition wall 315 formed on the dielectric layer 314 , and a phosphor layer 311 covering an exposed surface of the dielectric layer 314 and sidewalls of the partition wall 315 therewith.
[0012] The substrate 301 in the rear substrate 352 is comprised of a transparent substrate in the display cell illustrated in FIG. 1 , however, it is not always necessary for the substrate 301 to be a transparent substrate.
[0013] The partition wall 315 defines a discharge gas space and a plurality of display cells (pixels) 308 .
[0014] Viewing perpendicularly to a surface of the substrate 301 , the partition wall 315 is grid-shaped. Specifically, the partition wall 315 is comprised of a vertical partition wall 315 a extending in parallel with the data electrodes 317 , and a horizontal partition wall 315 b extending perpendicularly to the vertical partition wall 315 a.
[0015] The vertical and horizontal partition walls 315 a and 315 b are almost equal in height to each other. A height from a surface of the substrate 301 to a summit of the partition wall 315 , that is, a total thickness of the dielectric layer 314 and the partition wall 315 is 120 micrometers, for instance.
[0016] Each of the display cells 308 is filled with discharge gas composed of noble gas such as helium, neon or xenon singly or in combination.
[0017] The phosphor layer 311 receives ultra-violet rays generated due to discharges of discharge gas, and thus, emits a visible light 310 .
[0018] An area between the front substrate 351 and the rear substrate 352 is comprised of a centrally located display area in which images are displayed, and a non-display area located around the display area. A partition wall formed in a non-display area is called a dummy partition wall, which assists a partition wall to be uniformly formed in a display area during fabrication of a plasma display panel, and prevents contaminants from entering a display area for protection of a display area after fabrication of a plasma display panel. A dummy partition wall is formed generally by one or two rows.
[0019] FIGS. 2A to 4 B show respective step in a method of fabricating the conventional plasma display panel illustrated in FIG. 1 . FIGS. 2A, 3A and 4 A are plan views of the rear substrate 352 , and FIGS. 2B, 3B and 4 B are cross-sectional views taken along the lines 2 B, 3 B and 4 B in FIGS. 2A, 3A and 4 A, respectively.
[0020] Hereinbelow is explained a method of fabricating the conventional plasma display panel with reference to FIGS. 2A to 4 B.
[0021] With reference to FIG. 1 , the scanning electrodes 303 and the common electrodes 304 are formed on the substrate 302 such that they are alternately arranged and extend in parallel with each other.
[0022] Then, the trace electrodes 305 and 306 are formed on the scanning and common electrodes 303 and 304 , respectively.
[0023] Then, the dielectric layer 312 is formed on the substrate 302 such that the dielectric layer 312 covers the scanning and common electrodes 303 and 304 and the trace electrodes 305 and 306 therewith.
[0024] Then, the protection layer 313 composed of MgO is formed on the dielectric layer 312 .
[0025] Thus, there is fabricated the front substrate 351 .
[0026] With reference to FIGS. 2A and 2B , a plurality of the data electrodes 307 is formed on the substrate 301 .
[0027] Then, as illustrated in FIGS. 3A and 3B , the dielectric layer 314 is formed on the substrate 301 such that the dielectric layer 314 covers the data electrodes 307 therewith.
[0028] Then, as illustrated in FIGS. 4A and 4B , the partition wall 315 is formed on the dielectric layer 314 .
[0029] The partition wall 315 can be formed by sand blasting or printing, for instance. The partition wall 315 is formed as follows in the case that the partition wall 315 is formed by sand blasting.
[0030] First, filler, glass powder, binder and solvent are mixed to thereby have partition wall paste.
[0031] Then, the partition wall paste is coated on the dielectric layer 314 . Then, the solvent in the paste is evaporated to thereby form a partition wall paste layer (not illustrated).
[0032] Then, a dry film (not illustrated) is adhered onto a surface of the partition wall paste layer, and then, the dry film is patterned.
[0033] Then, sand blasting is carried out to the partition wall paste layer with the patterned dry film being used as a mask. As a result, a portion of the partition wall paste layer not covered with the dry film is selectively removed.
[0034] Then, the dry film is removed, and the partition wall paste layer is baked. As a result, the binder in the partition wall paste layer is evaporated, and the glass powder is fused and re-cured. Thus, there is formed the partition wall 315 composed of filler and glass.
[0035] The partition wall 315 is formed in a grid such that the vertical and horizontal partition walls 315 a and 315 b are almost equal in height to each other.
[0036] Then, as illustrated in FIG. 1 , the phosphor layer 311 is formed on an exposed surface of the dielectric layer 314 and sidewalls of the partition wall 315 .
[0037] Then, the substrates 301 and 302 are aligned with each other such that the protection layer 313 makes contact with the partition wall 315 and that the data electrodes 307 extend perpendicularly to the scanning and common electrodes 303 and 304 .
[0038] Then, the substrates 301 and 302 aligned with each other are thermally annealed, resulting in that the substrates 301 and 302 are fused at their ends to each other through flits. Thus, a space surrounded by a sealing layer (not illustrated) comprised of the substrates 301 and 302 and the flits is gas-tightly sealed.
[0039] Then, the space is exhausted, and thereafter, discharge gas is introduced into the space.
[0040] Thus, there is completed the plasma display panel illustrated in FIG. 1 .
[0041] However, the above-mentioned conventional plasma display panel is accompanied with a problem of poor quality in displaying images which is caused by contraction of a partition wall paste layer generated during being baked. Hereinbelow is explained the problem of contraction of a partition wall paste layer.
[0042] The above-mentioned poor quality in displaying images is grouped into two types.
[0043] The first type poor quality is caused by that the vertical partition wall 315 a is partially raised during the partition wall paste layer is being baked. The first type poor quality is caused because the vertical partition wall 315 a is longer and thinner than the horizontal partition wall 315 b.
[0044] Since the vertical partition wall 315 a is longer and thinner than the horizontal partition wall 315 b , the vertical partition wall 315 a and the horizontal partition wall 315 b are different from each other with respect to contraction generated during the partition wall 315 is being baked, and hence, the vertical partition wall 315 a is partially raised to thereby become higher than the horizontal partition wall 315 b.
[0045] As a result, when the substrates 301 and 302 are aligned to each other, a raised portion of the vertical partition wall 315 a is compressed by the protection layer 313 , and resultingly, the vertical partition wall 315 a is often broken. If the vertical partition wall 315 a is broken, a portion of the phosphor layer 311 formed on the vertical partition wall 315 a itself and sidewalls of the vertical partition wall 315 a is scattered into the display cell 308 , and resultingly, adheres to the scanning electrode 303 and/or the common electrode 304 . This results in that the display cell 308 does not properly operate, that is, the display cell 308 is kept to emit a light regardless of a drive signal or does not emit a light at all.
[0046] The second type poor quality is caused by that the vertical and horizontal partition walls 315 a and 315 b are contracted during the partition wall 315 is being baked, and resultingly, opposite ends of the vertical and horizontal partition walls 315 a and 315 b in a length-wise direction are deformed to be higher than centers of them.
[0047] FIG. 5A is a cross-sectional view illustrating the partition wall 315 before baked, FIG. 5B is a cross-sectional view illustrating the partition wall 315 after baked, and FIG. 5C is a cross-sectional view illustrating the substrates 301 and 302 aligned to each other. For simplification, parts other than the substrates 301 and 302 and the partition wall 315 are omitted in FIGS. 5A to 5 C.
[0048] As illustrated in FIG. 5A , the partition wall 315 before baked has a uniform height.
[0049] However, as illustrated in FIG. 5B , the partition wall 315 is contracted during being baked, and resultingly, opposite ends 315 c are raised relative to a central portion 315 d.
[0050] As illustrated in FIG. 5C , the substrates 301 and 302 are aligned to each other, and then, a discharge gas space is exhausted. The substrates 301 and 302 are bent due to atmospheric pressure. However, the substrates 301 and 302 are bent in a different curvature from the partition wall 315 , and accordingly, gaps 316 are formed between the partition wall 315 and the substrate 302 in the vicinity of the ends 315 c.
[0051] As a result, a display cell 308 including the gaps 316 would have an increased volume, and hence, a voltage necessary for generating writing discharge in the display cell 308 would be raised. Thus, writing discharge would not be generated by an ordinary drive voltage in the display cell 308 , resulting in writing defectiveness. Thus, the plasma display panel would have a problem of display defectiveness.
[0052] There have been suggested solutions to the second type poor quality.
[0053] For instance, Japanese Patent Application Publication No. 2001-319580 has suggested a plasma display panel in which a dielectric layer is not formed in a non-display area on a rear substrate, and a partition wall is formed directly on the rear substrate in order to prevent the above-mentioned second type poor quality. This ensures that a partition wall located in a non-display area is lower in height than a partition wall located in a display area. Hence, even if a partition wall is contracted, and accordingly, opposite ends thereof in a length-wise direction become higher than a central area, it would be possible to prevent formation of gaps between the partition wall and a front substrate.
[0054] In contrast to the second type poor quality, the first type poor quality is not well recognized, and accordingly, solutions are not much suggested.
[0055] For instance, the plasma display panel suggested in the above-mentioned Japanese Patent Application Publication No. 2001-319580 prevents the second type poor quality, but cannot prevent the first type poor quality.
[0056] Japanese Patent Application Publication No. 2000-340123 has suggested a plasma display panel which includes an improved horizontal partition wall in order to prevent the first type poor quality.
[0057] FIG. 6 is a plan view of a partition wall in the plasma display panel suggested in Japanese Patent Application Publication No. 2000-340123.
[0058] As illustrated in FIG. 6 , the partition wall is comprised of a plurality of horizontal partition walls 315 A horizontally extending, and a plurality of vertical partition walls 315 B extending vertically only between adjacent horizontal partition walls 315 A.
[0059] Each of the horizontal partition walls 315 A is designed to have extensions 315 C extending from opposite ends thereof. Even if the horizontal partition walls 315 A is raised at its opposite ends due to the contraction, such a raise is concentrated to the extensions 315 C. Front and rear substrates are joined to each other between the extensions 315 C formed at opposite ends of the horizontal partition wall 315 A. Accordingly, front and rear substrates can be joined to each other with a constant gap being kept therebetween without being influenced by the raised extensions 315 C.
[0060] Japanese Patent Application Publication No. 11-339668 has suggested a plasma display panel including a partition wall having opposite tapered ends 315 D, as illustrated in FIG. 7 , to prevent formation of a raise portion caused by contraction.
[0061] The plasma display panel suggested in Japanese Patent Application Publication No. 2000-340123 makes it possible for front and rear substrates to join to each other with a constant gap being kept therebetween. However, since the extensions 315 C are raised, if the front and rear substrates are misaligned even slightly, the front substrate aligns with the raised extensions 315 C, resulting in that it would not be possible to keep a constant gap between the front and rear substrates.
[0062] Accordingly, it is necessary to align the front and rear substrates to each other highly accurately before they join to each other. This causes an additional problem that steps of fabricating a plasma display panel are unavoidably complicated.
[0063] The partition wall suggested in Japanese Patent Application Publication No. 11-339668 is formed by physically grinding, punching or a process of half-exposing a partition wall to a light.
[0064] If the tapered ends 315 D are formed by grinding, there are newly caused problems that a grinding step has to be additionally carried out, and chips are generated in a grinding step.
[0065] If the tapered ends 315 D are formed by punching or half-exposing process, there are newly caused problems that an equipment for doing so has to be newly prepared, and hence, punching or half-exposing process cannot be applied to a conventional method of forming a partition wall by sand blasting.
SUMMARY OF THE INVENTION
[0066] In view of the above-mentioned problems in the conventional plasma display panels, it is an object of the present invention to provide a plasma display panel which is capable of preventing a partition wall from partially rising due to contraction during baked, without an increase in fabrication steps and further without an increase in complex in fabrication process.
[0067] In one aspect of the present invention, there is provided a rear substrate in a plasma display panel including a first substrate through which an image is transmitted to a viewer, and the rear substrate arranged in facing relation to the first substrate, including (a) an electrically insulating substrate, (b) a plurality of data electrodes arranged on the substrate and spaced away from one another, (c) a plurality of partition walls formed on the substrate, and (d) a phosphor layer covering the substrate and the data electrodes therewith between adjacent partition walls, wherein at least one partition wall and another partition wall among the partition walls are joined to each other at at least one of opposite ends thereof in a length-wise direction through a curved partition wall, the another partition wall extending in the same direction as a direction in which the at least one partition wall extends.
[0068] For instance, the at least one partition wall and the another partition wall are arranged adjacent to each other.
[0069] For instance, the partition walls include first, second, third and fourth partition walls arranged in this order, and wherein the first and third partition walls are connected at at least one of opposite ends thereof in a length-wise direction to each other through a first curved partition wall, the second and fourth partition walls are connected at at least one of opposite ends thereof in a length-wise direction to each other through a second curved partition wall, and the first and second curved partition walls intersect with each other.
[0070] For instance, every N partition walls among the partition walls are connected at at least one of opposite ends thereof in a length-wise direction to each other through the curved partition wall, the N being a positive integer equal to or greater than one.
[0071] For instance, a first pair of partition walls among the partition walls is connected at at least one of opposite ends thereof in a length-wise direction to each other through the curved partition wall, a second pair of partition wall is surrounded by the first pair of partition walls, and the second pair of partition walls among the partition walls is connected at at least one of opposite ends thereof in a length-wise direction to each other through the curved partition wall.
[0072] For instance, the partition walls are comprised of 2N partition walls, N being a positive integer equal to or greater than two, and wherein a M-th partition wall is connected at at least one of opposite ends thereof in a length-wise direction to an associated end of a (2N−M+1)-th partition wall through the curved partition wall, M being a positive integer in the range of one (1) to N both inclusive.
[0073] In the above-mentioned case, it is preferable that a curved partition wall connecting the M-th partition wall and the (2N−M+1)-th partition wall to each other therethrough has a width equal to or greater than a width of a curved partition wall connecting a (M+1)-th partition wall and a (2N−M)-th partition wall to each other therethrough.
[0074] In the above-mentioned case, it is preferable that one of the M-th partition wall and the (2N−M+1)-th partition wall wherein M is equal to one (1) is located outermost of a display area of the plasma display panel.
[0075] For instance, the curved partition wall is semi-circular.
[0076] For instance, the partition walls extend in a first direction in parallel with one another.
[0077] It is preferable that each of the partition walls is comprised of a first partition wall extending in a first direction and a second partition wall extending in a second direction perpendicular to the first direction.
[0078] It is preferable that each of the partition walls is comprised of a first partition wall extending in a first direction and a second partition wall extending in a second direction perpendicular to the first direction only between adjacent first partition walls.
[0079] It is preferable that the rear substrate may include a display area in which images are displayed, and a non-display area surrounding the display area, in which images are not displayed, the rear substrate includes flit-stoppers arranged in the non-display area in facing relation to a pair of partition walls connected at at least one of opposite ends thereof in a length-wise direction to each other through the curved partition wall, the flit-stoppers are comprised of curved lines, and the flit-stoppers are arranged each overlapping adjacent flit-stoppers, and surround the display area.
[0080] For instance, each of the flit-stoppers is circular.
[0081] In another aspect of the present invention, there is provided a plasma display panel comprising a first substrate through which an image is transmitted to a viewer, and a second substrate arranged in facing relation to the first substrate, the first substrate including (A) a first transparent substrate, (B) at least one scanning electrode formed on the first transparent substrate in facing relation to the second substrate, (C) at least one common electrode formed on the first transparent substrate in facing relation to the second substrate, and (D) a dielectric layer covering the first transparent substrate, the scanning electrode and the common electrode therewith, the second substrate being comprised of the above-mentioned rear substrate.
[0082] The advantages obtained by the aforementioned present invention will be described hereinbelow.
[0083] In accordance with the present invention, it is possible to make a gap between a designed total thickness of a dielectric layer and a partition wall and an actual one smaller than the same in a conventional plasma display panel, and further possible to prevent a partition wall from being broken and having an improper shape more surely than a conventional plasma display panel.
[0084] The above and other objects and advantageous features of the present invention will be made apparent from the following description made with reference to the accompanying drawings, in which like reference characters designate the same or similar parts throughout the drawings.
BRIEF DESCRIPTION OF THE DRAWINGS
[0085] FIG. 1 is a perspective view of a display cell in a conventional three-electrode surface-discharge AC type plasma display panel.
[0086] FIG. 2A is a plan view of a rear substrate in the plasma display panel illustrated in FIG. 1 , showing respective step of a method of fabricating the plasma display panel illustrated in FIG. 1 .
[0087] FIG. 2B is a cross-sectional view taken along the line 2 B- 2 B in FIG. 2A .
[0088] FIG. 3A is a plan view of a rear substrate in the plasma display panel illustrated in FIG. 1 , showing respective step of a method of fabricating the plasma display panel illustrated in FIG. 1 .
[0089] FIG. 3B is a cross-sectional view taken along the line 3 B- 3 B in FIG. 3A .
[0090] FIG. 4A is a plan view of a rear substrate in the plasma display panel illustrated in FIG. 1 , showing respective step of a method of fabricating the plasma display panel illustrated in FIG. 1 .
[0091] FIG. 4B is a cross-sectional view taken along the line 4 B- 4 B in FIG. 4A .
[0092] FIG. 5A is a cross-sectional view illustrating a partition wall before baked.
[0093] FIG. 5B is a cross-sectional view illustrating a partition wall after baked.
[0094] FIG. 5C is a cross-sectional view illustrating front and rear substrates aligned to each other.
[0095] FIG. 6 is a plan view illustrating a partition wall in a conventional plasma display panel.
[0096] FIG. 7 is a plan view illustrating a partition wall in another conventional plasma display panel.
[0097] FIG. 8 is a plan view illustrating an outline of a rear substrate in accordance with the first embodiment of the present invention.
[0098] FIG. 9A is a plan view showing points at which a total thickness of a dielectric layer and a partition wall is measured in the rear substrate in accordance with the first embodiment.
[0099] FIG. 9B is a table showing the results of measurement.
[0100] FIG. 10 is a plan view illustrating an outline of a rear substrate in accordance with the second embodiment of the present invention.
[0101] FIG. 11A is a plan view showing points at which a total thickness of a dielectric layer and a partition wall is measured in the rear substrate in accordance with the second embodiment.
[0102] FIG. 11B is a table showing the results of measurement.
[0103] FIG. 12 is a plan view illustrating an outline of a rear substrate in accordance with the third embodiment of the present invention.
[0104] FIG. 13 is a plan view illustrating an outline of a rear substrate in accordance with the fourth embodiment of the present invention.
[0105] FIG. 14 is a plan view illustrating an outline of a rear substrate in accordance with the fifth embodiment of the present invention.
[0106] FIG. 15A is a plan view showing points at which a total thickness of a dielectric layer and a partition wall is measured in the rear substrate in accordance with the fifth embodiment.
[0107] FIG. 15B is a table showing the results of measurement.
[0108] FIG. 16 is a plan view illustrating an outline of a rear substrate in accordance with the sixth embodiment of the present invention.
[0109] FIG. 17A is a plan view showing points at which a total thickness of a dielectric layer and a partition wall is measured in the rear substrate in accordance with the sixth embodiment.
[0110] FIG. 17B is a table showing the results of measurement.
[0111] FIG. 18 is a plan view illustrating an outline of a rear substrate in accordance with the eighth embodiment of the present invention.
DESCRIPTION OF THE PREFERRED EMBODIMENTS
[0112] Preferred embodiments in accordance with the present invention will be explained hereinbelow with reference to drawings.
FIRST EMBODIMENT
[0113] FIG. 8 is a plan view illustrating an outline of a rear substrate 10 in accordance with the first embodiment of the present invention. For simplification of FIG. 8 , only a partition wall is illustrated in FIG. 8 . The rear substrate 10 has the same structure as the rear substrate 352 illustrated in FIG. 1 except a partition wall.
[0114] In the rear substrate 10 in accordance with the first embodiment, a partition wall is comprised of a plurality of vertical partition walls 101 extending vertically in FIG. 8 in parallel with one another, and a plurality of horizontal partition walls 102 extending horizontally in FIG. 8 in parallel with one another. The vertical partition walls 101 are equally spaced away from one another, and similarly, the horizontal partition walls 102 are equally spaced away from one another. A ratio of a distance between adjacent horizontal partition walls 102 to a distance between adjacent vertical partition walls 101 is set equal to 3:1. The vertical and horizontal partition walls 101 and 102 are arranged in a grid.
[0115] In the rear substrate 10 in accordance with the first embodiment, the vertical partition walls 101 located adjacent to each other are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 .
[0116] Specifically, the rear substrate 10 has sixteen vertical partition walls 101 . A N-th vertical partition wall 101 as viewed from the left in FIG. 8 is joined at opposite ends thereof to a (N+1)-th vertical partition wall 101 through the semi-circular partition wall 103 . Herein, N indicates a positive odd number in the range of one (1) to fifteen (15).
[0117] Similarly, the horizontal partition walls 102 located adjacent to each other are joined at their opposite ends in a length-wise direction to each other through the semi-circular partition wall 103 .
[0118] Specifically, the rear substrate 10 has eight horizontal partition walls 102 . A M-th horizontal partition wall 102 as viewed from the top in FIG. 8 is joined at opposite ends thereof to a (M+1)-th horizontal partition wall 102 through the semi-circular partition wall 103 . Herein, M indicates a positive odd number in the range of one (1) to seven (7).
[0119] The inventor had fabricated the rear substrate 10 in accordance with the first embodiment, and measured heights of the vertical partition wall 101 , the horizontal partition wall 102 and the semi-circular partition wall 103 at a plurality of points. FIG. 9A shows ten points 1 to 15 at which a total thickness of a dielectric layer and a partition wall is measured in the rear substrate 10 , and FIG. 9B is a table showing the results of the measurement.
[0120] A designed total thickness of a dielectric layer and a partition wall is 120 micrometers. The highest total thickness is equal to 133 micrometers at point 5 , and the second highest total thickness is equal to 132 micrometers at point 1 . Considering that measurement error is approximately ±5 micrometers, the total thicknesses measured at points 3 , 6 , 12 and 15 are within the measurement error, and the maximum gap between the designed total thickness (120 micrometers) and the measured total thickness is 8 micrometers at point 5 among the total thicknesses measured at points 1 , 2 , 5 , 8 , 10 and 13 all of which are without the measurement error.
[0121] In the partition walls in the conventional plasma display panels suggested in the above-mentioned Japanese Patent Application Publications Nos. 2000-340123 and 11-339668, a gap between a designed total thickness and an actual total thickness is in the range of 20 to 30 micrometers.
[0122] As mentioned above, in accordance with the rear substrate 10 , the vertical or horizontal partition walls 101 and 102 located adjacent to each other are joined at their opposite ends to each other through the semi-circular partition wall 103 , ensuring that contraction force generated during the partition wall is being baked is diffused. Accordingly, it is possible to prevent the vertical and horizontal partition walls 101 and 102 from rising at their ends, and hence, it is also possible to prevent a partition wall from being broken and improperly shaped more surely than the conventional partition walls.
[0123] The partition wall in the rear substrate 10 can be formed by varying a pattern of a dry film coated onto a surface of a partition wall paste layer, in accordance with a pattern of the partition wall. Accordingly, the number of steps for fabricating the partition wall in the rear substrate 10 is not increased in comparison with the conventional methods of fabricating a partition wall.
[0124] The vertical and horizontal partition walls 101 and 102 are not limited to the above-mentioned ones with respect to a structure. They may be modified as follows.
[0125] First, though the vertical and horizontal partition walls 101 and 102 are joined at their opposite ends to each other through the semi-circular partition wall 103 in the rear substrate 10 in accordance with the first embodiment, it is not always necessary to join all of the vertical and horizontal partition walls 101 and 102 to each other.
[0126] For instance, only a L-th vertical partition wall 101 and a (L+1)-th vertical partition wall 101 may be joined to each other through the semi-circular partition wall 103 , wherein L indicates a positive integer 1, 5, 9 or 13, and the rest of the vertical and horizontal partition walls 101 and 102 may not be joined to each other. That is, it is possible to select the vertical or horizontal partition walls 101 or 102 to be joined to each other through the semi-circular partition wall 103 in accordance with design conditions.
[0127] It is preferable that a vertical or horizontal partition wall 101 or 102 located outermost of a display area in a plasma display panel is joined to another vertical or horizontal partition wall 101 or 102 through a semi-circular partition wall 103 .
[0128] Second, the partition wall 103 through which adjacent vertical or horizontal partition walls 101 or 102 are joined to each other is not to be limited to a semi-circular one.
[0129] For instance, the partition wall 103 may be comprised of an arc as a part of a circle or a combination of curves. The partition wall 103 may be comprised of any curves, if the partition wall 103 does not include two lines joined to each other, forming an angle.
[0130] Furthermore, the vertical and horizontal partition walls 101 and 102 may be joined to each other only at one of their opposite ends through the semi-circular partition wall 103 .
SECOND EMBODIMENT
[0131] FIG. 10 is a plan view illustrating an outline of a rear substrate 20 in accordance with the second embodiment of the present invention. For simplification of FIG. 10 , only a partition wall is illustrated in FIG. 10 , similarly to FIG. 8 . The rear substrate 20 has the same structure as the rear substrate 352 illustrated in FIG. 1 except a partition wall.
[0132] In the rear substrate 20 in accordance with the second embodiment, a partition wall is comprised of a plurality of vertical partition walls 101 a extending vertically in FIG. 10 in parallel with one another, and a plurality of horizontal partition walls 102 a extending horizontally in FIG. 10 in parallel with one another. The vertical partition walls 101 a are equally spaced away from one another, and similarly, the horizontal partition walls 102 a are equally spaced away from one another. A ratio of a distance between adjacent horizontal partition walls 102 a to a distance between adjacent vertical partition walls 101 a is set equal to 3:1. The vertical and horizontal partition walls 101 a and 102 a are arranged in a grid.
[0133] Herein, the four vertical partition walls 101 a arranged at the left end are called, from the left, a first vertical partition wall 101 - 1 , a second vertical partition wall 101 - 2 , a third vertical partition wall 101 - 3 , and a fourth vertical partition wall 101 - 4 , respectively.
[0134] In the second rear substrate 20 in accordance with the second embodiment, the first and third vertical partition walls 101 - 1 and 101 - 3 are joined at their opposite ends in a length-wise direction to each other through a first semi-circular partition wall 103 - 1 , and the second and fourth vertical partition walls 101 - 2 and 101 - 4 are joined at their opposite ends in a length-wise direction to each other through a second semi-circular partition wall 103 - 2 .
[0135] The first and second semi-circular partition walls 103 - 1 and 103 - 2 intersect with each other at an immediate point between the second and third vertical partition walls 101 - 2 and 101 - 3 .
[0136] A distance between the first and third vertical partition walls 101 - 1 and 101 - 3 is equal to a distance between the second and fourth vertical partition walls 101 - 2 and 101 - 4 . Hence, the first semi-circular partition wall 103 - 1 is equal in radius to the second semi-circular partition wall 103 - 2 .
[0137] Specifically, the rear substrate 20 includes sixteen vertical partition walls 101 a . A vertical partition wall 101 a located at N-th from the left in FIG. 10 is joined at their opposite ends to a vertical partition wall 101 a located at (N+2)-th through the semi-circular partition wall 103 - 1 , and a vertical partition wall 101 a located at M-th from the left in FIG. 10 is joined at their opposite ends to a vertical partition wall 101 a located at (M+2)-th through the semi-circular partition wall 103 - 2 , wherein N indicates a positive odd number 1, 5, 9 or 13, and M indicates a positive even number 2, 6, 10 or 14.
[0138] The horizontal partition walls 102 a are arranged in the same way as the vertical partition walls 101 a.
[0139] The inventor had fabricated the rear substrate 20 in accordance with the second embodiment, and measured heights of the vertical partition wall 101 a , the horizontal partition wall 102 a and the semi-circular partition wall 103 a at a plurality of points. FIG. 11A shows fifteen points 1 to 20 and A at which a total thickness of a dielectric layer and a partition wall is measured in the rear substrate 20 , and FIG. 11B is a table showing the results of the measurement.
[0140] A designed total thickness of a dielectric layer and a partition wall is 120 micrometers. The highest total thickness is equal to 138 micrometers at point 8 , and the second highest total thickness is equal to 134 micrometers at point 5 . Considering that measurement error is approximately ±5 micrometers, the total thicknesses measured at points 2 , 6 , 11 , 12 , 14 , 15 , 16 , 19 and A are within the measurement error, and the maximum gap between the designed total thickness (120 micrometers) and the measured total thickness is 9 micrometers at point 5 among the total thicknesses measured at points 1 , 5 , 7 , 8 , 13 and 20 all of which are without the measurement error.
[0141] In the partition walls in the conventional plasma display panels suggested in the above-mentioned Japanese Patent Application Publications Nos. 2000-340123 and 11-339668, a gap between a designed total thickness and an actual total thickness is in the range of 20 to 30 micrometers.
[0142] As mentioned above, in accordance with the rear substrate 20 , a pair of the vertical or horizontal partition walls 101 a and 102 a is joined at their opposite ends to each other through the semi-circular partition wall 103 a , ensuring that contraction force generated during the partition wall is being baked is diffused. Accordingly, it is possible to prevent the vertical and horizontal partition walls 101 a and 102 a from rising at their ends, and hence, it is also possible to prevent a partition wall from being broken and improperly shaped more surely than the conventional partition walls, similarly to the rear substrate 10 in accordance with the first embodiment.
[0143] Various modifications may be applied to the vertical partition walls 101 a , the horizontal partition walls 102 a and the partition walls 103 a in the rear substrate 20 , similarly to the rear substrate 10 .
THIRD EMBODIMENT
[0144] FIG. 12 is a plan view illustrating an outline of a rear substrate 30 in accordance with the third embodiment of the present invention. For simplification of FIG. 12 , only a partition wall is illustrated in FIG. 12 , similarly to FIG. 8 . The rear substrate 30 has the same structure as the rear substrate 352 illustrated in FIG. 1 except a partition wall.
[0145] In the rear substrate 30 in accordance with the third embodiment, a partition wall is comprised of twelve vertical partition walls 101 a to 101 l extending vertically in FIG. 12 in parallel with one another, and eight horizontal partition walls 102 a to 102 h extending horizontally in FIG. 12 in parallel with one another. The vertical partition walls 101 a to 101 l are equally spaced away from one another, and similarly, the horizontal partition walls 102 a to 102 h are equally spaced away from one another. A ratio of a distance between adjacent horizontal partition walls 102 a to 102 h to a distance between adjacent vertical partition walls 101 a to 101 l is set equal to 3:1. The vertical and horizontal partition walls 101 a to 101 l and 102 a to 102 h are arranged in a grid.
[0146] In the rear substrate 30 , the vertical partition walls 101 a to 101 l located every five rows are joined at their opposite ends thereof to each other through a semi-circular partition wall.
[0147] Specifically, the first and seventh vertical partition walls 101 a and 101 g are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 a . Similarly, the second and eighth vertical partition walls 101 b and 101 h are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 b , the third and ninth vertical partition walls 101 c and 101 i are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 c , the fourth and tenth vertical partition walls 101 d and 101 j are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 d , the fifth and eleventh vertical partition walls 101 e and 101 k are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 e , and the sixth and twelfth vertical partition walls 101 f and 101 l are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 f.
[0148] The horizontal partition walls 102 a to 102 h located every three rows are joined at their opposite ends thereof to each other through a semi-circular partition wall.
[0149] Specifically, the first and fifth horizontal partition walls 102 a and 102 e are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 g . Similarly, the second and sixth horizontal partition walls 102 b and 102 f are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 h , the third and seventh horizontal partition walls 102 c and 102 g are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 i , and the fourth and eighth horizontal partition walls 102 d and 102 h are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 j.
[0150] That is, the vertical partition walls 101 a to 101 l located every S/2 rows are joined at their opposite ends thereof to each other through a semi-circular partition wall, wherein S indicates a total number of vertical partition walls. Similarly, the horizontal partition walls 102 a to 102 h located every S/2 rows are joined at their opposite ends thereof to each other through a semi-circular partition wall, wherein S indicates a total number of horizontal partition walls.
[0151] As mentioned above, in accordance with the rear substrate 30 , a pair of the vertical or horizontal partition walls 101 a to 101 l or 102 a to 102 h is joined at their opposite ends to each other through the semi-circular partition wall 103 a to 103 f or 103 g to 103 j , ensuring that contraction force generated during the partition wall is being baked is diffused. Accordingly, it is possible to prevent the vertical and horizontal partition walls from rising at their ends, and hence, it is also possible to prevent a partition wall from being broken and improperly shaped more surely than the conventional partition walls, similarly to the rear substrates 10 and 20 in accordance with the first and second embodiments.
FOURTH EMBODIMENT
[0152] FIG. 13 is a plan view illustrating an outline of a rear substrate 40 in accordance with the fourth embodiment of the present invention. For simplification of FIG. 13 , only a partition wall is illustrated in FIG. 13 , similarly to FIG. 8 . The rear substrate 40 has the same structure as the rear substrate 352 illustrated in FIG. 1 except a partition wall.
[0153] In the rear substrate 40 in accordance with the fourth embodiment, a partition wall is comprised of eighth vertical partition walls 101 a to 101 h extending vertically in FIG. 13 in parallel with one another, and eight horizontal partition walls 102 a to 102 h extending horizontally in FIG. 13 in parallel with one another. The vertical partition walls 101 a to 101 h are equally spaced away from one another, and similarly, the horizontal partition walls 102 a to 102 h are equally spaced away from one another. A ratio of a distance between adjacent horizontal partition walls 102 a to 102 h to a distance between adjacent vertical partition walls 101 a to 101 h is set equal to 3:1. The vertical and horizontal partition walls 101 a to 101 h and 102 a to 102 h are arranged in a grid.
[0154] In the substrate 40 , a first pair of partition walls is joined at their opposite ends thereof to each other through a semi-circular partition wall, and second and third pairs of partition walls are arranged inside the first pair of partition walls. Each of the second and third pairs of partition walls is joined at their opposite ends thereof to each other through a semi-circular partition wall.
[0155] Specifically, the first and sixth vertical partition walls 101 a and 101 f are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 a . The second and third vertical partition walls 101 b and 101 c both surrounded by the first and sixth vertical partition walls 101 a and 101 f are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 b , and the fourth and fifth vertical partition walls 101 d and 101 e both surrounded by the first and sixth vertical partition walls 101 a and 101 f are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 c.
[0156] The semi-circular partition wall 103 a has a radius five times greater than radiuses of the semi-circular partition walls 103 b and 103 c . The semi-circular partition wall 103 b has a radius equal to a radius of the semi-circular partition walls 103 c.
[0157] Similarly, the first and sixth horizontal partition walls 102 a and 102 f are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 e . The second and third horizontal partition walls 102 b and 102 c both surrounded by the first and sixth horizontal partition walls 102 a and 102 f are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 f , and the fourth and fifth horizontal partition walls 102 d and 102 e both surrounded by the first and sixth horizontal partition walls 102 a and 102 f are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 g.
[0158] The semi-circular partition wall 103 e has a radius five times greater than radiuses of the semi-circular partition walls 103 f and 103 g . The semi-circular partition wall 103 f has a radius equal to a radius of the semi-circular partition walls 103 g.
[0159] The seventh and eighth vertical partition walls 101 g and 101 h are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 d , and the seventh and eighth horizontal partition walls 102 g and 102 h are joined at their opposite ends in a length-wise direction to each other through a semi-circular partition wall 103 h . The seventh and eighth vertical partition walls 101 g and 101 h are located outside the semi-circular partition wall 103 a , and the seventh and eighth horizontal partition walls 102 g and 102 h are located outside the semi-circular partition wall 103 e.
[0160] In the rear substrate 40 in accordance with the fourth embodiment, two pairs of vertical partition walls, that is, a pair of the second and third vertical partition walls 101 b and 101 c and a pair of the fourth and fifth vertical partition walls 101 d and 101 e are arranged inside the first and sixth vertical partition walls 101 a and 101 f and the semi-circular partition walls 103 a . However, the number of pairs of vertical partition walls arranged inside of the first and sixth vertical partition walls 101 a and 101 f and the semi-circular partition walls 103 a is not to be limited to two. Any number may be selected. The same is applied to the horizontal partition wall.
[0161] As mentioned above, in accordance with the rear substrate 40 , a pair of the vertical or horizontal partition walls is joined at their opposite ends to each other through the semi-circular partition walls, ensuring that contraction force generated during the partition wall is being baked is diffused. Accordingly, it is possible to prevent the vertical and horizontal partition walls from rising at their ends, and hence, it is also possible to prevent a partition wall from being broken and improperly shaped more surely than the conventional partition walls, similarly to the rear substrates 10 and 20 in accordance with the first and second embodiments.
FIFTH EMBODIMENT
[0162] FIG. 14 is a plan view illustrating an outline of a rear substrate 50 in accordance with the fifth embodiment of the present invention. For simplification of FIG. 14 , only a partition wall is illustrated in FIG. 14 , similarly to FIG. 8 . The rear substrate 50 has the same structure as the rear substrate 352 illustrated in FIG. 1 except a partition wall.
[0163] In the rear substrate 50 in accordance with the fifth embodiment, a partition wall is comprised of a plurality of vertical partition walls 101 extending vertically in FIG. 14 in parallel with one another, and a plurality of horizontal partition walls 102 extending horizontally in FIG. 14 in parallel with one another. The vertical partition walls 101 are equally spaced away from one another, and similarly, the horizontal partition walls 102 are equally spaced away from one another. A ratio of a distance between adjacent horizontal partition walls 102 to a distance between adjacent vertical partition walls 101 is set equal to 3:1. The vertical and horizontal partition walls 101 and 102 are arranged in a grid.
[0164] Herein, the four vertical partition walls 101 arranged at the left end are called, from the left, a first vertical partition wall 101 - 1 , a second vertical partition wall 101 - 2 , a third vertical partition wall 101 - 3 , and a fourth vertical partition wall 101 - 4 , respectively.
[0165] In the rear substrate 50 in accordance with the fifth embodiment, the first and fourth vertical partition walls 101 - 1 and 101 - 4 are joined at their opposite ends in a length-wise direction to each other through first semi-circular partition walls 103 a , and the second and third vertical partition walls 101 - 2 and 101 - 3 are joined at their opposite ends in a length-wise direction to each other through second semi-circular partition walls 103 b.
[0166] The first semi-circular partition wall 103 a has a radius three times greater than a radius of the second semi-circular partition wall 103 b.
[0167] In the rear substrate 50 , a first pair of the vertical partition walls 101 - 1 and 101 - 4 is joined at their opposite ends thereof to each other through the first semi-circular partition walls 103 a , and a second pair of the vertical partition walls 101 - 2 and 101 - 3 are arranged inside the first pair of vertical partition walls 101 - 1 and 101 - 4 . The second pair of the vertical partition walls 101 - 2 and 101 - 3 is joined at their opposite ends thereof to each other through the second semi-circular partition wall 103 b.
[0168] The partition wall configuration as mentioned above is repeated every four vertical partition walls 101 .
[0169] The horizontal partition walls 102 are arranged in the same way as the vertical partition walls 101 .
[0170] Herein, the four horizontal partition walls 102 arranged at the top end are called, from the top, a first horizontal partition wall 102 - 1 , a second horizontal partition wall 102 - 2 , a third horizontal partition wall 102 - 3 , and a fourth horizontal partition wall 102 - 4 , respectively.
[0171] In the rear substrate 50 , a first pair of the horizontal partition walls 102 - 1 and 102 - 4 is joined at their opposite ends thereof to each other through the first semi-circular partition walls 103 c , and a second pair of the horizontal partition walls 102 - 2 and 102 - 3 are arranged inside the first pair of horizontal partition walls 102 - 1 and 102 - 4 . The second pair of the horizontal partition walls 102 - 2 and 102 - 3 is joined at their opposite ends thereof to each other through the second semi-circular partition wall 103 d.
[0172] The semi-circular partition wall 103 c has a radius three times greater than a radius of the semi-circular partition wall 103 d.
[0173] In the rear substrate 50 , a first pair of the horizontal partition walls 102 - 1 and 102 - 4 is joined at their opposite ends thereof to each other through the semi-circular partition walls 103 c , and a second pair of the horizontal partition walls 102 - 2 and 102 - 3 are arranged inside the first pair of horizontal partition walls 102 - 1 and 102 - 4 . The second pair of the horizontal partition walls 102 - 2 and 102 - 3 is joined at their opposite ends thereof to each other through the semi-circular partition wall 103 d.
[0174] The partition wall configuration as mentioned above is repeated every four horizontal partition walls 102 .
[0175] The inventor had fabricated the rear substrate 50 in accordance with the fifth embodiment, and measured heights of the vertical partition wall 101 , the horizontal partition wall 102 and the semi-circular partition wall 103 at a plurality of points. FIG. 15A shows sixteen points 1 to 20 , A and B at which a total thickness of a dielectric layer and a partition wall is measured in the rear substrate 50 , and FIG. 15B is a table showing the results of the measurement.
[0176] A designed total thickness of a dielectric layer and a partition wall is 120 micrometers. The highest total thickness is equal to 136 micrometers at point 13 , and the second highest total thickness is equal to 131 micrometers at point 1 . Considering that measurement error is approximately ±5 micrometers, the total thicknesses measured at points 2 , 3 , 5 , 9 , 14 , 20 and B are within the measurement error, and the maximum gap between the designed total thickness (120 micrometers) and the measured total thickness is 11 micrometers at point 13 among the total thicknesses measured at points 1 , 4 , 8 , 12 , 13 , 15 , 16 , 17 and A all of which are without the measurement error.
[0177] In the partition walls in the conventional plasma display panels suggested in the above-mentioned Japanese Patent Application Publications Nos. 2000-340123 and 11-339668, a gap between a designed total thickness and an actual total thickness is in the range of 20 to 30 micrometers.
[0178] As mentioned above, in accordance with the rear substrate 50 , a pair of the vertical or horizontal partition walls is joined at their opposite ends to each other through the semi-circular partition wall, ensuring that contraction force generated during the partition wall is being baked is diffused. Accordingly, it is possible to prevent the vertical and horizontal partition walls from rising at their ends, and hence, it is also possible to prevent a partition wall from being broken and improperly shaped more surely than the conventional partition walls.
[0179] Various modifications may be applied to the vertical partition walls 101 , the horizontal partition walls 102 and the partition walls 103 in the rear substrate 50 , similarly to the rear substrate 10 .
[0180] A partition wall located outside is likely to be side-etched during sand blasting in comparison with a partition wall located inside. Accordingly, as illustrated in FIG. 15A , the semi-circular partition wall 103 a is designed to have a width W 1 greater than a width W 2 of the semi-circular partition wall 103 b , and, the semi-circular partition wall 103 c is designed to have a width W 3 greater than a width W 4 of the semi-circular partition wall 103 d.
[0181] Furthermore, since the semi-circular partition walls 103 a and 103 c located outside can have a curvature greater than a curvature of the semi-circular partition walls 103 b and 103 d located inside, the vertical or horizontal partition walls joined to each other through the semi-circular partition walls 103 a and 103 c can diffuse contraction forces exerted thereon to a much degree, preventing them from rising at their opposite ends.
[0182] In the rear substrate 50 in accordance with the fifth embodiment, the pair of the vertical or horizontal partition walls joined at their opposite ends thereof to each other through the semi-circular partition wall is arranged in another pair of the vertical or horizontal partition walls joined at their opposite ends thereof to each other through the semi-circular partition walls. As a modification of the fifth embodiment, a structure where a pair of the vertical or horizontal partition walls joined at their opposite ends thereof to each other through the semi-circular partition wall is arranged in another pair of the vertical or horizontal partition walls joined at their opposite ends thereof to each other through the semi-circular partition walls may be repeated N times, wherein N is a positive integer equal to or greater than two (2).
[0183] Hereinbelow is shown an example in which three pairs of vertical or horizontal partition walls are arranged similarly to and coaxially with one another, as the sixth embodiment.
SIXTH EMBODIMENT
[0184] FIG. 16 is a plan view illustrating an outline of a rear substrate 60 in accordance with the sixth embodiment of the present invention. For simplification of FIG. 16 , only a partition wall is illustrated in FIG. 16 , similarly to FIG. 8 . The rear substrate 60 has the same structure as the rear substrate 352 illustrated in FIG. 1 except a partition wall.
[0185] In the rear substrate 60 in accordance with the sixth embodiment, a partition wall is comprised of a plurality of vertical partition walls 101 extending vertically in FIG. 16 in parallel with one another, and a plurality of horizontal partition walls 102 extending horizontally in FIG. 16 in parallel with one another. The vertical partition walls 101 are equally spaced away from one another, and similarly, the horizontal partition walls 102 are equally spaced away from one another. A ratio of a distance between adjacent horizontal partition walls 102 to a distance between adjacent vertical partition walls 101 is set equal to 3:1. The vertical and horizontal partition walls 101 and 102 are arranged in a grid.
[0186] Herein, the six vertical partition walls 101 arranged at the left end are called, from the left, a first vertical partition wall 101 - 1 , a second vertical partition wall 101 - 2 , a third vertical partition wall 101 - 3 , a fourth vertical partition wall 101 - 4 , a fifth vertical partition wall 101 - 5 , and a sixth vertical partition wall 101 - 6 , respectively.
[0187] In the rear substrate 60 in accordance with the sixth embodiment, the first and sixth vertical partition walls 101 - 1 and 101 - 6 are joined at their opposite ends in a length-wise direction to each other through first semi-circular partition walls 103 a , the second and fifth vertical partition walls 101 - 2 and 101 - 5 are joined at their opposite ends in a length-wise direction to each other through second semi-circular partition walls 103 b , and the third and fourth vertical partition walls 101 - 3 and 101 - 4 are joined at their opposite ends in a length-wise direction to each other through third semi-circular partition walls 103 c.
[0188] The first semi-circular partition wall 103 a has a radius five times greater than a radius of the third semi-circular partition wall 103 c , and the second semi-circular partition wall 103 b has a radius three times greater than a radius of the third semi-circular partition wall 103 c.
[0189] In the rear substrate 60 , a first pair of the vertical partition walls 101 - 1 and 101 - 6 is joined at their opposite ends thereof to each other through the first semi-circular partition walls 103 a , a second pair of the vertical partition walls 101 - 2 and 101 - 5 are arranged inside the first pair of vertical partition walls 101 - 1 and 101 - 6 , and is joined at their opposite ends thereof to each other through the second semi-circular partition wall 103 b , and further, a third pair of the vertical partition walls 101 - 3 and 101 - 4 are arranged inside the second pair of vertical partition walls 101 - 2 and 101 - 5 , and is joined at their opposite ends thereof to each other through the third semi-circular partition wall 103 c.
[0190] The partition wall configuration as mentioned above is repeated every six vertical partition walls 101 .
[0191] The horizontal partition walls 102 are arranged in the same way as the vertical partition walls 101 .
[0192] The inventor had fabricated the rear substrate 60 in accordance with the sixth embodiment, and measured heights of the vertical partition wall, the horizontal partition wall and the semi-circular partition wall at a plurality of points. FIG. 17A shows twenty points 1 to 18 and A to T at which a total thickness of a dielectric layer and a partition wall is measured in the rear substrate 60 , and FIG. 17B is a table showing the results of the measurement.
[0193] A designed total thickness of a dielectric layer and a partition wall is 120 micrometers. The highest total thickness is equal to 133 micrometers at points 1 , 3 , 6 and 10 , and the second highest total thickness is equal to 131 micrometers at point A. Considering that measurement error is approximately ±5 micrometers, the total thicknesses measured at points 2 , 4 , 12 , 17 , 18 , P and S are within the measurement error, and the maximum gap between the designed total thickness (120 micrometers) and the measured total thickness is 8 micrometers at points 1 , 3 , 6 and 10 among the total thicknesses measured at points 1 , 3 , 5 , 6 , 10 , A, D, F, H, I, M, N and T all of which are without the measurement error.
[0194] In the partition walls in the conventional plasma display panels suggested in the above-mentioned Japanese Patent Application Publications Nos. 2000-340123 and 11-339668, a gap between a designed total thickness and an actual total thickness is in the range of 20 to 30 micrometers.
[0195] As mentioned above, in accordance with the rear substrate 60 , a pair of the vertical or horizontal partition walls is joined at their opposite ends to each other through the semi-circular partition wall, ensuring that contraction force generated during the partition wall is being baked is diffused. Accordingly, it is possible to prevent the vertical and horizontal partition walls from rising at their ends, and hence, it is also possible to prevent a partition wall from being broken and improperly shaped more surely than the conventional partition walls.
[0196] As illustrated in FIG. 17A , the semi-circular partition wall 103 a is designed to have a width W 1 greater than a width W 2 of the semi-circular partition wall 103 b , and the semi-circular partition wall 103 b is designed to have a width W 2 greater than a width W 3 of the semi-circular partition wall 103 c.
[0197] With respect to a width of the semi-circular partition walls connecting a pair of the horizontal partition walls to each other, the same as mentioned above is applied.
[0198] By designing a width of each of the semi-circular partition walls in such a manner as mentioned above, the advantages obtained in the fifth embodiment can be obtained.
[0199] In the sixth embodiment, three pairs of vertical or horizontal partition walls are arranged similarly to and coaxially with one another. However, the number of pairs of vertical or horizontal partition walls to be arranged similarly to and coaxially with one another is not to be limited to three. The vertical or horizontal partition walls may be comprised of 2N ones wherein N is a positive integer equal to or greater than two, in which case, a M-th vertical or horizontal partition wall is joined at opposite ends thereof in a length-wise direction to a (2N−M+1)-th vertical or horizontal partition wall through a semi-circular partition wall wherein M is a positive integer in the range of one (1) to N both inclusive.
[0200] In the above-mentioned first to sixth embodiments, a partition wall is comprised of a plurality of vertical partition walls and a plurality of horizontal partition walls. However, a partition wall may be comprised of either a plurality of vertical partition walls or a plurality of horizontal partition walls.
[0201] As an alternative, as illustrated in FIG. 6 , a partition wall may be comprised of a plurality of horizontal partition walls and a plurality of vertical partition walls extending only between adjacent horizontal partition walls.
SEVENTH EMBODIMENT
[0202] FIG. 18 is a plan view illustrating an outline of a rear substrate 70 in accordance with the seventh embodiment.
[0203] The rear substrate 70 includes a partition wall having the same structure as that of the partition wall in the rear substrate 10 in accordance with the first embodiment, illustrated in FIG. 8 .
[0204] As illustrated in FIG. 18 , the rear substrate 70 has a display area 71 , illustrated as a hatched area, in which images are displayed, and a non-display area 72 surrounding the display area 71 , in which images are not displayed.
[0205] The vertical and horizontal partition walls 101 and 102 are formed entirely in the display area 71 and around a boundary between the display area 71 and the non-display area 72 . In the non-display area 72 , the vertical and horizontal partition walls 101 and 102 are formed each by two rows such that they surround the display area 71 . These two rows of the vertical and horizontal partition walls 101 and 102 are dummy partition walls. The formation of dummy partition walls makes it possible to uniformly form the vertical and horizontal partition walls 101 and 102 in the display area 71 during fabrication of a plasma display panel, and prevent contaminants from invading into the display area 71 after fabrication of a plasma display panel.
[0206] In the rear substrate 70 , flit-stoppers 73 are formed on the substrate 301 in the non-display area 72 in facing relation to opposite ends of a pair of the vertical and horizontal partition walls 101 and 102 joined to each other through the semi-circular partition wall 103 .
[0207] Each of the flit-stoppers 73 is circular, and is located on a line passing through a center between a pair of the vertical or horizontal partition walls 101 or 102 joined to each other through the semi-circular partition wall 103 , in a width-wise direction of the vertical or horizontal partition walls 101 or 102 .
[0208] The flit-stoppers 73 A located in facing relation to pairs of the vertical partition walls 101 have a common diameter, and similarly, the flit-stoppers 73 B located in facing relation to pairs of the horizontal partition walls 102 have a common diameter.
[0209] Assuming that each of the flit-stoppers 73 has a diameter D, the flit-stoppers 73 located adjacent to each other overlap each other by D/3. The flit-stoppers 73 thus overlapping adjacent flit-stoppers are arranged in a rectangle such that they surround the display area 71 .
[0210] Conventional flit-stoppers are arranged in the form of a frame in the non-display area 72 such that they surround the display area 71 . By designing flit-stoppers to be circular as in the seventh embodiment, it would be possible to reduce a space occupied by the flit-stoppers. Furthermore, by arranging the flit-stoppers 73 in facing relation to a pair of the vertical or horizontal partition walls 101 or 102 , it would be possible to surely adhere the front substrate 351 and the rear substrate 352 to each other around the vertical and horizontal partition walls 101 and 102 .
[0211] The flit-stoppers 73 are not to be limited to circular in shape. The flit-stoppers 73 may be comprised of any curves. For instance, the flit-stoppers 73 may be designed to be elliptic.
[0212] While the present invention has been described in connection with certain preferred embodiments, it is to be understood that the subject matter encompassed by way of the present invention is not to be limited to those specific embodiments. On the contrary, it is intended for the subject matter of the invention to include all alternatives, modifications and equivalents as can be included within the spirit and scope of the following claims.
[0213] The entire disclosure of Japanese Patent Application No. 2002-264352 filed on Sep. 10, 2002 including specification, claims, drawings and summary is incorporated herein by reference in its entirety. | A rear substrate in a plasma display panel including a first substrate through which an image is transmitted to a viewer, and the rear substrate arranged in facing relation to the first substrate, includes (a) an electrically insulating substrate, (b) a plurality of data electrodes arranged on the substrate and spaced away from one another, (c) a plurality of partition walls formed on the substrate, and (d) a phosphor layer covering the substrate and the data electrodes therewith between adjacent partition walls, wherein at least one partition wall and another partition wall among the partition walls are joined to each other at at least one of opposite ends thereof in a length-wise direction through a curved partition wall, the another partition wall extending in the same direction as a direction in which the at least one partition wall extends. | 74,146 |
BACKGROUND OF THE INVENTION
The present invention relates to an electronic analog watch provided with a pager for receiving a call signal and for informing the user of the received call via an analog display.
The conventional pager will be described hereinbelow with reference to FIG. 16. When a call number of a person required to be called is inputted to a telephone, the call signal thereof is given to a radio paging station through a telephone network and then transmitted therefrom. A high frequency receiving element 1 of the pager receives the call signal and then outputs the received call to a signal demodulating circuit 2. The received call signal is demodulated by the signal demodulating circuit 2 into a digital signal, and then stored in a received information storing circuit 3. A call number comparing circuit 4 compares the received call signal stored in the received information storing circuit 3 with a plurality of call numbers previously stored in a call number storing circuit 6. When the comparison results match each other, an alarm element 5 generates an alarm such as sound, light, vibration, etc. to inform the user of the incoming call.
Recently, there has been widely used such a pager that when a caller inputs his identification number or his message (e.g., a telephone number) after a call signal, the caller identifying number and the message can be displayed on an LCD (liquid crystal display) panel section, in addition to the generation of an alarm for indicating call reception. Further, a pager small in size and light in weight has been more and more popular by the users.
Therefore, a watch type pager excellent in portability has been proposed. However, the watch type pager so far proposed is a digital display type pager, because the amount of information is large.
On the other hand, however, the analog display watches are greater than the digital display watches (including only digital display function) in the amount of both sale and production. This is because the analog display watches are more suitable for users' demand from the design and fashion standpoints.
Consequently, an analog display watch provided with pager function has been proposed. In the conventional analog display watch provided with pager function, however, the function is only to receive a call signal and to inform the user of the call reception, thus involving a problem in that it is impossible to acquire other information.
SUMMARY OF THE INVENTION
The object of the present invention is to provide an electronic analog watch provided with a pager which can display various information such as a caller identifying number, a telephone number, etc. in addition to a call alarm, in the form of the analog watch which is excellent from design and fashion standpoints.
To solve the above-mentioned problems, in the present invention, on an basis of the output signal of the external inputting means or timer means, the an time signal outputted by the time measuring means and received information signal outputted by received information storing means are selected by display switching means. The output of the display switching means is inputted to analog display means.
Further, the output signal of the external inputting means or the timer means is inputted to the received information storing means to control the received information to be displayed. The output signal of the received information storing means is inputted to the pager information analog display means for displaying only the received pager information.
In the electronic analog watch provided with a pager configured as described above, the time information outputted by the time measuring means is displayed by the hands of the analog display means. Upon reception of an individual call signal, however, the output signal of the external inputting means or the timer means is inputted to the display switching means. Then, the display switching means switches the time information to pager information such as a caller identification number or a telephone number stored in the received information storing means. Therefore, the received pager information can be inputted to the analog display means and displayed by the hand of the analog display means.
When continuous digits such as a telephone number are selected in sequence by the output signals of the external inputting means or the timer means, continuous digits are inputted in sequence to the analog display means, so that these digits can be displayed by the hand of the analog display means in sequence.
Further, in the electronic analog watch provided with a pager in which the output signal of the received information is displayed by the pager information analog display means, when an individual call signal is received, numerical or other indicia representative of the received call is displayed by the pager hand of the pager analog display means different from the analog display means for displaying the time information of the time measuring means.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a system block diagram showing the first embodiment of the electronic analog watch provided with a pager according to the present invention;
FIG. 2 is a system block diagram showing the second embodiment of the electronic analog watch provided with a pager according to the present invention;
FIG. 3 is a system block diagram showing the third embodiment of the electronic analog watch provided with a pager according to the present invention;
FIG. 4 is a system block diagram showing the fourth embodiment of the electronic analog watch provided with a pager according to the present invention;
FIG. 5 is a system block diagram showing the fifth embodiment of the electronic analog watch provided with a pager according to the present invention;
FIG. 6 is a system block diagram showing the sixth embodiment of the electronic analog watch provided with a pager according to the present invention;
FIG. 7 is an external appearance view showing the first, second, third and fourth embodiments of the electronic analog watch provided with a pager according to the present invention;
FIG. 8 is an external appearance view showing the first, second, third and fourth embodiments of the electronic analog watch provided with a pager according to the present invention;
FIG. 9 is an external appearance view showing the first, second, third and fourth embodiments of the electronic analog watch provided with a pager according to the present invention;
FIG. 10 is an external appearance view showing the first, second, third and fourth embodiments of the electronic analog watch provided with a pager according to the present invention;
FIG. 11 is an external appearance view showing the first, second, third and fourth embodiments of the electronic analog watch provided with a pager according to the present invention;
FIG. 12 is an external appearance view showing the first, second, third and fourth embodiments of the electronic analog watch provided with a pager according to the present invention;
FIG. 13 is an external appearance view showing the first, second, third and fourth embodiments of the electronic analog watch provided with a pager according to the present invention;
FIG. 14 is an external appearance view showing the fifth and sixth embodiments of the electronic analog watch provided with a pager according to the present invention;
FIG. 15 is an external appearance view showing the fifth and sixth embodiments of the electronic analog watch provided with a pager according to the present invention; and
FIG. 16 is a system block diagram showing a prior art pager.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
Embodiments of the present invention will be described hereinbelow with reference to the attached drawings.
(1) First Embodiment
FIG. 1 is a system block diagram showing a first embodiment of the electronic analog watch provided with a pager according to the present invention. In the drawing, a time measuring circuit 16 is composed of an oscillation circuit 7, a divider circuit 8 and a counter circuit 9. The output signal of the oscillation circuit 7 is divided into a specific frequency by the divider circuit 8. The output signal of the divider circuit 8 is inputted to the counter circuit 9 to count time, so that the time measuring circuit 16 can output time information.
An analog display element 15 is composed of a hand position converting circuit 10 for inputting the output signal of a display switching circuit 17, a hand stroke calculating circuit 11 for calculating a hand stroke on the basis of the output signal of a current hand position storing circuit 14 and the output signal of the hand position converting circuit 10, a motor pulse generating circuit 12 for generating a motor driving signal on the basis of the output signal of the hand stroke calculating circuit 11, and a motor driving circuit 13 for driving a hand on the basis of the output signal of the motor pulse generating circuit 12.
Here, the case will be explained where the time information outputted by the time measuring circuit 16 is in units of seconds, and the hand for analog display is a second hand. The time information is converted into an absolute angular position of the second hand by the hand position converting circuit 10. If the time information is now 5 seconds and further the second hand rotates one revolution (360 degrees) through 60 steps, the absolute position of the second hand is given as "5." Here, the current absolute position of the second hand calculated by the hand stroke calculating circuit 11 and further stored in the current hand position storing circuit 14 is 4 seconds in this case. Therefore, a relative hand stroke "1" can be obtained on the basis of the stored hand position "4" stored by the current hand position storing circuit 14 and the absolute position "5" converted by the hand position converting curcuit 10. Further, at this time, the information stored in the current hand position storing circuit 14 is updated to "5". Further, the output data "1" of the hand stroke calculating circuit 11 is inputted to the motor pulse generating circuit 12 to generate a motor pulse for driving the second hand by one step. Therefore, the second hand is driven by a motor via the motor driving circuit 13 by one step to the succeeding position of "5" second. The time information thus obtained can be displayed by the hand in an analog manner as described above.
A high frequency receiving element 1 receives a call signal and then outputs the received call signal to a signal demodulating circuit 2. The received call signal is demodulated by the signal demodulating circuit 2 into a digital signal, and then stored in a received information storing circuit 3. A call number comparing circuit 4 compares the received call signal now stored in the received information storing circuit 3 with call numbers previously stored in a call number storing circuit 6. When the received call signal matches any one of the stored call numbers, the call number comparing circuit 4 outputs a match signal to an alarming element 5, so that the alarming element 5 informs the user of the call reception by sound, light, vibration, etc.
After the call signal has been received, the signal inputted to the hand position converting circuit 10 via the display switching circuit 17 is switched from the output signal of the time measuring circuit 16 to the output signal of the received information storing circuit 3, by an external inputting element 18.
FIGS. 7 and 8 are external appearance views showing first, second and third embodiments of the electronic analog watch provided with a pager according to the present invention.
In FIG. 7, where the received signal is an identification number of a call signal originating person, the user can identify the caller by seeing a digital mark on a digit dial 26 pointed to by a pager information indicating hand 27 (the second hand in this embodiment).
Further, as shown in FIG. 8, it is also possible to directly identify the caller, when characters or symbols for identifying callers are printed on an identify mark dial 28.
Where the received signal is a continuous digit signal such as a telephone number of a caller, the received information stored in the received information storing circuit 3 are inputted in sequence to the hand position converting circuit 10 via the display switching circuit 17 on the basis of the output signals applied by the external inputting element 18, in such a way that continuous digits of "9", "2", "4" and "6" can be displayed in sequence by the analog display unit 15 as shown in FIGS. 9, 10, 11 and 12.
Further, in this embodiment, although numerals or other indicia representative of the received information are pointed to by the second hand, the hand for pointing to indicia of the received information is not limited to only the second hand.
(2) Second Embodiment
FIG. 2 is a block diagram showing a second embodiment of the electronic analog watch provided with a pager according to the present invention.
In FIG. 2, in response to a signal of the external inputting element 18, a timer circuit 19 starts operation to input the output signals of the time measuring circuit 16 in sequence. The inputted time signals are inputted to the display switching circuit 17 and the received information storing circuit 3 at constant time intervals.
When the call signal is received and the timer operation starts, the display switching circuit 17 receives the output signals of the timer circuit 19, and switches the output signal outputted to the hand position converting circuit 10 from the time signal of the time measuring circuit 16 to the received paging information of the received information storing circuit 3, so that the received information can be displayed by the analog display unit 15.
In this case, when the received signal is a continuous digit signal such as a telephone number of the caller, the received information stored in the received information storing circuit 3 is inputted in sequence to the hand position converting circuit 10 via the display switching circuit 17 on the basis of the timer signal applied by the timer circuit 17, so that it is possible to display the continuous digits as shown by FIGS. 9, 10, 11 and 12.
(3) Third Embodiment
FIG. 3 is a block diagram showing a third embodiment of the electronic analog watch provided with a pager according to the present invention.
FIG. 13 is an external appearance view showing the third and fourth embodiments of the electronic analog watch provided with a pager according to the present invention.
In FIG. 3, the call number comparing circuit 4 compares the received call signal stored in the received information storing circuit 3 with the call numbers previously stored in the call number storing circuit 6. When the received call signal matches any one of the stored call numbers, the call number comparing circuit 4 outputs a match signal to an alarming element 5, so that the alarming element 5 informs the user of the call reception by sound, light, vibration, etc. Further, a demonstrate motion hand data storing circuit 32 stores demonstrate motion hand data for allowing the pager information indicating hand 27 shown in FIG. 13 to be moved in a specific manner, after the alarm has been generated. This specific motion of the pager information hand is such that the hand is oscillated plural steps by plural steps on both sides with the 12 o'clock position as its center, for instance.
Further, in this demonstrate motion hand data storing circuit 32, the demonstrate motion hand data are formed and stored therein on the basis of the memory numbers indicative of the ordinal numbers of the received information data stored in the received information storing circuit 3. Therefore, if the received signal is the second received signal, for instance, the second memory number data is stored together in the demonstrate motion hand storing circuit 32. In other words, the demonstrate motion hand data are stored on the basis of the second memory number. The examples of the demonstrate motion hand data are as follows: the pager information hand 27 first indicates the memory number 2 at 2 o'clock position and then rotates by 60 steps with the 2 o'clock position as its center to sequentially display the received information, or the pager information hand 27 first indicates the memory number at 2 o'clock position and then oscillates plural steps by plural steps on both sides with the 2 o'clock position as its center for sequentially displaying the received information.
Further, a switch SWB 34 shown in FIG. 13 is the external inputting element 18 for changing the memory numbers to select the received information so far received and stored. Here, when the newly received signal is the second signal and further this switch SWB 34 is depressed, the latest memory number 2 is indicated by the demonstrate motion hand at 2 o'clock position, and the hand rotates 60 steps by 60 steps with this 2 o'clock position as its center repeatedly to sequentially display the received information. When the switch SWB 34 is further depressed again, the pager information indicating hand 27 shifts to the 1 o'clock position to indicate the memory number 1. In this case, if the received information of memory number 1 has been transferred even once from the received information storing circuit 3 to the analog display unit 15, the pager information hand 27 indicates the memory number 1 only at 1 o'clock position, without repeating the demonstrated motion. In other words, it is possible to know whether the received data selected by the memory number has been already read from the received information storing circuit 3 or not.
The switch SWA 33 is a key for reading the received information of the selected memory number in sequence. In the case where the received information signal stored by the received information storing circuit 3 is a continuous digit signal such as a telephone number, it is possible to display the continuous digits by the analog display unit 15, by depressing this switch SWA 33 in sequence to input the received information stored in the received information storing circuit 3 to the hand position converting circuit 10 via the received information display switching circuit 17, as shown in FIGS. 9, 10, 11 and 12.
(4) Fourth Embodiment
FIG. 4 is a block diagram showing a fourth embodiment of the electronic analog watch provided with a pager according to the present invention.
In FIG. 4, in response to a signal of the external inputting element 18, a timer circuit 19 starts operation to input the output signals of the time measuring circuit 16. The inputted time signals are inputted to the display switching circuit 17 and the received information storing circuit 3 at constant time intervals. In FIG. 4, when the received signal is a continuous digit signal such as a caller telephone number, on the basis of the timer signals outputted at regular time intervals from the timer circuit 19 (without depressing the switch SWA 33 of the external inputting element 18 as shown in FIG. 3), it is possible to display the received information stored in the received information storing circuit 3 by the analog display unit 15, by inputting the received information to the hand position converting circuit 10 via the received information display switching circuit 17, as shown in FIGS. 9, 10, 11 and 12.
(5) Fifth Embodiment
FIG. 5 is a block diagram showing a fifth embodiment of the electronic analog watch provided with a pager according to the present invention.
In FIG. 5, the output of the time measuring circuit 16 is inputted to the analog display element 15 to display the time information in an analog manner.
On the other hand, the output of the received signal information storing means is inputted to the pager hand position converting circuit 21, to display the received information by the pager information analog display unit 20 different from the analog display unit 15 for displaying the time information.
FIG. 14 is an external appearance view showing the fifth and sixth embodiments of the electronic analog watch provided with a pager according to the present invention.
In FIG. 14, when the received signal is the identification number of the caller, it is also possible to directly identify the caller, by seeing a mark pointed by a pager display hand 30 on the dial 29.
In FIG. 5, when the received signal is a continuous digit signal such as a telephone number of the caller, the received information stored in the received information storing circuit 3 is inputted in sequence to the pager hand position converting circuit 21 on the basis of the output signal of the external inputting element 18, in order to display the continuous digits by the pager information display unit 20.
(6) Sixth Embodiment
FIG. 6 is a block diagram showing a sixth embodiment of the electronic analog watch provided with a pager according to the present invention.
In FIG. 6, in response to a signal of the external inputting element 18, a timer circuit 19 starts operation to input the output signals of the time measuring circuit 16. The inputted time signals are outputted to the received information storing circuit 3 at constant time intervals. When the received signal is a continuous digit signal such as a caller telephone number, on the basis of the signals outputted at regular time intervals from the timer circuit 19, it is possible to display the continuous digits, by inputting in sequence the received information stored in the received information storing circuit 3 to the pager information converting circuit 21.
Further, if the received information is a determined information expression, it is possible to display it on a date indicator 31 as shown in FIG. 15.
As described above, in the present invention, in response to the output signal of the external inputting means or the timer means, the display switching means selectively switches the time signal outputted by the time measuring means to the received information signal outputted by the received information storing means. Further, the output signals of the display switching means are inputted to the analog display means. Accordingly, there exists such an effect as to provide an analog watch excellent from the standpoints of design and fashion, which can display both the caller identification number and the message (e.g., a telephone number) in analog display.
In addition, the same effect as above can be obtained by inputting the output signal of the external inputting means or the timer means to the received information storing means to control the received information to be displayed. The output signal of the received information storing means is inputted to the pager information analog display means for displaying only the received information, without use of any display switching means. | An electronic analog timepiece provided with a pager is not only excellent from design and fashion standpoints, but is capable of displaying information such as a call signal or alarm, a caller's number or identity, identification number, telephone number or the like on the analog watch display. On the basis of an output signal of an external inputting element or switch, or on the basis of an output signal of a timer, an output of one of a received message information storing circuit or a time measuring circuit is chosen for display by a display switching circuit. The signal selected for display is input to an analog display unit. Further, the output signal of the external inputting switch or timer circuit is input to the received information storing circuit to control the received information. Thus, the analog display can be utilized for the display of time and paging signals. Prestored display hand pattern data can be accessed when necessary to effectuate various display hand sequence patterns to indicate various messages. | 23,576 |
This is a continuation of application Ser. No. 08/355,369, filed Dec. 13, 1994, abandoned.
BACKGROUND
The present invention relates to the remote management of networked computers, and particularly to the remote management of network servers in a client-server computing environment.
Technological advances in microelectronics and digital computing systems have enabled the distribution of networking services across a wide range of computers participating in the network and over various communications media. Advances in distributing applications have also resulted in a client-server architecture for applications. Under the architecture, the portions of the application that interacts with the user are typically separated from the portions of the application that fulfill client process requests. Typically, the portions of an application that interact with the user are called a client or client software, whereas the portions of the application that services requests made by the client software are called a server or server software. However, a server could be running as a client to another server. In a network environment, the client and server are generally executed on different computers.
Management of the server software running on remote computers poses several problems. Historically, if the server software needed to be unloaded, configured or reloaded, the system administrator or other person responsible for administering network applications or the user of the client software was required to physically go to the remote computer and use the remote computer's input and display devices (usually, a keyboard and monitor) to reload, configure or unload the server software. If client software needed to have access to a server that was not loaded, the system administrator or user of the client software had to go physically to the remote computer and load the server software. If the client needed to interrogate the remote computer to determine what server software was available, or interrogate the remote computer to determine the devices supported by the remote computer, the system administrator or user had to physically go to the server and inspect the processes running on the server or physically inspect the devices attached to the remote computer.
Previously, the management of remote computers has typically been based on one of two schemes. One scheme, known as the remote console or log in scheme, employs client software that uses a simple network protocol, such as a protocol that provides for the creation, distribution and delivery of digital packets. The client software runs at the "Network" level of the Open Systems Interconnect or "OSI" model. Corresponding server software interacts directly with the client software. Through this scheme, the client software accepts input from the local computer, sends the input to the remote server software which in turn passes the keystrokes directly to the remote computer operating system. Given the nature of the scheme, that keystrokes entered on the local computer are passed over the network through the remote server software directly to the remote operating system, the only security that was employed was for access to the remote server application.
The second commonly used scheme uses the Simple Network Management Protocol ("SNMP"), and the Simple Management Protocol ("SMP"). Both are related and have the same historical roots. The scheme essentially defines two protocols for use in a heterogeneous environment. The major focus of the scheme does not concentrate on how remote computers are managed but on how to handle ensure the communication and interaction of heterogenous systems for management purposes. To date, the specification for this scheme consists of over 400 pages of documentation. Although this second scheme is useful in large heterogenous networks, the scheme fails to provide an elegant mechanism for client-server development of functionality to manage a specific remote network server over existing, native session level, i.e., at the "Session" level of the OSI model, network protocols.
Generally, all remote computers communicate in a network with other client computers by means of a network operating system that implements network communication by means of a native connection-based protocol running at the "transport" level of the OSI model ("native communications protocol"), such as Transmission Control Procedure ("TCP"), Server Message Block ("SMB"), or NetWare® Core Protocol ("NCP"). The developer of the network operating system provides a client that implements the native communications protocol on the local computer ("network client") and an operating system that implements the native communications protocol on the remote computer. Developers writing client-server software for such network operating systems presently may either employ a remote console system and rely on the user of the client software to know how to interact with the remote computer, or employ a heterogenous network management protocol and develop the associated client-server applications to manage not only the local computer but various remote heterogeneous computers as well. Neither is satisfactory.
The remote console approach requires the user to know too much and lacks robust security. The heterogenous protocol requires the developer to do too much. The developer must implement the protocol, write the client and server applications and have access to the system internals of one or more of the remote operating systems in order to implement the necessary functionality. Thus, network administrators have needed a simple means of implementing remote management of networked computers, particularly for remote management of network servers in a client-server computing environment.
SUMMARY OF THE INVENTION
According to the present invention, a set of secure remote procedure calls are implemented in the network using the terms of the native communications protocol of the local and remote computers. The remote procedure calls allow client software to directly interact with the operating system of the remote computer so as to avoid the inherent problems of the currently available schemes. One or more remote procedure calls are incorporated into the network client and corresponding remote procedure calls are incorporated into the server operating system. Developers who then wish to develop client software with the ability to load, unload or otherwise configure their remote server applications may do so using a network client and server operating system supporting the calls.
DETAILED DESCRIPTION OF THE INVENTION
As depicted in the drawings, the present invention is implemented in terms of several remote procedure calls. Different remote procedure calls may be implemented to perform different tasks. Thus, a system administrator may easily perform the specified tasks from a remote location.
In one embodiment of the invention, remote procedure calls have been implemented for loading a remote process, unloading a remote process, mounting a remote volume, dismounting a remote volume, adding a name space to a volume, issuing set procedures to the remote operating system and executing a remote batch file. In the network client, code is implemented that creates packets conforming with the structure of the remote procedure calls in the server and in the form required by the underlying network communications protocol. For example, in a client-server environment supporting the NCP protocol, the client and server remote procedure calls must comply with the general NCP packet structure.
Each verb of the NCP protocol has a fixed packet header and a variable data block. Each verb has three fields and is known by a name and number. The name, such as "RPC Load an NLM" (which stands for "Remote Procedure Call to Load a NetWare® Loadable Module") by itself is useful only for describing the task that the verb performs. The numbers associated with the three fields for the RPC Load an NLM are 0x2222, 131 and 01. The verb number (all three fields) acts as a unique identifier for the verb. The initial field of the number identifies the service category. For example all service oriented NCPs use 0x2222. The fixed packet header contains the type of request and other parameters necessary for the client and server to continue to communicate about a request, such as transaction sequence number, service connection number and task number.
NCP Protocol Environment
Because an understanding of the underlying network communications protocol is imperative to implementing the invention, and given that the embodiment of the invention discussed herein implements the invention as a set of remote procedure calls in an NCP environment, a typical client-server request session for the invention is described, but the basic concept of this invention may also be used in other operating environments. The session tracks the sequence of events from when the client software first requests that the remote server operating system loads a remote process. Prior to making the request, the client must be connected and authenticated to the remote computer and the user making the request must have the appropriate level of security. (See Security below). The basic steps in one embodiment of the invention, called "RPC Load an NLM" in the NetWare® Core Protocol environment, for remotely loading a server process (called an NLM or NetWare® Loadable Module) are:
1. The client software needing the services of a remote server software process issues a request to network client that also must be running in the local computer. The request is intercepted in the NetWare® environment through a module in the local network client known as the NetWare® shell.
2. The NetWare® shell interprets the request as an NCP request and passes the request to another module of the network client capable of creating an NCP packet. The NCP packet creation module, namely NCP.VLM in the NetWare® environment, creates the RPC Load an NLM verb and places it on the underlying transport.
3. The RPC Load an NLM request is then sent in the form of an NCP packet. The structure for the RPC Load an NLM verb is as provided in Table 1.
TABLE 1______________________________________RequestFormatOffset Content Type______________________________________ 0 RequestType (0x2222) WORD 2 SequenceNumber (LastSeq+1) BYTE 3 ConnectionHigh (ServiceConn) BYTE 4 TaskNumber (CurrentTaskNum) BYTE 5 ConnectionLow (ServiceConn) BYTE 6 FunctionCode (131) BYTE 7 SubFuncStrucLen (see below) WORD (Hi Lo format) 9 SubFuncCode (01) BYTE10 NLMLoadOptions (see below) LONG14 reserved (0) LONG 3!26 reservedFlags {0} BYTE 4!30 PathAndName (see below) BYTE !______________________________________
Each NCP packet begins with a small message header that carries general status information about the current state of the connection between the client and the server. The client request header is seven bytes long, while a server's reply header is eight bytes long. As shown in Table 1, the RequestType variable defines the type of network request. A type of0x1111 is reserved for connection allocation services; a type of 0x2222 is reserved for server request services; a type of 3333 is reserved for server responses; a type of 0x5555 is reserved for destroying connections; and a type of 0x9999 is reserved for work in progress responses.
The sequence number maintains a numeric counter for all incoming requests to provide reply prioritization. The ConnectionNumberLow and the ConnectionNumberHigh numbers identify a particular service connection between the client and the server. The TaskNumber distinguishes which client process or thread is making the request to the server.
In the NetWare® environment the SubFuncStrucLen will be 21 plus the size of the PathAndName (ASCII) including the terminating null. The NLMLoadOptions include options to load the server process in a processor ring such as ring 0, 1, 2 or 3. The PathAndName variable of the structure includes the path and file name in ASCII of the location of the server software to be executed in the format of {volume name: }{path\...}file name\0.
TABLE 2______________________________________ReplyFormatOffset Content Type______________________________________ 0 ReplyType (0x3333) WORD 2 SequenceNumber (ReqSeqNum) BYTE 3 ConnectionHigh (ServiceConn) BYTE 4 TaskNumber (CurrentTaskNum) BYTE 5 ConnectionLow (ServiceConn) BYTE 6 CompletionCode (variable) BYTE 7 ConnStatusFlags (variable) BYTE 8 RPCccode (see below) LONG12 reserved (0) LONG 4!______________________________________
The server operating system responds to the "RPC Load an NLM" verb through the reply format provided in Table 2. In addition to the general message header information contained in the packet, the response packet includes the Completion Code, which will be 0 if the request was completed successfully or 251 if the server received an invalid subfunction request, namely one not matching the "RPC Load an NLM" verb structure.
The RPCcode contains information about the request to load the server process. If the server process was successfully loaded and executed, the RPCcode will contain a 0. If the server software module to be loaded in response to the request was not found or the name was not provided with the request, the server will return an RPCcode value of 158.
Client Software Implementing the Invention
Developers may use the present invention to develop client software that interacts with the network client to issue the appropriate remote procedure calls, depending on the desired function of the client software. As a means of testing the client software aspect of the invention the following client software programs are provided. The programs exercise each of the remote procedure calls identified in the current embodiment.
RPC Load an NLM ##SPC1##
Remote Services
Although many remote services are possible, seven are implemented in the current embodiment, including "RPC Load an NLM," "RPC Unload an NLM," "RPC Mount a Volume," RPC Dismount a Volume,"RPC Add Name Space to Volume," "RPC Set Set Command Value," and "RPC Execute NCF File." "RPC Load and NLM" is discussed above. The remainder are discussed below.
RPC Unload an NLM
This aspect of the present invention handles client requests to unload a running process in the remote computer. The request/reply format for this remote procedure call is:
______________________________________RequestFormatOffset Content Type______________________________________ 0 RequestType (0x2222) WORD 2 SequenceNumber (LastSeq+1) BYTE 3 ConnectionHigh (ServiceConn) BYTE 4 TaskNumber (CurrentTaskNum) BYTE 5 ConnectionLow (ServiceConn) BYTE 6 FunctionCode (131) BYTE 7 SubFuncStrucLen (see below) WORD (Hi Lo format) 9 SubFuncCode (02) BYTE10 reserved (0) LONG 4!26 reservedFlags {0} BYTE 4!30 PathAndName (see below) BYTE !______________________________________
______________________________________ReplyFormatOffset Content Type______________________________________ 0 ReplyType (0x3333) WORD 2 SequenceNumber (ReqSeqNum) BYTE 3 ConnectionHigh (ServiceConn) BYTE 4 TaskNumber (CurrentTaskNum) BYTE 5 ConnectionLow (ServiceConn) BYTE 6 CompletionCode (variable) BYTE 7 ConnStatusFlags (variable) BYTE 8 RPCccode (see below) LONG12 reserved (0) LONG______________________________________
______________________________________CompletionCode______________________________________ 0 Successful251 Invalid Subfunction Request______________________________________
______________________________________RPCccode______________________________________ 0 Successful completion of the request RPC158 Bad File Name or No File Name given______________________________________
SubFuncStrucLen
Sub function length will be 21 plus the size of the PathAndName (ASCIIZ) including the terminating null.
PathAndName
ASCII path and file name to load.
FORMAT: {volume name: }{path\...}file name\0
RPC Mount Volume
This aspect of the invention permits the client software to mount a remote storage volume. The request/reply format is as follows:
______________________________________RequestFormatOffset Content Type______________________________________ 0 RequestType (0x2222) WORD 2 SequenceNumber (LastSeq+1) BYTE 3 ConnectionHigh (ServiceConn) BYTE 4 TaskNumber (CurrentTaskNum) BYTE 5 ConnectionLow (ServiceConn) BYTE 6 FunctionCode (131) BYTE 7 SubFuncStrucLen (see below) WORD (Hi Lo format) 9 SubFuncCode (03) BYTE10 reserved (0) LONG 4!26 reservedFlags {0} BYTE 4!30 VolumeName (see below) ASCIIZ______________________________________
______________________________________ReplyFormatOffset Content Type______________________________________ 0 ReplyType (0x3333) WORD 2 SequenceNumber (ReqSeqNum) BYTE 3 ConnectionHigh (ServiceConn) BYTE 4 TaskNumber (CurrentTaskNum) BYTE 5 ConnectionLow (ServiceConn) BYTE 6 CompletionCode (variable) BYTE 7 ConnStatusFlags (variable) BYTE 8 RPCccode (see below) LONG12 reserved (0) LONG 4!28 VolumeNumber (variable) LONG______________________________________
______________________________________CompletionCode______________________________________ 0 Successful251 Invalid Subfunction Request______________________________________
______________________________________RPCccode______________________________________0 Successful completion of the request RPC Invalid Volume Name Voume Already Mounted______________________________________
SubFuncStrucLen
Sub function length will be 21 plus the size of the VolumeName (ASCIIZ) including the terminating null.
VolumeName
Volume Name (in ASCIIZ format) to be mounted.
FORMAT: volume name\0
RPC Dismount Volume
This aspect of the invention dismounts a volume on the remote computer. The request/reply format is as follows:
______________________________________RequestFormatOffset Content Type______________________________________ 0 RequestType (0x2222) WORD 2 SequenceNumber (LastSeq+1) BYTE 3 ConnectionHigh (ServiceConn) BYTE 4 TaskNumber (CurrentTaskNum) BYTE 5 ConnectionLow (ServiceConn) BYTE 6 FunctionCode (131) BYTE 7 SubFuncStrucLen (21) WORD (Hi Lo format) 9 SubFuncCode (04) BYTE10 reserved (0) LONG 4!26 reservedFlags {0} BYTE 4!30 VolumeName (see below) ASCIIZ______________________________________
______________________________________ReplyFormatOffset Content Type______________________________________ 0 ReplyType (0x3333) WORD 2 SequenceNumber (ReqSeqNum) BYTE 3 ConnectionHigh (ServiceConn) BYTE 4 TaskNumber (CurrentTaskNum) BYTE 5 ConnectionLow (ServiceConn) BYTE 6 CompletionCode (variable) BYTE 7 ConnStatusFlags (variable) BYTE 8 RPCccode (see below) LONG12 reserved (0) LONG______________________________________
______________________________________CompletionCode______________________________________ 0 Successful251 Invalid Subfunction Request______________________________________
______________________________________RPCccode______________________________________0 Successful completion of the request RPC Invalid Volume Name______________________________________
VolumeName
Volume Name (in ASCIIZ format) to be dismounted.
FORMAT: volume name\0
RPC Add Name Space To Volume
This aspect of the present invention permits a user to dynamically add a specified name space to a mounted volume on the remote computer. A name space supports specific attributes for a particular client, such as file name length, file characters, case sensitivity, multiple fries (such as a resource file containing formating information), vector graphics, and other such functions. The request/reply format in the NetWare® Core Protocol is:
______________________________________RequestFormatOffset Content Type______________________________________ 0 RequestType (0x2222) WORD 2 SequenceNumber (LastSeq+1) BYTE 3 ConnectionHigh (ServiceConn) BYTE 4 TaskNumber (CurrentTaskNum) BYTE 5 ConnectionLow (ServiceConn) BYTE 6 FunctionCode (131) BYTE 7 SubFuncStrucLen (05) WORD (Hi Lo format) 9 SubFuncCode (04) BYTE10 reserved (0) LONG 4!26 reservedFlags {0} BYTE 4!30 AddNameSpace (see below) ASCIIZ______________________________________
______________________________________ReplyFormatOffset Content Type______________________________________ 0 ReplyType (0x3333) WORD 2 SequenceNumber (ReqSeqNum) BYTE 3 ConnectionHigh (ServiceConn) BYTE 4 TaskNumber (CurrentTaskNum) BYTE 5 ConnectionLow (ServiceConn) BYTE 6 CompletionCode (variable) BYTE 7 ConnStatusFlags (variable) BYTE 8 RPCccode (see below) LONG12 reserved (0) LONG 4!______________________________________
______________________________________CompletionCode______________________________________ 0 Successful251 Invalid Subfunction Request______________________________________
______________________________________RPCccode______________________________________0 Successful completion of the request RPC______________________________________
SubFuncStrucLen
Sub function length will be 21 plus the size of the AddNameSpace string (ASCIIZ) including the terminating null.
Add Name Space
AddNameSpace string (in ASCIIZ form) to add the name space to a selected volume name.
FORMAT: "NameSpaceName {TO} {VOLUME}
______________________________________NameSpaceName Format:Short Name Long Name______________________________________MAC MACINTOSHUNIX UNIXFTAM FTAMOS2 OS2NF______________________________________
RPC Set Set Command Value
This aspect of the present invention allows the client to change the current value of a set command on the remote computer. In the NetWare® environment, the set command determines such things as communications parameters, memory allocations, file caching, directory caching, file system parameters, file locking parameters, transaction tracking, and disk management. The request/reply format is:
______________________________________Request FormatOffset Content Type______________________________________0 RequestType (0×2222) WORD2 SequenceNumber (LastSeq+1) BYTE3 ConnectionHigh (ServiceConn) BYTE4 TaskNumber (CurrentTaskNum) BYTE5 ConnectionLow (ServiceConn) BYTE6 FunctionCode (131) BYTE7 SubFuncStrucLen (06) WORD (Hi Lo format)9 SubFuncCode (04) BYTE10 typeFlag (see below) LONG14 Value (see below) LONG18 reserved (0) LONG 2!26 reservedFlags {0} BYTE 4!30 SetCmdName (see below) ASCIIZxx {optional string} (see typeFlag) ASCIIZ______________________________________
______________________________________ReplyFormatOffset Content Type______________________________________0 ReplyType (0×3333) WORD2 SequenceNumber (ReqSeqNum) BYTE3 ConnectionHigh (ServiceConn) BYTE4 TaskNumber (CurrentTaskNum) BYTE5 ConnectionLow (ServiceConn) BYTE6 CompletionCode (variable) BYTE7 ConnStatusFIags (variable) BYTE8 RPCccode (see below) LONG12 reserved (0) LONG 4!______________________________________
______________________________________Completion Code______________________________________0 Successful251 Invalid Subfunction Request______________________________________
RPCccode
0 Successful completion of the request RPC
SubFuncStrucLen
Sub function length will be 21 plus the size of the SetCmdName including the terminating null. If typeFlag is zero, then the optional string size including the null will must be included in the Sub Func Struc Len field.
typeFlag
If zero, then the optional string, which follows the SetCmdName, is the new value of the set command. If one, the the Value field contains the new value of the set command.
Value
New value of the set command parameter (if typeFlag is equal to one).
Set Cmd Name
Set parameter command name in ASCIIZ format.
{optional string}
If typeFlag is zero, this string used for the new set command parameter value. The set command parameter types (SP -- TYPE -- STRING & SP -- TYPE -- TIME -- OFFSET) require a string instead of a numerical value.
RPC Execute NCF File
This aspect of the present invention allows the execution of a selected batch file on the remote computer. Thus the client software can copy a batch file to the server and then request the server to execute the batch file. The batch fie must comply with the underlying server operating system requirements. In the present embodiment as implemented in the NetWare® Core Protocol environment, the request/reply format is:
______________________________________Request FormatOffset Content Type______________________________________0 RequestType (0×2222) WORD2 SequenceNumber (LastSeq+1) BYTE3 ConnectionHigh (Serviceconn) BYTE4 TaskNumber (CurrentTaskNum) BYTE5 ConnectionLow (ServiceConn) BYTE6 FunctionCode (131) BYTE7 SubFuncStrucLen (see below) WORD (Hi Lo format)9 SubFuncCode (07) BYTE10 reserved (0) LONG 4!26 reservedFlags {0} BYTE 4!30 PathAndName (see below) BYTE !______________________________________
______________________________________ReplyFormatOffset Content Type______________________________________0 ReplyType (0×3333) WORD2 SequenceNumber (ReqSeqNum) BYTE3 ConnectionHigh (ServiceConn) BYTE4 TaskNumber (CurrentTaskNum) BYTE5 ConnectionLow (ServiceConn) BYTE6 CompletionCode (variable) BYTE7 ConnStatusFIags (variable) BYTE8 RPCccode (see below) LONG12 reserved (0) LONG 4!______________________________________
______________________________________CompletionCode______________________________________0 Successful251 Invalid Subfunction Request______________________________________
______________________________________RPCccode______________________________________0 Successful completion of the request RPC158 Bad File Name or No File Name given______________________________________
SubFuncStrucLen
Sub function length will be 2 1 plus the size of the PathAndName (ASCIIZ) including the terminating null.
PathAndName
ASCIIZ path and file name to execute.
FORMAT: {volume name: }{path\...}file name\0
Security
One aspect of the present invention is the reliance on the security inherent in the network communication protocol. In the NetWare® environment, the security in the NCP protocol is provided through digital packet signing. The method and apparatus used in the NCP network communications protocol is described in greater detail in U.S. Pat. No. 5,349,642 issued Sep. 20, 1994, the disclosure of which is incorporated herein by this reference.
Server Implementation
The implementation of the remote procedure calls within the server maps the calls to the appropriate server operating system functions. In this fashion, the server implementation avoids the remote console login approach where each keystroke from the client is captured, packaged and sent to the server and then entered through the system console. In one embodiment, this aspect of the present invention is implemented in the NetWare® server environment as follows: ##SPC2##
As a result of implementing this procedure, developers who wish to develop client software with the ability to load, unload or otherwise configure their remote server applications may do so using a network client and server operating system supporting the calls.
Although one embodiment of the invention has been illustrated and described, various modifications and changes may be made by those skilled in the art without departing from the spirit and scope of the invention. | A set of secure remote procedure calls are implemented in a network using the terms of the native communications protocol of the local and remote computers. The remote procedure calls allow a system administrator working from a client computer to directly interact and to manage the network operating system. One or more remote procedure calls are incorporated into the network client computer operating system and corresponding remote procedure calls are incorporated into the server computer operating system. As a result, developers may develop client software with the ability to load, unload or otherwise configure remote server applications using a network client computer to instruct the server computer operating system that supports the calls. | 32,241 |
BACKGROUND OF THE INVENTION
This invention relates to a technology for evaluating the quality of test sequences, which represents the performance in testing faults, for semiconductor integrated circuits. The technology is used in testing delay faults on the semiconductor integrated circuits.
A recent fast-paced advancement in a miniaturization technology for semiconductor process is rapidly leading to the semiconductor integrated circuits in a larger size and more complex configuration, which is making it even more difficult for the semiconductor integrated circuits to be tested. In order to deal with the problem, the design for testability method, such as scan testing, has been in use as a measure to facilitate the tests for the semiconductor integrated circuits. Faults presented in a stuck-at fault model can be now efficiently tested. When the faults according to the stuck-at fault model are detected, the performance of the detection does not depend on a clock frequency. Therefore, the scan test is generally implemented with a slower clock frequency than an actual operation speed.
As a result of more and more apparent variability in the semiconductor process along with the advancing miniaturization thereof, however, it is becoming too difficult for the use of the lower clock frequency to guarantee an expected quality of the tests. There is now a call for a delay fault test such as a technology to enable a test using a clock frequency same as in the actual operation.
A fault coverage representing the quality of the delay fault test sequences is calculated according to the following formula.
Formula
1
fault
coverage
=
number
of
detected
faults
number
of
all
defined
faults
×
100
%
1
In the fault coverage 1 , an equal importance is placed on all the delay faults, which arises a problem that the fault coverage does not quite reflect the quality of the test sequences in real fault detection. The problem is described below referring to the drawing.
FIG. 14 illustrates the characteristics of delay faults defined on a semiconductor integrated circuit. The lengths of respective arrows extending from signal paths b 1 -b 6 denote “design delay values on the respective signal paths”. A “design delay value” means a delay value when the semiconductor integrated circuit is designed. The vertical dotted line on the right side of FIG. 14 denotes a value of one clock rate on the semiconductor integrated circuit. In general, the larger the “design delay value on the signal path” is (the closer to one clock rate), the more likely the signal path induces a delay fault. From this aspect, it is obvious that, in FIG. 14 , the signal path b 3 is more likely than b 6 to induce a delay fault. Therefore, it can be said that a test for detecting the delay fault defined on the signal path b 3 has a higher quality than a test for detecting the delay fault defined on the signal path b 6 .
According to the fault coverage obtained by the formula 1, it is interpreted that the delay fault detections for the signal path b 3 and signal path b 6 are equivalent in that a delay fault is found therein and therefore share the same quality. For example, assuming that a delay fault is defined on each of the signal paths b 1 -b 6 , the fault coverage in the case of detecting the delay faults on the signal paths b 1 -b 3 having more likelihood of failure is:
( 3/6)×100(%)=50%
The fault coverage, on the other hand, in the case of detecting the delay faults on the signal paths b 4 -b 6 having less likelihood of failure is also:
( 3/6)×100(%)=50%
The signal paths b 1 -b 3 and b 4 -b 6 are different in likelihood of actual failure, however share the same fault coverage.
Having the fault detection tests for the signal paths b 1 -b 3 having the larger delay values and for the signal paths b 4 -b 6 having the smaller delay values compared to each other, the former obviously has a higher quality. Thus, the formula 1 to provide the fault coverage does not correctly reflect the test quality. As a result, the test sequences used for fault detection are wrongly evaluated.
SUMMARY OF THE INVENTION
Therefore, a main object of the present invention is to provide “methods of evaluating the quality of test sequences for delay faults” capable of more accurately evaluating the quality of the delay fault test sequences.
These and other objects and aspects as well as advantages of the invention will become clear by the following description.
In order to achieve the foregoing object, the present invention implements the following measures.
As a first solution, in a “method of evaluating the quality of the delay fault test sequences” according to the present invention, of all defined delay faults, any delay fault with a delay value equal to or below a predetermined design delay value is excluded from a test object, and the number of the remaining delay faults is set as a comparison denominator. The target for comparison is the number of delay faults detected by the “delay fault test sequences”. The proportion of the comparison target to the comparison denominator is the fault coverage, based on which the quality of the delay fault test sequences is evaluated.
The operation of the method configured as described is as follows. The levels of importance in the defined delay faults are not regarded equal to one another. The fault coverage is calculated with the delay faults having a lower impact on the quality evaluation excluded from the test object. Because the “delay fault test sequences ” are evaluated in quality based on the fault coverage calculated as described, the delay faults having more likelihood of actual failure can have a more impact on the fault coverage. As a result, the quality of the delay fault test sequences can be more accurately evaluated.
As a second solution, in a “method of evaluating the quality of the delay fault test sequences” according to the present invention, each of the defined delay faults is weighted. The total of the weights with respect to the delay faults is the comparison denominator. The target for comparison is the total of the weights with respect to the delay faults detected by the “delay fault test sequences”. The proportion of the comparison target to the comparison denominator is the fault coverage, based on which the quality of the “delay fault test sequences” is evaluated.
The operation of the method configured as described is as follows. The levels of importance in the defined delay faults are not regarded equal to one another. The defined delay faults are weighted in compliance with the levels of the impact thereof on the quality evaluation, wherein the totals of the weights are the criteria for calculating the fault coverage. The quality evaluation for the “delay fault test sequences” is carried out based on the thus calculated fault coverage. Therefore, the delay faults having more likelihood of actual failure can have more impact on the fault coverage. As a result, the quality of the delay fault test sequences can be more accurately evaluated.
There are different modes of the described weight.
In one of the modes, the “design delay value on the delay fault defined signal path” is used as an indicator denoting the level of the “design delay value on the delay fault defined signal path” with respect to a “timing design request value on the “delay fault defined signal path”. There is provided a plurality of delay faults a 1 -a n , “design delay values” of which are respectively T 1 -T n . Of the delay faults a 1 -a n , the “design delay values” of delay faults detected by the “delay fault test sequences” are t 1 -t m (m≦n). When the total of the delay values T 1 -T n is σ T , and the total of the detected delay values t 1 -t m is σ t , the fault coverage η is: η=σ t /σ T .
Formula
2
σ
T
=
∑
i
=
1
n
T
i
2
Formula
3
σ
t
=
∑
j
=
1
m
t
j
3
Formula
4
η
=
σ
t
σ
T
=
∑
j
=
1
m
t
j
∑
i
=
1
n
T
i
4
In the first solution, the delay faults having a lower impact on the quality evaluation are excluded. This solution, in which the defined delay faults are weighted, does not require such exclusion. The delay value of any defined delay fault is reflected on the fault coverage. The quality of the “delay fault test sequences” can be more accurately evaluated.
The delay values T i and T j can be respectively replaced by gate stage numbers with respect to the delay faults a 1 and a j .
In another mode, the product of the “design delay value on the delay fault defined signal path” and a “physical path length on the delay fault defined signal path” is used as the weight. The “physical path lengths on the signal paths” respectively for a plurality of delay faults a 1 -a n are Q 1 -Q n . The “physical path lengths on the signal paths” respectively for the delay faults detected by the “delay fault test sequences” are q 1 -q m (m≦n). The respective products of the delay values T 1 -T n and path lengths Q 1 -Q n are T 1 ·Q 1 −T n ·Q n . The total of the products is σ Q . The respective products of the delay values t 1 -t m and path lengths q 1 -q m are t 1 ·q 1 −t m ·q m . The total of the products is σ q . The fault coverage η is: η=σ q /σ Q .
Formula
5
σ
Q
=
∑
i
=
1
n
(
T
i
×
Q
i
)
5
Formula
6
σ
q
=
∑
j
=
1
m
(
t
j
×
q
j
)
6
Formula
7
η
=
σ
q
σ
Q
=
∑
j
=
1
m
(
t
j
×
q
j
)
∑
i
=
1
n
(
T
i
×
Q
i
)
7
Again in this case, the delay faults having a lower impact on the quality evaluation are not excluded. The delay values of all the defined delay faults are reflected on the fault coverage. Further, the two factors, delay value and path length, are presented for multiplication. Accordingly, the quality evaluation for the “delay fault test sequences” can be further accurate.
In still another mode, the product of the “design delay value on the delay fault defined signal path” and a “physical wiring area on the delay fault defined signal path” is used as the weight. The physical wiring areas on the signal paths respectively for a plurality of delay faults a 1 -a n are H 1 -H n , and the “physical wirings areas on the signal paths” respectively for the delay faults detected by the “delay fault test sequences” are h 1 -h m (m≦n). The respective products of the delay values T 1 -T n and wiring areas H 1 -H n are T 1 ·H 1 −T n ·H n . The total of the products is σ H . The products of the respective t 1 -t m and wiring areas h 1 -h m are t 1 ·h 1 −t m ·h m . The total of the products is σ h . The fault coverage η is η=σ h /σ H .
Formula
8
σ
H
=
∑
i
=
1
n
(
T
i
×
H
i
)
8
Formula
9
σ
h
=
∑
j
=
1
m
(
t
j
×
h
j
)
9
Formula
10
η
=
σ
h
σ
H
=
∑
j
=
1
m
(
t
j
×
h
j
)
∑
i
=
1
n
(
T
i
×
H
i
)
10
Again in this case, the delay faults having a lower impact on the quality evaluation are not excluded. The delay values of all the defined delay faults are reflected on the fault coverage. Further, the two factors, the delay value and wiring area, are presented for multiplication. Accordingly, the quality evaluation for the “delay fault test sequences” can be further accurate.
In still another mode, the product of the following two factors is used as the weight. One of the factors is the “design delay value on the delay fault defined signal path”. The other is the “wiring area on the delay fault defined signal path” added by an element area. More specifically:
design
delay
value
on
signal
path
×
{
physical
wiring
area
+
element
area
}
=
weight
The physical wiring areas on the signal paths respectively for a plurality of delay faults a 1 -a n are H 1 -H n , and the respective element areas thereon (gate areas) are G 1 -G n . The physical wiring areas on the signal paths respectively for the delay faults detected by the delay fault test sequences are h 1 -h m , and the respective element areas thereon (gate areas) are g 1 -g m (m≦n). The sums of the respective wiring areas H 1 -H n and gate areas G 1 -G n multiplied by the respective delay values T 1 -T n equal to T 1 ·(H 1 +G 1 )−T n ·(H n +G n ). The total of the products is σ HG . The sums of the respective wiring areas h 1 -h m and the gate areas g 1 -g m multiplied by the respective delay values t 1 -t m equal to t 1 ·(h 1 +g 1 )−t m ·(h m +G m ). The total of the products is σ hg . The fault coverage η is: η=σ hg /σ HG .
Formula
11
σ
HG
=
∑
i
=
1
n
{
T
1
×
(
H
i
+
G
i
)
}
11
Formula
12
σ
hg
=
∑
j
=
1
m
{
t
j
×
(
h
j
+
g
j
)
}
12
Formula
13
η
=
σ
hg
σ
HG
=
∑
j
=
1
m
{
t
j
×
(
h
j
+
g
j
)
}
∑
i
=
1
n
{
T
i
×
(
H
i
+
G
i
)
}
13
Again in this case, the delay faults having a lower impact on the quality evaluation are not excluded. The delay values of all the defined delay faults are reflected on the fault coverage. Further, the three factors, wiring area, element area and delay value, are presented for multiplication. Accordingly, the quality evaluation for the “delay fault test sequences” can be further accurate.
As the weight, a defect density may be occasionally presented for multiplication. The defect density is statistically calculated according to a yield analysis conducted in a factory or the like. The defect density is usually constant with respect to different delay faults. However, to add a fine difference between the delay faults can further improve the accuracy in the quality evaluation for the “delay fault test sequences”.
Referring to the foregoing “methods of evaluating the quality of the delay fault test sequences”, “methods of generating the test sequences for delay faults”, according to the present invention, calculate the fault coverage with respect to the generated “delay fault test sequences” using any of the foregoing “methods of evaluating the quality of the delay fault test sequences”. This, in contrast to the conventional technology, enables the “delay fault test sequences” to be more accurately generated.
Referring to the foregoing “methods of evaluating the quality of the delay fault test sequences”, “methods of simulating delay faults”, according to the present invention, calculate the fault coverage with respect to the given “delay fault test sequences” using any of the foregoing “methods of evaluating the quality of the delay fault test sequences”. This, in contrast to the conventional technology, enables the delay fault simulation to be more accurate.
Referring to the foregoing “methods of evaluating the quality of the delay fault test sequences”, “methods of testing faults”, according to the present invention, calculate the fault coverage with respect to the “delay fault test sequences” used in the testing steps for a semiconductor integrated circuit using any of the foregoing “methods of evaluating the quality of the delay fault test sequences”. This, in contrast to the conventional technology, enables the semiconductor integrated circuit to be more accurately tested for faults.
The foregoing and other aspects will become apparent from the following description of the invention when considered in conjunction with the accompanying drawing figures.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a flow chart illustrating a “method of generating test sequences for delay faults” according to an Embodiment 1 of the present invention.
FIG. 2 is a flow chart illustrating a “method of simulating delay faults” according to the Embodiment 1 of the present invention.
FIG. 3 is a flow chart showing the specific illustration of “operation of the test sequence generation for delay faults” of FIG. 1 according to the Embodiment 1 of the present invention.
FIG. 4 is a flow chart showing the specific illustration of “operation of the “delay fault simulation” of FIG. 2 according to the Embodiment 1 of the present invention.
FIG. 5 is a chart showing the characteristics of delay faults defined on a semiconductor integrated circuit according to the Embodiment 1 of the present invention.
FIG. 6 is a flow chart showing the specific illustration of the “operation of the test sequence generation for delay faults” of FIG. 1 according to an Embodiment 2 of the present invention.
FIG. 7 is a layout chart of a semiconductor integrated circuit for describing a method of calculating wiring areas and gate areas on signal paths according to the Embodiment 2 of the present invention.
FIG. 8 is a chart showing the sums of wiring areas and gate areas on respective signal paths, on which delay faults are defined, according to the Embodiment 2 of the present invention.
FIG. 9 is a chart showing the total of wiring lengths on respective signal paths, on which delay faults are defined, according to the Embodiment 2 of the present invention.
FIG. 10 is a chart showing the characteristics of delay faults defined on a semiconductor integrated circuit according to the Embodiment 2 of the present invention.
FIG. 11 is a chart showing the characteristics of the delay faults defined on the semiconductor integrated circuit according to the Embodiment 2 of the present invention.
FIG. 12 is a flow chart illustrating a method of testing faults according to an Embodiment 3 of the present invention.
FIG. 13 is a flow chart for describing a “method of generating test sequences for delay faults” according to a conventional technology.
FIG. 14 is a chart showing the characteristics of delay faults defined on a semiconductor integrated circuit according to a conventional technology.
In all these figures, like components are indicated by the same numerals
DESCRIPTION OF THE PREFERRED EMBODIMENTS
Hereinafter, preferred embodiments according to the present invention are described referring to the drawings.
In general, there are two kinds of delay faults on a signal path, which are faults in rising transition and faults in falling transition. The delay faults are described in combination of the signal path and either of the transitions. In this specification, however, the transitions are omitted for descriptive convenience, and the present invention is described therein on the grounds that a delay fault is defined on a signal path.
Embodiment 1
According to an Embodiment 1 of the present invention, any fault having a less importance in terms of delay fault detection is excluded from the target of quality evaluation for “test sequences for delay faults”. In this manner, the accuracy of the quality evaluation for the “delay fault test sequences” is improved.
First, examples of a method of evaluating the quality of generated “delay fault test sequences” according to the embodiment are described.
Quality Evaluation for “Delay Fault Test Sequences”
FIG. 1 is a flow chart illustrating a “method of generating test sequences for delay faults” according to an Embodiment 1 of the present invention. A numeral 1 is “data in a logic circuit” to be tested. A numeral 2 is “defined delay fault information” on delay faults defined in the logic circuit. A numeral 3 is “operation of test sequence generation for delay faults”. A numeral 4 is “delay fault test sequences” for testing delay faults in the logic circuit. A numeral 5 is a fault coverage resulting from the “operation of test sequence generation for delay faults”.
FIG. 3 is a flow chart showing the specific illustration of the “operation of test sequence generation for delay faults” 3 . A numeral 31 is setting of a predetermined delay value Dmin. A numeral 32 is operation of exclusion from all the defined delay faults of any “design delay value on the delay fault defined signal path” having a delay value smaller than the predetermined delay value Dmin. A numeral 33 is “operation of test sequence generation” for the respective defined delay faults. A numeral 34 is “operation of counting of the detected delay faults”. A numeral 35 is operation of a fault-coverage calculation according to the following formula:
Formula
14
fault
coverage
=
number
of
detected
faults
number
of
all
faults
×
100
(
%
)
14
In the formula 14, the total number of the faults equals to “all the defined faults” minus “lower-impact faults”. “All the defined faults” are defined by the “defined delay fault information” 2 . The “lower-impact faults” refer to the faults on the signal paths having the “design delay values on the signal paths” smaller than the predetermined delay value Dmin.
The number of the detected faults is, of all the faults, the number of faults, for which the test sequences are successfully generated in the “operation of test sequence generation” 33 .
FIG. 5 is a chart illustrating the characteristics of delay faults defined on a semiconductor integrated circuit. The lengths of arrows extending from delay faults a 1 -a 6 respectively denote the levels of the “design delay values on the delay fault defined signal paths”. Numbers appended to the respective arrows such as 9 ns respectively show specific delay values thereof. A vertical dotted line on the right side of FIG. 5 denotes a value of one clock rate on the semiconductor integrated circuit.
Hereinafter, a first example of the embodiment is described referring to FIGS. 1 , 3 , and 5 .
First, the “operation of test sequence generation for delay faults” 3 is implemented using the given “logic circuit data” 1 and the “defined delay fault information” 2 .
The “defined delay fault information” 2 includes the delay faults a 1 -a 6 shown in FIG. 5 .
In the “operation of test sequence generation for delay faults” 3 , the predetermined delay value Dmin is first set in the operation 31 . The predetermined delay value Dmin is set to be adequately smaller than the value of one clock rate. The value of one clock rate is now set at 10 ns, while the predetermined delay value Dmin is set at 3 ns.
Next, comparison and judgment are carried out in the operation 32 . Of “all the defined delay faults” a 1 -a 6 , the “design delay value on the signal path”, on which the delay fault a 6 is defined, is 2 ns. Because the value is smaller than the predetermined delay value Dmin, the delay fault a 6 is excluded. As a result, the delay faults a 1 -a 5 are to be tested.
Further, in the operation 33 , the operation of “test sequence generation” is implemented to the delay faults a 1 -a 5 . When, as a result, the test sequences are successfully generated (meaning that the faults are detected) for the delay faults a 4 and a 5 alone, the number of the detected faults is calculated as two in the operation 34 .
Finally, the fault coverage is calculated in the step 35 as:
(⅖)×100=40%
Then, the data of the fault coverage 5 and generated “delay fault test sequence” 4 are output.
Quality Evaluation for Fault Simulation
Described next is the quality evaluation for the given “delay fault test sequences” in fault simulation according to the embodiment.
FIG. 2 is a flow chart illustrating a “method of simulating delay faults” according to the Embodiment 1 of the present invention. A numeral 6 is “operation of delay fault simulation”. Any numeral other than 6 shown therein corresponds to the component with the same numeral appended thereto in FIG. 1 .
FIG. 4 is a flow chart showing the specific illustration of operation of the “delay fault simulation” 6 . In FIG. 4 , in place of the “operation of test sequence generation” 33 of FIG. 3 , “operation of fault simulation exercise” 36 is carried out. Any other operation is the same as in FIG. 3 .
Hereinafter, a second example of the embodiment is described referring to FIGS. 2 , 4 , and 5 .
First, the “operation of delay fault simulation” 6 is implemented using the given “logic circuit data” 1 , “defined delay fault information” 2 , and “delay fault test sequences” 4 . The “defined delay fault information” 2 includes the delay faults a 1 -a 5 shown in FIG. 5 .
In the “operation of delay fault simulation” 6 , the predetermined delay value Dmin is first set in the operation 31 . The predetermined delay value Dmin is, as in the first example, is set at 3 ns.
Next, comparison and judgment are carried out in the operation 32 . Of the delay faults a 1 -a 6 , which are “all the defined faults”, the “design delay value on the signal path”, on which the delay fault a 6 is defined, is 2 ns. Because the value is smaller than the predetermined delay value Dmin, the delay fault a 6 is excluded. As a result, the faults to be tested are the delay faults a 1 -a 5 .
Further, in the operation 36 , the fault simulation is implemented with respect to the delay faults a 1 -a 5 using the “delay fault test sequences” 4 . When, as a result, the delay faults a 4 and a 5 are detected, the operation 34 calculates the number of the detected faults as two.
Finally, the fault coverage is calculated in the operation 35 as:
(2×5)×100=40%
Then, the data from the fault coverage 5 is output.
Evaluation of the Embodiment 1
Next, the embodiment is compared to a conventional technology.
FIG. 13 is a flow chart showing a method of generating “delay fault test sequences” and evaluating the quality of the generated “delay fault test sequence” according to a conventional technology, which corresponds to FIG. 2 of the present invention. Any numeral shown therein corresponds to the component with the same numeral appended thereto in FIG. 2 .
Hereinafter, the operation according to the conventional technology is described.
In the conventional technology, the test sequences are to be generated for any given fault provided by the “defined delay fault information” 2 . Because of that, the test sequences are generated for the delay faults a 1 -a 6 in the “operation of test sequence generation” 33 . When, as a result, the test sequences are successfully generated (meaning that the faults are detected) for the delay faults a 4 -a 6 , the number of the detected faults is calculated as three in the operation 34 . The fault coverage is calculated in the operation 35 as:
( 3/6)×100=50%.
In this case, the delay fault a 1 and the delay fault a 6 are given an equal importance. The detected faults are only the delay faults a 4 -a 6 having less likelihood of actual failure. The delay faults a 1 -a 3 having more likelihood of actual failure are not detected. Nevertheless, the fault coverage is excessively high because the likelihood of actual failure in each delay fault is not counted for.
Meanwhile, this embodiment excludes the delay fault a 6 having less likelihood of actual failure from the test object. In the consequence of that, the likelihood of actual failure is reflected on the fault coverage. The fault coverage is lower than that of the conventional technology meaning that the quality of the “delay fault test sequences” is more accurately evaluated.
Embodiment 2
In an Embodiment 2, the quality of “delay fault test sequences” is evaluated using a “design delay value” on a signal path on which a delay fault is defined. The quality of the “delay fault test sequences” is thus more accurately evaluated.
FIG. 6 is a flow chart of a “method of evaluating the quality of “delay fault test sequences” showing the specific illustration of “operation of test sequence generation for delay faults” 3 of FIG. 1 . A numeral 33 is “operation of test sequence generation” for generating test sequences for defined delay faults. A numeral 37 is “operation of fault coverage calculation according to the following formula:
Formula
15
fault
coverage
=
total
of
weights
with
respect
to
respective
detected
faults
total
of
weights
with
respect
to
defined
faults
×
100
(
%
)
15
FIG. 7 is a layout chart of a semiconductor integrated circuit for describing a method of calculating wiring areas and gate areas (element areas) on respective signal paths. Numerals 51 and 52 denote flip-flops. Numerals 53 - 55 denote logic gates (AND logic). Numerals 56 - 59 denote wirings.
FIG. 8 is a chart showing the sums of wiring areas and gate areas on respective signal paths, on which delay faults a 1 -a 6 are defined. The lengths of arrows extending from the delay faults a 1 -a 6 respectively denote the levels of the summed areas on the “signal paths on which the respective delay values are defined”. Numbers appended to the respective arrows such as 800 μm 2 respectively show the specific values thereof.
FIG. 9 is a chart showing the total of wiring lengths on respective signal paths, on which delay faults a 1 -a 6 are defined. The lengths of arrows extending from the delay faults a 1 -a 6 respectively denote the total of the wiring lengths on the delay fault defined signal paths”. Numbers appended to the respective arrows such as 5000 μm 2 respectively show the specific values thereof.
FIG. 10 is a chart showing the characteristics of delay faults defined on a semiconductor integrated circuit. Any numeral shown therein corresponds to the component with the same numeral appended thereto in FIG. 5 . The values of one clock rate with respect to the delay faults a 1 -a 4 , a 5 , and a 6 are respectively 10 ns, 8 ns, and 2.5 ns, which are shown in dotted lines in FIG. 10 .
FIG. 11 is a chart showing the characteristics of the delay faults defined on the semiconductor integrated circuit. Any numeral shown therein corresponds to the component with the same numeral appended thereto in FIG. 5 . The values of one clock rate with respect to the delay faults a 1 -a 4 , a 5 -a 6 are respectively 10 ns and 2.5 ns, which are shown in dotted lines in FIG. 11 . The signal path, on which the delay fault a 5 is defined, is, what is termed, a multicycle path having three cycles allowing a signal to propagate in three clock periods.
Hereinafter, the Embodiment 2 is described referring to FIGS. 1 , 3 , 5 , 7 , 8 , 9 , 10 , and 11 .
Overall operation of the “method of generating the delay fault test sequences” of FIG. 1 is carried out in the same manner as in the Embodiment 1, therefore is not described in this embodiment. The specifics in the “operation of test sequence generation for delay faults” 3 are described here.
The test sequences are generated for all the given faults provided by a “defined delay fault information” 2 . In the “operation of test sequence generation” 33 , therefore, the test sequences are generated for the delay faults a 1 -a 6 , and, in this case, are successfully generated (meaning that the faults are detected) for the delay faults a 4 -a 6 .
Next, in the operation 37 , the total of the weights with respect to the delay faults a 1 -a 6 , which are “all the defined faults”, and the total of the weights with respect to the delay faults a 4 -a 6 detected in the “operation of test sequence generation” 33 are respectively calculated. Then, the fault coverage is calculated according to the formula 15.
Specific examples of the weight are described referring to the case of using the “design delay values on the delay fault defined signal paths” as shown in FIG. 5 .
SPECIFIC EXAMPLE 1 OF WEIGHT
A specific example of the weight is described referring to the case of using a relative value of the “design delay value on the delay fault defined signal path” with respect to each “timing design request value on the delay fault defined signal path”. The “timing design request value on the delay fault defined signal path” is a value of time limit such that propagation of a signal in the delay fault defined signal path must be terminated within a certain time frame. The value is represented, for example, by a value of the clock rate with respect to the delay fault defined signal path or the product of the clock rate value and the number of multicycles with respect to the delay fault defined signal path when the path is the multicycle path. Here, the clock rate is used as the “timing design request value on the delay fault defined signal path” to describe the weight.
For example, the weight with respect to the delay fault a 1 employs a value 9 since the “design delay value on the signal path”, on which the fault a 1 is defined, is 9 ns. In this case, the total of the weights with respect to “all the defined faults” calculated in the operation 37 is:
(9+8+9+5+7+2)=40
The total of the weights with respect to the delay faults a 4 -a 6 detected in the “operation of test sequence generation” 33 is:
(5+7+2)=14
Therefore, the fault coverage is calculated according to the formula 15 as:
( 14/40)×100=35%
In this example, because the detected delay faults have the relatively small “design delay values”, the fault coverage is smaller than the fault coverage of 50% calculated according to the conventional technology. This proves that this embodiment achieves a more accurate “method of evaluating the quality of the delay fault test sequences”.
Further, unlike in the Embodiment 1, the faults on the signal paths having the smaller “design delay values”, such as the delay fault a 6 , are not neglected. The respective “design delay values on the delay fault defined signal paths” are reflected on the fault coverage. Therefore, this embodiment can offer even a more accurate “method of evaluating the quality of the delay fault test sequences” than the Embodiment 1.
This embodiment employs the relative values of the “design delay values on the signal paths” in which faults are defined with respect to the clock rate (10 ns). Also, an absolute “delay value on the delay fault signal path”, irrespective of the clock rate, can be used as the weight to result in the same effect.
SPECIFIC EXAMPLE 2 OF WEIGHT
Another specific example of the weight is described. This example includes the delay values on the “delay fault signal paths” and the likelihood of actual failure in the respective signal paths. In this example, the weight represented by the following formula 16 is used.
Formula
16
weight
=
design
delay
v
alue
signal
path
on
×
defect
-
occurring
rate
×
coefficient
16
A value of the defect-occurring rate multiplied by the coefficient can be regarded as a defect-occurring frequency.
The defect-occurring rate is further denoted according to the following formula 17.
Formula
17
defect-occurring rate
=
defect density
×
wiring area
+
gate area
17
Taking FIG. 7 as an example, the wiring areas plus gate areas are calculated from the sum of the total area of the wirings 56 - 59 on the signal paths between flip-flops 51 and 52 and the total area of the gates 53 - 55 . FIG. 8 shows values calculated as the wiring areas plus gate areas on the signal paths, on which the delay faults a 1 -a 6 are defined.
A value of the coefficient in the formula 16 is one in this embodiment. The defect density in the formula 17 is statistically calculated from a yield analysis in a factory or the like, and represented by α in this embodiment.
When the value α is hypothetically constant on the semiconductor integrated circuit, the fault coverage, based on the formulas 15-17, is calculated according to the following formula 18.
Formula
18
fault
coverage
=
Total
of
{
delay
values
of
detected
faults
×
(
wiring
area
+
gate
area
)
}
Total
of
{
delay
values
of
all
defined
faults
×
(
wiring
area
+
gate
area
)
}
×
100
(
%
)
18
For example, the weight with respect to the delay fault a 1 is calculated using 9 ns, the “design delay value on the signal path” in which the delay fault a 1 is defined according to FIG. 5 , and 1000 μm 2 , the value of the wiring area plus gate area on the signal path according to FIG. 8 is:
9×1000=9000
Therefore, the total of the weights with respect to “all the defined faults” calculated in the operation 37 is:
(9×1000+8×600+9×800+5×500+7×600+2×100)=27900
The total of the weights with respect to the delay faults a 4 -a 6 detected in the “operation of test sequence generation” 33 is:
(5×500+7×600+2×100)=6900
The fault coverage is calculated according to the formula 18 as:
6900/27900×100=24.7%
In this example, because many of the detected delay faults have the smaller “design delay values”, the fault coverage is lower than the fault coverage of 50% calculated according to the conventional technology. This proves that this embodiment achieves a more accurate “method of evaluating the quality of the delay fault test sequences”.
Further, unlike in the Embodiment 1, the faults on the signal paths having the smaller “design delay values”, such as the delay fault a 6 , are not neglected. The respective “design delay values on the delay fault defined signal paths” are reflected on the fault coverage. Therefore, this embodiment can offer even a more accurate “method of evaluating the quality of the delay fault test sequences” than the Embodiment 1.
SPECIFIC EXAMPLE 3 OF WEIGHT
Still another specific example of the weight is described. This example employs, in place of the wiring area plus gate area in the formula 17, a simpler value which is the total of the wiring lengths. In this case, the weight represented by the following formula 19 is used.
Formula
19
detect
-
occurring
rate
=
defect
density
×
total
of
wiring
lengths
on
signal
paths
19
The total of the wiring lengths in the formula 19 is calculated by summing the lengths of the wirings 56 - 59 in FIG. 7 . FIG. 9 shows a value of the thus calculated total wiring length on the signal paths, on which the delay faults a 1 -a 6 are defined.
By replacing the formula 17 with the formula 19, the formula 18, when the defect density α is hypothetically constant on the semiconductor integrated circuit, can be replaced by the following formula 20.
Formula
20
fault
coverage
=
Total
of
{
delay
values
×
Total
wiring
}
of
detected
faults
Total
of
{
delay
values
×
Total
wiring
length
}
of
all
defined
faults
×
100
(
%
)
20
For example, the weight with respect to the delay fault a 1 is calculated using 9 ns, the “design delay value on the signal path” in which the delay fault a 1 is defined according to FIG. 5 , and 8000 μm, the value of the total wiring length on the signal path according to FIG. 9 as:
9×8000=72000
Therefore, the total of the weights with respect to “all the defined faults” calculated in the operation 37 is:
(9×8000+8×5000+9×6000+5×3000+7×5000+2×2000)=220000
The total of the weights with respect to the delay faults a 4 -a 6 detected in the “operation of test sequence generation” 33 is:
(5×3000+7×5000+2×2000)=54000
Therefore, the fault coverage is calculated according to the formula 20 as:
54000/220000×100=24.5%
In this example, because the detected delay faults have the smaller “design delay values”, the fault coverage is smaller than the fault coverage of 50% calculated according to the conventional technology. This proves that this embodiment achieves a more accurate “method of evaluating the quality of the delay fault test sequences”.
Further, unlike in the Embodiment 1, the faults on the signal paths having smaller “design delay values”, such as the delay fault a 6 , are not neglected. The respective “design delay values on the delay fault defined signal paths” are reflected on the fault coverage. Therefore, this embodiment can offer even a more accurate “method of evaluating the quality of the delay fault test sequences” than the Embodiment 1. To add to the foregoing advantages, this example can employ the formula 20 instead of the formula 18, thereby reducing the calculated value.
SPECIFIC EXAMPLE 4 OF WEIGHT
Still another specific example of the weight is described referring to the case of the semiconductor integrated circuit having a plurality of clock rates or multicycle paths, wherein the “timing design request value on the delay fault defined signal path” is represented by the clock rate value with respect to the delay fault defined signal path or the product of the clock rate value and the number of multicycles. Further, as the relative value of the “design delay value on the delay fault defined signal path” with respect to each “timing design request value on the delay fault defined signal path”, a value represented by the ratio of the “design delay value on the delay fault defined signal path” to the “timing design request value on the delay fault defined signal path” (specifically, clock rate value or the product of the clock rate and number of multicycles) is used to describe the example.
For example, as shown in FIG. 10 , when the clock rate of the signal paths, on which the delay faults a 1 -a 4 are defined, is 10 ns, the “timing design request value on the signal path”, on which the delay fault a 1 is defined, can be regarded as 10 ns. Then, the weight with respect to the delay fault a 1 is represented by the ratio of the “design delay value on the signal path”, on which the delay fault a 1 is defined, to the “timing design request value”, that is 9 ns/10 ns=0.9. The clock rates of the delay faults a 5 and a 6 are respectively 8 ns and 2.5 ns. Therefore the weights with respect to the delay faults a 5 and a 6 are, likewise, respectively represented by (7 ns/8 ns)=0.875 and (2 ns/2.5 ns)=0.8. In this case, the total of the weights with respect to “all the defined faults” calculated in the operation 37 is:
(0.9+0.8+0.9+0.5+0.875+0.8)=4.775
The total of the weights with respect to the delay faults a 4 -a 6 detected in the “operation of test sequence generation” 33 is:
(0.5+0.875+0.8)=2.175
The fault coverage is calculated according to the formula 15 as:
(2.175/4.775)=45.5%
Moreover, as shown in FIG. 11 , when the clock rate of the signal path, on which the delay fault a 5 is defined, is 2.5 ns, while the signal path is the multicycle path having three cycles, the “timing design request value on the signal path, on which the delay fault a 5 is defined, can be regarded as (2.5 ns×3)=7.5 ns. In this case, the weight with respect to the delay fault a 5 is represented by (7 ns /7.5 ns)=0.933. The weights with respect to the delay faults a 1 -a 4 and a 6 of FIG. 11 are the same as in FIG. 10 , therefore the total of the weights with respect to “all the defined faults” calculated in the operation 37 is:
(0.9+0.8+0.9+0.5+0.933+0.8)=4.833
The total of the weights with respect to the delay faults a 4 -a 6 detected in the “operation of test sequence generation” 33 is:
(0.5+0.933+0.8)=2.233
Therefore, the fault coverage calculated according to the formula 15 is:
(2.233/4.833)=46.2%
In this example, because the detected delay faults have the smaller “design delay values”, the fault coverage is smaller than the fault coverage of 50% calculated according to the conventional technology. This proves that this embodiment achieves a more accurate “method of evaluating the quality of the delay fault test sequences”
Further, unlike in the Embodiment 1, the faults on the signal paths having smaller “design delay values”, such as the delay fault a 6 , are not neglected. The respective “design delay values on the delay fault defined signal paths” are reflected on the fault coverage. Therefore, this embodiment can offer even a more accurate “method of evaluating the quality of the delay fault test sequences” than the Embodiment 1.
The clock rate and multicycle path are exemplified in describing this example, while the same effect can be evidently achieved by using other general timing-limit values, such as an AC timing value between an external terminal and the inside of the semiconductor integrated circuit.
Further, the same effect can be evidently achieved by means of FIG. 2 instead of FIG. 1 described in this embodiment, and likewise, by means of the “operation of fault simulation exercise” 36 instead of the “operation of test sequence generation” 33 .
When the wiring area plus gate area in the formulas 17 and 18 is replaced by wiring area alone, the substantially same effect can be achieved.
When the “design delay value on the signal path” used in this embodiment is replaced by the gate stage number with respect to the signal path as a simplified method of representing the delay value, the substantially same effect can be achieved.
Embodiment 3
FIG. 12 is a flow chart illustrating a method of testing faults according to an Embodiment 3.
Numerals 3 - 6 refer to the same components with the same numerals appended thereto in FIGS. 1 and 2 . A numeral 101 denotes operation of judgment whether or not a fault coverage satisfies the demand of a test. A numeral 102 denotes a fault test.
Referring to FIGS. 3 , 4 , 6 , and 12 , the Embodiment 3 is described.
First, “test sequences for delay faults” 4 used for the test in “operation of test sequence generation for delay faults” 3 is generated.
Next, a fault coverage 5 of the “delay fault test sequences” 4 is calculated in “operation of delay fault simulation” 6 . More particularly, the fault coverage is calculated by using the methods described in the Embodiments 1 and 2 (wherein the operation 33 in FIGS. 3 and 6 is replaced by the operation 36 ).
Then, in the operation 101 , the fault coverage 5 output from the “operation of delay fault simulation” 6 is used to judge whether or not the fault coverage satisfies a value demanded by the test. When the result is positive, YES, move on to the fault test 102 . On the contrary, when the result is negative, NO, go back to the “operation of test sequence generation for delay faults” 3 and start over again, thereby generating again the “delay fault test sequences” having a higher fault coverage.
When a fault coverage according to the conventional technology is used, a value of the fault coverage alone cannot guarantee a satisfactorily high quality of the “delay fault test sequences” though the rate is relatively high. In other words, complementary test sequences or review of the test methods become necessary, which, however, may result in an increased number of operating steps in connection with the fault test and further instability in the quality of the fault test.
On the other hand, when the “methods of evaluating the quality of the delay fault test sequences” according to the present invention are used, the calculated fault coverage represents the quality of the “delay fault test sequences” with a good accuracy. This helps to decide more easily whether or not the operation of the fault test should be commenced. Thus, the number of operating steps in connection with the fault test can be reduced, and the quality of the fault test can be constantly maintained at a high level.
As thus far described, according to the present invention, the different levels of importance in the delay faults can be reflected on the quality evaluation for the “delay fault test sequences” by taking into account the “design delay values” on the delay fault defined signal paths. As a result, the quality evaluation for the “delay fault test sequences” can be more accurate. Further, the delay faults having a higher likelihood of actual failure can have a larger impact on the fault coverage. More specifically, the detection of such delay faults can contribute to an improvement of the fault coverage, while the failure to detect such delay faults can contribute to a decline of the fault coverage.
While there has been described what is at present considered to be preferred embodiments of this invention, it will be understood that various modifications may be made therein, and it is intended to cover in the appended claims all such modifications as fall within the true spirit and scope of this invention. | In evaluating of the quality of test sequences for delay faults, when all the delay faults are equally regarded, the process of detecting the delay faults deserving to be detected and those not so deserving to be detected cannot be reflected on the quality evaluation for the test sequences. To solve the problem, a “design delay value” on a signal path, on which a corresponding delay fault is defined, is weighted. This invention thus provides “methods of evaluating the quality of test sequences for delay faults” capable of evaluating the quality of the “delay fault test sequences” with more accuracy. | 97,941 |
CROSS REFERENCE TO RELATED APPLICATIONS
This application claims the benefit of U.S. provisional application Ser. No. 61/019,969 entitled: Versioning System for Distance Learning Course Material filed Jan. 9, 2008 and hereby incorporated by reference.
BACKGROUND OF THE INVENTION
Distance learning may employ a communication system such as the Internet to deliver educational instruction to individuals at different locations and at convenient times. The student may have a computer communicating with a “learning management system” which is a program managing not only the delivery of course content but also pacing the students and monitoring the students' progress through tests and the like.
The use of computers to deliver and present course materials allows the creation of an “electronic textbook” providing features beyond those available with standard printed texts. For example, an electronic textbook may permit hyperlinking among topics or footnotes, the use of animated images and other interactive learning aids. The electronic textbook may include questions providing interactive quizzes and worksheets.
While electronic textbooks are potentially powerful learning tools, they have some disadvantages. First, the development of an electronic textbook can require considerably more effort than the preparation of a standard textbook with its associated illustrations. An electronic textbook requires the preparation of the underlying “logic” for the interactive learning aids, the delivery of quizzes, and the like. Further, the elements of the electronic textbook, for example animations, sound clips, and high-resolution images, all take additional effort to prepare. The complexity of preparing the electronic textbook can also make it difficult to modify the textbook for updating, special uses, and correction.
The second problem is that, generally, an electronic textbook is authored for a particular display platform that provides the necessary resources for features of the electronic textbook. For example, electronic textbooks having high-resolution images or animated interactive teaching aids are prepared for a personal computer having the necessary processor speed and display resolution. This can limit the use of the electronic textbook on other display platforms including newer display platforms, such as portable devices, cell phones, and the like, without costly modifications. The rapid change of technology and the rapidly changing preferences of students make this an acute problem.
Most textbooks are authored to embrace the requirements of a wide variety of curricula and are published in different versions, for example including or omitting different chapters, depending, for example, on specifications by particular school districts or educational facilities. With printed textbooks, this process of creating textbook versions is relatively simple because the formatting of the textbook (for example page size, printing technique) doesn't change and the new textbook largely requires updated pagination. With electronic textbooks, published for wide variety of different textbook readers, the versioning process can quickly become unwieldy.
SUMMARY OF THE INVENTION
The present invention provides an improved system for the development of electronic textbook versions in which the content is abstracted at a very high degree from its order and formatting. This highly abstracted content as authored (a content file), may then be simply versioned by the creation of one or more course version files. The versioning simply performs a mapping of the authored content to a textbook version. In this way, updates to the content file may be propagated to the versions by the same course version file. The components of the content file are tagged with content identification tags that greatly simplify the versioning process by allowing relevant materials to be identified and collected based on content rather than formatting or order.
Specifically, in one embodiment, the present invention provides a system including multiple spatially independent electronic textbook viewers and an electronic computer system communicating with the textbook viewers to provide versioned electronic textbooks. The computer system includes at least one processor and data storage component, the latter holding a content file, multiple course version files, and a publishing program. The content file includes a set of course elements arranged in an author order and being components of an electronic textbook including at least text and images. Each course element has a content identification tag describing its content independent of its display properties. The course version files identify subsets of the course elements in a course version order different from the author order. The publishing engine program executes to create multiple electronic textbook versions for different users by selecting and ordering the content file based on the course version files and to serve the multiple electronic textbook versions to different electronic textbook viewers.
It is thus a feature of at least one embodiment of the invention to provide an improved system for versioning electronic textbooks by providing atomistic course elements identified by content identification tags. By providing a content-oriented source document, versions may be quickly assembled based on content concerns independent of formatting decisions.
The course version files may provide a mapping from the content file without substantial reproduction of the content file so that the course version files may be applied to subsequent updates of the content file to provide updated electronic textbook versions.
It is thus another object of at least one embodiment of the invention to provide a course version file that can be applied to a changing source document to allow multiple versions to automatically track minor changes and updates in the source document.
The data storage component may further hold multiple device files describing formatting characteristics for different electronic textbook viewers and the processor may execute the publishing engine program to create the multiple electronic textbook versions by applying the formatting of at least one device file to the course elements selected by the course version file.
It is thus a feature of at least one embodiment of the invention to separate the versioning process from the formatting process thereby simplifying the versioning process. It is another object of at least one embodiment of the invention to permit the generation of device files that can be re-used with multiple different content files, thereby saving effort in publishing many different electronic texts to a given device. It is yet another object of at least one embodiment of the invention to allow versions for new devices to be generated simply by creating a new device file.
The formatting of the device files may be linked to the content identification tags of the course elements.
It is thus a feature of at least one embodiment of the invention to provide for a formatting system that can be essentially automatic, deriving the necessary information from content information in the originally authored, substantially format-free, content file.
The content identification may include margin tags indicating marginalia, title tags indicating titles summarizing other course elements, question tags indicating questions related to other course elements, and quiz tags related to quiz questions about other course elements.
It is thus a feature of at least one embodiment of the invention to develop a set of content identification tags uniquely suited to electronic textbooks.
The content identification includes logical section tags collecting other course elements in logical sections of thematically related material.
It is thus a feature of at least one embodiment of the invention to permit nonprinting content that captures logical relationships between textbook components.
The device files may provide for a hierarchy of formatting instructions including: (a) course element level formatting instructions associated with content identification tags associated with displayed course elements, (b) page-level formatting instructions associated with displayed course elements within a page defined by the electronic textbook viewer, and (c) section-level formatting instructions related to section level content identification tags. The priority of application of conflicting formatting instruction is from course element level to section level, with course element level formatting instructions overriding section level formatting instructions.
It is thus a feature of at least one embodiment of the invention to blend formatting based on content with formatting based on formatting (for example pagination) with minimal need for user intervention.
The content file may further include viewer requirement tags identifying course elements requiring specialized viewer capabilities for display and the processor may execute the publishing engine program to discourage content elements incompatible with the electronic textbook viewer.
It is thus a feature of at least one embodiment of the invention to provide an automatic basis to accommodate limitations in certain electronic textbook viewers.
In the context of the versioning system described above, the present invention may provide a versioning program working with a content file including a set of course elements being components of an electronic textbook including at least text and images, each course element having a content identification tag and arranged in an author order. The versioning program may generate a course version file by sequentially selecting course elements from the content file to be arranged in a course version order different from the author order and comprising less than all the context elements of the content file. The course version file may provide a mapping from the content file without substantial reproduction of the content file so that the course version file may be applied to subsequent updates of the content file to provide updated electronic textbook versions. The course version file is such that it may be used to compile an electronic textbook by selecting and ordering the content file based on the course version file to produce a electronic textbook version for use by students.
It is thus a feature of at least one embodiment of the invention to provide a tool for versioning electronic textbooks, the tool working within the context of the inventive content file with its content identification tags.
The versioning program may identify course elements by searching for content identification tags.
It is thus a feature of at least one embodiment of the invention to provide a powerful technique for identifying course components based on author-identified and linked content.
The versioning program may select a logical section tag to automatically select all course elements within the logically related section and/or may select individual course elements within logically related sections.
It is thus a feature of at least one embodiment of the invention to permit the author's logical organization to be adopted, speeding the generation of a versioned program, while still permitting complete control of the new version to the level of an individual course element.
The versioning program may allow the addition of new logical section tags not found in the content file to collect logically related identified course elements.
It is thus a feature of at least one embodiment of the invention to permit a wholly new organization of the course elements under new sections while still capturing the benefit of section formatting.
The logic section tags may be associated with a course length value indicating the teaching length of the course elements within the logically related section, and the step of generating the course version file may provide a running total of course length based on selected sections.
It is thus a feature of at least one embodiment of the invention to provide an efficient method of generating a textbook version targeted for a particular number of credit hours.
The content identification tags may include lesson object tags indicating an educational object of content elements and text tags, and wherein multiple text tags may be logically linked to lesson object tags.
It is thus a feature of at least one embodiment of the invention to provide thematic linking among course elements to assist in the generation of a versioned textbook covering certain topics.
The lesson object tags may be nested in a hierarchy, and text tags linked to a given lesson object tag may also be linked to the lesson object tags above the given lesson object tag in the hierarchy.
It is thus a feature of at least one embodiment of the invention to accommodate overlapping and inter-related thematic concepts.
The content identification tags may further include: title tags indicating a title associated with other course elements, question tags indicating questions related to other course elements, reference tags identifying cited references related to other course elements, and quiz tags indicating quiz content about other course elements.
It is thus a feature of at least one embodiment of the invention to isolate a limited but fundamental set of textbook content types.
The content identification tags may include term tags identifying new vocabulary words, and wherein the step of compiling the electronic textbook collects course elements associated with term tags into a glossary.
It is thus another feature of at least one embodiment of the invention to provide for automatic generation of glossary or definition sections.
These particular objects and advantages may apply to only some embodiments falling within the claims and thus do not define the scope of the invention.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a block diagram showing the processing of an authored content file having course elements in author-order to produce multiple versions of electronic textbooks for different display devices;
FIG. 2 is a detailed version of a portion of the block diagram of FIG. 1 showing the mapping of course elements in an author-order to different pre-publication versions according to multiple course version files;
FIG. 3 is a detailed view of a device file and formatting engine of FIG. 1 showing the formatting of a pre-publication version of the electronic textbook to provide published versions viewable on different text readers;
FIG. 4 is a figure showing an example architecture of a server for use with the present invention having a process there communicating with memory components holding programs and files as will be described;
FIG. 5 is a flow chart of a program executable by the server system of FIG. 4 for generating the course version files;
FIG. 6 is a representation of a screen display produced by the program of FIG. 5 during the versioning process of the program of FIG. 5 ; and
FIG. 7 is a flow chart of a program executed by the server in FIG. 4 generating different published electronic textbook versions.
DETAILED DESCRIPTION OF THE INVENTION
System Overview
Referring to FIG. 1 , an electronic textbook versioning system 10 , per the present invention, may provide one or more servers 12 for creating “published” electronic textbooks 23 provided to students via electronic textbook viewers 14 . The electronic textbook viewers 14 may represent a variety of different technologies including, for example, a tablet 14 a , a standard desktop or laptop computer 14 b , and/or a portable device such as a cell phone or personal digital assistant 14 c . It is expected that additional equivalent devices will be developed in the future.
The server 12 may hold a content file 16 made up of multiple course elements 24 being, for example, blocks of untyped text, images, or media files. Ideally, the course elements are at a granularity of a single paragraph or single image or the like. Generally, the course elements 24 in the content file 16 are in an author-order and collected within author generated logical groupings (sections). Within this order and section grouping, however, the course elements 24 exist independently and are independently tagged by “content identification tags” 25 as will be described below. Generally, the content identification tags 25 classify the content of the course element 24 as distinct from its format and provide a unique identification of the particular course element, for example, with a serial number or human readable character string. As tagged, the course elements 24 of the content file 16 present, in essence, a fine-grain database of course elements 24 at a resolution of a single paragraph or single image. This level of resolution permits manipulation by a non-author with little risk of distortion of the content.
The abstracted content file 16 may be processed by a versioning program 32 , to be described in more detail below, executed on the server 12 . In this regard, the versioning program 32 uses one or more version files 18 , each of which map course elements 24 of the content file 16 , identified by the content identification tags 25 , to corresponding elements in pre-publication versions 20 of the textbook. A typical pre-publication version 20 will have a subset of course elements 24 from the content file 16 in a different order than the author-order of the content file 16 and possibly with a different logical grouping.
Each of the pre-publication versions 20 may be further modified by the versioning program 32 according to a device file 22 that formats the pre-publication versions 20 according to the content identification tags to create published electronic textbooks 23 , each appropriate for a different electronic textbook viewer 14 .
Referring to FIG. 2 , the abstracted content file 16 may include logical groupings, for example, sections 28 containing either additional sections (recursively) or course elements 24 with both the sections 28 and the course elements 24 in an author-order 26 . As used herein, the sections 28 are also considered course elements 24 .
Sections 28 , for example, may collect course elements 24 comprised of paragraphs, images, goals, quizzes, questions and more as will be described below, each of which is associated with a different classification of content for the content identification tags 25 . As noted, the content identification tags 25 describe qualities of the content largely independent of its display properties. For example, one type of course element 24 is a title that indicates an embracing concept for the succeeding text but that does not require or denote a particular display format. Title is one type of content identification tag 25 .
The version files 18 used to produce the pre-publication versions 20 may be simply a list of identified course elements 24 (using the identification portion of the content identification tags 25 ) in a version order. As such, the version files 18 do not duplicate the course elements 24 but are simply pointers to those course elements within the content file 16 . In this way, should the content file 16 be updated or revised, new pre-publication versions 20 may be created without necessary modification of the version files 18 .
As noted, generally the version files 18 map particular course elements 24 to elements of the pre-publication versions 20 in a version-order 26 ′ that differs from the author-order 26 of the content file 16 and which may have sections 28 providing different logical groupings. In this way, the pre-publication versions 20 may cover or emphasize different educational topics or provide a different educational focus. The particular version files 18 , and thus the pre-publication versions 20 , may be assembled by an educational specialist who creates the version files 18 without need for substantial input from the author and without any modification of the content file 16 . Note that the course version files 18 may operate to select the entire sections 28 of the content file 16 identified by section tags in the content file 16 thereby selecting all of the individual course elements 24 within a section 28 . Or, the version file 18 may operate to select individual course elements 24 from within sections 28 . When an entire section 28 is selected, individual course elements 31 within the section 28 may be deleted. Thus, the process of assembling the pre-publication versions 20 can make use of the author organizational structure but may also freely modify that structure. In addition, the version file 18 may introduce new sections to impose a new order to the content elements 24 . This will be described in more detail below.
The pre-publication versions 20 retain the content identification tags 25 of the selected content elements 24 as will be used in the formatting process. Referring now to FIG. 3 , the pre-publication versions 20 may be further operated on buying the versioning program 32 using the device files 22 to produce the published electronic textbooks 23 suitable for downloading to different electronic textbook viewers 14 a - d to be compatible with their different hardware and different displays 27 . The device files 22 link content identification tags 25 to formatting instructions 36 . During the formatting process, the course elements 24 are divided into pages according to information about the device associated with the formatting templates 30 . Each of these pages is also associated with formatting instructions.
In this process, the program 32 reads the content identification tags 25 and applies the formatting instructions from the associated device file 22 to the associated course element 24 . In the event of conflict between the formatting instructions of a particular course element 24 , its section and page, priority is given to the formatting instructions for the course elements 24 then to the formatting instructions for the section and finally to the formatting instructions for the page. Thus, for example, if a formatting instruction for a particular course element 24 of a title is boldface, this takes precedent over a non-boldface formatting instruction of the section or the page. This priority may be altered by explicit declaration.
Formatting instructions may include, for example, selection of font type and size, centering, columns, tabulations, margins, display width and height, display resolution and the like. To some extent, the device files 22 for different textbook viewers 14 a - d will be similar but ultimately each device file 22 will produce a different published electronic textbook 23 from a single content file 16 .
System Hardware Overview
Referring now to FIG. 4 , the server(s) 12 maybe constructed according to well-known principles and may include one or more processors 40 communicating with memory components 42 , for example, removable media 44 , fixed media 46 such as disk drives, and solid-state memory 48 . The processors 40 may communicate with a network interface 50 to the Internet 52 or the like and thus with the remote electronic textbook viewers 14 . Other communications systems can also be employed.
The memory components 42 may hold an operating system 60 including, for example, a server stack, as well as the publishing engine 62 of the present invention including a version editor 33 and a versioning program 32 , and further holding a learning management program of conventional design as well as the data of the content files 16 , version files 18 , device files 22 and published electronic textbooks 23 for serving to the electronic textbook viewers 14 .
A programming terminal 59 may communicate with the server to provide for control of the versioning and publishing process as will be described.
The remote viewing electronic textbook viewers 14 may include a display 27 , a keyboard or other entry device 54 , an electronic processor 56 , and memory 58 for holding the published electronic textbooks 23 or a portion thereof.
Generation of Version Files
Referring now to FIGS. 5 and 6 , an important step of the versioning process is the production of the version files 18 using the version editor 33 . Version editor may be executed on the server 12 or a similar electronic computer.
As indicated by process block 66 , a first step in creating a version file 18 may allow the user to select one of two editing modes: a build mode for collecting course elements 24 or an edit mode for editing the collective course elements 24 . As noted above, this process does not in fact collect or add actual course elements 24 but simply captures their collection and organization in the index of a version file 18 .
In the build mode, as indicated by process block 68 , the operator may be presented with a display 70 (shown in FIG. 6 ) having a first columnar window 71 presenting a hierarchical display of content identification tags 25 of the content file 16 in author order. Individual content identification tags 25 may be expanded to show their associated content or, preferably, can be selected, for example by highlighting with a mouse, for display in a display pane 72 .
While course elements 24 may be selected by scrolling through the hierarchical display of the first window 71 , course elements 24 may also be identified in the build mode by using standard search tools implemented in a search window 74 , allowing the operator to search for particular types of content identification tags 25 or particular content identification tags 25 . This can be particularly powerful for “object tags” described below which allow other content elements to be linked to common thematic concepts. Alternatively or in addition, the text of particular course elements 24 may be the subject of the search.
Once course elements 24 are obtained, as indicated by process block 76 , for example as the results of the search, particular course elements 24 may be identified (for example by highlighting) to be included in the course version file 18 . The highlighted course elements 24 are then displayed in unformatted version in the display pane 72 .
Per process block 77 , highlighted course elements 24 may then be moved to the course version file 18 to be displayed in columnar window 78 generally matching window 71 showing hierarchically the construction of the course elements 24 in the version file 18 . The course version file 18 , as noted before, is simply a list of course elements 24 . Because of the sequential selection process, it will be understood that course elements 24 in window 78 (and thus in the version file 18 ) may be in an arbitrary order with respect to the author order of the course elements in window 71 .
The operator may identify, at the beginning of the development of the version file 18 , a target electronic textbook viewer 14 that will be used for this particular version of the electronic textbook. This identification can be used to flag those course elements 24 ′ that cannot be displayed on that particular electronic textbook viewer 14 . For example, for compatibility reasons, a course element 24 involving a video file may be highlighted as incompatible. This highlighting may be, for example, by a shading of the course element in pane 72 and appropriate caption 73 .
When the operator selects an entire section (delineated by section tags to be described) from the window 71 , a course length variable, for example, in units of fractions of hours of teaching time, associated with that section by the author, maybe be read and collected with the course length variables of previously selected sections to provide course length statistics in a display 75 providing the operator with an indication of the total course length of the material selected so far as well as the time associated with the currently highlighted section.
Other useful information may also be presented to the operator, including an indication as to whether duplicate and hence conflicting sections have been previously selected.
Referring still to FIG. 5 , in an alternative edit mode, identified course elements 24 in window 78 , per process block 80 , may be edited using standard editing commands such as cut, paste, delete, and re-order (drag-and-drop) to permit further adjustments of the course elements that will be concurrently displayed in the display pane 72 . In this process indicated by process block 82 , the operator may add new section tags and collect course elements 24 in hierarchically nested section tags to provide an organizational format for the course elements 24 possibly unanticipated by the author.
As indicated by process block 84 , when this process is done, a version file 18 is created as indicated by process block 86 . As noted, the version file is simply a mapping set of pointers (possibly including new section tags) and thus is relatively compact and can be used even when changes have been made in the content file 16 or per sample to update or correct it.
Publication Process
Referring now to FIG. 7 , the entire versioning process making use of this version file 18 begins as indicated by process block 90 with the generation of the content files 16 . This authorship process generally involves a collection of the necessary prose, images, and the like (for example using a standard editing program) which comprise the course elements 24 . An important part of the authoring process is tagging the course elements 24 with content identifier tags 25 . The content identifier tags 25 are text elements offset in“< >” symbols, for example in the manner XML files. The present invention contemplates the following content identifier tags 25 .
Listing of Content Identification Tags
1. <assignment>
Description:
The <assignment> item type is used to define assignments that are used in the course. The use of <assignment> items allows for multiple assignments to be defined and styled.
Attributes:
id (string): Allows goals to be identified for later.
refid (string): Allows for assignments to be linked to references.
title (string): Provides a friendly title for the assignment.
value (integer): Specifies the number of points available for this assignment.
Example:
<assignment id=“assign1” title=“Birdwatching” value=“10” submissionsallowed=“2”> <assignmentdirections> <text>You have two days to complete this assignment.</text> <text>Choose two of the questions below to answer.</text> <text>The question responses must be typed 2-3 pages in length.</text> </assignmentdirections> <question> <image Alt=“flawed data graph”>bad-data.jpg</image> <text>Identify two 3 data points in this graph that are out of the realm of possibility. Provide possible reasons for their problem, and indicate how they flaws can be discounted or corrected.</text> </question> <question> <text>Provide a detailed analysis of the bird watching fieldtrip, and indicate the points that had significant impact on your appreciation of different bird types, as well as the surrounding environment.</text> </question> <question> <media id=“mp3q1” mimeType=“audio/mpeg”>birdchirp.mp3</media> <text>Listen to the audio, and identify the type of bird that is in the audio. Listen for different background noicses that could be considered environmental contamination, and explain the effect on the bird from it.</text> </question> <question> <text>Using your field notes, and available topigraphical maps from different periods, extrapolate the growth or reduction of the natural habitat that was observed during the birdwatching fieldtrip, and identify a least 3 impacts on the bird population from the changes.</text> </question> </assignment>
Note:
This assignment has the student submit two of the four possible questions to submit. The directions provide the timeframe to turn it in in. Some of the questions include media elements of audio/images, while other questions are simple text.
2. <goal>
Description:
The <goal> item type is used to identify a list of goals for content. Goals are meant to work along with the objectives, but can be displayed differently.
Attributes:
id (string): Allows goals to be identified for later.
refid (string): Allows for goals to be linked to references.
Example:
<goal id=“goal1”>Build a working model rocket.</goal>
3. <image>
Description:
The <image> tag is used to define an image that is displayed.
Attributes:
alt (string): Provides alternative descriptions of images for accessibility reasons.
id (string): Allows for the image element to be identified.
refid (string): Allows content items to be referenced back to the original sources. If multiple sources should be referenced, enter each ID separated by a single space.
copyrightcode (string): Allows for the copyright status of the referenced material to be listed.
width (integer): Defines how wide the image is.
height (integer): Defines how tall the image is.
Example:
<image id=“page2_mountain”>Content/mountain.jpg</image>
Please Note: This image is in the “Content” folder.
4. <maple>
Description:
The <maple> tag is the document root tag. All of the other item types must be placed within the <maple> tags.
Example:
<?xml version=“1.0” encoding=“UTF-8”?> <maple xmlns:xsi=“http://www.w3.org/2001/XMLSchema-instance” xsi:noNamespaceSchemaLocation=“../Documentation/maple.xsd”> <section id=“lesson1” enabletracking=“true”> <objective id=“programob1”>This is program Objective 1</objective> <text id=“page1_Title”>Lorem Ipsum</text> </maple>
5. <margin>
Description:
The <margintext> item type is used to define how content that is useful to the course, but doesn't need to be displayed directly should be shown.
Attributes:
id (string): Allows margin text to be identified of later use.
refid (string): Allows for margin text to be linked to references.
Example:
<margin id=“marginText1”> This is information that should appear in the margin.</margin>
6. <media>
Description:
The <media> tag is used to define different types of media content that one may want to display in a course. Media can be of many different types including audio, video, or even interactive elements. Media types are specified by their corresponding mimeType. Following are some different mimeTypes
Flash movie=application/x-shockwave-flash Mp3 audio=audio/mpeg Flv video=video/x-flv
Attributes:
id (string): Allows the Media element to be identified later. refid (string): Allows media items to be referenced back to the origina sources. If multiple sources should be referenced, enter each ID separated by a single space. mimeType (string): Indicates what type of media it is through mimetype.
Example:
<media id=“page3_Media1” mimeType=“application/x-shockwave- flash”> Content/internetServices.swf</media>
Note:
This example is a flash movie as indicated by the mimeType and it is located in the “Content” folder. Not all media will be playable in all display types. Care should be take to make appropriate matches of content to display.
7. <objective>
Description:
The <objective> element is used list and define the objectives for the lesson. Objectives can then be referenced by other content items, to show which pieces of content help support which objectives.
Attributes:
id (string): An identifier to allow the objective to be specifically referenced.
refid (string): Allows objectives at this level to be reference objectives at a higher level.
This allows for a “hierarchy” of objectives to be built. By building the hierachy the broad objectives from a course level can be further refined as to how they are implemented and supported at smaller lesson levels.
Example:
<objective id=“objective1”>Given expressions involving more that one mathematical operation, the student will simply them using the correct order of operations.</objective>
8. <quote>
Description:
The <quote> element is used to define a section of quoted text. The <quote> element differs from <text> in that is has a specific attribute for the attribution of the quote.
Attributes:
id (string): Allows quotes to be identified for later.
refid (string): Allows for quotes to be linked to references.
attribution (string): Who is attributed with the quote.
Example:
<quote id=“twainquote” attribution=“Mark Twain”>Get your facts first, then you can distort them as you please. </quote>
9. <quiz>
Description:
The <quiz> section defines a quiz. Quizzes have a number of different parameters, that control how the quiz is delivered to students, as well as any restrictions on duration or similar controls. Note: these definitions may require additional options, or may be over-ruled by the display engine, especially if used inside of an LMS. Quizzes contain the additional sub-element types of <question> and <questiongroup>.
Attributes:
id (string): Allows for the image element to be identified.
questionretryamount (integer): Specifies how many times a question can be attempted before being disabled.
feedbackdisplaymode (string)[none, cumulative, lastpicked]: Controls how the feedback will be displayed.
feedbackdisplaytrigger (string)[never, onanswer, onsubmit]: Controls when the feedback will be displayed.
timelimit (integer): How much time is give to complete the quiz. A value of 0 (default) indicates no time limit.
minimumpassingscore (integer): How many points are required to pass the quiz.
recordscorefield (string): What field should record the quiz score? Omit or leave empty to indicate the quiz is not recorded.
Example:
<quiz id=“quiz1” questionretryamount=“2” feedbackdisplaymode=“cumulative” feedbackdisplaytrigger=“onsubmit” minimumpassingscore=“1” <question refid=“AssessQ1” value=“1”/> </quiz>
10. <question>
Description:
The <question> tag is used to identify a question in a quiz from the <questiondefinitions> group. Questions are not created in this area, they are only linked to. This makes the reuse of questions much easier, as questions can be linked into multiple places, without having to re-write the question. For example, the same question could be shown at the beginning of a lesson in a pretest fashion, and then shown again at the end of the lesson to show knowledge gained.
Example:
<question refid=“AssessQ1” value=“1”/>
11. <questiongroup>
Description:
The <questiongroup> tag is used to create a question pool inside of the quiz. question groups will contain multiple <question> elements. The quiz will then randomly choose some of the questions (the amount is one of the questiongroup attributes) to be displayed in a random manner. This can help to improve academic integrity, or to create variety in a self test area.
Attributes:
numbertouse (integer): Allows for a pool of questions to be used, of which only a specified number of question are selected.
value (integer): Indicates how much each question is worth that is used.
Example:
<questiongroup numbertouse=“2” value=“2”> <question refid=“AssessQ1”/> <question refid=“AssessQ2”/> <question refid=“AssessQ3”/> <question refid=“AssessQ4”/> </questiongroup>
12. <questiondefinitions>
Description:
The <questiondefinitions> item type is a container to hold all of the questions that are defined in the course. The questions that are defined in this area are then referenced from the quiz element. Questions that are defined in the <questiondefinitions> container may include feedback elements, but they do not include point values, as points are assigned at the quiz/question level. The different question types are listed below.
<mc> Multiple Choice: <sa> Short Answer: <fb> Fill in the Blank: <ma> Matching:
13. <reference>
Description:
The <reference> item type is used to act as a container for reference information for the content that is used in a course. <reference> material is linked to other item types by using the referenceid attribute on the item, and making sure the value is the same as the id attribute of the reference node.
Attributes:
id (string): Reference identifier so that content can be linked back to the appropriate reference.
copyrightcode (string): Allows for the copyright status of the referenced material to be listed.
14. <section>
Description:
The <section> item type is used to create groupings of content. All of the other maple element types exist inside of the <section> node. These node types are only used for the grouping of content, allowing for content developers to create logical breaks and containers as the seem necessary. These are the only maple defined node types that can be put inside of other sections allowing for complex structures to be built.
Attributes:
id (string): Id tag to allow the sequence to be referenced.
length (integer): Allows for optional information to be included on the expected time to complete this section of material. Format is of time in minutes.
title (string): Allows for sections to be “titled.” The display of the title is controlled by the display engine, and may be affected by the section's place in any existing hierarchy.
Example:
<section id=“lesson1” > <text id=“page1_Title”>Lorem Ipsum</text> <text id=“page1_Txt1”>Lorem Ipsum is text of the printing and typesetting industry. Lorem Ipsum has been the industry's standard dummy text ever since the 1500s, when an unknown printer took a galley of type and scrambled it to make a type specimen book. It has survived not only five centuries, but also the leap into electronic typesetting, remaining essentially unchanged.It has survived not only five centuries, but also the leap into electronic typesetting, remaining essentially unchanged.</text> </section>
15. <term>
Description:
The <term> element is used to define a term in the course. Elements that are defined in a <term> tag are able to be automatically added to the glossary tool.
Attributes:
id (string): Id tag to allow the terme to be referenced.
refid (string): Allows terms to be referenced back to the original sources. If multiple sources should be referenced, enter each ID separated by a single space.
term (string): The specific term being identified.
Example:
<term id=“pizza” term=“pizza”>A round food that is made by throwing dough in the air, and then covering it with various toppings.</term>
16. <text>
Description:
The <text> item type places is a container for text content. The <text> element will allow text of any size to be included in it. However care must be taken to make the <text> elements of a manageable size. If a large section of content is placed inside it, then the ability to render out the content on smaller pages is reduced. If the <text> fields are too small, then many elements must be combined to make a useful page of content.
Attributes:
id (string): Allows for the text element to be identified.
refid (string): Allows content items to be referenced back to the original sources. If multiple sources should be referenced, enter each ID separated by a single space.
objectiveid (string):
Example:
<text id=“page1_Txt1”>Lorem Ipsum is <b>simply dummy</b> text of the printing and typesetting industry. Lorem Ipsum has been the industry's standard dummy text ever since the 1500s, when an unknown printer took a galley of type and scrambled it to make a type specimen book. It has survived not only five centuries, but also the leap into electronic typesetting, remaining essentially unchanged. It was popularised in the 1960s with the release of Letraset sheets containing Lorem Ipsum passages, and more recently with desktop publishing software like Aldus PageMaker including versions of Lorem Ipsum. Lorem Ipsum is simply dummy text of the printing and typesetting industry. Lorem Ipsum has been the industry's standard dummy text ever since the 1500s, when an unknown printer took a galley of type and scrambled it to make a type specimen book. remaining essentially unchanged.</text>
17. <weblink>
Description:
The <weblink> item type is used to create links to content that is not included in the course material.
Attributes:
href (string): Web Address for the link. id (string): Allows for the weblink element to be identified. refid (string): Allows weblinks to be referenced back to the original sources. If multiple sources should be referenced, enter each ID separated by a single space.
Example:
<weblink href=“http://www.apple.com” id=“weblink1”>Click here to go to the Apple Website.</weblink>
Example of a Simple Maple Document
<?xml version=“1.0” encoding=“UTF-8”?> <maple xmlns:xsi=“http://www.w3.org/2001/XMLSchema-instance” xsi:noNamespaceSchemaLocation=“../Documentation/maple.xsd”> <section id=“welcomecontent”> <text id=“textelement1”>Welcome to the course.</text> <image id=“image1”>content/welcomeimage.jpg</image> </section> <section id=“lessongroup1”> <objective id=“obj1”>place objective here</objective> <objective id=“obj2”>place objective here</objective> <section id=“lesson1task1”> <text id=“textelement2”>This is where the content goes for task 1</text> </section> <section id=“lesson1task2”> <text id=“textelement3”>This is where the content goes for task 2</text> </section> </section> </maple>
The following provides a sample content file 16 using many of the above content identifier tags 25 :
Example Content File
<maple>
<section id=”solar system”>
<objective id=”system1”> Basic Proficiency with Introductory Physical Science
Topics</objective>
<objective id=”system1a”> Understanding of Basic Astronomical Vocabulary </objective>
<objective id=”system2”> An Appreciation Of Historical And Cultural Influences In
Science</objective>
<section id= ″discovery″ length=0.5 > Discovery and Exploration </section>
<text id=”discovery1title”>Early Explorers”</text>
<text id=”discovery1” refid=”Watson[2005]” objectiveid=”basic_concepts”> Early
man did not recognize the existence of the solar system or the place of the Earth
with in it. The Earth was understood to be stationary, at the center of the universe,
and categorically different from the heavens and objects that moved through the
skies. <weblink href=”www.copernicus.edu” id=”copernicus”>Nicolas Copernicus
</weblink> was the first to develop a mathematically predictive model with the
earth rotating around the sun with other planets, however earlier Greek and Indian
scholars had speculated on a <term> heliocentric </term> solar system
</text>
<image id=”solar system perspective” copyrightcode=Prentice[52]” width=600
height=300 >Content/solar.jpg</image>
<media id=″page3_Media1″ mimeType=″application/x-shockwave-flash″>
<section id= ″structure″ length=0.25 > Structure </section>
<section id= ″inner solar system″ length=0.25 > The Inner Solar System </section>
<section id= ″outer solar system″ length=0.25 > The Outer Solar System </section>
<section id= ″trans-Neptune″ length=0.25 > The Trans-Neptunian Region </section>
<assignment id= ″assignment″ > On Your Own </section>
<quiz id= ″quiz″> Test Your Knowledge </section>
</section>
In this example, only one section has been expanded for clarity, however, it can be seen how sections may be nested and content elements identified to particular objectives to assist in the versioning process. Generally, section tags may be used to link objectives to content elements contained within the same section tags as well as by explicit declaration, a feature that can be used effectively in searching for content in creating a version file 18 .
Referring again to FIG. 7 , at process block 92 , the course version files 18 may be created as described above with respect to FIGS. 5 and 6 . As discussed, the course version files 18 may create pre-publication versions 20 substantially without formatting.
At this time, multiple device files 18 may also be generated as indicated by process blocks 94 . Pre-publication versions 20 produced by the course version files 18 may then be formatted using the device files 18 as indicated by process block 96 . Published galleys may be reviewed per process block 98 , and at process block 100 published electronic textbooks 23 to be served to the end electronic textbook viewers 14 created.
It should be understood that the invention is not limited in its application to the details of construction and arrangements of the components set forth herein. The invention is capable of other embodiments and of being practiced or carried out in various ways. Variations and modifications of the foregoing are within the scope of the present invention. It also being understood that the invention disclosed and defined herein extends to all alternative combinations of two or more of the individual features mentioned or evident from the text and/or drawings. All of these different combinations constitute various alternative aspects of the present invention. The embodiments described herein explain the best modes known for practicing the invention and will enable others skilled in the art to utilize the invention. | A versioning system for electronic textbooks provided to a variety of textbook readers uses a highly abstracted content file tagged with content identifiers allowing this content file to be readily re-edited into multiple versions compatible with different curricula and suitable for a range of different reader types. | 55,974 |
BACKGROUND OF THE INVENTION
[0001] 1. Field of the Invention
[0002] The present invention relates generally to the field of systems and methods for purchase of goods, services or both, by use of pre-paid techniques that are electronic or other. More particularly, the present invention relates to a system and method by which a universal gift or pre-paid card with incentives, facilitates quick and easy transactions for users in commerce. The incentives include flexible use with many vendors, transferability to parties designated by recipient, designation of preferences including charitable donations by vendors or recipients, no unreasonable expiration dates etc. For purposes of this application, this card is referred to as a universal gift card, however, by no means is the use of this universal card simply for giving of gifts. The value of the universal gift card that is available for a transaction is pre-established or pre-paid by the user.
[0003] 2. Background of the Invention
[0004] Various methods of pre-established and pre-paid payment systems and schemes exist today, including gift cards, prepaid telephone cards, or the like. More and more, people purchase gift cards instead of purchasing gifts, rewards, or prizes or instead of giving hard currency. Such prepaid and gift cards take various forms. By way of one example, a pre-paid value purchased by a user or consumer is carried on some device. By way of another example, a consumer carries a card with some identification of an account or record, which has a value associated with it.
[0005] These existing systems and methods offer limited advantages and therefore, so far, have limited use in commerce. For example, most commonly, gift cards allow funds to be used only at a single vendor, or at best, vendors within the same business group or location, such as a shopping mall. Typically, gift cards or gift certificates can only be redeemed with the associated vendor that supplied the card. Another example of a gift card that exists today is the Visa or Master Card gift card, which functions similar to a credit card. It has a stored value associated with a customer's Visa or Master card account. Such Visa and Master cards may be used at locations that accept a Visa or Master card. A significant drawback with these cards is that they have the same high transaction fees associated with normal credit card use. Furthermore, these Visa and Master card gift cards do not provide any incentives or advantage to encourage their use.
[0006] A common implementation of stored value devices in commerce are telephone cards that hold the value accorded to the card on the card itself. Such stored value devices are generally treated in the same manner as hard currency. However, unlike hard currency, they can only be used on compatible phones and phones operating within specific networks. Vendors typically employ various incentive programs to encourage use of such telephone cards, by offering either store specific cards, through branded credit cards or debit cards. These incentive programs, in general, carry some point or value accrual mechanism, which is based on purchasing patterns of consumers and accords them some later advantage. Such programs coax consumers to patronize certain vendors or merchants or adopt a particular payment method. Examples of such cards are credit cards associated with airlines. With these, cardholders typically earn frequent flier miles for every dollar or other designated amount of currency that is spent. The amount of miles earned is typically determined by the vendor or the nature of the purchase. Although these cards accord consumers some incentives for use, one drawback of such cards as they exist today is that they are vendor specific. Consumers must carry many different dedicated cards or establish their alliances with particular vendors at the outset, which is cumbersome, inconvenient, and restricting.
[0007] By way of another example, Bank of America offers specific payment systems by its “Keep the Change” program, which takes consumer debit purchases and rounds up the purchases to the nearest dollar and places the difference in a personal savings account. This is designed to provide an incentive for customers to use their debit card instead of a credit card.
[0008] Clearly, credit cards are not examples of pre-paid payment schemes. Rather, they allow customers to charge balances that they are required to pay later. Debit cards also require individual accounts at a bank and though they have a pre-established balance associated with them, they are tied to specific users and are not meant to be given or transferred to others.
[0009] Interestingly, for consumers who are motivated to provide philanthropic donations, there currently exist no methods for pre-established donation schemes. Rather, there are only three methods by which a consumer can purchase products and donate to a charity at the same time. First, some credit card companies have a branding agreement with a particular philanthropy, and donate a percentage of what is spent on a credit card to the particular philanthropy. Second, a particular philanthropy may receive a percentage of the transaction fees of the cards that carry their branding. However, neither of these two methods are pre-paid systems. Nor do they allow for easy giving and transferring of the card to another party. The third method is by which a gift card is simply designated by a particular charity.
[0010] In addition, at present, the world is moving towards greater free trade with an important global economy. At the same time, there is a rapid increase in income disparities throughout the world. To address the first of the above two situations, there is a growing need for a ubiquitous method of payment that can be used around the world with little overhead or additional expense.
[0011] With respect to the second situation, not only are there increased disparities in income, charitable donations are on the decline for many reasons. There is a marked decrease in funding by governments around the world for various philanthropic pursuits. Governments around the world are faced with extreme economic concerns, as a consequence of which charity is simply not a priority. Due to the same economic concerns, large global conglomerates, once dedicated to giving, have also decreased their charitable donations. More and more, organizations and individuals are donating less because they are facing tough economic times. However, at the same time, more and more people and organizations require charity.
[0012] Unfortunately, even those that are dedicated to charitable endeavors have few incentives or systems and methods in place to pursue such endeavors. Companies and charities have little control to push such endeavors.
[0013] For these reasons and many more that are not addressed here, there is great need for a creative system or method in commerce, which facilitates charity with little or no extra cost to the parties transacting business in commerce. A system or method is needed that would efficiently and flexibly conduct business for vendors and consumers alike, yet provide charity where needed. There is great need for a system and method that issues and facilitates use of a universal gift or other pre-paid card that may be used with a plurality of vendors or groups of vendors that are authorized, has few if any restrictions, and offers many incentives to the vendors and the consumers alike.
[0014] It would be desirable to have a system and method that could easily provide incentives for prepaid cards with a pre-established or pre-paid value as are common for credit and debit cards. It would be desirable to provide an efficient, equitable, motivating, and high-yielding method of providing donations to charities to not only increase charity, but also allow ease of conducting charity by automatic donations with customary purchases. This would ensure a reliable and constant source of philanthropic donations.
[0015] It would also be desirable to provide a universal system that could facilitate taking automatic donations of a predetermined percentage from the funds used for purchases and direct those donations to charitable preferences designated by either the consumers, or the vendors, or any other party. It would also be desirable for the charitable donation portion of the funds (and any associated administrative costs) to be simply deducted from the value of a user purchase that is credited to the merchant. Therefore, when a user spends funds on daily purchases or the like, a portion of those funds is simply directed to charity, providing both the merchants and the consumers with benefits and incentives. In such cases, the merchant can receive tax credits for making the charitable donations, when applicable, based on the tax regulations of the particular country where the merchant is based.
SUMMARY OF THE INVENTION
[0016] The present invention relates to a system and method involving use of computer systems and communications systems for purchase of goods, services, or both, in commerce, by pre-funded or pre-paid payment mechanisms using universal payment or gift cards that are electronic or other. The system and method facilitates transactions in commerce and facilitates quick and easy transactions for users in commerce. The incentives include flexible use with many vendors, transferability to parties designated by recipient, designation of preferences including charitable donations by vendors or recipients, no unreasonable expiration dates etc. For the purpose of this application, this universal payment card is referred to as a “universal gift card,” but it should be recognized that such a card may be used in commerce for purposes other than providing a gift to another. It may be used by cardholders themselves to serve as a pre-paid mechanism for payment.
[0017] In one preferred embodiment, the universal gift card is configured with no restrictions to facilitate ease of use and to avoid the complications typically associated with restrictions. Its use is flexible and allows users or consumers to make purchases or transact business with any vendor that is pre-established as one of the authorized vendors. A vendor as referred to in this application includes a merchant, seller, or any other party, entity, or organization representing or marketing one or more of such vendors either directly or indirectly. The universal gift card can be acquired either directly or indirectly from vendors via direct or indirect marketing techniques, including direct or indirect mail, electronically, in catalogs, magazines, or the like, designed to reach consumers. Vendors may distribute their own universal gift cards, or universal gift cards of other vendors, organizations, etc.
[0018] The universal gift card is configured for flexible transactions. For example, in some cases, the universal gift card is configured with no expiration date, provided it is used within a reasonable time limit. Of course, in the event a particular vendor desires some restrictions, the universal gift card facilitates such variations.
[0019] A universal gift card in accordance with the present invention encourages a free economic environment and allows a user to use the card and its associated funds at a time convenient for the user and when the user can derive the most financial benefit from it. In addition, in accordance with the system and method of the present invention, the universal payment or gift card may be obtained from any vendor.
[0020] Also, in accordance with the system and method of the present invention, the universal payment or gift card is easily and fully transferable to any recipient. For example, it can be shared among friends and family members of the recipient or any party that the recipient designates the universal card to.
[0021] In one specific embodiment, the universal gift card includes many features and offers many incentives. One feature and incentive is that with use of the universal gift card, a predetermined amount of the value of the universal gift card is automatically donated to one or more of a pre-defined group of charities. The pre-defined group of charities that receive the donations are preferably pre-established by preferences. The system and method permits either the consumer that purchased the universal gift card, the recipient of the universal gift card, or the merchant that issued the card, to pre-establish the one or more entities that receive the donations. The system and method permits various fractions of the percentage of the value of each universal gift card to be designated and conveyed to different charities. In addition, the system accords various tax advantages based on such charitable donations to either the vendors that issued the universal gift cards or the merchants where the funds are ultimately spent, depending on the arrangements that are established with the system. For example, the charitable donation portions of the funds (and any associated administrative costs) can simply be deducted from the value of a user purchase that is credited to the merchant. Therefore, the merchant with whom a user spends funds associated with the universal gift card, makes the charitable donation. In such case, the merchant receives the tax credit for making that charitable donation. In some embodiments, a tax credit for a charitable donation may be variously divided between the parties involved in a transaction, for example, the merchant, the purchaser, and the ultimate recipient. In some situations, the system accommodates charitable designations by a user, different from the recipient.
[0022] In accordance with another feature of the specific embodiment, the universal gift card offers purchasing incentives whereby a consumer, recipient of the universal card, or provider of the card, defines certain purchase preferences. One preference allows certain discounts with certain merchants. Another preference allows certain discounts for specific products. Yet another preference allows certain discounts at designated times, for example, the holidays, such as Christmas etc. Merchants can use the universal gift card system to define certain incentives or exchanges to promote purchases at their establishments. The money or funds to be donated can be garnered in a number of ways, for example, by allocating a given percentage of the transaction costs. Alternatively, the reduction in processing fees and operating costs accomplished by this system and method can be directed to the charitable donations. Yet another possibility is that based on merchant agreements that provide incentives for customers to purchase from them, a portion of the merchant increased sales may be directed to charitable donations.
[0023] In yet another embodiment of the present invention, the value designation assigned to a universal gift card is stored on the card itself. In this embodiment, the universal gift card is a stored value or smart card that stores the actual preferences (for the merchant, consumer, or recipient) associated with the card, which are adjusted and updated as the card is used. The card, as it is used, interacts with a control unit, which monitors and regulates its use.
[0024] A consumer can obtain a universal gift card by purchasing a card (which includes the operation of designating a value to the card) from an authorized third party (vendor, merchant, or seller). A vendor may be a web merchant, auction site, web-based payment system, financial or insurance institution, retail merchant, sales persons such as insurance sales members, charities, utilities, telecommunication companies, or the like. The universal gift cardholder may be an initial buyer, or a buyer to whom the card is transferred or gifted. Rather than acquired by purchase, it may be gifted or otherwise given to consumers by a vendor as some sort of prize or promotion. Vendors are able to specify certain preferences for use of the universal gift card.
[0025] A charitable institution may provide the card directly to consumers to solicit charitable contributions directly from these consumers. A buyer of the universal card from a vendor may also designate certain preferences such as a particular charity. Further, in some instances, vendors and or cardholders may prescribe certain preferences that dictate how the universal card may be used, for example, the location or toward the purchase of only certain items. In some instances, charities may be designated at the time of purchase of the universal gift card, which may be credited immediately. Alternatively, charities may receive the funds donated at other times. The system and method in accordance with the present invention is configured to accommodate many variations.
[0026] In accordance with another embodiment, the system and method uses an identifier that indicates a record that is held by a control unit within the system. The system may be operated by one or more of any number of institutions responsible for maintaining and tracking use of the universal gift cards by consumers, merchants, and recipients. In this embodiment, the value designated to the universal cards is stored in memory (within one or more databases, configured separately or together) rather than held on the universal payment card itself. The universal gift card carries the identifier (as a visual or concealed indicia), which is used to link the universal card to an associated record in the system's memory. When making a purchase, a user typically provides account information and required verification information. The price to be charged is then determined based on stored preferences that are retrieved by the merchant. At this time, the system permits donations and other incentives to be applied based on the user preferences. The present system provides greater ease of use by consumers, reduced fraud, transfer of unused funds or earned discounts to other universal cards that are purchased.
[0027] In accordance with yet another feature, different electronic designations based on agreements and preferences between merchants and the system are stored. A user can go to various stores where each store offers a different exchange or a different rate of donating to charities depending upon the arrangements negotiated with different merchants.
[0028] In accordance with yet another feature, the universal gift card is designated for use in a specific currency or in different currencies. Additionally, the value stored either on the universal gift card device itself or in an account associated with it, does not need to be represented as an actual currency value, i.e., dollars, yen, yuan, etc., but rather may be stored as a credit value, which can easily be converted into any currency. By use of credits instead of actual hard currency, the system increases international ubiquity and eliminates the current charges associated with performing currency exchanges through current modern banking networks and systems. In addition, the furnishing institution maintains some basket of currencies, in order to maintain exchange rates for the credits stored with a real currency. In the event the universal gift card is used in different countries, the system includes a currency converter that provides the remaining balance to the user of the gift card in the appropriate currency.
[0029] In yet another feature, the system facilitates adding value to the universal gift card. In one embodiment, a user is able to obtain a record for allocating value simply by accessing and navigating to an appropriate website, via a personal computer or the like, filling out a form and providing money in any standard way, through a credit card, a debit card, an electronic bank transfer, a wire, through the mailing of a check, money order, cash, etc. Users, via the website, maintain their account preferences. Users may make printouts that present the necessary account information needed for performing a transaction. The print outs provide ways of communicating the information, such as with barcodes, or simple human readable devices, to the designated hardware in the system. The system and method facilitates provision of the universal gift card to users that order them or users that are enrolled with some promotion or website. The cards are printed with the necessary information by downloading data on a smart card, or providing it by printing a bar code, magnetic strip, or the like.
[0030] In another embodiment, a user performs the same actions as via the internet described above, over the phone, with an automated operator system or via interaction with a human interface. In an embodiment of the system that involves use of a stored value device, such as a smart card, data between the stored value device and the system is communicated in various ways. For example, a user inserts the smart card into a receptacle in a payphone, network-attached device or at the merchant site, whereby the device can then be updated with the desired amount. In this embodiment, a card holder is able to simply modify the associated preferences without any external connection. Upon use, the preferences are conveyed to a control unit.
[0031] With both the stored-value device and the account-based systems, merchants handle the funds account in different ways. In the account-based system, the funds account represents a guarantee. The control unit communicates a guarantee to the merchants that the funds are available and in some way be transferred to them. The easiest mechanism by which the funds are transferred to the merchant include the merchant establishing an account with the control unit, allowing for the funds to be directly transferred from the record referenced by the card to a record held by the merchant. Alternatively, funds are electronically transferred to an account held by another bank or funding institution or the funds are physically sent to the merchant.
[0032] In the embodiment in which the universal gift card stores the value, the value as stored is considered a currency. In this case, merchants simply accept the value and essentially take ownership of the “credits” by transferring the credits from the card to their own system. These “credits” are then used as a currency by the merchant. Alternatively, the merchants simply exchange the credits with the control unit, whereby the control unit furnishes the credits to the device in exchange for payment from the buyer for real currency. The control unit services the stored value device not unlike a backing institution, such as governments that back currencies. The control unit is not limited to private banks or institutions, but may represent government institutions, or possibly an international coalition of sorts holding some basket of currencies.
[0033] In accordance with yet another feature, users of the universal gift card register with the system providing identification information. In the event users lose the universal gift card, they can use their mobile phones to provide identification (for example their MIN (mobile identification numbers)), access their account, and pull their profiles and records, including the remaining balance.
[0034] Additional features and advantages of the invention are set forth in the description which follows, and in part will be obvious from the description, or may be learned by practice of the invention. The features and advantages of the invention may be realized and obtained by means of the instruments and combinations particularly pointed out in the appended claims. These and other features of the present invention will become more fully apparent from the following description and appended claims, or may be learned by the practice of the invention as described here.
BRIEF DESCRIPTION OF THE DRAWINGS
[0035] In order to describe the manner in which the above-recited and other advantages and features of the invention can be obtained, a more particular description of the invention briefly described above will be rendered by reference to specific embodiments thereof, which are illustrated in the appended drawings. Understanding that these drawings depict only typical embodiments of the invention and are not therefore, to be considered to be limiting of its scope, the invention will be described and explained with additional specificity and detail through the use of the accompanying drawings in which:
[0036] FIG. 1 is a schematic representation of one embodiment of the entire system including a universal gift card in accordance with the present invention, with which purchases and related transactions are performed over communication (e.g. internet) connections;
[0037] FIG. 2 is a schematic representation of a system in accordance with another embodiment of the present invention in which universal gift card purchases and related transactions are performed over communication systems that use secured transaction networks;
[0038] FIG. 3 is a flow diagram that illustrates the process by which, a pre-payment scheme of an exemplary method of the present invention that involves the use of a universal payment or gift card having an associated record is obtained and configured in commerce;
[0039] FIG. 4 a is a flow diagram illustrating the process by which, a pre-payment scheme of an exemplary method of the present invention (using a universal payment or gift card also of the present invention) stores a designated value, and is obtained (e.g., by purchase) and configured in commerce;
[0040] FIG. 4 b is a flow diagram illustrating the process by which, a universal payment or gift card with a stored value interacts with a control unit of an illustrated embodiment of the system;
[0041] FIG. 4 c is a flow diagram illustrating the process by which, sellers obtain the value to be stored on the universal payment or gift card from the control unit of the illustrated system;
[0042] FIG. 5 is a flow diagram illustrating the steps involved in the use of the universal payment or gift card to make purchases;
[0043] FIG. 6 is a flow diagram illustrating the steps involved in the use of the universal payment or gift card where the card itself stores a designated value;
[0044] FIG. 7 is an illustrative diagram that depicts the possible methods and operations of the system by which a merchant (seller or vendor) obtains record identification information from a universal payment or gift card;
[0045] FIG. 8 is an illustrative diagram that depicts the steps by which a universal gift card is associated with a stored value;
[0046] FIG. 9 is a flow diagram representing the operations of the illustrated system that update, add, or maintain value, preference, or both, on an account associated with the universal payment or gift card;
[0047] FIG. 10 a is a flow diagram representing the system operations that update, add, or maintain value, preferences, or both, that are stored on a universal payment or gift card itself; and
[0048] FIG. 10 b is a flow diagram representing the system operations that update, add, or maintain value, preferences, or both, associated with a universal payment or gift card; the operations involving interfaces between the universal gift card and the control unit.
[0049] FIG. 11 is a block diagram representation that illustrates an embodiment by which users communicate with the control unit via a mobile phone.
[0050] FIG. 12 is flow diagram illustrating the operations between the mobile phones and the control unit.
DETAILED DESCRIPTION OF THE INVENTION
[0051] Various embodiments of the invention are described in detail below. While specific implementations involving electronic mobile devices (e.g., portable computers or mobile telephones) are described, it should be understood that the description here is merely illustrative and not intended to limit the scope of the various aspects of the invention. A person skilled in the relevant art will recognize that other components and configurations may be easily used or substituted than those that are described here without parting from the spirit and scope of the invention.
[0052] It should be recognized that the figures illustrated here simply demonstrate the general environment in which some exemplary embodiments of the present inventions operate. The figures also illustrate exemplary system components and communication schemes. Other variations that accomplish the same purpose may also be used.
[0053] FIG. 1 illustrates the general configuration of the system and its operations, which are broadly illustrated to show the general environment in which the system and method of the present invention operate. The plurality of systems that are illustrated variously interact to perform the many necessary operations of the present invention. The figures show the essential components of the systems and some forms of communications between them. However, it should be recognized that other types of system components that can perform the same tasks would be obvious variations to one of ordinary skill and may be substituted. Likewise, additional networks, paths and branching that cannot be reasonably constructed in a figure may also be used.
[0054] Referring now to FIG. 1 , reference numeral 100 designates various communication systems or networks. These systems or networks function to allow intercommunication of the various systems involved in the present invention. These various systems or networks include voice, data, wireless, optical, electrical wired, acoustical, or any network that can enable connection between parties for exchange of information. The communication networks may be embodied in a direct line connection between systems.
[0055] The communication systems and networks illustrated by reference numeral 100 are any of the following indicated below:
1. Plain old telephone service (POTS) is the voice-grade telephone service that remains the basic form of residential and small business service connection to the telephone network in most parts of the world. The name is a retronym, and is a reflection of the telephone service still available after the advent of more advanced forms of telephony such as ISDN, mobile phones, and VoIP. 2. The public switched telephone network (PSTN) is the network of the world's public circuit-switched telephone networks, in much the same way that the Internet is the network of the world's public IP-based packet-switched networks. Originally a network of fixed-line analog telephone systems, the PSTN is now almost entirely digital, and now includes mobile as well as fixed telephones. 3. Integrated Services Digital Network, is a public end-to-end digital communications network, which has capabilities of signaling, switching, and transport over facilities such as wire pairs, coaxial cables, optical fibers, microwave radio, and satellites, and which supports a wide range of services, as voice, data, video, facsimile, and music, over standard interfaces. 4. DSL or xDSL, is a family of technologies that provides digital data transmission over the wires of a local telephone network. DSL originally stood for digital subscriber loop, although in recent years, the term digital subscriber line has been widely adopted as a more market-friendly term for ADSL, which is the most popular version of consumer-ready DSL. DSL can be used at the same time and on the same telephone line with regular telephone, as it uses high frequency transmission, while regular telephone uses low frequency transmission. 5. A cable modem is a type of modem that provides bi-directional data communication via radio frequency channels on a cable television (CATV) infrastructure. Cable modems are primarily used to deliver broadband Internet access in the form of cable Internet, taking advantage of the high bandwidth of a cable television network. They are commonly deployed in Australia, Europe, and North and South America. In the USA alone, there were 22.5 million cable modem users during the first quarter of 2005, up from 17.4 million in the first quarter of 2004. 6. Power lines have also been used for various types of data communication. Although some systems for remote control are based on narrowband signaling, modern high-speed systems use broadband signaling to achieve very high data rates. One example is the ITU-T G.hn standard, which provides a way to create a high-speed (up to 1 Gigabit/s) Local area network using existing home wiring (including power lines, but also phone lines and coaxial cables). 7. Fiber to the x (FTTx) is a generic term for any network architecture that uses optical fiber to replace all or part of the usual copper local loop used for last mile telecommunications. 8. A WWAN differs from a WLAN (wireless LAN) in that it uses Mobile telecommunication cellular network technologies such as WIMAX (though it's better applicated into WMAN Networks), UMTS, GPRS, CDMA2000, GSM, CDPD, Mobitex, HSDPA or 3G to transfer data. It can use also use LMDS and Wi-Fi to connect to the Internet. These cellular technologies are offered regionally, nationwide, or even globally, and are provided by a wireless service provider, typically on paid basis. WWAN connectivity allows a user with a laptop and a WWAN card to surf the web, check email, or connect to a Virtual Private Network (VPN) from anywhere within the regional boundaries of cellular service. Various computers now have integrated WWAN capabilities (Such as HSDPA in Centrino). This means that the system has a cellular radio (GSM/CDMA) built in, which allows the user to send and receive data. There are two basic means that a mobile network may use to transfer data, the first, a Packet-switched Data Networks (GPRS/CDPD) and the second, a Circuit-switched dial-up connection. 9. Since radio communications systems do not provide a physically secure connection path, WWANs typically incorporate encryption and authentication methods to make them more secure. Unfortunately, some of the early GSM encryption techniques were flawed, and security experts have issued warnings that cellular communication, including WWANs, is no longer secure. UMTS(3G) encryption was developed later and has yet to be broken. These are the same technologies used by cellular phones for data communications. 10. IEEE 802.11 is a set of standards carrying out wireless local area network (WLAN) computer communication in the 2.4, 3.6, and 5 GHz frequency bands. They are implemented by the IEEE LAN/MAN Standards Committee (IEEE 802). 11. A MAN is optimized for a larger geographical area than a LAN, ranging from several blocks of buildings to entire cities. MANs can also depend on communications channels of moderate-to-high data rates. A MAN is owned and operated by a single organization, but it usually is used by many individuals and organizations. MANs are also owned and operated as public utilities. They often provide means for internetworking of local networks. Metropolitan area networks span up to 50 km, and the devices used are modems and/or wires/cables. 12. Bluetooth is an open wireless protocol for exchanging data over short distances from fixed and mobile devices, creating personal area networks (PANs). It was originally conceived as a wireless alternative to RS232 data cables. It can connect several devices, overcoming problems of synchronization. 13. ZigBee is a specification for a suite of high level communication protocols using small, low-power digital radios based on the IEEE 802.15.4-2003 standard for wireless personal area networks (WPANs), such as wireless headphones connecting with cell phones via short-range radio. The technology defined by the ZigBee specification is intended to be simpler and less expensive than other WPANs, such as Bluetooth. ZigBee is targeted at radio-frequency (RF) applications that require a low data rate, long battery life, and secure networking. 14. Communication schemes that fall into the microwave range, which includes most wireless communications systems. Spectral range is between 0.3 GHZ and 300 GHz. 15. Line of site required communications using lasers to transmit information that has been modulated onto the beam. 16. VLF radio waves (3-30 kHz) can penetrate sea water to a depth of approximately 20 meters. 17. Electromagnetic waves in the ELF frequency range (see also SLF) travel through the oceans and reach submarines anywhere. Building an ELF transmitter is a formidable challenge, as they have to work at incredibly long wavelengths: The US Navy's system (called Seafarer) operates at 76 hertz, the Soviet/Russian system (called ZEVS) at 82 hertz. The latter corresponds to a wavelength of 3658.5 kilometers. That is more than a quarter of the Earth's diameter. Obviously, the usual half-wavelength dipole antenna cannot be constructed, as it would spread across a large country.
[0073] A plurality of personal computers, indicated by reference numerals 110 a - 110 n, are generally illustrated to communicate via communication networks indicated generally at 100 . The personal computers 110 a - 110 n may be any desk top computer system used for communication with another computer or a website. In addition, reference numerals 120 a - 120 n , represent a plurality of personal portable computer systems, which are meant to embody any portable computer system, by which a user is able to communicate with a website. With either of these computer systems, a user or cardholder is able to maintain, obtain, and use universal payment cards. Further, through any of these devices, users use the universal payment card to fund internet purchases or simply to access associated records or access the card themselves in instances where the card stores the value and preferences.
[0074] Reference numerals 140 a - 140 n designate a plurality of mobile phones. Reference numerals 150 a - 150 n designate a plurality of smart phones and PDA's (public digital assistant devices). Any of these devices is used, similar to the personal computers, to allow users to perform maintenance, purchasing, and usage operations relating to the universal gift or payment card. This is generally facilitated through additional wireless connections that are generally not implemented in personal computers. However, the devices identified by reference numerals 140 a - 140 n and 150 a - 150 n might additionally contain some means of communicating a record identifier or a means for allowing communications between one of these devices in order to store associated preferences and values.
[0075] In accordance with one embodiment, a device configured for communicating a record identifier or storing an associated value and preferences contains a contactless smart chip, as is implemented in contactless smart cards. Other implementations presently known in the industry are also possible.
[0076] Reference numerals 145 a - 145 n illustrate a plurality of insurance companies. Insurance companies are generally considered a large source for sales persons and they are generally large givers to philanthropic organizations. Insurance companies may have multiple means of providing such universal gift or payment cards to consumers. For example, an insurance agent may simply, when signing up an individual, ask if an individual is interested in obtaining a card for an additional charge in order to make a donation. The insurance company may further choose to provide a card to all policy holders as gifts or only to new policy holders to thank them for acquiring an insurance policy, thereby providing an incentive. Further, the insurance company may simply choose to send out such cards to individuals based on some frequency, dates, or events. Insurance companies may be configured to have a direct relationship with the control unit, indicated at 160 , and the large number of insurance sales people can therefore, provide an efficient way to distribute the cards. In such cases, insurance companies may decide to partner with a specific charity or charities or offers special rates and or arrangements, possibly a 1:1 exchange of funds for funds available to the card holder for purchasing. The connections from the insurance companies 145 a - 145 n to the control unit 160 illustrate the two-way communications between those entities. These communications are over stand communications networks that enable communication with possible buyers, merchants, banks, and other receiving parties.
[0077] Reference numerals 155 a - 155 n designate a plurality of institutions. These, much like the insurance companies, are a conduit for individuals to obtain universal gift or payment cards. These institutions may for example, be banks, various non-merchant businesses, etc. In the example of a national bank, the bank may decide that it is necessary to provide further incentives to its customers to purchase bonds. Or the bank may simply attempt to launch a simple campaign in order to raise funds for charities. Any institution may wish to launch a campaign, to accept money and provide a donation. Further, the institutions may also be companies such as telecommunications companies, schools, corporations, small businesses, etc. These institutions are connected by the same type of interfaces and connections that enable advanced communications in a variety of ways that are described above.
[0078] FIG. 1 also illustrates a plurality of databases 165 a - 165 n connected to the control unit 160 . The control unit 160 comprises a variety of systems and edifices configured to perform operations such as verification, record maintenance, funds dispersal and holding, administration as well as a variety of other tasks. Specifically, as depicted, the control unit 160 is to some degree a main hub of the system. In the case of a record-based system, the control unit 160 is interfaced by users for all the required operations. For example, a user establishes interface with the control unit 160 for initial set up of a universal payment card when a user desires to make changes and for purchases. In the example illustrated here, most systems interface with the control unit 160 through some network or through a direct interface. In the case where the card itself stores the value and settings, certain embodiments require controlled interfacing with the control unit 160 , while others only require interfacing at some point for the acquisition of funds. Specifically, in the present embodiment, the control unit 160 communicates with banks via a secure banking network, illustrated by reference numeral 190 , to enable a secure way to electronically communicate with banks for financial transactions. The control unit 160 may be operated by a bank, a financial institution, an internet auction site, an internet search engine or any search company or institution, which can provide the required interfacing, administration, and other necessary functions typically performed by the control unit 160 . The control unit 160 additionally provides a means via the communications systems and networks 100 for individuals to interface with the control unit 160 as well perform the outlined functions from the personal portable computers 120 a - 120 n, the personal computers 110 a - 110 n, the mobile phones 140 a - 140 n and the smart phones or PDA devices 150 a - 150 n . To acquire a universal payment card, users do not necessarily have to interface with the control unit 160 . Rather, other entities or systems interfaced directly or indirectly with the control unit 160 may provide universal payment cards.
[0079] Additionally, FIG. 1 illustrates the control unit 160 as interfaced with items 170 a - 170 n, which designate merchants that process purchases by users. At certain times, merchants are required to communicate with the control unit 160 . For example, in the case of the record-based system implementation, a merchant would be required to verify available funds before processing a transaction and provide for the accounting of funds to be credited to the merchant and debited from the record, as well as possibly handling the charitable contributions.
[0080] In the case where the card itself stores the value and preferences, the system may require immediate interfacing with the control system 160 . However, in most embodiments where the value is stored on the card, a merchant may collect the “credits” from the card. Then, at some convenient or designated point, the merchant chooses to interface with the control unit 160 to exchange the “credits” for a preferred currency. Additionally, the merchant would likely interface with the control unit 160 for accounting and record keeping and for dictating possible charitable contributions. The databases 165 a - 165 n interface with the funding institutions when the institutions hold records of accounts and funds.
[0081] As illustrated, the banks 180 a - 180 n communicate with the funding institutions via a secure banking network, indicated by item 190 . This network is secure and separate from an open network and only accessible to banking institutions. The secured banking networks provide added levels of security and are well known in the art. One example is the federal reserves FedWire. It may be possible to use some other communication means, such as a direct telephone connection or possibly some point-to-point network or even a peer-to-peer network to exercise adequate security measures.
[0082] The banks 180 a - 180 n as illustrated in FIG. 1 are similar to institutions 155 a - 155 n, however, they are separately illustrated to show a possible scenario where a receiving party e.g. philanthropic entities, items 185 a - 185 n, hold an account in a possibly non-affiliated institution. In this scenario, money can be sent to the receiving party through numerous means, preferably, an electronic means, though other ways are possible.
[0083] For example, a payment intermediary service that facilitates world-wide e-commerce can be used. An account with such an organization can be funded with an electronic debit from a bank account or by a credit card. Recipients of a transfer via this organization can either request a check from it, establish their own deposit account or request a transfer to their bank account.
[0084] In the United States, such organizations are licensed as a money transmitter on a state-by-state basis. They are not classified as a bank in the United States, though the company is subject to some of the rules and regulations governing the financial industry including Regulation E consumer protections and the USA PATRIOT Act.
[0085] An online payment processing service aimed at simplifying the process of paying for online purchases may also be used. Users store their credit or debit card and shipping information in their processing service account, so that they can purchase at participating stores at the click of a button. Such services also offer fraud protection, as well as, a unified page for tracking purchases and their status.
[0086] Such services focus on enabling one-time payments to be made from a purchaser to a merchant. They do not permit the use of stored funds, nor allow payments from person to person.
[0087] One such service also has a program, which allows US IRS Certified 501(c)3 Non-Profit organizations to collect donations online, for a fee of 2.9%+$0.30 for donations under $3000, with lower rates for larger donations.
[0088] The receiving parties 185 a - 185 n are generally the actual parties receiving the charitable contribution. The main example would be the institution of a charity. These charities provide the universal cards to users in the same way that the institutions 155 a - 155 n provide them as described above. Similarly, the receiving parties 185 a - 185 n choose to configure the universal cards they provide to only execute financial donations to specific charities, in all likelihood, themselves.
[0089] FIG. 2 similar to FIG. 1 illustrates systems and environments in which the present invention operates. However, FIG. 2 presents a specific embodiment of FIG. 1 , wherein the communication from the merchants 270 a - 270 n, institutions 255 a - 255 n, insurance companies 245 a - 245 n, and receiving parties 185 a - 185 n, with the control unit 160 is through a secure transaction network, 230 . A secure transaction network 239 is a network that is configured as a private network connecting various parties that perform transactions or card configuration with the control unit 160 .
[0090] FIG. 3 shows the general process by which a “buyer” obtains and sets up a universal payment or gift card. The “buyer” as mentioned here represents individuals who choose to obtain a card either for their own use or for the purpose of providing it as a gift to another, or an institution that simply chooses to provide the cards to other parties, or the like. The buyer is simply any party that wishes to obtain cards with some designated or pre-paid value.
[0091] With reference to FIG. 3 , block 300 represents a buyer who agrees to purchase a universal payment or gift card for use with a record-based system. In one embodiment, this step may be a simple act of acknowledging the need of a buyer to obtain a universal gift card for some intended purpose. Additionally, this block represents operations whereby a buyer has determined that a seller provides a card. The seller is any individual or institution as discussed previously with regard to FIGS. 1 and 2 , which may provide a card. For example, the institutions, the control unit 160 , insurance companies 145 a - 145 n , charities 185 a - 185 n, receiving parties 185 a - 185 n, merchants 170 a - 170 n or perhaps some other holder of an agreement with the control unit 160 . Block 310 , directly follows block 300 and represents the operation of accessing the control unit 160 by the buyer. This accessing operation may occur in any one of a plurality of ways. The buyer may choose to access the control unit 160 via an internet connection, through some website designed for online sales, via a merchant that accepts the universal payment card, through an institution, an online merchant, via a sales person, through a charity, through a receiving party, through banks, or through any other means that allows the buyer to interface with the control unit 160 .
[0092] Block 320 represents the operation of the control unit 160 , by which it creates a record on the databases 165 a - 165 n to store the value and preferences. The record may take the form of a simple record in a memory system, a complex account, or any data structure that has the capability of storing the necessary information to include, but not be limited to, preferences and a value. Block 330 represents the operation, by which the buyer designates a value that is desired for the universal card and conveys it to the control unit 160 . Block 340 represents the operation by which the seller accepts the designated value. The value may be provided by multiple methods of payment, such as with a credit card, hard currency, a debit card, a check, a routing and account number or any other method for proving payment. At decision block 350 , the system verifies the funds that were provided to obtain the card. In the case of a credit card, the funds are verified through well known credit card verification schemes. In the case of hard currency, the seller is responsible for providing verification, though the verification may be accomplished by some automated currency verification system. Other methods of payment would likely only be accepted with supported verifications and would be dependent on such. For a check to be accepted, the buyers' identity would likely be verified by a human agent. Of course, this would not provide a verification of funds, as much as it would provide a means of verifying individuals, in order to hold them possibly accountable for any fraud. If the funds are not verified, the system advances to an operation indicated by block 355 where the user is prompted of the failure and requested to input a new source of payment or optionally, abort the process, at which point, the system then returns to block 340 . If the verification operation does succeed, the system advances to operations at block 360 .
[0093] Block 360 represents the step where the control unit 160 stores the designated value into the record that was created, which designates the value that the card can be used to represent and fund. Block 370 is a decision step, which facilitates the situation where the seller determines the preferences of the system, particularly the receiving party or charity. If the seller determines the preferences, the system advances to block 371 , where the preferences are set and added to the record. The system then advances to block 372 , which is a decision step. At this point, the preferences as defined by the seller are confirmed as permanent preferences. In other words, neither the buyer nor a possible future card holder can change the preferences, such as the receiving charity as defined by the preferences. This operation protects a seller's choice to support a charity that the seller determines should be the recipient. For example, a charity itself could provide the universal gift cards and limit the giving to it. If the preferences are to be made permanent, the system advances to block 373 , where they are designated as permanent, by making a note in the record. The system then advances to block 380 . If the preferences are not meant to be permanent, the system advances directly to block 380 . Block 372 and 373 may be combined into a single operational block 371 whereby the act of modifying the preferences can include the step of designating the preferences permanent. If previously at block 370 , the preferences are not to be designated by the seller, the system advances to block 374 . Block 374 is a decision step. If the preferences are to be determined by the buyer, the system advances to block 375 . At block 375 , the system prompts the user with the possible charity selections and accepts the buyer's selections. At block step 376 , the system applies the charitable selections to the record and then advances to block 380 . At block 275 , though the system states displaying and accepting the preferences, the system may simply accept some user input and require no actual displaying. By displaying, the system may simply return an audio signal if the buyer is obtaining the universal card from a seller over a voice line. If the user is not required to set the preferences, the system advances from block 374 to block 378 , where default preferences are applied. These preferences may include anything, including but not limited to, null preferences or some such default charity, or even an option that allows a charity to be specified at a later time, possibly by another user such as the card recipient. Additionally, block 374 may involve buyer input, simply to state that they do or do not wish to set preferences. Additionally, at block 375 , the buyer may choose to select no charities to be set and leave the charities null.
[0094] Block 380 is a decision step. If the charities are to be credited immediately, the system advances to block 382 . The charities can only be credited at this time, if charities were designated in the first place. At block 382 , the charities are credited based on the preferences. This process may be accomplished in a plurality of ways. The system credits the charities through the control unit 160 , which transfers funds between the card's record and a record belonging to the charity. The system may transfer the money to a bank account belonging to the charities. The system may mail the funds to the charity, etc. Block 385 notes the activity of the funding of the charities on the universal card and the system then advances to block 387 . In block 387 , the system provides proof of a donation when the designated incentive is a charitable contribution for tax purposes. The system then advances to block 390 . If the charities are not to be credited in the operation performed at block 380 , the system advances to block 390 . At block 390 , the buyer is provided with an account identifier. The identifier may be furnished to the buyer in a plurality of ways. The ways include, but are not limited to, printing a screen image containing an identifier, such as a string of numbers, a physical card, which is a smart card or a card containing a magnetic strip or a barcode, a simple string of numbers that can be copied, written, or memorized by the buyer. The system additionally provides certain program information. The information could include, but is not limited to, listing participating stores, charities, business and persons or any accepting body of the card. It may also list special offers and provide a website. The information may be communicated by a website or a pamphlet, which would be likely when dealing with sales persons.
[0095] FIG. 4 a illustrates a similar process as that illustrated in FIG. 3 , different only in that FIG. 3 illustrates a record-based system, and FIG. 4 a illustrates an embodiment where the universal payment card itself stores the value and preferences. Specifically, FIG. 4 a illustrates the system whereby the users obtain the card without interaction with the control unit 160 . More specifically, the system as illustrated in FIG. 4 a, represents a situation where the value or “credits” to be placed on the card are already stored and held by the seller.
[0096] System operational steps 400 a through 420 a correspond largely to steps 300 through 350 , however, the steps involving the control unit 160 , mainly steps 310 and 320 , do not have any corresponding steps as the control unit 160 is not necessary in the embodiment illustrated in FIG. 4 a. Block 425 a illustrates the operation of opening a session with the smart card. This is a necessary security measure to ensure the memory and the stored value on the card. At step 430 a, the value is added or transferred directly to the card. This involves taking the “credits” in possession of the seller and transferring them to the card. Steps 440 a through 467 a correspond to steps 370 through 387 and are similar to the operations described with respect to those steps. Step 470 a closes the session with the card. Step 480 is similar to step 390 .
[0097] FIG. 4 b illustrates a process similar to that shown in FIG. 4 a , except that, in 4 b, instead of having the value transferred from the seller to the card, the value is transferred from the control unit 160 . As such FIG. 4 b has certain elements from both FIGS. 3 and 4 a. Step 400 b includes the operation described with respect to steps 300 and 400 a . Step 401 b is similar to step 310 . Step 410 b is similar to step 330 and 401 a. Steps 415 b - 425 b are similar to steps 410 a through 425 b as well as steps 340 through 355 . Step 430 teaches where the funds are directly credited to the control unit 160 in exchange for the credits of a value established through some exchange rate. This step might be one of accounting, whereby the seller may simply place a credit on its accounting books, acknowledging the need for the transferring of the funds. Steps 435 b through 490 b are similar to steps 425 a through 480 a.
[0098] FIG. 4 c illustrates a process that may be a necessary part of the operations of FIG. 4 a. FIG. 4 c specifically illustrates the process by which a seller (at possibly a different time from when the buyer obtains a card) connects to the control unit 160 in order to receive “credits” that may be later added to a universal payment gift card.
[0099] At step 400 c, a seller makes a determination that the seller requires “credits,” which the seller may furnish to buyers of universal payment cards. Step 410 c is similar to steps 310 and 401 b. In step 420 c, the seller designates the value that the seller requires. Steps 430 c through 450 c are operationally similar to steps 415 b through 430 b , except that, the seller is prompted in FIG. 4 c as opposed to the buyer being prompted in FIG. 4 b. In step 460 c, the funds or “credits” are transferred from the control unit 160 to the Seller. Step 470 c is operationally similar to step 387 .
[0100] FIG. 5 depicts an embodiment of an aspect of the present invention, the aspect being the general process of a purchase being performed using a record-based system. This process may be carried out by a merchant either in person or over some connection, e.g., an internet purchase or a voice connection with an operator or an automated system. The most general concept of what occurs during this process is that a user is able to, in some way, furnish a merchant with some record identifier, which would optimally be carried on some card, which has some associated record holding some amount of money, preferences and information.
[0101] At step 500 , the system receives the account identification. This can, as outlined earlier, be performed in numerous ways. Users attempting to make purchases may carry with them a device that can in some way be scanned or interrogated for account identification. FIG. 7 depicts the various methods by which the account identifier may be obtained by the system.
[0102] At step 501 , based on the account identification, the control unit 160 , which maintains the record, is identified and connected. This can be done in a number of ways. One example of verifying identification, may be performed similar to the way by which credit cards are readily identified, based on their account numbers. Additionally, the merchant may choose to simply delegate this task to a service and to pay a service to perform this task. In such case, the merchant would provide the identifying information to the service. In yet another possibility, the device may contain some type of identifier or the identifier may be manually entered. The merchant would then access the control unit 160 via some connection and access the record.
[0103] At step 502 , the system retrieves the preferences, settings, and various governing data associated with the record. This information is used by the system as previously described to determine a possibly brokered “exchange” rate, as well as, information governing various incentives, particularly describing a charity or charities for the receiving of certain funds associated with the transaction.
[0104] At step 503 , if the preferences as defined on the record disallow the purchase for some reason, for example, in the event of card restrictions, the system then advances to step 540 . A card may be restricted where the merchant, type of merchant, or products have been marked as unauthorized for use. These restrictions may be used by parents or agencies that were the buyers or the providers of the card and want, to some degree, to control what the card may be used to purchase. At step 540 , the system alerts the card holder that the transaction is not allowed and indicates the reason why the transaction is not allowed.
[0105] At step 504 , the system, based on the retrieved preferences and information, calculates the cost of the purchase for the user. It may be that some large merchant, such as Macy's, may offer a preferred rate whereby users will be further motivated to both, use their accounts and patronize the merchant with their business.
[0106] At step 505 , the system retrieves the current balance associated with a particular universal payment card. This step may be additionally carried out where the system queries the control unit 160 with the amount of the purchase. The control unit 160 then returns an indication whether or not there are adequate funds available and the amount of funds associated with the card. If the funds are not adequate, the system indicates the reason, e.g., the balance of the account has expired or whether the account balance is at zero.
[0107] At step 506 , if the funds are available, the system continues to step 507 . If the funds are not available, the system continues to step 511 . At step 511 , the system checks to see if the balance has expired. If the balance has expired, the system continues to step 512 , where the system returns an indication that the balance has expired and continues to step 532 . A test for expiration is only for implementation when such a restriction is required by a particular merchant. A test for expiration is generally not required and funds may simply never expire. If the card is not expired, the system checks to see if the account has a balance of zero at step 521 . If so, the account continues to step 522 , where the system outputs an indication to the user that the balance is at zero and then continues to step 532 . If the balance is not at zero, and the account still holds a balance, but insufficient to cover a purchase, or if the system is not able to retrieve the total balance, or if the balance is no longer stored in the memory of the merchant's systems, the balance is retrieved from the control unit 160 , at step 531 , and then shown to the user, at step 532 . In addition, the system may display the difference between the balance on the device and the cost of the transaction.
[0108] At step 532 , the system queries the card holders, as to whether or not the card holders wish to add additional value to the card in order to complete the transaction. If they do, the system advances to step 536 , where the update process, similar to that of FIG. 9 is started. The system then returns to step 504 . If the card holder does not wish to add value to the card, the system advances to step 533 . At step 533 , the system queries the card holders whether or not they wish to use more than one source for the transaction. This could be accomplished by using a credit card, cash or any other source of funding to cover the remaining balance that is not able to be covered by the card. If the user doesn't wish to perform the multiple source purchase, the system advances to step 513 . If the user does wish to perform the multiple source purchase, the system then continues to step 534 where the user provides the percent of the transaction he or she will fund from an additional source, where the percentage covered by the account must not exceed the amount in the account. Additionally, the system may be configured to accept an amount to be funded instead of a percent or provide a simple setup to fund the purchase with the balance of the account with the rest to be funded by the additional source. The system then advances to step 535 , where the user provides the alternate source of funds and where they are also verified. The system then returns to step 504 to re-verify the account. At step 513 , the transaction is terminated. Any of the decision blocks may be presented and answered in the user preferences so that no human interaction is needed. Additionally, the system may be configured, in the presence of the inadequate funds, to simply terminate the transaction, possibly notifying the user in such cases.
[0109] Furthermore, in yet another embodiment, the system does not verify additional funds for a multiple source transaction. Rather, the merchants perform such a task on their own, outside of the system of the present invention. The system may further simply terminate a transaction and simply return a failed transaction with the reason for it and then allow the merchant to independently perform the tasks of splitting a transaction over multiple funding sources and or adding more value to the device.
[0110] At step 507 , the funds are debited from the record associated with the universal payment card and credited to the merchant. The crediting may occur by transferring the value from the record to another record at the control unit 160 or simply by dispersing funds to the merchant in some currency, or transferring funds to a merchant's account at a bank in a specified currency, or through some physical means.
[0111] At step 508 , the system checks to see if, based on account preferences, the designated incentives have been applied, e.g., the designated charity was already credited ( in some specific implementations, this step may be skipped altogether). If the designated incentives have already been provided, the system will continue onto step 509 , otherwise, the system advances to operational step 545 .
[0112] In operational step 545 , based on the account preferences, the system provides certain incentives, e.g., crediting a charity with some amount associated with the transaction. Additionally, if the card happens to have no value designated for the charities, the merchant or possibly the control unit 160 provides a default charity to be funded. These funds would likely come from the control unit 160 , but may also come from various services employed by the merchants or possibly by the merchants themselves. Further, the system provides a means of showing evidence of the contribution for tax purposes either through a receipt provided by the merchant/vendor or through notation on the card and or account for providing at a later time the evidence for tax purposes. At step 509 , the account is noted for the activity and then at step 510 , the transaction is completed and ended.
[0113] FIG. 6 shows an exemplary embodiment of a purchase process whereby the universal payment card stores the value and preferences on the card. This process closely follows the process as described above regarding FIG. 5 and the account-based purchase process. However, the systems differ in ways that require an explanation of FIG. 6 for illustrative purposes.
[0114] Step 600 shows the establishing of a session with the device as similarly outlined for step 435 b of FIG. 4 b. This operation, as stated previously, allows for secure communication between the device and the system, and follows the connection process, which is later outlined in FIG. 8 . Step 601 follows after the opening of a session with the universal card. Specifically, step 601 represents the system reading the value stored on the stored value device as well as the associated preferences and data.
[0115] Steps 602 through 604 are operationally similar to steps 503 through 506 and step 630 is similar in operation to step 540 . Steps 611 and 612 are similar in operation to steps 511 and 512 . Steps 621 through 624 are operationally similar to steps 531 through 534 . The system then advances to step 625 . Step 625 checks to see if the device is present. This is necessary as the device must be present to perform a transaction. Step 625 included to illustrate that a user, during the purchase process when using a contactless type of device, requires some proximity to maintain a connection, whereby the device might lose its connection with the system. If the device is not present, the system advances to step 626 , where the user is requested to present the device to the reader. The system then returns to step 625 . When the device is present, the system continues to step 628 , which is similar to step 535 . The system then returns to step 602 to recalculate the cost based on the entered quantity to be funded by the device. Step 626 additionally reestablishes the session with the device if the device was found to be not present. Step 627 is similar to step 536 , but references an implementation similar to that depicted in FIG. 10 . Step 613 is analogous to step 513 . At step 605 , the funds are transferred from the card to the merchant's systems. This optionally may involve the merchants actually routing the funds directly to the control unit 160 , though the merchants may choose to hold the funds themselves. Further, at step 605 , the funds are deducted from the device memory. This places the value essentially into the possession of the merchant who is processing the transaction and likely providing some service or product to the user. The value could be held by the merchant in what is essentially a stored value device that can then be used by the merchant to store the value provided to them by customers, dispense value to employees and pay for goods and services. The value could possibly also be deposited into some account. The card is then updated with the new value.
[0116] Steps 605 , 606 , 607 , and 608 are operationally similar to steps 507 , 508 , 510 and 545 , respectively. Steps 606 and 607 additionally teach a card being updated to the activities, specifically the state of whether or not incentives have been applied based on designated preferences e.g., the designated charity has been funded or not. Step 640 is where the session that was opened in step 600 is closed. This could be handled by the merchants themselves or possibly through an institution providing the value, which the merchant systems interface with, informing them of the purchase.
[0117] It should be noted that additionally, as with FIG. 5 , all of the branches requiring user interaction may be predefined in the user preferences that are stored in the device. This would simply allow for additional speed in processing transactions. It should also be noted, that even with such a scheme, user preferences could be usurped by the user.
[0118] As with FIG. 5 , FIG. 6 has many other possible embodiments that are envisioned, all of which are not described here. It would additionally be possible to implement an expiration branch checker as illustrated in FIG. 5 . Additionally, as illustrated in FIG. 5 , it would additionally be reasonable to have a branch for adding additional value for a transaction where there are inadequate funds. Additionally, all paths may end at the complete transaction block for both FIGS. 5 and 6 , as opposed to some paths leading to the terminate transaction block. Additionally, further checks can be inserted to allow for more items that require checking. Certain protections may be added to verify a person's identity, such as requiring a challenge for a pin or some biometric information that can be stored on the stored value device, or in the account in accordance with the network-based system.
[0119] FIG. 7 depicts the basic outline of how in the case of a record based system, the record identifier and possibly additional security, general and/or personal information is provided to the merchant systems.
[0120] Item 701 represents the account information being contained on a universal payment card. Item 701 , in the illustrated example, contain, but would not be limited to, a standard barcode, account number and a smart barcode. It also shows the branding of an associated charity, though the charity or charities associated with the account is not limited to the charity specified on the front or requires a charity to be specified on front. A merchant enters the account number, either manually or through a scanning means.
[0121] Block 703 simply identifies a possible decision process. In the case of barcodes, a simple barcode scanner item 711 , as is known in the art, is simply implemented to read in the account information into item 712 , the point-of-sale terminal (POST). In the event of manual entry, illustrated by block 710 , the merchant can either accept or choose to accept, the manual entry. The merchant may also directly enter an account number via a keyboard. This is only necessary, if the card holder is making a purchase over the phone or over the internet, or if a card holder does not have a barcode scanner. Though the account number shown in the figure as indicated by item 701 consists of only numerals, the account number could easily contain alpha numeric characters as in the case of a smart barcode. Additionally, a pin number or password is stored in the record, allowing the card holders to enter in some security code to verify their identity. The system, after reading in the account information, runs the account-based purchase process, as illustrated by block 713 and as shown in FIG. 5 .
[0122] Item 702 depicts a universal payment card, however, the device is not restricted to such a form. The card may take the form of certain devices embedded in a portable electronic device such as a cell phone or a PDA. In such embodiments, the account information is entered directly from the card through manual entry (block 710 ) as directed by step 704 , or through some automated way. Step 705 is triggered if item 702 is a smart card type of device. Block 709 is meant to represent a digital reader of some design. The reader might function through the use of RFID's in the case of a contactless smart card, or it may be an interface that interfaces with the card through some physical electrical means. Block 706 represents the decision to read in the account identifier from the card using a barcode scanner item 708 . Finally, if none of the above methods are chosen, the system can additionally take in the account identifier through a magnetic strip reader 707 . All of the above input methods output the account identifier to the POST (block 712 ) and then begin the purchase process or possibly any other process that requires an account identifier.
[0123] To articulate the differences between blocks 701 and 702 , block 701 represents some account identifier carrying device that is easily obtained by a person who may possibly simply print the certificate, which contains a barcode or barcodes and an account identifier. Item 702 , on the other hand, represents a more advanced card with more advanced requirements. It is possible that a card holder may buy blank cards and have the image printed on the card and programmed all at home, although it is more likely, that a card holder may obtain a card from a merchant or some institution, possibly through a branding philanthropy, whereby the advanced identifying devices can be installed and programmed. In one embodiment, users obtain a device online, whereby they temporarily print out something relating to item 701 , while waiting for a device such as item 702 to be mailed to them, which arrives subsequently.
[0124] Additionally, it should be noted that there is no preference to the order of the various methods for inputting to obtain the identifier. Rather, the figure is simply meant to show the fact that many choices exist.
[0125] FIG. 8 follows the same lines as FIG. 7 , but rather, specifically teaches for the case of a universal payment card. Design options are limited in the stored-value device due to communications requirements between the system and the universal payment card. Item 801 follows a smart type of device. Current examples are smart cards, which are well known in the art and have various embodiments such as the SUICA system as used in Japan for various Japanese rail systems, as well as the octopus card as is used in Hong Kong. The system is certainly not limited to being embodied in a card form, but may additionally, be embedded in devices such as cell phones as mentioned previously. The device has some communications capability and preferably some security functionality, specifically, the use of encryption as is well known in the art. The system must then interface with the POST, item 803 , through some reader or device, item 802 , which is meant to be able to allow for communication between the card and the POST. After the communications have been established, the system enters a purchase process as one example, item 804 , as outlined, in FIG. 4 , though other processes may take place after the POST receives the identifier information.
[0126] FIG. 9 depicts an exemplary embodiment of a flow diagram of the general process for adding value to an account for use in purchases. Additionally, the flow diagram outlines the modification of account preferences for the account. These actions can be performed through the personal computers 110 a - 110 n, personal portable computers 120 a - 120 n , merchants 140 a - 140 n, smart phones or PDAs 150 a - 150 n, or mobile phones 170 a - 170 n.
[0127] Step 900 shows a card holder making the determination to add value and/or change the preferences of the card. Step 910 describes the accessing of the control unit 160 as has been previously described. To access the proper record, the system must be first furnished with an account identifier. This identifier can be obtained in a plurality of ways as depicted in FIG. 7 .
[0128] At step 920 the card, holder is queried as to whether or not funds need to be added. If funds do not need to be added, the system advances directly to step 950 . However, if the card holder does intend to add funds, then the system advances to perform the next operation, as indicated by step 930 . At step 930 , the system then accepts the funds that are to be transferred. This transfer operation is done in any one of a multiple ways. By way of one example, in situations where this transfer operation is conducted at a merchant site, the user simply provides physical or hard currency to the merchant for deposit into his or her account. This operation may also be performed at some type of an automatic teller machine (“ATM”) at a bank or such facility. The user provides an account number by manual entry with the merchant, or by one of the other methods of furnishing account numbers that are described above. This account number may correspond to a credit card or a cash account.
[0129] At step 940 , the system verifies the funds that are added. This verification operation is performed by various methods depending on the funding source. For example, in the case of a credit card, a standard credit card payment sequence is initiated to both verify the funds and place a debit on the credit account. In the example where cash is used, verification is carried out by the cashier, teller, or ATM type device. The verification operation includes various visual inspections or involves more advanced currency verification means. Once the funds are properly verified, the system continues onto the next operation, indicated by step 950 . However, if the funds are not properly verified, the system advances to the next operation indicated at step 945 , which provides a prompt to the card holder that the funds were not properly verified. Then, the system returns to the next operation at step 930 , where it accepts new funds to be verified. Additionally, at this point, the card holder may decide to exit the process.
[0130] At step 950 , the system determines whether or not the preferences need to be changed. As previously stated above, the preferences may be designated so they cannot be changed or altered. Preferences are an incentive for vendors of the cards as well as possible incentives to buyers of the cards. If the preferences are not subject to change, the system advances to the next operation at step 980 . However, if the preferences are to be changed, the system advances to the next operation at step 960 .
[0131] At step 960 , the system queries the card holders whether they want to alter the preferences. If the card holder chooses not to update or alter the preferences, the system automatically advances to the next operation at step 980 . If, however, the card holder wishes to make changes to their preferences, the system advances to the next operation at step 970 .
[0132] Step 970 accepts the card holder's preference changes. The card holder's preference changes can be entered in a plurality of ways. One way would be for a card holder to interface with the system through their personal computer over the internet enabling it so that they may manually enter in their preferences. Another method may be as previously mentioned, in the presence of a merchant, where the card holder would inform the merchant of the preferences that are desired by the card holder and to be applied, or through the ATM type device mentioned previously. The system then advances to step 980 , where all changes are submitted to the record and executed. By this, the record and thus, the card is updated. Additionally, in certain embodiments, the operation indicated by step 980 is omitted, and instead, the system updates the account as it performs the operations indicated by steps 940 and 970 . At step 980 , the system further confirms with the user, the changes before committing them and allowing for edits to the changes.
[0133] The above embodiment described here is only one possible embodiment included for illustrative purposes. The embodiment described so far is illustrated to perform linear operations and has a serial structure. Another embodiment performs the tasks concurrently or at the same time or has the user enter into a form on the system interfacing with the account. The information would then be able to follow the same flow without user interaction, or in a more concurrent manner. One of the main advantages of allowing a merchant or facility to facilitate the changing of features to an account is that it allows for the system to be used in areas where users have little to no access to a network in order to access their accounts. This is especially useful in third world markets where perhaps merchants are a user's only gateway to access connectivity.
[0134] FIG. 10 illustrates a process similar to the process shown in FIG. 9 , but instead of being relevant to a record-based implementation, FIG. 10 illustrates where the universal payment card stores the value and preferences. This process follows that described previously for FIG. 9 , which illustrates using a record. FIG. 10 , however, holds distinct differences that are included for further illustrative purposes. There are additionally, two parts to FIG. 10 , FIG. 10 a and FIG. 10 b. FIG. 10 a, like FIG. 4 a illustrates the situation where a universal payment card, which stores a value, does not require interfacing with the control unit 160 . Similarly, FIG. 4 b illustrates a situation where the system requires communication with the control unit 160 .
[0135] Step 1000 a is similar in operation to step 900 . Step 1010 a illustrates establishing a connection and opening a session with a smart chip used to facilitate the functionality of the card. The communication may be established through contacts or may be made wirelessly. As is well known in the art, encryption and decryption can be carried out by the device in conjunction with the system to properly verify the device and its validity. Often times, as is known in the art, such devices contain a dedicated encryption/decryption chip.
[0136] After the session opens as illustrated by the operation in step 1010 a, the system advances to reading or determining the card's value and preferences as is indicated at step 1020 a. Steps 1030 a through 1050 a perform similar operations as steps 920 through 940 . At step 1060 a, the system transfers the credit from some vendor or merchant with whom the operation is performed. Steps 1070 a through 1080 a are completely similar in operation to steps 950 through 970 .
[0137] The final step of the process is ending the currently open session with the universal payment card, indicated by step 1080 a. This is a security measure to attempt to ensure the security of the funds stored, represented and information stored on the device.
[0138] FIG. 10 b is very similar to FIG. 10 a, however, it includes certain steps that require communications with the control unit 160 . All of the steps are similar in operation with certain steps of FIG. 10 a except for, steps 1031 b and 1034 b. Step 1031 b teaches the card holder interfacing with the control unit 160 . Step 1034 b, illustrates the operation of crediting the provided funds to the control unit 160 , which is in exchange for obtaining the “credits” remaining on the universal card. Steps 1000 b through 1030 b are similar in operation to steps 1000 a through 1030 a. Steps 1032 b through 1034 b are similar in operation to steps 1040 a through 1050 a. Steps 1035 b through steps 1070 b are similar in operation to steps 1060 a through 1090 a.
[0139] FIG. 11 illustrates a mobile phone designated by reference numeral 1120 , a control unit designated by reference numeral 1100 , and a Wireless Transmitter/Receiver (Tx/Rx), designated by reference numeral 1110 . The control unit 1100 contains various components, which are either virtually implemented or implemented in hardware and are connected by a bus 1109 , which is one illustrated means of interconnecting the components. The bus 1109 may be a physical bus or may take various forms of memory communication, such as registers having shared access by each component, kernel level control of resources, or any means of exchanging information within the system.
[0140] Reference numeral 1101 designates an input/output device, which generally is implemented in a mixed hardware and software medium, allowing for the interfacing of a system with an external environment, including, but not limited to modems, sound cards, networking devices, or video input/output devices.
[0141] Reference numeral 1102 designates a MIN (Mobile Identification Number) signals receiver, which through the use of the MIN signal that are received, uniquely identifies a cellular customer.
[0142] Reference numeral 1103 designates a caller identification unit, which based on input from the caller or signals that are provided by the device, identifies a caller. Such signals include calling number signals or MIN numbers from the MIN signal receiver. In the case of landlines, automatic number identification signals (ANI) may be used. Further, users may identify specific identifying information as apposed to following an automated scheme. After receiving the callers' information the, the caller identification unit interfaces with the memory 1106 . The memory 1106 stores all information for the control unit including database and user information, in order to identify the caller using the information provided.
[0143] Reference numeral 1108 designates a call control unit, which is required for actually interfacing with the caller and includes various automated query and response units and determines the nature of phone calls before carrying out any necessary transactions.
[0144] Reference numeral 1103 is a balance determination unit, which is utilized after obtaining the callers identity to determine the caller's balance. Reference numeral 1105 designates a currency converter, which is utilized for the conversion of credits and currencies to the desired credits and currencies. Reference numeral 1107 is a general processor, which runs all the applications and programs on the control unit and handles all related overhead. Reference numeral 1107 may be used to run any and all of the identified components of the control unit.
[0145] FIG. 12 is a flow diagram for the process of a caller trying to contact the control unit for some query. In step 1201 , the control unit illustrates receiving a call from a caller. The control unit then identifies the calling number, through ANI (Automatic Number Identification), or by obtaining a MIN or some other scheme provided by a communications provider. If the calling number is un-identifiable, it is simply considered a NULL value. In step 1203 , an identified number is tested to determine if it was identified as being NULL (meaning unidentifiable). If the number was identified as NULL, the system continues on to step 1205 , wherein the control unit requests caller information from the user. If the number identified was not NULL, the system advances to step 1204 , wherein the system attempts to match the identified number with a record stored by the system. If a record is not identified, the system proceeds to step 1205 , to acquire further user information. If a user is identified, the system advances to step 1206 .
[0146] In step 1205 , the system requests the user to provide additional information. This information may include, but is not limited to, address information, name, phone numbers, social security numbers, or any such identifying information collected by the control unit. The system then advances to step 1209 , which attempts to find a record for the caller based on the information provided. If the record is found, the system advances to step 1210 . If it fails, the system advances to step 1211 .
[0147] In step 1206 , the system attempts to verify the caller's identity. This is in case a caller is calling from a number that has multiple identified records or if a person is calling from a number with an identified record that is not theirs. The identification process may be carried out in a variety of well-known ways. This also confirms that the person calling, even if from an authorized number, is who he or she purports to be. If the identity is verified the system advances to step 1207 . If not, the system advances to step 1205 .
[0148] Step 1209 is the same as step 1204 , but if it fails to find a record, the system advances to step 1211 . If it succeeds, the system advances to step 1210 . Step 1210 is the same as step 1206 , but if it fails to verify the caller the system advances to step 1211 . If it succeeds, the system like in step 1206 , advances to step 1207 .
[0149] At step 1207 , the system receives a caller's request. This is one of any number of requests, such as “what is my balance?” The system may also present the user with a variety of options from a menu. The control unit then provides a response to the caller's query at step 1208 . The control unit then queries the callers, at step 1215 , if they would like to be connected to an operator or if they have another query. The system then advances to step 1216 . At step 1216 , if the caller has another query, the system returns to step 1207 . If not, the system advances to step 1213 . At step 1213 , if the call is to be connected to an operator, the system advances to step 1214 , where the call is connected to an operator. If not, the control unit disconnects the call at step 1212 .
[0150] At step 1211 , the callers are prompted that the system has failed to verify or identify their identity and informs them that they can be connected to an operator and is queried if they wish to be. The system then advances to step 1213 .
[0151] As has been previously stated, the above systems depict non-parallel paths and single step operations to perform their necessary functions. The steps could be implemented in other ways and could possibly be performed in different orders. The drawings and descriptions are included for illustrative purposes.
[0152] Although the above description may contain specific details, they should not be construed as limiting the claims in any way. Other configurations of the described embodiments of the invention are part of the scope of this invention. Accordingly, the appended claims and their legal equivalents should only define the invention, rather than any specific examples given. | A system and method for facilitating purchase of goods and services by pre-payment via a universal gift or other pre-paid card with incentives. The universal gift or other pre-paid card provides incentives to vendors and consumers that use it. It permits flexible purchase of goods and services by consumers. The consumers are recipients of the universal gift card from others or purchasers of the universal gift card who decide to use the card themselves. The universal gift card is usable at any one of a plurality of merchants who are designated and authorized by the system. The universal gift card permits purchase up to a specified amount, which must be paid by a consumer prior to its use. The specified amount is either maintained on the universal gift card itself or is maintained on a database associated with the system, which maintains associated accounts and controls its use. The universal gift card preferably has few restrictions (e.g. expiration date), if any, to facilitate ease of use by consumers. Among the incentives provided is the ability to designate preferences, such as provide a percentage of specified amounts to charitable donations and to reduce transaction costs that are often associated with payment methods other than use of hard physical currency. | 98,136 |
BACKGROUND OF THE INVENTION
Vacuum or pressure operated switches have been used in the automotive industry for many years to transduce a change in pressure to an electric signal usable either to control another function or to simply provide an indication of condition to the operator. An example of the latter would be a pressure transducer for actuating a warning light on the vehicle dashboard when oil pressure falls too low.
The present vacuum operated switch, however, is specially designed for the former purpose, i.e., to control a subsequent function. In this case the switch is designed to sense engine manifold vacuum and to control a transmission converter locking mechanism. It is also designed to energize and deenergize emission control components. While designed for the requirements of these specific applications, the present switch assembly of course has other applications as well.
The basic switch mechanism is of the movable over-center contact blade type that carries a contact pivotable between two aligned stationary contacts. A spring biases the blade from its center position to provide the necessary snap action for the switch. This basic switch mechanism is combined with a diaphragm actuator to form the complete switch. This mechanism is prior art, but the prior art switches of this type all require an excessive number of parts for supporting the stationary contacts, as well as the movable contact blade, and they also require wiring between the terminal and contacts, both of which contribute significantly not only to the cost of the parts and particularly to the labor cost in assembling the device, but also negatively to the reliability of the switch itself.
It is a primary object of the present invention to ameliorate these prior art problems found in vacuum and pressure switches.
SUMMARY OF THE INVENTION
In accordance with the present invention, a vacuum operated electric switch is provided for sensing the pressure in the manifold of an automobile and to provide an electric signal, or signals, to control transmission and emission control functions. The switch includes a cup-shaped housing having a cover at the closed end defining a sensing chamber. This sensing chamber has no movable parts except a diaphragm which only bends. A unitary switch subassembly is fitted into the opened end of the housing and it is designed so that it may be completely manufactured prior to insertion into the housing and in contact with the diaphragm to reduce manufacturing time through independent assembly, as well as making assembly easier.
The switch subassembly includes two spaced stationary contacts, with an over-center movable contact blade carrying a contact engageable selectively with the stationary contacts. A spring engages the contact blade to bias it away from its center position towards the stationary contacts to give the switch its snap action characteristic. All three terminals for the subassembly are made from a single stamping that is insert-molded in a body or base of the switch subassembly. This eliminates any fasteners for the terminals. The upper ends of the terminals project from the base and two of them are bent over 90 degrees with respect to the plane of the insert-molded portions of the terminals, and the ends directly support the stationary contacts. This eliminates any need for wiring or supporting the stationary contacts.
The contact blade is pivoted over-center by a pivotal lever that hooks over one end of the contact blade. This lever is actuated by a plunger assembly slidable in a cup-shaped cover for the subassembly. The switch subassembly, therefore, has basically only three moving parts; (1) the contact blade, (2) the lever, and (3) the plunger----providing greatly reduced cost and increasing the reliability of the switch significantly.
All wiring is also eliminated in connection with the movable contact. A bracket for pivotally supporting the actuating lever is staked directly to one of the terminals insert molded in the subassembly body. This provides an electric circuit path between the movable contact and its terminals through the contact blade, the lever and this bracket. The bracket itself not only supports the lever and also provides an electric conducting path to the movable contact terminal, but further supports the spring that biases the movable contact blade from its center position.
It is readily seen that the present vacuum switch is vastly superior in design and easier to manufacture than prior vacuum switch assemblies. It requires no special wiring for the terminals or contacts since all wiring is provided by the elemental switch parts themselves. Only one bracket is required for the entire switch subassembly. There are no moving parts associated with the diaphragm vacuum chamber since the actuating plunger is part of the switch subassembly and the diaphragm is springless.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a perspective view of the present vacuum operated switch assembly;
FIG. 2 is an enlarged cross-section of the switch assembly shown in FIG. 1, taken generally along line 2--2 in FIG. 1;
FIG. 3 is a cross-section of the present vacuum operated switch assembly, taken generally along line 3--3 of FIG. 2;
FIG. 4 is a fragmentary section taken generally along line 4--4 of FIG. 2;
FIG. 5 is a horizontal cross-section taken generally along line 5--5 of FIG. 4;
FIG. 6 is a fragmentary section taken substantially in the plane of FIG. 2 as a vacuum is applied to the diaphragm; and
FIG. 7 is a cross-section taken generally in the plane of FIG. 2 with a vacuum being applied to the diaphragm sufficient to actuate the switch.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENT
Viewing the drawings, and particularly FIGS. 1 and 2, the present diaphragm operated switch assembly 10 is seen to generally include a cup-shaped main housing 11 having a cup-shaped cover 12 at one end defining a vacuum chamber 13, and a unitary switch subassembly 14 in the open end of the housing that completes circuits to terminals at terminal end 16 of the switch subassembly as the switch moves to one of its two stable positions.
The housing 11 is a one-piece member of cup-shaped configuration having a stepped bore 18 including an enlarged portion 19 at the open end of the housing, an intermediate threaded portion 20 for holding the switch assembly 14 in position, and a smooth upper portion 21 for slidably receiving the upper end of the switch assembly 14 and a reduced portion 22 that provides communication between the interior of the housing 11 and the pressure chamber 13. The upper end of housing 11 has an integral annular flange 24 having a semi-toroidal upper surface projection 25 for holding and sealing metal diaphragm 26 in its proper position.
The cup-shaped cover 12 has a centrally disposed upwardly axially extending fitting 28 formed integrally therewith. Fitting 28 is adapted to be connected to the manifold of an automobile through suitable tubing (not shown) so that the chamber 13 is subjected to manifold pressure, or more appropriately vacuum. The fitting 28 carries a nozzle member 29 having a narrow orifice 30 for controlling the rate of application of vacuum to the chamber 13. Fitting 28 has a large opening 32 at the end thereof, providing unrestricted communication with manifold pressure.
The cover 12 has a cylindrical side wall 33 that fits over the flange 24 of the housing 11 and it is fixed to the flange by roll-staking the sidewall 33 around the flange forming an inwardly bent portion 34 on sidewall 33 that engages bottom wall 35 on flange 24. Thus, during assembly the pressure chamber 13 is formed first by placing the diaphragm 26 on upper surface 37 of the housing 11 fitting it over the toroidal projection 25, thereafter placing an annular gasket 39 on the diaphragm 26, thereafter positioning cover 12 over the flange 24 in engagement with the gasket 19, and then roll-staking the sidewall 33 of the cover to the flange, as it is shown in the drawings. This provides a completely independent subassembly of the pressure chamber 13 from the subassembly of the switch assembly 14, permitting the parts to be processed simultaneously rather than dependently during the manufacturing operation.
An L-shaped bracket 42 supports the entire switch assembly 10 for mounting the switch within the engine compartment. Bracket 42 has a leg portion 43 fixed to the top wall of the cover 12 and a second leg portion 44 adapted to be mounted to a wall within the engine compartment.
The switch subassembly 14 is an integral unit that is inserted as a unit into the housing 18 after assembly. The switch subassembly is seen to include a generally annular body 45 having a threaded portion 46 threadedly engaged with threads 20 in the housing 11. The body 45 is a plastic molding having an integral generally rectangular terminal end 16 into which terminals 48, 49 and 50 are insert molded. The terminals 48, 49 and 50 are insert molded into the body 45 as a single interconnected plate, and thereafter the upper ends of the terminals 48, 49 and 50 are separated by cutting and then bent over to the positions shown in the drawings. The upper end of terminal 50 is arcuate in configuration, as seen clearly by arcuate portion 51 seen in FIG. 5. This arcuate portion 51 is bent over 90 degrees with respect to the plane of the terminals 48, 49 and 50, and carries a fixed contact 52 at its end.
The upper end of terminal 49 also projects upwardly from the molded body 45 and it is also bent over 90 degrees with respect to the plane of the terminals 48, 49 and 50, as seen by terminal portion 53 in FIGS. 2 and 3. The end of terminal portion 53 carries another fixed contact of the switch, contact 54 aligned with contact 52.
The movable contact for the switch is provided by a flat bifurcated contact blade 56 having upper and lower contacts 57 and 58 at the end thereof engageable selectively with the fixed contacts 52 and 54 as the blade 56 pivots from its position shown in FIG. 2 to its position shown in FIG. 7. As seen in FIGS. 4 and 5, contact blade 56 has spaced legs 57' and 58' that permit the blade to receive an over-center spring 60 having a hooked end 61 extending through an aperture 63 in the contact blade 56.
Spring 60 is a coil tension spring and because of its general alignment with the plane of the blade 56 serves an over-center function that tends to urge the blade 56 away from its position between the contacts 52 and 54 in one direction or the other so that the contact blade 56 has a first stable position where contact 57 is in engagement with contact 52, and a second stable position where contact 58 is in contact with fixed contact 54, achieving a bistable function for the switch, as well as its snap action movement. In this manner the contacts 52 and 54 act as abutments for the blade 56.
The contact blade 56 is supported, with the aid and urging of the tension spring 60, in a pivotal lever 65. Lever 65, as seen best in FIG. 3, has a rectangular oblong opening 66 in a substantially vertical end portion 67 on the lever. This opening 66 receives a tongue 68 on a fixed bracket 70 so that the lever 65 is pivotally supported on the bracket in the plane of FIG. 2 and transverse to the plane of FIG. 3.
The opposite end 71 of the lever 65 is bifurcated forming legs 72 and 73 that permit the passing of spring 60 freely therethrough. The ends of legs 72 and 73 are bent around, as shown at 75 and 76, to form hooks that receive the ends of the legs 57 and 58 on the contact blade 56. Spring 60 urges the blade into the hooked ends 75 and 76. In this manner the contact blade is supported on the lever 65, but pivotal movement is permitted between the contact blade 56 and the lever 65 to achieve the necessary over-center action of the contact blade 56.
As the lever 65 pivots counterclockwise from its position shown in FIG. 2 to its position shown in FIG. 7, pivoting the right end of the blade 56 above the axis of spring 60, spring 60 will rapidly rotate contact blade 56 in a counterclockwise direction, disengaging contact 57 from stationary contact 52 and engaging contact 58 with fixed contact 54.
An important aspect of the present invention is the manner in which the lever 65 is supported within the housing and more particularly the construction of the bracket 70 that pivotally supports the lever 65. Bracket 70 has an arcuate base portion 78, shown in FIG. 5, having an L-shaped projection 79 at one end received in a horizontally extending undercut recess 80 in the body 45 to aid in holding the bracket 70 to the body (see FIG. 4). The upper end of the terminal 48 projects from the body 45, as shown by terminal portion 81 in FIG. 3, and this end has a reduced projection 82 that is received in a rectangular aperture 83 in arcuate bracket portion 78, as shown in FIGS. 3 and 5. After positioning the bracket portion 78 over the projection 82, projection 82 is deformed in a conventional staking process so that the bracket is staked to the terminal. In this manner, because terminal 48 is insert-molded in the body 45, the bracket is securely fixed to the body without the need for any additional fastening. Moreover, the bracket 70 is electrically conductive as are lever 65 and contact blade 56. In this manner the contacts 57 and 58 are electrically connected to the terminal 48 through contact blade 56, lever 65 and bracket 70 without the need for any special wiring.
The bracket 70 has an upwardly bent end portion 85, as seen in FIGS. 2 and 5, that defines a seat for spring 60. Projection 85 has a recess 86 in the rear side thereof, as shown in FIG. 2, that receives a hook 87 on the end of coil spring 60.
The bracket 70 has an upstanding leg portion 89 bent 90 degrees over into a horizontal upper portion 90 that carries the tongue 68 pivotally supporting the lever 65.
The lever 65 is held in the position shown in FIG. 2 by plunger 91 slidable in a cup-shaped cover 92. The plunger 91 has an upper end in engagement with and biased by the diaphragm 26, and a lower end surface 95 slidably engaging the upper surface of the lever 65 as the lever 65 pivots. The cup-shaped housing member 92 completes the switch subassembly 14 and is carried by the body 45 by a snug fit between its counterbore 93 and a cylindrical boss 94 on body 45.
The switch assembly 14, including the body 45 with the cover member 92 fixed thereto, is removable as a unit to and from the housing 11.
The switch 10, in the position shown in FIG. 2, is termed in its normal position since the diaphragm 26 is relaxed. In this position switch contacts 52 and 57 are closed, so that these are termed the normally closed contacts, with terminal 48 conducting to terminal 50. In this position the diaphragm 26 biases the plunger 91 downwardly while the spring 60 biases plunger 91 upwardly through lever 65. In this position the right end of the contact blade 56 is slightly below the axis of spring 60 so that spring 60 tends to rotate the contact blade in a clockwise direction, closing contacts 52 and 57.
As a vacuum is applied to pressure chamber 13, the diaphragm 26 flexes upwardly adjacent the middle region as shown in FIG. 6, permitting the plunger 91 to move upwardly under the influence of spring 60, acting through lever 65. This action tends to rotate the contact blade 56 in a counterclockwise direction. In the position of the contact blade 56 shown in FIG. 6, the right end of contact blade 56 is coincident with the axis of spring 60, and this occurs just prior to switch actuation.
As a further vacuum is applied to chamber 13, diaphragm 26 flexes further upwardly from the position shown in FIG. 6, the lever 65 raises the right end of contact blade 56 above the center-line of spring 60, permitting the spring to rotate the blade rapidly in a counterclockwise direction, disengaging contacts 52 and 57 and closing contacts 58 and 54. This terminates conduction between terminals 48 and 50 and initiates conduction between terminals 48 and 49. | A vacuum operated electric switch designed for automotive applications having a vacuum responsive diaphragm that releases the switch mechanism for movement from one of its two stable conditions. The switch assembly has a spring biased pivotal overcenter contact blade movable between two stationary contacts to give the switch a snap action characteristic. Stationary contact wiring is eliminated by bending the ends of the terminals, which are insert molded in a switch base, to directly support the contacts. Movable contact wiring is eliminated by staking a bracket for the movable contact blade directly to one of the terminals so that the bracket provides the conductive path between the movable contact and its terminal. The switch assembly is designed as a complete integral subassembly that may be manufactured separately from the main switch housing having a vacuum chamber and diaphragm therein. | 16,321 |
BACKGROUND OF THE INVENTION
From one aspect, the present invention relates to an underwater demolition device of the kind, hereinafter called the kind specified, comprising holding means for holding the device on a ferrous structure, an explosive charge, a detonator and control means for applying to the detonator at a selected time a firing signal to which the detonator responds by detonating the charge.
It is usual to establish between the charge, the detonator and control means of a device of the kind specified a relation in which the control means can fire the detonator to detonate the charge, that is to arm the device, only shortly before use.
The invention also relates to a combination of components of a device of the kind specified which are combined when these components are manufactured and are then transported and stored separately from at least the detonator, prior to use.
SUMMARY OF THE INVENTION
According to a first aspect of the invention, there is provided a device of the kind specified having signalling means which, after arming of the device, is responsive to movement of the device away from a structure with which the device is in contact when armed by providing a movement signal and having indicating means operatively associated with the signalling means and adapted to provide a visual indication that said movement has occurred when the movement signal is applied to the indicating means.
Arming of the device may include establishing a required positional relation between the charge, the detonator and the control means and also establishing an electrical connection between the detonator and the control means. Arming may be carried out in two or more stages, establishment of the electrical connection by closing of a switch being the final stage.
Additionally or alternatively, the movement signal may be applied to the control means to override a prior selection of the time at which the firing signal is to be applied to the detonator.
In a case where the control means has terminals at which the firing signal is presented, and the detonator is connected with these terminals, the terminals may be so positioned relative to the holding means and the signalling means that the terminals are exposed at and are readily accessible from one side of the device, the holding means is arranged for holding the device on a flat plate with said one side of the device against the plate so that the plate conceals the terminals and prevents access thereto, and the signalling means are arranged to respond to movement of the device away from the plate. With this arrangement, when the device has been placed with said one side against a plate and then armed, any attempt to gain access to the terminals will result in generation of the movement signal which may bring about detonation of the charge, either immediately or after a delay.
According to a further aspect of the invention, there is provided a method of preparing a device of the kind specified wherein the holding means, control means and a carrier for the explosive charge are assembled together to form a unit which is stored and transported whilst devoid of an explosive charge and wherein the charge and the detonator are mounted in the carrier during arming of the device.
BRIEF DESCRIPTION OF THE DRAWINGS
An example of a device in accordance with the invention and which is prepared by a method in accordance with the invention will now be described, with reference to the accompanying drawings, wherein:
FIG. 1 shows a rear elevation of the device;
FIG. 2 shows an end elevation of the device;
FIG. 3 is a block diagram of a circuit of the device; and
FIG. 4 is a circuit diagram of the device.
DESCRIPTION OF THE PREFERRED EMBODIMENTS
The device illustrated in the drawings comprises a carrier 10 in the form of a frame having a handle 11. Holding means for holding the device on a ferrous structure are mounted on the carrier. The holding means consists of permanent magnets 12 and four magnets are provided in the example illustrated. These are arranged at the corners of a rectangle and have respective pole faces which are coplanar and which lie at one side of the device, called herein the rear of the device.
An explosive charge 13 is removably mounted in the carrier 10 by means of screws 14 which extend through respective apertures in the carrier into a plastics envelope of the charge. Other fasteners or alternative arrangements may be used for securing the charge in the carrier. There are also mounted in the carrier a float 15 and control means 16. The float reduces the weight of the device, when submerged in water, and thus makes the device easier to carry. However, the float may be omitted, if not required.
The control means 16 comprises a water-tight housing, at the outside of which is a pair of electrical terminals 17 which are connected by flexible leads 18 with a detonator 19 attached to or embedded in the charge 13. It will be noted that the terminals, the leads 18 and the detonator all lie at the rear side of the device and are inaccessible, except from the rear of the device.
The control means further comprises signalling means 20 for providing a movement signal when, after arming, the device is moved away from a structure with which the device is initially in contact at its rear side. The signalling means comprises an electrical switch having an operating member which projects from the housing of the control means 16 rearwardly of the device to contact a structure at the rear of the device against which the device is held. When the operating member projects beyond the plane containing the pole faces of the magnets 12, the switch of the signalling means 20 is closed. The switch can be opened by depressing the operating member in a direction forwardly of the device until the tip of the operating member lies in the plane containing the pole faces of the magnets. The operating member of the signalling means also is accessible only from the rear of the device. The remainder of the signalling means is inaccessible because it is inside the housing.
As shown in FIG. 3, the signalling means 20 is connected electrically with indicator means 21 which is adapted to provide a visual signal to a user when the operating member of the signalling means projects beyond the plane containing the pole faces of the magnets 12, after the device has been armed. The indicator means comprises a light-emitting diode or other light source which is visible from the front of the device through a transparent panel in the housing of the control means 16.
The control means 16 includes a capacitor 22 from which a firing signal can be conducted to the terminals 17 to fire a detonator connected to the terminals. There is connected in series with the capacitor and terminals first and second switching means 23 and 24 respectively. The first and second switching means are normally in a non-conducting condition and therefore both prevent conduction of the firing signal to the terminals.
A time 25 is included in the control means for setting the first switching means 23 in a conducting condition after elapse of a predetermined interval from arming of the device. Typically, this interval would be twenty five minutes. Conduction of the firing signal to the terminals 17 is therefore prevented until this predetermined interval has elapsed from arming of the device.
The signalling means 20 is arranged to apply the movement signal to the second switching means 24 to set the second switching means in a conducting condition. Accordingly, if the operating member projects beyond the plane containing the pole faces of the magnets 12 when the predetermined interval elapses, or the operating member moves into such a position after the predetermined period has elapsed, both of the switching means will become conducting and allow the firing signal to pass from the capacitor 22 to the terminals 17.
The control means 16 includes an arming switch 26 which has a number of sets of contacts. One of these sets, 27, is normally closed and is connected across the capacitor 22 to prevent charging of the capacitor before the device is armed. A parallel pair of resistors R 13 , R 18 is connected in series with the contacts 27. The timer 25 has a pulse generator adapted to supply charging pulses to the capacitor 22 after the elapse of the predetermined interval, but not earlier. The arrangement is such that charge is applied to the capacitor 22 by an edge of each current pulse from the pulse generator. However, the capacitor cannot be charged by a continuous current. This ensures that malfunction of the timer 25 is unlikely to result in charging of the capacitor 22 before elapse of the predetermined interval. Electrical energy is supplied to the timer 25 from a main battery 28 of the device through a main switch 29 and contacts 30 of the arming switch. The main switch (not shown) is accessible only from the rear of the device.
The control means 16 includes a further timer 31 powered by a separate battery 32 through additional poles 33 of the main switch. This timer is adapted to set the second switching means 24 in a conducting condition when the values stored in first and second registers of the timer coincide. Means (not shown) is provided for entering a selected value in the first of these registers. The value in the second of the registers is incremented in accordance with the passage of time from a datum value which may be entered in the second register. Thus, the value in the second register may correspond to Greenwich Mean Time or to some other local time and there may be applied through the first register a value corresponding to the actual time at which the charge is to be detonated. Alternatively, the datum value entered into the second register may be zero so that the value in the second register will represent elapsed time and the value entered in the first register will then represent the time delay before firing of the charge.
The control means 16 includes a liquid crystal or other display which can be seen through the transparent panel of the control means housing and in which the contents of either register of the timer 31 can be displayed.
The control means 16 also includes an override switch 34 which is normally held in a first condition by a removable pin (not shown) accessible at the front of the device. In its first condition, the override switch provides a connection between, on the one hand, the second switching means 24 and, on the other hand, the timer 31 and the signalling means 20. In its second condition, which is represented in FIG. 3, the override switch provides a connection between the timer 25 and the second switching means so that the timer 25 is able to set both the first and second switching means into a conducting condition. The override switch 34 is changed automatically into its second condition when its pin is withdrawn and is not then accessible so that it cannot be returned to its first condition.
The first and second switching means 23 and 24 are preferably semiconductor devices, for example thyristors, as shown in FIG. 4.
The device illustrated in the drawings would normally be manufactured without the charge 13 and detonator 19. The magnets 12, float 15 and control means 16, including the signalling means 20, are assembled on the carrier 10 to form a unit which is transported and stored separately from the charge. The carrier is preferably adapted to received a standard charge which is in common use at the present time. The charge can be stored in a magazine without space in that magazine being occupied by the unit which includes the carrier 10.
When the device is to be used, the charge 13 is secured to the carrier 10 by the screws 14. The detonator may be connected to the terminals 17 and embedded in the charge at the same time or the detonator may be applied subsequently. The device, including the charge 13 but not necessarily including the detonator 19, is carried to the site where it is to be used. After the detonator has been applied, the rear of the device is presented to a ferrous structure so that the device is drawn into contact with, and is held in contact with, the structure by the magnets 12. Before the device contacts the structure, the operating member of the signalling means 20 projects beyond the plane containing the pole faces of the magnets 12. As the device is drawn into contact with the ferrous structure, the operating member engages that structure and is depressed until its tip is coplanar with the pole faces of the magnets. No other part of the device projects beyond the plane containing the pole faces of the magnets. The signalling means 20 is thus set in a non-conducting condition.
The registers of the timer 31 are set, either before of after the device has been applied to the ferrous structure, but before the device is armed. When the device is armed, by means of the arming switch, the setting controls of the timer 31 are disabled so that the contents of the registers cannot be changed. Operation of the arming switch also closes switch contacts between one of the terminals 17 and the capacitor 22 and the other of the terminals 17 and the second switching means 24. As previously mentioned, operation of the arming switch also energises the timer 25.
The arming switch 26 has a handle (not shown) which is accessible from the front of the device. Means is provided for preventing transmission of torque from the handle to the contacts of the switch 26, once the arming switch has been set from its normal condition into a condition in which the contact 27 are open. This means may comprise a spring-loaded detent (not shown) which moves into engagement with an abutment of the arming switch when the device is armed, so preventing subsequent rotation of the handle of the switch. Alternatively, means may be provided for discontinuing a connection between the handle of the switch and the switch contacts.
After the elapse of a delay determined by the timer 25, the application of charging pulses to the capacitor 22 is commenced. Within a few minutes, the charge on the capacitor is sufficient to fire the detonator. After elapse of a slightly longer interval from operation of the arming switch, the timer 25 applies a signal to the first switching means 23 to set this switching means in a conducting condition. If the override switch 34 has already been operated, this signal will also be applied to the second switching means 24, with the result that the firing signal will be applied to the detonator.
If the override switch 34 has not been operated, the second switching means will normally remain in a non-conducting condition for some time after the first switching means has assumed a conducting condition. If, after the elapse of further time, the values in the registers of the timer 31 coincide, the timer 31 then applies to the second switching means a signal which turns this switching means on so that the firing signal is applied to the detonator.
Prior to coincidence of the values in the registers of the timer 31 being achieved, but after operation of the arming switch 26, and when the first switching means 23 has become conducting, if the device is moved in a direction away from the ferrous structure to which it is held by the magnets 12, the signalling means 20 will operate to turn the second switching means on and permit the firing signal to be applied to the detonator.
The charge 13 can be inserted into the carrier 10 and withdrawn therefrom only at the rear of the device. Thus, once the device has been planted on a structure and the predetermined interval has elapsed after arming, the charge cannot be removed without detonation.
If the device is not applied to a substantially flat, imperforate surface of the ferrous structure, there is a possibility of the operating member of the signalling means 20 remaining in its projected position when the device is held on the structure by the magnets. In this event, when the arming switch is operated, the movement signal will be applied to the indicator means 21 to alert the user to the condition of the signalling means. Because there is available from the timer 25, just after operation of the arming switch, no signal which can establish a conducting condition of the first and second switching means, the device can be moved safely within a few minutes of operation of the arming switch.
In a case where the device is to be used on a non-ferrous structure, the magnets 12 may be substituted by other holding means, for example suction devices.
If additional charges are to be detonated in close proximity to the charge of the device illustrated in the drawings, one or more additional charges mounted in carriers similar to the carrier 10 and provided with holding means can be coupled with the charge 13 by means of detonating cord. The screws 14 may be of tubular form so that detonating cord can pass through them.
If required, the signalling means 20 may be provided with a removable pin which holds the operating member of the signalling means in a retracted position until the pin is removed. | An underwater demolition device has magnets for holding the device on a ferrous structure and a plunger which, once the device has been planted, is held in a retracted position by the structure on which the device is held. If the device is moved from the structure, the plunger protrudes beyond the magnets. A visual indication is provided immediately upon arming of the device if the plunger is then in its protruding position and a timer is provided to prevent detonation until a predetermined delay has elapsed from arming. | 17,455 |
BACKGROUND OF THE INVENTION
1. Field of the Invention
The present invention relates to volumetric metering equipment, especially but not exclusively for use in metering the volume of fluid pumped through one or more injectors by a diesel-engine fuel injection pump.
2. Description of the Prior Art
In one previously proposed form of such equipment, fuel or test oil is directed from such a pump to a piston cylinder arrangement in such a manner that the displacement of the piston provides an indication of the amount of fluid delivered by the pump. When the piston reaches its extreme end of delivery, with maximum displacement, a drain valve is switched to enable fluid to be released from the piston and cylinder arrangement, and so enable the piston to return to its starting end of delivery, corresponding to zero displacement. However, before subsequent displacement of the piston, following closure of the drain valve, can be considered to reflect accurately the amount of fluid delivered by the pump, dynamic equilibrium must be attained. One of the parameters involved in such dynamic equilibrium is the pressure of the fluid delivered to the piston and cylinder arrangement. It is desirable that this should be sufficient to inhibit the formation of any voids in the fuel or test oil. Therefore, after a return of the piston to its starting end of delivery, a certain number of injections from the pump are disregarded in order to enable the system to build up the desired back pressure. This results in an undesirable loss of time in the course of a metering operation.
SUMMARY OF THE INVENTION
A first aspect of the present invention seeks to provide a remedy to this problem.
Accordingly, this aspect of the invention is directed to volumetric metering equipment comprising (a) a metering unit having a chamber-defining part and a movable part, within the chamber-defining part, which is moveable in a given direction to increase the size of the chamber defined by the chamber-defining part and in the opposite direction to decrease the size of the chamber, (b) input and output port means of the chamber-defining part, the port means being in communication with the chamber, (c) at least one input line connected to the port means, (d) an input fluid-flow valve included in the said at least one input line, (e) an outlet line connected to the said port means and (f) a drain fluid-flow valve included in the output line, the equipment being such as to require a predetermined minimum operating pressure of fluid within the chamber, in which end-approach signal means are connected to the metering unit and are so constructed as to provide an end-approach signal when the moveable part is a predetermined distance away from the physical end of the available travel in the said opposite direction, and in which drain valve control means are directly or indirectly connected to the end-approach signal means and the drain valve and are so constructed as to close the drain valve upon receipt of an end-approach signal from the end-approach signal means, whereby (i) the inertia of the moveable part creates an increase in pressure of fluid in the chamber, to a required minimum operating pressure, by the time the speed of movement of the moveable part in the said opposite direction falls to zero, and/or (ii) the return force applied to the moveable member to move it in the said opposite direction remains transmitted to fluid in the chamber when the speed of movement of the moveable part in that direction falls to zero.
The end-approach signal means may also be so constructed as to provide a preliminary end-approach signal before the end-approach signal referred to in the immediately preceeding paragraph, in which case input fluid-flow valve control means would be directly or indirectly connected to the end-approach signal means and the input fluid-flow valve and would be so constructed as to open the input fluid-flow valve upon receipt of a preliminary end-approach signal from the end-approach signal means, whereby the pressure of fluid in the chamber is increased by the opening of the input line to the chamber prior to any effect of the end-approach signal referred to in the immediately preceding paragraph.
Preferably the end-approach signal means comprise a linear encoder arranged to provide an indication of the position of the moveable part relative to the chamber-defining part.
Referring back to the previously proposed volumetric metering equipment, the number of disregarded injections is a predetermined fixed number. Also, in the event that the number of lines from the pump which are connection to feed fluid, whether it is fuel or test oil, to the metering unit, a further series of injections are disregarded, equal in number to the said predetermined number, to ensure that the dynamic equilibrium conditions have been re-attained.
It has been found that this results in an unnecessary degree of lost time during the course of a metering operation.
The second aspect of the present invention seeks to provide a remedy to this problem.
Accordingly, in the second aspect of the present invention, volumetric metering equipment is provided in which the number of injections which are disregarded immediately following a change in which of the lines, including the drain line, are opened to the metering unit is dependent upon the average volume of fluid delivered to the metering unit per injection immediately before, at or immediately after the time of the change.
One conceivable way of doing this would be to measure the volume of injections immediately before, at, or immediately after such a change, and to compute from that volume the number of injections which are to be disregarded immediately following a change in which of the lines are open to the metering unit. The computation may involve at least one other characteristic of the delivery, such as the rate of injections.
However, a preferred construction incorporates means which cause the injections required to displace the moveable member of the metering unit by a predetermined distance to be disregarded.
Thus the second aspect of the present invention may be directed to volumetric metering equipment comprising (a) a metering unit having a chamber-defining part and a moveable part, within the chamber-defining part, which is moveable in a given direction to increase the size of the chamber defined by the chamber-defining part, (b) input and output port means of the chamber-defining part, the port means being in communication with the chamber, (c) at least one input line connected to the port means, (d) an input fluid-flow valve included in the said at least one input line, (e) monitoring means connected to the metering unit and constructed to provide electrical signals indicative of movement of the moveable part, and (f) a processor connected to the monitoring means to receive such electrical signals and constructed or programmed to provide an indication therefrom of the volume of fluid delivered to the chamber via the said input line, (g) an outlet line connected to the said port means, and (h) a drain fluid-flow valve included in the output line, in which the processor is also connected to receive electrical signals indicative of a change in the state of the said at least one input fluid-flow valve or a change in the state of the drain fluid-flow valve, and is constructed or programmed to disregard the volume of fluid delivered to the chamber which corresponds to a predetermined displacement of the moveable member immediately following such a change, so as to reduce the likelihood of errors arising through transients not having died away when the equipment is in use whilst at the same time reducing the likelihood of time being wasted by too much fluid delivered to the chamber, immediately following such a change, being disregarded.
The equipment may further comprise detector means arranged to detect pulses within such fluid, and connected to the said processor, the latter being constructed or programmed to disregard the volume of fluid delivered to the chamber at least for the period whilst a predetermined number of such pulses occur immediately following such a change. Preferably, the processor is further constructed or programmed so that, upon expiry of a longer period, corresponding to a second predetermined number of pulses occurring immediately following such a change, the processor no longer disregards the volume of fluid delivered to the chamber, in the event that such expiry occurs before the moveable part has undergone the said predetermined displacement immediately following such a change.
The second aspect of the present invention extends to volumetric metering equipment comprising (a) metering unit having a chamber-defining part and a moveable part, within the chamber-defining part, which is moveable in a given direction to increase the size of the chamber defined by the chamber-defining part, (b) input and output Fort means of the chamber-defining part, the port means being in communication with the chamber, (c) at least one input line connected to the port means and also connected to receive fluid from a fuel pump injector when the equipment is in use, (d) an input fluid-flow valve included in the said at least one input line, (e) monitoring means connected to the metering unit and constructed to provide electrical signals indicative of movement of the moveable part, and (f) a processor connected to the monitoring means to receive such electrical signals and constructed or programmed to provide an indication therefrom of the volume of fluid delivered to the chamber via the said input line, (g) an outlet line connected to the said port means, and (h) a drain fluid-flow valve included in the output line, in which the processor is also connected to receive electrical signals indicative of a change in the state of the said at least one input fluid-flow valve or a change in the state of the drain fluid-flow valve, and is constructed or programmed to disregard the volume of fluid delivered to the chamber which corresponds to a number of injections, that number being dependent upon at least one characteristic of the delivery of fluid to the metering unit, such as the volume or rate of injections immediately before, at, or immediately after such a change, so as to reduce the likelihood of errors arising through transients not having died away when the equipment is in use whilst at the same time reducing the likelihood of time being wasted by too much fluid delivered to the chamber, immediately following such a change, being disregarded.
A third aspect of the present invention is directed to volumetric metering equipment having a plurality of inputs connected to respective lines of a fuel injection pump under test when the equipment is in use, means to provide a measure of the time between two successive injections, means to compute the expected time taken for the equipment to reach a temporary static condition following the first of those injections, and means to reduce the number of lines the fluid from which is being metered at any given instant in the event that the measured time is less than the computed time.
The first, second and third aspects of the present invention extend to methods of metering fluid.
BRIEF DESCRIPTION OF THE DRAWINGS
An example of the present invention will now be described with reference to the accompanying drawings, in which;
FIG. 1 shows an axial sectional view of a metering unit of the equipment coupled to an hydraulic circuit shown in the Figure in diagrammatic form;
FIG. 2 shows a block circuit diagram of the equipment;
FIG. 3 shows a flow chart of an algorithm used to ascertain the order in which the different lines of a fuel injection pump have been connected to the equipment shown in FIG. 1;
FIG. 4 shows a flow chart of a first operating sequence of the equipment shown in FIG. 1;
FIG. 5 shows a timing diagram of operations carried out during the use of the first operating sequence;
FIG. 6 shows a flow circuit diagram of a second sequence of operations of the equipment;
FIG. 7 shows a second timing diagram of operation carried out during the second operating sequence; and
FIG. 8 is an explanatory diagram.
DESCRIPTION OF THE PREFERRED EMBODIMENT
FIG. 1 shows a metering unit 10 comprising a hollow cylinder 12 which is substantially closed at both ends and within which is contained a piston 14. The piston 14 is generally cylindrical in shape, having an external diameter somewhat smaller than the internal diameter of the cylinder 12. It is held in position within the cylinder 12 by means of bearings (not shown for clarity), and is sealed by two annular seals 16 which are spaced apart along the interior of the piston 12 so as to be in sealing engagement with the piston 14, the latter passing through the seals 16. The piston 14 is thereby slidable longitudinally of the cylinder 12. A first end of the cylinder 12 has an inlet port 18, and adjacent to that inlet port 18, and spaced apart therefrom in a longitudinal direction, is an outlet port 20. Both the inlet port 18 and the outlet port 20 open into a metering chamber 22 defined by the internal cylindrical wall of the cylinder 12, the internal wall of the end wall at the first end of the cylinder 12, one side of the seal 16 which is nearer to that first end, and a portion of the outside surface of the piston 14. This metering chamber 22 is accordingly variable in size so that a movement of the piston 14 away from the said first end of the cylinder will increase the size of the chamber 22, and a movement of the piston in the opposite direction will decrease the size of the metering chamber 22.
A longitudinally extending slot 24 is provided on one side of the cylinder 12, and a bridging portion 26 extends between the piston 14, through the slot 24, to a linear encoder 28. The latter may comprise a grating. The encoder 28 is of a known construction in which an electrical signal is issued for every increment of movement of the piston 14 of a predetermined small amount in the longitudinal direction of the cylinder 12.
The other end of the cylinder 12, being at the opposite end to the said first end, is also provided with an inlet port 30. A supply of air pressure 32 is connected to this inlet port 30 so as to create a predetermined pressure of air in the chamber 34 defined by the interior of the cylindrical surface of the cylinder 12, the interior surface of the end wall of the cylinder 12 at its said other end, one side of the seal 16 which is the nearer to the said other end, and parts of the surface of the piston 14. This air pressure therefore serves to urge the piston towards the said first end of the cylinder during use of the equipment.
A common delivery line 36 is connected to the input port 18 and also to individual delivery lines 38, one for each of a plurality of lines 40 extending from respective injectors 42 connected in turn to receive fuel or test oil from the respective lines of a fuel injection pump (not shown). Each line 40 is connected to deliver fuel or test oil to a delivery line 38 via a respective filter 44 and solenoid operated three-port, two position valve 46. In an open position of the valve, the line 40 is connected to the line 38, and in a closed position of the valve 46, the line 40 is connected to a drain 48.
The output port 20 of the metering unit 10 is connected to a drain line 50 which in turn is connected to the drain 48 via a solenoid operated shut-off valve 52 which closes the drain line 50 in a first position, in which the drain line 50 is dead-ended, and opens the line 50 to the drain 48 in a second position.
A piezoelectric point-of-injection detector 54 is connected to the common delivery line 36, so that shock waves transmitted to the common delivery line 36 upon the occurrence of an injection in a line which is open to that common delivery line will result in a corresponding electrical signal being generated by the detector 54.
Although only three lines 40 with associated injectors 42, filters 44 and valves 46 are shown in FIG. 1, eight, twelve, or indeed any number may in fact be connected to the common delivery line 36 depending upon the number of lines of the pump which is to be tested.
Each valve 46 is provided at its inlet, which is connected to the line 40, and also at its outlet, which is connected to an associated line 38, with a control orifice 56. The latter are such as to ensure that pulses or shock waves of fuel or test oil within each line 40 upon the occurrence of injections do not raise the seats of the solenoid valves.
Outputs from the linear encoder 28 of the metering unit 10, and control inputs to the solenoid valves 46 and 52 are connected to an Intel 8752BH micro-controller in the manner shown in FIG. 2. Thus three outputs from the linear encoder 28, being respectively a sine output 62, a co-sine output 64, and a markers output 66, are connected to the micro-controller 60 via respective zero crossover detectors 68. Respective outputs of the zero crossover detectors 68 of the sine and co-sine outputs are connected to respective inputs of a quadrature decoder and counter 70, the output from which is connected to an input 71 to the micro-controller 60. The latter thereby receives signals indicative of the position of the piston 14 within the cylinder 12. The output from the crossover detector 68 of the markers output 66 from the linear encoder 28 is connected to the input of a latch 72, the latter having an output connected to a hold input 74 of the counter 70, and an input 76 of the controller 60.
The point of injection detector 54 is connected to the controller 60 via a rectifier 78, a peak hold 80, a potential divider 82 and a comparator 84. Each of those devices is connected in series in that order from the point of injection 54 to the controller 60, with the final output from the comparator 84 being connected to an input 86 of the controller. In addition, the output of the rectifier 78 is connected directly to a second input of the comparator 84, so that the comparator provides an electrical signal to the controller 60 indicative of the rectified output from the detector 54 at any given instant in terms of a value which is two-thirds of the current peak value of the rectifier output for the most recent series of injections.
A further input 88 to the controller 60 is connected to receive pulses indicative of the rotation of the pump shaft. This is achieved by an optical detector 90 positioned adjacent to a part which is provided with a marker 92 and which is part of or is connected to the pump shaft. The optical detector 90 generates 1024 pulses per revolution of the pump shaft. A divider 94 reduces this output to 128 pulses per revolution, and it is the output from this divider 94 that is connected to the input 88 of the controller 60.
One further input 96 of the controller 60 is connected to receive a signal from a thermistor 98, positioned to provide a measure of the temperature of the fuel or test oil in the system, via an analogue to digital converter 100.
This completes the main inputs to the controller from which measurements are made.
On the output side of the controller 60, control lines 102 are connected to latches 104 which in turn are connected to the control inputs of the solenoids of the twelve valves 46 of the different lines 40 of the equipment, and also to the control input of the solenoid valve 52 in the drain line 50. Respective further outputs 106 from the controller 60 are connected to respective enabling inputs 108 of the latches 104.
This completes the main outputs from the controller 60.
Also shown in the circuit diagram of FIG. 2 is a power supply constituted by an automatic power source connected via a rectifier 112 to a direct current regulator 114, the latter ensuring a uniform direct current output to power the system. The latter is connected to a power supply watchdog 116. The power supply watchdog and 116 is in turn connected to a write inhibit input 118 of an EEPROM constant storage memory 120 which itself is connected directly to the controller 60. All algorithm constants referred to herein are stored in this memory 120. In the event that the power supply falls to a precariously low level, the power supply watchdog 116 sends a signal to the write inhibit input 118 so that the memory 120 is protected from corruption.
The Intel 8752BH micro-controller 60 itself comprises, as is well known in the art, input/output sections 122, a programable section 124, a data memory section 126, a program memory section 128 and a UART section 130 connected to a line drive and receiver 132 having a host output 134, and an input 136 connected to an operator interface which includes a video display and printer (not shown).
The programmable section 124 of the controller 60 comprises, when programmed for use, a de-bounce algorithm 124a connected to receive signals from the input 86 and connected to send signals to a learn firing order loop 124b. The latter is looped with a receive command sub-programme 124c. Also fed to the receive command sub-programme 124c is a metering loop 124d via a temperature correction 124d, a send command 124f, and a bank select calculator 124g, in that order in series. Sub-programmes 124c to 124g constitute a main loop 124h. Inputs 71 and 76 are connected respectively to piston position tracking and piston position error checking routines 124i and 124j respectively. The former also receives signals from a timer interrupt 124k and a piston read point generator 124l. The read point generator 124l receives signals from a pulse counter 124m connected to receive signals from an interrupt request 124n, which in turn has an input connected to the controller input 88.
The operation of the equipment shown in FIGS. 1 and 2 will now be described with reference to the flowchart in FIGS. 3, 4 and 6, and the timing diagrams of FIGS. 5 and 7. From these Figures it will be readily apparent to a computer programmer how to program and set up an 8752 micro-controller to operate in the manner now to be described, from an ordinary application of well established software writing procedures.
The fuel injector pump under test may be connected to the volumetric metering equipment illustrated in FIGS. 1 and 2 with the output lines from the pump connected to the injectors 42 in any order. The shaft of the pump is connected to a drive (not shown) of the equipment via a coupling, so that the angular velocity of the pump shaft may be varied under the control of the drive of the equipment. With the pump installed in this fashion, the optical increment encoder 89 is connected to the shaft of the pump.
Initially, the solenoid valves 46 are in their de-energised state as illustrated in which the lines 40 are connected to the drain 48. A pre-run may be necessary to fill the lines 38, the common delivery line 36, the cavity 22, and the drain line 50 prior to a metering procedure, and also to build up the pressure of the fuel or test oil in the system to the required pressure, sufficient to ensure that no voids are created in the oil that could give rise to an erroneous reading.
Prior to a first metering procedure with the pump thus connected to the equipment, a further pre-run may be necessary to establish the order in which the different lines of the pump are connected to the various test injectors 42. The program stored in the program memory 128 of the controller 60 which effects this pre-run comprises the steps shown in the flow chart of FIG. 3. The program is brought into operation in accordance with a start-up procedure defined in the main command loop 124h. The program itself comprises a loop in which the first step 142 initially sets the value of the selected line, X, equal to one, corresponding to the first line of the twelve lines 40 illustrated in FIG. 1. The next step 144 of the firing order loop selects the line corresponding to the value of X and energises the solenoid of the valve 46 in that line by sending appropriate outputs to the enabling line 106 and the output 102 from the controller 60. This command therefore switches the solenoid valve 46 of the first line into its energised condition in which the line 40 is connected to the common delivery line 36 to which is connected the piezoelectric point-of-injection or commencement-of-injection detector 54. The latter creates signals at the input 86 of the controller 60 from which the software de-bounce algorithm 124a in a program stored in the controller 60 eliminates signals resulting from reflected shock waves in the fuel or test oil following an actual injection.
The third step 148 of the firing order loop records a count of pulses from the divider 94 following the instant the optical mark 92 on the optical incremental encoder 89 passes the detector 90, reached at the instant of the point-of-injection detected by the detector 54. Once three consecutive counts have been recorded at the step 148 of the loop, none of which differ by more than one from any other one of those three counts, the loop passes to its fourth step 150 in which the firing angle, being the established highest count of the three consecutive counts minus one, is stored in an array of the firing angles of the twelve lines for the first line. The loop then reverts back to the first step but with the value of X now incremented to the value 2, whereupon the steps of the loop are repeated for the second of the twelve lines. This is then continued for the third line and so on to the twelfth line, whereafter the firing angle array is completed, and the firing order established.
Once the phase angles for the different lines of the different delivery lines 40 have thus been ascertained, the equipment is ready to perform a metering operation. This may involve the switching in of all the delivery lines 40 to the common delivery line 36 by opening all the solenoid valves 46, or it may involve opening half of those lines, especially if the angular velocity of the pump shaft is very high, and/or if the fuel delivery is high. If one particular line is being monitored particularly closely, it may involve opening only that line to the common delivery line 36. Further changes may occur to the hydraulic circuit shown in FIG. 1. For example, the switching in of one or more of the lines 40 to the common delivery line 36 may occur directly after a draining of the metering chamber 22. Alternatively, the number of lines connected to the common delivery line 36 may be halved whilst the piston 14 is midway between its two ends of delivery, for example in the event that the angular velocity of the pump shaft is increased beyond a predetermined value at that stage.
The number of injections required to bring the hydraulic circuitry into a dynamic equilibrium following such a change will vary depending, for example, on the volume of fuel test oil per injection. If readings are taken before dynamic equilibrium is reached, spurious results will inevitably be obtained. Conversely, if readings are recorded after dynamic equilibrium has been reached, any delay between the time when such equilibrium is reached and the time when readings start to be recorded will be time lost, resulting in a contribution to inefficiency of the system. With a view to reducing any such inefficiency whilst retaining an acceptable degree of accuracy, the controller 60 is programmed in accordance with the flow chart shown in FIG. 4. It effects what might be termed a dynamic flying start. Thus, with reference to FIG. 2, upon reception by a pulse counter 124m within the controller 60 of a sufficient number of pulses to give a count corresponding to a phase of a given selected line, a piston read point generator 124l connected to the pulse counter 124m triggers a signal for a reading of the piston position, as indicated by the input 71 to the controller 60, to be taken. The first step 160 of the dynamic flying start procedure illustrated in FIG. 4 is to wait for this reading to occur. The next step 162 is to raise a flag (this being an electronic indicator) in the event that the hydraulic circuit has undergone one of the aforementioned changes. If it has, then certain parameters are set at step 164. In particular, the EEPROM memory 120 is accessed to read off the value X set for the minimum flying start distance required, being the minimum distance of travel of the piston 14 immediately following a change in hydraulic circuitry that is considered necessary to achieve dynamic equilibrium, the number Y of injections which is considered to be the minimum necessary to achieve dynamic equilibrium notwithstanding that the aforementioned minimum distance of travel has already occurred, and the number Z of injections which is considered to be sufficient to achieve dynamic equilibrium notwithstanding that the piston has not yet travelled the distance X immediately following a change in the hydraulic circuitry. The injection count at step 164 is set to zero, and the current piston position is memorised. Finally, a "flying start completed" flag is set to false.
Typical values for X, Y, and Z are 0.1 mm, 10 injections and 60 injections.
These values having been set at step 164, the injection count is incremented at step 166. The next step 168 checks whether the current piston position, less its reference position set at 164, has exceeded the minimum flying start distance X. If it has, the flow path passes to step 170 at which the question is asked, whether the value of the injection count has exceeded the minimum number of flying start injections Y. If the answer to that question is also in the affirmative, the flow chart passes to step 172 which changes the "flying start completed" flag to true, so that the injected delivery to the measuring chamber 22 at the injection concerned is recorded at step 174 to form part of the metering statistics, whereafter the flow path is looped back to step 160 to the next injection.
If at step 168 the distance of travel of the piston immediately after the change in the hydraulic circuit has not exceeded the minimum flying start distance X, then the flow path by-passes step 170 and moves straight to step 176, at which the question is posed, whether the injection count has exceeded the maximum number of flying start injections Z. If it has not, then the equipment is not deemed to have reached dynamic equilibrium, and the reading for the injected volume for that injection delivered is discarded at step 178, whereafter the flow path is looped back to step 160.
If, at step 170, the injection count has exceeded the minimum number of flying start injections Y, step 176 is by-passed so that the flow path passes directly to step 172, to change the "flying start completed" flag to true and pass on to recordal of an injected delivery at step 174 and thence back to the starting step 160.
If, at step 176, the injection count has exceeded the maximum number of flying start injections Z, then the flow path count passes directly to step 172 to change the "flying start completed" flag to true and to effect recordal of the injected delivery at step 174 and pass the flow path back to the starting step 160.
If, at step 162, the hydraulic circuit has not changed, this may be because a flying start procedure is underway. Therefore, the question is asked of the flow chart at step 180, whether, if the hydraulic circuit has not changed, the "flying start completed" flag is true or not. If it is not, it is understood that the flying start procedure has not been completed, and the flow path passes to step 166 at which the injection count is incremented and the relevant questions regarding the size of the injection count and the distance of piston travel are asked. If, however, the "flying start completed" flag is true, then the flow path passes directly from step 180 to step 174 at which the injected travel is recorded and the flow path passed back to the start step 160.
A further step 182 is included in the dynamic flying start procedure to ensure that, in the event that the metering unit is draining, the dynamic flying start procedure is overridden.
The consequence of such a "dynamic flying start" procedure in the course of a series of measurements, is illustrated in the timing sequence of FIG. 5. The square wave pulse signal labelled T in this diagram represents the time, each square wave cycle representing a unit of time. It should be borne in mind that FIG. 5 is purely diagrammatic, so that the relative gradients illustrated do not necessarily reflect the gradients that would be found in actual equipment embodying the present invention. Nonetheless, for the purposes of the diagram, common graphs share a common time scale.
Directly underneath the time scale T is a timing sequence representing injection read points at which a reading of the current position of the piston is taken by the controller 60. Below this is a square wave signal representing the "flying start completed" flag, in which a high level represents times when the flag has a true value, and the low level represents the times when it has a false value.
Accordingly, the high level here represents those times when a reading of the piston position at each injection read point is taken and recorded for metering purposes, whereas the low level represents times when the injected delivery for a given injection read point is discarded.
The uppermost graph in FIG. 5 represents the position of the piston as a function of time, so that greater distances of displacement of the piston within the cylinder are represented by higher points on the graph.
Thus at the beginning of the uppermost graph in FIG. 5 a black disc 190 represents the commencement of a metering procedure in which half the valves 46 are switched to connect their associated lines 40 to the common delivery line 36. The gradient of the line extending from that disc 190 represents the average speed of travel of the piston from its starting end. Whilst such movement should in fact be represented more by a stepped movement, with a small oscillatory component at the start of each step, corresponding to the successive injections, it is here for the sake of simplicity represented by a simple straight line 192. At the point 194 on the straight line 192, the piston has travelled a distance X, being the minimum flying start distance preset by the value therefor recorded in the EEPROM memory 120. If the minimum number of flying start injections Y has been set to the value three, and the maximum number of flying start injections, Z, has been set at ten, it will be seen from the timing sequence in FIG. 5, that the point 194 occurs after the minimum number of flying start injections have occurred (counting the injection point that is substantially coincident with the point 190 as the first). At the same time, the point 194 occurs before the maximum number of flying start injections have occurred since the distant 190. In this case, the point at which the "flying start completed" flag flips from false to true, and hence the point at which the volume of injected deliveries is recorded, coincides with the point in time at which the piston 14 has completed the minimum flying start distance X immediately following the point 190.
At the point represented by the black disc 196, those valves 46 which had hitherto been closed are now opened. This point therefore represents a stage at which the hydraulic circuit is changed. Consequently a further "dynamic flying start" procedure is initiated in accordance with FIG. 4. It will be seen that the piston is displaced by the minimum flying start distance X, immediately following the point 196, at the point 198, but that at this point in time, the minimum number of flying start injections Y has not occurred since the change point- 196. Therefore, in this situation, the overriding factor is the value of the minimum number of 10 flying start injections Y, which are completed immediately following the change point 196, at the point on the lowermost graph labelled 200.
In the case of the change which occurs at point 202 in the uppermost graph, following which the gradient of the line 204 representing the mean speed of movement of the piston 14 is of a relatively low value, the piston does not move through the minimum flying start distance X until well after the maximum number of flying start injections have occurred. The instant at which the latter occurs is represented by the point 206 of the lowermost graph, and it is therefore this point at which the "flying start completed" flag flips from false to true.
Whilst the "flying start completed" flag is true, the equipment operates in a conventional manner to record the volumes of fuel or test oil injected at each injection. Thus upon every pulse from the divider 94, corresponding to 1/128th of a pump shaft revolution, an interrupt request signal is generated at the interrupt request 124n shown in FIG. 2. A signal from the interrupt request 124n decrements the count in the counter 124m and if the resulting count corresponds with one of the memorised phases of the different lines, the piston read point generator 124l causes the value of the piston position in 124l to be read. Each piston position so recorded is compared to the last recorded value to ascertain the value of fluid (calculated from the diameter of the piston) injected by the current injection, and the line to which this volume is attributed is known from the memorised values of the line phases. The recorded volume is added to the appropriate value of the accumulated volume for each line. These values may be termed collectively the delivery array. This is executed in the meter loop 124d. The recorded volumes may be displayed on a video screen (not shown) and/or printed out on paper (not shown), for example as a bar chart with each bar representing the accumulated volumes of injections for a given line. This procedure will not be described in any further detail since it forms part of the existing art.
The bank select calculator 124a calculates an expected time taken for the piston 14 to come to rest following an injection, from the time between injections, the volume per injection and the pump speed. If this exceeds the time available between injections, a reduction in the number of lines 40 connected to the command delivery line 36 at any one time is made, by alternately connecting different groups (or banks) of lines to the metering unit. For example, there may be two groups, one comprising any number from one to twelve of the lines, and the other group comprising the remainder of the twelve lines. Or there may be more than two groups, for example three groups of four lines.
Means may be provided to check that any change in angular velocity of the pump shaft has not significantly changed the phases of the points-of-injection of the different lines. Thus if the phase of the first line has shifted, all the memorised values for the phases are shifted by the same amount.
The line portions having a negative gradient in the uppermost graph shown in FIG. 5 represent draining of the metering chamber 22. This occurs when the piston reaches its far end of travel, at which point in time the solenoid valve 52 is switched to its open condition to connect the drain line 50 to the drain 48. Accordingly, fuel or test oil is urged out from the metering chamber 22 by movement of the piston 14 towards its start end of travel, through the outlet 20, under the action of the force of pressurised air in the chamber 34.
The full operating sequence for the drain procedure is illustrated in FIG. 6. This represents as a flow chart the drain program stored in the program memory 128 operated by the controller 60 when the equipment is in use. It comprises a first step 210 at which a reading is taken of the current position of the piston by the controller 60. This occurs at predetermined time intervals, and also at injection read points. The question is then posed at step 2 12 as to whether the piston position is beyond its maximum travel limit. This limit is a software limit determined by a value stored in the EEPROM memory 120, and is represented by the line 213 in FIG. 1. If that travel has not been exceeded, the flow path is looped back to step 210. If it has been exceeded, all solenoid valves are switched to connect their respective lines to the drain 48 at step 214. Following that, with step 216, the question is posed as to whether the piston has passed a first position, closer to the start end of travel than the maximum travel limit, this first position being again determined by a value stored in the EEPROM memory 120, and is represented by the line 217 in FIG. 1. If that limit has not been exceeded, the flow path is looped back to step 214. If it has, the next step 218 is executed, in which the solenoid valves 46 are switched to connect their lines 40 to the common delivery line 36, whilst the drain valve 52 remains in its open condition connecting the drain line 50 to the drain 48. This creates a feed of fuel or test oil to the metering chamber 22 whilst it is being drained, so that the pressure therein is increased, and at the same time, the rate of movement of the piston 14 towards its start end of travel is decreased. At the next step 220 the question is posed whether the piston has passed beyond its start end travel limit. This latter is again a software limit defined by a value stored in the EEPROM memory 120, and is represented by the line 221 in FIG. 1. If this limit has been exceeded step 222 is executed at which the drain valve 52 is closed. It is essential to this embodiment of the present invention that this occurs before the physical end of travel of the piston 14 is reached, so that the latter is free to move closer towards physical limit of the start end of travel after the solenoid valve 52 has been closed, under the inertia of the piston 14, so as to further build up the pressure of the fuel or test oil in the metering chamber 22 to or towards its dynamic equilibrium pressure before a further metering procedure is commenced. This occurs at step 224 whereafter the flow path shown in FIG. 6 is looped back to the first step 210 thereof. This means of pressurising the system during a drain procedure may be called "dynamic system pressurisation", in which the kinetic energy of the piston is used to increase the pressure of fuel or test oil in the system.
In the event that the piston does not reach the minimum travel limit at step 220, the flow path reverts back to step 218 to maintain draining of the metering chamber 22.
The consequence of such a "dynamic system pressurisation" procedure in the course of a series of measurements, is illustrated in the timing sequence of FIG. 7. The square wave pulse signal labelled T in this diagram, as in FIG. 5, represents time, and each square wave cycle represents a unit of time. As with FIG. 5, FIG. 7 is purely diagrammatic, so that the relative gradients illustrated do not necessarily reflect the gradients that would be found in actual equipment embodying the present invention. Neither does the temporal spacing between some of the illustrated events necessarily correspond to the corresponding spacing in actual metering equipment. Nonetheless, as with FIG. 5, the graphs in FIG. 7 share a common time scale.
As also with FIG. 5, FIG. 7 shows directly underneath the time scale T a dynamic sequence representing the injection read points. Below this is a square wave signal representing the state of the solenoid of the drain valve 52. A high level represents closure of that valve, so that a metering operation is in progress, and a low level represents times when that drain valve 52 is open to drain 48 (with reference to FIG. 1) to drain the metering chamber 22.
Directly underneath that square wave in FIG. 7 is shown a periodic wave function representing the hydraulic pressure in the system, for example in the metering chamber 22.
The uppermost graph in FIG. 7 represents the position of the piston as a function of time, so that, as with FIG. 5, greater distances of displacement of the piston within the cylinder are represented by higher points on the graph. The lower dotted line represents the extreme minimum displacements of the piston determined by the physical construction of the cylinder 12. The upper dotted line represents the extreme physical limit of movement of the piston at the other end of the cylinder 12. The lower and upper broken lines represent these limits of travel as set by the software present in the controller 60, these limits therefore being positioned inwardly of the physical limits. Thus it will be seen that at the start of the uppermost graph, the piston is positioned at its minimum physical displacement, or zero displacement, at its start end of travel. It moves towards its far travel limit defined by the software in the controller 60, whereupon a drain procedure commences, as represented by step 212 in FIG. 6, and the piston moves back towards its start end of travel, this being limited by a minimum travel limit defined by the software in the controller 60, as represented by step 220 in FIG. 6. Draining then ceases and the piston moves back towards its far limit of travel to repeat the cycle. The instants at which the direction of movement of the piston changes are determined by changes in the condition of the drain valve 52. Hence the timing of the trailing edges and the leading edges of the square wave graph for the metering solenoid generally coincide respectively with the instants of maximum and minimum displacement of the piston. The hydraulic pressure function at the bottom of FIG. 7 is a consequence of the sequence of operations set out in FIG. 6. It will be noted that the time taken for the pressure to reach the required metering pressure is greater at the very start of the operation of the system because the start-up procedures commence with a zero hydraulic pressure in the system, whereas during a draining and immediately following a draining procedure the pressure of the system is not allowed to fall anywhere near zero pressure.
Referring again to the hydraulic pressure function, it will be seen that at point 230 the piston reaches its maximum travel limit as set by the software in the controller 60 and as represented by step 212 in FIG. 6. A rapid decline in the hydraulic pressure therefore ensues until point 232, corresponding to step 216 in FIG. 6, and the position at which the lines 40 in FIG. 1 are open to the common delivery line 36 so that the hydraulic pressure function falls with a less steep gradient. Point 234 on the hydraulic pressure function represents step 220 in FIG. 6, and the instant at which the piston 14 shown in FIG. 1 reaches the minimum travel limit defined by the software in the controller 60. At this point, the hydraulic pressure climbs very steeply along the line 236, which is steeper than the climb at the very start of operation of the system, before any draining takes place, because it is effected not only by the fact that the lines 40 are open to the common delivery line 36 in FIG. 1, but also because of the increase in pressure created by the inertia of the piston 14 as it tends to over-shoot the minimum travel limit set by the software in the controller 60. This build-up of pressure peaks at point 238 whereupon it falls to the desired pressure sustained during dynamic equilibrium of the system, as represented by the horizontal line 240 in FIG. 7.
It will be appreciated that with previously proposed constructions of metering equipment, the piston 14 would be allowed to continue to its minimum physical limit of travel whereafter the lines 40 would be open to the common delivery line 36. This means that after a drain procedure the hydraulic pressure would fall to zero and the time taken to regain the dynamic equilibrium pressure would be that which is indicated by the time T1 in FIG. 7, which is considerably in excess of time T2.
The operator interface (not shown) may be constructed to enable signals to be sent, by means of a keypad, via the input 136, to inform the controller 60 which lines of the equipment are connected to a fuel injector, in the event that not all the lines are thus connected. The controller then subsequently considers only those lines, disregarding the others.
In an actual physical embodiment of the present invention, the number of injection read points between successive draining procedures may be in the range from 1 to 12,000. The diameter of the metering chamber 22 may be in the range from 10 mm to 125 mm and the diameter of the piston 14 may be in the range from 5 mm to 100 mm. The length of the latter may be in the range from 5 mm to 500 mm, and its weight may be in the range from 1 g to 300 g. The speed it reaches during a draining sequence may be a maximum of 2,500 mm/s slowing to 0 mm/s at the instant of closure of the drain 52.
The manner in which the various inputs to and outputs from the controller 60 are connected is set out in the following table:
______________________________________ Reference number(s) ofReference numeral of pin(s) of the 8752BHinput/output in micro-controller, as givenFIG. 2 by Intel, to which thatconnected input/output is______________________________________ 86 P3.3 (INT1) 88 P3.2 (INT0) 71 P1.0 to P1.7, and P3.5 76 P3.4 96 P3.6 and P3.7106 (upper) P2.6102 P0.0 to P0.7106 (lower) P2.7120 P3.6 and P3.7______________________________________
Numerous variations and modifications to the illustrated equipment will readily occur to a person of ordinary skill in the art without taking it outside the scope of the present invention. To give an example, the software limits of movement of the piston 14 may instead be set by physical electrical contacts which are established when the piston reaches those limits. A further example is the use of a supply of oil pressure, or a return spring, or simply a return mass operating under the influence of gravity, instead of the supply of air pressure 32.
Since, upon a change in the state of one or more of the solenoid valves of the system, the disturbances resulting die away with time, an increase in the values set for X, Y, and Z could be made to sacrifice speed of update of the system for improved accuracy. Accuracy can be sacrificed for speed of update by increasing the number of pump shaft revolutions a given test is run over.
The volumes of the injections as accumulated in the delivery array may be temperature corrected by means of the temperature correction 124e in the main loop 124h.
The circle 800 in FIG. 8 represents a time scale in which the full circle corresponds to one complete revolution of the pump shaft. Therefore a point on the circle may represent the occurrence of an event in a cycle which is repeated in each cycle and which has a phase angle given by the angle between a line which passes through that point and the centre of the circle, and another line which passes through the start of the cycle and the centre of the circle. Points 810, 820, 830 and 840 represent injection points of respective lines 38 of the equipment shown in FIGS. 1 and 2. The oscillating curves 860, 870, 880 and 890 represent oscillatory movement of the piston 14 following an injection. Thus, following for example the injection point 810, the piston 14 first moves linearly until the point 900 is reached. Damped oscillatory motion then occurs until the point 910 is reached. It has been found empirically that the time gap between points 810 and 910 is given by the equation:
y=mx+c
where y is the time gap, x is the volume of fluid delivered per injection, and m and c are constants. From the values already referred to which are present in the controller 60, together with the empirically ascertained values of m and c which may be entered at the time of manufacture of the equipment or via the operator interface (not shown) at a later stage, the controller 60, being programmed to calculate the value of y from the measured value of x, is able to determine, for each and every injection, whether the next succeeding injection occurs before or after the time y has elapsed. In the event of the former, as shown for example following injection point 830, the controller 60 sends command signals via its output 102 to switch some of the solenoid valves 46 to connect their associated lines 40 to drain 48. Thereafter, the group or bank of lines which remain connected to the metering unit 10 are, after a predetermined number of injections, disconnected, and the ones which were disconnected are connected. The controller 60 so selects the groups as to minimize the risk of fluid being injected into the chamber of the metering unit 10 before the piston 14 has come to rest momentarily, immediately following the next previous injection.
It will be appreciated from the foregoing description that the illustrated equipment can accurately measure multi-line fuel injection deliveries irrespective of the angular firing relationship between the them. Also, that the illustrated equipment can accomodate up to twelve injection lines, piped in any order and not necessarily to no:l injector, for the injection pumps with uneven firing angles and odd numbers of injection lines. | Volumetric metering equipment, especially but not exclusively for use in metering the volume of fluid pumped through one or more injectors by a diesel-engine fuel injection pump, having means which serve to cause the inertia of a moveable member, and/or a return force applied to a moveable member to reduce the time taken for a desired back pressure to be built up following a draining operation. | 54,373 |
CROSS REFERENCES TO RELATED APPLICATIONS
[0001] This application is a non-provisional of U.S. Provisional Application No. 61/730,139, entitled LIGHT-BASED TOUCH CONTROLS ON A STEERING WHEEL AND DASHBOARD, and filed on Nov. 27, 2012 by inventors Gunnar Martin Frojdh, Thomas Eriksson, John Karlsson, Maria Hedin and Richard Berglind, the contents of which are hereby incorporated herein in their entirety.
[0002] This application is also a continuation-in-part of U.S. application Ser. No. 13/854,074, entitled LIGHT-BASED FINGER GESTURE USER INTERFACE, and filed on Mar. 30, 2013 by inventors Thomas Eriksson, Per Leine, Jochen Laveno Mangelsdorff, Robert Pettersson and Anders Jansson, the contents of which are hereby incorporated herein in their entirety.
[0003] This application is also a continuation-in-part of U.S. application Ser. No. 13/775,269 entitled REMOVABLE PROTECTIVE COVER WITH EMBEDDED PROXIMITY SENSORS, and filed on Feb. 25, 2013 by inventors Thomas Eriksson, Stefan Holmgren, John Karlsson, Remo Behdasht, Erik Rosengren and Lars Sparf, the contents of which are hereby incorporated herein in their entirety.
[0004] This application is also a continuation-in-part of U.S. application Ser. No. 13/424,543, entitled OPTICAL ELEMENTS WITH ALTERNATING REFLECTIVE LENS FACETS, and filed on Mar. 20, 2012 by inventors Stefan Holmgren, Lars Sparf, Magnus Goertz, Thomas Eriksson, Joseph Shain, Anders Jansson, Niklas Kvist, Robert Pettersson and John Karlsson, the contents of which are hereby incorporated herein in their entirety.
[0005] U.S. application Ser. No. 13/854,074 is a continuation of U.S. Ser. No. 13/424,592, entitled LIGHT-BASED FINGER GESTURE USER INTERFACE, and filed on Mar. 20, 2012 by inventors Thomas Eriksson, Per Leine, Jochen Laveno Mangelsdorff, Robert Pettersson and Anders Jansson, now U.S. Pat. No. 8,416,217, the contents of which are hereby incorporated herein in their entirety.
[0006] U.S. application Ser. No. 13/424,592 claims priority benefit of U.S. Provisional Application Ser. No. 61/564,868, entitled LIGHT-BASED FINGER GESTURE USER INTERFACE, and filed on Nov. 30, 2011 by inventors Thomas Eriksson, Per Leine, Jochen Laveno Mangelsdorff, Robert Pettersson and Anders Jansson, the contents of which are hereby incorporated herein in their entirety.
[0007] U.S. application Ser. No. 13/775,269 is a continuation-in-part of U.S. patent application Ser. No. 13/732,456 entitled LIGHT-BASED PROXIMITY DETECTION SYSTEM AND USER INTERFACE, and filed on Jan. 3, 2013 by inventors Thomas Eriksson and Stefan Holmgren, the contents of which are hereby incorporated herein in their entirety.
[0008] U.S. application Ser. No. 13/424,543 claims priority benefit of U.S. Provisional Application Ser. No. 61/564,164, entitled OPTICAL ELEMENTS WITH ALTERNATIVE REFLECTIVE LENS FACETS, and filed on Nov. 28, 2011 by inventors Stefan Holmgren, Lars Sparf, Thomas Eriksson, Joseph Shain, Anders Jansson, Niklas Kvist, Robert Pettersson and John Karlsson, the contents of which are hereby incorporated herein in their entirety.
[0009] U.S. application Ser. No. 13/424,543 also claims priority benefit of PCT Application No. PCT/US11/29191, entitled LENS ARRANGEMENT FOR LIGHT-BASED TOUCH SCREEN, and filed on Mar. 21, 2011 by inventors Magnus Goertz, Thomas Eriksson, Joseph Shain, Anders Jansson, Niklas Kvist, Robert Pettersson, Lars Sparf and John Karlsson, the contents of which are hereby incorporated herein in their entirety.
[0010] U.S. application Ser. No. 13/424,543 is also a continuation-in-part of U.S. application Ser. No. 12/371,609, entitled LIGHT-BASED TOUCH SCREEN, and filed on Feb. 15, 2009 by inventors Magnus Goertz, Thomas Eriksson and Joseph Shain, now U.S. Pat. No. 8,339,379, the contents of which are hereby incorporated herein in their entirety.
[0011] U.S. application Ser. No. 13/424,543 is a continuation-in-part of U.S. application Ser. No. 12/760,567, entitled OPTICAL TOUCH SCREEN SYSTEMS USING REFLECTED LIGHT, and filed on Apr. 15, 2010 by inventors Magnus Goertz, Thomas Eriksson and Joseph Shain, the contents of which are hereby incorporated herein in their entirety.
[0012] U.S. application Ser. No. 13/424,543 is also a continuation-in-part of U.S. application Ser. No. 12/760,568, entitled OPTICAL TOUCH SCREEN SYSTEMS USING WIDE LIGHT BEAMS, and filed on Apr. 15, 2010 by inventors Magnus Goertz, Thomas Eriksson and Joseph Shain, the contents of which are hereby incorporated herein in their entirety.
[0013] PCT Application No. PCT/US11/29191 claims priority benefit of U.S. Provisional Application Ser. No. 61/379,012, entitled OPTICAL TOUCH SCREEN SYSTEMS USING REFECTED LIGHT, and filed on Sep. 1, 2010 by inventors Magnus Goertz, Thomas Eriksson, Joseph Shain, Anders Jansson, Niklas Kvist and Robert Pettersson, the contents of which are hereby incorporated herein in their entirety.
[0014] PCT Application No. PCT/US11/29191 also claims priority benefit of U.S. Provisional Application Ser. No. 61/380,600, entitled OPTICAL TOUCH SCREEN SYSTEMS USING REFLECTED LIGHT, and filed on Sep. 7, 2010 by inventors Magnus Goertz, Thomas Eriksson, Joseph Shain, Anders Jansson, Niklas Kvist and Robert Pettersson, the contents of which are hereby incorporated herein in their entirety.
[0015] PCT Application No. PCT/US11/29191 also claims priority benefit of U.S. Provisional Application Ser. No. 61/410,930, entitled OPTICAL TOUCH SCREEN SYSTEMS USING REFLECTED LIGHT, and filed on Nov. 7, 2010 by inventors Magnus Goertz, Thomas Eriksson, Joseph Shain, Anders Jansson, Niklas Kvist, Robert Pettersson and Lars Sparf, the contents of which are hereby incorporated herein in their entirety.
[0016] U.S. application Ser. No. 12/760,567 claims priority benefit of U.S. Provisional Application Ser. No. 61/169,779, entitled OPTICAL TOUCH SCREEN, and filed on Apr. 16, 2009 by inventors Magnus Goertz, Thomas Eriksson and Joseph Shain, the contents of which are hereby incorporated herein in their entirety.
FIELD OF THE INVENTION
[0017] The field of the present invention is light-based user interfaces for vehicles.
BACKGROUND OF THE INVENTION
[0018] Reference is made to FIG. 1 , which is a simplified illustration of prior art steering wheel. A prior art steering wheel 400 , shown in FIG. 1 , includes a circular gripping member 401 , one or more connecting members 402 - 404 that connect the gripping member 401 to steering column 407 , and buttons 405 and 406 on connecting members 402 and 403 for controlling various devices in the vehicle. Connecting members 402 - 404 , which connect gripping member 401 to steering column 407 , are also referred to as spokes. In FIG. 1 , button 405 is used to answer an incoming phone call on the vehicle's BLUETOOTH® speaker phone and button 406 hangs up the call. BLUETOOTH is a trademark owned by the Bluetooth SIG of Kirkland, Wash., USA. Controls mounted in a steering wheel can be operated comfortably and safely since the driver is able to control and operate these controls without taking hands off the wheel or eyes off the road.
[0019] Originally, the first button added to a steering wheel was a switch to activate the car's electric horn. When cruise control systems were introduced, some automakers located the operating switches for this feature on the steering wheel as well. Today additional button controls for an audio system, a telephone and voice control system, a navigation system, a stereo system, and on board computer functions are commonly placed on the steering wheel.
[0020] US Patent Publication No. 2012/0232751 A1 for PRESSURE SENSITIVE STEERING WHEEL CONTROLS teaches adding pressure-sensitive controls to the circular gripping member of the steering wheel. Pressure sensors are located at various locations along the perimeter of the gripping member, and different locations correspond to different controls. A control is actuated in response to an application of pressure at a sensor location, e.g., by the user tightening his grip.
[0021] Many present-day vehicle dashboard consoles involve much more than simply displaying information to the driver. The driver, in many instances, is required to navigate a series of touch screen menus and icons in order to operate the dashboard console.
SUMMARY
[0022] The present invention relates to buttons and controls mounted in a steering element and associated dashboard user interfaces. More broadly, the present invention relates to remote controls for on board vehicle systems and associated user interfaces. The term “steering element” in the context of the present specification includes any physical element used to navigate a vehicle, such as a steering wheel, aircraft yoke, side-sticks and center-sticks, ship's wheel, bicycle or motorcycle handle bars.
[0023] Embodiments of the present invention provide a sensor system that detects position, proximity and pressure, separately or in combination, to enable input of complex gestures on and around a steering element. In some embodiments, the sensor system of the present invention is used in conjunction with a head-up display (HUD) or wearable goggles with built in picture presentation. In this case, the HUD or goggles render icons or a grid in the user's field of view. The user extends his hand to interact with the rendered image elements. The sensor detects the user's gestures in 3D space and these coordinates are then mapped onto the rendered image to interpret the user input.
[0024] Embodiments of the present invention also provide a dashboard coupled with a sensor system that utilizes the dashboard display for relevant information without cluttering the dashboard with buttons. The sensor system detects position, proximity and direction for input of complex gestures on the dashboard. In some embodiments, the dashboard is presented to the driver through a HUD or wearable goggles with built in picture presentation. In this case the sensor system enables the driver to interact with graphics presented by the HUD or goggles, by detecting the driver hand gestures and mapping them onto the projected HUD or goggle images. Embodiments of the present invention facilitate operation of the vehicle dashboard system by eliminating irrelevant information from the display. Moreover, a user interface in accordance with the present invention provides context-relevant options, namely, options related to the state and circumstances of the vehicle. E.g., the user interface presents parking options when the user stops the vehicle, and presents options to unlock various doors, such as the trunk and gas tank, when the motor is turned off.
[0025] The present invention relates to a motor vehicle, that includes a steering wheel situated opposite a driver seat in the motor vehicle, the steering wheel including a plurality of proximity sensors encased in the periphery of the steering wheel for detecting hand slide gestures along the outer periphery of the steering wheel, an entertainment and navigation system housed in a dashboard in the vehicle, and, a processor housed in the vehicle and connected to the sensors and to the entertainment and navigation system for controlling the entertainment and navigation system in response to the detected hand slide gestures.
[0026] In some embodiments, in response to a detected upward slide gesture the processor increases an adjustable setting for the entertainment and navigation system and in response to a detected downward slide gesture the processor decreases the adjustable setting.
[0027] In some embodiments, the entertainment and navigation system includes a plurality of adjustable features, wherein a setting for a selected feature is adjusted in response to the hand slide gestures, and wherein the processor changes the selected feature in response to at least one tap on the outer periphery of the steering wheel. When the processor changes the selected feature, a graphic indicating the newly selected feature is rendered on a display connected to the entertainment and navigation system, such as a dashboard-mounted display or HUD. In some embodiments, this display is situated inside goggles worn by the driver. Examples of adjustable settings include raising or lowering the audio volume, selecting a radio channel and selecting a track in a music library, bass, treble, image view in a GPS system—e.g., 2D view, 3D view, satellite view, and zooming an image.
[0028] In some embodiments, a second plurality of proximity sensors encased in the steering wheel facing the driver, detects hand wave gestures between the steering wheel and the driver, wherein the processor changes a mode of the entertainment and navigation system in response to the hand wave gestures. This said second plurality of proximity sensors is also operative to detect the driver entering the motor vehicle.
[0029] In some embodiments, the steering wheel further comprises a cavity, i.e., an air gap, an array of light emitters connected to the processor that project light beams across the cavity and an array of light detectors connected to the processor that detect the projected light beams. This enables detecting wave gestures inside the cavity that interrupt the light beams, which allows the user to control the entertainment and navigation system through these detected gestures inside the cavity. These wave gestures are performed by one or more fingers or by the palm of a hand.
[0030] In some embodiments having a steering wheel cavity, there are multiple arrays of light emitters connected to the processor that project light beams at different geometric planes across the cavity and multiple arrays of light detectors connected to the processor that detect the projected light beams, for detecting wave gestures across multiple geometric planes inside the cavity that interrupt the light beams. This enables detecting wave gestures across a depth of the cavity for a wide range of wave gestures. For example, these sensors detect an angle at which the finger or hand penetrates the cavity. They also detect a velocity of approach by measuring the different times at which the finger or hand crosses each geometric plane. In some embodiments of the cavity the light beams are all projected vertically across the cavity. In other embodiments, a bidirectional grid of light beams is projected across the cavity.
[0031] In order to prevent inadvertent adjusting of the entertainment system controls during driving, in certain embodiments the hand slide gestures control the entertainment and navigation system only when the steering wheel is not substantially rotated, namely, that it is at the “twelve-o'clock” position, or has not deviated more than a threshold amount from the “twelve-o'clock” position.
[0032] In some embodiments, the entertainment and navigation system includes a display, and the processor zooms an image on the display in response to detecting a spread gesture performed by two or more fingers in the cavity, and pans the image in response to a translation gesture performed by one or more fingers in the cavity. In some embodiments of the present invention, the finger spread gesture is performed by spreading or separating the tips of all fingers of one hand inside the cavity. In other embodiments of the present invention, the finger spread gesture is performed by extending all fingers of one hand inside the cavity. The image is, inter alia, a map related to the navigation system, a rear view camera image, or a graphic related to the entertainment system.
[0033] In some embodiments, the vehicle includes a wireless phone interface, inter alia a BLUETOOTH® interface, that is controlled using tap gestures or hand slide gestures on the outer perimeter of the steering wheel. For example, a single tap answers a call and a double-tap hangs up or declines the call.
[0034] In some embodiments, a sudden quick hand slide gesture along the outer periphery of the steering wheel mutes the entertainment and navigation system.
[0035] In some embodiments, when the processor changes the selected feature, the processor renders an image of the steering wheel on a display mounted in the vehicle, the image indicating which command is associated with each steering wheel input zone.
[0036] The present invention also relates to a motor vehicle having a dashboard display surrounded by a frame of proximity sensors for detecting wave gestures above the frame. A graphic representing a group of related functions is presented in a corner of the display. In response to a diagonal wave gesture above the frame beginning above this corner, the graphic is translated across the display revealing icons for the related functions. In some embodiments different graphics representing different groups of functions are presented in respective display corners, and a diagonal wave gesture beginning at a corner opens that corner's group of functions by translating the corresponding graphic diagonally across the display.
[0037] There is thus provided in accordance with an embodiment of the present invention, a system for use in a vehicle, including a steering element situated opposite a driver seat in a vehicle, the steering element including a plurality of proximity sensors encased in the periphery of the steering element operable to detect hand gestures along the outer periphery of the steering element, an interactive deck housed in the vehicle, for providing at least one of radio broadcast, video broadcast, audio entertainment, video entertainment and navigational assistance in the vehicle, and a processor housed in the vehicle, coupled with the proximity sensors and the deck, operable to identify the hand gestures detected by the proximity sensors, and to control the deck in response to thus-identified hand gestures.
[0038] There is additionally provided in accordance with an embodiment of the present invention a dashboard for a vehicle, including a display, a frame including proximity sensors for detecting hand gestures above the frame, and a processor coupled with the display and the frame, operable to present a graphic representing a group of related functions in a corner of the display, and to identify the hand gestures detected by the proximity sensors, and wherein, in response to identifying a diagonal hand wave gesture above the frame and beginning above the corner of the display, the processor translates the graphic across the display thereby revealing icons for the related functions.
BRIEF DESCRIPTION OF THE DRAWINGS
[0039] The present invention will be more fully understood and appreciated from the following detailed description, taken in conjunction with the drawings in which:
[0040] FIG. 1 is a simplified illustration of prior art steering wheel;
[0041] FIG. 2 is a simplified illustration of a first embodiment of a steering wheel having multiple detection zones, in accordance with an embodiment of the present invention;
[0042] FIG. 3 is a simplified illustration of a second embodiment of a steering wheel having multiple detection zones, in accordance with an embodiment of the present invention;
[0043] FIG. 4 is a simplified illustration of a bidirectional light grid, namely, horizontal and vertical light beams, for detecting objects inserted into a hollow portion of the steering wheel of FIG. 3 , in accordance with an embodiment of the present invention;
[0044] FIG. 5 is a simplified side view and profile view of the steering wheel of FIG. 3 , in accordance with an embodiment of the present invention;
[0045] FIG. 6 is a flow chart describing a sequence of user interface events for adjusting car stereo controls, in accordance with an embodiment of the present invention;
[0046] FIG. 7 is a flow chart describing a sequence of user interface events for entering text, in accordance with an embodiment of the present invention;
[0047] FIG. 8 is a flow chart describing a sequence of user interface events for manipulating an image displayed on a car dashboard, in accordance with an embodiment of the present invention;
[0048] FIGS. 9-11 are simplified illustrations of a PCB assembly (PCBA) in a steering wheel, in accordance with an embodiment of the present invention;
[0049] FIGS. 12-16 are simplified diagrams of proximity sensors on a steering wheel, in accordance with an embodiment of the present invention;
[0050] FIGS. 17-20 are simplified illustrations of slider controls embedded in a steering wheel, in accordance with an embodiment of the present invention;
[0051] FIGS. 21-30 are simplified diagrams of sensors embedded in a steering wheel that detect gestures inside an open cavity in the steering wheel, in accordance with an embodiment of the present invention;
[0052] FIGS. 31-35 are simplified diagrams of proximity sensors embedded in the outer rim of a steering wheel, in accordance with an embodiment of the present invention;
[0053] FIGS. 36-38 are simplified diagrams of touch sensors embedded across the outer rim of a steering wheel, in accordance with an embodiment of the present invention;
[0054] FIG. 39 is a simplified illustration of a steering wheel with multiple touch sensors and embedded touch screen displays, in accordance with an embodiment of the present invention;
[0055] FIG. 40 is a simplified illustration of the steering wheel of FIG. 39 with a head-up display, in accordance with an embodiment of the present invention;
[0056] FIGS. 41 and 42 are simplified illustrations or proximity sensors that line the steering column of the steering wheel of FIG. 39 , in accordance with an embodiment of the present invention;
[0057] FIG. 43 is a simplified illustration of a user interface gesture performed on the steering column of the steering wheel of FIG. 39 , in accordance with an embodiment of the present invention; and
[0058] FIGS. 44-46 are simplified illustrations of user interfaces and associated sweep gestures that are enabled on a vehicle dashboard, in accordance with an embodiment of the present invention.
[0059] In the specification and figures, the following numbering scheme is used. Steps in flow charts are numbered between 1-99, light transmitters are numbered in the 100's, light receivers are numbered in the 200's, light guides and lenses are numbered in the 300's, miscellaneous items are numbered in the 400's, detection zones and sensors are numbered in the 500's, and light beams are numbered in the 600's. Like numbered elements are similar but not necessarily identical.
[0060] The following tables catalog the numbered elements and list the figures in which each numbered element appears.
[0000]
Light Transmitters
Element
FIGS.
100
9, 30, 36, 37, 38
101
14, 15, 16
102
15
103
9, 19, 20
104
9, 23, 24, 25
106
26
107
26
108
26
109
35
[0000]
Light Receivers
Element
FIGS.
200
9, 30, 36, 37, 38
201
14, 15
202
15
203
9, 19
204
28, 29, 30
209
35
210
35
[0000]
Light Guides and Lenses
Element
FIGS.
300
9, 10, 11, 30, 36, 37, 38
310
9, 10, 11, 36
311
9, 10, 11, 36
320
9, 10, 11, 18, 19, 20
321
18
330
9, 10, 11, 14, 15, 16
331
9, 10, 11, 14, 15
332
13
333
13
334
13
335
14, 15
336
15
337
15
338
15
340
9, 10, 11, 28
341
9, 10, 11, 23, 24, 25
342
22
343
24, 25
344
23, 25
345
23, 24, 25, 26
346
27, 28
347
29
348
29, 30
353
28
354
32, 33
355
32, 33
356
32, 33
357
32, 33
358
34, 35
359
34
360
34
361
34
362
36
[0000]
Miscellaneous Items
Element
FIGS.
Description
400
1, 9, 31, 39-43
steering wheel
401
1, 2
grip
402
1, 2
right spoke
403
1, 2
left spoke
404
1, 2
bottom spoke
405
1
answer button
406
1
reject button
407
1, 2, 41, 43
steering column
408
5
nominal range
409
5
nominal range
410
5
thickness of grip
411
9, 10, 11, 30
PCB
412
9
opening in steering wheel
413
16, 20
finger
414
17
recessed cavity wall
415
17
recessed cavity wall
416
17
recessed cavity wall
417
17
inclined surface
418
18
intermediate layer
419
18
narrow openings
420
26
beam offset
421
29
cavities for light receivers in light guide
422
33
plastic rim
423
44, 45, 46
dashboard display
424
44
icon
425
44, 45
icon
426
45
diagonal sweep gesture
427
45
icon
428
46
icon
429
46
icon
430
46
text
431
46
icon
432
46
icon
433
46
directional sweep gesture
434
46
directional sweep gesture
435
46
directional sweep gesture
436
46
directional sweep gesture
437
46
directional sweep gesture
438
46
directional sweep gesture
439
46
directional sweep gesture
440
46
directional sweep gesture
450
39, 40
Touch screen display
451
40
Head-up display
452
43
Hand
[0000]
Detection Zones and Sensors
Element
FIGS.
Description
501
2, 21
zone
502
2
zone
503
2
zone
504
2
zone
505
2
zone
506
2
zone
507
2
zone
508
2
zone
510
3
zone
511
3
zone
512
3
zone
513
3
zone
514
3
zone
515
3
zone
516
3
zone
517
3
zone
520
12
sensor
521
12
sensor
522
17
sensor
523
17
sensor
524
31
zone
525
31
zone
526
31
zone
527
31
zone
528
39
Zone
530
39, 40
Slider sensor
531, 532
39, 41
Proximity sensor strip
[0000]
Light Beams
Element
FIGS.
Description
600
4
light beam grid
601
16
light beam
602
16
light beam
603
16
light beam
604
20
light beam
605
25
light beam
606
26
light beam
607
26
light beam
608
26
light beam
610
26
portion of light beam
611
29
light beam
612
35
light beam
613
38
light beam
614
42
Proximity sensor beam
615
42
Proximity sensor reflected beam
DETAILED DESCRIPTION
[0061] Aspects of the present invention relate to light-based touch controls that allow a driver to keep his hands on a steering element while operating peripheral electronic devices in a vehicle.
[0062] Reference is made to FIG. 2 , which is a simplified illustration of a first embodiment of a steering wheel having multiple detection zones, in accordance with an embodiment of the present invention. Shown in FIG. 2 is a steering wheel with multiple detection zones for user input, indicated by numbers in the figure. Detection properties for each zone are listed below.
[0063] Zone 501 is a portion of a cavity surrounded by gripping member 401 and the top of steering column 407 . The present invention enables detection of user gestures in this cavity. An example gesture is sweeping a hand or finger horizontally across the cavity.
[0064] Zone 502 is related to a portion of the outer rim of gripping member 401 . This zone is configured to receive sliding gestures, where the driver slides a finger or hand along this portion of the outer rim. An example application for this gesture is to control the volume on the vehicle's audio system, where a clockwise hand-slide or sweep gesture increases the volume, a counterclockwise hand-slide or sweep gesture reduces the volume, and a fast hand-slide or sweep gesture along zone 502 mutes the audio. If the audio is on mute, a fast hand-slide or sweep gesture along zone 502 cancels the mute. Another application is to use hand-slide or sweep gestures to answer or reject an incoming phone call. In this case a hand-slide or sweep gesture in a first direction, e.g., clockwise, answers the call, and a hand-slide or sweep gesture in the opposite direction rejects the call.
[0065] Zones 503 and 504 are proximity sensor zones configured to detect movement of a hand in the detection zone which is the airspace several inches outward on either side of the steering wheel. An example application uses zone 503 for controlling the windshield wipers and zone 504 for controlling the directional signals, i.e., blinking lamps mounted near the left and right front and rear corners of a vehicle activated by the driver on one side of the vehicle at a time to advertise intent to turn or change lanes toward that side. In this example, the windshield wipers are activated, or their speed is increased, when an upward hand gesture is detected in zone 503 , and the windshield wipers are slowed down or turned off when a downward hand gesture is detected in zone 503 . Similarly, the right directional signal is activated when an upward hand gesture is detected in zone 504 , and the left directional signal is activated when a downward hand gesture is detected in zone 504 .
[0066] Another example application for zones 503 and 504 is modeled on Formula One sports cars, where the gear shifter is adapted to fit onto the steering wheel in the form of two paddles; depressing the right paddle shifts into a higher gear, while depressing the left paddle shifts into a lower one. In the present embodiment, a gesture corresponding to depressing the right paddle is detected in zone 503 , and a gesture corresponding to depressing the left paddle is detected in zone 504 .
[0067] Zones 505 and 506 are two touch and slider controls on the right connecting member 402 . An additional two touch and slider controls (not numbered) are shown on the left connecting member 403 . These zones receive touch gestures and glide gestures. A glide gesture includes the steps of a user touching this sensor and then sliding his finger along the sensor. Slider controls are suitable for selecting a value within a range, e.g., to adjust dashboard brightness or audio volume. A glide gesture in one direction gradually increases the value, and a glide gesture in the opposite direction gradually decreases the value.
[0068] These controls determine a location of a touch along the slider and are therefore suitable for touch gestures as well. For example, extended touches or taps can be used for selecting a value within a range, such as to adjust dashboard brightness or audio volume. A tap or touch at one end of the slider increases the value, and a tap or touch at the opposite end decreases the value.
[0069] Zones 507 and 508 are hover and proximity sensors, configured to detect objects that are opposite but not touching the steering wheel. One example application detects when a driver enters the vehicle. This can wake up the system and display a greeting message to the driver. In some embodiments of the present invention, these sensors detect a distance between the driver and the wheel, inter alia, in order to adjust the driver's air bags according to this distance; namely, a larger distance requires a greater degree of inflation.
[0070] An additional two hover and proximity sensors (not numbered) are shown on the left connecting member 403 . In some embodiments of the present invention, these zones are also configured to detect touch gestures. Another application for zones 507 and 508 is to select a user input mode. For example, zone 502 has two associated applications: a music library and a radio station selector. Hand-slide or sweep gestures along zone 502 either browse the music library or scan radio channels depending on the active mode. The active mode is toggled or selected by touching one of zones 507 and 508 . For example, a tap on zone 508 activates music library mode and a tap on zone 507 activates radio mode. Alternatively, a right-to-left wave gesture above zones 507 and 508 activates music library mode, and a left-to-right wave gesture above zones 507 and 508 activates radio mode.
[0071] In general, the different zones are coordinated to provide fluent and flexible navigation for a plurality of applications. The user selects an application by interacting with zones 507 and 508 and each of the other zones 501 - 506 is assigned an aspect of the active application. Each time an application is selected, an image of the steering wheel appears on the dashboard indicating which command is associated with each of the input zones.
[0072] Reference is made to FIG. 3 , which is a simplified illustration of a second embodiment of a steering wheel having multiple detection zones, in accordance with an embodiment of the present invention. The multiple detection zones for user input are indicated by numbers in the figure. Detection properties for each zone are listed below.
[0073] Zones 510 - 512 are air gaps in the steering wheel. A two-dimensional grid of light beams is projected into each air gap to detect any object inserted therein.
[0074] Reference is made to FIG. 4 , which is a simplified illustration of a bidirectional light grid, namely, horizontal and vertical light beams, for detecting objects inserted into a hollow portion of the steering wheel of FIG. 3 , in accordance with an embodiment of the present invention. Shown in FIG. 4 is a light-beam grid 600 in zone 511 .
[0075] In some embodiments more than one layer of light beams is projected into each air gap to provide a series of detections at different points along the thickness of the air gap.
[0076] Reference is made to FIG. 5 , which is a simplified side view and profile view of the steering wheel of FIG. 3 , in accordance with an embodiment of the present invention. FIG. 5 shows the steering wheel of FIGS. 3 and 4 in profile view and at an angle from above the wheel's upper right corner. Both views indicate thickness 410 of gripping member 401 along which the multiple light grids are stacked. This enables detecting an angle at which an object is inserted into the air gap. A full explanation of multiple detection layers and their use for z-axis coordinate detection is provided in U.S. Pat. No. 8,416,217 for LIGHT-BASED FINGER GESTURE USER INTERFACE, the contents of which are incorporated herein by reference.
[0077] Returning to FIG. 3 , detection zone 517 is a hovering space surrounding the outer perimeter of the steering wheel. Objects that enter zone 517 are detected by sensors embedded in the gripping member of the steering wheel.
[0078] Zones 513 - 515 detect the position of one or more objects touching, or in close proximity to, these zones. The range of proximity detection is indicated in FIG. 5 by nominal range 408 . In some embodiments zones 513 - 515 are also adapted to detect an amount of pressure applied by a touch object.
[0079] Zone 516 detects the position of one or more objects touching, or in close proximity to, it. The range of proximity detection is indicated in FIG. 5 by nominal range 409 . In some embodiments zone 516 is also adapted to detect an amount of pressure applied by a touch object.
[0080] In order to avoid inadvertent input to the detection zones while steering the vehicle, the touch-sensitive input system is activated only under particular conditions. For example, in order that the system register touch input the user first performs a specific touch gesture on one or more of the detection zones. As another example, the user must activate a toggle switch located away from the steering wheel before the detection zones register user input. Yet another example is that the position of the steering wheel enables touch input to be registered. For example, only when the steering wheel is in the “twelve o'clock” or neutral position the system registers input from the detection zones, whereas once the wheel is rotated a given number of degrees from the neutral position, the system actively monitors the detection zones but does not generate input to other devices.
[0081] A few use cases will demonstrate the user interface of the present invention. A first use case is adjusting the volume in the car stereo.
[0082] Reference is made to FIG. 6 , which is a flow chart describing a sequence of user interface events for adjusting car stereo controls, in accordance with an embodiment of the present invention. At step 10 the steering wheel is in neutral position to enable touch input. At step 11 the driver presses a location in zone 513 that activates controls for the entertainment system. The first parameter to be adjusted by the controls is the volume. At step 12 a volume meter is presented on a display device such as a dashboard display or HUD. The driver adjusts the volume level by performing a hand-slide or sweep gesture along the right outer rim of the steering wheel, i.e., the right section of zone 517 . Steps 13 - 16 show that a counterclockwise gesture along the right hand side of detection zone 517 increases the volume, and a clockwise gesture along this zone decreases the volume. This counterclockwise gesture can be performed by raising the driver's right hand along the steering wheel. At step 17 one or more taps on the outside of the steering wheel (zone 517 ) puts the input system into a different mode, e.g., to adjust the bass or treble. The system then returns to step 12 where it displays a meter relevant for the active mode, e.g., bass or treble, instead of volume. While the right hand is performing gestures that activate system functions, the left hand can perform additional gestures in the detection zones that do not interfere with the right hand gestures. In some instances these left hand gestures do not generate any commands.
[0083] A second use case is text input of an address to a vehicle navigation system.
[0084] Reference is made to FIG. 7 , which is a flow chart describing a sequence of user interface events for entering text, in accordance with an embodiment of the present invention At step 20 the driver presses a location on zone 514 marked by a text input symbol to activate text input mode. At steps 21 and 22 , gestures inside zone 510 are interpreted as characters or symbols. Alternatively, characters are input by finger or stylus glide gestures on the surface of zone 516 . At step 23 the entered text is displayed on the dashboard or HUD. Steps 21 - 23 continue in a loop until the displayed text forms a name or word (or portion thereof). To confirm the input, the driver taps once on the outer rim of the steering wheel (zone 517 ) as indicated by step 24 . To delete or reject the input, the driver double-taps on the outer rim of the steering wheel (zone 517 ) as indicated by step 25 . The system operates independently of right/left handedness.
[0085] A third use case is an image viewer.
[0086] Reference is made to FIG. 8 , which is a flow chart describing a sequence of user interface events for manipulating an image displayed on a car dashboard, in accordance with an embodiment of the present invention. At step 30 an image is displayed on the dashboard. Alternatively, this image is displayed on an HUD. This image may be a map, a rear-view camera viewfinder image or any other image. At step 31 the driver activates image manipulation mode, e.g., by tapping a location on zone 515 marked by an image symbol. At steps 32 - 34 hand movements in detection zone 511 are interpreted as image manipulation commands. These commands include panning, zooming and rotating the image. The hand movements supported include one-finger and multi-finger translation gestures, and two-finger pinch, two-finger spread and two-finger rotation gestures. Further hand movements supported include full-hand spreads, whereby a user spreads all fingers on one hand inside the air gap. Other supported gestures include full-hand pinch gestures, which begin when all fingertips of one hand are not touching each other, and the user draws his fingertips together. When multiple layers of light-beam guides provide z-axis detection, tilt gestures are also supported. A tilt gesture uses the angle at which a finger is inserted through air gap 511 as one of the gesture attributes. A full discussion of supported gestures and commands is included in the aforementioned U.S. Pat. No. 8,416,217 for LIGHT-BASED FINGER GESTURE USER INTERFACE. The driver taps once on the outer rim of the steering wheel (zone 517 ) to accept an input, as indicated at step 35 , and taps twice on the outer rim of the steering wheel (zone 517 ) to cancel an input as indicated at step 36 . This system operates independently of right/left handedness.
[0087] Discussion now turns to implementing sensors for each of the various detection zones. Generally speaking, a light-based touch or proximity sensor includes a light transmitter and a light receiver, and is based on the principle that an object such as a finger placed on or near the sensor changes the coupling of light between the transmitter and the receiver. Thus, a channel that conducts signals between the transmitter and the receiver indicates whether there is a touch inside the channel. There are two types of channels; namely,
A. channels for which a finger activates a signal between the transmitter and the receiver; and B. channels for which a finger blocks a signal between the transmitter and the receiver.
[0090] For channels of type A, a low signal, near 0, indicates no touch, and a high signal indicates a touch. For channels of type B, a high signal indicates no touch, and a low signal, near 0, indicates a touch.
[0091] Reference is made to FIGS. 9-11 , which are simplified illustrations of a PCB assembly (PCBA) in a steering wheel, in accordance with an embodiment of the present invention. FIGS. 9-11 show a printed circuit board assembly (PCBA) 411 populated with various touch and proximity sensor components for a steering wheel 400 according to embodiments of the present invention. FIG. 9 shows the PCBA from above, FIG. 10 shows the PCBA rotated, and FIG. 11 shows a cross-sectional view, to show the three-dimensional features of the light guides. The embodiment illustrated in FIGS. 9-11 includes five different sensor systems.
[0092] A first sensor system provides detection zones 507 and 508 in FIG. 2 . Each sensor in this first system includes a pair of light guides 330 and 331 , as shown in FIGS. 9-11 . Light guide 330 is coupled to a transmitter (not shown) and light guide 331 is coupled to a receiver (also not shown). When a driver hovers his hand above one of these sensors he generates a high signal as his hand reflects light from light guide 330 back into light guide 331 . This is a type A channel. In some embodiments similar sensors placed along spokes 402 - 404 that connect the gripping member 401 of wheel 400 to the steering column 407 are used to provide detection zones 513 - 515 in FIG. 3 . Similar sensors placed inside steering column 407 of wheel 400 also provide detection zone 516 in FIG. 3 , in certain embodiments of the invention.
[0093] A second sensor system provides detection zones 505 and 506 in FIG. 2 . Each sensor in this second system includes an alternating row of transmitters 103 and receivers 203 , coupled to a light guide 320 , as shown in FIGS. 9-11 . When a driver touches the upper edge of light guide 320 he generates a high signal as his touch reflects light from one or more of transmitters 103 onto a respective one or more neighboring receivers 203 . This too, is a type A channel. In some embodiments similar sensors placed along the spokes 402 - 404 that connect the gripping member 401 of wheel 400 to the steering column 407 are used to provide detection zones 513 - 515 in FIG. 3 . Similar sensors placed inside steering column 407 of wheel 400 also provide detection zone 516 in FIG. 3 , in certain embodiments of the invention.
[0094] A third sensor system provides detection zone 501 in FIG. 2 . This system includes a row of emitters 104 that project collimated light beams across opening 412 with the aid of collimating light guide 340 . A row of receivers (not shown) at the opposite end of opening 412 receives the collimated light beams with the aid of a second collimating light guide 341 embedded in the gripping member 401 of wheel 400 . When a driver inserts a hand or finger into the active detection zone 501 in opening 412 , he generates a low signal as his hand or finger blocks a portion of the collimated light beams. This is a type B channel.
[0095] The illustrated third sensor system features vertical collimated light beams and detects objects along only one axis. In some embodiments, an additional, similar sensor system embedded in the left and right portions of gripping member 401 is added to project horizontal collimated beams across opening 412 . In this case, the two sets of orthogonal collimated beams provide two-dimensional (2D) detection of inserted objects. In some embodiments, similar sets of orthogonal beams are used in openings 511 and 512 of FIG. 3 to provide 2D detection as illustrated by light grid 600 in FIG. 4 .
[0096] A fourth sensor system includes two sensors along each side of steering wheel 400 . These sensors provide detection zones 503 and 504 in FIG. 2 . Each sensor in this fourth system includes a pair of light guides 310 and 311 , as shown in FIGS. 9-11 . Light guide 310 is coupled to a transmitter (not shown) and light guide 311 is coupled to a receiver (also not shown). When a driver hovers his hand opposite one of these sensors he generates a high signal as his touch reflects light from light guide 310 back into light guide 311 . This is a type A channel. In some embodiments, similar sensors are placed around the entire wheel to provide detection zone 517 in FIG. 3 .
[0097] A fifth sensor system includes a series of sensors along the upper outer rim of steering wheel 400 . These sensors provide detection zone 502 in FIG. 2 . Each sensor in this fifth system includes a transmitter 100 , a receiver 200 and a light guide 300 . A driver touching the outer rim of the wheel opposite one of these sensors generates a high signal as his touch reflects light from emitter 100 back onto receiver 200 . Therefore this is a type A channel. Similar sensors placed around the entire wheel can be used to provide detection zone 22 in FIG. 3 .
[0098] In some embodiments of the present invention, in addition to the near-infrared light used for the sensors, visible light elements are also embedded in the steering wheel, to light up the various detection zones. The visible light elements are used, inter alia, in order to illuminate a hand inside zones 510 - 512 , or to follow hand movements insides zones 510 - 512 or along zones 502 - 506 , so as to provide visible feedback to the driver who is interacting with the sensors.
[0099] The type A channel sensor systems described hereinabove detect light from the transmitter reflected off the driver's finger or hand onto a nearby receiver. The maximum distance that this type A sensor can detect is defined as the sensor's “nominal range”. In some embodiments, the different sensor systems have different nominal ranges. For example, when the second and fifth sensor systems are designed to be used as a touch switch or slider control, they are adjusted to a very short nominal range. Similarly, when the first and fourth sensor systems are designed to detect hover gestures in the air above or opposite the sensor, they are adjusted to a nominal range of several inches. And when the first system is designed to detect a driver entering the car it is adjusted to a very large nominal range.
[0100] There are several ways to adjust the nominal range, based inter alia on the intensity of the transmitter, on the detection threshold used to decide whether an object is present in the channel, and on the light guide. Specifically, when the light guide absorbs a portion of the light in the detection channel the sensor has a shorter nominal range.
[0101] The first sensor system, used for detection zones 507 and 508 , is now addressed in detail.
[0102] Reference is made to FIGS. 12-16 , which are simplified diagrams of proximity sensors on a steering wheel, in accordance with an embodiment of the present invention. FIGS. 12-15 show layers of components that form sensors 520 and 521 . FIG. 12 shows proximity sensors 520 and 521 as seen by a driver. FIG. 13 shows proximity sensors 520 and 521 with the upper steering wheel casing layer removed. As seen in FIG. 13 , these proximity sensors feature a supporting column 332 having a transmitter light guide upper surface 333 and a receiver light guide upper surface 334 at the top of the column. In FIG. 14 column 332 is removed, exposing upward facing transmitter 101 directly beneath light guide 330 , upward facing receiver 201 directly beneath light guide 331 , and light barrier 335 between transmitter 101 and receiver 201 to prevent scattered light from transmitter 101 from reaching receiver 201 . FIG. 15 is another view of the elements in both proximity sensors 520 and 521 : transmitters 101 and 102 , receivers 201 and 202 , light guides 330 , 331 , 336 and 337 and light barriers 335 and 338 . Light guides 330 , 331 , 336 and 337 are adapted to use total internal reflection (TIR) to maximize the amount of light in this detection channel.
[0103] The operation of sensors 520 and 521 is illustrated in FIG. 16 showing emitter 101 sending a direct light beam 601 and a TIR beam 602 through light guide 330 out above the sensor. A finger 413 hovering above the sensor reflects a portion of the emitter beam back into neighboring light guide 331 and onto receiver 201 , as illustrated by two-sided arrow 603 . Light guide 331 and receiver 201 are not shown in FIG. 16 .
[0104] The second sensor system, adjusted to a very short nominal range and used for zones 502 , 505 and 506 , is now addressed in detail.
[0105] Reference is made to FIGS. 17-20 , which are simplified illustrations of slider controls embedded in a steering wheel, in accordance with an embodiment of the present invention. FIGS. 17-20 show layers of components that form slider controls 522 and 523 . In the illustrated embodiment each of these slider controls is situated inside a gently sloping recessed cavity to facilitate gliding a finger along the control without taking eyes off the road. A first recessed cavity is formed by inclined surface 417 surrounded on three sides by walls 414 - 416 . Slider control 523 is located along the boundary joining surface 417 to wall 415 .
[0106] FIG. 18 shows that the exposed surface of slider controls 522 and 523 is the long, thin, top surface of upright light guides 320 and 321 . Light guides 320 and 321 are supported in their upright position by being inserted through narrow opening slots 419 in intermediate layer 418 .
[0107] FIG. 19 shows the inner components of slider control 522 after intermediate layer 418 has been removed. Slider control 522 includes one alternating row of transmitters 103 and receivers 203 , and one upright light guide 320 . Slider control 522 is a linear series of detection channels where each channel has a transmitter at one end of the channel and its neighboring receiver in the alternating row of transmitters and receivers at the other end of the channel.
[0108] Reference is made to FIG. 20 illustrating the light beam path through this channel. Light beam 604 exits transmitter 103 and is directed upward through light guide 320 . A finger 413 touching the top of light guide 320 reflects a portion of the beam back down into light guide 320 . A portion of this reflected light is directed through light guide 320 onto a neighboring receiver 203 (shown in FIG. 19 ) completing the detection channel. As a driver's finger glides along the exposed surface of light guide 320 different detection channels are activated indicating the location of the finger along this slider control. Light guides 320 and 321 are adapted to use TIR to maximize the amount of light in the detection channels.
[0109] The type B sensor system used for zone 501 will now be discussed in detail.
[0110] Reference is made to FIGS. 21-30 , which are simplified diagrams of sensors embedded in a steering wheel that detect gestures inside an open cavity in the steering wheel, in accordance with an embodiment of the present invention. Detection zone 501 is illustrated in FIG. 21 . FIG. 22 shows the exposed upper edge 342 of light guide 341 that projects light beams into zone 501 . FIG. 23 shows a rotated cross section of light guide 341 and an array of transmitters 104 situated below light guide 341 in the steering column. Light guide 341 includes collimating, internally reflective elements (not shown) that collimate light inside the light guide, internally reflective facet 344 , and curved window 345 . Curved window 345 is required in order that this light guide follow the contours of the rounded steering column in which it is mounted. The outer surface of window 345 is exposed upper edge 342 of FIG. 22 . In some embodiments of the present invention, window 345 is formed with a uniform thickness, in order to minimize the lens effect that this widow has on the sensor light beams. In some embodiments, window 345 is also formed as thin as possible, in order to minimize the distance that the light beams are shifted laterally when they pass through the window.
[0111] Reference is made to FIG. 24 showing light guide 341 viewed from underneath. In this view, internally reflective collimating surfaces 343 are visible. Each surface 343 collimates a wide light beam emitted by a transmitter into the light guide. In addition, surface 343 also redirects the collimated light onto internally reflective surface 344 as light beam 605 in FIG. 25 illustrates.
[0112] FIG. 26 shows three beams 606 - 608 from respective emitters 106 - 108 , passing through lens 345 . FIG. 26 illustrates how a uniform thickness and a large radius of curvature relative to the width of the beam of window 345 , minimize the lens effect on three light beams 606 - 608 . E.g., beam 606 is offset to the left of emitter 106 when it exits curved window 345 , but is not redirected as a result of passing through the window. The offset for beam 606 is indicated in the figure by distance 420 . When window 345 is thin, the offset is negligible. In some embodiments, for which the offset is not negligible and for which the emitters and receivers are evenly spaced on PCB 411 , beam offsets are handled in software, inter alia by calculating the position of the corresponding blocked beam according to the beam position when it crosses the screen, which is offset from the emitter and receiver location. In other embodiments, for which the offset is not negligible, the emitters and receivers are not evenly spaced on PCB 411 , in order for the offset to cause the beams crossing detection zone 501 to be evenly spaced. The dotted portions 610 of the beams represent the beams passing through light guides 340 and 341 , which are not shown in this figure.
[0113] The second half of the light sensor for zone 501 is now discussed. FIG. 27 shows the exposed lower edge 346 of a light guide that receives the projected light beams and directs the beams onto receivers embedded inside the circular gripping member of the steering wheel. FIGS. 28 and 29 are two cross-sectional views showing three staggered rows of receiver elements 204 together with their respective light guides inside the circular gripping member of steering wheel 400 . Collimated light crossing detection zone 501 enters the gripping member through curved window 353 . In order to maintain the collimation of the light beams, window 353 has a uniform width and substantially similar arcs at both its inner and outer surfaces, like window 345 described hereinabove.
[0114] FIG. 29 shows light guide 340 from a different angle than in FIG. 28 . The collimating portion of this light guide is circled section 347 . This collimating portion uses two air-to-plastic interfaces to direct the collimated wide beam onto a respective receiver 204 . The operation of these collimating lenses is more fully explained in U.S. patent application Ser. No. 13/424,543 for OPTICAL ELEMENTS WITH ALTERNATING REFLECTIVE LENS FACETS, the contents of which are incorporated herein by reference. In particular, reference is made to FIGS. 50-52 and associated paragraphs [00267]-[00271] in U.S. patent application Ser. No. 13/424,543. In the embodiment illustrated in FIG. 29 the light guides are formed of a single piece of plastic 348 . The receivers 204 are shown suspended in cavities 421 formed in plastic 348 . The PCB on which these receivers are mounted is not shown in the figure: it is above the receivers, and covers cavities 421 . The path of a light beam 611 through light guide 340 is shown.
[0115] Light transmitters and receivers for two different sensors are mounted on two sides of PCB 411 . FIG. 30 shows exploded views from both sides of steering wheel PCB 411 . The light receivers 204 for detection zone 501 are on one side of the PCB, and transmitter-receiver pairs 100 - 200 for detection zone 502 are mounted on the reverse side of this PCB. The exploded view also shows light guide 300 , used for detection zone 502 , and plastic element 348 that forms light guide 340 , both mounted on PCB 411 .
[0116] The type A sensor used for detection zones 503 and 504 described hereinabove will now be described in detail.
[0117] Reference is made to FIGS. 31-35 , which are simplified diagrams of proximity sensors embedded in the outer rim of a steering wheel, in accordance with an embodiment of the present invention. FIG. 31 shows four detection zones 524 - 527 on either side of steering wheel 400 . FIG. 32 shows two of the sensors that provide these detection zones on one side of the steering wheel by projecting light beams away from the wheel and detecting a portion of the beams that is reflected back by a hovering finger or hand. As seen by the driver, each sensor includes a light emitting surface 354 or 356 , and a neighboring light receiving surface 355 or 357 . FIG. 33 shows a plastic rim 422 inlaid in the outer rim of the steering wheel and having near-infrared (NIR) transmissive portions 354 - 357 that allow the passage of NIR light for these sensors. FIG. 34 shows that the NIR transmissive portions are actually separate light guides 358 - 361 , where a pair of light guides forms a detection channel. Each of light guides 358 - 361 is coupled to a respective transmitter or receiver component. Thus, light guides 358 and 360 are coupled to respective transmitters (blocked from view in the figure by light guides 359 and 361 ), and light guides 359 and 361 are coupled to receivers 209 and 210 , respectively. FIG. 35 shows a light beam path 612 through light guide 358 . FIG. 35 also shows transmitter 109 coupled to light guide 358 .
[0118] Reference is made to FIGS. 36-38 , which are simplified diagrams of touch sensors embedded across the outer rim of a steering wheel, in accordance with an embodiment of the present invention. FIGS. 36 and 37 show the components in a type A sensor used for detection zone 502 described hereinabove; namely, transmitter-receiver pairs 100 - 200 and light guide 300 . Light guide 300 is shared by both transmitter 100 and receiver 200 , and light guide 300 has a collimating lens portion 362 opposite each transmitter and opposite each receiver. FIG. 38 shows how light guide 300 acts as a periscope for the light beams, such as light beam 613 emitted by emitter 100 . As described above, a steering wheel equipped with a series of these sensors along its outer rim is enabled to detect tap gestures and hand-slide gestures along the wheel's outer rim.
[0119] In some embodiments of the present invention, a processor connected to the touch sensors along the steering wheel rim or spokes detects the number of fingers on each hand touching the wheel. This is performed by heuristically determining the size of the segment covered by a hand holding the wheel, or by detecting a series of up to four objects next to each other along the sensor array. When the driver taps the wheel with only one finger as he grips the wheel, e.g., by tapping on the wheel with one finger while continuing to grip the wheel with the other fingers, the processor determines which finger performed the tap according to the location of the tap within the segment of the wheel being held. This enables a user interface whereby different fingers are associated with different functions. For example, taps by an index finger control the stereo and taps by the middle finger control the telephone. Determination of which finger is tapping the wheel is based on the finger's relative position within the segment of the wheel that is held, as detected by the touch sensors. As such, this user interface is not dependent on which segment of the wheel is being touched. It is thus applied anywhere on the wheel, based on relative finger position. In some cases, the processor distinguishes between right and left hands according to right and left halves of the wheel.
[0120] In some embodiments of the present invention, multiple sensors are arranged around the tubular or cylindrical surface of the wheel grip in order to detect when the driver rotates his hand around the grip in the manner of a motorcycle driver revving a motorcycle engine by rotating the handle bar grip. The user interface is configured to control a particular feature by this gesture. In applications of the present invention to motorcycle handlebars, these sensors provide an alternative to rotating handlebar grips for controlling the speed of the motorcycle engine.
[0121] In some embodiments of the present invention, proximity detectors or touch detectors are also mounted on the rear of the steering wheel grip or spokes to detect tap gestures on the back of a spoke or on the back of the wheel grip performed by fingers wrapped around the wheel. For example, these gestures are used to shift gears, or to shift the drive mode. Drive modes include, inter alia, eco mode, sport mode, 2-wheel drive and 4-wheel drive.
[0122] In some embodiments of the present invention, the vehicle loads a user profile that configures the user interface, including assigning various gestures to respective control settings. The vehicle supports multiple users by allowing each user to download his settings to the vehicle. Thus, settings for multiple users are uploaded to an Internet server. When a driver enters a car, the driver downloads his settings from the Internet server to the vehicle, thus adapting the vehicle to his customized settings. For example, different gestures can be mapped to control different features by the driver. One application for this system is a rental car. When a driver rents a car he downloads his user profile to the rental car so that the user interface is familiar. Another application is for car dealerships, whereby a car's user interface is customized for a buyer while the buyer tries out a test model or sits inside a dummy cockpit. The dealer configures the user's profile in the demo car and uploads it to the Internet server. The dealer does not need to customize the purchased car when it arrives beyond downloading the buyer's profile.
[0123] Aspects of the present invention also relate to contextual user interfaces. When a driver enters the car, the car's user interface asks the driver what he wants to do and guides him to do so, using a display screen. Thus the UI presents options based on context. If the engine is off, the UI asks if the driver wants to start the car. If the driver turns off the motor, the UI presents the following initial options: open doors, open gas tank, open trunk, and open hood. In some embodiments, the display renders a map of the different hand slide and tap gestures that the driver can perform on the steering element to execute these options. If the driver stops the car, the UI asks if the driver wants to park. If the driver responds that he does wish to park, the UI presents parking options, e.g., park on the street or in a nearby lot. In an automated car, capable of traveling without a driver, the UI offers the further option to refill gas, battery or solar panel (depending on how the car is powered) while the driver is out shopping or working. Before leaving the car, the UI asks the driver when to return to the parking spot.
[0124] In some embodiments, a biometric sensor is also added to the steering element of the present invention. In order to access the UI, the biometric sensor must first register the driver. If the biometric sensor detects that the driver is not fit to drive the car, e.g., the sensor detects a high heart rate or high alcohol content, the UI responds accordingly and does not allow the driver to drive.
[0125] Another embodiment of a steering wheel according to the present invention is illustrated in FIGS. 39-42 . In this embodiment, the steering wheel includes two embedded touch-sensitive display screens. The display screen information is displayed on a head-up display to the driver so that the driver need not remove his eyes from the road to look down at the displays.
[0126] Reference is made to FIG. 39 , which is a simplified illustration of a steering wheel with multiple touch sensors and embedded touch screen displays, in accordance with an embodiment of the present invention FIG. 39 shows steering wheel 400 having two embedded touch screens 450 and a slider control 530 . Slider control 530 is implemented as a series of light emitters and receivers similar to slider controls 522 and 523 described hereinabove with reference to FIGS. 17-20 . Touch screens 450 are touch-enabled by a series of emitters and receivers along the screen edges that form a touch-detection light grid that covers each screen 450 . Steering wheel 400 is also shown having two proximity sensor strips 531 and 532 for detecting a driver's hand placed on the steering column between these two strips.
[0127] Reference is made to FIG. 40 , which is a simplified illustration of the steering wheel of FIG. 39 with a head-up display, in accordance with an embodiment of the present invention. FIG. 40 shows steering wheel 400 viewed at an angle. Two head-up displays 451 are provided for rendering graphics from screens 450 at a location easily viewable by the driver. The driver can interact with a user interface on screens 450 by viewing head-up displays 451 and performing touch gestures on screens 450 .
[0128] Reference is made to FIGS. 41 and 42 , which are simplified illustrations or proximity sensors that line the steering column of the steering wheel of FIG. 39 , in accordance with an embodiment of the present invention. FIG. 41 shows that the front and top of steering column 407 is touch sensitive by virtue of two strips of proximity sensors. A first proximity sensor strip 531 is shown. This strip is formed by an alternating series of emitters and detectors that emit light beams across the outer surface of column 407 . This strip curves along the contours of steering column 407 . When the driver places his hand on steering column 407 , the hand reflects the projected light beams back into the proximity sensor where neighboring detectors sense an increase in reflected light. The operation of this type of proximity sensor is described in applicant's co-pending U.S. patent application Ser. No. 13/775,269 entitled REMOVABLE PROTECTIVE COVER WITH EMBEDDED PROXIMITY SENSORS, especially FIGS. 4-10 there. The second proximity sensor strip 532 is opposite strip 531 and is not visible given the viewing angle of FIG. 41 .
[0129] FIG. 42 shows the light beams of proximity sensor strip 531 . Emitter beams 614 are shown adhering to the contours of steering column 407 . One reflected beam is shown as dashed beam 615 . When the driver places a hand on steering column 407 his hand reflects one or more of beams 614 back as beam 615 .
[0130] Reference is made to FIG. 43 , which is a simplified illustration of a user interface gesture performed on the steering column of the steering wheel of FIG. 39 , in accordance with an embodiment of the present invention. FIG. 43 shows a hand gesture detected by the two proximity sensors lining steering column 407 . In this gesture the driver tilts palm 452 along the rounded corner formed by steering column 407 . In some applications, this gesture is used to adjust the angle of a side view mirror. Thus, titling the palm downward and touching a higher portion of column 407 tilts the mirror upwards; tilting the palm to be more vertical tilts the mirror downward.
[0131] The two proximity sensors lining two opposite edges of steering column 407 form a unique two-dimensional detector. A location along the proximity sensor at which the reflected beam is detected is a location along one dimension. The nearer the reflecting object is to strip 531 or 532 , the greater the detection signal. Comparing the detection signals of proximity strip 531 to those of proximity strip 532 provides a coarse estimation of where the finger is located between the two strips. Thus, if both strips detect similar amounts of reflected light, the finger is roughly in the middle between the two strips. Whereas if one proximity sensor strip detects more light than the other, the finger is nearer to the high detection strip.
[0132] Embodiments of the present invention also relate to vehicle dashboards, driver display systems and related user interfaces.
[0133] Reference is made to FIGS. 44-46 , which are simplified illustrations of user interfaces and associated sweep gestures that are enabled on a vehicle dashboard, in accordance with an embodiment of the present invention. FIG. 44 shows dashboard display 423 having proximity sensors along its edges. In some embodiments of the present invention, the display itself does not provide touch detection, i.e., it is not a touch screen. A frame 528 is shown surrounding the display. This frame indicates a detection zone for detecting proximity and hover gestures. The display shows two icons 424 and 425 in the upper right and left corners, each representing a family of related functions. When the driver performs a sweeping gesture with his hand above a portion of the display, he expands a corresponding icon to reveal a complete set of related functions.
[0134] FIG. 45 shows the effect of a gesture in this context. Dashboard display 423 is shown in the upper portion of FIG. 45 marked (A). A sweeping gesture across the upper left corner of the display and continuing diagonally across the display is indicated by arrows 426 . As the gesture progresses across the screen diagonal, icon 425 expands across the screen. The expanded icon is shown as icon 427 in the lower portion of FIG. 45 marked (B). In some embodiments, this expanded area is populated with icons related to the function represented by icon 425 . In other embodiments, the expanded icon presents further options for similar gestures that expand, providing multiple layers of expanded screens.
[0135] Embodiments of the present invention thus provide easy access to an extensive array of functions with a simple hand gesture in an associated corner or side of the display. This allows the user interface to present a limited number of icons on the initial display without cluttering up the display, and to expand a selected icon to reveal a full list of related functions in response to the aforementioned sweeping gesture.
[0136] FIG. 46 shows dashboard display 423 with four icons 428 , 429 , 431 and 432 in the four corners of the display and a text box 430 at the right edge of the display. Eight arrows 433 - 440 indicating eight different sweep gestures are shown. Each sweep gesture changes the display in accordance with an icon or text associated with that gesture. In FIG. 46 , gestures 433 , 435 , 437 and 439 are each associated with a respective icon, and gesture 436 is associated with text 430 . Additional gestures such as gliding along the edges of the display also provide functionality in some embodiments.
[0137] The hover and proximity sensors that detect the dashboard sweep gestures described hereinabove are substantially the same sensors described with respect to the steering wheel. These sensors are distributed at discrete locations around the dashboard display.
[0138] In the foregoing specification, the invention has been described with reference to specific exemplary embodiments thereof. It will, however, be evident that various modifications and changes may be made to the specific exemplary embodiments without departing from the broader spirit and scope of the invention. Accordingly, the specification and drawings are to be regarded in an illustrative rather than a restrictive sense. | A steering wheel for a vehicle, including a toroidal steering wheel surrounding an airspace and mounted in a vehicle, an array of invisible-light emitters mounted in the steering wheel to project invisible light beams across the airspace, an array of light detectors mounted in the steering wheel to detect the invisible light beams projected by the invisible-light emitters, and to detect gestures inside the airspace that interrupt the invisible light beams projected by the invisible-light emitters, and a processor connected to the light detectors to identify the gestures inside the airspace detected by the light detectors, and to control an item of equipment mounted in the vehicle, in response to the thus-identified gestures inside the airspace. | 90,655 |
FIELD OF THE INVENTION
The present invention relates to semiconductor device fabrication methods and, more particularly, to methods of forming semiconductor devices with copper interconnects therein.
BACKGROUND OF THE INVENTION
Copper (Cu) has been used as an interconnection material in order to reduce the resistance of interconnections. In the case of forming a copper interconnection, a damascene process is generally used. In the damascene process, chemical mechanical polishing (CMP) may be performed, and after the CMP process is performed, a thin copper oxide film may be formed on the copper interconnection. A copper oxide film may be formed because it is difficult to completely intercept oxygen during the CMP process, and slurries used in the CMP process typically contain oxygen components. If a copper oxide film exists on the copper interconnection, the adhesion of the copper connection to a layer deposited on the copper interconnection may be degraded, and the interconnection resistance may be increased, thereby deteriorating the reliability of the semiconductor device.
Generally, in order to remove the copper oxide film, a plasma process may be performed with respect to a semiconductor substrate. If the plasma process is performed with respect to the semiconductor substrate, carbon components of an insulating layer may be removed by the plasma, and thus the carbon content of the insulating layer may be reduced. Also, a low dielectric material (i.e., a low-k material) that is mainly used as a material of the insulating layer may be porous and have a low mechanical solidity. Accordingly, when a plasma process is performed with respect to the insulating layer formed of a low-k material, the porosity of the insulating layer may be further increased if carbon is removed therefrom, and this increase in porosity may decrease the reliability of the semiconductor device.
Typically, in order to completely remove a copper oxide film, a long-time plasma process is required. However, as the plasma process is performed for a longer time, the thickness of the insulating layer being damaged by carbon removal becomes greater. Accordingly, if the plasma process is performed for a long time to completely remove the copper oxide film, the thickness of the damaged insulating layer, for example, may be about 1000 Å.
If the thickness of the damaged insulating layer is increased, then electron movement therein may occur and cause current leakage to neighboring interconnections. The porosity of the insulating layer may also be increased and thereby shorten the lifetime of the device. However, if the plasma process is weakly performed in order to reduce the thickness of the damaged insulating layer, the copper oxide layer may not be completely removed. Consequently, there is a need for a technique that can make the damaged insulating layer thin while completely removing the copper oxide layer.
SUMMARY OF THE INVENTION
Methods of forming an integrated circuit device according to embodiments of the present invention include forming a first electrically insulating layer having a metal interconnection therein, on a substrate, and forming a first electrically insulating barrier layer on an upper surface of the metal interconnection and on the first electrically insulating layer. The first electrically insulating barrier layer is exposed to a plasma that removes oxygen from an upper surface of the metal interconnection. According to preferred aspects of these embodiments, the first electrically insulating barrier layer has a thickness in a range from about 5 Å to about 50 Å and the plasma is a hydrogen-containing plasma that penetrates the barrier layer and converts oxygen on the upper surface of the metal interconnection to water, which out-diffuses from the barrier layer. The metal interconnection may be formed as a copper damascene pattern having a copper oxide layer thereon and the barrier layer may be at least one of SiN, SiC and SiCN.
Additional embodiments of the present invention include forming a first electrically insulating layer having a metal interconnection therein, on a substrate, and then removing oxygen from an upper surface of the metal interconnection by exposing the upper surface of the metal interconnection and the first electrically insulating layer to a first oxygen-removing plasma. Then, a first electrically insulating barrier layer may be formed on the upper surface of the metal interconnection and on the first electrically insulating layer. Additional oxygen may then be removed from the upper surface of the metal interconnection by exposing the first electrically insulating barrier layer to a second oxygen-removing plasma that converts oxygen on the upper surface of the metal interconnection to water, which out-diffuses through the insulating barrier layer. According to preferred aspects of these embodiments, the first oxygen-removing plasma comprises ammonia (NH 3 ) and the second oxygen-removing plasma comprises hydrogen. The step of exposing the first electrically insulating barrier layer to a second oxygen-removing plasma may be followed by forming a second electrically insulating barrier layer on the first electrically insulating barrier layer. These first and second electrically insulating barrier layers may be formed as SiN, SiC or SiCN layers.
According to additional embodiments of the present invention, a method of forming an integrated circuit device includes forming a first electrically insulating layer of SiCOH, on a semiconductor substrate, and then forming a metal interconnect comprising copper and a copper oxide region, within a recess in the first electrically insulating layer. A first electrically insulating barrier layer is then formed on an upper surface of the metal interconnect. At least a portion of the copper oxide region is then converted to copper metal by exposing the electrically insulating barrier layer to a hydrogen-containing plasma that transfers free hydrogen through the electrically insulating barrier layer to the copper oxide region. A second electrically insulating barrier layer is then formed on the first electrically insulating barrier layer. The first electrically insulating barrier layer may have a thickness in a range from about 5 Å to about 50 Å and the first electrically insulating layer may be a SiCOH layer. The combined thickness of the first and second electrically insulating barrier layers may also be greater than about 250 Å. In addition, the step of forming a first electrically insulating barrier layer on an upper surface of the metal interconnect may be preceded by exposing the copper oxide region to a plasma containing ammonia to thereby convert at least some of the copper oxide to copper.
BRIEF DESCRIPTION OF THE DRAWINGS
The above and other objects, features and advantages of the present invention will be apparent from the following detailed description taken in conjunction with the accompanying drawings, in which:
FIG. 1 is a flowchart illustrating a method of fabricating a semiconductor integrated circuit device according to an embodiment of the present invention;
FIGS. 2 to 9 are cross-sectional views of intermediate structures that illustrate methods of fabricating semiconductor integrated circuit devices according to the embodiments of the present invention illustrated by FIG. 1 ;
FIG. 10 is a flowchart illustrating a method of fabricating a semiconductor integrated circuit device according to an additional embodiment of the present invention; and
FIGS. 11 to 13 are cross-sectional views of intermediate structures that illustrate methods of fabricating semiconductor integrated circuit devices according to embodiments of the present invention illustrated by FIG. 10 .
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
The present invention is described more fully hereinafter with reference to the accompanying drawings, in which embodiments of the invention are shown. This invention may, however, be embodied in many different forms and should not be construed as limited to the embodiments set forth herein. Rather, these embodiments are provided so that this disclosure will be thorough and complete, and will fully convey the scope of the invention to those skilled in the art. In the drawings, the sizes and relative sizes of layers and regions may be exaggerated for clarity.
It will be understood that when an element or layer is referred to as being “on,” “connected to” or “coupled to” another element or layer (and variants thereof), it can be directly on, connected or coupled to the other element or layer or intervening elements or layers may be present. In contrast, when an element is referred to as being “directly on,” “directly connected to” or “directly coupled to” another element or layer (and variants thereof), there are no intervening elements or layers present. Like reference numerals refer to like elements throughout. As used herein, the term “and/or” includes any and all combinations of one or more of the associated listed items.
It will be understood that, although the terms first, second, odd, even, etc. may be used herein to describe various elements, components, regions, layers and/or sections, these elements, components, regions, layers and/or sections should not be limited by these terms. These terms are only used to distinguish one element, component, region, layer or section from another region, layer or section. Thus, a first or odd element, component, region, layer or section discussed below could be termed a second or even element, component, region, layer or section without departing from the teachings of the present invention.
Spatially relative terms, such as “beneath,” “below,” “lower,” “above,” “upper,” “top,” “bottom” and the like, may be used herein for ease of description to describe one element or feature's relationship to another element(s) or feature(s) as illustrated in the figures. It will be understood that the spatially relative terms are intended to encompass different orientations of the device in use or operation in addition to the orientation depicted in the figures. For example, if the device in the figures is turned over, elements described as “below” or “beneath” other elements or features would then be oriented “above” the other elements or features. Thus, the exemplary term “below” can encompass both an orientation of above and below. The device may be otherwise oriented (rotated 90 degrees or at other orientations) and the spatially relative descriptors used herein interpreted accordingly. It also will be understood that, as used herein, the terms “row” or “horizontal” and “column” or “vertical” indicate two relative non-parallel directions that may be orthogonal to one another. However, these terms also are intended to encompass different orientations.
The terminology used herein is for the purpose of describing particular embodiments only and is not intended to be limiting of the invention. As used herein, the singular forms “a,” “an” and “the” are intended to include the plural forms as well, unless the context clearly indicates otherwise. It will be further understood that the terms “comprises,” “comprising,” “includes,” “including” and variants thereof, when used in this specification, specify the presence of stated features, integers, steps, operations, elements, and/or components, but do not preclude the presence or addition of one or more other features, integers, steps, operations, elements, components, and/or groups thereof.
Example embodiments of the present invention are described herein with reference to cross-section illustrations that are schematic illustrations of idealized embodiments (and intermediate structures) of the present invention. As such, variations from the shapes of the illustrations as a result, for example, of manufacturing techniques and/or tolerances, are to be expected. Thus, example embodiments of the present invention should not be construed as limited to the particular shapes of regions illustrated herein but are to include deviations in shapes that result, for example, from manufacturing. For example, an implanted region illustrated as a rectangle will, typically, have rounded or curved features and/or a gradient of implant concentration at its edges rather than a binary change from implanted to non-implanted region. Likewise, a buried region formed by implantation may result in some implantation in the region between the buried region and the surface through which the implantation takes place. Thus, the regions illustrated in the figures are schematic in nature and their shapes are not intended to illustrate the actual shape of a region of a device and are not intended to limit the scope of the present invention.
Unless otherwise defined, all terms (including technical and scientific terms) used herein have the same meaning as commonly understood by one of ordinary skill in the art to which the present invention belongs. It will be further understood that terms, such as those defined in commonly used dictionaries, should be interpreted as having a meaning that is consistent with their meaning in the context of the relevant art and will not be interpreted in an idealized or overly formal sense unless expressly so defined herein.
Hereinafter, a method of fabricating a semiconductor integrated circuit device according to embodiments of the present invention will be described with reference to the accompany drawings. FIG. 1 is a flowchart illustrating a method of fabricating a semiconductor integrated circuit device according to an embodiment of the present invention, and FIGS. 2 to 9 are sectional views successively explaining the method of fabricating a semiconductor integrated circuit device according to an embodiment of the present invention.
Referring to FIGS. 1 and 2 , an insulating layer 110 a is formed on a semiconductor substrate 100 (Step S 110 ). The semiconductor substrate 100 may be a silicon substrate, an SOI (Silicon On Insulator) substrate, a gallium arsenide (GaAs) substrate, a silicon germanium substrate, a ceramic substrate, a quartz substrate, or a glass substrate for a display, for example. Also, a P-type substrate or an N-type substrate may be used as the semiconductor substrate, but the P-type substrate is typically used. In this case, although not illustrated in the drawings, a P-type epitaxial layer may be grown on an upper part of the semiconductor substrate 100 . And, although not illustrated in the drawings, the semiconductor substrate 100 may include a P-type well or an N-type well doped with p-type or n-type impurities. On the semiconductor substrate 100 , transistors, contact holes, lower interconnections and other device structures (not shown) may be formed. The insulating layer 110 a may be a silicon oxide layer such as SiO 2 , and may be formed of a low dielectric (low-k) material. The low-k material may be a material having a dielectric constant k of about 3.0 or less, such as carbon containing silicon oxide (SiCOH).
Then, as shown in FIGS. 1 and 3 , a recess 120 is formed in the insulating layer 110 a (Step S 120 ). The recess 120 is formed by patterning a specified part of the insulating layer 110 a , for example, by a photolithography process. Here, although the recess is in the form of a single damascene pattern in the drawing, it may be formed as a dual damascene interconnection in alternative embodiments of the invention.
Then, as shown in FIGS. 1 and 4 , a damascene interconnection layer 130 a is formed so as to completely fill in the recess 120 (Step S 130 ). In this case, the damascene interconnection layer 130 a may include a first metal layer 131 a and a second metal layer 132 a . Specifically, the first metal layer 131 a is conformally deposited on the insulating layer 110 a , which includes a lower surface and side walls of the recess 120 . The first metal layer 131 a may be deposited, for example, by CVD (Chemical Vapor Deposition) or PVD (Physical Vapor Deposition). Also, the first metal layer 131 a may be formed of titanium (Ti), tantalum (Ta), tungsten (W), or their nitride, such as TiN, TaN, WN. Alternatively, the first metal layer may be formed of TaSiN, WsiN or TiSiN. Here, the first metal layer 131 a can act as a barrier layer by preventing metal atoms in the second metal layer 132 a from being diffused into the surrounding insulating layer 110 a.
Thereafter, a second metal layer 132 a is deposited so as to completely fill in the recess 120 . The second metal layer 132 a may be made of copper or copper alloys, but is not limited thereto. The copper alloy may be obtained by mixing a very small amount of an element, for example, C, Ag, Co, Ta, In, Sn, Zn, Mn, Ti, Mg, Cr, Ge, Sr, Pt, Mg, Al, or Zr, in copper, but is not limited thereto. The second metal layer 132 a may also be deposited by CVD or PVD. Although not illustrated in the drawing, a seed metal layer may be further formed on the first metal layer 131 a , prior to deposition of the second metal layer 132 a . The seed metal layer can increase the uniformity of the metal layer, and serve as an initial nucleation site. The seed metal may be copper, gold, silver, platinum (Pt), Palladium (Pd), but is not limited thereto.
Then, as shown in FIGS. 1 and 5 , a damascene interconnection 130 is formed through a smoothing process (Step S 140 ). The damascene interconnection 130 may be formed by smoothing a damascene interconnection layer 130 a until the upper surface of the insulating layer 110 a is exposed. The smoothing of the damascene interconnection layer 130 a may be performed, for example, by CMP (Chemical Mechanical Polishing). However, since it is difficult to completely shut out oxygen while performing the CMP, and oxygen components may be included in slurries for use in CMP, a thin metal oxide layer 140 may be formed on an upper surface of the damascene interconnection 130 during the step of smoothing the damascene interconnection layer 130 a . In this case, the metal oxide layer 140 may be formed to a thickness A of about 50 Å. Particularly, in the case of forming the second metal layer 132 a with copper or its alloys, a copper oxide layer such as CuOx may be formed as the thin metal oxide layer 140 .
Then, as shown in FIGS. 1 and 6 , a first plasma process 150 is performed with respect to the semiconductor substrate 100 on which the damascene interconnection 130 is formed (Step S 150 ). Specifically, the semiconductor substrate 100 , on which the damascene interconnection 130 is formed, is put in a plasma-processing device (not illustrated), and the first plasma process 150 is performed, for example, by injecting a gas including NH 3 into the device. When the first plasma process 150 is performed, a part of the metal oxide layer 140 , formed on the upper side of the damascene interconnection 130 , is deoxidized. About 50% to 90% of the metal oxide layer 140 , and preferably at least about 33% of the metal oxide layer 140 , may be deoxidized, to thereby yield an at least partially deoxidized metal oxide layer 141 .
In addition, since the first plasma process 150 is performed not only with respect to the metal oxide layer 140 , but is performed with respect to the entire semiconductor substrate 100 , the first plasma process 150 may affect the insulating layer 110 a formed on the semiconductor substrate 100 as shown in FIG. 5 . Accordingly, in order to minimize the effect of the first plasma process 150 upon the insulating layer 110 a , the first plasma process 150 is performed under weaker plasma conditions. For example, the plasma process 150 may be performed at a power of about 50 to 300 W for about 5 to 30 sec. In this case, the power and the processing time are complementary to each other. If a low power is supplied, the plasma process is performed for a relatively long time, while if a high power is supplied, the plasma process is performed for a relatively short time. For example, if a power of 50 W is supplied, the plasma is performed for about 30 sec.
After the completion of the first plasma process, the insulating layer 110 a on the semiconductor substrate 100 may be divided into an upper region 111 and a lower region 112 , to yield a modified insulating layer 110 b . The upper region 111 indicates a region in which the insulating layer is damaged due to the first plasma process. Specifically, when the plasma, which is formed by using a gas including NH 3 reaches the surface of the insulating layer 110 a , carbon atoms of the insulating layer 110 a may be removed for the case where the insulating layer 110 a is SiCOH. That is, during the plasma process, the carbon atoms of the upper region 111 may be removed, and thus the carbon content of the upper region 111 may be reduced. The removal of the carbon atoms may cause spaces to form in the upper region 111 , and so the upper region 111 may become more porous than the lower region 112 . However, since the metal oxide layer 140 is partly deoxidized under a weaker condition by the first plasma process, a thickness B of the upper region 111 of the damaged insulating layer 110 a may be in a range from 50 Å to about 500 Å. Accordingly, the thickness of the damaged upper region 111 may be reduced to thereby improve the reliability of the device.
Thereafter, as shown in FIGS. 1 and 7 , a first barrier layer 161 a is formed on the damascene interconnection 130 and the insulating layer 110 b (Step S 160 ). The first barrier layer 161 a may be formed by CVD or PECVD using a plasma deposition process. The first barrier layer 161 a may be formed, for example, with silicon nitride (SiN), silicon carbide (SiC), or silicon carbon nitride (SiCN). The first barrier layer 161 a may serve to provide electrical insulation to the damascene interconnection 130 , or serve as a stopper in the etching process for forming another damascene interconnection (not illustrated). Although the first barrier layer 161 a can protect the upper region 111 of the insulating layer while a second plasma process is performed, it is necessary for ions and radicals to pass through the first barrier layer 161 a . Thus, the first barrier layer 161 a has a thickness C, which is enough to prevent the upper region 111 of the insulating layer 110 b from being damaged due to the second plasma process, but thin enough to allow ions and radicals to pass through the first barrier layer 161 a during the second plasma process. The thickness C of the first barrier layer 161 a may be about 5 to 50 Å, and be preferably about 20 Å.
Then, as shown in FIGS. 1 and 8 , the second plasma process 170 is performed with respect to the semiconductor substrate 100 on which the first barrier layer 161 a is formed (Step S 170 ). The semiconductor substrate 100 , on which the first barrier layer 161 a is formed, is put in a plasma processing device (not illustrated), and a second plasma process 170 is performed by injecting a gas including hydrogen. The hydrogen ions and hydrogen radicals included in the plasma pass through the first barrier layer 161 a , and may completely deoxidize the metal oxide layer 141 on the damascene interconnection 130 . At this time, H2O, which is a by-product of the interaction between the metal oxide layer 141 and hydrogen radicals, is discharged from the first barrier layer 161 a . The second plasma process may be performed for about 10 to 60 sec. When the second plasma process is completed, the metal oxide layer 141 that exists between the damascene interconnection 130 and the first barrier layer 161 a may be completely deoxidized.
Then, as shown in FIGS. 1 and 9 , a second barrier layer 162 is formed on the first barrier layer 161 a (Step S 180 ). The second barrier layer 162 may be made of substantially the same material as the first barrier layer 161 . Also, the second barrier layer 162 may be formed by CVD or PECVD in the same manner as the first barrier layer 161 .
In this case, if the thickness D of the barrier layer 160 , including the first barrier layer 161 a and the second barrier layer 162 , is not sufficient, oxygen may pass through the barrier layer 160 and be injected into the damascene interconnection 130 . Accordingly, it is desirable that the thickness D of the barrier layer 160 be sufficient to intercept the transmission of oxygen through the barrier layer 160 . Accordingly, the second barrier layer 162 and the first barrier layer 161 a are formed to a thickness of at least about 250 Å.
According to the method of fabricating a semiconductor integrated circuit device according to an embodiment of the present invention, the first plasma process is formed under weaker conditions, and the region in which the insulating layer is deoxidized can be reduced. Accordingly, leakage currents between adjacent interconnections can be reduced. In addition, by performing the plasma process twice, the metal oxide layer can be deoxidized so that the damage to the insulating layer is minimized. Therefore, the reliability of the semiconductor integrated circuit device can be improved.
Hereinafter, a semiconductor integrated circuit device according to an embodiment of the present invention will be described with reference to FIG. 9 . Referring to FIG. 9 , the semiconductor integrated circuit device according to an embodiment of the present invention includes a semiconductor substrate 100 , an insulating layer 110 b formed on the semiconductor substrate 100 and including a lower region 112 and an upper region 111 having a carbon content lower than that of the lower region 112 and having a thickness in the range of 50 to 500 Å. A damascene interconnection 130 is formed in the insulating layer 110 b , and a barrier layer 160 formed on the damascene interconnection 130 and the insulating layer 110 b . The insulating layer 111 b may be divided into the upper region 111 and the lower region 112 . As described above, the upper region 111 is a region from which carbon is removed by the first plasma process, and thus has a low carbon content and a high porosity in comparison to the lower region 112 .
In the case where the first plasma process is performed under a weaker condition, the upper region 111 is formed to a thickness of about 50 to 500 Å. Accordingly, the thickness of the upper region 111 is reduced in comparison to the case that the entire metal oxide layer is removed by performing the first plasma process only, and thus the reliability of the device is further improved.
The barrier layer 160 includes the first barrier layer 161 a and the second barrier layer 162 , which are separately formed. Specifically, since the second plasma process for removing the metal oxide layer is performed after the first barrier layer 161 a is formed, a discontinuous surface may exist between the first barrier layer 161 a and the second barrier layer 162 . In this case, the first barrier layer 161 a and the second barrier layer 162 may be formed of substantially the same material.
Hereinafter, a method of fabricating a semiconductor integrated circuit device according to another embodiment of the present invention will be described with reference to FIGS. 10 to 13 . FIG. 10 is a flowchart illustrating a method of fabricating a semiconductor integrated circuit device according to another embodiment of the present invention, and FIGS. 11 to 13 are sectional views successively explaining the method of fabricating a semiconductor integrated circuit device of FIG. 10 . In the following description of the present invention, the same drawing reference numerals are used for the same elements as illustrated in FIGS. 1 to 9 , and the detailed description of the corresponding components has been omitted.
According to the method of fabricating a semiconductor integrated circuit device according to another embodiment of the present invention, the first barrier layer is formed without performing the first plasma process, unlike the method according to the embodiment of the present invention described by FIGS. 1-9 . Since the steps performed before Step S 250 are the same as those in an embodiment of the present invention, only the subsequent steps will be described.
Referring to FIGS. 10 and 11 , an insulating layer 110 a is formed on a semiconductor substrate 100 (Step S 110 ). A recess 120 is formed on the insulating layer (Step S 120 ) and then a damascene interconnection layer 130 a is formed so as to completely fill in the recess (Step S 130 ). Then, a damascene interconnection 130 is formed by performing a smoothing process (Step S 140 ) and a first barrier layer 161 a is formed on the damascene interconnection 130 and the insulating layer 110 a (Step S 250 ).
Specifically, the first barrier layer 161 a is thinly deposited on the insulating layer 110 a in which the damascene interconnection 130 and the metal oxide layer 140 are formed. At this time, the first barrier layer 161 a may be formed by CVD or PECVD. The first barrier layer 161 a may be formed, for example, of silicon nitride (SiN), silicon carbide (SiC), or silicon carbon nitride (SiCN). The first barrier layer 161 a may serve to provide electrical insulation to the damascene interconnection 130 , or serve as a stopper in the etching process for forming another damascene interconnection (not illustrated).
The first barrier layer 161 a has a thickness E sufficient to prevent the insulating layer 110 b from being damaged due to the plasma process, and to allow ions and radicals (e.g., hydrogen radicals) to pass through the first barrier layer 161 a during the plasma process. The thickness E of the first barrier layer 161 a may be in the range of about 5 to 50 Å, and be preferably about 20 Å.
Then, as shown in FIGS. 10 and 12 , the plasma process is performed (Step S 260 ). The semiconductor substrate 100 , on which the first barrier layer 161 is formed, is put in a plasma processing device (not illustrated), and a plasma process 270 is performed, for example, by injecting a gas including hydrogen. Hydrogen ions and hydrogen radicals created by the plasma process 270 pass through the first barrier layer 161 a , and deoxidize a metal oxide layer 142 formed on an upper part of the damascene interconnection 130 . At this time, H2O, which is a by-product of the interaction between hydrogen and the metal oxide in the metal oxide layer 142 , is discharged out of the first barrier layer 161 a . The plasma process is performed for a sufficient time, and thus the metal oxide layer 142 may be completely removed (i.e., completely deoxidized).
Then, as shown in FIGS. 10 and 13 , a second barrier layer 162 is formed on the first barrier layer 161 a (Step S 250 ). The second barrier layer 162 may be made of substantially the same material as the first barrier layer 161 a . Also, the second barrier layer 162 may be formed by CVD or PECVD in the same manner as the first barrier layer 161 a.
In this case, if the thickness D of the barrier layer 160 including the first barrier layer 161 a and the second barrier layer 162 is not sufficient, oxygen may pass through the barrier layer 160 and a metal oxide layer may be formed again on the damascene interconnection 130 . Accordingly, the thickness D of the barrier layer 160 should be about 250 Å or more. Thus, the second barrier layer 162 and the first barrier layer 161 a are formed to a combined thickness of about 250 Å or more.
According to the method of fabricating a semiconductor integrated circuit device according to another embodiment of the present invention, the plasma process is formed after the damascene interconnection is formed and the first barrier layer is deposited, and the first barrier layer protects the insulating layer during the plasma process. That is, the first barrier layer inhibits the damage of the insulating layer due to the plasma by intercepting the direct contact of the plasma with the insulating layer, and thus the reliability of the semiconductor integrated circuit device is improved.
Thus, the semiconductor integrated circuit device of FIG. 13 includes a semiconductor substrate 100 , an insulating layer 110 a formed on the semiconductor substrate 100 , a damascene interconnection 130 formed in the insulating layer 110 a , a first barrier layer 161 a formed on the damascene interconnection 130 and the insulating layer 110 a , and a second barrier layer 162 discontinuously formed on the first barrier layer 161 a using the same material as the first barrier layer 161 a . The first barrier layer 161 a is formed to a thickness of about 5 to 50 Å. Since the plasma process is performed after the first barrier layer 161 a is formed, a discontinuous surface may exist between the first barrier layer 161 a and the second barrier layer 162 . In this case, the first barrier layer 161 a and the second barrier layer 162 may be formed of substantially the same material. For example, the first barrier layer 161 a and the second barrier layer may be formed of silicon nitride (SiN), silicon carbide (SiC), or silicon carbon nitride (SiCN).
Although preferred embodiments of the present invention have been described for illustrative purposes, those skilled in the art will appreciate that various modifications, additions and substitutions are possible, without departing from the scope and spirit of the invention as disclosed in the accompanying claims. | Methods of forming devices include forming a first electrically insulating layer having a metal interconnection therein, on a substrate and then forming a first electrically insulating barrier layer on an upper surface of the metal interconnection and on the first electrically insulating layer. The first electrically insulating barrier layer is exposed to a plasma that penetrates the first electrically insulating barrier and removes oxygen from an upper surface of the metal interconnection. The barrier layer may have a thickness in a range from about 5 Å to about 50 Å and the plasma may be a hydrogen-containing plasma that converts oxygen on the upper surface of the metal interconnection to water. | 34,262 |
RELATED APPLICATIONS
[0001] This application is a continuation of U.S. patent application Ser. No. 12/759,468, filed Apr. 13, 2010, which is a continuation of U.S. patent application Ser. No. 11/003,932, filed Dec. 3, 2004, and now issued as U.S. Pat. No. 7,720,574, which is a continuation of U.S. patent application Ser. No. 10/402,205, filed Mar. 26, 2003, and now issued as U.S. Pat. No. 6,850,849, which is a continuation of U.S. patent application Ser. No. 10/383,920, filed Mar. 7, 2003, and now abandoned, which is a continuation-in-part of U.S. patent application Ser. No. 10/176,385, filed Jun. 20, 2002, and now issued as U.S. Pat. No. 6,823,270, which claims priority from U.S. Provisional Pat. App. No. 60/299,851, filed Jun. 20, 2001, all of which are incorporated by reference.
TECHNICAL FIELD OF THE INVENTION
[0002] The present invention relates to the field of fluid flow monitoring, analysis, and control and, in particular, to methods and apparatuses for integrated monitoring, analysis, and control of low volume, high pressure fluid flow systems.
BACKGROUND OF THE INVENTION
[0003] A variety of fluids, such as lubricants and chemical reactants, are used in modern industry. For example, compressors and other machines reduce internal friction between parts by injecting a lubricant, such as oil or grease, into critical bearing surfaces and reciprocating part junctions. If the flow of lubricant is interrupted, compressors and other industrial tools can be seriously damaged or destroyed. On the other hand, too much lubricant can unnecessarily increase the operating expenses of the machinery and can contaminate the environment. Poorly controlled fluid flow can affect the result in other industrial operations, such as well bore components, gas pipeline components, and oil and gas production.
[0004] A variety of systems are used to distribute lubrication in industrial machine applications. Originally, multiple pumps were used to supply oil to multiple points. It was found that, in such systems, the flow was not sufficiently uniform between lubrication points, with some points being starved for lubricant while other points wasted lubricant with excessive flow.
[0005] A more reliable system uses a pump to pressurize a fluid distribution line and a positive displacement divider block, also referred to as a divider valve, to distribute a lubricant, such as oil, from the single pump outlet line to multiple injection points. A typical divider block is operated by the pressure of the incoming fluid to divide the fluid into multiple output channels. Divider blocks typically include multiple internal pistons that are activated by the flow of the incoming oil. As the oil moves the pistons, internal hydraulic circuits open and close to distribute a known volume of lubricant to each of the multiple outputs for each cycle of the pistons. Because the internal hydraulic circuits are progressively opened and closed by the flow of the incoming oil, no external power source is required to operate the divider block, and no external timing signal is required to deliver a prescribed amount of oil to each outlet line. The bore and stroke of each piston determines the amount of fluid delivered with each cycle of the divider block. Because these dimensions are known, the amount of oil distributed for each cycle of the divider block can be readily calculated, and if the number of cycles in a unit of time is tracked, the flow rate can be readily determined. The simplicity and reliability of divider blocks have lead to their wide acceptance in many applications.
[0006] Divider blocks can still fail to provide adequate lubrication in some circumstances. For example, a pump failure can reduce the inlet flow to the divider block, reducing the amount of lubricant distributed. The divider block can become clogged, jammed, or sufficiently worn so as to reduce fluid or lubrication flow to specific points.
[0007] U.S. Pat. No. 5,835,372 to Roys et al. for an “Integrated Fluid Flow Evaluation Apparatus and Method,” which is hereby incorporated by reference, describes a system for monitoring the cycles of the outputs of a divider block. In accordance with the Roys et al. patent, a fluid flow sensor can be mounted at an outlet position of a divider block to detect cycles of the combined outlets. The sensor includes a magnet, typically mounted on a rod coupled mechanically or magnetically to the piston. The magnet moves back and forth as the piston moves. A reed switch positioned along the path of the magnet is operated as the magnet passes, so each signal from the reed switch corresponds to a cycle of that dispensing valve piston. Knowing the bore and stroke of the piston, the system can determine the lubricant flow rate, e.g., the number of pints per day, at an outlet by counting how many times the reed switch closes during a measured time period. For example, if the piston expels 10 cc of lubricant with each cycle and the reed switch closes three times each minute, a lubricant flow of 30 cc/min should pass through that outlet of the divider block. Since all pistons of a divider block go through one complete dispense process during each period that the valve cycles, a user typically connects a single sensor to one outlet of the divider block to count valve cycles, and then infers the fluid flow from all the outlets.
[0008] A fluid flow monitor associated with the sensor includes a microprocessor that counts reed switch activations and a display mounted on the monitor to provide control information to field personnel. The monitor can also send a signal to shut down the lubricated equipment if the flow of lubricant is below a minimum level. Although stored data is primarily viewed in the field by maintenance personnel, the monitor can be connected to a central control panel.
[0009] While the system of Roys et al. displays some control information at each divider block, a field service technician is typically required to read the information from each monitor display to check the status and history of that individual block. Although a “hard-wired” control panel near the divider block can be used to collect data from multiple sensors, running wires adds to the cost of installation and may be difficult or impossible in some situations, such as in areas containing explosive gases or at long distances from the control panel. In many applications a field maintenance operator cannot electrically download information from a monitor on-site, because in an explosive hazard environment, it is forbidden to make or break electrical connections because of the possibility of causing a spark.
[0010] Also, although the Roys et al. system provided information about the fluid that exited the divider block, it provides no information about whether the fluid actually reached the injection point. Thus, leaks between the divider block and the injection point can go undetected.
[0011] Relatively small volume fluid flow is not typically measured in-line because of a lack of cost-effective measuring equipment. Turbine-type measurement devices are used in fluid systems having a high volume of fluid flow, for example, measured in gallons per minute or liters per minute. Turbine devices are not suitable for measuring low volume, that is, in the range of about ten gallons or less per day. Such low volumes are typically pumped by lubrication and chemical pumps. Positive displacement pump-type measuring systems typically use gears and are typically expensive and cannot accurately measure low volumes. Such devices are impractical to use in large numbers to monitor fluid flow at the large number of points necessary to characterize fluid flow in a large system and they are typically not sufficiently accurate at low volumes. Accurate measurement of the flow of relatively small amounts of fluid at the relatively high pressure used in some systems has been a problem in the industry.
[0012] In the oil and gas industry, the amount of fluid used in many circumstances is determined by observing a “draw down” gauge at a tank. Such gauges are not precise, and while such gauges indicate the amount of fluid that left the tank, they do not directly measure the fluid that was applied at the injection point. Leaks or wrongly set valves may prevent fluid that left the tank from arriving at its intended injection point. The lack of a practical method of monitoring the divider block for measurement, trending and control of fluid.
[0013] The accuracy of fluid flow measurement based on a cycle counter on a divider block can decrease over time. As the divider block wears over hundreds of thousands or millions of cycles, the amount of fluid delivered for each cycle of the piston can vary, with some of the fluid bypassing the piston and traveling to a point of least resistance. Then, some lubricant flows back around the piston instead of being forced into the outlet, and the flow calculations based on the piston size to each lubrication point or fluid injection point become inaccurate.
[0014] U.S. Pat. No. 6,212,958 to Conley describes the use of a blade that extends into the pipe and the degree of deflection of the blade as fluid flows is an indication of fluid flow. Extending a blade into the fluid can affect the fluid flow and the blade can deteriorate over time.
[0015] Another solution to measuring fluid flow has been to use a thermistor to infer fluid flow based upon a change in temperature. This method is only for monitoring movement of fluid and cannot monitor in quantity of fluid. Such units are expensive, are impractical to attach to a large number of fluid flow points to accurately monitor and characterize a large system and are not permitted in areas where explosive gases or vapors are present. There are sometimes disagreements between suppliers and users about the amount of fluid that has been delivered.
[0016] When fluid flow is monitored, using the devices described above, the information available has been limited primarily to current flow and has been used primary to shut down equipment or to sound an alarm. This information is typically inadequate for precise monitoring. For example, when a single compressor in a multiple compressor system fails, it would be difficult to detect that the failure was caused by an intermittent lubrication problem, particularly if the lubrication system was functioning adequately at the time of failure. Service personnel would likely observe that the other compressors are satisfactory and determine that the lubrication system is operating properly and assume that the fault was in the compressor itself. In fact, the lubrication system may be operating properly at the time the technician observes the system, but a previous undetected problem may have damaged the compressor to the point where it fails later, when it is receiving adequate lubrication. Thus, it has been very difficult to diagnose some lubrication problems and such problems cost industry a great deal in ruined equipment.
SUMMARY OF THE INVENTION
[0017] An object of the invention is to provide a method and apparatus for monitoring and controlling fluid flow so as to detect and correct inadequate or excessive flow and thereby minimize damage to machinery and the environment and reduce operational cost.
[0018] The present invention comprises a system for monitoring, analyzing, and controlling fluid flow. In one embodiment, the system comprises one or more fluid flow monitors that determine fluid flow from cycle counts from one or more fluid flow sensors attached to dispensing valves. The dispensing valves can distribute fluid to multiple output channels, that is, the dispensing valve can be a divider valve, or the dispensing valves can distribute fluid to a single output channel. A single output dispensing valve and an associated sensor can be used to measure and display average valve cycle time or fluid flow within a hydraulic channel, such as at an injection point. A fluid flow monitor can be mounted directly on the dispensing valve or be positioned away from the dispensing valve and accept remote input by wire or radio frequency link from a fluid flow sensor that is mounted on a dispensing valve. The fluid flow monitor system can store fluid flow information, which can be downloaded, for example, by an infrared link, to a personal digital assistant or a personal computer. The fluid flow monitor system can also output a signal to a pump control device to adjust the pump if the fluid flow is not within specified guidelines. The fluid flow monitor system could also output a local alarm signal or a machine shutdown signal when comparison of the fluid flow with programmed parameters indicates a problem. Data from the fluid flow monitor or cycle information from fluid flow sensors can be transmitted via a satellite radio link to a server computer for transmitting over or posting on the Internet, allowing the data to be accessed at locations remote from the location of the fluid flow monitor, In some embodiments, measured fluid flow values can be compared with desired fluid flow values and adjustments can be made from any point in the world with access to the Internet, automatically or by manual data entry, to a pump to bring measured values close to desired values.
[0019] Another aspect of the inventive system includes the use of a Hall effect sensor to detect motion of a piston follower in a fluid flow sensor,
[0020] Another aspect of the invention entails the ability to download data from a fluid flow monitor using an infrared link, thereby allowing information to be downloaded in a safe manner in an explosive environment without having to hard wire connections to the monitor.
[0021] Another aspect of the invention includes the ability to convert fluid flow data from a personal digital assistant data format to a format that is useable in commercially available software, such as spreadsheets and databases, suitable for analyzing information.
[0022] Another aspect of the inventive system is a fluid flow sensor in which the magnet and spring assembly is constrained within a housing when the sensor is not connected to the dispensing valve, thereby preventing these components from falling out when the sensor is installed or removed.
[0023] Another aspect of the invention provides a feedback loop between the fluid measuring device and a fluid pump, so that the fluid pump can be adjusted to increase or decrease the fluid flow, thereby preventing excess fluid flow, which can, for example, waste resources, and preventing insufficient fluid flow, which can, for example, damage equipment for lack of adequate lubrication.
[0024] The foregoing has outlined rather broadly the features and technical advantages of the present invention in order that the detailed description of the invention that follows may be better understood. The system as described herein includes several inventive aspects, and not all embodiments will include all the features described. Moreover, it should be appreciated by those skilled in the art that the conception and specific embodiment disclosed may be readily utilized as a basis for modifying or designing other structures for carrying out the same purposes of the present invention. It should also be realized by those skilled in the art that such equivalent constructions do not depart from the spirit and scope of the invention as set forth in the appended claims.
BRIEF DESCRIPTION OF THE DRAWINGS
[0025] For a more complete understanding of the present invention and the advantages thereof, reference is now made to the following descriptions taken in conjunction with the accompanying drawings, in which:
[0026] FIG. 1 is a block diagram of a preferred fluid flow evaluation system.
[0027] FIG. 2 shows a multistage compressor having two fluid flow monitors each mounted directly on a dispensing valve and each capable of transmitting flow information through an infrared link, and alarm and shut-down information via wire to a local control panel and then optionally through a satellite link to the Internet,
[0028] FIGS. 3A-3H are typical input screen images from a personal digital assistance that interfaces with a fluid flow monitor.
[0029] FIG. 4 shows a multistage compressor having two fluid flow monitors mounted on a control panel and receiving piston cycle signals from fluid flow sensors mounted on dispensing valves, the fluid flow monitors providing alarm and fluid trend information locally and optionally via a satellite link to the internet.
[0030] FIG. 5 shows a multistage compressor having two fluid flow monitors mounted on a control panel and receiving piston cycle signals via radio frequency links from fluid flow sensors mounted on dispensing valves, the fluid flow monitors providing alarm and fluid trend information locally and via a satellite link to the internet.
[0031] FIG. 6 shows a multistage compressor having a single fluid flow monitor mounted on a control panel and receiving piston cycle signals via a radio frequency link from multiple fluid flow sensors mounted at injection points on the compressor, the fluid flow monitor providing alarm and fluid trend information locally and via a satellite link to the internet.
[0032] FIG. 7 shows schematically a wireless injection point assembly for measuring fluid flow and transmitting the information to a fluid flow analyzer.
[0033] FIG. 8 shows multiple injection point assemblies of FIG. 7 connected via wireless links to a single fluid flow monitor.
[0034] FIG. 9 shows schematically a fluid monitor having a wireless receiver for receiving information from the wireless injection point assembly of FIG. 7 .
[0035] FIG. 10 shows a fluid flow monitor having an internal Hall effect fluid flow sensor.
[0036] FIG. 11 shows an enlarged view of the fluid flow sensor of FIG. 10 .
[0037] FIG. 12 shows roughly the magnetic flux lines around the magnetic assembly of FIG. 11 .
[0038] FIG. 13A shows a fluid flow sensor having a contained magnet and a reed switch. FIG. 13B shows the housing of the fluid flow sensor of FIG. 13A . FIG. 13C is an exploded view of the components of the fluid flow sensor of FIG. 13A . FIG. 13D is an exploded view of the components of a fluid flow sensor similar to that of FIG. 13A , but using a Hall effect sensor instead of a reed switch.
[0039] FIGS. 14A-14D show a fluid dispensing valve having a single input and a single output.
[0040] FIG. 15 shows a multi-stage compressor having fluid flow sensors mounted at multiple injection points on the compressor, each of the fluid flow monitors including a liquid crystal display for indicating cycle time.
[0041] FIG. 16 is a combination block diagram and flow chart showing the components and steps of a system that automatically adjusts fluid flow based upon fluid flow measurements.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
[0042] FIG. 1 shows a block diagram of a preferred fluid flow evaluation system 8 . Fluid flow evaluation system 8 includes a fluid flow monitor 9 , such the Proflo® fluid flow monitor from C.C. Technology, Inc., Midland, Tex., the assignee of the present invention. Fluid flow monitor 9 includes a microcontroller 10 , such as a Hitachi H8/3847 microcontroller, a memory 12 , such as a 64 k EEPROM, and an output display 14 , such as a liquid crystal display.
[0043] Microcontroller 10 accepts input signals from a fluid flow sensor, the input signals corresponding to piston cycles. A fluid flow sensor 22 can be located within fluid flow monitor 9 . That is, the fluid flow monitor 9 can be mounted directly on a dispensing valve, and the internal fluid flow sensor detects the movement of a magnet that is moved by a dispensing valve piston. Alternatively, fluid flow monitor 9 can be mounted remotely from the dispensing valve being measured, and fluid flow monitor 9 can accept piston cycles signals transmitted via wire or radio frequency wireless link from a separate fluid flow sensor mounted on the dispensing valve.
[0044] The piston cycle signal received from the fluid flow sensor 20 or 22 is combined by the fluid flow monitor 9 with clock signals and information about the amount of fluid flow per valve cycle to determine a flow rate of fluid. Different information can be stored in memory 12 depending upon user requirements. For example, memory 12 can store individual cycle times, average cycles for a predetermined period, or some combination of individual readings and average. Memory 12 preferably stores at least twelve months of operational data.
[0045] In a fluid flow sensor mounted on a dispensing valve, a magnet is linked, mechanically, magnetically, or otherwise, with a piston of the dispensing valve. As the dispensing valve cycles, the moving magnet provides a magnetic “pulse,” which is detected by a reed switch or Hall effect sensor switch in the fluid flow monitor. A Hall effect sensor emits a low level signal that is detected and counted by the microcontroller in the fluid flow monitor. The Hall effect sensor switch has no moving parts and so will not wear out and will not be readily destroyed by vibration. The fluid flow monitor 9 preferably can output an alarm signal 44 and information 40 about valve cycles that correlate to fluid flow. The fluid flow monitor can also preferably shut down the compressor if lubrication is inadequate.
[0046] The output 40 from the fluid flow monitor can be through a wire, through an infrared link, such as an IrDA (Infra red data associate) link, or through a radio frequency satellite link using, for example, the RS 485 standard. Fluid flow monitors are often located in areas of extreme explosion hazard, such as around explosive chemicals or natural gas. In such environments, connecting or disconnecting electrical circuits presents an extreme hazard because of the risk of generating a spark. By using an infra-red link, the present invention allows a person to download fluid flow data in a safe manner in an explosive environment. Although the data could also be downloaded by hard-wired electrical connections, such connections are more costly to provide, particularly to retrofit into existing equipment.
[0047] Different information can be output differently from the same fluid flow monitor. For example, an alarm signal or a shut-down signal 44 may be output along a wire to a control panel, whereas fluid flow trend information may be output through the infrared link to a hand-held computer or through a radio frequency satellite link. If a satellite or telephone link is used, the information can then be automatically made available through the Internet to equipment owners and operators anywhere in the world. Alarm conditions can be relayed to designated individuals via paging, telephone, e-mail, instant messaging, web site posting or other Internet or non-Internet notification.
[0048] FIG. 2 show a multistage compressor 202 lubricated by a fluid delivered from a fluid pump 204 to two dispensing valves 206 . Each of dispensing valves 206 dispenses lubricating fluid to multiple lubrication four injection points 208 on the compressor 202 . Attached to at least one output of each of the valves dispensing 206 is a fluid flow monitor 210 . Each fluid flow monitor 210 includes an internal cycle switch, such as a Hall effect sensor or a reed switch, that is activated by a magnet that moves in coordination with the corresponding piston (not shown) within dispensing valves 206 . The cycle switch provides indication signals that are combined by microprocessor 10 with timing signals to determine fluid flow information, which is stored in memory 12 .
[0049] The fluid flow monitor system of FIG. 2 is also wired to an alarm 240 on a control panel 242 to provide an alarm signal when a programmable alarm condition, such as an inadequate or excessive lubrication flow, are encountered. A shut down signal can also be transmitted to the control panel 242 to shut down compressor 202 if the fluid flow level could damage the compressor. An alarm signal can also be transmitted from the control panel 242 via satellite link 246 to a network server that makes the alarm available to a user over the World Wide Web or other computer network.
[0050] Information about fluid flow can be downloaded from the fluid flow monitors on the dispensing valves by an infrared link 250 to a portable computing device, such as a personal digital assistance (PDA), for example, a Palm Pilot or Handspring Visor. A personal digital assistance may be usable in an explosion-rated environment because of the low battery voltage, whereas a notebook or laptop computer may not be prohibited. Moreover, using an infrared link to download information eliminates the need to make a temporary electrical connection between the computing device and the fluid flow monitor 210 , thereby allowing data to be transferred in an explosion-rated environment where such connections are prohibited. The system of FIG. 2 allows the operator to easily and immediately begin protecting and monitoring the fluid flow in the system.
[0051] FIGS. 3A-3H are examples of screens displayed on a PDA for characterizing fluid flow. FIG. 3A shows an opening screen when displayed the fluid control application is begun. FIG. 3B shows the applications that are available from a pull-down command menu. FIG. 3C shows divider block data that is displayed when “Divider Block Daily Data” is selected from Command menu. The Divider Block Daily Data screen displays, for each hour period during the day, the average cycle time for the divider clock and the amount of lubricant injected.
[0052] FIG. 3D shows a screen that allows the user to readily locate periods of under lubrication or over lubrication. The user can enter parameters to define what constitutes over or under lubrication. Such conditions can endanger the compressor or waste lubricant and the invention allows such conditions to be readily identified and repaired. FIG. 3E shows the information displayed when a “Divider Block History” is requested. FIG. 3F shows a screen that allows the user to transfer data to or from the fluid flow monitor. Several help screens are available to assist users. For example, FIG. 3G shows a help screen that explains to users how to determine the total flow through a divider block. FIG. 3H shows a set-up screen used to program limits for initiating warning and system parameters such as alarm time, divider block totals, recommended cycle time, and bus address for data communication. Screens 3 A- 3 H are example of typical screens and different screens may be used to enter or display other information. Information from the portable computing device may be transferred to another computer and converted into a format usable by commercially available analysis programs, such as Microsoft Excel or Access.
[0053] FIG. 4 shows a multistage compressor system 400 similar to that shown in FIG. 2 , with a different embodiment of the fluid flow evaluation system connected thereto. In the fluid flow evaluation system of FIG. 4 , fluid flow monitors 404 are mounted on a control panel 405 away from the divider blocks 406 so a technician need not go to each divider block 406 to download fluid flow data. Fluid flow sensors 408 are mounted on the divider block 406 to detect piston cycles using, for example, a reed switch or a Hall effect sensor. Piston cycle information is transmitted over wires 420 from the fluid flow sensors 408 to the fluid flow monitors 404 . As in the previous embodiment, the piston cycle signals are combined in fluid flow monitors 404 with timing signals to determine fluid flow information and the information is stored in the memory.
[0054] The fluid flow information in memory can be downloaded to a portable computing device over an infrared link 250 as in the embodiment of FIG. 2 , so that information can be transferred in a hazardous environment. The fluid flow monitor 404 can send a signal to alarm 240 when programmed alarm conditions prevail and can also output a shut down signal when necessary to protect the compressor. The alarm and fluid flow information can also be transmitted to a satellite or other communications link 450 so that the fluid flow data is accessible in remote locations, preferably over the World Wide Web or other computer network.
[0055] FIG. 5 shows a multistage compressor system 500 , similar to those in the previous FIGS. Like the embodiment in FIG. 4 , fluid flow monitors 510 are mounted away from divider blocks 505 . In the system of FIG. 5 , however, radio frequency transmitters 512 transmit cycle signals from fluid flow sensors 504 at divider blocks 505 to the fluid flow monitors 510 . By eliminating the requirement to run wires, installation, particularly in a retrofit situation, is greatly simplified and the cost is reduced. Wireless transmitters 512 can be powered by a battery or by a solar energy source. Wireless receivers 514 at fluid flow monitors 510 can also be powered by a battery or by a solar energy source, or the wireless receiver could be powered by a power line. As with the system of FIG. 4 , the piston cycle signals are combined by monitors 510 with timing signals to determine fluid flow information and the information is stored in the memory. The memory information can be downloaded to a handheld device over infrared links 250 . Fluid flow monitor 510 can produce an alarm signal causing alarm 240 to sound when programmed alarm conditions prevail and can also output a shut down signal when necessary to protect the compressor.
[0056] The alarm and flow information can also be transmitted to a satellite or other wireless communications link 450 so that the alarm information or fluid flow data is accessible in remote locations. The data can be made available over the World Wide Web or other computer network. The wireless link of the FIG. 5 system allows the monitor to be remotely mounted in a place that is easily accessible and to receive piston cycle signals from all injection points.
[0057] FIG. 6 shows a system similar to that of FIG. 5 , but includes at each injection point a single outlet divider block 601 to inject a fixed quantity of fluid. A fluid flow sensor 602 is mounted on each single outlet divider block 601 to measure the exact amount of fluid dispensed at each injection point. Each fluid flow sensor 602 has an associated wireless transmitter 604 for sending fluid flow information to a single fluid flow monitor 610 positioned on a control panel 612 . A receiver 614 associated with the fluid flow monitor 610 periodically polls each transmitter 604 to obtain piston cycle information and converts the piston cycle information to fluid flow information for each injection point 208 . By measuring fluid flow at each injection point 208 , the actual fluid injected is measured, regardless of whether fluid is lost between the divider block 603 and the injection point 208 . When each divider block 601 cycles, a known quantity of oil has been dispensed.
[0058] Fluid flow monitor 610 receives and translates piston cycle information from all transmitters 604 and translates the piston cycles to intelligible data for accurate fluid flow. Thus, a single receive 614 can monitor hundreds of injection points and provide accurate information about quantities of lubricant, chemical or fluid.
[0059] To measure fluid flow at the insertion point, a preferred fluid flow sensor entails a dispensing valve having a single-input and a single output. The single output dispensing valve operates in a manner similar to that of a conventional divider block, but the dispensing valve dispenses fluid at a single outlet. Thus, a known amount of lubricant is output for each cycle of the pistons and, by sensing piston cycles as described above, the amount of lubricant dispensed can be readily determined. This single-input single output-divider valve is a positive displacement valve. This valve is suitable for measuring at relatively high pressures very small to extremely small quantities, such as a few cubic inches per day in one embodiment, about 14.0 cubic inches in another embodiments and up to about 10 gallons per day in yet another embodiment. Prior art fluid flow measuring devices were either not suitable for accurately measuring flows in this flow range and pressure or were of complex, geared construction too expensive for use in such applications.
[0060] FIGS. 14A-14D shows a single input, single output dispensing valve. Although having a single output, such a dispensing valve can also be referred to generally as a type of divider block. FIG. 14A shows an end view of a dispensing valve 1402 having two cylinders 1404 positioned above a third cylinder 1406 . FIG. 14B shows the interior of dispensing valve 1402 . FIG. 14B shows a lower piston 1410 in cylinder 1406 and one of upper pistons 1412 in one of the two upper cylinders 1404 . Upper pistons 1412 move together. Fluid enters through one of the upper cylinders 1404 , moves to a bottom cylinder 1406 , and then out of dispensing valve 1402 through an upper cylinder 1404 . Skilled persons can readily design pistons and a hydraulic path suitable for various applications, FIG. 14C shows a cross section of single input, single output dispensing valve 1402 with an attached fluid flow sensor 1430 having electrical connections for conveying cycle signals to a remote fluid flow monitor. (Dispensing valve 1402 is shown rotated in FIGS. 14C and 14D so that the lower piston 1412 is shown facing the viewer, and upper pistons 1412 are partially hidden.) The FIG. 14D shows dispensing valve 1402 attached to a fluid flow monitor 1440 that is internal to a fluid flow monitor 1442 .
[0061] In some implementations, aspects of the embodiments of FIGS. 6 and 5 are combined so that fluid flow is measured at both the dispensing point and the injection point. By measuring at both places, leaks between the two points can be detected, thereby reducing environmental damage and reducing wasted fluid. Any combination of fluid flow sensors can be used.
[0062] Systems that use a radio frequency transmitter or receiver to communication piston cycles preferably have a battery indicator so that the battery can be replaced before it fails. Otherwise, properly functioning equipment may shut down because no piston cycles are detected by fluid flow monitor 250 .
[0063] FIG. 7 shows in more detail a wireless injection point assembly 702 comprised of two principle sub-assemblies: a wireless transmitting unit 708 and an injection point unit 709 . Injection point unit 709 is comprised of an injection device 711 , such as single output divider block 601 or multiple outlet divider block 505 described above, coupled with a fluid flow sensor 710 , such as sensor 602 described above. Whenever a fluid pulse is delivered out of injection device 711 , the electrical contacts of switch 710 are cycled one time.
[0064] Transmitting unit 708 is comprised of a radio frequency (RF) transmitter 731 , a microcontroller 732 executing control software stored in memory 713 , a power supply 733 , a battery 734 , interface circuitry 735 , and an antenna 736 . An optional photovoltaic system 740 can supply power for wireless transmitting unit 708 .
[0065] Contact closures of fluid flow sensor 710 are passed to microcontroller 732 via an interface 735 that converts the output signal from switch 735 into a signal compatible with the input of microcontroller 732 . Microcontroller 732 , operating in accordance with software in memory 713 , counts the contact closures received from fluid flow sensor 710 .
[0066] FIG. 8 shows the larger environment in which one or more wireless injection point assemblies 702 operate. A local system 817 includes a receiver unit 814 in communication with a fluid flow monitor 815 , preferably a Proflo® from C.C. Technology, Inc. Receiver unit 814 receives data from the one or more wireless injection point assemblies 702 . Each wireless transmitter unit 708 has a unique identifier and is provided a unique address so that receiver unit 814 can associate incoming date with the appropriate one of wireless injection point systems 702 .
[0067] Each contact closure recorded causes microcontroller 732 to generate a message containing an identifier value, which uniquely identifies the specific wireless injection point assembly 702 , and a count value corresponding to switch closures. This message is formatted for transmitting to the receiver unit 814 working within local system 817 . The sending units will send a count to the receiver unit that in turn is used to determine fluid flow, based on the known volume per injection cycle, to a desired accuracy, for example, to 1/100th of a pint.
[0068] This information is stored in the fluid flow monitor 815 to be transmitted to the end user via wireless download to a PDA handheld and to any earth orbiting satellite to connect to the Internet for access by the operator. Time sequencing between pulses of units 702 are determined by the master divider block and collected by the fluid flow monitor or satellite communication device to be transmitted at any given time to the owner/operator or user of the pump or compressor. In a preferred embodiment, different ones of injection point assemblies 702 on the same divider block will not pulse at the same time due to the master divider block system utilizing progressive in-line movement of each piston as it moves oil. This sequencing assures that no two injection point assemblies 702 will transmit data at the same time, and therefore avoids the possibility of a collision of messages and possible failure of receiver unit 814 to receive data being sent by one or more of the injection point assemblies 702 .
[0069] FIG. 9 shows receiver unit 814 in more detail. Receiver unit 814 includes an antenna 916 for receiving transmission from wireless transmitting unit 708 , a radio frequency receiver 918 , a microcontroller 919 in communication with a memory 920 for storing program instructions for controlling the operation of receiver 814 , and an interface 930 for communication with fluid flow monitor 815 . Receive unit 814 also includes a power supply 921 for supplying appropriate voltage and current to components within receive unit 924 , a battery 926 for supplying power to power supply 921 when necessary, and an optional photovoltaic system 928 for supplying power to power supply 921 .
[0070] All information relating to fluid flow is optionally communicated to the receiving unit 814 and transferred by wireless transmitters (not shown) to satellite receivers for viewing on the Internet on secure web sites. This data will inform the operator of any problems with the quantity of oil injected to each lubrication point of the compressor. All lubrication points will have set parameters that will be monitored and stored by the Proflo® wireless system.
[0071] In some embodiments, a display can be associated with each injection valve. The display can be integral with or attached to the dispensing valve. The display is typically a liquid crystal display that displays the valve average cycle time in seconds. An average of six cycles is typically used to provide a more consistent, meaningful measurement, although a different number of cycles could be averaged or individual cycle times could be displayed. The injection valve or an attached module incorporates, besides the display itself, a Hall switch or reed switch to activate the LCD counter and indicate each cycle. An integrated circuit times the cycles and computes average cycle times. An internal battery powers the LCD and associated circuitry.
[0072] FIG. 15 shows a multi-stage compressor 1502 that includes multiple dispensing valves 1504 at multiple lubricant injection points, each dispensing valve 1504 having an associated liquid crystal display 1506 . The cycle time in seconds is displayed for each dispensing valve. In other embodiments, the LCD counter can be mounted remote from the dispensing valve so as to enable the operator to more easily see the cycle time of the valve. The capability to mount the LCD remote from the dispensing valve time addresses any safety concerns about operators needing to climb over and around the compressor or chemical pump to observe cycle times of the injection point.
[0073] Providing the capability to manually monitor the cycle time of the injection valve allows the operator to immediately and inexpensively identify potential system problems, such as the injection of too much or too little lubrication in a compressor, or too much or too little chemical injected in a processing system. A practical method of identifying oil consumption in low volume, high pressure, either mechanically or electronically to each injection point is not currently available in the industry. If there are, for example, ten lubrication points on the compressor, the operator can easily install a dispensing valve on each point and manually monitor each point to ensure the correct amount of lubrication is being injected into each point.
[0074] To determined from the displayed flow rate the quantity of oil or chemical injected into each point, the operator uses the following formula: P=6×V/S, where P is the flow rate in pints per day, V is the volume of fluid dispensed each time the dispensing valve cycles one time, and S is the time required for one complete cycle of the dispensing valve. The constant, 6, results from converting cubic inches of fluid to pints and seconds to days.
[0075] For example, if the LCD on the dispensing valve indicates an 11 second cycle time, and the volume output of the dispensing valve is 0.030 cubic inch per cycle, 6×30/11, that is, 16.4 pints per day are being injected through the valve.
[0076] By displaying only the cycle time and allowing the operator to determine the actual flow rate, the same measurement device can be used on different valves having different volumes. Alternatively, the electronics associated with the display can calculate and display a flow rate, for example, in pints per day, based on a preset or programmable volume and the measured cycle time. As used herein, the term “fluid flow information” includes not only rate information, but any information, such as cycle time, from which a rate can be determined
[0077] In some embodiments, a fluid flow monitor of the present invention can use a Hall effect sensor switch. Hall effect sensors detect the presence of or change in a magnetic field. Hall effect switches operate as binary switches, with the switch state being turned on when the magnetic field rises above a prescribed value and being turned off when the magnetic field drops below a prescribed value. When positioned close to a magnet, Hall switches have difficulty detecting a small relative displacement because the change in magnetic field is very slight. FIG. 10 shows a fluid flow monitor 1010 having an internal fluid flow sensor 1014 that uses a Hall effect sensor 1016 mounted on the fluid flow monitor 1010 for use, for example, in a system like that shown in FIG. 2 . A fluid flow monitor having an internal fluid flow sensor can be mounted at a divider block or at an injection point. A fluid flow monitor can also be mounted away from a fluid flow sensor, with connection from the fluid flow sensor to the fluid flow monitor provided by wire or wireless methods.
[0078] FIG. 11 shows a fluid flow monitor sensor 1102 that comprises a housing 1104 , a magnetic assembly 1106 comprising two magnets 1112 separated by a non-magnetic spacer 1114 . A hydraulically driven piston (not shown) pushes a non-magnetic, preferably stainless steel, piston follower 1116 that moves magnetic assembly 1106 relative to Hall effect sensor 1118 . A spring 1120 biases the magnetic assembly 1106 against piston follower 1116 and causes magnetic assembly 1106 to follow piston follower 1116 when it moves away from magnetic assembly 1106 .
[0079] The magnets are oriented such that the opposite poles face each other across the spacer, which is preferably composed of a 300 series stainless steel. In one embodiment, magnets 1112 are composed of Alnico 5 alloy, have a strength of about 60 gauss, a diameter of 0.187 in, and a length of 1.0 inch. In this embodiment, non-magnetic spacer 1114 similarly has a diameter of 0.187 in, is preferably about 0.30 inches long, and made of 304 stainless steel. The sensor switch 1118 itself is, for example, an Allegro Model A3210ELH operating at between 2.5 V and 3.5 V, and rests on a printed circuit board 1128 that is positioned a distance 1130 of approximately 0.25 in away from the edge of housing 1104 .
[0080] The design of magnet assembly 1106 produces a region having a large change in magnetic field over a small distance, thereby enabling the Hall effect transistor 1118 to operate properly in close proximity to magnetic assembly 1106 , with minimal travel of the magnetic assembly 1106 . The travel of the piston in the divider block assembly is approximately 0.125 inch, Prior art magnet assemblies that use a Hall effect sensors in close proximity to the magnet are unreliable because the change in the magnetic field corresponding to such short piston travel is relatively small and difficult to reliably detect. By using a configuration that concentrates the magnetic flux, the magnetic field is directed into a peak, which produces a magnetic field of approximately 60 Gauss. When the magnets move 0.125 in, the magnetic field will drop to less than 10 Gauss. The change in magnetic field is readily and reliably detected by Hall effect sensor 602 .
[0081] FIG. 12 shows a rough approximation of the magnetic flux lines 1202 produced by magnet assembly 1106 and the preferred position of the Hall effect sensor 1118 within the magnetic field. Note that the sensor is preferably positioned above one of the magnets 1112 and not in the center of the spacer 1114 . The configuration of the two magnets separated by a non-magnetic spacer provides four regions in which the magnetic field changes rapidly in space. In one embodiment, the magnetic field can vary from about 60 gauss to about 10 gauss within about 0.125 inch. This change in field over a small distance allows the use of a relatively low power, inexpensive sensor, such as the type typically used in cellular telephones, which require a change of about 50 gauss for accurate detection. Using the above example as guidance, a skilled person will be able to design a magnet assembly, either experimentally or by using magnetic field modeling software, for different applications by varying the length of the spacer to achieve the required flux gradient.
[0082] Another embodiment of a Hall effect sensor uses a single magnet with the sensor precisely centered over the magnet and positioned about one quarter of an inch away from it. The magnet is preferably composed of Alnico 5 alloy because of the better symmetry of the magnetic fields around such magnets. By positioning the Hall effect sensor precisely above the center of the magnet, the required change in magnetic field to activate the Hall effect switch is achieved as the magnet is moved a small distance, typically about one quarter of one inch, by the piston follower.
[0083] In some prior art fluid flow sensors used with a lubricant distribution blocks, the magnet, spring, and spacer have nothing to keep them in the housing place when the unit is removed from the dispensing valve. When a technician removes the sensor housing from the distribution block, the magnet, spring, and spacer can fall from the housing and become lost, dirty, or damaged. The components must be thoroughly checked for damage, cleaned, and re-installed in the magnet housing. Any foreign particles or contamination inside the magnet housing will cause the movement of the parts to be inhibited, which will give erratic switch closures to monitoring equipment and cause phantom shutdown of the machinery being monitored. Phantom shutdowns and erratic monitoring cause the industry thousands of dollars in lost revenue due to downtime of the machine. To solve this problem, some prior art fluid flow sensor units are sealed at the factory and cannot be opened in the field to replace damaged components. This increases maintenance expenses by requiring the whole unit to be replaced when an inexpensive component, such as a spring, breaks.
[0084] An inventive proximity switch eliminates the possibility of lost or damaged components and introduction of dirt or foreign particles inside the housing. In one preferred embodiment of a fluid flow sensor, the switch components, such as the spring and magnets, are trapped inside a housing so that the components cannot fall out when the switch is installed or removed, but the switch can be disassembled to remove the components for repair, such as to replace a weak or broken spring.
[0085] FIG. 13A shows a fluid flow sensor 1302 that comprises a single pole, single throw magnetically operated reed switch 1303 . A spring 1304 , magnet 1306 , spacer 1307 , and pin 1308 are contained within a housing 1309 by a threaded insert 1310 that prevents the loss of parts by a person installing the unit on a dispensing valve.
[0086] FIG. 13B is an enlarged view of housing 1309 for fluid flow sensor 1302 and FIG. 13C is an exploded view showing how the parts of fluid flow sensor 1302 are assembled. Fluid flow sensor 1302 includes within stainless steel housing 1309 and magnet 1306 , spring 1304 , spacer 1307 and pin 1308 . Magnet 1306 , spring 1304 and pin 1308 are contained inside the threaded housing by stainless steel pin 1312 having a change in diameter along its length to produce a shoulder. Threaded insert 1310 has a hollow hexagon passage and is screwed into housing 1309 using a hex-head wrench after the other components are inserted. The hexagonal passage allows pin 1308 to slide in and out with cyclic movement of the fluid flow dispensing valve piston, but the shoulder, which cannot fit through the hollow passage in threaded insert 1310 , prevents pin 1308 (and therefore magnet 1306 , spring 1304 and spacer 1307 ) from falling out of the housing 1309 . The spacer 1307 is connected to the spring 1304 by a machined section, which snaps into the spring. Magnet 1306 , spring 1304 and spacer 1307 can be removed for repair by unscrewing pin 1308 from housing 1309 .
[0087] Fluid flow moves the cyclic piston located in the dispensing valve (not shown) which forces pin 1308 and magnet 1306 to move back and forth in a lateral movement past the reed switch 1303 causing it to open and close. The reed switch sends a dry contact signal to a fluid flow monitor. The fluid flow monitor can be used use with any control monitoring device that utilizes a dry contact switch closure to detect pulses or switch closures. Such devices include all progressive in-line dispensing valves that disperse fluid for volumetric measurement.
[0088] Instead of the reed switch shown in FIGS. 13A-13C , a Hall effect sensor could be used with an appropriate design of the magnets and housing. FIG. 13D shows an exploded view of fluid flow monitor 1012 of FIG. 11 . As in the fluid flow sensor 1302 , a threaded insert 1350 keeps the components inside housing 1104 .
[0089] The ease of downloading fluid flow, trending and alarm information on-site by infrared data link to hand held computer devices or via satellites from the site to the WWW allows a system of the present invention to greatly improve the efficiency of fluid flow systems. Fluid flow analysis software expedites understanding the downloaded fluid flow information and provides useful information to service personnel in easy to understand form. In some embodiments, “raw” cycle data is sent over the Internet and is converted to more easily used fluid flow rate information at a site remote from the sensor. In other embodiments, the cycle signals are converted to flow rate, average cycle period, or other information before being sent.
[0090] The use of this fluid flow monitor in any of these fauns will give the operator and industry a method of monitoring and trending fluid flow never before possible. This will save the industry hundreds or thousands of dollars in lost revenue due to failed components caused by too little or too much lubricant, chemical or fluid being injected into the compressor, well bore, or mechanical device. This monitor will also save the industry untold dollars in revenue due to wasted lubricants, chemicals or fluids harming the environment.
[0091] The software on the handheld computer device trends the use of fluid, thereby allowing instant knowledge of fluid use trends that can show changes over time. Software for analyzing the downloaded information can be used to show trends in the fluid flow, which can indicate problems before they become critical, or indicate past problems, that may be a hidden cause of machinery failures.
[0092] The software preferably stores 365 days of fluid flow information. The software will also convert the fluid flow information to a standard application, such as Microsoft Excel spreadsheet, for custom analysis. The fluid flow file identifies the compressor to which the fluid flow sensor was connected, the technician responsible for the system, the daily flow rates, over flows, under flows.
[0093] With remote mounting of a fluid flow monitor using radio frequency (rf) signals, monitoring every point using a master control box, and then using software for instant downloading and easily analysis or downloading via satellite, the service personnel have ready access to more information than ever before about fluid flow in small pumps and lubrication systems and oil flow through dispensing valves.
[0094] A fluid flow monitor can optionally include a global positioning system that indicates its position. When information is transmitted by satellite, the position is also transmitted. A user can view the position of the fluid flow monitor on a map, along with fluid flow information. Thus, service personnel can monitor fluid flow at a large number of points automatically. When an alarm condition occurs, the service person can immediately see the geographical location of the system generating the alarm. Of course, the location of each fluid flow monitor could also be programmed into the fluid flow monitor for transmission with the data, obviating the use of the GPS system. However, by using the GPS option, the position is detected automatically, without depending on an individual to re-program the location when the fluid flow monitor is initially set up or moved.
[0095] By using radio frequency transmission between the fluid flow sensors and the fluid flow monitors and then transmitting fluid flow information, including GPS information via satellite to a web site, installation of the system is greatly simplified and accuracy is improved. This allows a user to install systems to monitor a large number of fluid flow points with minimal installation and operation costs. By providing this information, industry will save an enormous amount of money by reducing consumption of excess fluid and by saving expensive equipment before it fails from lack of lubricant. For example, a large term reduction of lubricant may affect the longevity of a machine, even if the lubricant has not decreased to an alarm level. Users can spot trends of lubrication use to detect problems before they significantly affect the machinery or fluid consumption. They can see latitude and longitude of chemical pumps because the GPS unit is on site.
[0096] The invention typically measures with great accuracy a low volume, high pressure fluid flow at some point on the discharge side of a pump. An integrated system of the invention can measure fluid flow not only at the output of dispensing valves that distribute fluid between multiple channels, but alternatively or additionally, at one or more fluid injection points. Thus the actual fluid delivered is measured and any discrepancy between the distribution dispensing valve flow data and injection point flow data indicates a leak or a worn dispensing valve. The invention is “scalable” and can be implemented with a large number of fluid flow monitors and measuring points.
[0097] The fluid flow monitor can be readily retrofitted to existing installations. The use of battery or solar powered radio frequency links between the measurement point and the fluid flow monitor facilitate installation at a large number of measuring points and reduce installation costs. The use of a satellite link and Internet access makes the data accessible anywhere in the world. Thus, service personnel can monitor fluid flow at any time of the day or night without dispatching an individual to the site to collect data from each of the fluid flow monitors.
[0098] The invention is particularly applicable to systems having fluid flow at high pressures and low volumes. For example, systems having a fluid flow volume of less than about 80 pints per day at a pressure of greater than about 500 psi. The invention can be used with fluid flows as low as about 3 pints per day or lower and at pressures as high as 5,000 psi or higher. A typical operating condition is about 8 pint per day at about 3,000 psi. The fluid flow sensors of the present invention include positive displacement pumps, operated by the pressure of the fluid being processed, and the sensors operate on the discharge side of the fluid pump, thereby providing accurate information at low flow volumes and high pressure, and provide information about fluid flow near or at the actual point of fluid use. The volumes and pressures described above apply to sensors attached to single inlet, single outlet dispensing valves as well as to sensors attached to multiple outlet divider valves.
[0099] The invention is suitable for monitoring and evaluating fluid flow of lubricant for machines, such as compressors and pumps, and for controlling the flow of fluids into well bores, pipelines, cooling towers, etc. The invention will have a great economic impact, particularly in the oil and gas industry, and on the environment by controlling excessive or too little lubrication or chemical substances injected into compressors, well bores, pipelines, and several other critical areas needing accurate flow monitoring and evaluation, as well as immediate warning if flow volumes are outside of the specifications.
[0100] In one embodiment, the fluid flow monitor is in data communication, either via wire or wireless data transmission, directly or indirectly, with a control device that controls the fluid flow. As described with respect to previous embodiments, switch closure information is translated into fluid flow information. A microprocessor can be used to compare the fluid flow information to known fluid flow requirements for a particular fluid flow system. Based on the comparison between the measured fluid flow and the fluid requirements of the system, the fluid flow can be adjusted.
[0101] For example, an electromechanical control device can be mounted onto the fluid pump to adjust the fluid flow. In one embodiment, the control device turns an adjustment knob clockwise to lower the amount of fluid flow and counter clockwise to adjust the pump to inject more fluid. The pump adjustment mechanism can be, for example, an integral part of a pump, that is, the mechanism can be incorporated into the design of the pump, or the mechanism can be designed to be retrofitted to an existing pump. The pump being adjusted is typically a positive displacement, high pressure, low volume pump used to pump chemicals or lubricating oil. A mounting bracket adapted to the particular control device and pump can allow a technician to retrofit an existing pump in place of purchasing a new complete pump with the integral adjusting mechanism.
[0102] The microprocessor, which can be, for example, a stand alone processor or controller or part of a computer, compares the measured fluid flow with the desired fluid flow and send adjustment signals can integrated into a fluid flow monitor, such as the Proflo® device described above. The fluid flow monitor could be positioned, for example, at one of the positions previously described, that is, by a dispensing valve as shown in FIG. 2 or at a central location as shown in FIGS. 4 , 5 , and 6 . The microprocessor can also be located remote from the physical fluid distribution system and information, such as switch closures, cycle period, flow rate, or fluid quantity, can be transmitted, such as by satellite communications link, Internet, or a combination of satellite link and Internet, to the microprocessor. The signal to adjust the fluid flow can be determined and transmitted fully automatically, that is, without operator intervention, or can require operator intervention.
[0103] After the fluid flow is increased or decreased, the fluid flow measuring device registers the changed fluid flow, and confirms that the fluid flow rate is correct. If the fluid flow is not correct, additional signals can be sent to adjust the flow rate. If the fluid flow measuring device indicates that after repeated attempts at adjustment, the fluid flow rate is still no correct, an alarm can sounded or a signal sent to a system operator to investigate. For example, a pump may be damaged and incapable of being adjusted to produce the required flow.
[0104] FIG. 16 is a combination flow chart and block diagram showing the components and steps in a preferred embodiment. In step 1600 , a fluid flow sensor 1602 senses a cycle and sends the cycle signal to a fluid flow monitor 1604 . Fluid flow monitor counts cycles in step 1610 to determine a fluid flow based on a known volume of fluid moved for each cycle. In decision block 1612 , the fluid flow rate is compared to a desired fluid flow rate, and in step 1614 , a signal is sent to a pump control device if the flow rate is not within defined parameters. In optional step 1616 , a system operator is notified that the flow rate is being adjusted. The notification can be, for example, via the Internet. As describe above, the function of the fluid flow monitor 1604 can be performed locally or remotely, such as by a computer receiving cycle signals and transmitting pump adjustment signals telephonically, over the internet, via radio including satellite, or through some combination of the above or other means.
[0105] In step 1620 , a pump control device 1622 adjusts the pump flow, for example, by rotating a control knob. Fluid flow sensor 1602 continues to monitor the fluid flow, and the process repeats.
[0106] This automatic adjustment can eliminate the need for human intervention and allow equipment, such as a compressor lube oil pump or chemical injector, to maintain constant oil, chemical or other fluid flow. Continuous monitoring and automatic adjusting can save industry hundreds of thousands of dollars in excessive loss of oil, chemical or any type of fluid which needs to be controlled to eliminate worn compressor parts, well bore or pipeline damage. The invention can also reduce environment damage caused by too little or too much fluid flow, for example, when used in conjunction with the chemical injector pumps.
[0107] In one embodiment, all flow and adjustment information sent to the electro-mechanical device is also transmitted to the Internet to enable the owner/operator to monitor any adjustments of the pump. If the lube oil or chemical pump cannot be adjusted to accommodate the fluid flow necessary to maintain the system integrity, the Proflo® monitor will immediately send a warning message, via the Internet, as an alarm to notify the owner operator of a malfunction of the system. The equipment operator can then send adjustment specification signals over the Internet to the Proflo® control monitor to adjust the pump manually from any computer with WWW access.
[0108] The system described above includes many parts, some of which are optional and some of which may be separately patentable. Not every aspect of the invention need be included in every embodiment. The scope of the invention is defined by the appended claims and is not intended to be limited by the summary or detailed description, which are provided as examples. The term “fluid flow information” as used herein includes not only fluid flow rates in volume per time, but also cycle signals, cycle period or frequency information, or other information that can be correlated to fluid flow or consumption.
[0109] The invention has been described with respect to a lubricant and compressor, but the invention can be used to measure any fluid, including for example, glycol or other chemicals. Skilled persons will recognize that the components may need to be constructed from different materials to resist corrosion when corrosive fluids are used. The invention has wide applicability for monitoring the use of chemicals in everyday operation of oil and gas production equipment and gas compressors. Chemicals are commonly pumped into a well bore to increase production. The invention can be used, for example, to ensure that the correct amounts of chemicals are injected, thereby optimizing the well operation.
[0110] The invention is useful in any low volume fluid flow application, such as chemical pumps, in which accurate measurements are requires, particularly where high pressures are used. The invention uses positive displacement pumps at low volumes and high pressures. Small pistons in positive displacement pumps all the invention to accurately move and measure extremely small quantities of liquid, for example, as small as 0.006 cubic inches, and to accurately trend use to 0.01 pint every thirty minutes.
[0111] It should be understood that various changes, substitutions and alterations could be made herein without departing from the spirit and scope of the invention as defined by the appended claims. Moreover, the scope of the present application is not intended to be limited to the particular embodiments of the process, machine, manufacture, composition of matter, means, methods and steps described in the specification. As one of ordinary skill in the art will readily appreciate from the disclosure of the present invention, processes, machines, manufacture, compositions of matter, means, methods, or steps, presently existing or later to be developed that perform substantially the same function or achieve substantially the same result as the corresponding embodiments described herein may be utilized according to the present invention. Accordingly, the appended claims are intended to include within their scope such processes, machines, manufacture, compositions of matter, means, methods, or steps. | A fluid flow monitoring system including one or more fluid flow dispensing valves each including a piston. Fluid flow sensors are associated with the fluid flow dispensing valves for measuring fluid flow. The fluid flow sensors include a housing with a magnet positioned therein and a piston follower is coupled to the magnet. The piston follower includes a shoulder portion positioned within the housing. A spring is operative to bias the magnet and piston follower towards the piston during operation so that piston movement is transmitted to the magnet. The housing includes a retainer portion disposed on the housing that confronts the shoulder portion of the piston follower whereby the magnet, piston follower, and spring are retained within the housing. The system also includes a fluid flow monitor that includes a microprocessor programmed to convert cycle signals from the sensors to fluid flow information. | 69,070 |
BACKGROUND OF THE INVENTION
b 1. Field of the Invention
This invention relates to filter devices, and more particularly to a filter device for use in conjunction with single-lens reflex cameras with through-the-lens light metering facilities, to enable use of these meters as incident light meters in a method so convenient and accurate as to assure it the popular acceptance which other incident-light methods have been denied.
2. Description of Prior Art
It is believed that prior art related to the subject matter of this invention is classified in Class 350, sub-classes 255 and 266; and Class 356, sub-classes 213, 221 and 234. A search of these classes and sub-classes has revealed the existence of U.S. Patents as follows: U.S. Pat. Nos. 2,803,162; 2,824,696; 2,879,690; 2,930,281; 2,972,930; 2,983,186 and 3,112,684.
The above listed patents, with the exception of U.S. Pat. No. 3,112,684, relate to light meters equipped with translucent domes which work in conjunction with the light measuring circuits incorporated in the light meter, and thus permit a photographer to take readings or determinations from the light meter that can then be transferred as appropriate settings to a camera. The exception, U.S. Pat. No. 3,112,684, discloses the broad concept of a translucent dome in conjunction with a camera in a permanent relationship that complicates the use of the camera in a conventional manner without the use of the translucent dome. To develop a better understanding of the problems involved with focusing single-lens reflex cameras equipped with through-the-lens metering facilities, it should be understood that there are two basic methods of employing light meters to aid in the determination of camera exposure settings for optimum exposure of a subject being photographed.
THE REFLECTANCE METHOD
The reflectance method of determining exposure settings is common to all single-lens reflex cameras with through-the-lens metering facilities. This method permits optimum exposure settings to be made only for those subjects whose weighted average reflectance values conform to the eighteen percent (18%) reflectance characteristics which camera manufacturers, almost without exception, have arbitrarily established as "average" reflectance. It is not generally known by the vast majority of people using single-lens reflex cameras with through-the-lens metering facilities that the light metering circuits in the camera are "calibrated" to respond to this 18% reflectance characteristic.
To understand how this situation has come about, and why the vast majority of amateur photographers take only "average" photographs because of the "average" conditions or characteristics built into their cameras, it is important to understand the historical development of single-lens reflex cameras having through-the-lens metering facilities.
The Weston Exposure Meter, believed to be the first commercially available hand-held light meter, appeared on the market in 1932 and was capable of indicating for the photographer exposure settings based upon either illumination levels or upon surface brightness values. The "illumination level" approach, known as the "incident light method", was quickly adopted for motion picture work as the best method for maintaining constant image tones for key subject values such as skin tone, despite changes in either illumination level or average brightness of the scene as a whole. By this method, once the aperture setting for use with any given film and illumination level was determined, variations in aperture as indicated by the meter compensate for any changes in illumination level, and all image tones or negative densities related to specific key subject values remained unchanged. No further evaluations or judgements regarding the amount of exposure had to be made by the photographer regardless of whether the scenes themselves are predominantly light, dark, or in between.
With the advent of Weston Exposure Meter, a second method for indicating exposure settings was introduced. This second method, known as the "Reflectance Method", quickly dominated the still photography field. Here, the meters were initially used by professional and advanced amateur photographers working with view cameras and painstaking exposure procedures. Multiple readings of key brightness values were taken of a given scene, including those of the brightest and darkest areas of interest in the subject or scene. These readings were then employed to aid the photographer to previsualize the print as it might appear as a consequence of established variations in film exposure and development, and in determining the optimum exposure and development times for the production of that negative best suited for the rendering of the final print. By this method, in contrast with the "incident light method" described in the preceding paragraph, the photographer was required to thoroughly study his key subject values in each situation, and previsualize them in image tones, before making the exposure. It is understandable therefore why this method was initially restricted to use by professional and advanced amateur photographers.
With the advent of hand-held cameras, photographers initially employed both the "incident light method" and the "reflectance method" for determining exposure values. However, with the great proliferation of hand-held cameras, the vast majority of hand-held camera photographers followed the "reflectance method" and within a decade, hand-held cameras with built-in reflectance type meters were on the market. Today, there are many millions of such cameras, many of them being fast 35 millimeter single-lens reflex cameras equipped with a multitude of complicated electrical, electronic and mechanical devices.
Because of the tremendous numbers of such cameras manufactured and sold, it has become necessary, for mass production purposes, to incorporate in such cameras exposure setting mechanisms designed to respond in the same way to a given brightness of the scene or subject. Adding to the necessity for such "average" exposure characteristics is the fact that millions of rolls of film are sold for use in such cameras and therefore, standard, mass production type film processing procedures have had to be designed to process these millions of rolls of exposed film in a reasonable length of time. To justify such standard film processing procedures it is obvious that the vast majority of film being processed is not "custom" processed. Rather, it is subjected to the mechanical film processing procedures dictated by mass production expediency.
Thus, to satisfy the needs of the masses of people that utilize these cameras and expose these rolls of film, the vast majority of hand-held camera photographers are restricted in the quality of the end product because the exposure readings provided by the camera light meter are "calibrated" to an "average" 18% reflectivity characteristics from the subject, followed by processing of such "average" exposure to a processing procedure that is also "standard" or "average" for the particular type of film being processed. Thus, the buying public has been forced to accept the same constant average density or positive direct image tone in the end product regardless of whether the subject itself is light, dark, or in between. It is thus apparent that while the "reflectance method" may be used to advantage in the still photography field by professional and advanced amateur photographers, the application of the reflectance method to hand-held cameras has heretofore resulted in great loss in the quality of the end product because of the reasons which follow:
Given a subject in uniform lighting, with an average reflectance value of approximately 18%, all values in that subject will appear rendered with optimum tonal placement. This value corresponds with that of a middle-gray card, reflecting five times and one-fifth as much light, respectively, as an arbitrarily chosen black and white. Stated another way, given these conditions, the average reflectance of 18% from a middle-gray card is five times the reflectance from a black card and only one fifth the reflectance from a white card. The constant image tone most camera meters are programmed to render is midway in the range of the transparencies' readable tones, representing values from black to white. In this instance, the subject's average value corresponds with the average value that camera and film are programmed to render, and with the type of film used in producing the transparencies, the margin of error is plus 40% to minus 30%.
Given a subject in the same lighting, but with an average reflectance value substantially less than 18%, it will be rendered in the same image tones as in the case described above, with all values in the subject appearing to have been rendered too dark, and the film appearing to have been underexposed.
Given a subject in the same lighting, but with an average reflectance value substantially greater than 18%, all values will appear too light in the image, and the film will appear to have been overexposed.
Given a strongly side-lit or back-lit subject, as seen from the camera position, the strongly-lit areas may make the average brightness value high, compared with the brightness of those areas in lesser illumination. Then, with the average brightness rendered in the constant average image tones, these other areas appear too dark, and the film, under exposed.
Conversally, the presence of large dark areas behind strongly front-lit subjects could significantly lower the average brightness level of the scene, so that when rendered in the normal constant image tone, the scene appears too light, images of all objects in the scene appear too light, and the film appears overexposed.
From the above it can be seen that if cameras having built-in light meters are intended to automatically indicate or provide the aperture and shutter speed setting for correct exposures, then the results indicated above are evidence of the camera's limitations, rather than of the photographer's lack of ability. While it is true that the meter can be overridden, intimation from publications and data sheets published with respect to the effectiveness of such meters is that it then becomes the photographer's responsibility if inadequate results are achieved, and therefore, the tendency is to follow the meter slavishly. Most photographers, with no capability for evaluating a scene in the meters "averaging" or "weighted average" fashion, have no way of knowing the discrepency between the meter's evaluation and the actual average brightness level required for optimum exposure. Thus, the photographer cannot know how much adjustment to provide even if he realizes that the meter can be overridden. Knowing how much of an adjustment to make is important because with direct color positive transparency films, the maximum permissible margin for error in exposure, consistent with acceptable results, is approximately minus 30% to plus 30%. Subject brightness ratios are often as high as 1:250.
In working with color negatives or black-and-white negatives, the effect of many exposure errors are nullified or concealed by the printing procedure of the final print. However, image details lost through underexposure and image sharpness lost through camera movement while the shutter remained open overly long in overexposures, cannot be restored. Accordingly, it is seen that the overall loss that is suffered by the field of photography is the loss of considerable capability in all fields of photography amenable to hand-held camera treatment, and the inability to know and exploit the full potential of these cameras and films beyond the narrow field of operations within which these cameras are presently programmed to function on their own.
One method of making these hand-held cameras more effective would be to place a plain card of any value facing the camera and in the same illumination as a subject to be photographed, and filling the cameras field of view, to serve as a "standard" value in place of the camera and meter's natural variable value, in establishing exposure settings for a given scene or subject. If such a card were of optimum value for rendering of all values in the same illumination, then it would serve to provide optimum exposure settings for the rendering of all values in any illumination. However, such a card is a cumbersome thing to carry and protect, and often reflects excessive light due to surface glare and, in working with people, it is disruptive and awkward to use in that it is almost impossible to withdraw the subject's attention from the card so as to enable taking an adequate photograph.
Accordingly, it is one of the objects of the present invention to provide a device that is easily attachable to the camera in an unobtrusive manner, which effectively passes substantially the same amount of light to the camera light meter as an optimum gray card reflects so as to permit direct adjustment of the camera aperture and shutter speed settings correctly for the given scene or subject, and which may then be moved from the camera during the picture-taking operation.
This invention thus proposes the use of a light diffusion disc or filter capable of passing a specific portion of the illumination falling upon it to the optical system of any single-lens reflex camera equipped with through-the-lens metering facilities, to simulate the average brightness value (of the subject) required for the optimum rendering of an arbitrary gray scale with reflectance values ranging from white (96%) to black (3%), in that illumination. In accomplishing this purpose, it provides in every instance, a simulated optimum subject brightness value for any given illumination level, and a simulated constant reflectance value regardless of that level of illumination. With this type data transmitted to the light meter embodied in the camera, the aperture and shutter speed may be set accurately while the diffusion device is in place on the camera and is subsequently removed when it is desired to photograph the scene or subject.
A similar function is performed by separate incident light meters, but not in as direct a manner. Thus, with an incident light meter, most of which are expensive, fragile and loseable, the light that is "read" by the meter travels a different path than that forming the image itself. Additionally, such separate incident light meters are cumbersome in that they must be gotten out of whatever resceptacle they are carried in, they must be uncovered and put into use, and once in use, a two stage procedure is required for operation, with attendant further losses in time, mood and rapport with the subject. With such incident light meters, it is necessary to adjust at least one ring or dial, locate and read off aperture numbers and shutter speeds, and transform those into exposure settings on the camera itself, with attendant cumulative small errors adding up as the procedure progresses. Accordingly, it is another object of this invention to eliminate such complexities and chances for error by providing a diffusion cap or filter that is easily attachable to and detachable from the camera so that all that is required is to point the camera with the diffusion device attached away from the subject and toward the source of light, adjust the aperture and shutter speed of the camera, turn back to the subject, remove the diffusion device, focus on the subject and actuate the shutter release.
More specifically, another object of this invention is to provide a diffusion device easily attachable and detachable in front of the lens of a camera and fabricated from a flat translucent disc of plastic, glass or other suitable material.
Still another object of the invention is the provision of a diffusion device of the character described easily attachable and detachable to the lens structure of a camera and which is provided with a semi-sperical shell of translucent plastic, glass or other suitable material.
A still further object of the invention is the provision of a diffusion device in conjunction with a camera equipped with a lens hood that permits operation of the camera with the hood retracted so as to accommodate incident light, or with the hood extended to diminish the effect of incident light, or at least to control the angle from which such light impinges upon the diffusion device.
A still further object of the invention is the provision of a diffusion device for application to a camera that permits adjusting the aperture and shutter speed settings without the necessity of reading any dials or scales to achieve proper aperture and shutter speed settings.
The invention possesses other objects and features of advantage, some of which, with the foregoing, will be apparent from the following description and the drawings. It is to be understood however that the invention is not limited to the embodiment illustrated and described, since it may be embodied in various forms within the scope of the appended claims.
SUMMARY OF THE INVENTION
In terms of broad inclusion, the diffusion device of the invention comprises a flat disc, a semi-spherical shell, or a spherical structure, all of which are translucent to a specific degree, and each of which is equipped with a flange structure adapted to attach and detach the structure from the lens assembly of a camera. In one aspect of the invention, the diffusion device is associated with a lens hood and can be used to admit light to the metering facilities of the camera with the hood either extended or retracted. In another aspect, the invention comprises the method of determining the appropriate amount of light to admit to the camera for a given scene or subject through use of the diffusion device and without the need to refer to numerical scales or dials of any kind.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a front elevational view of one form of the diffusion device forming the subject matter of this invention.
FIG. 2 is a vertical cross-sectional view taken in the plane indicated by the line 2--2 in FIG. 1.
FIG. 3 is a vertical cross-sectional view similar to FIG. 2 but showing a modified embodiment.
FIG. 4 is a front elevational view of a modified clip-on version of the diffusion device.
FIG. 5 is a rear elevational view of the clip-on type diffusion device depicted in FIG. 4.
FIG. 6 is a side elevational view of the diffusion device depicted in FIG. 4 and taken in the direction indicated by the arrows 6--6 therein.
FIG. 7 is a vertical cross-sectional view taken in the plane indicated by the line 7--7 in FIG. 4.
FIG. 8 is a front elevational view of a third and preferred embodiment of the invention.
FIG. 9 is a side elevational view taken in the direction indicated by the arrows 9--9 in FIG. 8.
FIG. 10 is a vertical cross-sectional view taken in the plane indicated by the line 10--10 in FIG. 8.
FIG. 11 is a plan view illustrating a camera having attached to the lens assembly thereof a lens hood and having associated with the lens assembly and mounted on the hood the diffusion device depicted in FIG. 8.
FIG. 12 is a fragmentary elevational view partly in vertical section illustrating the diffusion device of the invention mounted on a lens hood shown in retracted position.
FIG. 13 is a fragmentary sectional view on an enlarged scale illustrating attachment of the lens hood to the lens assembly and attachment of the diffusion device on the lens hood.
FIG. 14 is a plan view of a camera showing the embodiment of the diffusion device illustrated in FIG. 3 mounted on the lens assembly.
FIG. 15 is a fragmentary plan view of a lens assembly partly in vertical section illustrating the embodiment of the diffusion device illustrated in FIG. 2 mounted on the lens assembly.
FIG. 16 is a fragmentary plan view illustrating the embodiment of the diffusion device illustrated in FIGS. 6 and 7 mounted on a lens assembly.
DESCRIPTION OF THE PREFERRED EMBODIMENT
It is clear from the discussion above that neither the "reflectance" method nor the "incident light" method are ideally suited for use with the single-lens reflex camera equipped with through-the-lens metering facilities. In conjunction with the "reflectance" method it is obvious that the use of a gray card with a hand-held single-lens reflex camera equipped with through-the-lens metering facilities is too cumbersome and inconvenient to be used by the great majority of photographers. Use of such card for determining the proper setting of the camera in anything but a studio environment has proved awkward, inconvenient and, despite knowledge of this method, has never gained favor with hand-held camera phtographers.
In like manner, the "incident light" method has the disadvantage that it requires the use of a second and independent light metering facility in the form of a fragile hand-held meter pointed directly toward the source of illumination with exposure settings being indicated by the meter in accord with the strength of that illumination and the sensitivity of film to which the meter is attenuated. There is of course no question that this is an excellent method for accurately evaluating exposure conditions and determining exposure settings. However, the "incident light" method utilizing a separate hand-held meter does require the additional adjusting and reading of meter dials, and a manual translation of those readings into actual exposure control settings on the camera itself. These additional steps introduce a margin of error and a level of inconvenience and additional cost that has worked to prevent the wide acceptance of the "incident light" method by photographers.
I have found that the light diffusion device forming the subject matter of this invention is inexpensive, easy to apply, and provides a more accurate basis for the setting of camera controls then the methods described above. To that end, in terms of greater detail, and as illustrated in the drawings, I have provided a translucent filter or cap adapted to be mounted on a camera lens assembly, or on a lens hood, and which functions to transmit or pass to the built-in camera light meter approximately 18% of the light impinging upon the filter. The filter may be prismatic in addition to being translucent so as to diffuse the light impinging thereon. The translucent filter or diffuser passes approximately 18% of the light falling upon it to activate the built-in light meter whereas the gray card discussed above depends upon its "reflectance" characteristics which commonly do not approximate 18% of the light falling upon the subject for many reasons. It will thus be seen that the translucent filter or diffuser provided by this invention is far simpler, faster, more convenient, and practical and durable in use, and provides a better and more accurate measure of the light falling upon the scene or subject. Additionally, the translucent filter or diffuser avoids the gray card problem of surface glare, a factor often resulting in erroneous readings.
In another aspect, the translucent filter or diffuser forming the subject matter of this invention may be considered as a means for establishing optimum aperture and shutter speed settings directly from illumination levels, rather than from reflectance brightness values, as is customary in hand camera use. In this respect, the incident light translucent filter or diffuser is designed to work in conjunction with any camera through-the-lens light meter to cooperate directly with the camera in a way similar to the way in which separate hand-held incident light meters function, but eliminating the intermediate steps of observing readings on the separate hand-held meter and transferring such readings to appropriate dials and settings on the camera itself.
Additionally, it should be noted that separate apart from the camera hand-held incident light meters that employ translucent discs or domes are especially designed to function with light sensitive cells and amplifiers specifically attenuated to produce the desired results when used in the manner prescribed. By contrast, the incident light translucent filter or diffuser of this invention functions with any single-lens reflex camera equipped with through-the-lens metering facilities, and is independent of any specially attenuated light cells and amplifiers.
To emphasize the simplicity and the accuracy with which a camera can be adjusted which is equipped with the incident light translucent filter or diffuser of this invention, as compared with adjustments achieved through use of a separate hand-held light meter, it is noted that these separate hand-held light meters are capable only of indicating optional pairs of aperture and shutter speed settings. Options must be read and considered, one pair of settings chosen, and the aperture ring and shutter speed knob of the camera adjusted to translate and incorporate in the camera the readings derived by the separate hand-held light meter. This complicated procedure is in contrast to the use of the incident light translucent filter or diffuser of this invention which works in conjunction with the camera's built-in light meter to almost instantly provide appropriate settings.
Structurally, the incident light translucent filter or lens cap of the invention is depicted in several different embodiments in the drawings so as to indicate that the concept of providing a translucent filter or diffuser over the lens assembly, which passes only approximately 18% of the light impinging thereupon, can be incorporated in several different ways. Referring to FIG. 1, there is there shown in one embodiment a translucent filter or lens cap diffuser assembly designated generally by the numeral 2 and including a flat annular portion 3, preferably fabricated from an appropriate synthetic resinous material, which may or may not be translucent, and which is provided on its outer periphery with a cylindrical flange 4 having threads 6 on the inner periphery thereof for attachment to complimentary threads on the lens assembly.
The inner periphery of the annular member 3 has integrally joined to it a translucent semi-spherical dome 7, also fabricated from synthetic resinous material, and projecting from the plate 3 in a direction opposite to the flange 4. The translucent dome 7 is fabricated so as to transmit or pass therethrough 18% of the light that is incident upon it. Thus, as illustrated in FIG. 15, when the translucent filter 2 is applied to the lens assembly of a camera, the camera may be pointed in the direction of the light source and only approximately 18% of such light will pass through the filter and impinge on the built-in light meter of the camera, thus enabling proper aperture and shutter speed settings of the camera while the camera is pointed directly toward the light source with the translucent filter or diffuser in place. Thereafter, all that remains is for the translucent filter to be removed from the camera, the camera pointed toward the subject or scene to be photographed, and the focus ring of the camera manipulated to achieve the proper focus, whereupon the shutter may be actuated to properly expose the film with the correct quantity of light and for the proper time interval.
The embodiment of the invention illustrated in FIG. 3 is similar to the embodiment illustrated in FIGS. 1 and 2 with only minor mechanical modifications. For instance, in the embodiment of FIG. 3 the plate 8 is circular in configuration rather than annular, and includes a central portion 9 underlying the dome 12 to provide a double thickness of translucent material through which incident light passes to reach the built-in camera light meter. Additionally, the cylindrical mounting flange 13 in this embodiment is provided with external threads 14 adapted for use with lens assemblies provided with internal threads. The attachment of this embodiment to a lens assembly is illustrated in FIG. 14.
In the embodiment of the invention illustrated in FIGS. 4 through 7 and FIG. 16, the translucent filter or diffuser device is designated generally by the numeral 16 and includes a translucent sphere 17 centrally disposed and permanently mounted on the interior periphery 18 of a mounting ring 19 which comprises a radially outwardly extending flat plate portion 21 terminating at its outer periphery in a cylindrical flange 22. The cylindrical flange has mounted within its confines a semi-circular resilient mounting member 23 attached at its mid-point to the cylindrical flange by an appropriate fastening means such as a rivet 24 or appropriate screw, and having on opposite free ends radially extending lugs 26 and 27 that project through appropriate slots in the cylindrical flange to permit manipulation of the mounting member 23.
The outer peripheral surface 28 of the mounting member 23 is provided with appropriate threads adapted to engage complimentary threads formed on the inner periphery of a lens assembly as illustrated in FIG. 16. To attach or detach the translucent filter device from the camera lens assembly, all that is required is that the lugs 26 and 27 be digitally manipulated in the direction of the arrows in FIG. 5, for instance, to depress the mounting member 23 to thus lessen its diameter, apply the assembly to the lens ring of the camera and release the lugs so as to permit the inherent resilience of the mounting member 23 to expand the mounting member 23 and thereby engage the threads of the mounting member 23 with the threads of the lens ring. The reverse procedure is followed to release the translucent filter from the camera.
In this embodiment, as illustrated in FIG. 16, a portion of the spherical translucent filter member 17 projects into the hollow or recess normally found in front of the lens of the camera, while the opposite portion of the spherical translucent filter projects forwardly toward the light source so that light from the light source impinging upon the spherical translucent filter member passes through two thicknesses of the translucent material before it reaches the light meter built into the camera. In this respect, it may be said that this embodiment of the invention is similar in this respect to the embodiment illustrated in FIG. 3 because in that embodiment also the light passes through two separate layers of translucent material. In each case, the layers of translucent material are graduated so that the total amount of light passing through both layers of translucent material approximates 18% of the light incident upon the filter assembly.
It has been found that a dome-shaped filter or diffuser as illustrated in FIGS. 1 through 7 and 14 through 16 is particularly useful where it is desired to adjust the exposure and shutter speed controls of the camera in view of the total light or illumination in the immediate area of the scene or subject, including light arriving at the camera from the sides, top and bottom thereof. All of this light, including light directly from the light source, impinging on the dome-shaped translucent filter passes through the filter and is diffused so as to provide an accurate measure of the total light available to the scene or subject, thus enabling setting of the camera aperture and shutter speed control to achieve optimum rendering of the scene or subject on the film.
Just as it sometimes happens that the photographer wants to set the aperture and shutter speed controls of the camera in relation to the total light available from all sources, so too in some instances and for specific purposes, a photographer may want to eliminate light emanating from one direction or from a specific source, and adjust the camera shutter speed and aperture in relation to illumination from light entering the camera solely from a specific direction or source. In that instance, reference being made to the embodiment of the invention illustrated in FIGS. 8 through 13, the translucent filter or diffuser of the invention takes the form of a flat translucent disc 31, fabricated preferably from an appropriate synthetic resinous material that is formulated and gauged in thickness to pass 18% of the light incident into the lens system. The outer periphery of the translucent plate 31 is provided with a cylindrical flange 32 provided with circumferentially spaced slits 33 as shown to provide some resilience to the circumference of the cylindrical flange 32 to permit it to be slipped over the lens assembly designated generally by the numeral 34 in FIGS. 11-13.
It will of course be obvious from FIG. 11, that the translucent filter or diffuser 31-33 depicted in FIGS. 8 through 10 may also be applied to the lens assembly 34 in conjunction with a lens hood 36. It should be obvious that the translucent filter or diffuser illustrated in FIGS. 8-10 may also be applied to a lens assembly from which the lens hood 36 has been omitted. In that case, when the camera is pointed toward the source of light falling on the scene or subject, 18% of that light energy will pass through the translucent filter or diffuser 31 and provide the basis for setting the aperture and shutter speed control on the camera. Under these conditions only light from the direction desired will impinge upon the translucent plate 31. When the flat translucent filter or diffuser is used in conjunction with a lens hood as illustrated in FIG. 11, it will be clear that less light will impinge on the surface of the filter plate 31 then is the case when the filter is used without the lens hood, resulting in the necessity to set the aperture control so as to provide a larger aperture, thus admitting essentially the same amount of light as would be the case without the lens hood and a smaller aperture.
In conjunction with the use of a lens hood, preferably fabricated from a resilient and flexible rubber or synthetic resinous material, it has been found advantageous to form the peripheral edge of the cylindrical flange 32 with a radially outwardly extending bead 37 as shown best in FIGS. 9, 10 and 13. It has been found that for use in conjunction with the lens hood, in addition to the resilient grasp that the cylindrical flange 32 has on the end of the lens adaptor, the beaded end 37 of the translucent filter is resiliently grasped by the forwardly projecting portion 38 of the hood, this forwardly projecting portion being spaced radially from the outer periphery of the lens adaptor so as to resiliently accomodate the beaded end of the cylindrical flange. It has been found that such a cooperative relationship between the translucent filter or diffuser and the resilient hood is beneficial in that it prevents inadvertent dislocation of the filter device even when the hood is collapsed in the manner indicated in FIGS. 12 and 13. Obviously, in this condition of the lens hood, the effect is to admit light from the sides of the camera so as to impinge on the translucent filter as previously discussed. | Presented in several different aspects is an incident light filter or cap assembly adapted to be attached over the lens of a camera for the purpose of permitting adjustment of the camera controls in view of the incident light conditions that exist at the time the picture is taken. | 35,773 |
CROSS-REFERENCE TO RELATED APPLICATION
This application claims priority to Japanese Patent Application No. 2009-139528 and 2009-139565, respectively filed Jun. 10, 2009. The disclosure of the foregoing applications is herein incorporated by reference in its entirety.
BACKGROUND
The present disclosure relates to a tape printer that is configured to detachably house a tape cassette therein and that performs printing on a tape included in the tape cassette.
A printer is known in which a type (a tape width, a print mode and so on) of a tape mounted in a tape cassette installed in a cassette housing portion is detected by a plurality of detecting switches. More specifically, a cassette detection portion is provided on a section of the bottom surface of the tape cassette, the detection portion being formed of through-holes in a pattern corresponding to the type of the tape. When the tape cassette is inserted in the cassette housing portion, the plurality of detecting switches, which are constantly urged in an upward direction, are selectively depressed in accordance with the pattern of the through-holes formed in the cassette detection portion. In the tape printer, the type of tape of the tape cassette inserted in the cassette housing portion is detected according to the combination of the depressed and non-depressed switches among the plurality of detecting switches.
SUMMARY
In tape printers provided with mechanical detecting switches that detect pin pressure, a tape cassette inside a cassette housing portion can easily be lifted due to the repulsive force of the detecting switches that protrude in the upward direction. This results in concerns that a proper positional relationship between a printing head and the tape may be lost, a print position on the tape may be displaced, resulting in a deterioration in print quality, or tape feed defects may occur.
In the cassette housing portion, a drive shaft to feed the tape and the ink ribbon etc. housed in the tape cassette, and a head holder to hold the thermal head etc. are installed upright, thus restricting the area in which the detecting switches can be installed. For that reason, when the detecting switches are arranged in the cassette housing portion, restrictions on the design of the printer occur, leading to concerns that the printer may become larger.
Various exemplary embodiments of the general principles herein provide a printer that is capable of appropriate detection of a tape type of a tape cassette that is installed in a cassette housing portion without an increase in device size.
The exemplary embodiments provide a printer that includes a cassette housing portion into which a tape cassette is detachably installed in a vertical direction, the tape cassette having a box-shaped cassette case in which is mounted a tape, and a side surface of the cassette case having an indicator portion that indicates a type of the tape. The printer also includes a feeding device that feeds the tape mounted in the tape cassette that is installed in the cassette housing portion along a feed path; a printing head that performs printing on the tape that is fed by the feeding device; a platen roller that is located facing the printing head and is pressed against the printing head via the tape; a roller holder that rotatably supports the platen roller and that is capable of moving rotationally between a first position and a second position around a shaft, the first position being a position in which the roller holder extends along the side surface of the tape cassette installed in the cassette housing portion and in which the platen roller presses the printing head via the tape, and the second position being a position in which the platen roller is separated from the printing head, the shaft being parallel to a direction of insertion and removal of the tape cassette; a mechanical sensor having a switch terminal that is capable of protruding and retracting; a sensor holder that holds the mechanical sensor between the shaft of the roller holder and the platen roller and that is capable of moving independently of the roller holder between a third position and a fourth position, the third position being a position in which the sensor holder presses the mechanical sensor against the indicator portion of the tape cassette installed in the tape cassette housing portion, and the fourth position being a position in which the sensor holder separates the mechanical sensor from the indicator portion; and a determination device that determines the type of the tape based on protrusion and retraction of the switch terminal of the mechanical sensor.
The exemplary embodiments also provide a printer that includes a tape cassette having a box-shaped cassette case with a top surface, a bottom surface, a front surface and a pair of side surfaces; a tape that is mounted in the cassette case; and an indicator portion that is provided on the front surface and that indicates a type of the tape. The printer also includes: a cassette housing portion into which the tape cassette is detachably installed in a vertical direction; a feeding device that feeds the tape mounted in the tape cassette that is installed in the cassette housing portion along a feed path; a printing head that performs printing on the tape that is fed by the feeding device; a platen roller that is located facing the printing head and is pressed against the printing head via the tape; a roller holder that rotatably supports the platen roller and that is capable of moving rotationally around a shaft, the shaft being parallel to a direction of insertion and removal of the tape cassette; a mechanical sensor having a switch terminal that is capable of protruding and retracting; a sensor holder that holds the mechanical sensor between the shaft of the roller holder and the platen roller and that is capable of moving independently of the roller holder; and a determination device that determines the type of the tape based on protrusion and retraction of the switch terminal of the mechanical sensor. The cassette case has a discharge portion that is provided along the feed path and that discharges the tape that is fed by the feeding device from the cassette case, and an exposure portion that exposes one surface of the tape in a direction opposite to the front surface while the other surface of the tape faces the printing head. The indicator portion is provided in a position adjacent to the exposure portion on the front surface of the tape cassette and includes at least one aperture formed in a pattern corresponding to the type of the tape. The roller holder is capable of moving rotationally between a first position and a second position, the first position being a position in which the roller holder extends along the front surface of the tape cassette installed in the cassette housing portion and in which the platen roller presses the printing head via the tape, and the second position being a position in which the platen roller is separated from the printing head. The sensor holder is capable of moving between a third position and a fourth position, the third position being a position in which the sensor holder presses the mechanical sensor against the indicator portion of the tape cassette installed in the tape cassette housing portion, and the fourth position being a position in which the sensor holder separates the mechanical sensor from the indicator portion.
BRIEF DESCRIPTION OF THE DRAWINGS
Exemplary embodiments of the present disclosure will be described below in detail with reference to the accompanying drawings in which:
FIG. 1 is a perspective view of a printer 1 when a cassette cover 6 is closed;
FIG. 2 is a perspective view of the printer 1 and a tape cassette 30 when the cassette cover 6 is closed;
FIG. 3 is a perspective view of the tape cassette 30 ;
FIG. 4 is a plan view of the tape cassette 30 when a top case 31 A is removed;
FIG. 5 is an enlarged front view of an arm front surface 35 of the wide-width tape cassette 30 ;
FIG. 6 is an enlarged perspective view of an arm portion 34 of the narrow-width tape cassette 30 ;
FIG. 7 is an enlarged front view of the arm front surface 35 of the narrow-width tape cassette 30 ;
FIG. 8 is a perspective view as seen diagonally from the front of a movable mechanism 100 , in which a wall 20 is removed in order to illustrate operation of the movable mechanism 100 ;
FIG. 9 is a perspective view as seen diagonally from the front of the movable mechanism 100 with a lever 16 and a release rod 17 removed;
FIG. 10 is a longitudinal section view of the movable mechanism 100 ;
FIG. 11 is a perspective view of a roller holder 18 and a sensor holder 19 as seen diagonally from the rear;
FIG. 12 is a rear view of the roller holder 18 and the sensor holder 19 ;
FIG. 13 is a right side view of the sensor holder 19 ;
FIG. 14 is a longitudinal section view of the sensor holder 19 shown in FIG. 13 ;
FIG. 15 is a block diagram illustrating the electrical structure of the printer 1 ;
FIG. 16 is a perspective view as seen diagonally from the front of the movable mechanism 100 with the wall 20 removed and when the cassette cover 6 is opened;
FIG. 17 is a front view of the movable mechanism 100 shown in FIG. 16 ;
FIG. 18 is a diagram showing a cross-sectional view along a II-II line shown in FIG. 17 as seen in the direction of the arrows, and also showing the tape cassette 30 , a tape drive shaft 11 and a thermal head 10 ;
FIG. 19 is a perspective view of the movable mechanism 100 as seen diagonally from the front, when the cassette cover 6 is in a state of being opened and closed with the wall 20 removed;
FIG. 20 is a front view of the movable mechanism 100 shown in FIG. 19 ;
FIG. 21 is a diagram showing a cross-sectional view along a line shown in FIG. 20 as seen in the direction of the arrows, and also showing the tape cassette 30 , the tape drive shaft 11 and the thermal head 10 ;
FIG. 22 is a perspective view of the movable mechanism 100 as seen diagonally from the front, when the cassette cover 6 is closed and with the wall 20 removed;
FIG. 23 is a front view of the movable mechanism 100 shown in FIG. 22 ;
FIG. 24 is a diagram showing a cross-sectional view along a IV-IV line shown in FIG. 23 as seen in the direction of the arrows, and also showing the tape cassette 30 , the tape drive shaft 11 and the thermal head 10 ;
FIG. 25 is a cross-sectional view along a I-I line shown in FIG. 5 as seen in the direction of the arrows, showing a state in which the sensor holder 19 is pressed by the tape cassette 30 that is installed in a cassette housing portion 8 at a proper position;
FIG. 26 is a cross-sectional view along the I-I line shown in FIG. 5 as seen in the direction of the arrows, showing a state in which the sensor holder 19 is pressed by the tape cassette 30 that is installed in the cassette housing portion 8 at an improper position;
FIG. 27 is an enlarged front view of the arm front surface 35 of the wide-width tape cassette 30 of a modified example;
FIG. 28 is a perspective view seen diagonally from the rear of the roller holder 18 and the sensor holder 19 of the modified example; and
FIG. 29 is a cross-sectional view along a V-V line shown in FIG. 27 as seen in the direction of the arrows, showing a state in which the sensor holder 19 is pressed by the tape cassette 30 that is installed in the cassette housing portion 8 at an improper position.
DETAILED DESCRIPTION
Exemplary embodiments of the present disclosure will be explained below with reference to the drawings. The configurations of the apparatus shown in the drawings are merely exemplary and do not intend to limit the present invention.
The outline structure of the printer 1 according to the present embodiment will be described with reference to FIG. 1 and FIG. 2 . In the explanation of the present embodiment, the upper right side, the lower left side, the lower right side and the upper left side in FIG. 1 and FIG. 2 are respectively defined as the rear side, the front side, the right side, and the left side of the printer 1 . In addition, the upper side and the lower side in FIG. 1 and FIG. 2 are respectively defined as the upper side and the lower side of the printer 1 .
As shown in FIG. 1 , a character (letters, symbols, numerals etc.) keyboard 3 is provided on an upper surface of the printer 1 . A power source switch, a print key, and a function key group 4 are provided on the rear side of the keyboard 3 (the upper right side on paper). A liquid crystal display 5 is provided on the rear side of the function key group 4 . The liquid crystal display 5 displays input characters and symbols etc. A cover 6 is provided in a rear portion of the upper surface of the printer 1 . A tape tray 7 that receives a cut printed tape 50 (refer to FIG. 3 ) is provided on the left rear corner of the printer 1 .
As shown in FIG. 2 , cassette housing portion 8 is formed on the rear side of the liquid crystal display 5 . The tape cassette 30 can be installed into and removed from the cassette housing portion 8 in a vertical direction. A ribbon take-up shaft 9 is provided standing in the cassette housing portion 8 . The ribbon take-up shaft 9 takes up an ink ribbon 60 (refer to FIG. 4 ) that has been pulled from a ribbon spool 42 (refer to FIG. 4 ) and used for printing of characters etc. A head holder 74 (refer to FIG. 18 ) is provided standing to the front left of the ribbon take-up shaft 9 . When seen in a front view, the head holder 74 is generally rectangular. A thermal head 10 (refer to FIG. 18 ) that performs printing of characters etc. on a film tape 59 (refer to FIG. 4 ) is provided on the front surface of the head holder 74 . A tape drive shaft 11 (refer to FIG. 18 ) that drives the feed of the printed tape 50 is provided standing to the left of the head holder 74 .
A roller holder 18 , a sensor holder 19 and a release rod 17 etc. are arranged on the front side of the cassette housing portion 8 (refer to FIG. 8 ). The roller holder 18 , the sensor holder 19 and the release rod 17 will be described later. The roller holder 18 , the sensor holder 19 and the release rod 17 are covered by a board 13 . A lever 16 that is coupled to the release rod 17 is provided on the right side of the board 13 .
The cover 6 can be freely opened and closed around a fulcrum that runs in the left-and-rightward direction at the rear edge of the cover 6 . When the cover 6 is in a closed position, the cassette housing portion 8 is closed such that the tape cassette 30 cannot be installed or removed (refer to FIG. 1 ), and when the cover 6 is in an open position, the cassette housing portion 8 is opened such that the tape cassette 30 can be freely installed and removed (refer to FIG. 2 ). A lever depression portion 61 , which depresses the lever 16 when the cover 6 is closed, is provided on the underneath front side of the cover 6 . A support member 62 is provided on the right side edge of the lever depression portion 61 , extending vertically with respect to the underneath surface of the cover 6 . A tabular protruding piece 63 protrudes from the lower edge of the support member 62 toward the right side. The protruding piece 63 protrudes in parallel to the lever depression portion 61 , and pulls up the lever 16 when the cover 6 is opened.
A pair of latching pieces 64 & 64 are provided on both side edges on the underneath surface of the cover 6 . A pair of latching portions 27 & 27 are provided on the outer side of the cassette housing portion 8 in a plan view. When the cover 6 is closed, the latching pieces 64 & 64 fit with the latching portions 27 & 27 and maintain the cover 6 in the closed position.
Next, the structure of the tape cassette 30 according to the present embodiment will be explained with reference to FIG. 3 to FIG. 7 . Hereinafter, the tape cassette 30 configured as a general purpose cassette will be explained as an example. the tape cassette 30 may be assembled as the thermal type, the receptor type and the laminated type, by changing, as appropriate, the type of the tape to be mounted in the tape cassette 30 and by changing the presence or absence of the ink ribbon, and so on. In the explanation of the present embodiment, the tape cassette 30 is the laminated type. The upper left side, the lower right side, the upper right side, the lower left side, the upper side and the lower side in FIG. 3 are, respectively, the rear side, the front side, the right side, the left side, the upper side and the lower side of the tape cassette 30 .
As shown in FIG. 3 , the tape cassette 30 includes a cassette case 31 that is overall a generally square shaped (box shaped) housing with rounded corner portions in a plan view. The cassette case 31 is formed of a bottom case 31 B that includes a bottom surface 30 B of the cassette case 31 and a top case 31 A that includes a top surface 30 A of the cassette case 31 . The top case 31 A is fixed to an upper portion of the bottom case 31 B. In the explanation of the present embodiment, a distance from the bottom surface 30 B to the top surface 30 A is referred to as the height of the tape cassette 30 or the cassette case 31 .
The cassette case 31 has the corner portions 32 A that have the same width (the same length in the vertical direction), regardless of the tape type of the tape cassette 30 . The corner portions 32 A each protrude in an outward direction to form a right angle when seen in a plan view. However, the lower left corner portion 32 A does not form a right angle in the plan view, as the tape discharge portion 49 is provided in the corner. The cassette case 31 includes a portion that is called the common portion 32 . The common portion 32 includes the corner portions 32 A and encircles all the side surfaces of the cassette case 31 at the same position as the corner portions 32 A in the vertical (height) direction of the cassette case 31 and also has the same width as the corner portions 32 A.
As shown in FIG. 5 and FIG. 7 , the common portion 32 is a portion that is formed symmetrically in the vertical direction with regard to a central line that runs in the vertical (height) direction of the cassette case 31 . Note that the height of the tape cassette 30 differs depending on the width of the film tape 59 or the double-sided adhesive tape 58 housed in the cassette case 31 (namely, the printed tape 50 ). However, a width T of the common portion 32 (the length in the vertical direction) is set to be the same dimension, regardless of the width of the printed tape 50 .
For example, when the width T of the common portion 32 is 12 mm, if the width of the printed tape 50 is larger (18 mm, 24 mm, 36 mm, for example), the height of the cassette case 31 also becomes accordingly larger, but the width T of the common portion 32 remains constant. Note that, when the width of the printed tape 50 is equal to or less than the width T of the common portion 32 (6 mm, 12 mm, for example), the height of the cassette case 31 is the width T of the common portion 32 (12 mm) plus a predetermined width. The height of the cassette case 31 is at its smallest in this case.
As shown in FIG. 3 , the top case 31 A and the bottom case 31 B respectively have support holes 65 , 66 and 67 that rotatably support spools, which will be explained later. Only the support holes 65 , 66 and 67 formed in the top case 31 A are shown in FIG. 3 , but the support holes 65 , 66 and 67 are also formed in a similar manner in the bottom case 31 B.
As shown in FIG. 4 , three types of tape roll are housed in the cassette case 31 , namely the double-sided adhesive tape 58 wound on a first tape spool 40 , the transparent film tape 59 wound on a second tape spool 41 and the ink ribbon 60 wound on the ribbon spool 42 . The double-sided adhesive tape 58 is a double-sided adhesive tape with a release paper adhered to one surface, and stuck to the print surface of the film tape 59 .
The first tape spool 40 , on which the double-sided adhesive tape 58 is wound with its release paper facing outward, is rotatably mounted around the support holes 65 on the left side and to the rear inside the cassette case 31 . The second tape spool 41 , on which the film tape 59 is wound, is rotatably mounted around the support holes 66 on the right side and to the rear inside the cassette case 31 . The ink ribbon 60 , which is wound on the ribbon spool 42 , is rotatably arranged on the right side and to the front inside the cassette case 31 .
Between the first tape spool 40 and the ribbon spool 42 in the cassette case 31 , a ribbon take-up spool 44 is mounted around the support holes 67 . The ribbon take-up spool 44 pulls out the ink ribbon 60 from the ribbon spool 42 and takes up the ink ribbon 60 that has been used to print characters. A clutch spring (not shown in the figures) is attached to a lower portion of the ribbon take-up spool 44 to prevent loosening of the taken up ink ribbon 60 due to reverse rotation of the ribbon take-up spool 44 .
As shown in FIG. 3 , a semi-circular groove 34 K that has a cross-sectional semi-circular shape in a plan view is provided in the front surface of the cassette case 31 , and extends over the height of the cassette case 31 (in other words, extends from the top surface 30 A to the bottom surface 30 B). The semi-circular groove 34 K is a recess provided such that, when the tape cassette 30 is installed in the cassette housing portion 8 , there is no interference between a shaft support 181 of the roller holder 18 (refer to FIG. 8 ) and the cassette case 31 . Of the front surface of the cassette case 31 , a section that stretches leftwards from the semi-circular groove 34 K is referred to as an arm front surface 35 . A part that is defined by the arm front surface 35 and an arm rear surface 37 and that extends leftwards from the right portion of the tape cassette 30 is referred to as an arm portion 34 . The arm rear surface 37 is separately provided at the rear of the arm front surface 35 and extends over the height of the cassette case 31 .
As shown in FIG. 4 , the film tape 59 that is pulled from the first tape spool 41 and the ink ribbon 60 that is pulled from the ribbon spool 42 are guided together inside the arm portion 34 . An end of the arm front surface 35 bends in a rearward direction. An exit 34 A is formed by ends of the arm front surface 35 and the arm rear surface 37 . The film tape 59 and the ink ribbon 60 are joined together at the exit 34 A and are discharged toward an opening 77 that will be described later.
A space that is surrounded by the arm rear surface 37 and a peripheral wall surface that extends continuously from the arm rear surface 37 is the head insertion portion 39 . The head insertion portion 39 has a generally rectangular shape in a plan view and penetrates through the cassette case 31 in the vertical direction. The head insertion portion 39 is connected to the outside at the front surface side of the tape cassette 30 , through the opening 77 formed in the front surface of the tape cassette 30 . The head holder 74 that supports the thermal head 10 of the printer 1 (refer to FIG. 18 ) is inserted into the head insertion portion 39 . One surface of the film tape 59 that is discharged from the exit 34 A is exposed to the front at the opening 77 , and the other surface opposes the thermal head 10 positioned to the rear. In the present embodiment, the other surface of the film tape 59 opposes the thermal head 10 across the ink ribbon 60 . At the opening 77 , printing is performed by the thermal head 10 on the film tape 59 using the ink ribbon 60 .
As shown in FIG. 3 and FIG. 4 , the tape drive roller 46 is rotatably and axially supported on the feed path for the film tape 59 and the ink ribbon 60 from the exit 34 A to the tape discharge portion 49 , on the downstream side of the head insertion portion 39 . The tape drive roller 46 is driven to rotate by the tape drive shaft 11 (refer to FIG. 18 ) that is inserted into the tape drive roller 46 . The tape drive roller 46 moves in concert with a movable feed roller 14 (refer to FIG. 23 ) that opposes the tape drive roller 46 and thus pulls the film tape 59 from the second tape spool 41 and pulls the double-sided adhesive tape 58 from the first tape spool 40 . The double-sided adhesive tape 58 is then guided to and adhered to the print surface of the film tape 59 .
A pair of regulating members 36 that match in the vertical direction are provided on the upstream side of the tape drive roller 46 . The regulating members 36 regulate the printed film tape 59 in the vertical direction (in the tape width direction), and guide the printed film tape 59 toward the tape discharge portion 49 on the downstream side of the thermal head 10 . Thus, the film tape 59 and the double-sided adhesive tape 58 are bonded together appropriately without making any positional displacement. A guide wall 47 is provided standing in the vicinity of the regulating members 36 . The guide wall 47 separates the used ink ribbon 60 that has been fed via the head insertion portion 39 from the film tape 59 , and guides the used ink ribbon 60 toward the ribbon take-up spool 44 . A separating wall 48 is provided standing between the guide wall 47 and the ribbon take-up spool 44 . The separating wall 48 prevents mutual contact between the used ink ribbon 60 that is guided along the guide wall 47 and the double-sided adhesive tape 58 that is wound on and supported by the first tape spool 40 .
As shown in FIG. 3 , an arm indicator portion 800 that indicates the tape type of the tape cassette 30 is provided on the arm front surface 35 adjacent to the right side of the opening 77 . The arm indicator portion 800 includes a non-pressing portion 801 and a pressing portion 802 . The non-pressing portion 801 is a rectangular hole in a front view and allows a switch terminal 231 to be inserted or removed. The pressing portion 802 is a surface portion that comes into contact with the switch terminal 231 . The non-pressing portions 801 and the pressing portions 802 are provided in a specific pattern corresponding to the tape type. The non-pressing portion 801 and the pressing portion 802 are positioned such that they respectively correspond to the switch terminals 231 that will be described later (refer to FIG. 11 and FIG. 12 ). The arm indicator portion 800 according to the present embodiment has the non-pressing portions 801 and the pressing portions 802 in five positions that correspond to the five switch terminals 231 . Hereinafter, when the non-pressing portions 801 and the pressing portions 802 are referred to generically, or when neither is particularly specified, they are simply referred to as indicators.
The structure of the arm indicator portion 800 will be explained in detail with reference to FIG. 3 and FIG. 5 to FIG. 7 . FIG. 3 and FIG. 5 are figures relating to the wide-width tape cassette 30 in which the tape width of the printed tape 50 is equal to or greater than a prescribed width (18 mm, for example). FIG. 6 and FIG. 7 are figures relating to the narrow-width tape cassette 30 in which the tape width of the printed tape 50 is less than the prescribed width.
As shown in FIG. 3 and FIG. 5 to FIG. 7 , for both the wide-width tape cassette 30 and the narrow-width tape cassette 30 , at least some of the indicators (the non-pressure portions 801 and the pressure portions 802 ) of the arm indicator portion 800 are provided within a predetermined height range T 1 (hereinafter referred to as the predetermined height T 1 ) of the arm front surface 35 . Among the plurality of tape cassettes 30 with different heights, the predetermined height T 1 is the height of the tape cassette 30 for which the height of the cassette case 31 is smallest. As described above, the smallest height of the tape cassette 30 is the width T of the common portion 32 plus the predetermined width. An area within the range of the predetermined height T 1 of the arm front surface 35 is referred to as a common indicator portion 831 .
In the case of the wide-width tape cassette 30 , additional indicators may be provided either above or below the common indicator portion 831 within the range of a predetermined height T 2 of the arm front surface 35 . Areas that are outside the common indicator portion 831 within the predetermined height T 2 of the arm front surface 35 are referred to as extension portions 832 . In the examples in FIG. 3 and FIG. 5 , for example, of the five indicators, four of the indicators are provided in two rows within the common identification portion 831 . The remaining indicator is provided extending from the common indicator portion 831 into the extension portion 832 below the common indicator portion 831 . In this way, in the wide-width tape cassette 30 , by having the arm indicator portion 800 with a larger area that corresponds to the wider arm front surface 35 , the number of tape types that can be detected by the printer 1 can be increased.
In the case of the narrow-width tape cassette 30 , such that the switch terminal 231 that detects the indicator provided in the extension portion 832 is not pressed, an escape hole 803 is formed in a position corresponding to the switch terminal 231 . For example, in the examples shown in FIG. 6 and FIG. 7 , the four indicators are provided in two rows within the range of the common indicator portion 831 , and the escape hole 803 is formed on the lower edge of the common indicator portion 831 .
In this way, when either of the wide-width tape cassette 30 and the narrow-width tape cassette 30 are installed in the cassette housing portion 8 , the tape type can be detected by the common mechanical sensor 23 . Detection modes for detecting the tape type using the arm indicator portion 800 will be explained separately later.
Whether for the wide-width tape cassette 30 or the narrow-width tape cassette 30 , each of the indicators of the arm indicator portion 800 according to the present embodiment are arranged in different positions in the left-and-rightward direction. The five indicators are arranged in a zigzag pattern such that they do not overlap in the vertical direction. Therefore, a line linking each of the identification portions intersects with the vertical direction of the tape cassette 30 , which is the direction of installation and removal of the tape cassette 30 .
A latching hole 820 is provided on the arm front surface 35 on the upper right side of the arm indicator portion 800 . The latching hole 820 is a through hole (refer to FIG. 25 ) into which a latching piece 192 (refer to FIG. 11 and FIG. 12 ) is inserted when the sensor holder 19 (to be described later) is moved to an identification position (a position shown in FIG. 24 ). More specifically, the latching hole 820 extends over a joining portion of the top case 31 A and the bottom case 31 B and extends in the rightward direction from above the indicator positioned on the rightmost side of the arm indicator portion 800 (the pressing portion 802 in the lowest row in the example in FIG. 5 ). The latching hole 820 has a generally rectangular shape in a front view, with the long sides running in the left-and-rightward direction.
As shown in FIG. 3 and FIG. 6 , a through-hole 850 that is an upright rectangular shape in a front view is provided in the arm front surface 35 , to the left side of the arm identification portion 800 of the bottom case 31 B. The through-hole 850 is provided as a relief hole for a die used in a molding process of the cassette case 31 , and does not have any particular function.
The outline structure of a movable mechanism 100 provided on the printer 1 will be explained with reference to FIG. 8 . The movable mechanism 100 according to the present embodiment refers to a series of mechanisms that move in response to external pressure, including the lever 16 , the release rod 17 , the roller holder 18 , the sensor holder 19 and a wall 20 that will be described later (refer to FIG. 9 ).
In the explanation of the present embodiment, the lower right side, the upper left side, the upper right side, the lower left side, the upper side and the lower side in FIG. 8 correspond, respectively, to the front side, the rear side, the right side, the left side, the upper side and the lower side of the movable mechanism 100 . For ease of explanation of operating modes of the movable mechanism 100 , FIG. 8 shows the movable mechanism 100 with the wall 20 (refer to FIG. 9 ) removed. This is also the case for FIG. 16 to FIG. 24 , which will be described later.
When a user installs the tape cassette 30 into the cassette housing portion 8 or removes the tape cassette 30 from the cassette housing portion 8 , the user opens the cover 6 in the upward direction. When performing printing by the printer 1 , the user closes the cover 6 in the downward direction. In accordance with the opening and closing of the cover 6 , the lever 16 moves rotationally around a lever shaft 161 in the up-down direction (a rotational movement direction D 1 shown in FIG. 8 ). When the cover 6 is opened in the upward direction, the lever 16 moves rotationally in the upward direction. When the cover 6 is closed in the downward direction, the lever 16 moves rotationally in the downward direction. This will be explained in more detail later.
A lower edge of the lever 16 engages with the release rod 17 , the release rod 17 having a tabular shape whose longitudinal direction is the left-and-rightward direction. The release rod 17 moves in the leftward-and-rightward direction in accordance with the circular movement of the lever 16 (a movement direction D 2 shown in FIG. 8 ). The release lever 17 moves in the leftward direction (the downward leftward direction in FIG. 8 ) when the lever 16 is moved circularly in the downward direction (the downward direction in FIG. 8 ). The release rod 17 moves in the rightward direction (in the upward rightward direction in FIG. 8 ) when the lever 16 is moved circularly in the upward direction (the upward direction in FIG. 8 ). This will be explained in more detail later.
The roller holder 18 is provided on the rear side (the upper left side in FIG. 8 ) of the release rod 17 . The roller holder 18 is provided with a platen roller 15 (refer to FIG. 11 ) and the movable feed roller 14 . The roller holder 18 is pivotably supported around the shaft support 181 . The movable feed roller 14 is rotatably supported on the left edge portion of the roller holder 18 such that the roller surface is exposed in the rearward direction. To the right side of the movable feed roller 14 , the platen roller 15 is rotatably supported such that the roller surface is exposed in the rearward direction. The movable feed roller 14 and the platen roller 15 are arranged such that they oppose the tape drive roller 46 and the thermal head 10 , respectively (refer to FIG. 18 ).
The roller holder 18 is constantly elastically urged in the forward direction (in the downward rightward direction in FIG. 8 ) by an urging spring that is not shown in the figures. In accordance with the release rod 17 moving in the left-and-rightward direction (the movement direction D 2 ), the roller holder 18 pivots (a pivot direction D 3 shown in FIG. 8 ) in the back-and-forth direction around the shaft support 181 . More specifically, when the release rod 17 moves in the leftward direction, the roller holder 18 resists the urging force of the urging spring and pivots in the rearward direction (the upper leftward direction in FIG. 8 ). When the release rod 17 moves in the rightward direction, the roller holder 18 pivots in the forward direction (the lower rightward direction in FIG. 8 ) due to the urging force of the urging spring. This will be explained in more detail later.
A first holder opening 182 is provided between the shaft support 181 and the platen roller 15 . The first holder opening 182 has a generally rectangular shape in a front view. The sensor holder 19 is provided on the rear side of the release rod 17 and on the inside of the first holder opening 182 . A plurality of mechanical sensors 23 are provided on the sensor holder 19 (refer to FIG. 11 ). The plurality of mechanical sensors 23 have switch terminals 231 that protrude in the rearward direction (in the upper leftward direction in FIG. 8 ). The plurality of mechanical sensors 23 are provided in positions that correspond, respectively, to the plurality of indicators provided on the arm indicator portion 800 . This will be explained in more detail later.
The sensor holder 19 moves in the back-and-forth direction (a movement direction D 4 shown in FIG. 8 ), in accordance with the movement of the release rod 17 in the left-and-rightward direction (the movement direction D 2 ). More specifically, when the release rod 17 moves in the leftward direction, the sensor holder 19 moves in the rearward direction (the upper leftward direction in FIG. 8 ). When the release rod 17 moves in the rightward direction, the sensor holder 19 moves in the forward direction (the lower rightward direction in FIG. 8 ). The sensor holder 19 is not fixed to the roller holder 18 and can therefore move independently from the roller holder 18 . This will be explained in more detail later.
According to the above-described structure, with the movable mechanism 100 according to the present embodiment, when the cover 6 is closed in the downward direction, the roller holder 18 pivots in the rearward direction and the sensor holder 19 moves in the rearward direction. When the roller holder 18 pivots in the rearward direction, the platen roller 15 is pressed by the thermal head 10 and the movable feed roller 14 is pressed by the tape drive roller 46 . When the sensor holder 19 moves in the rearward direction, the switch terminals 231 of the mechanical sensors 23 are pressed by the arm indicator portion 800 . In this way, in the printer 1 , it is possible to perform a printing operation using the tape cassette 30 installed in the cassette housing portion 8 , and it is also possible to identify the tape type of the tape cassette 30 . In the present embodiment, before the switch terminals 231 are pressed by the arm indicator portion 800 , the platen roller 15 and the movable feed roller 14 are each first pressed by the thermal head 10 and the tape drive roller 46 , respectively. This will be explained in more detail later.
When the cover 6 is opened in the upward direction, the roller holder 18 pivots in the forward direction and the sensor holder 19 moves in the forward direction. When the roller holder 18 pivots in the forward direction, the platen roller 15 is separated from the thermal head 10 and the movable feed roller 14 is separated from the tape drive roller 46 . When the sensor holder 19 moves in the forward direction, the switch terminals 231 of the mechanical sensors 23 are separated from the arm indicator portion 800 . In this way, in the printer 1 , it is possibly to freely install and remove the tape cassette 30 from the cassette housing portion 8 . In the present embodiment, after the switch terminals 231 are separated from the arm indicator portion 800 , the platen roller 15 and the movable feed roller 14 are each then separated from the thermal head 10 and the tape drive roller 46 , respectively. This will be explained in more detail later.
The physical structure of each of the members included in the movable mechanism 100 will be explained in more detail with reference to FIG. 8 to FIG. 12 . FIG. 9 shows the movable mechanism 100 as seen from the same direction as in FIG. 8 . However, in FIG. 9 , for ease of explanation of the linked structure of the movable mechanism 100 , the movable mechanism 100 is shown in a state in which the roller holder 18 is in a print position (a position shown in FIG. 24 ), and the sensor holder 19 is in the identification position (the position shown in FIG. 24 ). Further, the lever 16 and the release rod 17 are removed in FIG. 9 .
The physical structure of the lever 16 will be explained with reference to FIG. 8 . The lever 16 has a predetermined thickness and width, and is curved such that, in a front view, it extends in the upper rightward direction and describes a generally circular arc. The lever shaft 161 that rotatably supports the lever 16 is provided on a lower edge of the lever 16 . A lever protrusion 162 that protrudes in the upward direction is provided on a leading end of the lever 16 . A top surface curved portion 163 and a contact surface 164 are provided on the lower left side of the lever protrusion 162 . The top surface curved portion 163 is a corner portion that is formed on the outer side of the lever 16 in the direction of the curvature. The contact surface 164 is a surface portion that is provided connected to the lower side of the top surface curved portion 163 . The lever protrusion 162 , the top surface curved portion 163 and the contact surface 164 are all portions that come into contact with the lever depression portion 61 when the cover 6 is closed (refer to FIG. 2 ), and they will be explained in more detail later.
The physical structure of the release rod 17 will be explained with reference to FIG. 8 , FIG. 9 and FIG. 18 . FIG. 18 shows a cross section of the movable mechanism 100 when the printer 1 is seen from the bottom surface. FIG. 18 also shows the tape cassette 30 depicted with virtual lines (lines of alternate long and two short dashes). In FIG. 18 , for ease of explanation, the wall 20 and a spring member 22 are omitted (this is also the case for FIG. 21 and FIG. 24 which will be described later).
The release rod 17 is engaged with the lower edge of the lever shaft 161 of the lever 16 . The release rod 17 is provided with a depression portion 171 and a hollow portion 172 . The hollow portion 172 has a predetermined thickness and height, and forms a rectangular cylinder shape whose longitudinal direction extends in the left-and-rightward direction. The depression portion 171 is a head portion that is formed on the left end of the hollow portion 172 .
The depression portion 171 causes the roller holder 18 to pivot in the back-and-forth direction (the up-and-down direction in FIG. 18 ). As the depression portion 171 has a shape that protrudes in the back-and-forth direction from the hollow portion 172 in a plan view, the length of the depression portion 171 in the back-and-forth direction (namely, the thickness) is larger than that of the hollow portion 172 . An inclined surface is formed extending across a rear surface of the depression portion 171 from the left surface, such that the depression portion 171 tapers in the left-and-rightward direction in a plan view, rearward from a position of the hollow portion 172 in the back-and-forth direction (the downward direction in FIG. 18 ). A rear surface portion that is formed parallel to the left-and-rightward direction of the depression portion 171 is a rear surface 1711 . With respect to the depression portion 171 , an inclined surface that extends in the forward leftward direction from the rear surface 1711 is an inclined surface 1712 .
A concavity 176 is provided in the top surface of the hollow portion 172 . The concavity 176 is provided within a predetermined range that extends in the rightward direction from a generally central position in the left-and-rightward direction of the hollow portion 172 . The concavity 176 is formed as an indentation whose height position is slightly lower than the top surface. A rod guide portion 175 that guides the sensor holder 19 in the back-and-forth direction is formed on the top surface of the concavity 176 . The rod guide portion 175 has a first rod guide portion 1751 , a rod guide inclined portion 1752 and a second rod guide portion 1753 .
The first rod guide portion 1751 is a wall that is provided standing along the front edge of the concavity 176 . The first rod guide portion 1751 extends from the left end of the concavity 176 to a position slightly to the left side of the center of the concavity 176 . The second rod guide portion 1753 is a wall that is provided standing along the rear edge of the concavity 176 . The second rod guide portion 1753 extends in the rightward direction from a position slightly to the right side of the center of the concavity 176 . The rod guide inclined portion 1752 is a wall that is provided standing from the concavity 176 such that it obliquely links the right end of the first rod guide portion 1751 and the left end of the second rod guide portion 1753 in a plan view. The first rod guide portion 1751 , the rod guide inclined portion 1752 and the second rod guide portion 1753 each have substantially the same thickness and height respectively. The appearance of the rod guide portion 175 as a whole has a rail shape.
A first guide portion 174 is provided on the front surface of the hollow portion 172 , on the lower right side when seen from the right end of the concavity 176 . The first guide portion 174 is a tab that protrudes in the forward direction from the front surface of the hollow portion 172 . Further, the leading end of the first guide portion 174 is bent in the downward direction. A second guide portion 173 is provided on the depression portion 171 . The second guide portion 173 extends over the left surface and the right surface of the depression portion 171 . The second guide portion 173 is a groove-shaped concavity from the bottom surface in the upward direction. The second guide portion 173 is provided to the front side of position of the hollow portion 172 . The first guide portion 174 and the second guide portion 173 guide the movement of the release rod 17 in the left-and-rightward direction.
The physical structure of the wall 20 will be explained with reference to FIG. 9 and FIG. 10 . The wall 20 is a tabular member that is long in the left-and-rightward direction, and is provided standing to the front (the lower right side in FIG. 9 ) of the release rod 17 in the printer 1 . Around the top end of the wall 20 , the wall 20 has a first upper surface portion 201 , a second upper surface portion 202 , a third upper surface portion 203 , a fourth upper surface portion 204 and a fifth upper surface portion 205 . The first upper surface portion 201 to the fifth upper surface portion 205 are provided from the left side to the right side of the wall 20 in the order described above (from the lower left side to the upper right side in FIG. 9 ), and form a step-shaped line.
The first upper surface portion 201 is formed in the left-and-rightward direction of the wall 20 extending from the left end of the wall 20 to a position slightly to the left of the center of the wall 20 , and is a peripheral portion that is formed parallel to the left-and-rightward direction of the printer 1 . The third upper surface portion 203 is formed extending from a position slightly to the right of the center of the wall 20 to a position slightly to the left of the right end of the wall 20 and is a peripheral portion that is formed parallel to the left-and-rightward direction of the printer 1 and above the first upper surface portion 201 . The fifth upper surface portion 205 is formed in the left-and-rightward direction of the wall 20 on the right end edge of the wall 20 , and is a peripheral portion that is formed parallel to the left-and-rightward direction of the printer 1 and above the third upper surface portion 203 . The second upper surface portion 202 is a peripheral portion that obliquely links the first upper surface portion 201 and the third upper surface portion 203 that are at differing height positions. The fourth upper surface portion 204 is a peripheral portion that obliquely links the third upper surface portion 203 and the fifth upper surface portion 205 that are at differing height positions.
A long hole 206 is formed to the lower side of the third upper surface portion 203 , the fourth upper surface portion 204 and the fifth upper surface portion 205 . The Long hole 206 is a groove-shaped penetrating hole which extends in the left-and-rightward direction. A round hole 207 , which is a hole that has a circular shape in a front view, is provided to the lower left side of the third upper surface portion 203 . A first square hole 208 , which has a horizontally long rectangular shape in a front view, is provided to the lower side of the round hole 207 . A second square hole 209 , which has a horizontally long rectangular shape in a front view, is provided at a position lower than the first square hole 208 .
The first guide portion 174 engages slidingly with the long hole 206 . The second guide portion 173 engages slidingly with the first upper surface portion 201 . The first guide portion 174 is guided along the long hole 206 , and the second guide portion 173 is guided along the first upper surface portion 201 , thus moving the release rod 17 in the left-and-rightward direction.
The physical structure of the roller holder 18 will be explained with reference to FIG. 8 , FIG. 9 , FIG. 11 , FIG. 12 and FIG. 18 . As described above, the roller holder 18 rotatably supports the movable feed roller 14 and the platen roller 15 and is provided to the rear side of the release rod 17 . The first holder opening 182 is an opening that extends from the right side edge of the roller holder 18 to a position at which the platen roller 15 is supported in the left-and-right direction. A second holder opening 183 is formed continuously with a left side of opening edges of the first holder opening 182 . The second holder opening 183 is an opening that is smaller than the first holder opening 182 and has a generally rectangular shape in a front view. The first holder opening 182 and the second holder opening 183 are joined to form a single opening. A holder side reception portion 184 is provided to the rear of the second holder opening 183 . The holder side reception portion 184 extends from the front surface of the platen roller 15 toward the rear right side (the lower rightward direction in FIG. 18 ) and has a curved surface that follows the roller surface of the platen roller 15 .
The release rod 17 is provided such that the hollow portion 172 extends along the left-and-rightward direction of the first holder opening 182 and the depression portion 171 is inserted into the second holder opening 183 from the right side. When the depression portion 171 is separated from the holder side reception portion 184 , the holder side reception portion 184 is not pressed by the depression portion 171 .
As described above, the roller holder 18 that pivots around the shaft support 181 is constantly elastically urged in the forward direction. When the holder side reception portion 184 is not pressed, the roller holder 18 is maintained in a stand-by position (a position shown in FIG. 18 ). When the release rod 17 moves to the left side, the depression portion 171 comes into contact with and presses the holder side reception portion 184 inside the second holder opening 183 . In this case, the roller holder 18 moves from the stand-by position in the rearward direction (the downward direction in FIG. 18 ), and this will be explained in more detail later.
The physical structure of the sensor holder 19 will be explained with reference to FIG. 8 to FIG. 12 . The sensor holder 19 is provided inside the first holder opening 182 on the rear side of the release rod 17 (the upper left side in FIG. 8 ). The sensor holder 19 includes a box-shaped unit main body 191 , the mechanical sensors 23 , the latching piece 192 , an electrical board 193 , a cylindrical portion 194 , the spring member 22 and a rotation prevention member 195 .
A first protective portion opening 197 and a second protective portion opening 198 , which are openings in two locations, are provided on the unit main body 191 , on the side of a surface that opposes the tape cassette 30 installed in the cassette housing portion 8 (hereinafter referred to as a cassette-facing surface 191 A). The first protective portion opening 197 is formed as a vertically long generally rectangular shape in a rear view. The second protective portion opening 198 is formed as a rectangular shape on the upper left side of the first protective portion opening 197 (the upper right side in FIG. 12 ). An opening area of the second protective portion opening 198 is larger than that of the first protective portion opening 197 . One of the mechanical sensors 23 is slotted into the first protective portion opening 197 . A sensor storage body 88 , which holds four of the mechanical sensors 23 together, is inserted into the second protective portion opening 198 . The mechanical sensors 23 that are slotted into each of the first protective portion opening 197 and the second protective portion opening 198 are electrically connected to the electrical board 193 that is provided on the unit main body 191 .
The electrical board 193 is provided on the front side of the unit main body 191 . The front surface of the electrical board 193 is exposed in the forward direction from the first holder opening 182 . Although not shown in the figures, an electrical wiring assembly is connected to the front surface of the electrical board 193 . The electrical board 193 is electrically connected to a control circuit 400 provided inside the printer 1 (refer to FIG. 15 ) via the electrical wiring assembly. On and off signals of the mechanical sensors 23 are transferred to a CPU 401 (refer to FIG. 15 ) via the electrical wiring assembly connected to the electrical board 193 .
Each of the mechanical sensors 23 includes the switch terminal 231 . The switch terminals 231 protrude in the rearward direction from the cassette-facing surface 191 A. In other words, each of the switch terminals 231 protrude such that they oppose the arm front surface 35 (refer to FIG. 3 ) of the tape cassette 30 installed in the cassette housing portion 8 . The switch terminals 231 are provided in positions corresponding to the indicators of the arm indicator portion 800 (the non-pressing portions 801 and the pressing portions 802 ), respectively (refer to FIG. 5 ). In the present embodiment, the five switch terminals 231 are arranged in a zigzag pattern. The position of each of the switch terminals 231 is respectively different in the left-and-rightward direction. As a consequence, none of the switch terminals 231 overlap in the vertical direction. A line linking each of the switch terminals 231 intersects with the vertical direction of the printer 1 , which is the direction of insertion and removal of the tape cassette 30 . The latching piece 192 is provided on an upper right portion of the cassette-facing surface 191 A (an upper left portion in FIG. 12 ). The latching piece 192 is a tabular protrusion whose longitudinal direction is the left-and-rightward direction. A protrusion length of the latching piece 192 is greater than that of the switch terminals 231 in the rearward direction, which will be explained in more detail later.
An electrical board hole 196 is provided in the electrical board 193 . The electrical board hole 196 is a circular hole in a front view. The unit main body 191 includes the cylindrical portion 194 , which is a cylindrical shape that extends in the forward direction (in the rightward direction in FIG. 10 ). The cylindrical portion 194 protrudes in the forward direction through the electrical board hole 196 provided in the electrical board 193 . The cylindrical portion 194 has a shaft hole that extends in the back-and-forth direction and a small diameter columnar member 21 is inserted into the shaft hole. The shaft hole of the cylindrical portion 194 includes a first shaft hole 1941 and a second shaft hole 1942 that communicate to form a same shaft. The first shaft hole 1941 extends in the forward direction from the cassette-facing surface 191 A to a position close to the center of the cylindrical portion 194 . The second shaft hole 1942 extends from the first shaft hole 1941 to the front end of the cylindrical portion 194 . The second shaft hole 1942 has a larger aperture diameter than the first shaft hole 1941 . The columnar member 21 that is inserted into the shaft hole of the cylindrical portion 194 can be slid in the back-and-forth direction along the first shaft hole 1941 , which has generally the same diameter as the columnar member 21 . A small diameter insertion pin 21 A is provided on the leading end of the columnar member 21 on the front side.
The aperture diameter of the second shaft hole 1942 is larger than the diameter of the columnar member 21 . For that reason, a spring housing portion 1943 is formed between the columnar member 21 and the cylindrical portion 194 . The spring housing portion 1943 is a groove that has a ring shape in a front view. The spring member 22 , which has a greater total length than a shaft length of the second shaft hole 1942 , is housed in the spring housing portion 1943 , and the columnar member 21 is inserted into a winding center of the spring member 22 . Inside the spring housing portion 1943 , a rear end of the spring member 22 is in contact with a step section that is formed by the differences in diameter of the first shaft hole 1941 and the second shaft hole 1942 . In a state in which the spring member 22 is wound on the columnar member 21 , the insertion pin 21 A is inserted into the round hole 207 and the front end of the spring member 22 is in contact with the wall 20 . In this way, the spring member 22 urges the sensor holder 19 in the rearward direction (in the leftward direction in FIG. 10 ) due to elastic force.
A holder guide portion 199 is provided on a lower portion of the aperture edge at the front of the cylindrical portion 194 . The holder guide portion 199 extends in the forward direction. A leading end of the holder guide portion 199 is bent in the downward direction, and this end is engaged with the rod guide portion 175 of the release rod 17 . Movement of the sensor holder 19 that is urged in the rearward direction by the spring member 22 is regulated in the rearward direction by the engagement of the holder guide portion 199 and the rod guide portion 175 . In accordance with the left-and-rightward direction movement of the release rod 17 , the sensor holder 19 moves in the back-and-forth direction while being guided by the rod guide portion 175 , and this will be explained in more detail later.
The rotation prevention member 195 is provided on the lower edge of the unit main body 191 and below the sensor holder 19 . The rotation prevention member 195 extends in the forward direction. The rotation prevention member 195 penetrates the second square hole 209 of the wall 20 , while the leading end of the rotation prevention member 195 that is bent in the downward direction is engaged with the front surface of the wall 20 . The sensor holder 19 is fixed to the wall 20 at two points aligned in the vertical direction, namely by the insertion pin 21 A and the rotation prevention member 195 , and rotational movement of the sensor holder 19 around the columnar member 21 is thus regulated.
The mechanical sensor 23 will be explained in detail with reference to FIG. 13 and FIG. 14 . In FIG. 14 , of the five mechanical sensors 23 , a movement mode of the mechanical sensor 23 in the uppermost left position (the upper right in FIG. 12 ) is schematically depicted.
As shown in FIG. 13 and FIG. 14 , in the mechanical sensor 23 , the switch terminals 231 are provided inside a low-profile box shaped sensor main body (not shown in the figures) that has a small length in the back-and-forth direction (in the left-and-rightward direction in FIG. 13 and FIG. 14 ). The switch terminal 231 is provided such that it can move rotationally in the back-and-forth direction where the center of rotational movement is a shaft portion 232 that extends inside the sensor main body in the left-and-rightward direction (in the back-and-forth direction in FIG. 13 and FIG. 14 ). The switch terminal 231 is constantly urged to move rotationally in the rearward direction (in the leftward direction in FIG. 13 and FIG. 14 ) by an urging spring (not shown in the figures) such that it moves to a protruding position. When external pressure is applied to the leading end of the switch terminal 231 , the switch terminal 231 moves rotationally in the forward direction (in the rightward direction in FIG. 13 and FIG. 14 ), and thus moves to a retracted position. A detecting element 234 that detects a displacement state of the switch terminal 231 is provided to the front of the switch terminal 231 .
The switch terminal 231 as a whole is a tabular member that has a flat surface portion which is curved as a general U shape in a side view. The switch terminal 231 includes an arm 231 A and a protruding portion 231 B. The arm 231 A extends in a radial direction from the shaft portion 232 . The protruding portion 231 B protrudes in the rearward direction from the leading end of the arm 231 A. The length of the protruding portion 231 B in the vertical direction tapers from the arm 231 A toward the rear, and the protruding portion 231 B has a form that protrudes in a general V shape in a side view. When the switch terminal 231 is moved to the protruding position, the protruding portion 231 B protrudes further to the rear than the cassette-facing surface 191 A. At that time, the arm 231 A is not in contact with the detecting element 234 and the mechanical sensor 23 is thus in an off state.
When external pressure is applied that presses a peripheral edge portion of the general V shape of the protruding portion 231 B, the protruding portion 231 B retracts in the forward direction. At that time, the arm 231 A is in contact with the detecting element 234 and the mechanical sensor 23 is thus in an on state. In other words, the protruding portion 231 B retracts in the forward direction not only when the protruding portion 231 B is horizontally pressed from the rear side, but also when the protruding portion 231 B is vertically pressed from the upward or the downward direction, and the mechanical sensor 23 is thus in the on state.
The electrical configuration of the printer 1 will be explained with reference to FIG. 15 . As shown in FIG. 15 , the printer 1 includes a control circuit 400 formed on a control board. The control circuit 400 includes a CPU 401 that controls each instrument, a ROM 402 , a CGROM 403 , a RAM 404 , and an input/output interface 411 , all of which are connected to the CPU 401 via a data bus 410 .
The ROM 402 stores various programs for the CPU 401 to control the printer 1 . The ROM 402 also stores tables that are used to identify the tape type of the tape cassette 30 installed in the cassette housing portion 8 . The CGROM 403 stores print dot pattern data to be used to print characters. The RAM 404 includes a plurality of storage areas, including a text memory, a print buffer and so on.
The input/output interface 411 is connected, respectively, to the mechanical sensors 23 , the keyboard 3 , a liquid crystal drive circuit (LCDC) 405 and drive circuits 406 , 407 and 408 etc. The drive circuit 406 is en electronic circuit that drives the thermal head 10 . The drive circuit 407 is an electronic circuit that drives a tape feed motor 24 , which causes the ribbon take-up shaft 9 and the tape drive shaft 11 to rotate. The drive circuit 408 is an electronic circuit that drives a cutter motor 25 , which operates a moving blade (not shown in the figures) that cuts the printed tape 50 . The liquid crystal drive circuit (LCDC) 405 has a video RAM (not shown in the figures) to output display data to a display (LCD) 5 .
Operating modes of the movable mechanism 100 will be explained in more detail with reference to FIG. 16 to FIG. 24 . For ease of explanation of the operating modes of the movable mechanism 100 , the wall 20 (refer to FIG. 9 and FIG. 10 ), the spring member 22 (refer to FIG. 9 and FIG. 10 ), the lever depression portion 61 provided on the cover 6 , the support member 62 and the protruding piece 63 (refer to FIG. 2 ) are omitted in FIG. 16 to FIG. 24 .
An operating mode of the movable mechanism 100 will be explained in a case in which the cover 6 is closed in the downward direction, and is thus moved from the open position (refer to FIG. 2 ) to the closed position (refer to FIG. 1 ).
As shown in FIG. 16 to FIG. 18 , the lever 16 is urged in the upward direction (a rotational movement direction D 5 in FIG. 17 ) by a lever spring (not shown in the figures). When the cover 6 is in the open position due to the urging force of the lever 16 , the lever protrusion 162 is at its highest position. At that time, the release rod 17 that is coupled to the lower end of the lever 16 is at a right end position of the range of movement of the release rod 17 .
As shown in FIG. 18 , when the cover 6 is in the open position, the holder guide portion 199 is engaged with the first rod guide portion 1751 . The sensor holder 19 , which is urged in the rearward direction (in the downward direction in FIG. 18 ) by the spring member 22 , is regulated to move by the first rod guide portion 1751 and it is maintained in a separated position (a position shown in FIG. 18 ). The holder side reception portion 184 of the roller holder 18 is separated from the depression portion 171 of the release rod 17 . The roller holder 18 is not pressed by the depression portion 171 , and is urged in the forward direction by the urging spring (not shown in the figures), thus being maintained in the stand-by position shown in FIG. 18 .
When the cover 6 is closed by the user, pressure in the downward direction is applied to the cover 6 in the open position. In the process of the cover 6 moving toward the closed position in accordance with the downward pressure, the lever depression portion 61 (refer to FIG. 2 ) comes into contact with the lever protrusion 162 (refer to FIG. 16 ). The lever depression portion 61 depresses the lever protrusion 162 and thus the lever 16 resists the pressure of the lever spring (not shown in the figures) and moves rotationally in the downward direction. In accordance with the rotational movement of the lever 16 , the release rod 17 moves from the right end position in the leftward direction. As the cover 6 moves further toward the closed position, the lever depression portion 61 (refer to FIG. 2 ) comes into contact with the top surface curved portion 163 of the lever 16 .
By the lever depression portion 61 depressing the top surface curved portion 163 , the lever 16 moves rotationally further in the downward direction, and the release rod 17 moves further in the leftward direction. In accordance with the movement of the release rod 17 in the leftward direction, the inclined surface 1712 of the depression portion 171 comes into contact with the holder side reception portion 184 of the roller holder 18 . As the inclined surface 1712 depresses the holder side reception portion 184 , the holder side reception portion 184 slides along the inclined surface 1712 and the roller holder 18 resists the urging force of the urging spring (not shown in the figures) and pivots in the rearward direction.
As shown in FIG. 19 to FIG. 21 , when the release rod 17 reaches a first position (a position shown in FIG. 21 ), the tape cassette 30 is fixed inside the cassette housing portion 8 by the roller holder 18 . More specifically, the platen roller 15 presses the thermal head 10 via the film tape 59 and the ink ribbon 60 positioned at the opening 77 . The movable feed roller 14 presses the tape drive roller 46 , which is inserted in the tape drive shaft 11 , via the film tape 59 and the double-sided adhesive tape 58 . A position in which the tape cassette 30 is fixed inside the cassette housing portion 8 (a position shown in FIG. 21 ) is a contact position of the roller holder 18 .
The sensor holder 19 , which is structured such that it can only move in the back-and-forth direction, does not move in the left-and-rightward direction. For that reason, in accordance with the movement of the release rod 17 in the left-and-rightward direction, the rod guide portion 175 slides in the left-and-rightward direction while maintaining its state of engagement with the holder guide portion 199 . More specifically, when the release rod 17 moves in the leftward direction from the right end position to the first position, the first rod guide portion 1751 slides in the leftward direction while maintaining its state of engagement with the holder guide portion 199 . The first rod guide portion 1751 is a wall portion that runs parallel to the left-and-rightward direction, and thus, in a state in which the first rod guide portion 1751 is engaged with the holder guide portion 199 , even when the release rod 17 moves in the left-and-rightward direction, the sensor holder 19 does not move in the back-and-forth direction.
In this way, in accordance with the movement in the leftward direction of the release rod 17 from the right end position to the first position, the roller holder 18 pivots from the stand-by position (refer to FIG. 18 ) in the rearward direction. When the roller holder 18 reaches the contact position (refer to FIG. 21 ), the platen roller 15 is pressed by the thermal head 10 and the movable feed roller 14 is also pressed by the tape drive roller 46 . As the sensor holder 19 is maintained in the separated position, the switch terminals 231 do not come into contact with the arm indicator portion 800 of the tape cassette 30 .
From a state in which the cover 6 is partially closed (refer to FIG. 19 to FIG. 21 ), when the cover 6 is further moved toward the closed position, the lever depression portion 61 depresses the top surface curved portion 163 . In accordance with the further rotational movement of the lever 16 in the downward direction, the release rod 17 moves from the first position even further in the leftward direction. When the cover 6 reaches the closed position, the lever depression portion 61 is in contact with the contact surface 164 of the lever 16 . In this case, the release rod 17 moves to a second position (a position shown in FIG. 24 ), which is a left end of the range of movement of the release rod 17 .
In accordance with the movement of the release rod 17 further to the left side of the first position (refer to FIG. 21 ), the holder side reception portion 184 is further depressed in the rearward direction by the inclined surface 1712 . As shown in FIG. 22 to FIG. 24 , when the release rod 17 reaches the second position (refer to FIG. 24 ), the rear surface 1711 of the depression portion 171 comes into contact with the holder side reception portion 184 . A position in which the holder side reception portion 184 is in contact with the rear surface 1711 (a position shown in FIG. 24 ) is a print position of the roller holder 18 .
In this way, in concert with the movement of the cover 6 from the open position to the closed position, the roller holder 18 gradually moves in the rearward direction. As the cover 6 approaches the closed position, the pressure with which the platen roller 15 presses the thermal head 10 and the pressure with which the movable feed roller 14 presses the tape drive roller 46 gradually increase. In a state in which the roller holder 18 is in the print position (refer to FIG. 22 to FIG. 24 ), the tape cassette 30 is even more firmly fixed in the cassette housing portion 8 than when the roller holder 18 is in the contact position (refer to FIG. 21 ).
When the release rod 17 moves further in the leftward direction than the first position (refer to FIG. 21 ), the portion that is engaged with the holder guide portion 199 changes from the first rod guide portion 1751 to the rod guide inclined portion 1752 . The rod guide inclined portion 1752 , which is a wall that extends in the rearward direction to the right side of the first rod guide portion 1751 , can slide while engaged with the holder guide portion 199 . In this state, when the release rod 17 moves in the leftward direction, the holder guide portion 199 moves in the rearward direction along the rod guide inclined portion 1752 while being depressed by the spring member 22 .
When the release rod 17 moves further in the leftward direction and reaches the second position (refer to FIG. 24 ), the portion that is engaged with the holder guide portion 199 changes from the rod guide inclined portion 1752 to the second rod guide portion 1753 (refer to FIG. 22 to FIG. 24 ). The second rod guide portion 1753 is a wall that extends parallel to the left-and-rightward direction and therefore, in a state in which the second rod guide portion 1753 is engaged with the holder guide portion 199 , even if the release rod 17 moves in the left-and-rightward direction, the sensor holder 19 does not move in the back-and-forth direction. A position in which the sensor holder 19 is engaged with the second rod guide portion 1753 (a position shown in FIG. 24 ) is an identification position of the sensor holder 19 .
As shown in FIG. 22 to FIG. 24 , in a state in which the holder guide portion 199 has moved to the identification position, the latching piece 192 is inserted into the latching hole 820 of the tape cassette 30 . The switch terminals 231 that are provided on the sensor holder 19 vertically oppose the arm indicator portion 800 of the tape cassette 30 . The switch terminals 231 detect each of the indicators to which they are respectively opposed (the non-pressing portions 801 or the pressing portions 802 ). In this way, the CPU 401 that is provided in the printer 1 (refer to FIG. 15 ) can determine the tape type of the tape cassette 30 .
As described above, when the cover 6 is in a closed state (refer to FIG. 22 to FIG. 24 ), the roller holder 18 moves to the print position and the sensor holder 19 also moves to the identification position. The printer 1 can perform stable and accurate printing, and can determine the tape type of the tape cassette 30 .
Next, the operating mode of the movable mechanism 100 will be explained in a case in which the cover 6 is opened in the upward direction and is thus displaced from the closed position (refer to FIG. 1 ) to the open position (refer to FIG. 2 ). This operating mode is similar to when the cover 6 is closed in the downward direction, but the order of movement of the roller holder 18 and the sensor holder 19 is reversed.
Although not shown in FIG. 16 to FIG. 24 , when the cover 6 is in the closed position (refer to FIG. 22 to FIG. 24 ), the protruding piece 63 of the cover 6 (refer to FIG. 2 ) is positioned below the lever protrusion 162 of the lever 16 . When the cover 6 is opened in the upward direction from the closed position, the top surface of the protruding piece 63 pushes up the lever 16 in the upward direction. The pushed up lever 16 is urged to move rotationally in the upward direction by the lever spring (not shown in the figures). In accordance with the rotational movement of the lever 16 , the release rod 17 moves from the second position (refer to FIG. 24 ) in the rightward direction.
When the release rod 17 moves from the second position (refer to FIG. 24 ) in the rightward direction, the holder guide portion 199 slides along the rod guide portion 175 (more specifically, the rod guide inclined portion 1752 ) in the forward direction. As the holder guide portion 199 slides in the forward direction, the sensor holder 19 moves from the identification position (refer to FIG. 24 ) in the forward direction and the switch terminals 231 are separated from the arm indicator portion 800 . When the release rod 17 then moves in the rightward direction to a position further to the right of the first position (refer to FIG. 21 ), the sensor holder 19 is maintained in the separated position (refer to FIG. 18 ).
In accordance with the release rod 17 moving in the rightward direction from the second position (refer to FIG. 24 ) toward the first position (refer to FIG. 21 ), the holder side reception portion 184 slides in the forward direction along the depression portion 171 (more specifically, the inclined surface 1712 ) due to the urging spring (not shown in the figures). As the holder side reception portion 184 slides in the forward direction and as the roller holder 18 moves toward the contact position (refer to FIG. 21 ), the pressure that fixes the tape cassette 30 in place gradually weakens in comparison to when the roller holder 18 is in the print position (refer to FIG. 24 ). When the release rod 17 moves further in the rightward direction than the first position (refer to FIG. 21 ), the roller holder 18 slides further in the forward direction than the contact position (refer to FIG. 21 ). In this way, the platen roller 15 and the movable feed roller 14 are each separated from the thermal head 10 and the tape drive roller 46 , respectively, and the roller holder 18 is maintained in the stand-by position (refer to FIG. 18 ).
As described above, when the cover 6 is in the open position (refer to FIG. 16 to FIG. 18 ), the roller holder 18 moves to the stand-by position, and the sensor holder 19 moves to the separated position. The movable feed roller 14 and the platen roller 15 do not interfere with the tape cassette 30 that is inserted into and removed from the cassette housing portion 8 . The switch terminals 231 do not interfere with the tape cassette 30 that is inserted into and removed from the cassette housing portion 8 . Thus, in the printer 1 , the tape cassette 30 can be freely inserted into and removed from the cassette housing portion 8 .
Modes of detecting the tape type of the tape cassette 30 installed in the cassette housing portion 8 will be explained with reference to FIG. 25 and FIG. 26 .
As shown in FIG. 25 , when the tape cassette 30 is installed at a proper position in the cassette housing portion 8 , the cover 6 is closed (refer to FIG. 2 ) and the sensor holder 19 moves to the identification position, the latching piece 192 provided on the cassette-facing surface 191 A is inserted into the latching hole 820 of the tape cassette 30 . The mechanical sensors 23 provided on the cassette-facing surface 191 A oppose the arm indicator portion 800 of the tape cassette 30 . Each of the five switch terminals 231 are selectively pressed by the indicators (the non-pressing portions 801 and the pressing portions 802 ) of the arm indicator portion 800 .
More specifically, with the wide-width tape cassette 30 shown in FIG. 5 , the switch terminal 231 that opposes the pressing portion 802 is pressed by the surface portion of the arm front surface 35 and the mechanical sensor 23 is in the on state. The switch terminal 231 that opposes the non-pressing portion 801 is inserted into the non-pressing portion 801 , and the mechanical sensor 23 is in the off state. With the narrow-width tape cassette 30 shown in FIG. 6 and FIG. 7 , the mechanical sensor 23 is in the on state or the off state in a similar way to that described above, but the switch terminal 231 that opposes the escape hole 803 is not pressed and the mechanical sensor 23 is constantly in the off state.
As shown in FIG. 26 , if the cassette case 30 is in a slightly displaced or raised position with respect to the proper position in the cassette housing portion 8 , the tape cassette 30 is not installed in the cassette housing portion 8 at the proper position. In this case, when the cover 6 (refer to FIG. 2 ) is closed and the sensor holder 19 moves to the identification position, the latching piece 192 is not inserted into the latching hole 820 and comes into contact with the arm front surface 35 . The latching piece 192 has a larger protrusion width (the length in the back-and-forth direction from the cassette-facing surface 191 A) than the switch terminals 231 . Accordingly, when the latching piece 192 comes into contact with the arm front surface 35 , the switch terminals 231 do not come into contact with the arm front surface 35 , and all the mechanical sensors 23 are in the off state.
In the printer 1 , the tape type of the tape cassette 30 installed in the cassette housing portion 8 is identified based on a combination of the on and off states of the five mechanical sensors 23 . More specifically, the tape type is identified by referring to tables stored in advance in the ROM 402 (refer to FIG. 15 ) in which the on and off state combinations of the mechanical sensors 23 correspond to the tape type. When all the mechanical sensors 23 are in the off state, it is identified that the tape cassette 30 is not installed in the cassette housing portion 8 at the proper position.
In the present embodiment, the arm indicator portion 800 is provided adjacent to the opening 77 . It is possible for a person to simultaneously visually check, from the front, the arm indicator portion 800 and the tape type that is discharged from the opening 77 . By providing the indicators of the arm indicator portion 800 such that they correspond to the tape type in accordance with predetermined rules, the person can visually check the arm indicator portion 800 and identify the tape type. The person can verify whether the identified tape type matches the tape type that is housed in the tape cassette 30 by referring to the tape type that is discharged from the opening 77 .
As described above, in the printer 1 according to the present embodiment, the arm indicator portion 800 is provided on the arm front surface 35 of the tape cassette 30 . The switch terminals 231 of the mechanical sensors 23 detect the tape type by being pressed by the arm indicator portion 800 . In this way, in comparison with a case in which mechanical sensors are provided protruding toward a bottom surface of the tape cassette, it is possible to inhibit the occurrence of displacement in a tape print position that may be caused by the repulsive force of the switch terminals. Restrictions on space and positions in which the mechanical sensors are provided can be reduced.
When the cover 6 is closed, the roller holder 18 reaches the contact position before the sensor holder 19 reaches the identification position. In other words, the tape cassette 30 is fixed by the roller holder 18 before the switch terminals 231 are pressed by the arm indicator portion 800 . When the cover 6 is opened, the sensor holder 19 moves from the identification position toward the separated position before the roller holder 18 moves from the contact position toward the stand-by position. Namely, the tape cassette 30 is released by the roller holder 18 after the switch terminals 231 are separated from the arm indicator portion 800 . In this way, the tape cassette 30 is always fixed by the roller holder 18 when the sensor holder 19 comes into contact with and is separated from the tape cassette 30 .
According to the printer 1 of the present embodiment, in a state in which the tape cassette 30 is fixed in the cassette housing portion 8 , the switch terminals 231 are either pressed by or separated from the arm indicator portion 800 . As a result, when the switch terminals 231 are pressed by or separated from the arm indicator portion 800 , even if, for example, the user touches the tape cassette 30 with his or her hand, or abnormal vibrations are applied to the printer 1 etc., fluctuations in the position of the tape cassette 30 can be inhibited. It is thus possible to reduce damage etc. to the switch terminals 231 , and to appropriately protect the mechanical sensors 23 .
In addition, in the mechanical sensor 23 according to the present embodiment, when external pressure is applied such that the periphery of the protruding portion 231 B is pressed, the switch terminal 231 retracts. As a result, even if the tape cassette 30 is, for example, installed or removed in an abnormal manner, a risk of damage to the switch terminal 231 is reduced. Even if the user intentionally touches the switch terminal 231 with a finger, a risk of damage to the switch terminal 231 is reduced.
If the mechanical sensor 23 according to the present embodiment is pressed from a direction other than the direction of protrusion and retraction of the switch terminal 231 , the position of the leading end of the switch terminal 231 changes in accordance with the pressing direction. For example, if external pressure is applied to the periphery of the protruding portion 231 B, the switch terminal 231 retracts. Damage or bending caused by the switch terminal 231 being unable to withstand pressure is therefore curbed. Even if other members come into contact with or the user touches the switch terminal 231 as described above, the switch terminal 231 retracts and damage etc. is therefore appropriately prevented. Furthermore, by adopting rotating bodies as the switch terminals, it is possible to appropriately protect the mechanical sensor without making the structure of the mechanical sensor more complex.
In accordance with the movement of the release rod 17 , the roller holder 18 moves rotationally and the sensor holder 19 also moves. The roller holder 18 and the sensor holder 19 are independently operated by moving the release rod 17 . It is not necessary for the printer 1 to be provided with separate members to operate the roller holder 18 and the sensor holder 19 , respectively. As a result, the number of components of the printer 1 can be reduced and an increase in the size of devices can be avoided.
The release rod 17 moves in accordance with the opening and closing of the cover 6 . When the cover 6 is opened, the tape cassette 30 can be inserted into and removed from the cassette housing portion 8 . When the cover 6 is closed, printing can be performed by the thermal head 10 and the tape type can further be detected by the plurality of mechanical sensors 23 . As a consequence, simply by opening and closing the cover 6 , the user can cause the printer 1 to be in an optimum state for use corresponding to the state of the cover 6 . Thus, operability of the printer 1 can be improved.
In the printer 1 according to the present embodiment, the sensor holder 19 that is provided with the mechanical sensors 23 can move independently of the roller holder 18 . As a result, movability of the mechanical sensors 23 can be improved, and detection of the tape type can be appropriately performed. There is no restriction on the positions and number of the mechanical sensors 23 , and thus the degree of freedom of design of the printer 1 can be improved,
The switch terminals 231 are moved perpendicularly with respect to the arm indicator portion 800 . Simply by causing the switch terminals 231 to move in the forward direction by the minimum necessary distance, they can be efficiently and sufficiently moved away such that they do not touch the tape cassette 30 . As a consequence, the moving space required when causing the mechanical sensors 23 to retract can be minimized, thus avoiding an increase in the size of the printer 1 and increasing the degree of freedom of design of the printer 1 .
The sensor holder 19 that is provided with the mechanical sensors 23 is provided between the shaft support 181 that is the pivot center of the roller holder 18 and the platen roller 15 . As the sensor holder 19 is provided within the installation space of the roller holder 18 , it is not necessary to secure a separate installation space for the sensor holder 19 . As a result, the sensor holder 19 that operates independently from the roller holder 18 can be provided without any increase in the size of the printer 1 , thus increasing the space-saving capabilities and the degree of freedom of design of the housing.
Note that the printer 1 of the present disclosure is not limited to that in the above-described embodiment, and various modifications and alterations may of course be made insofar as they are within the scope of the present invention.
As shown in FIG. 27 to FIG. 29 , a structure may be adopted in which the latching hole 820 of the arm front surface 35 (refer to FIG. 5 ) and the latching piece 192 of the sensor holder 19 (refer to FIG. 11 ) are not provided. In this case, as long as the tape cassette 30 is installed in the cassette housing portion 8 at the proper position, in a similar manner to the above-described embodiments, the five switch terminals 231 are selectively pressed by the indicators of the arm indicator portion 800 that oppose each of the switch terminals 231 respectively (refer to FIG. 25 ).
As the direction of insertion and removal of the tape cassette 30 is in the vertical direction, when the tape cassette 30 is in a displaced or raised position with respect to the proper position in the cassette housing portion 8 , in many cases, the tape cassette 30 is displaced in the upward direction with respect to the proper position. As described above, the plurality of switch terminals 231 are arranged in positions that correspond, respectively to the indicators of the arm indicator portion 800 and are arranged in a zigzag pattern such that none of the switch terminals 231 are aligned with each other in the vertical direction. As none of the indicators overlap in the vertical direction, when displacement of the tape cassette 30 occurs in the upward direction and the tape cassette 30 is raised with respect to the proper position, each of the switch terminals 231 does not detect another of the indicators, is pressed by a surface portion of the arm front surface 35 and is thus in the on state. In other words, even if there are fluctuations in the position of the tape cassette 30 installed in the cassette housing portion 8 , the above structure prevents another of the switch terminals 231 from being inserted into the non-pressing portion 801 corresponding to a given one of the switch terminals 231 , thus preventing mistaken identification of the tape type.
More specifically, as shown in FIG. 29 , when the wide-width tape cassette 30 is raised or has positional displacement, if the cover 6 (refer to FIG. 2 ) is closed and the sensor holder 19 moves to the identification position, all the switch terminals 231 are pressed by a surface of the arm front surface 35 and are thus in the on state. When the narrow-width tape cassette 30 is installed in the cassette housing portion 8 and when the narrow-width tape cassette 30 is raised or has positional displacement, apart from the switch terminal 231 that is in a position that opposes the escape hole 803 , the other four switch terminals 231 are pressed by the surface of the arm front surface 35 and are thus in the on state. In these cases with the printer 1 , namely when all the mechanical sensors 23 are in the on state and also when four of the switch terminals 231 excepting the switch terminal 231 that opposes the escape hole 803 are in the on state, it may be identified that the tape cassette 30 is not installed at the proper position.
With the structure shown in FIG. 27 to FIG. 29 , there is no engaging effect between the latching hole 820 and the latching piece 192 , as described above. In this case, when the tape cassette 30 is inserted or removed, there is a risk that the periphery of the cassette case 31 may come into contact with the switch terminals 231 from above or below, or that there may be positional fluctuations of the tape cassette 30 installed in the cassette housing portion 8 . With the mechanical sensor 23 according to the present embodiment, when external pressure is applied such that it presses the periphery of the protruding portion 231 B, the switch terminal 231 retracts. Even when the latching hole 820 and the latching piece 192 are not provided, damage etc. to the switch terminal 231 can be appropriately prevented.
The structure of the mechanical sensor 23 is not limited to the above-described embodiment. For example, the switch terminal 231 may be an elastic body, such as a rubber body or a spiral spring etc., or may be a shaft that can protrude and retract in the back-and-forth direction. In this case, even if external pressure is applied to the switch terminal 231 , for example, from above or below, damage etc. to the switch terminal 231 is prevented by the switch terminal 231 deforming elastically in response to the external pressure.
The apparatus and methods described above with reference to the various embodiments are merely examples. It goes without saying that they are not confined to the depicted embodiments. While various features have been described in conjunction with the examples outlined above, various alternatives, modifications, variations, and/or improvements of those features and/or examples may be possible. Accordingly, the examples, as set forth above, are intended to be illustrative. Various changes may be made without departing from the broad spirit and scope of the underlying principles. | A printer that includes a cassette housing portion into which a tape cassette is detachably installed in a vertical direction, a feeding device that feeds the tape mounted in the tape cassette, a printing head that performs printing on the tape, a platen roller that is located facing the printing head, a roller holder that rotatably supports the platen roller, a mechanical sensor having a switch terminal that is capable of protruding and retracting, a sensor holder that holds the mechanical sensor between the shaft of the roller holder and the platen roller and that is capable of moving independently of the roller holder between a third position and a fourth position, and a determination device that determines the type of the tape based on protrusion and retraction of the switch terminal. | 96,949 |
PRIORITY
[0001] This application claims the benefit of provisional patent application No. 61/427,666 entitled “System and Method for Interactive Event Display” by the same inventor filed on Dec. 28, 2010 which is incorporated by reference as if fully set forth herein.
BACKGROUND
[0002] The present invention relates generally to a system and method for interactive event displays, and more particularly to the graphical presentation and interactivity of sporting events.
[0003] The sporting industry is one of the larger industries in the United States. Significant amounts of print and broadcast media are dedicated to providing the public with information about sporting events. Often this information is the presented in newspapers as game summaries which indicate that statistics of the game. These are commonly referred to as “wrap ups”, “box scores” and the like. Box scores are used to quickly convey to a reader what occurred during the sporting event. Generally these are limited in scope showing only that during a certain part of a game a significant event occurred. They may also indicate a player associated with a significant event so that the player and the player's impact are also reported.
[0004] The ability to convey the results of a sporting event quickly and efficiently is valuable for consumers who have limited time to spend on recreational activities.
[0005] In broadcast media, event information is presented as “highlights” with the media provider broadcasting certain portions of a sporting event that they hope will interest their viewers. These highlights are designed to quickly convey game information, often lasting only a few seconds per highlight. In these cases the user is only presented with a limited view of the event. Either a static display or another's opinion of what the user would like to see about that event. As such, what is needed is a system and method for presenting a holistic view of an contest and allowing a user to select more information from the display.
BRIEF DESCRIPTION OF THE DRAWINGS
[0006] FIG. 1 shows a functional block diagram of a client server system.
[0007] FIG. 2 illustrates a display of a sporting event in accordance with some embodiments of the current disclosure.
[0008] FIG. 3 illustrates a display of a baseball game according to some embodiments of the current disclosure.
[0009] FIG. 4 shows an example illustrating a display of a college football sporting event.
[0010] FIG. 5 illustrates a relatively unexciting sporting event.
[0011] FIG. 6 illustrates a relatively high excitement sporting event.
[0012] FIG. 7 illustrates user interactivity elements according to the current disclosure.
DETAILED DESCRIPTION
[0013] Specific examples of components and arrangements are described below to simplify the present disclosure. These are, of course, merely examples and are not intended to be limiting. In addition, the present disclosure may repeat reference numerals and/or letters in the various examples. This repetition is for the purpose of simplicity and clarity and does not in itself dictate a relationship between the various embodiments and/or configurations discussed.
System Elements
Processing System
[0014] The methods and techniques described herein may be performed on a processor based device. The processor based device will generally comprise a processor attached to one or more memory devices such as or other tools for persisting data. These memory devices will be operable to provide machine-readable instructions to the processors and to store data, including data acquired from remote servers. The processor will also be coupled to various input/output (I/O) devices for receiving input from a user or another system and for providing an output to a user or another system. These I/O devices include human interaction devices such as keyboards, touchscreens, displays and terminals as well as remote connected computer systems, modems, radio transmitters and handheld personal communication devices such as cellular phones, “smart phones” and digital assistants.
[0015] The processing system may also include mass storage devices such as disk drives and flash memory modules as well as connections through I/O devices to servers containing additional storage devices and peripherals. Certain embodiments may employ multiple servers and data storage devices thus allowing for operation in a cloud or for operations drawing from multiple data sources. The inventor contemplates that the methods disclosed herein will operate over a network such as the Internet, and may be effectuated using combinations of several processing devices, memories and I/O.
[0016] The processing system may be a wireless devices such as a smart phone, personal digital assistant (PDA), laptop, notebook and tablet computing devices operating through wireless networks. These wireless devices may include a processor, memory coupled to the processor, displays, keypads, WiFi, Bluetooth, GPS and other I/O functionality.
Client Server Processing
[0017] FIG. 1 shows a functional block diagram of a client server system 100 that may be employed for some embodiments according to the current disclosure. In the FIG. 1 a server 110 is coupled to one or more databases 112 and to a network 114 . A user accesses the server by a computer 116 communicably coupled to the network 114 . Alternatively the user may access the server 110 through the network 114 by using a smart device such as a telephone or PDA 118 . The smart device 118 may connect to the server 110 through an access point 120 coupled to the network 114 .
[0018] Conventionally, client server processing operates by dividing the processing between two devices such as a server and a smart device such as a cell phone or other computing device. The workload is divided between the servers and the clients according to a predetermined specification. For example in a “light client” application, the server does most of the data processing and the client does a minimal amount of processing, often merely displaying the result of processing performed on a server.
[0019] In accordance with the current disclosure, displaying includes showing information to a user, formatting information for a user to display on a local device, transmitting information in a format that can be displayed on a remote device and the like. One having skill in the art will recognize that formatting information into graphics files, PDF files, HTML documents and the like, for transmission to a remote device for display constitutes displaying the information.
[0020] According to the current disclosure, client-server applications are structured so that the server provides machine-readable instructions to the client device and the client device executes those instructions. The interaction between the server and client indicates which instructions are transmitted and executed. In addition, the client may, at times, provide for machine readable instructions to the server, which in turn executes them. Several forms of machine readable instructions are conventionally known including applets and are written in a variety of languages including Java and JavaScript.
[0021] Client-server applications also provide for software as a service (SaaS) applications where the server provides software to the client on an as needed basis.
[0022] In addition to the transmission of instructions, client-server applications also include transmission of data between the client and server. Often this entails data stored on the client to be transmitted to the server for processing. The resulting data is then transmitted back to the client for display or further processing.
[0023] One having skill in the art will recognize that client devices may be communicably coupled to a variety of other devices and systems such that the client receives data directly and operates on that data before transmitting it to other devices or servers. Thus data to the client device may come from input data from a user, from a memory on the device, from an external memory device coupled to the device, from a radio receiver coupled to the device or from a transducer coupled to the device. The radio may be part of a wireless communications system such as a “WiFi” or Bluetooth receiver. Transducers may be any of a number of devices or instruments such as thermometers, pedometers, health measuring devices and the like.
[0024] A client-server system may rely on “engines” which include processor-readable instructions (or code) to effectuate different elements of a design. Each engine may be responsible for differing operations and may reside in whole or in part on a client, server or other device. As disclosed herein a display engine, a data engine, a user interface and the like may be employed. These engines may seek and gather information about events from remote data sources.
[0025] References in the specification to “one embodiment”, “an embodiment”, “an example embodiment”, etc., indicate that the embodiment described may include a particular feature, structure or characteristic, but every embodiment may not necessarily include the particular feature, structure or characteristic. Moreover, such phrases are not necessarily referring to the same embodiment. Further, when a particular feature, structure or characteristic is described in connection with an embodiment, it is submitted that it is within the knowledge of one of ordinary skill in the art to effect such feature, structure or characteristic in connection with other embodiments whether or not explicitly described. Parts of the description are presented using terminology commonly employed by those of ordinary skill in the art to convey the substance of their work to others of ordinary skill in the art.
Structured Data
[0026] Events may be recorded (or persisted) in several ways. The most common way is to record an event by time. This allows for presentation of the event along a timeline. A structured data source such as a spreadsheet, XML file, database and the like may be used to record events and the time they occurred. The techniques and methods described herein may be effectuated using a variety of hardware and other techniques that persist data and any of the ones specifically described herein are by way of example only and are not limiting in any way.
[0027] An event may be recorded by the other events that occur during the event. For example during a baseball game a number of pitches occur. Each pitch would be an event that could indicate the movement of the baseball game from start to finish. In the case of baseball, the game is played in innings, so the inning count could also be used as a basis for indicating the movement of the game from start to finish.
[0028] Other sports such as basketball could have points scored, possessions and shots that could be used to indicate the play of the game. In the case of football, possession, downs, turnovers and drives could be used to indicate the movement of the game from start to finish.
[0029] Sporting events use score to indicate wins or losses. A structured data source could store events along with their associated score thus allowing the data source to indicate the affect of an event on the score of the game. Also the structured data source could store information on the game participants associated with the event.
[0030] Table 1 illustrates one possible structured data source that may be used in certain embodiments of the current disclosure.
[0000] TABLE 1 Time Pitch Inning Batter Pitcher Type Home Away 4.5 3 1 Bender Tormey Curve 1 3 5.5 4 1 Bender Tormey Breaking 1 3 6 5 1 Bender Tormey Fastball 1 3 7 6 1 Mays Williams Fastball 2 3
The information stored in the Table 1 may used to graphically display the sporting event by graphing it according to the time column, the pitch column, the inning column or other suitable data field. Graphically depicting the sporting event by pitches provides a significant improvement over a mere display based on time because the number of pitches is indicative of the action in a game.
[0031] One having skill in the art would recognize that a more complete picture of a sporting event may be accomplished using more data than that depicted in the Table 1 . For example, the structured data source may include the count, the call, other participants and the like. One having skill in the art will also recognize that a relational schema for a structured data source may provide for a more efficient operation by reducing redundancy in the data source and improving access times. The information in the structured data source may be collected from remote data sources or may be links to the source of the information reducing the requirement to store the data locally.
[0032] Many sporting events lend themselves to multiple movement indications. For example football uses plays, downs and the like. One having skill in the art would recognize that a structured data source may be constructed for many different sporting events to effectuate multiple movement indications with each movement indication illustrating a different aspect of the sporting event.
[0033] In a networked computer system, a user might be provided an interface that allows them to designate sporting events and upload corresponding event information. Alternatively, an engine may be employed to collect information about events and persist the data for use as described herein. For example and without limitation a data engine may control the structured data by allowing manipulations such as appending, formatting, sorting and deleting data.
References
[0034] The structured data source may also include references. For example, a reference might point to a file. The file could be an image file such as an icon or other graphic file that would indicate the occurrence of a significant moment during the event. For example, the data source might have a reference that points to a file called “turnover.jpg.” The file turnover.jpg is an image that can be displayed when a turnover occurs in a football game. Similarly a baseball game may have references to an image file used when a grand slam is hit during a baseball game.
[0035] Other references may include pointers to audio or video files. These files could be used to display the sight or sound of a significant event. For example, the reference might point to an audio clip announcing the event. The audio clip might be a recording of the on-air broadcast of the sporting event describing the significant moment in the event. Likewise, the reference may be a video file showing the moment.
[0036] In a networked computer system, a user might be provided an interface that allows them to designate significant events and upload corresponding reference files or to use a reference to point to information such as that describe in the Table 1 .
[0037] The above illustration provides many different embodiments or embodiments for implementing different features of the invention. Specific embodiments of components and processes are described to help clarify the invention. These are, of course, merely embodiments and are not intended to limit the invention from that described in the claims.
Event Display
[0038] FIG. 2 illustrates a display of a sporting event in accordance with some embodiments of the current disclosure. In the FIG. 2 a basketball game, played between Chicago and Denver is presented. The depiction shows a line representing the difference in points (the “relative score”) between the two teams with the winning team shown as a positive number. Significant events, in this case 3 point baskets, are shown as a dot drawn near the score line at the time the significant event occurred 210 . In the FIG. 2 the relative score is smoothed to better illustrate the flow of the sporting event and one having skill in the art may apply other graphical techniques to illustrate event dynamics.
[0039] One advantage to the display illustrated by the FIG. 2 is that a viewer can quickly grasp how the flow of the sporting event played out. They can see which side was winning and when in the game the play changed to favor one team over the other. In a close game the line would cross the horizontal axis many times. In a rout or significant victory, the line would move up or down and not cross the horizontal axis often.
[0040] One having skill in the art could use a cross-platform, browser-based application development tool such as FLASH by ADOBE to read structured data files such as XML files and display them in an interactive environment such as those shown and described herein.
[0041] FIG. 3 illustrates a display of a baseball game according to some embodiments of the current disclosure. In the FIG. 3 a baseball game is graphed according to innings and pitch count such that the horizontal axis is scaled by pitch. For each pitch any corresponding score change is reflected as a difference in score between the winner and the loser. Significant events are shown by several different graphics or icons indicating what event occurred. For baseball these events may be home runs, grand slams, strikeouts and the like. In the FIG. 3 the number of icons indicates the amount of action and allows for people to see at a glance the quality of the game.
[0042] FIG. 4 shows an example illustrating a display of a college football sporting event on a computer screen. In the FIG. 4 the difference in score between the University of Florida and the University of Georgia. In the FIG. 4 possession of the football is indicated by a thicker line on the graph. Icons indicate significant events that occur during the game. For football these significant events may be first downs, field goals, turnovers and the like. In the FIG. 4 the icons indicating significant events are shown on the score line, however, one having skill in the art will recognize that these icons may be placed elsewhere and still effectuate the same result.
[0043] Color could be used to indicate possession instead of or in combination with line width. Also, color could be used to indicate the area under the relative score line using different colors for different teams. For example, the area between the baseline and the relative score line could be colored with the team colors of the team currently in the lead. The graphical displays presented herein provide a gestalt of sporting events that is currently unavailable elsewhere.
[0044] An analysis of the sporting event in the FIG. 4 indicates other advantages to the graphical presentation presented herein. It is easy for a user to see at a glance if one team dominated the other. For example, in the FIG. 4 it is clear that the University of Florida dominated Georgia throughout most of the game at one time having a 14 point lead. The presentation in the FIG. 4 quickly allows a user to grasp the speed and ease of understanding “what happened” in a game. It is easy for a user to spot and count lead changes, and see how the difference in score during the game is of primary importance to viewers.
Excitement Level
[0045] One feature of sporting contests is the amount of excitement a game can have. Referring to the FIGS. 2 through 4 different graphical techniques may indicate an excitement level. One technique is to count the number of times a relative scoring graph crosses zero on the horizontal axis. Each time the relative score crosses zero, the lead in the game changes. Thus a count of times the relative score crosses zero would indicate a measure of excitement for the game. A user could identify excitement levels from a collection of sporting events and select which event to view in response to that identification. Similarly a count of the local maxima and minima for a graph line will also indicate excitement because each local maximum or minimum would indicate a change in score. For low scoring sports like hockey there are only a small number of local maxima or minima, whereas other sports like basketball may have dozens of local maxima and minima.
[0046] Another indication of excitement is unanticipated changes such as those shown in the FIG. 4 . In the FIG. 4 the score at the end of the football game was zero. It was during overtime that the game score changed and the game ended. Thus analysis of scoring towards the end of the game might indicate a level of excitement. Also a long protracted time of zero difference in relative score could indicate excitement because this could indicate a prolonged tie game which may occur between two equally matched teams.
[0047] Another measure of excitement would be a pronounced decrease in dominance by one team over another. In the example of FIG. 4 , the 14 point loss in relative score during the second half is a measure of how much action (and hence excitement) there was during that portion of the game. The 14 point loss in such a short period of time is also an indicator of excitement. Combined changes in score over time periods effectuate an indication of interest.
[0048] FIG. 5 illustrates a relatively unexciting sporting event. In the game depicted by the FIG. 5 there are few indications of excitement (except of course to FSU fans). There is only one local minimum score and it's clear from the constantly increasing relative score that the winning team dominated the losing team throughout the game. Also, the plot of relative score only crosses the horizontal axis twice—another indicator of low excitement.
[0049] FIG. 6 illustrates a relatively high excitement sporting event. In the FIG. 6 there are dozens of local maxima and minima as well as several instances where the lead in the games changed or the relative score was zero. There are also numerous significant event icons indicating 3 point shots on the basket. Accordingly, combinations of these indications of excitement could be combined to effectuate a single indicator of relative excitement of a sporting event. An example of a combination may be:
# of local minima+# of local maxima+# of 3 point shots
Certain calculations allow for relative excitement determinations independent of the type of sporting activity or event.
Interactivity
[0051] When the graphical information is displayed on a processor-based I/O device such as a computer monitor or smart device display, the display may be interactive. Interactivity may be achieved, among other ways, by using a commercially available event-driven display tool. Such a tool would electronically indicate the position of a pointing device such as a finger, mouse and the like in relation to the graphical display. A display engine containing processor-readable instructions would acquire the position information and perform task in response to that information. By way of example only, these tasks might be:
Displaying a picture from that portion of the sporting event, Displaying a video of the portion of the sporting event, Playing audio from that portion of the sporting event, Playing user-generated media, or Displaying information about the portion of the sporting event such as player, a written description or statistics.
[0057] The above list is not exhaustive in that other interactivity could be employed. To effectuate the above-described interactivity, the display engine could receive from the display the pointer coordinates and determine position in the event from the structured data source. When position is known, actions such as linking to references may be effected. These references could be a variety of data sources that contain audio, visual and other media elated to the sporting event.
[0058] FIG. 7 illustrates user interactivity elements according to the current disclosure. In the FIG. 7 a display 710 of a sporting event is generated in response to a user selecting an event using a set of controls 712 . The display may be controlled by a play button 714 that directs the display 710 to advance in time showing the relative scores and placing icons on the display 710 indicating significant activity that occurred during the sporting event. The activity and time to display may be controlled using conventional display controls such as check boxes and radio buttons as shown in FIG. 7 . The playback speed may be controlled using and animation speed control 716 .
[0059] Placing a pointing device over a portion of the display 710 or an icon associated with a point of the display 710 , may trigger an event that displays details 718 about that time period of the display 710 . The details 718 may include sporting activity, procedural information, player statistics and the like. In addition a user may subscribe to a series of events using a subscribe control 720 . For example and without limitation, a subscription may include all the games for a particular team. The subscription service would generate the appropriate image, (such as display 710 ) for the team and send that image in an email, or send a pointer to where on the Internet that image may be seen.
[0060] Social media controls 722 may be used to publish to associated social media venues information about the event displayed including, but not limited to, the display 710 . Social media may include FACEBOOK, LINKEDIN, TWITTER and the like. Similarly, the image created by the display 710 may be saved, edited or emailed using controls 724 .
[0061] A user interface could allow for users to upload their own sporting event information including files or links to files that contain media about the event. A user interface may also allow a user to “play” the sporting event as it is constructed on a display device. The play function would allow the user to watch the action unfold as the sporting event progresses. Additionally, the user could set the play operation to pause at significant events and display those media files (or portions thereof) for a short time. In this manner, interactivity allows a user to select portions of the sporting event that interest the user and create their own highlights feature. Advantages to the interactivity function are that a user may select their own significant events to watch or can quickly review a sporting event and have an audio or visual display of all the highlights in view of the excitement and relative score of the sporting event as it progresses. A sports enthusiast could quickly review a whole day's worth of sporting events and their affect on the sporting events.
[0062] Although the invention is illustrated and described herein as embodied in one or more specific examples, it is nevertheless not intended to be limited to the details shown, since various modifications and structural changes may be made therein without departing from the spirit of the invention and within the scope and range of equivalents of the claims. Accordingly, it is appropriate that the appended claims be construed broadly and in a manner consistent with the scope of the invention, as set forth in the following claims. | A system and method for receiving structured data including sporting event information and graphing relative scores of the event on a timeline together with indicia indicative of significant moments related to the sporting event. Interactivity includes receiving a user selection to display details about the sporting event in either text, audio or video. The system may also email the graph of the sporting event or post the graph to social media sites. | 28,263 |
This is a division, of application Ser. No. 543,798, filed Jan. 24, 1975, now U.S. Pat. No. 4,009,588.
BACKGROUND TO THE INVENTION
This invention relates to an appliance for making sorbet or ice cream.
U.S. patent application Ser. No. 292,121 filed Sept. 25, 1972, now U.S. Pat. No. 3,916,637, relates to an electrical domestic appliance intended for making ice cream and fruit sorbet in a cold enclosure, such as the ice box of a refrigerator. Said application is herein incorporated by reference. The principal feature of this apparatus is the provision of means which prevents the stirrer blades from becoming blocked in the ice by effecting progressive withdrawal of those blades from a vertical orientation towards a horizontal orientation under the action of the opposing torque applied to the blades by the hardening of the ice during freezing. The appliance is especially intended for making ice cream and sorbet with two flavours.
U.S. patent application No. 429,820 filed Jan. 2, 1974, now U.S. Pat. No. 3,926,414 relates to a device for automatically stopping the gear motor of the appliance and for indicating when the blades reach their withdrawn position. Said application is herein incorporated by reference. This device is characterised by the fact that one of the stepped pinions of a reducing mechanism, which transmits the rotational movement of the motor to a sprocket driving the blades, is axially displaceable under the action of the reactive torque arising from the resistance offered to the mixer blades by the thickening of the preparation as it freezes.
In one embodiment described in this second patent, a microswitch with two stable positions is used, a moving coil of the microswitch being activated on the one hand by the aforementioned axial displacement and, on the other hand, by the bending of a deformable bimetallic element under the effect of increase in temperature of the magnetic circuit of the motor. The microswitch has to be reset by a push-button extending through the cover of the gear motor housing.
Although working satisfactorily, this embodiment does have certain disadvantages. Thus, a bimetallic strip is difficult to fix either by welding or by screwing due to the structure of the laminar magnetic circuit. In addition, the push-button is difficult to seal.
The object of the present invention is to provide an appliance having an improved automatic stopping device.
BRIEF SUMMARY OF THE INVENTION
According to the invention, there is provided an appliance for making sorbet or ice cream and including means for preventing the mixer blades from becoming locked in the ice by effecting the progressive withdrawal of these blades from a vertical orientation towards a horizontal orientation under the action of the opposing torque applied to the blades by the hardening of the ice during freezing, and an automatic stopping device which is mechanically operable as a result of the withdrawal of the blades or a part associated therewith to break the motor supply circuit when the blades reach their withdrawal position.
FURTHER FEATURES OF THE INVENTION
In a first embodiment of the invention, the automatic stopping device is activated by axial displacement of a stepped pinion, which engages a miniature reversing switch with one stable position. This reversing switch is thus held in an unstable position in which it completes the motor feed circuit as long as the torque is applied to the blades, and is released into its stable position in which it breaks the motor supply circuit, optionally releasing an indicating signal at the same time, as soon as the withdrawal of the blades causes the torque to disappear.
In this embodiment, the miniature reversing switch is reset either by acting manually on an intermediate mechanism for transmitting the axial displacement to the movable armature of the microswitch, or preferably by manual application of force to an arm supporting the blades, in the direction opposite to the normal stirring direction. The first embodiment is more fully described in the parent application hereof, now U.S. Pat. No. 4,009,588.
In a second embodiment of the invention, the automatic stopping device is activated immediately on completion of the withdrawal of the blades by a projection on one of the blades, which is adapted to reach the raised position shortly after the other blade or blades.
In this second embodiment, the projection either indirectly operates the movable armature of a microswitch or reversing switch to break the motor supply circuit, or comes into contact with a stop, preferably resiliently mounted, the resulting heating of the magnetic circuit of the motor acting on a temperature limiter which breaks the motor supply circuit.
BRIEF DESCRIPTION OF DRAWINGS
Embodiments of an appliance incorporating an automatic stopping device according to the invention are described in detail hereinafter with reference to the accompanying drawings, wherein:
FIG. 1 is a section through an ice cream making appliance equipped with a gear motor having an axially displaceable stepped pinion.
FIG. 2 is a partial view of a gear motor equipped with a stopping device having two limiting positions, which device can be manually reset by means of a push-button, the device being shown in its inoperative state;
FIG. 3 is a section through a gear motor equipped with another embodiment of automatically reset stopping device, in its rest position;
FIG. 4 is a view, partly in section, through this same embodiment, in its triggered position;
FIG. 5 is a view from beneath of the gear motor shown in FIGS. 3 and 4 with its cover removed;
FIG. 6 is a view, partly from above, of an appliance for making sorbets equipped with an automatic stopping device triggered by one of the blades during the withdrawal thereof;
FIG. 7 is a side elevation of this stopping device; and
FIG. 8 is a perspective view of a blade adapted to stop a sorbet-making appliance.
FIG. 9 is a circuit diagram representing the position of the switch in the motor supply lines.
FIGS. 10 and 11 show a spring in the mixer blade raising mechanism;
FIG. 12 shows a lever and cam means for activating a switch in the motor supply line; and
FIG. 13 shows a thermally activated switch in the motor supply line.
DESCRIPTION OF EMBODIMENTS
FIG. 1 shows a tank 1 and a motor block shown partly in section comprising essentially the same principal elements as in U.S. Pat. No. 3,926,414. Microswitch 75 is of the sudden break reversing type whose contact 84, which normally stays in each of the two end positions, is fixed to the end of a bimetallic strip 76. The other end of this strip is fixed to the magnetic circuit 77 of the motor. Toothed rim 78 engages with pinion 79 which is an integral part of toothed wheel 80. The two toothed wheels 78 and 79 have helical toothing. The assembly 79-80 rotates about a shaft 81 and can be displaced longitudinally on this shaft. Other gear wheel trains (not shown) transmit movement from the motor through gears 79 and 80 to gear 78. A pushbutton 83 enables the mobile armature of the microswitch 75 to be pushed to its lower position.
FIG. 2 is an elevation of a gear motor equipped at the side with an automatic stopping device, the gear motor comprising the same principal elements as in patent application Ser. No. 429,820 filed Jan. 2, 1974, and shown in FIG. 1, namely: a helically toothed wheel 78 and a pinion 79 engaging with it; a toothed wheel 80, integral with the pinion 79, rotatable about a spindle 81 and freely displaceable axially thereon. The spindle 81 is mounted between a cover 6 of the motor housing and in a stirrup 88 of the drive motor, said motor stirrup being supported through feet 89 on plates 77.
In this embodiment, the automatic stopping device is formed as follows. One of the supporting feet 89 is formed with a bore in which a pushrod 90 is slidable. This pushrod 90, urged upwards by a spring 91, comprises a feeler 92 resting on the toothed wheel 80 and a finger 93. This finger 93 rests on a plate 94 slidable in a housing 95.
The operation of an appliance for making sorbet equipped with the above-described device will be used in the manner described hereinafter.
To begin with, pressure is applied to the end 90 1 extending through the cover 6 of the gear motor housing. This depresses the plate 94 which remains in its lower rest position, and keeps the miniature reversing switch 101 closed so that the gear motor does not receive current. After the sorbet-making appliance has been introduced into a refrigerator, the power cord is connected; the motor is thus started up. Since the mixing force is low, the pinion 80 remains in its upper position held by the action of the feeler 92 and the spring 91. As the mixing force increases, the wheel 80 descends, being subjected, as has already been seen, to the axial component of the torque between the parts 79 - 78. When the preparation to be iced is sufficiently hard, the wheel 80 is in its lowest position, keeping the assembly 92 -- 90 -- 93 and the plate 94 in their lower positions. When the blades withdraw, the engagement torque quickly disappears, the assembly 92 -- 90 -- 93 ascends under the action of the spring 91 and allows the plate 94 to ascend to the end position shown in FIG. 2. The movable armature of the microswitch follows this movement and breaks the motor feed circuit. If the second contact of the miniature reversing switch is included in the feed circuit of a buzzer, the buzzer is activated to indicate that the blades of the appliance are in their withdrawn position.
Instead of using a push-button for resetting, it would be possible in principle to act manually upon the arm supporting the blades in a direction opposite to that in which it normally rotates. The resistance offered by the reduction gear establishes an engagement torque at the toothed wheels 78 - 79 identical with that obtained during mixing. This torque acts on the assembly 92 -- 90 -- 93 and on the mechanism 94 - 95. It is thus possible to close the motor feed circuit before it is brought into operation. However, the force required for this purpose is fairly high, and resetting is not obtained with each manual intervention.
A device without a push-button which is more reliable both in design and in use is described hereinafter with reference to FIGS. 3 to 5.
FIG. 3 shows the gear motor in its upper position with the motor circuit open.
FIG. 4 shows the upper part of the gear motor in its lower position with the motor circuit closed.
The gear motor (FIGS. 3, 4 and 5) operates as follows. The output pinion 102' of the electric motor 102 acts on an internally toothed ring 103 which comprises a stepped pinion 104 with rectangular teeth. A stepped toothed wheel, comprising rectangular teeth on its major diameter 105 and helical teeth 106 on its minor diameter, rotates about a spindle 107 sandwiched between the cover 108 and the stirrup 109 of the motor 102, the stirrup being specially constructed to accommodate the internally toothed ring 103. The stepped wheel 105 - 106 is adapted for axial displacement on the spindle 107. It meshes with a helically toothed wheel 110 fitted on to a drive hub 111. It is urged upwards by a spring pin 112 fixed to the stirrup 109.
The automatic stopping device is formed by a wheel 105 - 106 with a recess in which is accommodated a bell-shaped cam 113 adapted for radial and axial displacement on the spindle 107. This bell-shaped cam is acted on by spring 114 which applies it lightly against the base of the recess formed in the wheel 105 - 106. A countercam 115 forms an integral part of the cover 108.
It is already known that the stepped wheel 105 - 106 will be axially displaced according to the forces transmitted to the drive hub 111. In its displacement, this stepped wheel directly actuates the moving armature 116 of a miniature reversing switch 117. The reversing switch 117 is externally arranged in FIGS. 3 and 4 in order to simplify the drawing. In reality it is fixed to the stirrup 109 of the motor, as shown by the view from above in FIG. 1.
When the mixing force disappears through withdrawal of the blades, the stepped wheel 105 - 106 ascends under the effect of the spring pin 112 and pushes the cam into its rest position shown. The moving armature 116 of the miniature reversing switch accompanies the wheel 105 - 106, breaks the motor supply circuit and if desired establishes contact with an alarm.
The automatic stopping device may be actuated in a more simple manner by the blades themselves on completion of their withdrawal movement. In this particular embodiment, one of the blades is provided with a projection which may break the motor supply circuit in either of two different ways.
In a first embodiment (FIG. 6), a pivotable spindle 132 extends through the cover of the gear motor housing. At the end of the spindle inside the housing is mounted a cam whose function is to act on the movable armature of a microswitch or reversing switch shown in FIG. 12. That end of the spindle outside the casing is integral with a lever 126 actuated by a projection 129 on the blade 127, to break the motor supply circuit by entrainment of the cam.
In the rest position 126 of the lever shown in solid line, the electrical circuit of the motor is closed and the motor starts up as soon as the power cord of the appliance is connected. The blade 127 is lowered into the compartment 128 to freeze the preparation. When the blade is withdrawn under the increasing force generated by the freezing of the preparation, the projection 129 comes into contact with the lever 126 as the arm 131 rotates and causes it to pivot into the position 130 shown in broken line. This rotation results in breaking of the motor supply circuit and activation of the alarm, if any, under the action of the aforementioned cam.
When the appliance is used again, it is sufficient to grip the lever by hand to return it to its initial position 126.
In order to be certain that the two or more blades have been withdrawn when the motor is stopped, it is necessary for the other blade to be withdrawn before the blade equipped with the projection 129. To this end, springs opposing the force attributable to mixing and accommodated in the hubs of the blades, are shown in FIGS. 10 and 11 as provided in application Ser. No. 292,121 of Sept. 25, 1972, now U.S. Pat. No. 3,916,637. FIGS. 10 and 11 correspond to FIGS. 4 and 5 of the patent with the addition of projection 129 thereto. Arm 131 may comprise at each end thereof two aligned forks 14 and 15 as shown in FIG. 10.
The fork 15 receives a nut set into plastic and on which is screwed a shaft 13 on which swivels a blade support 10. A cylindrical housing 12 enables a compression spring 17 supported on one side on the cylindrical shoulder of the support and on the other side on the shoulder of the swivel 13, to urge the blade support 10 towards the fork 15. The latter consists of a bevelled-shape element 18 in the form of a hollowed out slice of melon, which guides the blade support 10 into a V shaped slot 19, predetermining a preferential position of the blade support. The blade support 10 is rigid with the arm 11 holding the blade 22. It can be seen from this that a strong force applied on blade 22, creates a torque at the level of the support 10. The two parts 18a and 18b of the conical angle of the bevel 18 tend to come out of the slot 19, compressing the spring 17 and creating an alteration of angle between the parts 18 and 19.
The possibility of greater or lesser ease of rotation of the support 10 depends on the compression force imposed on the spring 17.
Thus, as long as the consistency of the cream to be frozen is inadequate, the arm 11 remains vertical and the blade 22 scrapes the bottom of the freezer. When this consistency has reached a certain degree, the arm 11 puts a brake on the drive along the arm 131, and there comes a moment when this arm 11, forced backwards, pushes the angle edges 18a and 18b out of the slot 19, at the same time compressing the spring 17. Then, the action of this spring coupled with the alteration of angle of the inclined planes 27 and 28, starts the automatic raising of the arm 11 until the sharp edges of the slot 19 fall back into the hollowed out part 20 between the conical parts 18a and 18b of the bevel 18.
Because of this, the blade 22 is completely raised out of the top of the ice-cream which has reached an adequate consistency. The force of the spring 17 is clearly calculated depending on the consistency to be obtained, so that a complete withdrawal of the blades from the ice-cream is obtained.
In the present situation, the springs opposing the mixing forces are accordingly different. The spring accommodated in the blade which does not perform the function of stopping the motor is weaker than the blade by which the motor is stopped. In this way, it is possible to be certain that the two blades are withdrawn at the required moment.
However, this extremely simple system can satisfactorily be used only in appliances making sorbets with a single flavour. For appliances making sorbets with two flavours, comprising a circular partition according to application Ser. No. 292,121 filed Sept. 25, 1972 and having a blade in each of the compartments thus formed, some uncertainty exists in regard to the degree of withdrawal of the blades because the freezing times differ according to the flavours and to the nature of the preparation.
FIG. 7 is a side view of the same device taken inside the compartment of the appliance, whilst FIG. 8 is a perspective view of the blade 127 provided with the projection 129. In a second embodiment (see FIG. 13), rotation of the arms 131 and blades 127 is blocked by means of a stop similar to the lever 126 but fixed to the gear motor housing. When the blade 127 is withdrawn, the projection 129 immobilises the arm by engagement with the above-mentioned stop. The motor, immobilised as a result, but still under voltage, heats up. A temperature limiter, included in the magnetic circuit of the motor and in series with the motor supply feed circuit, breaks the motor supply circuit. The stop is preferably mounted resiliently to prevent sudden stoppage. The motor may be started up again by resetting the temperature limiter by a suitable push-button device.
FIG. 9 illustrates the use of a reversing type of switch in the motor supply circuit. When the switch is at 200, the circuit to the motor is cut off, and the indicating device is activated.
FIG. 12 illustrates the switching mechanism for breaking the motor supply circuit responsive to actuation of lever 126 by projection 129. Specifically, cam 22, mounted within the housing (shown interior to an below cover 6 of the housing) is connected to lever 126 by spindle 132. When projection 129 (not shown in the figure) causes lever 126 to rotate to its alternate position 130, cam 22 is similarly rotated and actuates armature 26 of switch 28 controlling the motor supply circuit.
FIG. 13 illustrates the alternative embodiment, showing a stop 128 for contacting projection 129. Upon the stoppage of arm 131 by stop 128, the driving motor is immobilized, but is still provided current. Accordingly, the motor heats up, and a thermal switch 130, sensitive to the increased motor temperature, contorls the motor supply circuit, thereby breaking the circuit and disconnecting the motor. The stop may be elastically mounted. | An appliance for making sorbet or ice cream and including means for preventing the mixer blades from becoming locked in the ice by effecting the progressive withdrawal of these blades from a vertical orientation towards a horizontal orientation under the action of the opposing torque applied to the blades by the hardening of the ice during freezing, and an automatic stopping device which is mechanically operable as a result of the withdrawal of the blades or a part associated therewith to break the motor supply circuit when the blades reach their withdrawn position. | 19,872 |
RELATED APPLICATIONS
The present application claims priority under 35 U.S.C. §119 to U.S. Provisional Application No. 61/497,313, filed Jun. 15, 2011.
FIELD OF THE INVENTION
The present invention relates to heart valve surgery and more particularly to devices and methods for anchoring prostheses inside or near the heart.
BACKGROUND OF THE INVENTION
Many different surgical procedures benefit from anchors used to secure prostheses to tissue at various locations in the body. One area where this is true is in the field of heart valve repair. Heart valve repair is a procedure to fix or replace a damaged heart valve or tissue around the heart valve.
There are four main heart valves in the heart: the aortic, mitral, pulmonary, and tricuspid. The aortic valve is located at the outflow end of the left ventricle and empties into the aorta. The mitral valve is located at the outflow end of the left atrium and empties into the left ventricle. The pulmonary valve is located at the outflow end of the right ventricle and empties into the pulmonary artery. The tricuspid valve is located at the outflow end of the right atrium and empties in the right ventricle.
Stenosis is a common affliction that can negatively affect the function of a heart valve. Stenosis is when a heart valve becomes harder due to calcification that decreases the heart valve effectiveness. A typical treatment for a stenosed heart valve is heart valve replacement also known as valvuloplasty. One way a heart can be replaced is by cutting out the diseased valve and suturing a prosthetic valve in its place.
Another problem that can negatively affect the function of a heart valve is deformation of the heart valve annulus. A deformed heart valve annulus can reduce leaflet coaptation causing leakage, also known as regurgitation. Typically, clinicians use an annuloplasty ring to treat a deformed heart valve annulus. The annuloplasty ring can be sutured in place such that the annulus takes the shape of the annuloplasty ring. Both valvuloplasty and annuloplasty conventionally involve tying suture knots in order to secure a prosthesis in or near the heart.
Clinicians can perform traditional open heart surgery to repair a defective valve or can utilize a minimally invasive or transcatheter technique. Traditional open heart surgery involves administering anesthesia and putting a patient on cardio-pulmonary bypass. A clinician cuts open the chest to access the heart. Then the clinician cuts out the defective native valve leaflets leaving the annulus in place. The clinician places sutures in the annulus or other tissue near the heart valve. The free ends of the sutures are threaded through a sewing cuff on the heart valve prosthesis. The clinician “parachutes” the heart valve prosthesis into place by sliding it down the sutures until it rests on the annulus. To secure the prosthesis a clinician can tie each suture free end to another free end to prevent the sutures from backing out. This prevents the prosthesis from migrating away from the annulus. Normally, this process entails about 4-8 knots on each of the 12-20 sutures used per implant. Thus, the number of suture knots can be quite large.
What was just described was a procedure for implanting a prosthetic valve. To implant an annuloplasty ring a similar procedure is followed except that the native valve is typically left in place. The annuloplasty ring is sutured in place to reshape the valve annulus and improve native heart valve leaflet coaptation.
Minimally invasive and transcatheter techniques may also be used. Normally a collapsible surgical prosthesis is used with minimally invasive or transcatheter procedures. To implant the prosthesis using a minimally invasive technique, a clinician makes a small incision in the chest and uses special tools to pass the heart valve repair prosthesis through the incision. An example of a minimally invasive heart valve repair procedure is transapical aortic valve replacement. In a transcatheter technique, a clinician passes a catheter through a patient's vasculature to the desired location in the heart. Once there, the clinician deploys the surgical prosthesis and uses tools which can be passed through a patient's vasculature to secure the prosthesis in place. An example of a transcatheter heart valve repair procedure is transfemoral aortic valve replacement.
Within the prior art there exists a need for devices and methods that reduce the time required to secure a heart valve repair prosthesis in place. Currently a clinician must tie a multitude of knots in sutures which can take a great deal of time. This lengthens the time a patient is on cardio-pulmonary bypass and under anesthesia. Thus, any reduction in surgical time that a patient undergoes would be beneficial.
Additionally, there exists a need to make it easier to secure a heart valve repair prosthesis in place. Currently, a clinician must work in the limited space near the heart to tie knots in sutures. This is a cumbersome process that benefits from a clinician of great dexterity and patience. In a minimally invasive or transcatheter surgery, the clinician must use tools that can be passed through a small incision, thus making the tying of knots even more difficult. Therefore, any improvement in ease of use would be beneficial.
Further still, there exists a need to increase the robustness of the attachment of a heart valve repair prosthesis. In order for the prosthesis to achieve maximum effectiveness, it must be coupled to the tissue around the heart valve and form a tight seal. For example, in the case of a prosthetic heart valve, the sewing ring must seal against the heart valve annulus such that no blood leaks around the outside of the sewing ring. Any leaks would decrease the effectiveness of the prosthetic valve. Thus, an increase in the robustness of the bond formed between the heart valve repair prosthesis and the annulus would be beneficial.
SUMMARY OF THE INVENTION
The present invention provides new apparatus and methods for securing heart valve repair or replacement prostheses in or near the heart. The apparatus and methods are particularly well suited for traditional surgery or minimally invasive surgery. The invention reduces the number of surgical knots thus reducing surgical time and exposure. The invention improves the ease of implantation because it reduces or eliminates the surgical knots a clinician would normally tie in the limited space in and around the heart. Additionally, embodiments of the invention provide a more robust attachment for heart valve repair or replacement prostheses.
In accordance with one exemplary embodiment, a knotless heart valve prosthesis includes a lower segmented ring having an implanted size that can be collapsed to a smaller size for passage through an annulus. An upper securing ring connects to a prosthetic heart valve. A plurality of elongated flexible connection members extend upward from the segmented ring through mating apertures formed in the securing ring so as to couple the two rings together and clamp a valve annulus therebetween, thereby securing the heart valve to the valve annulus without sutures. The prosthesis may further have a plurality of protruding members that extend generally radially outward from the lower segmented ring that help anchor the heart valve to the valve annulus. Desirably, the lower segmented ring includes rows of teeth on an upper surface thereof that help anchor the heart valve to the valve annulus.
In a preferred embodiment, the lower segmented ring comprises three separate segments arranged in a circumferential array with gaps therebetween. Further, flexible links may join the three separate segments of the lower segmented ring. The connection members may comprise elongate strips with ratcheting teeth, and the apertures in the securing ring include ratchet pawls that engage the ratchet teeth on the connection members. Alternatively, the connection members comprise sutures, and the mating apertures in the securing ring comprise suture clamps. Preferably, the securing ring has an undulating contour with three axially elevated peaks intermediate three axial valleys, and wherein the lower segmented ring generally mimics the undulating contour of the securing ring and has three segments that correspond to the three axially valleys of the securing ring, and wherein there are at least two connection members extending upward from each segment of the lower segmented ring.
In accordance with another preferred embodiment, a knotless aortic heart valve prosthesis comprises a prosthetic heart valve having a securing ring extending outward from an inflow end thereof. The securing ring has an undulating contour with three outwardly projecting lobes intermediate three radially inward relief areas, the relief areas defining axial peaks and the lobes defining axial valleys, and the securing ring having apertures therethrough. A lower segmented ring smaller in circumference than the securing ring and having an undulating shape mimics the shape of the securing ring. Finally, a plurality of elongated flexible connection members extend upward from the segmented ring through the apertures formed in the securing ring so as to couple the two rings together and clamp a valve annulus therebetween, thereby securing the heart valve to the valve annulus without sutures. The prosthesis may further have a plurality of protruding members that extend generally radially outward from the lower segmented ring that help anchor the heart valve to the valve annulus. Desirably, the lower segmented ring includes rows of teeth on an upper surface thereof that help anchor the heart valve to the valve annulus.
In another preferred embodiment, the lower segmented ring comprises three separate segments arranged in a circumferential array with gaps therebetween. Further, flexible links may join the three separate segments of the lower segmented ring. The connection members may comprise elongate strips with ratcheting teeth, and the apertures in the securing ring include ratchet pawls that engage the ratchet teeth on the connection members. Alternatively, the connection members comprise sutures, and the mating apertures in the securing ring comprise suture clamps.
A method for implanting an aortic heart valve prosthesis comprises the steps of
a. inserting a segmented lower ring downward through an aortic annulus from the atrial to ventricular side, the lower ring having three segments that may be arranged together below the aortic annulus in a non-circular ring shape, each segment having at least one connection member secure thereto and projecting upward through the aortic annulus to the atrial side thereof; b. advancing a heart valve and securing ring toward the aortic annulus, the securing ring extending outward from an inflow end of the heart valve and having apertures therethrough; c. inserting each of the connection members extending upward from the lower ring through an aperture in the securing ring around the heart valve; d. advancing the heart valve and securing ring into contact with the aortic annulus; e. applying tension to the connection members so as to clamp the aortic annulus between the lower ring and the securing ring; f. securing the position of each connection member within its respective aperture; and g. trimming each connection member closely above its respective aperture.
Preferably, the three segments of the lower ring are joined by flexible links. Additionally, the securing ring may have an undulating contour with axial peaks intermediate axial valleys, and a non-circular periphery with outwardly projecting lobes coinciding with the axial valleys and radially inward relief areas coinciding with the axial peaks. Furthermore, the three segments of the segmented lower ring preferably coincide with the outwardly projecting lobes of the securing ring, and have gaps therebetween coinciding with the radially inward relief areas of the securing ring. The connection members may comprise elongate strips with ratcheting teeth, and the apertures in the securing ring include ratchet pawls that engage the ratchet teeth on the connection members, and wherein the step of securing the position of each connection member within its respective aperture occurs by applying tension to the connection member.
In another embodiment, the invention is an implantable prosthesis anchor comprising: an upper support section; a lower support section; and at least one tension member; wherein the tension member is configured to apply forces to the upper support section and the lower support section such that the upper support section engages one surface of a heart annulus while the lower support section engages an opposing surface of the heart annulus.
In one instance, the tension member is a length of suture material that passes through the upper support section and the lower support section in an alternating fashion forming a zigzag pattern around the periphery of the implantable prosthesis anchor. In another instance, each tension member comprises a strip with ratchet teeth, the upper support section further comprises at least one tension member receiver, each tension member receiver comprises a pawl, and wherein the upper support section is configured to ratchet towards the lower support section by way of the pawl on each tension member receiver engaging the ratchet teeth of each tension member. In yet another instance, no tension member passes through native tissue. In yet another instance, the upper support section further comprises barbs adapted to contact annulus tissue that aid in clamping a portion of the heart annulus and the lower support section further comprises barbs adapted to contact annulus tissue that aid in clamping a portion of the heart annulus.
In one instance, the upper support section and the lower support section are made of a flexible material to allow either the upper support section or the lower support section to be elastically deformed and passed through the annulus of the heart. In another instance, the upper support section and the lower support section are collapsible down to a size suitable for trans-catheter delivery. In yet another instance, the upper support section and the lower support section are of a scalloped shape to better fit in a heart valve annulus. In yet another instance, the invention can further comprise a prosthetic heart valve attached to the upper support section. In yet another instance, the invention can further comprise a tubular cloth portion comprising a first end and a second end, wherein the cloth portion is attached at the first end to the upper support section and attached at a second end to the lower support section.
In another embodiment, the invention can be an implantable prosthesis anchor comprising: a lower support section with a plurality of engaging hooks extending off of an upper portion of the lower support section; an upper support section with a plurality of receiving holes; and a length of suture material passed through native tissue at least once and passed through the lower support section at least once; wherein the engaging hooks of the lower support section are configured to mate into the receiving holes of the lower support section and the length of suture material is configured to become clamped to the anchor when the upper support section is mated to the lower support section.
In one instance, the upper support section and the lower support section are collapsible down to a size suitable for trans-catheter delivery. In another instance, the invention can further comprise a plurality of locking members disposed within the prosthesis anchor to aid in clamping the length of suture material. In yet another instance, the locking members consist of pairs of flexible tubular members located in the suture holes that are configured to clamp the suture material when the upper support section mates into the lower support section. In yet another instance, the locking members consist of hinged flaps located in the suture holes that are configured to clamp the suture material when the upper support section mates into the lower support section. In yet another instance, the upper support section and the lower support section are configured to form an annuloplasty ring when mated together.
In yet another embodiment, the invention can be a method for implanting a prosthesis comprising the steps of: providing a prosthesis anchor comprising an upper support section, a lower support section, and a tension member; deploying the upper support section in the heart of a human patient; deploying the lower support section adjacent to the upper support section; applying a force to the tension member to draw the upper support section and lower support section towards each other causing native tissue to become clamped between the upper support section and the lower support section; and securing the tension member to fix the prosthesis anchor in place within the heart.
In one instance, the tension members comprise strips with ratchet teeth. In another instance, the invention can further comprise the step of attaching the lower support section to native heart tissue with at least one length of suture material. In yet another instance, the invention can further comprise the step of securing a heart valve to the upper support section.
In accordance with a further aspect of the application, an implantable prosthesis anchor and heart valve combination comprises an annulus anchor having a resilient upper ring and a resilient lower ring, and an annular connection portion therebetween, the annular connection portion having a smaller diameter to match a target annulus. The anchor is deployable to the target annulus so that the upper and lower rings flank the target annulus and the connection portion spans the target annulus. A prosthetic heart valve has an annular mating portion along its outside surface that clips onto the upper and lower rings of the annulus anchor. The annular connection portion preferably comprises one or more sutures that thread through sleeves located at spaced apart locations on the upper and lower rings, wherein the one or more sutures may be tensioned to pull the upper and lower rings toward each other and clamp against the target annulus. In one embodiment, the annular connection portion comprises a cloth surface with no gaps that covers the target annulus. In another embodiment, the annular connection portion comprises one or more resilient spring members biased to pull the upper and lower rings toward each other and clamp against the target annulus.
A further aspect of the present application includes an implantable prosthesis anchor that has a first support ring with a plurality of protruding members extending off of a facing surface. A second support ring having a plurality of receptacles in a facing surface that is sized to receive the protruding members on the first support ring. The facing surfaces of the first and second support rings may be brought together so that the protruding members of the first support ring are received into the receptacles of the second support ring. A plurality of lengths of suture material pass through native tissue at least once and each pass through one of the receptacles of the second support section. When the first support section mates to the second support section the protruding members each clamp a length of suture against the receptacle. In one version, implantable prosthesis anchor includes a prosthetic heart valve attached to one of the first and second support rings. Alternatively, one of the first and second support rings comprises an annuloplasty ring. In alternate embodiments, the protruding members and receptacles each comprise a cleat-style suture clamp or a button-style suture clamp.
Another implantable prosthesis anchor disclosed herein includes a first support ring with a plurality of receptacles in a facing surface, and a second support ring with a plurality of receptacles in a facing surface, wherein the facing surfaces of the first and second support rings may be brought together so that corresponding receptacles align. The prosthesis anchor further has a plurality of clips protruding from the facing surface of one of the first and second support rings and a plurality of mating opening in the other of the first and second support rings, the clips and openings holding the first and second support rings together. Furthermore, a plurality of compressible members are sized to fit between the aligned receptacles in the first and second support rings, the corresponding receptacles having a mutual size so as to compress the compressible members. A plurality of lengths of suture material passed through native tissue at least once and each pass through a pair of corresponding receptacles, wherein the compressible members each clamp a length of suture when the first support section mates to the second support section and engages the mating clips and openings. The compressible members desirably comprise elements separate from either of the first and second support rings. For instance, the compressible members comprise springs, or flaps extending from one of the first and second support rings.
Another implantable prosthesis anchor and heart valve combination disclosed herein includes a first support ring with a plurality of protruding members extending off of a facing surface, and a second support ring with a plurality of protruding members extending off of a facing surface. A prosthetic heart valve connects to the second support ring, and a plurality of elongated ratchet members extend from the first support ring through mating apertures formed in the second support ring so as to couple the two rings together.
An exemplary method for implanting a prosthesis disclosed herein comprises the steps of:
a. providing a prosthetic heart valve having a soft flange; b. providing a plurality of elongated hook members distributed around the soft flange, the hook members each having a curved distal end with a sharp tip; c. advancing the assembly of the heart valve and hook members into an implant position with the soft flange on the outflow side of a heart valve annulus and the curved distal ends on the inflow side; d. pulling the hook members proximally through the soft flange so that the curved distal ends engage an underside of the annulus and the sharp tips pierce the annulus tissue to embed the hook members therein; and e. securing the soft flange to the hook members.
Disclosed herein are devices and methods for quickly, easily, and conveniently affixing a heart valve repair prosthesis to tissue within or near the heart. The invention advantageously reduces or eliminates the need to manually tie suture knots, a procedure that often entails the difficult process of manipulating sutures in the tight space around the surgery site. The invention can provide these advantages in any procedure where surgical knots are needed, especially where access may be limited, such as for example, in a minimally invasive or transcatheter procedure.
Disclosed herein are devices and methods that limit the physical exposure and time required in surgical knot tying. The invention advantageously allows for enhanced securing to tissue with minimal surgical exposure, implantation time and improved reliability. This can reduce the cost of surgery and increase the efficient use of clinicians' time. Additionally, the knotless embodiments of the present invention eliminate suture tails that can cause abrasion in the surrounding tissue. The present invention can lead to shortened hospital stays and a lower rate of repeat surgical interventions to correct complications.
A further understanding of the nature and advantages of the present invention are set forth in the following description and claims, particularly when considered in conjunction with the accompanying drawings in which like parts bear like reference numerals.
BRIEF DESCRIPTION OF THE DRAWINGS
The invention will now be explained and other advantages and features will appear with reference to the accompanying schematic drawings wherein:
FIG. 1 is a drawing of a prior art heart valve implanted in the aortic valve position of a human heart.
FIG. 2 is an enlarged view of the prior art heart valve of FIG. 1 .
FIG. 3 is a drawing of an intermediate step of the implantation procedure of the prior art heart valve shown in FIG. 1 .
FIG. 4 is a drawing of a dual-ring annulus anchoring device with a filamentary connection portion according to one embodiment of the present invention.
FIG. 5 is a drawing of an alternative dual-ring annulus anchoring device with a cloth connection portion according to another embodiment of the present invention.
FIG. 6 is a drawing of the anchoring device of FIG. 4 implanted near an annulus of the human heart.
FIG. 7 is a drawing of a prosthetic heart valve installed over the anchoring device shown in FIG. 4 .
FIG. 8 is a drawing of an alternative dual-ring annulus anchoring device according to one embodiment of the present invention.
FIG. 9 is a drawing of the anchoring device shown in FIG. 8 implanted in an annulus of the human heart
FIG. 10 is a drawing of a dual-ring annulus anchoring device having cleat-style attachment clips according to another embodiment of the present invention.
FIG. 11 is a top view of the anchoring device of FIG. 10 .
FIGS. 12A-B are enlarged views of the attachment portion of the anchoring device of FIG. 10 .
FIGS. 13A-B are section views of an alternate button-style attachment portion of an anchoring device according to an alternative embodiment of the present invention.
FIGS. 14A-D are multiple views of another alternative compressive attachment portion of an anchoring device according to an alternative embodiment of the present invention.
FIGS. 15A-D are multiple views of yet another alternative compressive attachment portion of an anchoring device according to an alternative embodiment of the present invention.
FIGS. 16A-D are multiple views of yet another alternative anchoring device according to an alternative embodiment of the present invention.
FIG. 17 is a drawing of an anchoring device according to another embodiment of the present invention having mating rings with teeth.
FIG. 18 is a drawing of the device in FIG. 17 after implantation.
FIG. 19 is a drawing of an alternative device according to another embodiment of the present invention having mating rings with teeth and a ratchet connector.
FIGS. 20A-D are multiple views of an annuloplasty device according to yet another embodiment of the present invention.
FIGS. 21 and 22 schematically show an alternative system for attaching a prosthetic heart valve to an annulus without the use of sutures using a series of hooks ulled through the valve to engage the annulus.
FIGS. 23-26 illustrate a further alternative knotless heart valve anchoring system that uses shaped flanges connected by cable ties.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
Various embodiments of the present invention comprise heart valve repair or replacement prosthesis anchors that are well-suited for improving ease of implantation, reducing surgical exposure, and improving prosthesis attachment. It should be appreciated that the principles and aspects of the embodiments disclosed and discussed are also applicable to other devices having different structures and functionalities. For example, certain structures and methods disclosed may be applicable to other types of surgical procedures, namely annuloplasty ring implant for heart valve repair. Furthermore, certain embodiments may also be used in conjunction with other medical devices or other procedures not explicitly disclosed. However, the manner of adapting the embodiments described to various other devices and functionalities will become apparent to those of skill in the art in view of the description that follows.
A schematic drawing of a prior art prosthetic heart valve implanted in the heart 1 is shown in FIG. 1 . The left atrium 2 and the left ventricle 3 are shown separated by the mitral valve 6 . The aortic valve 7 is at the outflow end of the left ventricle 3 . On the opposite side of the heart, the right atrium 5 and the right ventricle 4 are shown separated by the tricuspid valve 8 . The pulmonary valve 9 is at the outflow end of the right ventricle 4 . A prior art prosthetic heart valve 10 is shown implanted in the aortic valve 7 position.
An enlarged view of the aortic valve 7 is shown in FIG. 2 . The aortic annulus 11 , a fibrous ring extending inward, can be seen with the prior art prosthetic heart valve 10 sutured in place above it. A step of the procedure to implant the prior art prosthetic heart valve 10 is shown in FIG. 3 . During implantation, a clinician passes sutures 12 through the annulus 11 of the aortic valve 7 . While the heart valve is held on a fixture or holder 14 , a clinician can thread the suture 12 free ends through a sewing ring 13 on the prosthetic heart valve 10 . Thus, both free ends of each suture 12 extend out of adjacent portions of the sewing ring 13 . The valve 10 is then ‘parachuted’ down in the direction shown. The clinician moves the valve 10 down the array of sutures 12 and pulls the sutures 12 tight so that a seal is formed between the sewing ring 13 and the aortic annulus 11 . Next, the clinician ties each suture 12 free end to another free end securing the prosthetic heart valve 10 in place. Normally this process entails about 4-8 knots per suture and 12-20 sutures are used per implant. The ends of each suture 12 are clipped leaving a suture tail comprised of the suture used to create each knot.
Turning now to the present invention, certain efficiencies which reduce the procedure time will be explained. In the description that follows, the aortic annulus is used as the implantation site to illustrate the embodiments. The teachings of this invention can also be applied to the mitral, pulmonary, and tricuspid valves; or indeed, other valves in the body, including venous valves. Where possible, variations of each embodiment are discussed serially with common numbers used for common structure. Where structure is similar but design varies from device to device, each new instance of structure is given a prime symbol to denote its difference from a prior version. For, example 22 , 22 ′, and 22 ″ refer to three different designs for a similar part of several embodiments.
An anchoring device 20 according to one embodiment of the present invention is shown in FIG. 4 . The device comprises an upper ring 21 , a lower ring 22 and a resilient connection portion 23 that tends to bring the upper and lower rings together. In a preferred embodiment the upper ring 21 and lower ring 22 are made out of a flexible biocompatible metal such as stainless steel. The connection portion 23 can consist of a flexible elongate material such as one or more lengths of metal thread or wire. In a preferred embodiment, the connection portion 23 comprises suture material made of a synthetic polymeric fiber. In one embodiment, a single length of suture material of the connection portion 23 passes in and out of sleeves 24 located at spaced apart locations on the upper and lower rings. Alternatively, the connection portion 23 can comprise one or more stiff members such as rods to bring the upper and lower ring together and clamp onto tissue. In general, the connection portion 23 either acts like a plurality of tension springs that bias the upper and lower rings toward one another, or if it is a length of suture material it can be cinched to pull the rings together.
An alternative device according to one embodiment of the present invention is shown in FIG. 5 . The device 20 ′ is similar to the device 20 in that it has an upper ring 21 and a lower ring 22 . But the alternative device has a connection portion 23 ′ that is comprised of a section of cloth. The cloth preferably is a synthetic biocompatible type cloth such as polytetrafluoroethylene (e.g. Teflon PTFE) or polyester (e.g. Dacron), although other synthetic or natural cloths may be used.
Turning back to the anchor 20 shown in FIG. 4 , preferably the anchor 20 is flexible such that it can be deformed and passed through an annulus of a heart valve. This can be accomplished by a clinician in a traditional open heart surgery or via tools used in a minimally invasive or transcatheter procedure. The anchor 20 is shown in a deployed state in FIG. 6 . The resilient upper ring 21 is located above the annulus 11 , while the resilient lower ring 22 is located below the annulus 11 . The anchor 20 is deployable to the target annulus so that the upper and lower rings 21 , 22 expand to flank the target annulus and the connection portion 23 which has a smaller diameter spans the target annulus. The connection portion 23 pulls the upper ring 21 towards the lower ring 22 . In a preferred embodiment, the connection portion 23 is a length of suture material that can be tensioned by pulling on a free exposed end. This allows a clinician to tighten the anchor 20 onto the annulus 11 and clamp tissue in between the upper ring 21 and the lower ring 22 . In addition, the open areas between the suture material in the connection portion 23 will allow tissue to protrude through and become trapped in between. The protruding tissue aids in securing the device and promotes tissue ingrowth. The suture can be secured by crimping the sleeve 24 adjacent the free end of the suture. Alternatively, the suture free end may be tied to another free end or to another location on the anchor 20 .
With respect to the alternative device in FIG. 5 , the connection portion 23 ′ is comprised of a section of cloth and thus does not bias the rings 21 , 22 together. However, the diameter of the rings is greater than that of the valve annulus and thus one of the two rings can be compressed to pass through the annulus whereupon the two rings expand outward on either side to flank the annulus (as in FIG. 6 ). The cloth connection portion 23 ′ circumscribes and covers the native annulus, thus evening out irregularities and containing loose pieces of calcification and the like.
A heart valve 26 is shown deployed over the anchor 20 in FIG. 7 . The heart valve 26 has an annular mating portion 27 along its outside surface that clips onto the upper and lower rings 21 and 22 of the anchor 20 . The mating portion 27 of the heart valve also applies pressure to the annulus 11 to ensure a robust and leak free fit.
An alternative anchor 20 ″ is shown in FIG. 8 . This device is similar to the anchor 20 shown in FIG. 4 except that the upper ring 21 ″ and lower ring 22 ″ are flat rings with a plurality of holes. Preferably, one or both of the rings 21 ″, 22 ″ are made of a flexible polymeric material so that a clinician may bend one of the rings and pass it through the native annulus during implantation. Alternatively, the upper ring 21 ″ and lower ring 22 ″ may be made of a rigid material, and the anchor can be tilted and passed through the annulus sideways, using the natural elasticity of the annulus to accommodate insertion. A suture, 23 loops through the holes in ring in an alternating fashion to join the upper ring 21 ″ and lower ring 22 ″. The anchor 20 ″ is shown in an implanted state in FIG. 9 . The design of the anchor 20 ″ allows it to be clamped onto the annulus like the device 20 in FIG. 4 . A clinician can pull on a free end of the suture 23 to draw the upper ring 21 ″ toward the lower ring 22 ″. The suture can then be secured with a single knot to fix the anchor in place.
A device according to an alternative embodiment of the present invention is shown in FIG. 10 . This device is a two-part anchor for a heart valve repair prosthesis. The bottom portion comprises a sewing ring 30 and the top portion comprises a locking ring 29 . Preferably, the sewing ring 30 and the locking ring 29 are made of a semi-rigid polymeric material. A heart valve 31 may be attached to the locking ring 29 as shown in FIG. 10 . Alternatively, the device may be used as an annuloplasty ring without a heart valve attached to the locking ring 29 . The sewing ring 30 comprises cleat-style clips 32 that mate into holes 33 on the locking ring 29 . FIG. 11 shows a top view of the locking ring 29 and holes 33 .
A close-up view of the clips 32 on the sewing ring 30 in an unlocked state is shown in FIG. 12A . To implant the anchor, a clinician places at least one suture 34 , and typically an array of sutures, through the tissue of the annulus 11 . A clinician can place the free ends of each suture through the hole between the clips 32 on the sewing ring 30 . Preferably, the two free ends of each suture will be placed through adjacent clips 32 on the sewing ring 30 . Once all sutures 34 have been placed, the clinician presses the locking ring 29 down on the sewing ring 30 transforming the device into a locked state as shown in FIG. 12B . The holes 33 in the locking ring 29 are tapered to force each of the two arms of the clips 32 on the sewing ring 30 towards each other to secure the suture 34 in between. This prevents each suture 34 from backing out and secures the device to the annulus 11 . Also, the inner facing surfaces of each clip 32 finger are desirably roughened, grooved, have teeth or otherwise have a characteristic that enhances their grip onto the sutures. The illustrated embodiment acts like a cam cleat on a sailboat which tightens on the line in tension.
An alternative button-style suture fastening design is show in FIGS. 13A-B . In this design, the sewing ring 30 ′ has holes 33 ′ that mate with buttons or tabs 32 ′ on the locking ring 29 ′. The device is shown in an unlocked state in FIG. 13A . Each suture 34 free end that has been pre-installed at the annulus passes through a hole 33 ′ on the sewing ring 30 ′ and then through a hole in the locking ring 29 ′ that is near an associated tab 32 ′. When a clinician pushes the locking ring 29 ′ down onto the sewing ring 30 ′ the device transforms to a locked state as shown in FIG. 13B . In the locked state, the suture 34 free end is secured between the side of the tab 32 ′ and the hole 33 ′. This prevents each suture 34 from backing out and secures the device to the annulus 11 .
Another alternative suture fastening design is shown in FIGS. 14A-D . A device according to this design further comprises compressible suture gripping elements 35 disposed within a cavity created by holes in the locking ring 29 ″ and the sewing ring 30 ″. Preferably, the suture gripping elements are a pair of flexible generally tubular elastomeric (e.g., silicone) members. The device is shown in an unlocked state in FIGS. 14A-B . Each suture 34 free end that has been pre-installed at the annulus passes between the suture gripping elements 35 . When a clinician pushes the locking ring 29 ″ down on the sewing ring 30 ″ the device transforms into a locked state as shown in FIGS. 14C-D , with a plurality of clips (not numbered) protruding from the facing surface of the sewing ring 30 ″ extending into mating openings in the locking ring 29 ″ to hold the two rings together. The tapered walls of the cavity formed between the locking ring 29 ″ and the sewing ring 30 ″ force the suture gripping elements 35 towards each other gripping each suture 34 free end. This prevents each suture 34 from backing out and secures the device to the annulus 11 .
Yet another alternative device fastening design is shown in FIGS. 15A-D . A device according to this design further comprises resilient hinged flaps 36 attached to the locking ring 29 ″′ and extending down through holes in the sewing ring 30 ″′. Preferably, the hinged flaps 36 are made from a flexible polymeric material. The device is shown in an unlocked state in FIGS. 15A-B . Each suture 34 free end that has been pre-installed at the annulus passes between the hinged flaps 36 . When a clinician pushes the locking ring 29 ″′ down on the sewing ring 30 ″′ the hinged flaps 36 are compressed inward to retain the sutures 34 and transform the device into a locked state as shown in FIGS. 15C-D . Again, clips and mating openings (not numbered) hold the two rings together. The walls of each hole in the sewing ring 30 ′″ force the hinged flaps 36 towards each other and grip the each suture 34 free end. This prevents each suture 34 from backing out and secures the device to the annulus 11 .
Yet another alternative suture fastening design is shown in FIGS. 16A-D . A device according to this design further comprises spring clips 37 disposed within a cavity created by a hole in the locking ring 29 ″″. Preferably, spring clips 37 are made of a flexible metal material such as stainless steel. The device is shown in an unlocked state in FIGS. 16A-B . Each spring clip 37 is wedged into a hole in the locking ring 29 ″″ in a bent position so that a clinician can pass a suture free end that has been pre-installed at the annulus between the two bottom portions of the spring clip and out through a hole in the top of each spring clip 37 . When the locking ring 29 ″″ is pushed down on the sewing ring 30 ″″, the device transforms into a locked state as shown in FIGS. 16C-D . In the locked state, each spring clip 37 snaps into a straightened position such that the two bottom portions of the spring clip 37 meet and are forced against each other. Each suture 34 free end is clamped between the two bottom portions of the spring clip 29 ″″. This prevents each suture 34 from backing out and secures the device to the annulus 11 .
A device according to yet another embodiment is shown in FIG. 17 . This device comprises an upper ring 38 , a lower ring 39 and connection members 42 . In a preferred embodiment, the upper and lower rings are made of a flexible material such as stainless steel. Preferably, the rings are generally circular and have a generally flat bottom profile when viewed from the side. There are teeth 41 on the upper ring 38 and lower ring 39 . A prosthetic heart valve 31 is shown attached to the upper ring 38 . In a preferred embodiment, the connection members 42 are lengths of suture material made of a synthetic polymeric fiber.
To implant the device, a clinician can deform one of the rings and pass it through the annulus of a heart valve. Alternatively, the upper ring 38 or lower ring 39 may be made of a rigid material, and the anchor can be tilted and passed through the annulus sideways, using the natural elasticity of the annulus to facilitate implantation. After this step, the upper ring 38 is on one side of the annulus and the lower ring 39 is on the other side of the annulus. A clinician can pull the connection members 42 to draw the upper ring 38 and the lower ring 39 towards each other to clamp the annulus 11 in between as shown in FIG. 18 . Once in place, the connection members 42 can be crimped, snapped, tied, or locked to anchor the device. The teeth 41 help to secure the device in place and prevent leakage around the valve or migration of the valve. Although the teeth 41 are shown axially oriented, they may also be angled slightly outward to more aggressively anchor into the annulus tissue.
A device similar to that shown in FIG. 17 but with alternative connection members 42 ′ is shown in FIG. 19 . The alternative connection members 42 ′ comprise elongate strips with ratcheting teeth. The connection members 42 ′ are attached to the bottom ring 39 ′. On the upper ring 38 ′ the connection members 42 ′ pass through receiver housings 48 with ratchet pawls that engage the ratchet teeth, much like cable ties. The ratcheting connection members 42 ′ allow the upper ring 38 ′ to be moved towards the lower ring 39 ′ to clamp on to a heart valve annulus and secure the device in place. The ratcheting connection members 42 ′, while allowing the upper and lower rings to be brought together, resist motion in the opposite direction.
Variations to the devices shown in FIGS. 17 and 18 include using a different type of aggressive or semi-aggressive member or texture on the device to help secure it in place instead of the teeth 41 on the upper ring 38 and lower ring 39 . Other variations include using different types of connection members such as wires, or springs. Additionally, the upper and lower rings 38 39 may be made in a shape to better fit a native heart valve annulus. The aortic valve, for example, is made up of three curved sections along which each native leaflet attaches. Instead of being generally circular with a flat bottom profile, the rings could comprise a plurality of curved projections. The curved projections can extend outward from the center of the ring and downward from the bottom of the ring to form a scalloped shape. Thus, each curved projection on the upper and lower ring 38 39 would match up to a corresponding curved portion on a native aortic valve annulus.
A device according to yet another embodiment is shown in FIG. 20 . This device is an annuloplasty ring for heart valve repair. The device can be implanted in a native heart valve annulus to reshape the annulus. It comprises an upper ring 43 and a lower ring 44 that snap together to form an annuloplasty ring. The device as shown is shaped to match the native mitral valve annulus, although other shapes may be used depending on the treatment site. The upper ring has a plurality of openings 46 through the body of the ring. Preferably, the openings 46 are slot shaped. The lower ring 44 has plurality of raised portions with grooved or toothed channels 47 that can be inserted into the openings 46 on the upper ring 43 .
The device is held in place by a plurality of sutures such as the suture 34 shown in FIG. 20 . To implant the device, a clinician passes each suture 34 that has been pre-installed at the annulus through a grooved channel 47 on the lower ring 44 . The clinician may then pass the suture 34 through tissue near the implantation site and back out through the grooved channel 47 . The grooved channels 47 allow a clinician the flexibility in the placement of each suture 34 . Once each suture 34 has been placed, the top ring 43 can be snapped onto the bottom ring 44 . The slots in the top ring are sized such that when the top ring 43 is snapped onto the bottom ring 44 the grooved channels 47 are forced closed. Because the free ends of each suture are placed within a grooved channel 47 , the sutures are secured when the grooved channels 47 are forced closed.
With reference to FIGS. 21 and 22 , a prosthetic heart valve 50 is shown being secured to a heart valve annulus 52 , such as an aortic annulus, without the use of sutures. The heart valve includes a stent structure having commissures 54 supporting flexible leaflets 56 that provide the occluding surfaces of the valve. A sewing ring or other such soft flange 58 surrounds an inflow end of the stent structure and is sized and shaped to conform to the annulus 52 .
A series of elongated hook members 60 passes through the soft flange 58 either through the flange material or through holes preformed therein. Each hook member 60 has a curved distal end 62 terminating in a sharp tip 64 . The curved distal ends 62 may be generally circular in curvature, J-shaped, U-shaped, and other shapes. In each embodiment, the sharp tip 64 projects back in the direction of the elongated body of the hook member 60 or may be angled slightly outwardly. In use, the hook members 60 are rotated to that the sharp tips 64 are oriented radially outward. The hook members 60 desirably bend slightly radially inward along their elongated bodies such that the curved distal ends 62 span a maximum diameter D that is smaller than the diameter of the annulus 52 , and smaller than the distance across the points at which the hook members 60 pass through the flange 58 .
To implant the heart valve 50 , the surgeon advances the assembly as seen in FIG. 21 through a number of delivery approaches into the position shown, with the flange just on the outflow side of the annulus 52 and the curved distal ends 62 on the inflow side. The array of curved distal ends 62 circumscribes a circle smaller than the annulus, and thus can be easily inserted therethough from the outflow to inflow side. In any case the elongated hook members 60 are desirably not too rigid so that they may flex inward upon contact with the annulus 52 as they pass therethrough.
Subsequently, as seen in FIG. 22 , the series of elongated hook members 60 are pulled proximally through the valve flange 58 so that the curved distal ends 62 engage the annulus. In the illustrated embodiment, the sharp tips 64 pierce the annulus tissue to embed the hook members 60 therein. A small clip 66 or other such device may be applied around each hook member 60 on the top side of the soft flange 58 to secure the hook members 60 in place, after which the tail end of the hook members are trimmed and removed. There should be at least three hook members 60 distributed evenly around the periphery of the valve 50 , and more preferably there are at least six; one for each commissure region and one intermediate each commissure region for aortic annuluses. The hook members may be made of a suitable polymer such as nylon, or a metal such as Nitinol or stainless steel. Pledgets (not shown) may also be pre-loaded on the curved distal ends 62 to help prevent the hook members from pulling through the annulus tissue when under tensile load.
FIGS. 23-26 illustrate a further alternative knotless heart valve anchoring system 80 that operates similarly to the system shown in FIG. 19 . The system includes a prosthetic heart valve 82 having a leaflet supporting structure 84 and a contoured securing ring 86 around the inflow end thereof in the place and configuration where a sewing ring is usually found. The securing ring 86 has a series of through apertures 88 distributed around its periphery that receive elongated flexible connection members 90 therethrough. Each connection member 90 attaches at a distal end to a lower ring 92 , formed in the illustrated embodiment by three ring segments 94 a , 94 b , 94 c . The ring segments 94 a , 94 b , 94 c may be separate or joined with flexible links, as indicated schematically in dashed lines in FIG. 26A . The distal end of each connection member 90 preferably secures to the lower ring 92 , but may simply pass downward through apertures 96 therein and have a bead or other such enlargement (not shown) that prevents the connection member from pulling upward through the aperture.
In a preferred embodiment, the connection members 90 comprise elongate strips with ratcheting teeth. The apertures 88 on the securing ring 86 feature ratchet pawls (not shown) that engage the ratchet teeth on the connection members 90 , much like cable ties. The ratcheting connection members 90 allow the lower ring 92 to be gradually pulled closer to the securing ring 86 so as to clamp a heart valve annulus therebetween and secure the device in place, as seen in FIG. 25 . Specifically, the “supra-annular” securing ring 86 contacts the outflow side of the annulus and the “infra-annular” lower ring 92 contacts the inflow side of the annulus. The ratcheting connection members 90 then resist separation of the rings 86 , 92 . Alternatively, instead of engaging ratchet teeth, the connection members 90 may be simple sutures that are tied to the lower ring 92 and secured by clamps of some sort in the securing ring 86 . For instance, any of the clamping configurations described herein may be used. Further, the connection members 90 may be strip, wire, rod, filament, etc.
With reference in particular to FIGS. 25-26 , beneficial details of the securing ring 86 and lower ring 92 are seen. The elevational view of FIG. 25 shows the undulating axial contour of the securing ring 86 . The ring 86 includes three peaks 100 alternating with three valleys 102 , and generally conforming to an aortic annulus root. This helps match the shape of the ring 86 to the root so as to better clamp to the annulus and also to help eliminate paravalvular leakage. The underside plan view of FIG. 26A shows the non-circular outer peripheral edge of the ring 86 featuring three outward lobe regions 106 alternating with three relief areas 108 . The ring 86 thus has a rounded triangular peripheral shape. Again, this helps the ring 86 conform to the aortic root, with the lobe regions 106 projecting into and matching the coronary sinus lobes and the relief areas 108 providing relief for the inwardly-projecting valve commissure regions. The three valleys 102 , as seen in FIG. 25 , correspond to the lobe regions 106 , while the three peaks 100 are centered in the relief areas 108 .
The lower ring 92 also generally mimics the undulating shape of the securing ring 86 so as to provide even clamping of the annulus therebetween. As seen in FIG. 26A , the three ring segments 94 a , 94 b , 94 c mostly span the outward lobe regions 106 of the securing ring 86 with breaks at the relief areas 108 , which register with the annulus commissures. This segmented assembly for the lower ring 92 serves several purposes. First, the breaks at the annulus commissures avoids clamping at those locations, which is the least flat or even surfaces around the annulus. Secondly, the three segments 94 a , 94 b , 94 c may be inserted separately through the annulus from the outflow to the inflow side, or otherwise collapsed to reduce their aggregate profile, either way permitting the lower ring 92 to be formed on the inflow side of the annulus without difficulty. Finally, the individual segments 94 a , 94 b , 94 c are relatively movable so that they may be separately pulled by the connecting members 90 to move both axially and radially relative to the securing ring 86 .
The lower ring 92 includes circumferentially-oriented ribs or teeth 110 on its upper surface. In the illustrated embodiment, each segment 94 a , 94 b , 94 c has three rows of teeth 110 that angle slightly inwardly. These rows of teeth 110 help anchor the valve 82 to the annulus, as will be described below. Each segment 94 a , 94 b , 94 c further has a plurality of outwardly-projecting fingers 112 that are rounded so as not to pierce tissue but nonetheless help anchor the structure.
In use, the surgeon advances the collapsed lower ring 92 (or each three segment 94 a , 94 b , 94 c separately) through the aortic annulus from the outflow to the inflow side. Tail ends 114 of the connection members 90 extend up from the annulus and are threaded through the apertures 88 distributed around the securing ring 86 periphery. In a preferred embodiment, as seen in FIG. 23 and also in dashed line in FIG. 24 , the connection members 90 are more closely spaced at the lower ring 92 then at the securing ring 86 so as to form a conical array. In a preferred embodiment, there are at least one, and preferably two connection members 90 associated with each three lower segments 94 . Pulling on the tail ends 114 applies tension to the connection members to draw the two rings 86 , 92 toward one another and clamp them around the annulus. As with earlier embodiments, the tail ends 114 are then trimmed off in a final step before closing the affected access passages and incisions. Since the lower ends of the connection members 90 are radially inward from the apertures 88 in the securing ring 86 , and due to the segmented nature of the ring 92 , pulling the connection members 90 displaces the three segments 94 a , 94 b , 94 c both axially upward and radially outward. The rows of teeth 110 grab the annulus tissue and help cinch the assembly together. The outer rows of projecting fingers 112 frictionally engage the surrounding anatomy on the underside of the annulus and help retain the assembly from rotation about the flow axis.
The “supra-annular” securing ring 86 and the “infra-annular” lower ring 92 may be molded of a suitable polymer, such as nylon or Delrin. Alternatively, they may be machined from a suitable metal such as stainless steel. One or both may also be surrounded with a fabric covering to help tissue ingrowth.
While embodiments and applications of this invention have been shown and described, it would be apparent to those skilled in the art that many more modifications are possible without departing from the inventive concepts herein, and it is to be understood that the words which have been used are words of description and not of limitation. Therefore, changes may be made within the appended claims without departing from the true scope of the invention. | Apparatus and methods for securing heart valve repair or replacement prostheses in or near the heart. The apparatus and methods are particularly well suited for traditional surgery or minimally invasive surgery. The invention secures a heart valve repair or replacement prosthesis in place while lowering surgical exposure. The invention improves the ease of implantation because it reduces the number of surgical knots a clinician would normally tie in the limited space in and around the heart. | 58,348 |
TECHNICAL FIELD
The present invention relates to a mobile communication apparatus, methods therefore, and a computer program product. The invention particularly relates to a tree structure of contact information.
BACKGROUND OF THE INVENTION
Managing contact information in a mobile communication apparatus has, as other operations performed with small handheld devices, its constraints due to limitations in display size and input means. Normally, contact information is structured as a simple list comprising names, and to each name one or more telephone numbers can be stored, and in some cases also other information. A user of the mobile communication apparatus often experience both saving and accessing contact information as a limitation of the usefulness of the phone book of the mobile communication apparatus. Therefore there is a need for improvements of handling contact information from a mobile communication apparatus.
SUMMARY OF THE INVENTION
In view of the above, an objective of the invention is to solve or at least reduce the problems discussed above. In particular, an objective is to provide contact information storage and/or access in a way that is intuitive to a user. The present invention is based on the understanding that structuring contact information according to relations experienced by a user will provide an intuitive contact management, and thus improved storing of and access to contact information.
According to a first aspect of the present invention, there is provided a mobile communication apparatus comprising a memory arranged to hold contact information, wherein items of said contact information are arranged in a tree structure comprising a plurality of logical levels.
An advantage of this is more feasible access and storage of contact information in view of the user.
The logical levels may be defined by links between at least a higher level item and at least a lower level item. The items may comprise contact information, or one or more links to other items, or a combination of these.
An advantage of this is a versatile structure, which a user is able to use according to present needs.
The contact information may be arranged to be presented according to said tree structure on a display of said mobile communication apparatus. A display view may comprise all items of said tree structure, wherein said display view may comprise a scrolling function to be able to view a user selected part of said items. The tree structure may be arranged to be presented with relations between items together with images, texts, or symbols, or any combination thereof, related to said items, respectively, and the presented tree structure may be browsable by a user. A group of lower level items linked to an item of a higher logical level may be presented together with said higher logical level item.
An advantage of this is that a user will experience the contact information according to her view of relation between parts of the information, which implies an intuitive structure and an improvement for the user.
The contact information may comprise home telephone number, work telephone number, mobile telephone number, private e-mail address, work e-mail address, home address, work address, image, text, symbol, sound, red-letter day, or web address, or any combination thereof.
According to a second aspect of the present invention, there is provided a method for storing contact information in a mobile communication apparatus comprising: assigning a plurality of logical levels of a tree structure for said contact information; and storing contact information in a logical level of said tree structure being related to said contact information.
An advantage of this is provision of an intuitive structure for the user to store her contact information according to her own experienced relations between contacts.
The logical levels may be associated to groups, families, companies, departments, teams, clubs, or personal relations, or any combination thereof.
According to a third aspect of the present invention, there is provided a method for accessing contact information in a mobile communication apparatus comprising: navigating to a logical level of a tree structure related to said contact information; and accessing said contact information.
An advantage of this is provision of an intuitive structure for the user to access her contact information according to relations between contacts.
The method according the second and third aspects may further comprise presenting said contact information according to said tree structure on a display of said mobile communication apparatus. A display view may comprise all items of said tree structure, wherein the method further may comprise scrolling said display view to view a user selected part of said items.
According to a fourth aspect of the present invention, there is provided a computer program product directly loadable into a memory of a processor, where the computer program product comprises program code for performing the method according to the second aspect of the invention when executed by the processor.
According to a fifth aspect of the present invention, there is provided a computer program product directly loadable into a memory of a processor, where the computer program product comprises program code for performing the method according to the third aspect of the invention when executed by the processor.
According to a sixth aspect of the present invention, there is provided a communication system comprising a communication network being in wireless communication with a plurality of mobile communication apparatuses when in operation, and a memory arranged to hold contact information, wherein items of said contact information are arranged in a tree structure comprising a plurality of logical levels.
The memory may be comprised in one of said mobile communication apparatuses, or in said communication network, or a combination thereof.
Generally, all terms used in the claims are to be interpreted according to their ordinary meaning in the technical field, unless explicitly defined otherwise herein. All references to “a/an/the [element, device, component, means, step, etc]” are to be interpreted openly as referring to at least one instance of said element, device, component, means, step, etc., unless explicitly stated otherwise. The steps of any method disclosed herein do not have to be performed in the exact order disclosed, unless explicitly stated.
Other objectives, features and advantages of the present invention will appear from the following detailed disclosure, from the attached dependent claims as well as from the drawings.
BRIEF DESCRIPTION OF THE DRAWINGS
The above, as well as additional objects, features and advantages of the present invention, will be better understood through the following illustrative and non-limiting detailed description of preferred embodiments of the present invention, with reference to the appended drawings, where the same reference numerals will be used for similar elements, wherein:
FIG. 1 schematically shows a mobile communication apparatus according to an embodiment of the present invention;
FIG. 2 shows an example of a group of contact information arranged in a tree structure with a plurality of logical levels according to an embodiment of the present invention;
FIG. 3 shows an example how a user can use the tree structure to feasibly arrange her contact information within a group of contact information;
FIG. 4 shows an example how a user can use the tree structure to feasibly arrange her contact information within a group of contact information;
FIG. 5 schematically shows a communication system according to an embodiment of the present invention; and
FIG. 6 shows an example according to the present invention, where a mobile communication apparatus views contact information on a display.
DETAILED DESCRIPTION OF PREFERRED EMBODIMENTS
FIG. 1 schematically shows a mobile communication apparatus 100 comprising a processor 102 , a transceiver 104 connected to and controlled by the processor 102 and being arranged to wirelessly communicate with a communication network, a user interface 106 connected to and controlled by the processor 102 and being arranged to interact with a user of the mobile communication apparatus 100 , and a memory 108 connected to and controlled by the processor 102 and being arranged to comprise contact information 110 . For example, the user interface 106 can comprise one or more displays, a keypad, a keyboard, a speaker, a microphone, a touch sensitive input device, a joystick, a rotating input device, or any other user interface means commonly used at mobile communication apparatuses. At least a part of the contact information 110 is arranged in a tree structure comprising a plurality of logical levels, as will be described below. The contact information 110 can comprise one or more groups arranged according to said tree structure. The groups can have different number of logical levels. The tree structure enables the processor 102 to present contact information by the user interface 106 in an improved manner.
FIG. 2 shows an example of a group 200 of contact information arranged in a tree structure with a plurality of logical levels 202 , 203 , 204 , 205 . The contact information is contained in items of the tree structure, where each item can comprise contact information and/or a link to items on a lower logical level. The logical link between the items are assigned by a user, and an item can be assigned logical link from one or more items in a higher logical level. The term higher and lower logical level only denotes which item is linked from another item, and the logical level of an item do not have to be fixed.
FIG. 3 shows an example how a user can use the tree structure to feasibly arrange her contact information within a group of contact information. The top logical level item 300 can be associated with a company, here called C. The top item 300 can comprise contact information common for the entire company, such as switchboard telephone number, address to head office, web address, etc. This contact information can be comprised in sub-items (not shown) of the top item 300 , or directly in the top item 300 . Further, the top item 300 comprises links to items 302 , 304 on a lower logical level, where the lower level items 302 , 304 can be different sites of the company, here item 302 being associated with site A and item 304 being associated with site B. In this example, site A may comprise a factory and an administrative office, which each have an associated contact information item 306 , 308 on a further lower logical level. Similarly, site B may comprise an R&D department associated with contact information in an item 310 and being logically linked to the item 304 of site B. Further, contact information about Ms. D, a contact person at site B, is associated with an item 312 which is linked to the item 304 of site B. Contact information about Mr. E, who belongs to the R&D department, but normally is situated at the office at site A, is associated with item 314 , which is linked from the site A office item 308 and from R&D department item 310 . Items 316 , 318 , 310 , which are linked to contact information item 314 about Mr. E can comprise e-mail address, home telephone number, mobile telephone number, etc. Further contact persons, e.g. Mr. J, can be associated with contact information items, e.g. item 322 , linked to higher logical level items, e.g. R&D department item 310 , and comprise contact information.
FIG. 4 shows an example how a user can use the tree structure to feasibly arrange her contact information within a group of contact information. The top logical level item 400 can be associated with a family, here called Johnson. The top item 400 can comprise contact information common for the entire family, such as home address, web address, etc. This contact information can be comprised in sub-items, which here is exemplified with home telephone number item 402 linked to the top item 400 , of the top item 400 , or directly in the top item 400 . Further, the top item 400 comprises links to items 404 , 406 on a lower logical level, where the lower level items 404 , 406 can be different members of the family, here item 404 being associated with John Johnson and item 406 being associated with Mary Johnson. In this example, John may have a work telephone and a mobile telephone, which each have an associated contact information item 408 , 410 on a further lower logical level. Similarly, Mary may also have a work telephone and a mobile telephone associated with contact information in items 412 , 414 and being logically linked to the item 406 of Mary. Further, contact information about Mary in item 406 can comprise a photo, red-letter days, etc. Mary may have a mobile telephone mounted in her car with a special telephone number, which is comprised in item 416 , which is linked to Mary's mobile phone item 412 . Mary and John may also have a mobile phone mounted in their boat, and the telephone number to that mobile phone is comprised in item 418 , which is linked to both John's and Mary's mobile phone items 410 , 412 . Mary's e-mail address at work, telephone number to Mary's assistant at work, Mary's mobile telephone number at work, etc can be comprised in items 420 , 422 , 424 , which are linked to Mary's work contact information item 414 . This way, it is more feasible for a user to choose the right contact information at any situation for keeping contact with either John or Mary.
It should be noted that an item can be linked more than one group, e.g. as if Mr. J associated with item 322 above happens to be John Johnson associated with item 404 above, then John's contact information items are linked both to the group of company C and the group of the Johnson family.
Any contact information, such as home telephone numbers, work telephone numbers, mobile telephone numbers, private e-mail addresses, work e-mail addresses, home addresses, and/or work addresses, can be structured in this way. Further, images, text, symbols, sounds, red-letter days, and/or web addresses can also be incorporated in this structure for enabling more personalized, informative, and accessible contact information.
As an example the tree structure can be seen as a family album, where the items of each family comprises images, e.g. portraits, which are presented with relations, e.g. husband, wife, kids, brother in law, grandparents, etc, and a user can browse the tree structure on basis of the relations and see the images of the family members. The items can also be represented by symbols, texts, etc, whichever the user finds most convenient. Similarly, the tree structure can be seen as a company roll, where the items of each company comprises images, e.g. portraits, which are presented with relations/roles, e.g. CEO, COO, executive vice president, CTO, manager of department X, CFO, supervisor whithin Y, legal council, etc, and the user can browse the tree structure on basis of the relations and roles and see e.g. the portraits of the persons. The items can also be represented by symbols, texts, name of department, etc. When the user, during browsing, finds the right person, the item can be selected, and contact information according to what described above can be accessed, or, if the user so prefers, be linked to another tree structure of the selected person, e.g. showing his/her family tree, hunting party, sports association, etc, which can be further browsed in a similar way. Many other examples of tree structure bases, such as different organizations, friendship relations, etc, can be used for organizing contact information.
During browsing, a group of contacts can be selected, e.g. for a group SMS, where the tree structure and its relations are utilized for easily making the group.
A system architecture for managing a system 500 according to an embodiment of the present invention is shown in FIG. 5 . A Home Location Register (HLR) 502 contains a database (not shown) including relevant subscriber information for provision of telecommunication service. A CCITT specified network 504 interconnects the individual parts of the system 500 . A contact information gateway 506 is a switching unit routing a message or a call to a mobile communication apparatus 508 - 512 . If contact information is to be stored at network side, a Contact Information Service Center 514 (CINC) and the contact information gateway 506 handles and routes the contact information between the CINC 514 and the network 504 . From the network 504 , the contact information is routed to the mobile communication apparatuses 508 - 512 via a Mobile Switching Center (MSC) 516 to a Base Station Controller (BSC) 517 and a Base Transceiver Station (BTS) 520 , 521 , or a Radio Network Controller (RNC) 518 and a Node B 522 . Alternatively, the contact information is routed to the mobile communication apparatuses 508 - 512 via a Serving GPRS Support Node (SGSN) 526 , 528 to the BSC 517 and the BTS 520 , 521 , or the RNC 518 and the Node B 522 , respectively. The BTS 520 , 521 or the Node B 522 establish the air connection to the mobile communication apparatuses 508 - 512 .
According to an embodiment of the present invention, a network operator or other third party company handling a contact information server 524 could offer a contact information function between persons not knowing each other. For example a network operator may have a contact information server 524 supporting a feature where the user may send a contact information request from his mobile communication apparatus 508 - 512 to the contact information server 524 by using a special phone number. This contact information server 524 can then automatically provide contact information structured according to the present invention, e.g. for a company and contact persons at that company, together with web address, fax number, etc.
FIG. 6 shows an example according to the present invention, where a mobile communication apparatus 600 views contact information on a display 602 . The contact information can be presented on the display 602 according to a tree structure 604 on the display 602 of the mobile communication apparatus 600 . It can then be feasible to have a display view that comprises all items of the tree structure 604 . To be able to see the items in a reasonable size, a scrolling function of the display view can be provided to view a user selected part of the items, where a scroll bar 606 helps a user to navigate the display view. Scrolling can be enabled both horizontally and vertically, depending on the size of the tree structure 604 , the size of the display 602 , and the preferred sizes of the presented items.
The invention has mainly been described above with reference to a few embodiments. However, as is readily appreciated by a person skilled in the art, other embodiments than the ones disclosed above are equally possible within the scope of the invention, as defined by the appended patent claims. | A mobile communication apparatus, and a computer program product, comprising a memory arranged to hold contact information, wherein items of said contact information are arranged in a tree structure comprising a plurality of logical levels is disclosed. Methods for storing and accessing contact information arranged in this way are also disclosed. | 19,747 |
BACKGROUND OF THE INVENTION
Power driven rotary files are well known. Typically these employ a number of elongated cradles which are horizontally suspended between and about the peripheries of a pair of spaced traveling devices which are driven so that the cradles are presented one by one before the operator who normally sits at a table or shelf at the front of the file. Some means of course for selecting the cradles one by one is necessary. These are generally essentially electrical in nature and are typically operated by a layout of buttons, one for each cradle, disposed at some location on the front of the file. Usually the files are quite wide and the operator must move bodily back and forth across the front of the file for access to different portions of a cradle. If the location of the selector controls is fixed, the operator, owing to the width of the cradle, often must move bodily sideways in order just to reach the controls so that a new cradle can be selected and then back again for access to the desired position of the new cradle. Even when the controls are mounted in some manner at some intermediate position between the ends of the file, the operator often must still reach to one side for them with one hand or the other. Furthermore, when the controls are mounted at some intermediate position, which is usually on the shelf itself at the center, they are often in the operator's way, requiring him to work over the controls and to move work papers each time access to the controls is necessary.
U.S. Pat. No. 2,928,706 discloses a movable set of selector controls for files of the nature concerned in the form of a telephonelike dial selector at the end of a flexible electrical cable, the dial being mounted in a loose housing free to be slid about by the operator on the shelf before the file. A somewhat similar approach, in the case of card selection apparatus, is shown in U.S. Pat. No. 2,922,424. However, in the latter instance, the movable controls, though movable along a fixed track, are both bulky and complicated. In the former instance the dial selector, though much less bulky. is relatively complex, costly and slow, and since it is loose on the shelf, can easily be knocked off. Hence, the primary object of the present invention is the provision of movable cradle selector controls for motorized rotary files which are simple, inexpensive, small in bulk, do not interfere with the operator, and cannot be knocked off the shelf.
SUMMARY OF THE INVENTION
The crade selector controls of the present invention are relieved of all but the minimum of electrical function and mechanical detail, consequently reducing their cost, complexity and bulk. Simple, momentary contact-type pushbuttom switches, plus a connecting cable, is all the electrical and mechanical apparatus embodied in the movable controls themselves, the circuit latching mechanism usually employed with the selector controls being placed in the file itself. In the case of the present invention, reed-type vacuum relays are used in the latching circuits so as to reduce to a minimum the current through the controls and the size of the pushbutton switches and wiring. The pushbutton switches themselves are placed in a row along the top of a small metal housing which is secured along the rear of the operator's shelf for slidable movement along a fixed track. The result is a selector control not only much simpler than the dial type but also much faster in operation, and one which is readily movable with the operaor to whatever position across the file is desired. By the same token the control can be easily pushed aside so that it does not interfere with the operator's work papers, and yet cannot be knocked off the shelf. Other features and advantages of the present invention will become apparent from the more detailed description which follows and the drawings.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is an isometric overall view of a power driven rotary file of the type with which the present invention is concerned.
FIG. 2 is an enlarged isometric view of the movable selector controls employed with the file of FIG. 1.
FIG. 3 is a transverse sectional view of the selector control housing itself illustrating its structure and its mounting to the rotary file.
FIG. 4 is a section view taken along the line 4--4 of FIG. 3.
FIG. 5 is an electrical schematic of that portion of the circuitry employed which is concerned with the selector controls themselves.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENT
The typical motorized rotary file, as shown in FIG. 1, includes an overall housing 10 which encases a number of horizontally suspended cradles 11 for carrying records. As is well known, the cradles 11 are interconnected and power driven by an appropriate electric motor so that selected cradles 11 are, at the command of the operator, presented just to the rear of a wide shelf 12 across the front of the housing 10 before which the operator sits and which is supported on brackets 13 attached to a front wall 14 of the housing 10. As a cradle 11 is brought into position before the operaor, he moves back and forth along the shelf 12 for access to records at various locations in the cradle 11 before him. As he does so, he moves with him the cradle selector controls, generally indicated at 20, so that at all times the latter are readily at hand for selection of additional cradles 11 without the operator having also to move to one end of the housing 10 each time a new cradle 11 is to be selected, as is customarily the case with present such files in which the location of such controls is fixed, usually at one end or in the middle.
The movable selector controls 20 include an elongated housing 21 formed, as shown, from metal having a pair of closed ends 22. The control housing 21 is stepped to fit over the upper rear edge of the shelf 12 between whose upper surface and the housing upper floor 23 is interposed a felt strip 24 secured to the latter. The forward portion of the housing top wall 25 is inclined and is formed with an opening 26 along its length which is normally closed by a face plate 27 screwed to the end caps 22. To the housing lower floor 28 is screwed the forward edge of a plate 29 along its length which is provided with a rear, downward extension 30 overlapping the file housing wall 14. To each end of the extension 30 are screwed a pair of upper and lower retaining blocks 31 (only one pair being shown in FIG. 3) which embrace a stationary guide bar 32. The latter is screwed at its ends to a pair of spacer blocks 33 (only one being shown in FIG. 4) so that the guide bar 32 is outset from the rear of the file housing wall 14, the plate extension 30 sliding laterally between the wall 14 and the bar 32. Hence the control housing 21 is retained in position adjacent, and can be slid from side to side along, the rear edge of the shelf 12.
Within the control housing 21 is disposed a series of pushbutton switches PB of the momentary contact type, one for each cradle 11, in the instance shown there being twelve of the latter so that there are switches PBI-12, together with a stop switch SP and a reset switch RS of similar type, and a signal lamp L. All the switches PBI-12 and RS are normally open, while the switch SP is normally closed, and together with the lamp L are mounted in a row to a metal strip 33 by nuts 34. The resulting assembly is placed up under the control housing top wall 25, the pushbuttons of the switches PB1-12, SP and RS and the lamp L passing through apertures in the top wall 25, and secured by exterior nuts 35. The various switches are identified by appropriate indicia placed upon a strip 36 affixed to the face plate 27.
Inasmuch as the basic electrical circuitry for rotary files of the type concerned is old and well known, only that portion immediately pertinent to the present invention is shown in FIG. 5 and will now be briefly described. Each switch PB1-12 is connected to and energizes one of a respective series of relays K1-12 of the vacuum reed-type which closes a holding circuit in the memory bank MB governing the selector switch SS which in turn controls the motor circuit M to bring the designated cradle 11 into position. The switches PB1-12 and the memory bank MB are energized from an appropraite 24 volt DC power source through the contacts of a relay K13 when the latter is activated. As will be apparent, the solenoid of the relay K13 is in series with the normally closed stop switch SP and a relay holding circuit. Should some unsafe or emergency condition exist, depressing the stop switch SP will drop out the relay K13 and thus de-energize the switches PB1-12, the memory bank MB and the motor circuit M. At the same time, the lamp L will be lit to indicate the abnormal condition. The entire control system will therefore remain shut down until the reset switch RS is closed to re-establish the holding circuit to the relay K13 and power to the pushbutton switches PB1-12, the memory bank MB and the motor circuit M. It will be understood, of course, that the relays K1-12, K13, the memory bank MB, selector switch SS, the motor circuit M and so forth are located within the file housing 10 and connected to the switches PB1-12, SP, RS and the lamp L through an appropriate electrical cable, generally indicated at 37 in FIG. 5, between the file housing 10 and the control housing 21 and disposed behind the file housing wall 14. Since little power is required to activate the relays K1-12, all the switches and wiring at the selector control 20, as well as the cable 37 itself, can be of light duty type and thus small in bulk and weight.
Though the present invention has been described in terms of a particular embodiment, being the best mode known of carrying out the invention, it is not limited to that embodiment alone. Instead, the following claims are to be read as encompassing all adaptations and modifications of the invention falling within its spirit and scope. | The cradle selector controls of a motorized rotary-type file comprise a rowf simple, momentary-type pushbutton switches located in a small housing mounted so as to slide along the rear edge of the operator's shelf. The control housing is connected to the file where all other controls are located by an electrical cable, whereby the selector controls can be readily moved back and forth with the operator. | 10,138 |
[0001] This is a continuation of U.S. application Ser. No. 09/548,659, filed on Apr. 13, 2008. This application claims benefit to U.S. Provisional Application No. 60/129,033, filed on Apr. 13, 1999, herein incorporated by reference.
BACKGROUND OF THE INVENTION
[0002] 1) Field of the Invention
[0003] The present invention relates to financial data processing and business practices regarding funds transfer. More specifically, the present invention provides a personal payment number (PPN) wherein an individual or business can receive payments from other individuals or businesses without revealing confidential account information or establishing themselves as a credit/debit card accepting merchant.
[0004] 2) Brief Description of Related Art
[0005] With the increasing globalization of commerce the need for safe and secure ways to make payments between individuals, businesses and merchants now extends to systems that provide global coverage and include currency exchange systems. In addition there is a need for these systems to be secure and also to be trusted by all parties.
[0006] Existing systems such as systems based on bank checks or bank transfers involve either the payer or the payee revealing details about their bank account to at least the other party. For instance, the recipient of a check sees the payer's bank account and routing information on the check, and with a bank transfer the recipient/payee must provide their account information to the sender/payer. In a global situation where the two parties may have never have met, sharing of such information may be sufficient cause for concern to deter one or other party from proceeding. Also, different checking and bank transfer systems can reduce the effectiveness of the financial transaction.
[0007] The global credit/debit card system provides an ideal mechanism for receiving payment but under normal circumstances requires the recipient to be a credit card accepting merchant. Being a credit card accepting merchant may not be cost-effective for some people or businesses wanting receiving payments. Also smaller merchants without a good trading history may have difficulty in being accepted by credit card acquiring banks as credit card accepting merchants.
[0008] The ability to receive funds using a simple, rapid and secure system without the need to be a formal credit card accepting merchant will be of benefit to a wide range of users. For example the rise of online auction services (such as those developed by eBay and Amazon) means that many individuals may occasionally require a means of receiving finds remotely, such as over the Internet. Also, the widespread “shareware” software distribution system provides a mechanism for software written by individuals to be distributed on a global basis. Shareware authors are generally individuals that do not have the organizational support to handle global payments. Therefore a system that can provide a global payment solution with no administrative overheads with automatic currency conversion would be very attractive to these as well as many other users.
[0009] In the growing global electronic commerce environment many individuals and companies may offer their service remotely over the Internet or other public, semipublic or closed network. Such services (programming, translation, writing, clerical, accounting, web-page design, etc) will typically be provided remotely and not require any direct physical interaction between the provider of the service and the service user. The two parties to such an arrangement may never have met raising the issue of mutual trust. In addition they may be in different countries and this produces problems for currency exchange or incompatibility of bank transfer systems as well legal challenges if a non-payment dispute arises. Again a simple, rapid global payment solution would be of benefit.
[0010] The need and value of such a service is indicated by the number of systems that have already been proposed to address this issue. Examples of systems operating within this area include:
Billpoint This service acts as an intermediary between payers and payees, requiring both to sign up to the system. It is operated as proprietary system and is designed for application in the on-line auction house arena. PayPal This system is another intermediary closed system where the payer registers with PayPal and provides credit card or bank account details. When the payer wants to make a payment he transfers money to PayPal and an email is sent to the email address of the recipient with message that someone has sent you money. The recipient must then register to receive the funds by account transfer or refunded onto a conventional credit card number.
[0013] Payme This system sends email bill to users through the Payme site (payee registers with “Payme”), email goes out with a request for payment. The payer pays Payme who transfers the funds to payee.
eMoneyMail In this system the payee goes the eMoney website and pays with credit/debit/account transfer and gives the email address of the recipient. The recipient receives an email with a link back to the eMoney site where they can receive the funds by transfer to a checking account or credit card. Wire-transfer The provider offers a range of services offer account to account wire transfer such as Western Union and Swift. Checkfree This system is an example of a bill paying system which requires both parties to be registered with the system.
[0017] In many of the above systems the recipient must give either a credit/debit card number or bank account number to a third party (payer or other intermediary). In the case of using a credit/debit card, the payment is made by initiating a “refund” transaction even though there was no matching initial payment since the payment was made another party. There are two key problems with using this refund mechanism:
[0018] (1) Within the current card systems (such as Visa, Mastercard and Europay) there is the problem of reverse interchange. This is the process whereby a refund leads to the customer's bank (i.e., the bank who issued the credit card that is being refunded) paying back to the merchant acquiring bank (i.e., the bank that received the refund request from a credit card merchant) the interchange fee (effectively a commission) that would have been kept by the customers bank on the original payment. Since no original payment has been made in the scenario where someone is receiving money from a third party, the customer's bank (i.e., the bank who issued the credit card that is being refunded) is effectively being charged for the transaction at a cost of approximately 1.5% of its value depending on the prevailing interchange rates for the specific credit card. Under the current credit card systems, trying to change the rules for refunds to address this issue will lead to the converse problems in true refunds.
[0019] (2) In order to receive funds a user must reveal his or her actual credit card number. These details have the potential to be misused creating worry, inconvenience and potentially financial cost for the recipient. In the case of Internet payment systems, this information is then potentially stored on a server connected to the Internet. As recent fraud scares have indicated, storage of personal details in computer databases linked to the Internet represents possibly the most vulnerable security weakness with Internet based credit card transactions.
[0020] In addition, with several of above the above Internet payment services, the recipient receives an email notifying them that someone wishes to pay funds to them. The recipient then follows a link in the email to a site where he/she must enter their credit or bank account details to receive the funds. Clearly a fraudulent message offering a prize, a non-existent payment, etc., could easily lead to innocent victims giving over their credit card details which could then be misused by the perpetrator of the fraud.
SUMMARY OF THE INVENTION
[0021] These and other problems are solved by the present invention which represents a new form of credit/debit card with an associated account number that is limited so as to prevent it being used for any purchases—but instead is expressly designed for the purpose of receiving funds. In other words, the present invention involves a personal payment number (PPN) format including routing information (e.g., a BIN) to direct financial transaction information to a particular institution among a plurality of institutions on a computer network, and a unique identification of a user associated with the particular institution. The PPN format can also include an identifier identifying the personal payment number as an account to which funds can be transferred but from which funds cannot be transferred. The PPN format can follow a standard credit/debit card format, or can be unique among but follow standard credit/debit card formats or be distinct from standard credit/debit card formats. The PPN can alternatively follow a standard credit/debit card number format and omit any identifier, but the routing information be for an institution that is restricted to transactions where funds are received.
[0022] This personal payment number (PPN) can therefore be revealed without any concern for fraudulent misuse since it can only be used to receive funds and therefore is of no benefit to any other party. Any misuse would only benefit the registered cardholder. In effect it represents an inverse debit/credit card, allowing payment directly into an account rather than from an account.
[0023] To incorporate this invention with an existing credit or debit card account, a payment account number could be linked to an existing credit/debit card account so users would have a combined account with two numbers: one for making payments (the actual credit/debit card number) and one for receiving payments (the PPN or personal payment number).
[0024] The payment number could be printed on the back of an existing credit/debit card allowing for use in face to face transactions or for easy access if used over the phone or Internet. The number could also be stored within a software package (such as virtual card software) for easy use on the Internet.
[0025] Since a PPN can not be used (or misused) for making purchases it can be freely disseminated in a way similar to the way to a public encryption key is freely disseminated to allow payments to be made by anyone who needs to pay a certain person. Examples include shareware authors who could include their PPN in their software registration documentation. In on-line auction situations, sellers could email their PPN to the purchaser to allow them to complete the purchase at a payment service of their choice.
[0026] Of particular interest is the fact that a PPN could be used in place of a credit card number in the existing commercial systems named above (e.g., Billpoint, PayPal, Payme, and eMoneyMail) where the recipient receives funds by a refund onto a conventional credit card without the concerns of revealing a credit card number to a third party and its subsequent storage on an Internet accessible server.
[0027] The PPN, if it has the numerical format and verification codes (such as the checksum and cvv2) of a normal credit card, it can be processed by normal credit card terminals/software. To avoid any possible confusion with existing credit cards, an alternative would be to use a different number of digits or other differentiator. This would prevent the possibility of anyone trying to use a PPN for making a payment rather than receiving a payment since merchants and others would recognize that the PPN did not represent a valid credit card format. A possible disadvantage of specific PPN number format is that potentially less of the existing credit card infrastructure could be used leading to increased up-front investment costs for implementation of the system.
BRIEF DESCRIPTION OF THE DRAWINGS
[0028] These and other advantages, features and aspects of the present invention shall now be described by way of exemplary embodiments to which the present invention is not limited with reference to a accompanying drawing figures in which:
[0029] FIG. 1 shows an exemplary system for implementing the present invention;
[0030] FIG. 2 shows an exemplary personal payment number format implementing the present invention;
[0031] FIG. 3 shows, in high-level form, the operation of the central processing station shown in FIG. 1 ;
DETAILED DESCRIPTION OF PREFERRED EMBODIMENTS
[0032] In this specification the terms “credit card” and “credit/debit card” refers to credit cards (MasterCard®, Visa®, Diners Club®, etc.), charge cards (e.g., American Express®, some department store cards), debit cards such as usable at ATMs and many other locations or that are associated with a particular account, and hybrids thereof (e.g., extended payment American Express®, bank debit cards with the Visa® logo, etc.).
[0033] Various aspects of the invention may be embodied in a general purpose digital computer that is running a program or program segments originating from a computer readable or usable medium, such medium including but not limited to magnetic storage media (e.g., ROMs, floppy disks, hard disks, etc.), optically readable media (e.g., CD-ROMs, DVDs, etc.) and carrier waves (e.g., transmissions over the Internet). A functional program, code and code segments, used to implement the present invention can be derived by a skilled computer programmer from the description of the invention contained herein.
Exemplary System Implementation
[0034] FIG. 1 shows an exemplary overview of a system for implementing the limited-use credit card system of the present invention. Further details of similar systems can be found in co-pending U.S. application Ser. No. 09/235,836 filed on Jan. 22, 1999 and 09/506,830 filed on Feb. 18, 2000, herein incorporated by reference. The system 100 comprises a central processing station 102 , which, accordingly to exemplary embodiments, may be operated by the credit card provider. Generally, this central processing station 102 receives and processes remotely generated credit card transactions. The credit card transactions can originate from a merchant in a conventional manner, e.g., by swiping a credit card through a card swipe unit 106 . Alternatively, the credit card transaction requests can originate from any remote electronic device 104 (e.g., a personal computer). These remote devices 104 can interface with the central processing station 102 through any type of network, including any type of public or propriety networks, or some combination thereof. For instance, a personal computer 104 can interface with the central processing station 102 via the Internet 112 . Actually, there may be one or more merchant computer devices (not shown) which receive credit card transactions from the remote electronic device 104 , and then forward these requests to the central processing station 102 . The central processing station 102 does not have to be in one geographic location. Instead, it can be embodied as a credit card transaction network which routes transaction information to specific card issuing institutions by, e.g., a bank identification number (BIN). Here it should be noted that a single bank can have several BINs, each of which would be considered an institution of purposes of this disclosure. The central processing station 102 can also interface with other types of remote devices, such as a wireless device 140 (e.g., cellular telephone), via radiocommunication using transmitting/receiving antenna 138 .
[0035] The central processing station 102 itself may include a central processing unit 120 , which interfaces with the remote units via network I/O unit 118 . The central processing unit 120 has access to a database of credit card numbers 124 , a subset 126 of which are designated as being available for use as personal payment numbers.
[0036] Also, the central processing unit 120 has access to a central database 122 , referred to as a “links” database. This database is a general purpose database which stores information regarding customers' accounts, such as information regarding various links between each customer's PPN and his or her regular credit card account or other type of account using, for instance, some type of linked-list mechanism. Databases 122 and 124 are shown separately only to illustrate the type of information which may be maintained by the central processing station 102 ; the information in these databases can be commingled in a common database in a manner well understood by those having skill in the data processing arts. For instance, each PPN can be stored with a field which identifies a regular account to which it is linked, and various conditions regarding its use. It should be noted that no discernable relationship should exist between the PPN and the regular credit card number. Also, the different databases can be addressed using different BIN numbers or different number formats or other identifiers in the PPN number.
[0037] The central processing unit 120 can internally perform the approval and denial of transaction requests. For the PPN, if the transaction does not involve transferring funds into the PPN account, the transaction would be denied. For credit transactions, the approval or denial by making reference to credit history information and other information in the conventional manner. Alternatively, this function can be delegated to a separate clearance processing facility (not shown).
[0038] Finally, the central processing station includes the capability of transmitting the PPN to customers. In a first embodiment, a local card dispenser 128 can be employed to generate a plurality of PPN cards 132 and/or credit cards 134 additionally bearing a PPN for delivery to a customer. In another embodiment, the PPN can be printed on a form 136 by printer 130 , which is then delivered to the customer via the mail. The PPN can be included in the initial letter distributing an associated credit card, or in a monthly or other periodic account statement sent to the customer. In yet another embodiment, the PPN can be electronically downloaded to a user's personal computer 104 , where they are stored in local memory 142 of the personal computer 104 for subsequent use. In this case, the PPN can be encrypted, but concern over release of the PPN is much less than for regular credit card numbers. Instead of the personal computer 104 , the numbers can be downloaded to a user's smart card though an appropriate interface. In a still further embodiment, the PPN can be downloaded to a radio unit 140 (such as a portable telephone) via wireless communication. In another embodiment, an ATM 108 can be used to dispense the PPN cards 110 . Those skilled in the art will readily appreciate that other means for conveying the PPN numbers/cards can be employed. These embodiments are, of course, usable together.
[0039] The logic used to perform the PPN transactions preferably comprises a microprocessor which implements a stored program within the central processing unit 120 . Any general or special purpose computer will suffice. In alternative embodiments, the logic used to perform the PPN transactions may comprise discrete logic components, or some combination of discrete logic components and computer-implemented control.
Personal Payment Number Format
[0040] Within the VISA and Mastercard systems, for instance, the first 6 digits of a credit card number represent a code (Bank Identification number or BIN) to identify both the issuing institution and are also used to define the associated charges (interchange fees) that are automatically made for each transaction. Other credit card systems use a similar procedure and card number format. A card issuing bank will typically have several BIN's, one for each different card products that attract different interchange rates. By allocating PPN's within a BIN that is used exclusively for PPN's, no payments can be made in that BIN. Therefore the interchange fees can be adjusted to make them appropriate for this sort of payment (ideally attracting zero or negative interchange).
[0041] This is in contrast refinding a conventional card account number leads to inverse interchange being charged to the card holder's bank as discussed above. In this situation, the card holder's bank is effectively subsidizing whichever merchant/acquirer handles the refund and has no effective means of control over this transaction and the associated costs. Although these distinctions make little difference to the holder of a PPN, they are of great relevance to the banks since they have a direct impact on the income from their credit card portfolio.
[0042] Thus, a personal payment number format includes routing information (e.g., BIN) 201 to direct financial transaction information to a particular institution among a plurality of institutions using a computer network, such as shown in the exemplary embodiment of FIG. 2 . The PPN format also includes unique identification 202 of a user associated with the particular institution. The personal payment number identifies an account into which funds can be transferred but from which funds cannot be transferred.
[0043] This identification of the account as being a payment only account can take on several forms. For instance, the personal payment number format can include an identifier 203 identifying the personal payment number as an account into which funds can be transferred but not from which funds can be received. The position of this identifier 203 within the PPN format could be arbitrary or selected according to factors outside the scope of this invention. Alternatively, the identifier 203 can be omitted and the routing information 201 (e.g., BIN) can identify an address associated with accounts limited to receiving funds and not capable of transferring out funds.
[0044] The format of a PPN should ideally be of a format that is compatible with the existing credit/debit card numbering format which is usually 16 digits with a current maximum of 19 digits for the account number field within the industry standard transaction messaging protocols. The PPN should also have a valid checksum to ensure that it is transmitted without problems through existing networks which may include checksum validation. An expiry date should be provided and additional verification codes such as the cvv2 code if required to ensure compliance with existing networks.
[0045] A PPN specific coding format could be used to prevent confusion with existing credit cards but this would reduce the compatibility with the existing credit card systems requiring additional investment to implement the system. A compromise would be for the PPN to deviate from an existing format sufficiently to allow easy recognition that it is not a normal credit card number while still allowing transmission in the data fields of the transaction messaging systems that would normally hold the credit card number, for example for VISA cards 17 or 18 digits could be used to differentiate from the existing 16 digit credit card format, such as shown in FIG. 2 .
[0046] In other words, the personal payment number can be formatted in accordance with standard credit/debit card formats. It can also be formatted to be distinct from standard credit/debit card formats, which might require some adjustment to the conventional credit transaction processing system. Alternatively, the personal payment number can be formatted to be unique among standard credit/debit card formats but remain within the acceptable standards for processing within the conventional credit transaction processing system. For instance, it can have an extra number which is acceptable to the credit transaction system, but not currently used by card issuing institutions. Also, the personal payment number format can include a verification code such as a checksum number and a cvv2.
The PPN Uses and Processes
[0047] A PPN can be used in a variety of ways. After a transaction is begun by accessing a web site or the like a PPN account holder can transmit the number (even by insecure means such as email) along with an electronic invoice requesting payment for goods/services provided. A PPN can also be included in the documentation or program code of a shareware or “try before you buy” software package. In this was the payee does not have to make any active step to receive funds, the person registering/purchasing the software simply uses the PPN to make the payment at an appropriate registration site. A PPN could also be displayed within a webpage.
[0048] In many current systems such as Billpoint the recipient receives an automated email from the payment system website when a payment is made. It is only when the recipient registers with the payment company that credit card or account details are given. Under these circumstances it possible that the email could be intercepted and someone other than intended recipient collects the funds. With a PPN payment, the payer can optionally verify the name linked to the PPN at a time of making a payment (Step 303 ) thus ensuring that the correct person is being credited. Alternatively banks could provide an authorized directory to allow payers to obtain a person's PPN, a form of PPN escrow.
Implementation Components
[0049] Implementation of the PPN solution includes a system and process comprising the following exemplary components:
User Request Handling Process, PPN Allocation System, PPN/Primary Account Database Storage, Secure PPN Database Query Interface, PPN Distribution, User Storage and Access Device(s) and Systems, PPN Transaction Initiation Device(s) and Systems, PPN Transaction Routing Network, PPN Processing System, and Customer Service System.
[0059] These components are taken in turn for more detailed descriptions.
User Request Handling Process (Step 301 )
[0060] Users can request a PPN from their bank or a bank can automatically allocate and distribute a PPN to all its account holders. During this process the bank logs details such as the account name, the PPN and the associated account in which funds are to be lodged. The options for the receiving account include a credit card account, a debit card account, free-standing bank account or other suitable account. It is important that the bank authenticates the user during this process to prevent people assuming the identity of others in order to receive funds fraudulently.
[0061] The request for a PPN can be received by the bank as an in-branch request, phone request, mail-in request, fax request or via an electronic network such as the Internet or digital TV. All these request avenues should feed into a single logging system to allow these requests to be processed appropriately.
[0062] An applicant can request a PPN account from a financial institution either in association with an existing credit/debit card/bank account, or as a standalone payment instrument (i.e. where the user's credit cards and bank accounts are held with another financial institution). In the former case the financial institution already has account information available as to where to forward the monies received, the user need only specify which account he/she wishes to use. In the case of a stand alone account the user must provide details of where the funds are to be transferred. The request can be handled by any normal route (in bank branch, by post, fax phone or by electronic network such as the Internet).
PPN Allocation System (Step 302 )
[0063] The PPN allocation system handles requests for a PPN. During this allocation the system provides a valid PPN account number.
[0064] The allocation system ensures that there is no reversible numerical relationship between the PPN and an associated credit/debit card in order to ensure that the real credit/debit card number cannot be derived from the PPN. In addition the allocation system must check the availability of a PPN before issue to ensure that each issued PPN is unique. The leading digits of the PPN must be defined in order to route the PPN to the processing center appropriate for each issuing bank, in the existing credit card systems this is achieved with the use of BIN number (usually the leading 6 digits).
PPN/Primary Account Database Storage (Step 303 )
[0065] Following the registration and allocation process, details of the allocated PPN and associated credit/debit card or other account details need to be logged in a database ( 122 and 124 , FIG. 1 ) in order to support a variety of the other systems listed below such as the processing system, the PPN query system and customer service. The name of the account holder and other personal details may be held according to the policy of the PPN issuing bank. This system is secured from unauthorized external access since it contains sensitive financial services information. For maximum data integrity a single database could service all these different functions. Alternatively a number of interlinked databases could be used if the registration allocation system were geographically remote from the processing system or these functions were handled by different organizations. In the case of multiple databases additional controls would be used to reconcile information held across all the relevant databases.
Secure PPN Database Interface (Step 304 )
[0066] An interface allows database queries, for example to request a PPN for a specific individual or to verify that a PPN belongs to a specific person. This function allows for the payer to ensure that the PPN belongs to the intended recipient and the number has not been altered or wrongly recorded at any point. The system could be used as a trusted source of PPN numbers as a form of PPN escrow. Alternatively for increased privacy a user could be required to enter the PPN and a name and be informed only if the match is correct or incorrect. A PPN holder may request for this service to be disabled if they wish for complete anonymity. This latter option will be provided only at the discretion of the issuing bank.
[0067] It is important to prevent unauthorized access to or alteration of credit/debit card or other personal details information of PPN holders held in the database. Therefore this database access system is highly secure and only allow specific types of requests by application of appropriate industry standard security and “firewall” technology. The database must however allow the bank and or the PPN holder (with appropriate authentication) to update information in the database if the PPN holder wishes to alter the status and stored attributes of the PPN account.
[0068] This database should also provide means for review of both PPN holders and the issuing bank of all transactions details. Access to this function can be via the customer service system or by the provision of a direct software connection to the database for example using software that the PPN holder obtains from his bank or using a standard browser interface.
PPN User Storage and Access Device(s) and System(s) (Step 305 )
[0069] A range of PPN user storage and access devices can be used and the choice of the most appropriate format will depend on how the user intends to use the system. The user could simply be notified of the PPN number by letter or by the issuing a paper certificate, as explained above ( 136 , FIG. 1 ). The PPN can be issued on its own physical plastic (or other suitable material) card ( 132 , FIG. 1 ) that is marked so as to ensure that it cannot be mistakenly used for purchases. Such a card could carry a magnetic stripe containing the appropriate information to allow for payments to be made on a standard terminal. The PPN could be issued on a smart card carrying a chip containing the appropriate information/certificates to allow for payments to be made on a smart card enabled terminal. Alternatively it could be printed on the reverse of an existing card ( 134 , FIG. 1 ). In this way a bank could issue a PPN to all its existing customers in a simple and cost effective way during card renewals.
[0070] The PPN can also be provided encoded in a software package that can be accessed by the user as required. The PPN could also be stored remotely by the issuing bank with the user accessing the number as required while connected to an electronic network (Internet, digital TV etc) using a browser or software designed for this express purpose ( 142 , FIG. 1 ). Such access could use the above database access system. These systems could also provide for the automatic transfer of the PPN to a website or other recipient via email, or ATM or wireless set ( 108 , 140 , FIG. 1 ) as explained above.
PPN Transaction Initiation Device(s) and System(s) (Step 306 )
[0071] Mechanisms are also required to initiate payments via a PPN. The account holder could register the PPN within a third party system electronic payment system such as PayPal, etc. and the system could then operate normally while providing extra security because the third party system electronic payment system does not hold actual bank or credit card details. In this scenario, payment would be made by whatever mechanism the system supports. Money would be transferred to the PPN as credit card refund. Such a refund could be handled by existing credit card terminals or transaction processing software if the PPN conformed to the standard credit card number format. When this transaction reaches the issuing bank it is remapped to transfer the funds either to the users own credit card account or directly to a bank account.
[0072] In addition banks could implement their own specific systems and devices for handling PPN payments. Such systems could add additional features such as PPN recipient verification, extraction of appropriate fees at source, allowing PPN holders and payers to check/review prior payments/receipts and provision of a digital receipt for the payer/recipient in the case of later disputes.
[0073] In the case of a PPN system using its own numerical format that deviated in some respects from standard credit formats, specifically modified transaction devices/software may be required to recognise and validate the PPN format before initiating the transaction.
PPN Transaction Routing Network (Step 307 )
[0074] A PPN transaction once initiated would be transferred through the credit card networks typically involving transmission to a merchant acquiring bank and then onto the issuing bank either directly or via the existing card associations (e.g., VISA, Mastercard or Europay etc.) networks, collectively referred to and the central processing station 102 in FIG. 1 . Inclusion of appropriate leading digits in the PPN will ensure that the existing global credit cards systems will automatically route the PPN transaction to the appropriate processing center as is the case with conventional refund transactions.
[0075] In the case of a PPN system using its own numerical format that deviated in some respects from standard credit formats, modifications to the existing systems may be required. Ideally from a commercial stand-point the PPN format should be capable of routing through the existing credit card networks even if it deviates from the standard format. Therefore in determining the appropriate number format for the PPN, the ability of the existing systems to transparently handle such a format is of key importance.
PPN Processing System (Step 308 )
[0076] On receipt of a PPN transaction the processing system completes some or all of the following processes:
Validate that the received PPN is a valid and issued number, Identify the appropriate associated customer account details, Determine how funds are due to be forwarded for this customer and obtain required account numbers (e.g. credit/debit or bank account details), Make appropriate deductions in the case where the bank is charging a commission or other service fee to customers for this service. Create appropriate transaction messages incorporating the forwarding account details and the adjusted amount for the fund transfer to be completed by existing bank systems. Log transaction details in a database for auditing and customer service purposes, etc. Forward the new or modified transaction messages onto the appropriate systems for completion. These systems may be the existing credit/debit card processing systems or direct electronic fund transfer systems. In specific circumstances the processing system may be configured to hold/defer payments for a specific period or until additional confirmation is received that the transaction can proceed. This option may arise in the case of suspicious transactions, as a method for the bank to fund the system by gaining interest on the held funds or when payment is made contingent upon the delivery of specific goods and services. When required the processing system should be able to initiate a reversal of a payment in order to correct for inaccurate or inappropriate payments.
Customer Service System (Step 309 )
[0085] The customer service system provides the bank with a means to monitor activity and transactions with the PPN processing system. This will include assessing the state of the PPN processing system and initiating database queries for completed transactions. The need for this service arises from the need for monitoring by the bank and to handle customer queries regarding specific PPN transactions.
[0000] Integration with Existing Payment Services
[0086] For PPN systems using existing credit card formats, the system will be compatible with any system that currently provides for payment onto a credit/debit card.
[0087] Banks that issue PPN accounts could provide a specific payment portal/website that would operate for their own or any other banks PPN. This has the benefit that the payer can choose a site that he trusts on the basis of a well known name or potentially his/her own bank even if he/she does not have a PPN account. The recipient therefore does not have to dictate to the payer that the payment is made on a specific site (one that the payer may not previously have known). Such a site can provide enhanced PPN services. These services could include providing verification that a specific PPN was associated with the intended payee, email notification by the PPN holder of a payment and provision of a digital receipt signed by a certificate authority for use in case of a dispute. Payment from the payer can be initiated as a bank transfer or credit card payment or other suitable remote payment mechanism. The funds could then be transferred to the PPN by initiating a credit card refund transaction using the PPN and existing credit transaction handling hardware or software. This site can, under terms agreed with both parties, extract commission for the transaction from either the vendor or the purchaser. This would most commonly happen in association with online auction sites. To extract commission from the purchaser, the transaction website adds a specified amount or percentage to the transaction. To extract commission from the vendor a specific amount is deducted from the transaction prior to completing the transfer of funds to the payment number's account.
Transaction Cycle
[0088] Once the payment site receives the PPN, a standard type credit card refund transaction message is created, typically for refunds within a settlement message file, containing the PPN, transaction amount and other required information. The credit card networks will route the information contained within the transaction messages according to the leading digits of the payment number in the same manner as an existing credit card transaction. This will be routed on the basis of a specific BIN (i.e. Bank Identification Number such as the first six digits in a VISA format number) to a dedicated processing server which will verify the validity of the payment number and use a database to identify the appropriate receiving account.
[0089] With a credit card format compatible PPN, funds transfer will be handled by the existing settlement systems with funds being transferred to the PPN issuing bank from the card scheme and recovered by the scheme from the merchant acquirer bank and from there from the originating payment site which acts as a credit card merchant. In the case that the acquiring bank and issuing bank are the same institution or have a bilateral agreement then the funds transfer may be made without reference to the card scheme networks.
Implementation of Location of System Components
[0090] In terms of location of the system, it could be implemented within a bank's internal credit card processing system. If a dedicated BIN (i.e. 6 digit header in VISA and Mastercard systems) is used then the credit card networks will direct all transactions to the required processing site. The software receiving the transaction information would validate the PPN number, determine the matching account details and then use standard existing networks to effect the payment.
[0091] The service could also be offered on a bureau basis whereby the PPN transactions of wide range of banks would be directed to a single site operated on behalf of all the banks. Provided this site had access to the account details of each PPN holder and access to the banking/credit card payment systems, such a single site could operate such a service for many banks. This service could allow banks to handle their own PPN allocation and then inform the central service of the number. Alternatively the entire process could be centralized with the bureau service hosting the allocation system. In this option, banks would when handling a request for a PPN request a PPN from the central system and provide the other required account details at the same time.
[0092] Such a bureau solution could be operated by the card scheme themselves providing a global service from a single site. In this situation the central site could provide for remapping the received PPN to the matching credit/debit card and forward the transaction/settlement messages onto the appropriate institutions for completion of the transaction. The interchange fees contained within the settlement messages would inherited from the original message to maintain the PPN specific interchange fees rather than the interchange associated with the receiving account. In this scenario the banks would receive standard refund transactions on a credit/debit card number and can process these entirely as normal without the financial costs associated with reverse interchange. Alternatively the central system could also provide for direct transfer of funds to a users bank account without the need for further use of the credit card systems, instead linking directly into the electronic funds transfer systems.
Alternative Implementation
[0093] In the above description the transaction website (effectively a web merchant) initiates the purchasing transaction on behalf of the payer and transmits the required information for the payment transaction for processing by the payment card processing software center. In this scenario the payment from the payer and the payment to the recipient are separate transactions.
[0094] An alternative is for both the PPN and the purchasing credit card number to be transmitted within appropriate fields within the financial message that is transmitted back for processing, with the PPN being used as the primary account number to ensure appropriate routing of the transaction message. In this scenario the payment and receipt of funds are linked and conducted by a party within the banking/credit card system rather than at the merchant level. This has the advantage that the payers details can be logged along with the PPN transaction to allow for easier transaction audit. Under these circumstances the required processing for both making and receiving the payment could be initiated at several levels, either at the level of a credit card merchant acquirer bank, within the card scheme systems or following routing from a merchant acquirer to a card processing system. Within these systems the purchasing and payment transaction can then be executed either within the same system (i.e., merchant acquirer or by processing system) or be divided between the two systems. Completion of the transaction will require one of these two systems to initiate a standard credit transaction effectively acting as a merchant and receive payment on behalf of the purchaser or to receive funds from the payer using an alternative payment system. An appropriate fund transfer (or credit to a credit card account) is then made to the payee. Pre-agreed commissions can be added to the purchase amount or deducted from payment amount in the course of the transaction. A negotiated commission can be paid to the website/merchant that initiated the transaction and transmitted the information into the credit card networks. This can be done in an independent settlement process or by direct bank transfer since the merchant is identified within the financial message format as described above.
[0095] The PPN has a number of highly positive features such as:
[0096] (1) PPN can be used in situations where revealing a credit card number would be considered potentially risky.
[0097] (2) The interchange fees associated with normal transactions can be modified to be appropriate for receiving payment rather than making payment. This allows for person to person payments without impacting on the processing of true refunds.
[0098] (3) The existing global credit card networks can be used to handle the payment providing a trusted established system.
[0099] (4) Currency exchange is handled automatically by the card networks.
[0100] (5) In order to receive payment, the PPN holder does not need to reveal bank account or credit/debit card details to anyone other than his own bank or credit card company.
[0101] It will be appreciated that the present invention is not limited to the foregoing exemplary embodiments. Variations and modifications will occur to those skilled in the art without departing from the scope of the present invention as described in the claims appended hereto. | The delivery of a secure method and system of generating person to person, business to business, business to person and person to business transactions involving transfer of funds from one party (the purchaser) to a second party (the vendor). The functionality of existing credit/debit cards and the associated infrastructure is extended to provide a secure global mechanism for individuals/businesses to receive funds without revealing confidential information or having to become credit/debit accepting merchants. | 47,857 |
This invention relates to a method of forming an emitter or detector surface on the end of an optical fibre.
BACKGROUND OF THE INVENTION
There are various applications where it is desirable to pass light down an optical fibre and to emit the light substantially isotropically (that is, with equal energy density in all directions) from the remote end of the fibre, or to receive substantially isotropically at the remote end and transmit it along the fibre. One such application is in medical endoscopy, where it is desirable to be able to measure the intensity of light energy actually reaching a treatment site. This could best be done by a detector which is isotropic, which is sufficiently small and flexible to pass through an endoscope, and which is formed of clinically compatible materials.
It has been attempted to form an isotropic emitter/detector by bonding a sphere of a light-scattering material such as PTFE to the end face of an optical fibre. It is difficult to form a satisfactory bond, and there is a substantial risk of the bond failing in use. It is also difficult to machine the spherical member accurately, a typical diameter being about 1 mm.
SUMMARY OF THE INVENTION
According to the present invention there is provided a method of making an optical device, comprising:
providing an optical fibre having a free end;
contacting said free end with a curable material which on curing is capable of forming around said free end a member having light-scattering properties; and
curing said material in a manner to produce said member.
The present invention overcomes or mitigates the problems of the prior art methods, and provides an optical device which can be used as an isotropic emitter or detector and which can be made relatively easily and with a high degree of repeatability.
Typically, the member is formed to enable it to emit or detect light substantially isotropically. However, for some applications the member could be formed to emit or detect light in a predetermined non-isotropic pattern. This could be done by moulding the member to a desired shape or moulding a shaped cover around the member after the member has been produced.
Preferably, the curable material contacted by the free end is in the form of a droplet suspended in a liquid. The material is preferably cured by passing laser radiation along the optical fibre towards its free end. Typically, the radiation may be ultra-violet light, visible light or near infra-red light.
Preferably the curable material comprises a chemical resin and a catalyst that induces curing of the resin by absorbing radiation with a wavelength in the ultra-violet, visible or near infra-red regions of the spectrum. Typically, the resin could be a methacrylate and is preferably methyl methacrylate. Typically, the curable material has a viscosity which enables it to be suspended in an organic liquid such as paraffin to produce a spherical probe end.
Preferably the material has sealant properties; a particularly effective material is a dental fissure sealant such as that sold by Voco Chemie under the Trade Mark FISSURIT. FISSURIT is provided in uncured liquid form and is cured by application of blue-green laser light to form solid mass around the free end of the fibre. In this case the catalyst has an absorption band centred at about 467 nm.
Typically, the material also comprises a filler material which scatters, in use, light emitted by the fibre or collects light to enable the light to be transmitted by the fibre. Preferably, the filler material scatters or collects the light isotropically and could be a material such as TiO 2 or SiO 2 .
The fibre is preferably resistant to high temperature and capable of being produced with a small overall diameter. A suitable fibre is that sold by Polymicro Technologies under the designation FLP 100110125, which can be provided with an overall diameter of 125 μm.
The optical device may include two or more optical fibres, each of which has a free end which is contacted with the curable material.
According to the second aspect of the present invention there is provided a method of treating tissue, comprising inserting a light-emitting device into animal tissue and passing light along said device to irradiate the tissue. The light-emitting device is preferably substantially isotropic.
According to a third aspect of the present invention there is provided a method of determining the activity of a drug during its use in treatment of animal tissue by examining the fluorescence of the drug, comprising inserting an optical device into the tissue, irradiating said tissue to cause the drug to fluoresce, and detecting the fluorescence produced.
Radiation from the range of visible (green) light to near infra-red light may be used.
Preferably, an infra-red wavelength for example 1.06 μm is used for treating tissue, as infra-red light provides effective and gradual penetration and does not burn the tissue.
However, if it is the fluorescent characteristics of a drug that are to be monitored, a different wavelength may be more useful. For example, to induce fluorescence of 632 nm could be used.
The optical device of the third aspect of the present invention may be used either to induce or to detect fluorescence. It may also be adapted to perform both functions; for example, by either including two fibres in one device, or using a single fibre with appropriate optical equipment to differentiate between incoming and outgoing light. If two fibres in one device are used, one fibre may be used to provide light and the other to detect light. The optical properties and constants of tissue may be examined by the use of such a device, for example, light can be provided at one wavelength along one of the two fibres and the reflected light can be examined at the same wavelength along the other.
If used in photodynamic therapy, the device can be used to monitor the efficacy of a drug by examining its fluorescent characteristics. The detected light travels from the probe end through a filter which removes light of the wavelength used to induce fluorescence, for example 632 nm, allowing the fluorescence alone, for example 692 nm, to be detected.
Preferably, the material used in making the probe end is selected for its low absorption of light in these ranges.
According to a fourth aspect of the present invention there is provided a method of tissue optical parameter measurement employing an optical device comprising an optical fibre, one end of which comprises a isotropic light emitter/detector, the method comprising embedding the fibre and emitter/detector in the tissue supplying light, through the fibre to the emitter/detector and detecting the quantity of light reflected from the tissue.
Preferably, laser light is used. Most preferably of a visible wavelength such as approximately 630 nm from a HeNe laser.
Preferably, the isotropic emitter includes impurities of a material such as TiO 2 or SiO 2 which scatter the light in all directions equally.
The optical device may be calibrated by submerging the emitter/detector in a fluid, and determining the background signal by detecting the quantity of light reflected by the fluid. Preferably, the fluid is water.
The corrected reflectance readings are given by taking reflectance readings in the method described above and subtracting the calibration reading for reflectance of clean water also determined as described above.
The device may be used for a number of purposes including measurement of the oxygenation of blood and symmetry of tissue.
The device may also be used to determine the depth profile of tissue, that is the light intensity measurement obtained versus depth of tissue which may be used to determine the effect of treatment on the tissue and the dosage of light used in cancer treatment may be adjusted as necessary.
Preferably, the depth profile is determined by irradiating the tissue from above and embedding the fibre and detector in the tissue at various depths and detecting the light intensity.
The dosage may be increased by increasing illumination from above or by using a fibre and emitter embedded in the tissue for in situ illumination.
Preferably, one fibre is used to supply light to the emitter/detector and to return light for measurement.
The fibre may be coupled to a second fibre, out with the tissue, which leads to a measurement detector.
Alternatively, a supply and a separate detector fibre may be embedded in the emitter/detector.
According to a fifth aspect of the present invention there is provided a method of introducing the optical fibre and emitter/detector into the tissue comprising inserting a hypodermic syringe needle into the tissue passing the fibre and emitter detector through the needle and into the tissue, and removing the needle.
Preferably, the fibre is of the order of 50 um in diameter.
According to a sixth aspect of the present invention there is provided an optical fibre, for use in the optical device, the fibre comprising a plurality of spaced sequential markings along its length.
Typically, the markings are equally spaced.
Preferably, the markings on the fibre are formed from spots of substantially the same light cured resin as used in the emitter/detector.
Preferably, the markings are spaced at 1 cm intervals. Most preferably, every 5th and/or 10th mark is coloured so as to make counting the markings easier.
According to a seventh aspect of the present invention there is provided a less delicate and less easily damaged optical fibre comprising an optical fibre clad in a moulded material.
Preferably, the cladding enables the transmission of light and does not include scattering impurities.
According to an eighth aspect of the present invention there is provided a fibre mount comprising a standard syringe, the fibre being passed through the syringe end positioned centrally in the syringe by a tapered plug with a small diameter central bore which receives the fibre, when the plug is in position in the syringe.
Preferably, the plug is formed from a plastics material.
Preferably, the syringe is threaded for attachment to an optical detector or standard mount. According to a ninth aspect of the present invention there is provided a fibre probe for use in detecting arterial plaque, the probe comprising an optical fibre one end of which includes an isotropic emitter, a length of the fibre adjacent the isotropic emitter being clad in a light cured moulded material optically transparent in the wavelength range covering the fluorescence from artery plaque and the input wavelength to form a cylindrical detector.
The length of the cylindrical detector enables the detection of light over a longer length of the artery than would have been possible with the isotropic detector.
Preferably, the material from which the detector is formed includes scattering impurities such as TiO 2 and SiO 2 .
Preferably, a plurality of fibres are embedded in the cylindrical detector, the fibres transmitting the detected light back to a monitor and thus providing a directional indication of plaque positioned on the artery walls.
Preferably, the cylindrical detector is formed by placing a plastic sheath over the fibre, inserting light curable moulding material into the space between the sheath and the fibre, passing light down the fibre in order to cure the material, and peeling off the sheath.
Most preferably, the sheath is formed from a material with a low coefficient of friction such as P.T.F.E.
As the plaque is fluorescent the isotropic emitter may be used simply to excite fluorescence in the plaque, which may be detected by the cylindrical detector.
BRIEF DESCRIPTION OF THE DRAWINGS
Embodiments of the present invention will now be described by way of illustration in the following Examples and with reference to the accompanying drawings in which:
FIGS. 1A and 1B illustrate, schematically, a first method of making an optical device;
FIG. 2 illustrates, schematically, a second method of making an optical device;
FIG. 3 illustrates a first method of detecting the fluorescence of a drug;
FIG. 4 illustrates a second method of detecting the fluorescence of a drug;
FIG. 5 shows a schematic diagram of an optical device being used in tissue diagnosis;
FIG. 6 illustrates an optical device having spaced sequential markings;
FIG. 7 shows a schematic diagram of a clad fibre;
FIG. 8 shows a fibre mount in use with an optical device;
FIG. 9A shows a schematic diagram of a isotropic emitter and cylindrical detector in use in arterial plaque detection; and,
FIG. 9B is a partial cross-sectional view along the line A--A in FIG. 9A.
DESCRIPTION OF PREFERRED EMBODIMENTS
Photocurable materials are generally based upon a methacrylate combined with a photoinitiation system which provides free radicals in the presence of blue light. The rate of photoinitiation equals the rate of production of free radicals and is given by the product of the quantum yield of the photoinitiation times the amount of radiation absorbed by the photosynthesizer. Hence the depth of cure of these materials, or the volume of cure, is related to the absorption coefficient of the photosynthesizer and the amount of light available for curing.
The success of the cure relies on the absorption of photons from the irradiation beam by the photoinitiator. The depth of cure is therefore limited if the incident photon flux is insufficient to provide the desired cure within a certain time. Larger cure depths will consequently be obtained by a material with a low absorption coefficient at the curing wavelength. All organic systems absorb at ultra-violet wavelengths (<350 nm), but only the peak of the photoinitiation absorption at 450 nm or greater contributes significantly within this material and larger cure depths may be possible.
Equally, moving away from this peak towards higher wavelengths ensures a trade-off between absorption and cure time for the desired cure depth. It should be noted that obviously at the absorption bands of the photoinitiation system light transmission will be reduced. Hence, the blue light curing compound within the material gives the uncured polymer a yellow hint. It has been suggested, however, that this may be reduced through photobleaching the initiator by delivering an intense curing flux. In order to achieve the requirement of a diffusing material suitable for probe usage, a light-scattering filler must be added to the light cured polymer. The contribution to light distribution within the polymer and its cure will be affected by the degree of scatter introduced by the filler. Generally, the depth of cure will be reduced due to the diffuse nature of the flux giving the photon the increased opportunity to be absorbed at a smaller depth. However, with attention given to this effect, the diffuse light distribution, and its resulting curing action, may be manipulated to obtain a variety of configurations for optical devices.
Much of the recent development work on light cured polymers at blue photoinitiation wavelengths has evolved from applications in dentistry. These resin-based restorative materials were primarily used as dental fissure sealants. Consequently, the light cured polymer contained a filler to enable the cured material to have a white enamel appearance similar to that of teeth. These aesthetic additives were most often powdered titanium dioxide, silicon dioxide, radro-opaque glass, barium sulphate, etc. and were used not only to give the desired appearance, but also mechanical strength to the polymer. Clearly, the extent of the light-scattering within the polymer can be controlled by the quantity of filler added. Hence, the choice of such a material for probe use would appear very promising due to the ability to tailor the optical properties, i.e. scattering, to suit the required light distribution.
The main companies producing opaque or white dental fissure sealants is shown in Table 1. All the brands of materials detailed are blue light cured, (400-470 nm) and the physical and chemical properties are well reported.
TABLE 1______________________________________Brand Manufacturer______________________________________Delton LC Opaque Johnson and Johnson, East Windsor, USARoltseal LC Kulzer, Wehrheim, West GermanyMelroseal Vivadent, Schaan LiechtensteinPrimashield Chaulk/Dentsply, Milford, USAResto-seal A Den-Mat, Scinta Manta, USAVerite-sheen Unitek, Monrovia, USAFolofil ICI Ltd, Macclesfield, Cheshire, UKLee-fill Lee Pharmaceuticals, South El Monte, CA, USAFissurit, Opaque Voco, Chemie, Cuxhaven, West Germany______________________________________
Typically, all dental fissure sealants must have the following desiderata:
Cure in blue light (400-470 nm);
Cure quickly;
Cure to a complete rigid form;
Bond to many surfaces, e.g. ceramic, enamel, etc;
No interaction between cured state and its environment;
Non-toxic (BS 5825:1989);
Minimal water absorption;
Minimal shrinkage of cure.
Of course, all of these requirements are relevant to a light dosimetry probe. However, of particular interest in probe fabrication is the fact that these materials will have had some form of toxicity testing and have a strong mechanical form when cured. The use of a material with an established medical application greatly enhances its choice over non-medical alternatives. Also of interest is the temperature stability of these polymers. This is typically quoted as 150° C., which is significantly higher than any temperature that would be expected in photodynamic therapy of tissue. Therefore, both physically and chemically, these materials are ideal for probe application by conforming to the requirements for optimum probe design.
EXAMPLE 1
FLP 100110125 optical fibre from Polymicro Technologies, having an outside diameter of 125 um, is cleaned at both ends, with its buffer coat intact to the cleaned ends. An argon ion laser, which produces blue-green light, is then focused into the fibre through a lens and the exiting beam is examined to ensure that it has a clean profile.
With the laser switched off, the exit end of the fibre 3 (FIG. 1A) is immersed in uncured liquid FISSURIT (Trade Mark) 20 solution from Voco Chemie, and the laser is then actuated to pass its blue-green light along the fibre. The light emerging from the immersed end effects polymerisation of the FISSURIT material to produce a solid mass 21 (see FIG. 1B) around the fibre end. By adjusting the amount of light produced by the laser and the length of time of laser actuation the shape and size of the solid mass can be controlled, and an isotropic surface can be easily produced.
The isotropy is checked on removal of the fibre end from the liquid 20 and after removing excess liquid from the cured mass 21. When the required size and shape of the mass 21 have been produced the light from the laser is increased and sustained to ensure complete curing.
Further products can be produced in a matter of seconds once the power of the laser and the length of time of its actuation have been established, as checking of the isotropy will not then be necessary.
EXAMPLE 2
A FLP100110125 optical fibre from Polymicro Technologies, having an outside diameter of 125 um is prepared as described in Example 1.
A drop of light-curable material such as the dental fissure sealant FISSURIT (Trade Mark) sold by Voco Chemie, is added to paraffin 1 (see FIG. 2). Due to surface tension the droplet 2 suspends from the surface of the paraffin 1, as shown in the drawing. An optical fibre 3 is brought into contact with the droplet 2 so as just to penetrate the droplet 2, and laser light of 488 nm is passed along the fibre 3 to cure the droplet 2. The whole device is then removed from the paraffin 1.
The above method results in a transparent spherically-shaped probe end which acts as a lens, i.e. it can change the divergence of light falling on tissue. Different shaped probe ends may be obtained by varying the depth to which the fibre 3 penetrates the droplet 2. Other shapes may be obtained by the use of moulds.
The nature of the FISSURIT material ensures that a hard seal is produced on curing, and the cured material adheres firmly to the fibre. The cured material is non-toxic and medically compatible, and excellent isotropy can be produced.
Both the isotropic and the lens devices can be used in a variety of applications, medical and non-medical, where internal emission and/or detection of light is necessary.
In medical use, visible light is absorbed strongly by tissue, and so tends to burn rather than penetrate the tissue. Infra-red light is chosen in medical treatment of tumours and malignant tissue for its greater penetration.
Because of the low resistance of living cells to excessive heat, the device may be used to eradicate tumours. It may do this with a precision lacking in present technology due to the shape of the probe end and the ease with which the device can be placed internally in the body at the desired location, and so can be operated with the minimum of damage to healthy tissue.
The device may also be used for clearing arteries in angioplasty. The device, with its shaped probe end, may be fed into the artery and a laser may be used to fire light in predetermined patterns at the artery wall. A balloon device may then be used to push back the warmed artery wall.
These patterns are determined by the wavelength used and by the shape of the probe end, which may be in the form of a lens for distributing light as desired. Because different wavelengths react differently with the same shaped device, the pattern of light hitting the artery wall could be varied to suit the local circumstances as they change along the artery by suitable choice of wavelength used.
Fluorescence of Drugs
The activity of many drugs used in medical treatments can be monitored by examining changes in the drug's fluorescence at specific wavelengths (see FIG. 3). Tissue 5 is treated with a drug, which is absorbed as indicated at 6, and the tissue 5 is irradiated, as indicated at 7, at 488 nm to cause fluorescence of the drug. The level of fluorescence is then detected via an isotropic probe 4 which passes the detected light through a filler 8 for removing the light of irradiation and thence to a detector (not shown).
The probe 4 may also be used to irradiate the tissue 5 (see FIG. 4), or a separate probe may be used for each function. If it is the same probe, then it is preferable to use two optical fibres 3a, 3b, (FIG. 4) terminating within the same sphere for emission 9 and detection 10 of the light respectively. Arrow 9 represents incoming light of irradiation and arrow 10b is light to be monitored after the light of irradiation and fluorescence 10a have been separated at 8. It is also possible to use a single fibre for both these functions.
This process can also be applied to detect the presence of viruses to which drugs are attached, and to obtain information about their content.
A further advantage of the device is that some embodiments of an isotropic probe end in accordance with the second aspect of the present invention may also be considered as an integrating sphere: all light inside the probe is evenly distributed and is the same at all internal points. Existing integrating spheres are large, and the present invention allows this effect to be created inside the body.
FIG. 5 shows a method of tissue optical parameter measurement wherein an optical fibre 101, one end of which comprises an isotropic light emitter/detector 102 is embedded in the tissue and light is supplied through the fibre 101 to the emitter/detector 102 which emits light into the tissue and detects light reflected from the tissue. A HeNe laser is used to supply the light required at a wavelength of approximately 630 nm.
One fibre may be used to supply light to the emitter/detector and to return light for measurement or a second fibre 1 may be coupled to the first to return light for measurement or the second fibre 1 may be embedded in the emitter/detector for the same purpose.
FIG. 6 illustrates an optical fibre 101 comprising an emitter/detector 102 at one end of the fibre 101 and a plurality of equally spaced markings 103, in the form of spots of light cured material, along the fibre length. The markings 103 are spaced apart by approximately 1 cm and each fifth mark 104 is coloured differently to the remaining marks 103 so as to ease countings of the marks 103 and 104.
FIG. 7 illustrates an embodiment of the optical device wherein a portion of fibre 101 adjacent the emitter/detector 102 is clad in a moulded material 105 to form a more robust and less easily damaged fibre. The moulded material is a light cured resin such as methyl methacrylate. The resin is not doped with scattering impurities.
FIG. 8 shows a fibre mount comprising a standard syringe 106, the fibre 101 being passed through the centre of the syringe 106 and positioned centrally in the syringe 106 by a tapered plug 107 with a narrow central bore 108 which receives the fibre 101, when the plug 107 is in position. The output end of the syringe 106 has a screw-thread 109 to enable the syringe to be attached to an optical detector or standard optical mount, not shown.
This mount is of particular value when the optical device is inserted into the tissue by a method according to the second aspect of the present invention wherein a syringe needle is inserted into the tissue and the fibre 101 and emitter/detector 102 is passed through the syringe needle and into the tissue and needle is removed.
The syringe constitutes a low cost disposable optical mount for use with the optical device.
FIGS. 9A and 9B show an optical device being used in arterial plaque detection, the device comprising an optical fibre 101, one end of which includes an isotropic emitter 102, a cylindrical detector 105 in the form of a length of fibre 101 adjacent the emitter 102 clad in a light cured moulded material. The moulded material is transparent in the wavelength range covering both the florescence from arterial plaque and the initial input wavelength of an exetation laser.
The length of the cylindrical detector 105 enables the detection of light over a longer length of artery than would be possible with the isotropic detector.
The detector 105 is doped with scattering impurities to improve the percentage of the light which is transmitted along the fibre.
The isotropic emitter 102 emits light which is reflected by the artery wall 110 and arterial plaque 111 to a different degree. Thus detection of the quantity of reflected light will provide an indication of the quantity of arterial plaque. As arterial plaque 111 is fluorescent the isotropic emitter 102 may be used simply to excite fluorescence in the plaque 111 which may be detected by the cylindrical detector 105.
In order to provide a directional indication of plaque 111 position, a plurality of fibres 113 may be embedded in the cylindrical detector 105, the fibres 113 transmitting the detected light back to a monitor and thus providing a directional indication of plaque position 111 on the artery walls 110 due to the difference in quantity of light detected by the various fibres 113.
The cylindrical detector 105 is manufactured by placing the P.T.F.E. sheath over the fibre 111 adjacent the emitter 102 and inserting optically curable moulding material into the space between the sheath and the fibre 101. Light is then passed down the fibre to cure the material and the sheath is removed to disclose the detector 105.
In other embodiments of the invention fibres having different diameters may be used, for example 500 um.
Modifications and improvements may be incorporated without departing from the scope of the invention. | A method of making an optical device is described, in which an optical fibre having a free end is provided. The free end of the optical fibre is contacted with a curable material and the material on curing is capable of forming around the free end, a member having light-scattering properties. The material is cured in a manner to produce the member with an isotropic surface. Typically, the curable material contacted by the free end is in the form of a droplet suspended in a liquid and the material is preferably cured by passing laser radiation along the optical fibre towards its free end. | 28,679 |
BACKGROUND OF THE INVENTION
1. Field of the Invention
The present invention relates to an apparatus for producing hydrogen and oxygen wherein solid electrolyte membranes are used as diaphragms, such that when deionized water is fed to the anode side of the membrane, electrolysis generates oxygen gas from the anode side of the membrane and hydrogen gas from the cathode side of the membrane.
2. Description of Related Art
With respect to the construction of an apparatus for producing hydrogen and oxygen, a so-called "bipolar filter press type electrolyzer," as disclosed in Shinpan Denki-Kagaku Binran (Electrochemical Manual, the Latest Version), compiled by Denkikagaku Kyokai, published by Maruzen, 2nd version, 4th print, page 733), such as the prior art apparatus illustrated in FIG. 10, has been proposed for large-scale facilities that require large volumes of oxygen gas and hydrogen gas.
The apparatus illustrated in FIG. 10 comprises a plurality of solid electrolyte membrane units 120. The membrane units 120 are joined together, and each solid electrolyte membrane unit 120 comprises a solid electrolyte membrane 110, for example, a cation exchange membrane, such as, a fluorocarbon resin cation exchange membrane, like NAFION 117, available from E. I. DuPont deNemours, Wilmington, Del., meshy porous conductors 111 and 112 manufactured from, for example, a metal in the platinum group and being positioned on opposing surfaces of solid electrolyte membrane 10, and bipolar-type electrode plates 113, which are positioned to contact porous conductors 111 and 112. A bipolar-type electrode plate 113 is a single electrode plate with opposing faces that have an opposite polarity when energized.
In this case, when water is fed to the anode side of the electrolyte membrane unit, electrolysis is effected. As a result, on the anode side, a reaction 22H 2 O→O 2 +4H + +4e - occurs to generate oxygen gas. On the cathode side, a reaction 4H + +4e - →2H 2 occurs to generate hydrogen gas.
The apparatus has a construction such that deionized water feeding paths 115 are provided to feed deionized water to porous conductors 111 on the anode side of solid electrolyte membrane units 120. Oxygen gas discharging paths 116 are provided to discharge oxygen gas (including water) from porous conductors 111 on the anode side of solid electrolyte membrane units 120, and hydrogen discharging paths 117 are provided to discharge hydrogen gas (including water) from porous conductors 112 on the cathode side of solid electrolyte membrane units 120.
In the "bipolar filter press-type electrolyzer" described above, deionized water and oxygen generated on the anode side of the units flow from water feeding paths 115 provided at one end of the anode side of porous conductors 111 in the direction of oxygen gas discharging paths 116 provided at the opposite end of porous conductors 111.
Furthermore, normally speaking, the form of porous conductors 111 is disc-like, hence, as shown in FIG. 11, the sectional area of the flow path for deionized water and oxygen gas increases (indicated by the arrows in FIG. 11) first, and then, near the outlet side, the sectional area decreases near the oxygen gas discharging paths 116, thereby increasing the resistance to flow. This phenomenon also occurs on the cathode side of the unit. The increase in flow resistance results in an increase in the amount of electric energy required for electrolysis, and a decrease of the overall efficiency of the apparatus.
As means for solving these problems, as disclosed in Japanese Patent Laid Open Publication (National Publication of Translation/KOHYO) No. SHO 63-502908 and Japanese Patent Laid Open Publication (KOKAI) No. HEI 06-033283, apparatus for producing hydrogen and oxygen have been disclosed wherein the apparatus is arranged in a way such that a water feeding path is provided axially in the center of the apparatus for producing hydrogen and oxygen. The water and hydrogen generated from the cathode plate are discharged through a path provided axially in the periphery of the apparatus, and the oxygen and water generated from the anode plate are discharged through a jacket provided axially between a cylindrical housing (casing) and the outer circumferential part of the cell.
However, because prior art apparatus for producing hydrogen and oxygen require a jacket for discharging oxygen and water, such apparatus has a complicated design, such as including a casing, sealing elements, and a jacket.
SUMMARY OF THE INVENTION
In consideration of the problems encountered using prior art apparatus, the present invention provides a simple and efficient apparatus for producing hydrogen and oxygen wherein resistance against the flow of deionized water, oxygen gas, and hydrogen gas is not increased, the amount of electric energy required for electrolysis can be reduced to a minimum, and the conventional complicated arrangement used to overcome increased flow resistance, such as a casing, sealing elements, and a jacket, is not required.
The present invention solves the problems presented by prior art apparatus, and accomplishes the objectives mentioned above as set forth in the following paragraphs (1) through (3).
(1) A bipolar-type apparatus for producing hydrogen and oxygen comprising
a plurality of joined solid electrolyte membrane units, wherein each solid electrolyte membrane unit comprises a solid electrolyte membrane, a porous conductor in contact with each of two opposing surfaces of the solid electrolyte membrane, and an electrode plate positioned to contact each porous conductor, wherein the electrode plate has the capability of performing the functions of an anode and a cathode,
a main water feeding path for feeding water, and preferably deionized water, to the solid electrolyte membrane units in the axial direction thereof,
a cathode chamber and an anode chamber separated from one another by each of the electrode plates, each chamber containing a porous conductor,
a secondary water feeding path for the anode chamber being formed in each of the electrode plates from the main water feeding path to the anode chamber,
a hydrogen gas collecting chamber and a hydrogen gas path from the cathode chamber to the hydrogen gas collecting chamber being formed in each electrode plate in a radially outer portion thereof,
a hydrogen gas discharging path being formed to axially connect with the hydrogen gas collecting chambers formed in the electrode plates,
an oxygen gas collecting chamber and an oxygen gas path from the anode chamber to the oxygen gas collecting chamber being formed in each electrode plate in a radially outer portion thereof, and
an oxygen gas discharging path being formed to axially connect with the oxygen gas collecting chambers formed in the electrode plates.
(2) An apparatus for producing hydrogen and oxygen described in (1) above wherein the solid electrolyte membrane is a solid polymer electrolyte membrane.
(3) An apparatus for producing hydrogen and oxygen described in (1) or (2) above wherein the water feeding path is at, or near, the center of each solid electrolyte membrane unit.
An apparatus for producing hydrogen and oxygen according to the present invention exhibits the following novel and unexpected features.
(1) Because deionized water is fed from the center into each anode chamber, wherein the distance between electrode plates and said electrolyte membrane is kept constant, deionized water can flow towards the radially outward side. Hence, deionized water flows radially toward the outward side, or outer circumferential portion, with a decreasing velocity. On the other hand, as oxygen gas generated by the solid electrolyte membrane on the anode side flows into an anode chamber having a cross section which increases in the flow direction, towards the outer circumference, the resistance to flow becomes very low. Therefore, the resistance to flow decreases, the electrolytic potential required for electrolysis decreases, and, in turn, the electric energy required for electrolysis decreases. As a result, the efficiency of the present apparatus is very high. This effect also applies to the cathode side of the apparatus.
(2) Because the anode chamber is provided on the lower side of the electrode plate, the deionized water flows into the lower portion of the anode chamber, namely in the solid electrolyte membrane side, owing to the gravity thereof, and the generated oxygen gas is separated from the deionized water and flows above the deionized water, namely the electrode plate side. Therefore, the electrolyte membrane always is in contact with deionized water. This prevents interruption of the water supply, which has an adverse effect on the useful life of a solid polymer electrolyte membrane.
(3) Because the anode side of each electrode plate is provided with oxygen gas paths, an oxygen gas collecting chamber, and an oxygen gas discharging path, and the cathode side of the electrode plate is provided with hydrogen gas paths, a hydrogen gas collecting chamber, and a hydrogen gas discharging path to discharge oxygen gas and hydrogen gas, respectively, the conventional complicated prior art apparatus construction, which required a casing, sealing elements, and jacket, is not required. Thus, a simple and efficient apparatus for producing hydrogen and oxygen is provided.
(4) Because the solid electrolyte membrane of the present invention has a construction wherein electrodes of a precious metal or metals are bonded by chemical plating onto opposing surfaces of a solid polymer electrolyte, water is not present between the solid polymer electrolyte and either electrode. Hence, there is neither solution resistance nor gas resistance, and in turn, contact resistance between the solid polymer electrolyte and both electrodes is low, the voltage is low, and current distribution is even. As a result, it is possible to use a higher current density and electrolyze water at a higher temperature and higher pressure, resulting in the production of high purity oxygen and hydrogen gases with a greater efficiency.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a partial longitudinal sectional view of an embodiment of an apparatus for producing hydrogen and oxygen according to the present invention, showing only one side relative to the central axis thereof, and corresponds to a longitudinal sectional view along the line A3-A3' of FIG. 2.
FIG. 2 is a sectional view along the line A--A of FIG. 1.
FIG. 3 is a partial longitudinal sectional view along the line A1--A1 of FIG. 2.
FIG. 4 is a partial longitudinal sectional view along the line A2--A2 of FIG. 2.
FIG. 5 is a partial longitudinal sectional view along the line A3--A3 of FIG. 2.
FIG. 6 is a partial longitudinal sectional view illustrating an apparatus for producing hydrogen and oxygen according to the present invention wherein solid electrolyte membrane units are arranged in a row and clamped together.
FIG. 7 is a partial enlarged sectional view of FIG. 1, showing the annular insulating spacers positioned between electrode plates.
FIG. 8 is a partial longitudinal sectional view illustrating another embodiment of the apparatus for producing hydrogen and oxygen according to the present invention wherein solid electrolyte membrane units are arranged in a row and clamped together.
FIG. 9 is a sectional view of another embodiment of the apparatus for producing hydrogen and oxygen according to the present invention, and is similar to FIG. 2.
FIG. 10 is a sectional view schematically showing a conventional prior art double-electrode filter press-type apparatus for producing hydrogen and oxygen.
FIG. 11 is a schematic diagram showing the flow of water and gases in a conventional prior art double-electrode filter press-type apparatus for producing hydrogen and oxygen.
DESCRIPTION OF THE PREFERRED EMBODIMENTS
In the following, embodiments of the present invention are described in detail with reference to the attached drawings.
FIG. 1 is a partial longitudinal sectional view of an embodiment of the present invention, and, more particularly, is a longitudinal sectional view showing only one side of the apparatus relative to the central axis thereof. FIG. 1 corresponds to the longitudinal sectional view along the line A3--A3 of FIG. 2. FIG. 2 is a sectional view along the line A--A of FIG. 1. FIG. 3 is a partial longitudinal sectional view along the line A1--A1 of FIG. 2. FIG. 4 is a partial longitudinal sectional view along the line A2--A2 of FIG. 2. FIG. 5 is a partial longitudinal sectional view along the line A3--A3 of FIG. 2.
In FIG. 1 and FIG. 2, the numeral 1 denotes the entirety of an apparatus for producing hydrogen and oxygen according to the present invention. Apparatus 1 for producing hydrogen and oxygen basically has a construction wherein a plurality of annular solid electrolyte membrane units 40 are joined together. Each annular solid electrolyte membrane unit 40 comprises an annular solid electrolyte membrane 10, annular porous conductors 20 in contact with each opposing surface of membrane 10, and annular electrode plates 30, each electrode plate 30 capable of performing both the functions of an annular anode and an annular cathode, and being positioned adjacent to, and in contact with, porous conductors 20. Apparatus 1 for producing hydrogen and oxygen preferably is used, as shown in FIG. 1, with solid electrolyte membrane units 40 being joined vertically, but apparatus 1 can be rotated by 90 degrees from the above-mentioned vertical position into a horizontal position.
A main water feeding path 50 (see FIG. 2) is provided at or near the center of respective solid electrolyte membrane units 40 in the axial direction thereof, and water feeding path 50 extends through a center hole 32 of electrode plate 30, center holes 22 of porous conductors 20, and a center hole 12 of solid electrolyte membrane 10. An O-ring-shaped sealing member 60 is provided around center hole 32 on the top side of electrode plate 30 to isolate a cathode chamber 34 from main water feeding path 50.
Each electrode plate 30, except both end electrode plates of the apparatus, is a bipolar-type electrode plate, which is a single electrode plate having opposing surfaces that have opposite potentials when energized. On the cathode side (the bottom side in FIG. 1) thereof, an annular-dent-shaped anode chamber 36 is formed on the radially outer side relative to water feeding path 50, and porous conductor 20 of the anode side is positioned in anode chamber 36. On the other hand, on the cathode side (the top side in FIG. 1) thereof, an annular-dent-shaped cathode chamber 34 is formed on the radially outer side relative to main water feeding path 50, and porous conductor 20 of the cathode side is positioned in cathode chamber 34.
Each electrode plate 30 is provided, as shown in FIG. 1, FIG. 2, and FIG. 5, with a plurality of secondary water feeding paths 36a for the anode chambers that are positioned radially from the inner circumferential wall of center hole 32 of electrode plate 30 to connect main water feeding path 50 and anode chamber 36. Moreover, a plurality of roughly U-shaped oxygen gas paths 36b are radially provided on the radially outer side of anode chamber 36, and the terminals of the paths 36b are connected to an annular oxygen gas collecting chamber 36c formed on the cathode side surface of electrode plate 30 near the peripheral surface thereof. In this case, oxygen gas collecting chamber 36c comprises annular grooves formed on an end face 36d of electrode plate 30 and on an end face 36d of a second electrode plate 30 adjacent to electrode plate 30, respectively, and two sealing members 36e and 36f, e.g., O-rings, are provided around oxygen gas collecting chamber 36c to seal chamber 36c so that water and generated oxygen gas do not leak from chamber 36c. Oxygen gas collecting chambers 36c provided in respective electrode plates 30 are connected to each other via an oxygen gas discharging path 31 bored axially through electrode plate 30 in a position staggered away from secondary water feeding paths 36a for the anode chambers in terms of the central angle (please refer to FIG. 1, FIG. 2 and FIG. 5).
In this case, in the present embodiment, secondary water feeding paths 36a are provided in the position of the cross section along A3--A3 of FIG. 2, but the position is not limited to this cross section; paths 36a can be provided, for example, in the A1--A1 cross section or the A2--A2 cross section of FIG. 2.
On the other hand, each electrode plate 30 is provided, as shown in FIG. 1, FIG. 2 and FIG. 3, with a plurality of roughly U-shaped hydrogen gas paths 34b that are provided radially on the inner circumference of cathode chamber 34, hydrogen gas paths 34b are staggered away from the above-mentioned secondary water feeding paths 36a for anode chamber in terms of the central angle. The terminals of hydrogen gas paths 34b are connected to an annular-dent-shaped hydrogen gas collecting chamber 34c formed on the anode side face of electrode plate 30 near the peripheral surface thereof. In this case, hydrogen gas collecting chamber 34c comprises annular grooves formed on one end face 34d of electrode plate 30 and on one end face 34d of a second electrode plate 30 adjacent to electrode plate 30. Two sealing members 34e and 34f, e.g., O-rings, are provided around hydrogen gas collecting chamber 34c to seal chamber 34c such that water and generated hydrogen gas do not leak from hydrogen gas collecting chamber 34c. Hydrogen gas collecting chambers 34c provided in respective electrode plates 30 are connected to each other via a hydrogen gas discharging path 33 bored axially through electrode plate 30 in a position staggered away from hydrogen gas paths 34b in terms of the central angle to axially penetrate hydrogen gas collecting chambers 34c.
The various above-mentioned paths can be bored in electrode plates 30 by means of drills, or similar equipment. In addition, it is possible to use electric discharge machining or casting.
With respect to the present embodiment illustrated in FIG. 1, oxygen gas collecting chamber 36c is located in a radially more outer position than hydrogen gas collecting chamber 34c. Conversely, hydrogen gas collecting chamber 34c can be located in a radially more outer position than oxygen gas collecting chamber 36c. Moreover, in the case of the present embodiment, the number of secondary water feeding paths 36a for anode chambers and the number of oxygen gas paths 34b are ten each. These numbers, however, can be modified suitably. Further, in the present embodiment, the electrode plates, porous conductors, solid electrolyte membranes, and other elements, are annular, but the elements are not limited to this form. The main water feeding path is passed through the center of the solid electrolyte units, but the feeding path is not limited to this position.
As for solid electrolyte membrane 10, a solid polymer electrolyte is suitable to be formed into a membrane, for example, a solid polymer electrolyte membrane, wherein a porous anode and a porous cathode, each of a precious metal, and particularly a metal of the platinum group, are bonded by chemical plating onto opposing faces of a cation exchange membrane, such as a cation exchange membrane made of fluorocarbon resin containing sulphonic acid groups, for example, NAFION 117, available from DuPont deNemours, Inc., Wilmington, Del. In this case, both electrodes preferably are made of platinum. In particular, when both electrodes are of a two-layer construction of platinum and iridium, it is possible to electrolyze using a high current density, for example, at 80° C. and 200 A/dm2, for as long as about four years, whereas a conventional solid electrolyte in which the electrodes are in physical contact with an ion exchange membrane can be electrolyzed at 50 to 70 A/dm2. In this case, in addition to the abovementioned iridium, it is possible to use a solid polymer electrolyte membrane of a multi-layer construction wherein two or more metals of the platinum group are plated. It is possible to achieve operation at a high current density by using above-mentioned membrane.
When solid electrolyte membrane 10 of the present application is constructed such that electrodes of a precious metal or metals are bonded by chemical plating onto opposing faces of solid polymer electrolyte 10, water is not present between the solid polymer electrolyte and either electrode. Hence, there is neither solution resistance nor gas resistance, and in turn, contact resistance between the solid polymer electrolyte and each electrode is low, the voltage is low, and current distribution is even. As a result, it is possible to use higher current density and electrolyze water at a higher temperature and at higher pressure, which results in production of high purity oxygen and hydrogen gases with a greater efficiency.
In accordance with the present embodiment, the diameter of solid polymer electrolyte membrane 10 preferably is about 280 mm. As shown in FIG. 1, solid polymer electrolyte membrane 10 extends to sealing member 34f of oxygen gas collecting chamber 34c. Accordingly, membrane 10 is sealed such that hydrogen gas and oxygen gas generated on opposite sides of membrane 10 do not mix together.
On the other hand, with respect to porous conductor 20, it is preferable to use a mesh of titanium, for example, three plies of expanded metal of a few millimeters in total thickness. When using such porous conductors, it is possible to feed electric current required for electrolysis from electrode plates 30 to platinum-plated portions on the surfaces of solid electrolyte membrane 10, while deionized water, being the raw material, and generated oxygen and hydrogen gases are allowed to pass through the porous conductors. In short, porous conductor 20 can be any porous material that is conductive, permeable to air, and corrosion resistant. In addition to the above-mentioned materials, it is possible to use porous carbon materials, porous metallic materials, porous and conductive ceramics, and similar materials for porous conductor 20.
With respect to electrode plate 30, when a metal is used as the material of construction therefor, titanium can be used to prevent elution of metallic ions into the deionized water, and the thickness of electrode plate 30 can be from several millimeters to several tens of millimeters. When the dimensions of O-ring grooves are taken into consideration, electrode plate 30 preferably has a thickness of about 20 mm. In addition to titanium, the material of construction of electrode plate 30 can be graphite. In this case, the dimensions of the graphite electrode plate preferably are identical to those of an electrode plate made of titanium.
When solid electrolyte membrane units 40 are arranged in a row and clamped together, as shown in FIG. 6, disc-like end plates 70 made of a stainless steel, such as SUS304 or SUS316, are positioned outside solid electrolyte membrane units 40 located at each end, and when solid electrolyte membrane units 40 are arranged in a row, the respective members can be clamped by providing an insulating coating 90 of polytetrafluoroethylene (PTFE) or a similar coating (please refer to FIG. 1) or an annular insulating spacer 92 (please refer to FIG. 7) to insulate the respective electrode plates, providing additional insulating spacers 93 and 94 between end plates 70 at each end and the electrode plates at each end, making a plurality of through holes 80 extending between the end plates 70 at both ends of apparatus 1 for producing hydrogen and oxygen, inserting bolts 82 through through holes 80, and tightening bolts 82 with nuts 84.
In this case, as shown in FIG. 6, one end plate 70 (on the lower side in FIG. 6) is provided, at the center thereof, with a flange-type water feeding port 52 that connects to main water feeding paths 50, and with a flange-type water drain port 95 on the oxygen side that connects to oxygen gas discharging paths 31 and oxygen gas collecting chambers 36c, and a flange-type water drain port 96 on the hydrogen side that connects to hydrogen gas discharging paths 33 and hydrogen gas collecting chambers 34c. In this case, end plate 70 is provided, on the inner face thereof, with an annular oxygen gas collecting chamber 76c and an annular hydrogen gas collecting chamber 74c that correspond to oxygen gas collecting chamber 36c and hydrogen gas collecting chamber 34c.
Moreover, the other end plate 70 (on the upper side in FIG. 6) is provided with a flange-type oxygen gas discharging port 97 that connects to oxygen gas discharging path 31 and oxygen gas collecting chamber 36c, and a flange-type hydrogen gas discharging port 98 that connects to hydrogen gas discharging path 33 and hydrogen gas collecting chamber 34c. The other end plate 70 (on the upper side in FIG. 6) also is provided with a closing cover 52a to close the other end of main water feeding path 50, namely, secondary water feeding path 36a for anode chamber of the end plate 70 on the opposite side of water feeding port 52.
As for water drain port 95 on the oxygen side, water drain port 96 on the hydrogen side, oxygen gas discharging port 97, and hydrogen gas discharging port 98, one or two or more of each can be provided at appropriate intervals in the circumferential direction.
FIG. 8 is a partial sectional view showing another embodiment wherein the above-mentioned solid electrolyte membrane units 40 are arranged in a row and clamped together. The construction is such that the diameter of end plates 70 on each end is greater than the diameter of electrodes 30, a plurality of through holes 80 are made in the protruding sections of end plates 70, through bolts 82 are put through holes 80 and through bolts 82 are tightened by nuts 84. This eliminates the need for making through holes for bolt clamping in electrode plates 30, insulating spacers 93 and 94 and other elements, thereby resulting in easier fabrication.
Electrode plates 30 positioned at each end of apparatus 1 for producing hydrogen and oxygen are provided with a projection protruding outwardly from the periphery thereof, although not illustrated. Thus, electric current can be fed to said projections.
FIG. 9 is a sectional view of another embodiment of an apparatus for producing hydrogen and oxygen according to the present invention, and is similar to FIG. 2. Elements of FIG. 9 corresponding to elements of the above-discussed embodiment in FIG. 2 are identified by reference numbers wherein 100 is added to the original reference numbers of FIG. 2. The embodiment in FIG. 9 differs from the embodiment in FIG. 2 in that oxygen gas collecting chambers 136c are not annular. The oxygen gas collecting chambers are independent cylindrical oxygen gas collecting chambers 136c for the respective units, and an O-ring 136e is provided around each oxygen gas collecting chamber 136c to seal an oxygen gas discharging path 131. Similarly, hydrogen gas collecting chambers 134c are not annular. The hydrogen gas collecting chambers are independent cylindrical hydrogen gas collecting chambers 134c for the respective units, and an O-ring 134e is provided around each hydrogen gas collecting chamber 134c to seal a hydrogen gas discharging path 133. In this case, although not illustrated, an annular oxygen gas collecting chamber and an annular hydrogen gas collecting chamber can be formed in the end plate to discharge oxygen gas and hydrogen gas from the plurality of gas collecting chambers through a single oxygen gas discharging port and a single hydrogen gas discharging port, respectively. This eliminates the need of providing many discharging ports, resulting in a simpler construction.
In the above-described apparatus 1 for producing hydrogen and oxygen according of the present invention, first, deionized water flows from a deionized water feeding system (not illustrated), through main water feeding path 50, and via center hole 12 of each solid electrolyte membrane 10, to the radially outward portion of porous conductor 20 in each anode chamber 36. This is to feed deionized water to each solid electrolyte membrane 10.
Deionized water is electrolyzed by solid electrolyte membrane 10 on the anode side. A reaction 2H 2 O→O 2 +4H + +4e - occurs to generate oxygen gas. Water and the generated oxygen gas are discharged via the oxygen gas paths 36b, oxygen gas collecting chamber 36c, and oxygen gas discharging path 31, and oxygen gas is separated from the water by a gas-liquid separator (not illustrated) connected to the oxygen gas discharging path 31.
On the other hand, on the cathode side, H + passes through the solid electrolyte membrane 10, and H + is supplied with electrons on the cathode side. A reaction 4H + +4e - 2H 2 occurs to generate hydrogen gas, and water and the generated hydrogen gas are discharged via the hydrogen gas paths 34b, hydrogen gas collecting chamber 34c, and hydrogen gas discharging path 33, and hydrogen gas is separated from the water by a gas-liquid separator (not illustrated) connected to hydrogen gas discharging path 33. In this case, in each electrode plate 30, deionized water from main water feeding path 50 is fed into anode chamber 36 for electrolysis, via a plurality of deionized water feeding paths 36a radially formed from the inner circumferential wall of center hole 32 of electrode plate 30. | A simple and efficient apparatus for producing hydrogen and oxygen is disclosed, wherein resistance to the flow of deionized water, oxygen gas, and hydrogen gas does not increase, and the amount of electric energy required for electrolysis can be reduced. A bipolar-type apparatus for producing hydrogen and oxygen, wherein a main water feeding path is formed in the approximate center of electrode plates in the axial direction, and an anode chamber and a cathode chamber are formed on opposing surfaces of the electrode plates to store porous conductors. A secondary water feeding path for the anode chamber directs water from the main water feeding path to the anode chamber. On the cathode side of the apparatus, a hydrogen gas collecting chamber is formed, a plurality of radial hydrogen gas paths are formed from the cathode chamber to the hydrogen gas collecting chamber, and a hydrogen gas discharging path are formed to axially hydrogen gas collecting chambers in each electrode plate. On the anode side of the apparatus, an oxygen gas path is formed from the anode chamber to the oxygen gas collecting chamber, and an oxygen gas discharging path is formed to axially connect to the oxygen gas collecting chambers in each electrode plate. | 29,988 |
BACKGROUND AND DESCRIPTION OF THE INVENTION
The present invention relates generally to medical catheters, and more specifically to a balloon catheter having a balloon capable of increased radial expansion.
Medical catheters of different types are used for a variety of purposes, including radiology, esophageal procedures, peripheral angioplasty, and angiography. Medical catheters generally have a proximal hub, a body, and a distal tip portion. The body is formed of a flexible, relatively narrow tubular material having sufficient length to traverse a path from an external incision to an internal region of interest within the body of the patient. The proximal hub enables the catheter to be coupled with medical equipment which is used to perform a medical procedure at the distal tip portion. In a typical medical procedure such as radiology angiography or angioplasty, the catheter is usually pre-loaded onto a guidewire by feeding the guidewire through the catheter until a relatively short distal portion of guidewire extends distally beyond the tip of the catheter, with a portion of the guidewire extending proximally from the catheter hub. The pre-loaded catheter and guidewire are then inserted into the body of the patient, steering them into the proper passageways, until the tip of the guidewire is disposed in the desired region.
In the particular example of balloon angioplasty, a guiding catheter may be initially placed through the large access artery or vessel, and its tip is disposed near to the desired site. The guiding catheter thus acts as a conduit to access the various blood vessels with a guidewire and subsequently a balloon catheter. The guiding catheter is constructed of plastic tubing approximately one meter in length, and has a inside diameter substantially within the range of 5 to 14 French size. The term "French size" is defined as an object having a major dimension of a multiple of 0.013 inches or 0.33 millimeters.
Balloon angioplasty catheters and other associated apparatus are described in U.S. Pat. No. 4,906,244 to Pinchuk et al. entitled, "Balloons For Medical Devices And Fabrication Thereof," and U.S. Pat. No. 5,370,615 to Johnson entitled, "Balloon Catheter For Angioplasty," the disclosures of which are incorporated herein by reference. A balloon catheter is an elongated flexible plastic shaft having a balloon at the distal end of the catheter shaft, and this balloon can be expanded by supplying inflation fluid under pressure through a passage, or lumen, in the catheter shaft. Both ends of the balloon member are connected with the catheter shaft in a sealed manner. The volume enclosed by the balloon in between these sealed connections, at least one opening is arranged in catheter shaft in order to supply the inflation fluid under pressure from the lumen to the inside of the balloon, and also to subsequently remove the inflation fluid from the balloon for withdrawal through the guiding catheter.
A balloon catheter may be designed with an integral "fixed-wire" at its distal end, or may be used with a guidewire in an "over-the-wire" technique. An over-the-wire balloon catheter has at least two longitudinal passages, or lumens, and a substantially inelastic balloon located near its distal tip. One lumen slidingly accepts the guidewire, while the other lumen allows communication of inflation fluid from the proximal hub to the interior of the balloon to inflate it at pressures which usually range from four to twelve atmospheres, to conduct the angioplasty.
The guidewire and balloon catheter may be inserted through the guiding or other vascular insertion device catheter until the balloon is near the distal end of the guiding catheter. Then the balloon catheter and guidewire tip are manipulated to advance them into the vascular. When the balloon is located in a restricted region of the artery, inflation fluid is injected through the inflation lumen, causing the balloon to inflate and reopen the artery 18 as shown in FIG. 2, to allow sufficient blood flow.
It is desirable to provide a balloon catheter having the smallest possible cross-section, or profile, when the balloon is deflated. In the case of angioplasty catheters, the profile should be as small as possible to enable the catheter to navigate the relatively small and tortuous coronary arteries and to cross restricted or blocked vessels, referred to as lesions. Indeed, the profile must be smaller than a maximum limit imposed by the fact that the catheter and deflated balloon must fit through a vascular insertion device and be inserted percutaneously.
Conversely, it is also desirable in many cases to provide the largest possible inflated cross-section or effective diameter, to treat larger blood vessels or other body passages. However, given the maximum deflated profile and the thickness of the balloon material, only a certain amount of the balloon material may be used. In addition, the balloon material is preferably inelastic for proper therapeutic effect, so a certain maximum inflated diameter can be calculated. Beyond this maximum diameter, the expansion possibilities of the balloon are limited because any further expansion in the radial direction must be accompanied by a reduction or shortening in the axial direction. Because the ends of the balloon are fixed to the catheter shaft, existing balloon catheters are manufactured such that axial reduction or shortening is impossible unless the inner catheter shaft buckles, deflecting the tip of the catheter.
With the balloon catheter according to the present invention, the balloon is capable of increased radial expansion into a larger profile than previously possible, without deflecting the tip of the catheter. The novel design of the present invention enables the balloon to shorten longitudinally to facilitate greater expansion of the balloon. A portion of the catheter shaft which is enclosed within the balloon may preferably be constructed to resiliently collapse during inflation of the balloon. This unique arrangement uses an inherent compressive force imposed on the catheter shaft by the sealed ends of the balloon during inflation, coupled with the modified shaft portion of the present invention, to shorten the balloon increase its effectiveness.
The balloon catheter shaft may preferably have a number of elongated openings, extending in a longitudinal direction, arranged in the wall of the portion of the catheter shaft enclosed by the balloon. The remaining circumference of the tubular shaft between these openings then forms at least two strip-shaped members. These strip-shaped members can resiliently bend outwards, such that the enclosed portion can be reduced axially. As a result, the balloon can expand to a greater extent. On supplying inflation fluid under pressure, an axial compressive force is exerted on the enclosed shaft portion due to the radial expansion. The ends of the enclosed shaft portion are then forced towards each other and, as a result of this compressive force, the strip-shaped sections will bend outwards between the openings.
In order to obtain a suitable bending performance, the strip-shaped wall sections preferably bend outwards uniformly around the entire circumference, as a result of which the longitudinal axis of the balloon remains in line with the catheter. The balloon will thus not be pulled out of position upon expansion.
When the balloon is in a deflated state, the strip-shaped members between the openings are longitudinally straight, and they can withstand sufficient compressive force to remain straight when the balloon catheter is introduced into a patient.
According to the preferred embodiment of the present invention, the total axial reduction of the enclosed shaft portion is distributed among different groups of the strip-shaped sections in between each group of openings, so that they are subjected to relatively little outward deformation.
In order to obtain sufficient deformation combined with a suitable stiffness, the cross-section of the strip-shaped sections is preferably flat, so that they bend outwards easily and tend to spring back into their original straight shape.
The catheter according to the present invention may also be provided with an inner tubular member which extends inside the lumen of the basic body, the intended use of which tubular element may be for supplying contrast medium to the distal end of the catheter or for the use of a guidewire.
By employing the measures according to the invention the balloon member can, in the non-expended state, have a small diameter and can be positioned tightly against the basic body. In the expanded state such a balloon can have a larger effective diameter.
These and various other objects, advantages and features of the invention will become apparent from the following description and claims, when considered in conjunction with the appended drawings.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a partial perspective cross-sectional view of the balloon catheter arranged according to the principles of the present invention, with the balloon member in a non-expanded state; and
FIG. 2 is a partial perspective cross-sectional view of the balloon catheter of FIG. 1, with the balloon in a fully expanded state.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
The following description of the preferred embodiments of the present invention is merely illustrative in nature, and as such it does not limit in any way the present invention, its application, or uses. Numerous modifications may be made by those skilled in the art without departing from the true spirit and scope of the invention.
With reference to the drawings, the distal end-section of a catheter 1 illustrated in FIG. 1 shows the catheter shaft or basic body 2 of a catheter on which a balloon 3 has been arranged. At the proximal and distal ends 4 and 5 of the balloon 3, the balloon member 3 has been connected with the basic body 2 in a sealed manner. The distal end 5 of the balloon 3 is connected with a separate end-section 8 at the same longitudinal position as the distal end of the basic body 2. In this end-section 8, a canal 9 has been formed to which contrast medium can be supplied through a separate inner lumen or tube 7, which has been received in the lumen 10 of the basic body 2. The inner tube 7 is connected with the end-section 8 at the same height as the end 5 of the balloon member 3 and the end of the basic body 2.
As shown in FIG. 3, one embodiment of the balloon catheter 20 of the present invention includes a hug 22 defining an inflation port 24 and a proximal guidewire port 26. Inflation port 24 communicates with an inflation lumen 28, whereby inflation fluid can be selectively injected into, or removed from, a balloon 30. Balloon catheter 20 further defines a guidewire lumen 32 communicating between proximal guidewire port 26 and a distal guidewire port 34, and guidewire lumen 32 is adapted to slidingly receive a removable guidewire 36.
In the illustrated example of the preferred embodiment, two groups of elongated openings 12 and 13, extending in a longitudinal direction, have been formed in the wall of the enclosed section 6 of the basic body 2 enclosed by the balloon member 3. Each group of openings 12 and 13 respectively have been arranged equally divided around the circumference, preferably over the same longitudinal distance. Several strip-shaped sections 16, which can resiliently bend outwards, are defined in between the openings 12 and 13, as can be seen in FIG. 2. This bending outwards occurs when inflation fluid under pressure is supplied via the lumen 10 of the basic body 2. This inflation fluid flows via the openings 12 and 13 into the balloon member 3 which consequently expands. On expansion, the axial length reduces from the first inflated size indicated with number 14 in FIG. 1 to the greater inflated size indicated with number 15 in FIG. 2. This reduction in length is possible because of the strip-shaped sections bending outwards. As shown in FIG. 2, the longitudinal axis of the catheter shaft distal end tends to remain in its uninflated shape, which is straight in FIG. 2, after inflation.
After the inflation fluid is withdrawn from the balloon 3, the catheter tip will resume the shape shown in FIG. 1 as a result of the elasticity of the strip-shaped sections 16.
The balloon 3 has been made of a relatively inelastic material, so that the shape of the balloon 3 in the expanded state is substantially predetermined. In the non-expanded state, the balloon material is folded in pleats against the basic body 2. This method of folding a balloon is as such known in the art. Because of the size of the openings, the material can be folded in such a way that the non-expanded diameter or deflated profile is relatively small.
It should be understood that an unlimited number of configurations for the present invention can be realized. The foregoing discussion describes merely exemplary embodiments of the principles of the present invention. Those skilled in the art will readily recognize from the description, claims, and drawings that numerous changes and modifications can be made without departing from the spirit and scope of the invention. | A balloon catheter incorporates a tubular shaft which defines an inflation lumen communicating with a flexible, relatively inelastic balloon. The balloon catheter is constructed to allow the proximal and distal ends of the balloon to shift toward each other during inflation, thereby allowing the balloon to exhibit increased radial expansion. | 13,495 |
PRIORITY INFORMATION
The present application is a continuation of U.S. application Ser. No. 10/993,969 filed 19 Nov. 2004, which claims priority under 35 U.S.C. §119 (e) of U.S. Provisional Patent Application No. 60/527,587 filed 5 Dec. 2003; the entire contents of both of which applications are incorporated herein by reference.
STATEMENT PURSUANT TO 37 CFR §1.71(E)
A portion of the disclosure of this patent document contains material which is subject to copyright protection. The copyright owner has no objection to the facsimile reproduction by anyone of the patent document or the patent disclosure, as it appears in the Patent and Trademark Office patent file or records, but otherwise reserves all copyright rights whatsoever.
FIELD OF THE DISCLOSURE
The present disclosure relates to circuits for the recovery and amplification of low amplitude analog and digital signals. The disclosure further relates to circuits used for the recovery and amplification of analog and digital signals modulated onto carriers and transmitted via optical fiber or free-space transceivers, and to an advanced linearized trans-impedance amplifier (ATIA) that allows for the recovery and amplification of low amplitude analog and digital signals.
BACKGROUND OF THE DISCLOSURE
Pronounced as “coming soon” for over a decade, the ability to run “last mile” fiber optic cables for communications and data transfer has never actually materialized except in limited field tests. The slow deployment owes to the high component and system costs due to both expensive manufacturing/design techniques and inadequate component performance. Thus, a technically feasible albeit brute force solution has failed to be implemented in the face of economic realities.
Past and present attempts to implement a complete fiber optic network are best summarized as follows:
Initial optical fiber deployments were initially limited to the major “trunk lines” connecting large populations and data sources due to costs for buying, laying, and connecting the fiber to the existing communications infrastructure. Follow-on deployments saw fiber optic cables extended from these major access points outward to local distribution points, but still not to each individual household. At present, the industry has used a Passive Optical Network (PON) design which has enabled the amortization of the cost of the expensive optics at the Optical Line Termination (OLT) over several homes, but the number of optical signal splits are limited by the need to deliver Analog Video services over the fiber. The ability to deliver analog video services is required if the optical fiber systems is to compete with the existing cable TV infrastructure.
Pundits and futurists have cited several uses for the impressive data transmission capacity inherent in fiber optic based systems if such a system were broadly deployed all the way to the end user. However, none has proven to be a compelling business market due to present day economics of the required infrastructure. Such things as real time streaming digital video delivered on demand could have a pronounced ability to change or open new markets if only a technical solution could be cost effectively delivered.
Major issues confronting the delivery of these services of a fiber delivery based system include:
Cost of deployment vs return on investment (ROI), Bandwidth limitations due to passive loss and dispersion in the optical path, and Number of customers served on a PON due to Analog receiver sensitivity vs carrier to noise ratio (CNR).
Thus, there is a need in the art for systems and methods through which service providers may deploy low cost fiber systems for the mass delivery of the broadband services that the end users desire.
One stumbling block to the deployment of fiber to the home has been lowering the cost of an optical network termination (ONT) in a customer's house. FIG. 3 shows an example of an optical network topology using both powered and passive optical components. One ONT is required at each termination, as shown by the houses in the drawing. FIG. 4 shows a more detailed view of an example termination at a house, with the ONT clearly shown. The ONT in this example includes several parts: an optical receiver, a wavelength-division-multi/demultiplexer (WDM) transceiver module to split a multiplexed signal into discrete channels, interface circuits to the customer terminals, and optionally, a power supply and battery. Typically, the optical receiver is integrated with the WDM transceiver as a single field replaceable optical WDM transceiver module. The module provides a complete interface between the optical transmission world and the electrical transmission world in a single package.
Optical receivers for light guide systems of the type employed in cable systems generally use a high frequency photodiode to convert the light signal to a photocurrent. The photocurrent is proportional to the received intensity of the light signals, and then applies the resulting current to an input circuit.
Since the current obtained from the sensor circuit is often too small to be usefully applied to data recovery circuits, it is desirable to amplify the sensor's photocurrent signal in order to make it relatively insensitive to the introduction of ambient noise during signal processing stages. To this end, optical receivers include a so-called “front end” trans-impedance amplifier (TIA) which raises the level of the signal several orders of magnitude. The output of the front end is then further amplified and shaped in a later section of the signal processing system.
It is desirable for an optical receiver to have a wide dynamic range, both in input intensity and for input frequency. The reasons a wide dynamic range of input intensities is desirable include (1) variations in the assorted cable lengths and multiple types of light sources with which the optical receiver may be used; and (2) variations in light attenuation that can occur with variations in cable lengths, all of which has an effect on light intensity output. However, since the light signals may have significant variations in intensity, resulting in a wide range of input currents, the amplification circuits need to be capable of handling a wide dynamic range of input currents depending on the strength of the received light signal. The received signal strength will vary, for example, as a function of distance from the transmitter, quality of circuit components, number of passive splits, etc. In most cases, the receiving system has no prior knowledge of its distance from the transmitter and topology and it is therefore important that any designs have the flexibility to accommodate the full range of input signal strengths.
An optical receiver with a wide dynamic range of input frequencies may handle additional channels within a multiplexed signal, or may support higher data rates. A limiting factor in the optical receiver's dynamic range is the dynamic range of the trans-impedance amplifier, which is in turn limited by factors such as components selected, the circuit design, and the ambient noise introduced by various circuit components. One such limiting factor is the use of feedback designs, which limit the overall dynamic range of the circuit by introducing stabilization timing constraints within the feedback loop.
In general, analog video delivery over fiber is widely used in the CATV industry to distribute video service between Head-ends, Hubs and Nodes. As such, it would seem to be a normal evolution of system design to extend the distribution of this type of video to the home over a PON system using part of the 1550 nm band.
Today, state of the art video receiver designs allow the ONT/Home Gateway to receive a video signal as low as −6 dBm while still maintaining acceptable CNR and distortion performance over the specified range of received input power. Although this gives performance levels that approach today's cable equivalent, it does come with a price.
Currently, optical video receivers do not use the same method of coupling or signal recovery for analog video transmissions as those used for digital signal transmissions. Digital systems use a high gain Trans-Impedance Amplifier which provides good noise performance but poor linearity for the number of signal channels needed (79 NTSC channels) to satisfy minimum expectations. To effectively compete with the CATV market, an additional 30 or more digital channels will be required to be transmitted above 550 MHz, the current limit.
One of the most efficient designs currently available uses a transformer coupling that matches the amplifier input impedance to the coupling resistor in series with the Photo-Diode as shown in FIG. 2 . This type of receiver provides good performance for both CNR (about 48 dB) and Intermod-Distortion (approximately 0 to −5 dBm); and there is an inherent loss due to a maximum power transfer of approximately 3 dB. This loss could be decreased by coupling the current directly in to the amplifier, but linearity then becomes a greater concern at the higher levels in received optical power.
It is additionally desirable to limit the amount of noise introduced into the sensor circuit by the “front-end”. Limiting the amount of introduced noise permits the circuit to operate at lower power and with higher responsiveness, providing advantages such as more efficient signal recovery, reduced operating costs, less heat dissipation, and improved dynamic range.
It will be appreciated that improvements in the art described in the present disclosure that satisfy the above requirements will find use in other fields in which it is necessary to recover a low power signal from a carrier signal, or to amplify a low power signal for further processing.
SUMMARY OF THE DISCLOSURE
The following discussion of advantages is not intended to limit the scope of the invention, nor to suggest that every form of the invention will have all of the following advantages. As will be seen from the remainder of this disclosure, the present invention provides a variety of features. These can be used in different combinations. The different combinations are referred to as embodiments. Most embodiments will not include all of the disclosed features. Some simple embodiments can include a very limited selection of these features. Those embodiments may have only one or a few of the advantages described below. Other preferred embodiments will combine more of these features, and will reflect more of the following advantages. Particularly preferred embodiments, that incorporate many of these features, will have most if not all of these advantages. Moreover, additional advantages, not disclosed herein, that are inherent in certain embodiments of the invention, will become apparent to those who practice or carefully consider the invention.
One advantage of the presently disclosed apparatus and method over existing apparatus and methods is the reduction in paid-in dollars/milli-watt of optical power generated at the Head-end or central office (CO) due to the use of high power Erbium doped fiber amplifiers (EDFAs) at the Hub or Head-end for distribution of the 1550 nm video signal. By increasing the sensitivity of the video receiver without severe degradation of the CNR and distortion performance, the present apparatus and method lower the cost of the video distribution by either allowing a decrease in EDFA output power or an increase in homes passed per high power EDFA.
In a second advantage, the disclosed apparatus and method will allow the integration of the analog receiver function into a package with a photo diode for better control of the RF matching and coupling. This will increase the performance of the analog optical receivers, allowing longer reaches, lower EDFA output power, and the distribution of the signal to more end users. In general, this has the effect of reducing the amount of optical power needed for signal distribution in networks or allowing for an increase in the potential revenue for dollars spent on the generation of the optical signal in existing infrastructures.
Eventual integration of this technology into silicon optical bench or other semiconductor processes that can also be used to fabricate lasers and photodiodes will allow smaller, lower power components enabling further applications which could include delivery of voice, data video services to a PC, home Entertainment Centers, Flat panel TV's, High speed internet Gaming devices, etc.
Further advantages of several other embodiments of the disclosed apparatus and method include:
Greater linearity, resulting in lower harmonic noise introduced into the circuit, Greater amplification of low level signals while maintaining superior CNR and Distortion performance, Increased dynamic range of Analog Fiber Optic Receivers by at least 3 dB-6 dB, Reduced component count, Decreased size of the Analog Receivers, Eliminates the use of passive components such RF transformers for coupling, Reduced energy dissipation, permitting more efficient packaging and reduced manufacturing costs, Allows for the placement of the amplifying device in the same package as the Photodiode and optics used to couple the light to the photodiode, and Provides the technology for Analog Video that would allow the ATIA receiver and Photodiode to be fabricated as a single device.
A primary advantage of the disclosed ATIA is that it provides a simple circuit implementation that achieves the desired goals of: a) operating with a low input bias current; b) wideband normalization of the input signal; c) fast overload recovery; d) good accuracy for DC and wideband signals; e) simple implementation of automatic gain control; and f) stability for a wide range of input conditions.
The disclosed ATIA is a circuit that has both high current gain and excellent linear properties to enable the recovery of extremely low-level analog signals modulated upon a carrier signal beyond the capabilities of other circuits here-to-for discussed. Along with high gain and low noise characteristics, feed forward gain control techniques provide for use of the circuit as a Trans-Impedance Amplifier (TIA) with improved response and dynamic range. This circuit can be used within the Audio (10 Hz) to Microwave (10 GHz) frequency range.
In an example of one preferred embodiment an ATIA with automatic feed-forward gain control (AFFGC) includes an optical (photo-diode) sensor. An alternative preferred embodiment provides further reduced noise and increased linearity by stabilizing the sensor photo-diode coupling stage bias current. Stabilizing the bias current through the transistors in the first coupling stage improves upon both input-referred noise or equivalent input noise (EIN) and linearity of the transistors in this stage when operating at the higher input optical powers. This improvement can be quantified as an increase in the dynamic range of the ATIA by 2 dB (from −1 dBm to +1 dBm of optical input power). This is achieved because the bias control keeps the transistors in their most linear region throughout the input range of the ATIA. The improvement in noise is achieved by limiting the bias current through the transistors when the optical input power reaches −3 dBm to +1 dBm.
In an alternative preferred embodiment, the basic ATIA with AFFGC circuit disclosed herein is changed only in the fact that there is DC feedback to the emitter of the first transistor of the sensor coupling block. Additional (optional) circuit blocks named “VCCS Control” and “VCCS” are added to provide this feedback. This circuit is shown in FIG. 12 and is described hereinafter. It will be appreciated that bias current stabilization as described herein allows this type of coupling to be used with Field Effect Transistors (FETS).
An additional benefit of the alternative preferred embodiment shown in the circuit diagram in FIG. 12 is the same for the different process technologies as it is for a bipolar junction transistor process. It enables the devices to reflect a lower Equivalent Input Noise (EIN) over other approaches by eliminating the extra noise reflected to the base/gate of the first transistor of the coupling stage and creates a much lower apparent input resistance for the additional sensor current caused by the DC component of the optical signal applied to the sensor. An added benefit is the removal a linear component (resistor) to generate the AC voltage needed to couple in to a base or gate of the first stage transistor of the TIA or amplifier. This additional component has both the AC and DC currents from the sensor passing through it creating more input noise which cannot be eliminated using the accepted coupling technique, its elimination reduces the input noise associated with this component.
The foregoing and other benefits are achieved by the apparatus and methods described herein which overcome problems inherent in systems employing optical transmission techniques which include, but are not limited to, optical networks using distribution methods with large amounts of passive coupling loss or through air optical transmission. Other objects, advantages and novel features, and further scope of applicability of the present invention will be set forth in part in the detailed description to follow, taken in conjunction with the accompanying drawings, and in part will become apparent to those skilled in the art upon examination of the following, or may be learned by practice of the invention. The objects and advantages of the invention may be realized and attained by means of the instrumentalities and combinations particularly pointed out in the appended claims.
BRIEF DESCRIPTION OF THE DRAWINGS
The disclosed apparatus and method are described in detail with reference to the accompanying drawings. Each of the figures is a schematic diagram more fully described below.
FIG. 1 shows a video signal transmissions in a typical passive optical network (PON) which can be used to deliver voice, data and video to an end user.
FIG. 2 shows the typical circuit topology and design currently used in analog video recovery in cable TV (CATV) and Fiber-to-the-Home (FTTH) optical networking components.
FIG. 3 represents an example of a network architecture for connecting homes (end-users) to the fiber optic network using the teachings of the present disclosure.
FIG. 4 is a further schematic of the fiber optic link into the home using the teachings of the present disclosure.
FIG. 5 shows the preferred coupling technique in accordance with the teachings of the present disclosure, the technique providing excellent noise performance without the coupling losses, but is inherently non linear with regard to traditional trans-impedance amplifier (TIA) and coupling approaches.
FIG. 6 is a block diagram of an Optical Triceiver that uses the linearized TIA technology described in the present disclosure to recover Broadcast Video signals transmitted in FTTx systems.
FIG. 7 is a block diagram of an analog TIA using a specific linearized design approach which reduces the inherent non-linearity's of the TIA enabling the use of the preferred coupling technique of FIG. 3 .
FIG. 8 shows a block diagram of an ATIA circuit designed in accordance with the present disclosure.
FIG. 9 details the reduction in size and component count within a module which will be afforded through the incorporation of disclosed apparatus as compared to the current state of the art.
FIGS. 10 a and 10 b show block diagrams of common receiver modules using a preferred embodiment of the disclosed apparatus.
FIG. 11-11F is a schematic of a preferred embodiment of a basic ATIA circuit, including a photo-diode sensor.
FIG. 12-12H is a schematic of an alternative preferred embodiment of an ATIA circuit with optional bias control, including a photo-diode sensor.
FIG. 13 is a schematic of an alternative embodiment of a sensor block for voltage producing sensors.
FIG. 14 is a schematic of an alternative embodiment of a FET-based implementation of a system comprising a sensor block, sensor coupler/voltage conversion block, VCCS control block and VCCS block.
DETAILED DESCRIPTION OF PREFERRED EMBODIMENTS
In regards to communications networks and distribution schemes in general, multiple disparate systems have been created in order to supply data and other communication services to end-users. As such, a typical home will have to incorporate multiple receivers in order to accommodate the receipt and/or transmission of data for each of these different systems. These systems can include phone and fax services, analog and digital, one-way and two-way video services, IP-based data services, etc.
With the use of an advanced ATIA, multiple types of services can be offered at a cost competitive rate with other delivery mechanisms using a single unified delivery system. This unified delivery system will most likely support a mixture of:
45-862 MHz one-way cable television. 5-65/85-862 MHz full duplex cable television, permitting the use of DOCSIS compliant cable modems. DOCSIS is the ITU endorsed “data over cable systems interface standard” as defined by US based Cable labs. The service also supports the DVB based Euromodems, legacy IEEE 802.7 based equipment for sub-split networks, and RF modems for video on demand (VOD) applications and the likes. 10/100/1000 Mbps full duplex Ethernet (10/100/100BaseT). Plain old telephone services (POTS). Integrated services digital network, basic rate interface (ISDN-BRI). Integrated services digital network, primary rate interface (ISDN-PRI). Data interface for residential alarm panel or telemetry. Digital and/or analog audio data.
To overcome the problems which have up until now prevented the adoption of fiber to the end user, the disclosed apparatus and method:
Offer a more sensitive Analog Video receiver technology to maintain good CNR. Provide optical modulation techniques for data transmission similar to DSL to enable greater distances from the OLT and increased Tx to Rx optical split ratio. Affords Digital Video Transceivers for both OLT and ONT applications.
In a preferred embodiment, shown generally in FIG. 5 , and in more detail in FIGS. 11 and 12 , the disclosed coupling of a photo-diode sensor to the amplification stage provides significant benefits. By using a low noise process such as SiGe and an ATIA, the noise contribution of the amplification circuits can be kept low. This allows the recovery of the lower level signal while maintaining a respectable CNR, and eliminating the coupling losses due to the impedance matching circuit.
To help improve linearity and save in device power consumption, pre-distortion techniques can be used by designing a pre-amplifier and post amplifier stage with equal and opposite, or complementary distortion characteristics. As seem from the functional diagram of the Analog TIA (ATIA) shown in FIG. 7 , this will allow higher gains to be achieved improving further in the sensitivity of the Video Receiver.
The design of a preferred embodiment provides significant cost and space savings, including the integration of the optical components within a single die. This substantially reduces the cost, power consumption, and size of the resulting module. FIG. 9 illustrates the substantial size reduction afforded by this integration, first by reducing the ATIA/coupling interface to a single die (Triplexor #1), and second by reducing the entire triplexor circuit to a single die (Triplexor #2).
This approach enables the integration of several different functions used in Passive Optical Network data voice and video transmission. An example of this using a disclosed embodiment within an industry standard optical triplexor and ONT module is shown in FIG. 6 . Other examples of industry standard module configurations using a disclosed embodiment are shown in the block diagrams in FIGS. 10 a and 10 b . In FIG. 10 a , a unidirectional module is shown in which the module operates in a receive-only mode such as with today's CATV systems. In this example, the optical signal is received at the optical splitter, and is routed to two different ATIA circuits based in part upon wavelength or frequency considerations. In FIG. 10 b , an alternate module configuration is shown in which the ATIA is integrated within the optical transceiver and video receiver components and the ATIA is not provided as a separate circuit within the module.
The frequency range of operation of the disclosed ATIA is determined in part by the type of sensor selected, the silicon technology employed in the design and fabrication of this circuit and the values of components as described in figures. The components described herein are optimized for use within the preferred embodiment of an optical receiver and provide optimum response in the frequency range of 25 Mhz to 2 GHz. It will be appreciated by those skilled in the art that the circuit design will provide the best response within the 10 Hz to 10 Ghz operating range by optimizing the values of various resistors.
The ATIA of the present disclosure has the following advantages:
Provides highly efficient current to voltage conversion from sensor to RF amplifiers—Achieved with fabricating IC's using low noise high frequencies processes that enable direct conversion of sensor output to voltage.
Provides direct control of gain by using the average optical power level to the receiver to control gain and noise cancellation in converter.
Allows ICs and sensors to be combined in the same package so as to reduce parasitic induced noise currents. Allows IC's and sensor components to be fabricated as one piece of silicon.
Use of noise and distortion reduction techniques results in increased receiver linearity.
FIG. 7 contains a functional diagram of this concept, which first will be developed as a chipset and eventually integrated into a single chip for integration onto silicon optical bench technologies and eventually fabricated with the optical components such as lasers and photodiodes used in the 600 nm-1700 nm range.
The disclosed ATIA can be produced using various manufacturing processes and materials, including the following:
Heterojunction Bipolar Transistors (HBT). Field Effect Transistor (FET) technologies, including but not limited to GaAs, CMOS, BiCMOS, InGaAsPh, and InPh. SiGe.
The choice of manufacturing process is dependent on the specifications required to be implemented, costs, and delivery time.
The disclosed ATIA is logically and preferably (although not necessarily) divided into three stages with defined attributes. These stages include:
Coupling stage—Preferably uses dynamic impedance of the sensor for input power detection, gain control and amplifier stabilization—Preferably does not require RF impedance matching which eliminates the matching power losses due to the need for input mismatching to achieve low noise figure in the amplifier. Linearization Stage—Preferably uses special biasing techniques for the components to achieve desired function—Preferably uses both active and passive components to get complex conjugate functions—Preferably employs both non linear distortion and Complex Conjugate matching to reduce both Inter-modulation Distortion, non-linear amplifier distortion Composite Second Order and Composite Third Order Distortion. Amplifier Stage—Preferably uses special biasing techniques to achieve the conjugate function of the linearization stage and reduce power consumption—Preferably uses both active and passive components to get complex conjugate functions—Preferably employs both non linear distortion and Complex Conjugate matching to reduce both Inter-modulation Distortion, non-linear amplifier distortion Composite Second Order and Composite Third Order Distortion when paired with the linearization stage.
One of the many uses of an ATIA of type described herein is for recovering signals that require high carrier/channel content such as CATV or Satellite TV. Due to the inherent non-linearity and bandwidth of the amplification circuits used for current amplification of the photodiode within the CATV industry, TIA's have never before been considered for this use. Additionally, in the preferred embodiment, the ATIA of the type described herein uses the dynamic impedance of the photodiode sensor as part of the amplifier feed forward circuit, which in turn provides the ability to exercise discrete control over several functions including optical input power detection, gain control, and amplifier stabilization.
Further, the ATIA detailed within the preferred embodiment preferably uses a three stage approach to provide linearization with regard to it's input/output transfer characteristics. More specifically, the ATIA uses a pre-amp stage with gain control, a pre-distortion stage, and a post-distortion stage with complex conjugate matching and gain control. This approach takes into account the noise and non-linear properties of (1) the fiber, (2) the photodiodes that are used as sensors, e.g., Indium Gallium Arsenide/Indium Gallium Arsenide Phosphide (InGaAs/InGaAsP) photodiodes, and (3) the semiconductor process used for manufacturing the amplification stage so as to construct a linearization circuit that can be used for high carrier/channel content applications requiring, for example, optical input powers of −9 to −12 dBm and requiring a CNR performance of 46-50 dB and composite second order (CSO) and composite triple beat (CTB) of −56 to −60 dB.
One application of such a circuit is in the recovery of multiple RF carrier signals transmitted over optical fiber. In a preferred embodiment, the signal is modulated using a 1260-1650 nm laser or LED light source. These sources can be either provide direct or external modulation. Each modulated signal can have 1-200 plus carrier signals, which require highly linear, high gain, low noise circuits for proper signal recovery. This type of transmission of signals is useful in several different end-use applications. An example of one such application is where the signal is transmitted as part of a fiber-to-the-premise (FTTP) system as a broadcast video overlay which transmits the signal using 1550-1600 nm modulation. In an alternative application the signal is transmitted through a CATV system in conjunction with broadcast video signals using 1260-1600 nm modulation. In another example, the signal may be used in a satellite antenna remote application of Ku, C and L band signals using 1260-1600 nm modulation.
Referring to FIG. 6 , an ATIA with automatic feed forward gain control 1000 (ATIA with AFFGC) comprises a plurality of sub-circuit blocks, with additional optional sub-circuits that enable additional features relating to the disclosed apparatus and method. These sub-circuits are referred to as functional blocks.
The sensor block 1100 shown in FIG. 8 provides a sensor and circuitry for converting sensor output into a current that varies linearly with the sensitivity of the sensor. In a preferred embodiment for use with optical networks, for example the PON networks described above, the sensor block 1100 comprises of a photo-diode D 2 , resistor R 13 , and inductance coil L 2 . The circuits for the preferred embodiments (without and with optional bias control) are shown in FIGS. 11 and 12 . The sensor block 1100 in the preferred embodiment produces a current that is linearly proportional to the light received at the photo-diode. In an alternate embodiment, the sensor may be part of medical devices or other products that have sensors to measure aspects of the environment. In a second embodiment, the sensor is an electrochemical sensor that detects substances within a sample, such as blood chemical or environmental analysis sensor. In this embodiment, the sensor produces a current proportional to the trace elements detected in the sample under evaluation. It will be appreciated that sensors of this type produce very low current upon detection of trace elements, and that accuracy of analysis of the sample under evaluation is, at least in part, a function of the quality of the signal amplification provided by the present implementation.
Alternate embodiments of sensor block 1100 support sensors that provide a varying voltage instead of a current, such as the circuit illustrated in FIG. 13 . In this alternate embodiment, a voltage-producing sensor 1302 , such as piezo-electric or capacitive transducer (e.g. radioactive, vacuum, and pressure sensors), the voltage producing sensor may be connected, in series with a resistor R 1 or by capacitive coupling, to the emitter of the sensor, with the voltage output being provided to the ATIA (not shown in the Figure), and, with the use of a voltage divider R 2 and R 3 provides a sensing voltage to the sensor monitor (not shown in the Figure).
It will be appreciated that sensor block 1100 may be fabricated as part of a single die, which further reduces component count, production costs, unit size, and noise related to connections between components.
Again referring to FIG. 8 , sensor block 1100 is operatively connected to sensor coupling and voltage conversion block 1200 , is additionally operatively connected to the feed forward control block 1400 , and is optionally operatively connected to sensor monitor block 1500 . The sensor coupling and voltage recovery block 1200 is operatively connected to sensor block 1100 and power gain and linearization block 1300 . Sensor coupling and voltage recovery block 1200 converts an input signal from the sensor block 1100 to a possibly different form of signal (e.g. current to voltage) compatible with the power gain and linearization block 1300 .
A preferred embodiment of the sensor coupling and voltage recovery block 1200 , is detailed in FIGS. 11 and 12 . Block 1200 preferably comprises transistors X 15 and X 14 , resistors R 1 -R 4 , R 6 , R 7 , R 96 , R 65 , R 19 , R 23 , capacitors C 2 , C 3 , C 5 , C 13 and inductor L 9 . In the present apparatus, the input signal (from the sensor block 1100 ) is coupled into the emitter of transistor X 15 . Transistor X 15 is biased in a common base configuration. This combined with the emitter coupling of the sensor provides a low impedance input with low noise and high bandwidth capabilities.
Voltage is generated across the series parallel combination of resistors R 23 , R 2 , R 96 , R 4 , and (Beta×R 19 ), as shown in FIGS. 11 and 12 . This voltage is then transferred to the emitter of X 14 to the input of the power gain and linearization block 1300 referenced in FIG. 8 .
The gain (Av 1 ) in the sensor coupling and voltage recovery block 1200 is approximated by:
Av 1=( Ipd )×( R 2+ R 96 \\R 4)
Where Ipd=the AC current induced in the sensor.
In the preferred embodiment, this current is the current induced by the photo diode 1302 (best shown in FIG. 13 ) in the sensor block from the optical signal received at the photo diode.
It will be appreciated that the coupling circuit provides the ability to lower the equivalent input noise (EIN) of the TIA significantly because of the low load impedance for the recovered AC signal along with providing significant gain for the first stage.
Again, referring to FIG. 8 , the power gain and linearization block 1300 is operatively connected to the sensor coupling and voltage recovery block 1200 and the feed forward control block 1400 for input, and produces an output that is operable coupled to the impedance matching block 1600 .
The power gain and linearization block 1300 as shown in FIG. 8 , and detailed in FIGS. 11 and 12 , comprises transistors X 13 and X 12 , resistors R 49 , R 51 , R 52 , R 54 , R 56 , R 59 , R 64 , capacitor C 29 and inductor L 10 , as shown in both FIGS. 11 and 12 . The feed forward control block 1400 in FIG. 8 operates with the power gain and linearization block 1300 to adjust its gain as a function of input sensor power to maintain the linearity of the amplifier.
It will be appreciated that the configuration of the amplifier, specifically, by connecting the common emitter transistor X 13 to a common base transistor X 12 directly from collector to emitter, provides advantages including linear power amplification, which in turn enables the circuit to have adjustable gain while maintaining linearity across a much broader operational range. It will be further appreciated that adjusting the gain by using a derivative of the DC sensor current in the emitter of X 13 further enhances the low noise characteristics of the ATIA.
The gain (Av 2 ) in power gain and linearization block 1300 is approximated by:
Av 2=( R 54)/( R 49 \\Rff )
Where Rff is the equivalent resistance of the feed forward control block 1400 .
The feed forward control block 1400 , as shown in FIG. 8 , provides gain control to the power gain and linearization block 1300 . The feed forward control block 1400 is operatively connected to the sensor block 1100 and the sensor monitor block 1500 for input, and is operatively connected to the power gain and linearization block 1300 to, in part, control the ATIA gain provided by that block.
The feed forward control block 1400 as shown in FIG. 8 , and detailed in FIGS. 11 and 12 , comprises transistors X 7 , X 8 , X 9 , three comparators (AMP 2 , AMP 3 , AMP 4 ), voltage reference X 16 and D 1 , resistor R 80 , current mirror C_M_ 1 , capacitor C 30 , resistor ladder R 81 - 84 and gain adjust resistors R 74 - 76 . Other components include resistors R 77 -R 79 , and R 85 -R 91 , and capacitors C 31 -C 33 . It will be appreciated that transistors X 7 -X 9 are used in place of RF switches for gain adjustment to improve linearity and bandwidth performance to levels that could not be achieved using traditional RF switches or other current controlled resistive devices such as variable resistance RF diodes.
The comparators control the switching points of each transistor, switching the transistors between their on and off states. All transistors (X 7 -X 9 ) that are in the on state provide maximum gain, and conversely all transistors in the off state provide minimum gain. The resistor ladder R 81 - 84 of FIGS. 11 and 12 provides the switch point voltage for each comparator. Each switch point voltage represents a sensor input power value that the gain switch should occur. The values of resistors R 81 -R 84 may be altered to further tune the present apparatus for specific applications, although it will be appreciated that no alteration or additional tuning is required for the present invention to perform within the broad frequency range of 10 Hz to 6 GHz.
In the disclosed apparatus, the current mirror C_M_ 1 in feed forward control block 1400 , detects the current through sensor 1100 . This current is directly proportional to the input power. In a preferred embodiment where the sensor is a photo diode, the current is proportional to the input optical power and is determined by the quantum efficiency of the photo diode.
So:
Icm =(Quantum Efficiency A/W )(Input Optical Power W )
Where Icm is the detected current mirror current; A/W is the Quantum Efficiency; A is ______; and W is the Input Optical Power
In the preferred embodiments, a current mirror circuit C_M_ 1 , as detailed in the feed forward control block 1400 of FIGS. 11 and 12 is used to provide gain to the ATIA circuit. It will be understood by those skilled in the art that a current mirror circuit such as the one shown in the figures provides advantages over traditional methods such as a resistor of providing current gain, such as ease of manufacture in a variety of silicon technologies (e.g. FET, MOS). It will also be appreciated that a current mirror design such as the one described herein provides superior noise reduction using fewer components, further providing the advantages of lower cost to manufacturer, reduced power consumption, and a smaller silicon die footprint.
The sensor current mirror employed in the present apparatus is a modification of a Wilson Current Source/mirror. A resistor in the base of the transistor generating the reference current for the current mirror is used to generate a voltage that is directly proportional to the DC value of the sensor current produced by the sensor block 1100 . This makes the current relationship slightly more linear than other traditional methods of attaining current gain.
In traditional prior art current mirror designs, the two transistors of the current mirror must be matched on a single die. In the preferred embodiment, the current mirror is used to provide current gain, so matching of the current mirror transistors on a single die is not required, but the same transistor type and model should be used for the current mirror. This reduces manufacturing complexity and part cost. It will be further appreciated that the current mirror configuration as used in the present apparatus is constructed using mismatched resistors within the current mirror, with the amount of current gain produced by the current mirror being adjustable by adjusting the relative values of these resistor.
This current mirror current is then converted to a voltage by pulling the current through resistor R 80 shown within feed forward control block 1400 of FIGS. 11 and 12 and an internal small resistance. The voltage generated by R 80 is used by the gain comparators and the voltage generated using the internal resistance is used by the sensor monitor block.
The following details the formula for the current gain Ai:
Ai=Is 2[ e^VBEX 1(39.1)(1 +VCBX 2 /VAF )]/ ICM
Where;
VEBX 1=0.025581 n (( ICM/Is 1)+1)+ ICM ( RE 1)− IC 2( RE 2)
IC 2 =Is 2[ e^VBEX 1(39.1)(1 +VCBX 2/ VAF )]
Is=PN Saturation Current VAF=Forward Bias Early Voltage
The sensor monitor block 1500 provides a voltage output proportional to the average current level, which is operatively linked to the current monitor to, in part, adjust the input to the gain control circuitry. The sensor monitor block 1500 also provides a test point for external measure of power provided at the sensor. In a preferred embodiment, this test point provides an external measurement point of the optical power received at the photo-diode sensor.
The sensor monitor block 1500 , as shown in FIG. 8 and detailed in FIGS. 11 and 12 , comprises a non-inverting amplifier with a gain that is determined by resistance values R 9 and RIO. This gain is equal to:
Apdm =(1 +R 9/R10)
Where Apdm is gain of sensor monitor block 1500 .
The impedance matching block 1600 , shown generally in FIG. 8 , and in more detail in FIGS. 11 and 12 , matches the impedance of the external cable or trace to minimize reflections and other circuit-induced noise. The preferred impedance matching block 1600 comprises transistor X 11 , resistors R 15 , R 17 , R 28 , R 29 , R 58 , R 66 , capacitors C 8 , C 37 and inductor L 8 . Transistor X 11 provides a buffer from a high impedance collector to a low impedance high capacitance load such as 50 Ohm or 75 Ohm transmission line with the proper termination resistance. The passive components connected to the emitter of X 11 , along with the biasing for transistor X 11 , form a termination network for both forward path and transmit/return loss.
The optional bias control stabilization circuit is generally shown in FIG. 8 as an optional block which may be, but does not necessarily have to be used. The optional circuit comprises two additional functional blocks; a Voltage Controlled Current Source (VCCS) Control block 1700 and the VCCS block 1800 .
The VCCS control block 1700 is an optional block that controls the VCCS circuit using the output of the sensor monitor block 1500 as its input. It consists of an amplifier AMP 6 , resistors R 98 - 100 , R 16 , and R 14 , and capacitors C 9 and C 47 .
The VCCS block 1800 is a well known, widely used circuit block therefore; it will not be explained in detail here. The VCCS block 1800 is operatively coupled to the VCCS control and the sensor block 1100 . In some physical implementations, the VCCS block may be combined with its control block and the sensor block. The basic function of the VCCS block 1800 is to vary the sourced current with a particular voltage to current ratio when a control voltage is applied. In one embodiment this block is designed to have a voltage to current gain ratio of about 0.001. Details of the preferred embodiment of the block 1700 and 1800 are shown in FIG. 12 .
An alternate embodiment includes constructing the disclosed system using FET technology, the latter including but is not limited to: GaAs, CMOS, InGaAsPh, and InPh technologies. Implementation of the described technology requires extra care to keep the bias current stable or the transconductance (gm) because changes in the bias current dramatically causes changes in the gate-to-source voltage (Vgs) with drain-to-source current (Ids). The bias point also effects the values of gain-to-source resistance (Rgs) and drain-to-source resistance (Rds), which change both the gain and the frequency response of the circuit.
The circuit in FIG. 14 shows one preferred embodiment of the coupling stage using FET technology. In the FET version of the described ATIA, consisting of Resistors R 1 , R 2 , R 4 , R 5 , R 7 , R 8 , R 10 , R 11 , R 12 , R 14 , R 16 , R 17 , R 18 , R 19 , R 20 , R 21 , R 22 , OpAmps AMP 2 and AMP 3 , photo-diode X 1 , capacitors C 3 , C 4 , C 7 , C 8 , C 9 , C 10 , C 11 , inductor L 1 , and transistors Q 6 and Q 7 , the first transistor (coupling transistor) is biased at a specific Vgs which is dependent on the transistor type (enhancement or depletion mode). This produces the specific Rgs needed to limit both the EIN and maximize the frequency response of the ATIA. The operation of the bias control circuit is the same as what is used for the bipolar junction version of the described ATIA.
The VCCS Control block 1700 preferably contains a voltage reference and a difference amplifier as shown in FIG. 12 . The difference amplifier is configured to have a gain of one and a frequency bandwidth of 16 KHz. The bandwidth is limited to avoid any gain oscillation in the operating frequency band. The reference voltage is set to the optimum value for the collector current of the VCCS which provides the best EIN and linearity for the sensor coupling and voltage recovery block 1200 's dynamic range. In the alternative preferred embodiment shown in FIG. 12 , this reference voltage is determined by a resistor divider, but the reference voltage may be supplied by any number of different methods of providing a voltage reference. A reference voltage, for example, can be provided to input one of the difference amplifier, while the output of the sensor monitor block 1500 can be connected to input two of the difference amplifier (AMP 6 ). With this arrangement the output voltage of the VCCS control block 1700 decreases as the sensor monitor 1500 output voltage increases. This then generates a voltage that makes the VCCS current inversely proportional to the sensor current which enables stabilization of the bias current in the coupling stage. It will be appreciated that this substantially improves the performance of photo-diode sensors as shown in the preferred embodiments of the present disclosure.
These advancements to the state of the art are a non-trivial exercise, and require exemplary knowledge of: a) optical transmission component design and properties, b) high level RF design techniques, and c) how both sensor and amplifier non-linearity's effects signals using both vestigial sideband and QAM/QPSK modulation are necessary to create the linearization circuits necessary for this invention.
While this invention has been particularly shown and described with references to preferred embodiments thereof, it will be understood by those skilled in the art that various changes in form and details may be made therein without departing from the spirit and scope of the invention as defined by the appended claims.
Definition List
Term
Definition
ATIA
Analog Trans-Impedance Amplifier(TIA),
Linearized TIA
CATV
Cable Television
CNR
Carrier to Noise Ratio
CO
Central Office(Building used to House Switching
and Transmission equipment for a Telephone
Company)
EDFA
Erbium Doped Fiber Amplifier
EIN
Input-referred noise or EIN (Equivalent Input
Noise) is the noise voltage or current that, when
applied to the input of the noiseless circuit,
generates the same output noise as the actual
circuit does: This value is very
important parameter when determining the signal
to noise ratio of detected low level analog or
digital signals.
FTTH
Fiber To The Home
Forward Bias Early
The Early voltage of the forward bias current
Voltage
Head-end
Building used in CATV distribution that houses
the Satellite Receivers and Optical transmitters
for Transmission of the TV Video Signals. It also
has the Voice and Data switching EQ.
Hub
Building used in CATV distribution that houses
the Optical transmitters for Transmission of the
TV Video Signals. It also has the Voice and Data
switching EQ.
NTSC
National Television Standards Committee
ONT
Optical Network Termination, Box used in the
FTTH system that attaches to Office building or
home. This Box converts the Optical signals to
the Voice, Data and Video signal used in the
home or office.
PON
Passive Optical Network
SiGe
Silicon Germanium- High frequency low noise
semiconductor process used heavily in Wireless
Systems.
Triceiver
Optical device which includes three functions and
transmits and receives using two or three
wavelengths. It is used for Bidirectional data
transmission with single or dual wavelengths and
reception of a third wavelength for broadcast of
wideband analog or digital information. | The disclosed systems and methods utilize an advanced linearized trans-impedance amplifier (ATIA) that allows for the recovery and amplification of low amplitude analog and digital signals. This disclosure further describes unique approaches of addressing issues inherent in the transmission and reception of small amplitude multi-carrier signals used for distribution of voice, video, and data communications over both fiber optic cables and free space transmitters. | 53,764 |
CROSS-REFERENCE TO RELATED APPLICATIONS
[0001] This application is a continuation application of, and claims the benefit of priority under 35 U.S.C. §120 from, U.S. application Ser. No. 10/314,235, filed Dec. 9, 2002, herein incorporated by reference, which claims the benefit of priority under 35 U.S.C. §119 from Japanese Patent Application No. 2001-376944, filed Dec. 11, 2001.
BACKGROUND OF THE INVENTION
[0002] 1. Field of the Invention
[0003] The present invention relates to service providing systems, information providing apparatuses and methods, information processing apparatuses and methods, and programs, and more particularly relates to a service providing system for enabling a user to communicate with other users more smoothly in a chat system, an information providing apparatus and method, an information processing apparatus and method, and a program.
[0004] 2. Description of the Related Art
[0005] One service provided on the Internet is a chat system. In the chat system, text data sent from one client logged on to a server is received by the server, and the received text data is sent to another client logged on to the server. This enables a plurality of users at remote places to easily communicate with one another.
[0006] In a known chat system, the type of data that can be shared by a plurality of users is limited to text data displayed in a window in order of input. Information other than text data displayed in order of input cannot be shared by a plurality of users. A user may not be able to accurately convey desired information that the user wants to convey to another user.
SUMMARY OF THE INVENTION
[0007] In view of the above circumstances, it is an object of the present invention to enable a plurality of users to communicate with one another more smoothly.
[0008] A service providing system of the present invention includes an information providing apparatus and a plurality of information processing apparatuses. The information providing apparatus includes a first storage unit for storing a group to which the information processing apparatuses belong; a second storage unit for storing, when first information is received from one of the information processing apparatuses, the first information in order of receipt; a third storage unit for storing, when second information differing from the first information is received from one of the information processing apparatuses, the second information; and a sending unit for simultaneously sending, when the first information or the second information is received from one of the information processing apparatuses, the received information to the remaining information processing apparatuses belonging to the same group. The information processing apparatuses each include a first providing unit for providing the first information received from the information providing apparatus to a user; and a second providing unit for providing the second information received from the information providing apparatus to the user.
[0009] An information providing apparatus of the present invention includes a first storage unit for storing a group to which information processing apparatuses belong; a second storage unit for storing, when first information is received from one of the information processing apparatuses, the first information in order of receipt; a third storage unit for storing, when second information differing from the first information is received from one of the information processing apparatuses, the second information; and a sending unit for simultaneously sending, when the first information or the second information is received from one of the information processing apparatuses, the received information to the remaining information processing apparatuses belonging to the same group.
[0010] The first information may be text data.
[0011] The second information may include at least one of text data, a graph, a table, and image data.
[0012] The information providing apparatus may further include a determining unit for determining, when the second information is received from one of the information processing apparatuses, on the basis of an identification attached to the second information for identifying the second information, whether the second information having the same identification is already stored by the third storage unit; and a storage control unit for deleting, when it is determined by the determining unit that the second information having the same identification as that of the second information received from the information processing apparatus is already stored by the third storage unit, the second information having the same identification, which has been stored by the third storage unit, from the third storage unit.
[0013] When the first information, the second information, and information linking the first information and the second information are received from one of the information processing apparatuses, the second storage unit may store the information linking the first information and the second information in conjunction with the first information. The sending unit may simultaneously send the first information, the second information, and the information linking the first information and the second information to the information processing apparatuses belonging to the same group.
[0014] An information providing method of the present invention includes a first storage step of storing a group to which information processing apparatuses belong; a second storage step of storing, when first information is received from one of the information processing apparatuses, the first information in order of receipt; a third storage step of storing, when second information differing from the first information is received from one of the information processing apparatuses, the second information; and a sending step of sending, when the first information or the second information is received from one of the information processing apparatuses, the received information to the remaining information processing apparatuses belonging to the same group.
[0015] A first program of the present invention causes a computer to perform a first storage control step of controlling storage of a group to which information processing apparatuses belong; a second storage control step of controlling, when first information is received from one of the information processing apparatuses, storage of the first information in order of receipt; a third storage control step of controlling, when second information differing from the first information is received from one of the information processing apparatuses, storage of the second information; and a sending step of sending, when the first information or the second information is received from one of the information processing apparatuses, the received information to the remaining information processing apparatuses belonging to the same group.
[0016] An information processing apparatus of the present invention includes a first providing unit for providing first information received from an information providing apparatus to a user; and a second providing unit for providing second information which is received from the information providing apparatus and which differs from the first information to the user.
[0017] The first information may be text data.
[0018] The second information may include at least one of text data, a graph, a table, and image data.
[0019] The first providing unit may provide the first information to the user in order of storage by the information providing apparatus.
[0020] The information processing apparatus may further include a determining unit for determining, in a case in which the second information is provided by the second providing unit to the user, when the second information is received from the information providing apparatus, whether an identification for identifying the received second information is the same as an identification of the second information provided by the second providing unit; and a replacing unit for replacing, when it is determined by the determining unit that the identification of the received second information is the same as the identification of the second information provided by the second providing unit, the second information provided by the second providing unit by the received second information.
[0021] The information processing apparatus may further include a first storage unit for storing the first information received from the information providing apparatus; and a second storage unit for storing the second information received from the information providing apparatus. The first providing unit may provide the first information stored by the first storage unit to the user, and the second providing unit may provide the second information stored by the second storage unit to the user.
[0022] The information processing apparatus may further include a display unit for displaying, when the first information, the second information, and information linking the first information and the second information are received from the information providing apparatus, information indicating a link between the first information provided by the first providing unit and the second providing unit on the basis of the information linking the first information and the second information.
[0023] The information indicating the link between the first information and the second providing unit may be an arrow heading from the first information towards the second providing unit.
[0024] The second providing unit may accept creation of new second information in an area for displaying the second information.
[0025] The information processing apparatus may further include a first accepting unit for accepting input of the first information; a second accepting unit for accepting a link between the first information, the input thereof being accepted by the first accepting unit, and the new second information, the creation thereof being accepted by the second providing unit; a creating unit for creating information linking the first information and the second information on the basis of the link between the first information and the second information, the link being accepted by the second accepting unit; and a sending unit for sending the first information, the input thereof being accepted by the first accepting unit, the new second information, the creation thereof being accepted by the second providing unit, and the information linking the first information and the second information to the information providing apparatus.
[0026] The second providing unit may accept addition or deletion of information to or from the second information provided by the second providing unit. When the addition or deletion of information to or from the second information provided by the second providing unit is accepted, the sending unit may send the second information to or from which the addition or deletion of information has been accepted to the information providing apparatus.
[0027] The second providing unit may display an icon in conjunction with the second information. When the icon is dragged and dropped onto an area in which the input of the first information is accepted by the first accepting unit, the second accepting unit may accept a link between the first information, the input thereof being accepted, and the second information whose icon has been dragged and dropped.
[0028] In a case in which the first accepting unit accepts input of a predetermined word, when the second information is provided by the second providing unit, the second accepting unit may accept a link between the first information, the input thereof being accepted by the first accepting unit, and the second providing unit.
[0029] An information processing method of the present invention includes a first providing step of providing first information received from an information providing apparatus to a user; and a second providing step of providing second information which is received from the information providing apparatus and which differs from the first information to the user.
[0030] A second program of the present invention causes a computer to perform a first providing step of providing first information received from an information providing apparatus to a user; and a second providing step of providing second information which is received from the information providing apparatus and which differs from the first information to the user.
[0031] According to a service providing system of the present invention, an information providing apparatus stores a group to which information processing apparatuses belong. When first information is received from one of the information processing apparatuses, the information providing apparatus stores the first information in order of receipt. When second information differing from the first information is received from one of the information processing apparatuses, the information providing apparatus stores the second information. When the first information or the second information is received from one of the information processing apparatuses, the information providing apparatus simultaneously sends the received information to the remaining information processing apparatuses belonging to the same group. The information processing apparatuses each provide the first information received from the information providing apparatus to a user and provide the second information received from the information providing apparatus to the user. Accordingly, the user can chat with other users while sharing with the other users information differing from conversation-like text exchanged in a known chat. The users can thus exchange their opinions more smoothly.
[0032] According to an information providing apparatus and method and a program of the present invention, a group to which information processing apparatuses belong is stored. When first information is received from one of the information processing apparatuses, the first information is stored in order of receipt. When second information differing from the first information is received from one of the information processing apparatuses, the second information is stored. When the first information or the second information is received from one of the information processing apparatuses, the received information is simultaneously sent to the remaining information processing apparatuses belonging to the same group. Accordingly, the user can chat with other users while sharing with the other users information differing from conversation-like text exchanged in a known chat. The users can thus exchange their opinions more smoothly.
[0033] According to an information processing apparatus and method and a program of the present invention, first information received from an information providing apparatus is provided to a user, and second information which is received from the information providing apparatus and which differs from the first information is provided to the user. Accordingly, the user can chat with other users while sharing with the other users information differing from conversation-like text exchanged in a known chat. The users can thus exchange their opinions more smoothly.
BRIEF DESCRIPTION OF THE DRAWINGS
[0034] FIG. 1 is a diagram showing the configuration of a chat system according to an embodiment of the present invention;
[0035] FIG. 2 is a block diagram showing an example of the configuration of a server 2 shown in FIG. 1 ;
[0036] FIG. 3 is a block diagram showing an example of the configuration of a client computer 3 shown in FIG. 1 ;
[0037] FIG. 4 is a flowchart describing a process of starting a chat in the chat system shown in FIG. 1 ;
[0038] FIG. 5 illustrates an example of an image displayed on a monitor 71 of a client computer 3 - 1 in step S 14 shown in FIG. 4 ;
[0039] FIG. 6 is a flowchart describing a process of inputting chat text in the chat system shown in FIG. 1 ;
[0040] FIG. 7 is a flowchart describing a process of displaying shared information in the chat system shown in FIG. 1 ;
[0041] FIG. 8 illustrates an example of an image displayed on the monitor 71 of the client computer 3 - 1 in step S 72 shown in FIG. 7 ;
[0042] FIG. 9 illustrates another example of an image displayed on the monitor 71 of the client computer 3 - 1 in step S 72 shown in FIG. 7 ;
[0043] FIG. 10 illustrates an example of an image displayed on the monitor 71 of the client computer 3 - 1 in step S 75 shown in FIG. 7 ;
[0044] FIG. 11 illustrates an example of an image displayed on a monitor 71 of a client computer 3 - 2 in step S 82 shown in FIG. 7 ;
[0045] FIG. 12 illustrates an example of an image displayed on the monitor 71 of the client computer 3 - 2 performing chatting;
[0046] FIG. 13 illustrates an example of an image displayed, subsequent to that shown in FIG. 12 , on the monitor 71 of the client computer 3 - 2 performing chatting;
[0047] FIG. 14 illustrates an example of an image displayed, subsequent to that shown in FIG. 13 , on the monitor 71 of the client computer 3 - 2 performing chatting;
[0048] FIG. 15 schematically illustrates the structure of information management using a database.
[0049] FIG. 16 illustrates an example of an image displayed on a monitor 71 of a client computer 3 - 3 ;
[0050] FIG. 17 is a flowchart describing a process of displaying shared information while three client computers are chatting with one another;
[0051] FIG. 18 illustrates an example of an image displayed on the monitor 71 of the client computer 3 - 3 in step S 164 shown in FIG. 17 ;
[0052] FIG. 19 illustrates an example of an image displayed on the monitor 71 of the client computer 3 - 1 ;
[0053] FIG. 20 illustrates another example of an image displayed on the monitor 71 of the client computer 3 - 1 ;
[0054] FIG. 21 is a flowchart describing a process performed by the server for managing chatting;
[0055] FIG. 22 is a flowchart describing a process performed by the client computer for managing chatting;
[0056] FIG. 23 is a flowchart continued from that shown in FIG. 22 ;
[0057] FIG. 24 is a flowchart describing a process of placing a link from chat text to a shared-information window.
DESCRIPTION OF THE PREFERRED EMBODIMENTS
[0058] FIG. 1 shows the configuration of a chat system according to an embodiment of the present invention. The chat system is primarily formed of chat clients and a chat server for performing chatting.
[0059] Specifically, referring to FIG. 1 , a server 2 is connected via a communication unit 11 to a network 1 such as the Internet. Three client computers 3 - 1 to 3 - 3 are connected to the network 1 .
[0060] The server 2 is formed of, for example, a workstation, a personal computer, or the like and functions as a chat server by executing a chat server program.
[0061] More specifically, the server 2 stores text data input from the client computers 3 - 1 to 3 - 3 (hereinafter referred to as chat text) as chat log data in a database 13 in order of input. Also, the server 2 stores data which is input from the client computers 3 - 1 to 3 - 3 to be shared with the client computers 3 - 1 to 3 - 3 and which differs from the chat log data as shared information in the database 13 .
[0062] The server 2 reflects the chat log data and the shared information stored in the database 13 in images displayed by the client computers 3 - 1 to 3 - 3 . A chat room manager 12 manages the database 13 . Accordingly, the server 2 provides a chat environment in which the client computers 3 - 1 to 3 - 3 communicate with one another.
[0063] The client computers 3 - 1 to 3 - 3 (hereinafter generally referred to as the “client computer(s) 3 ” when it is unnecessary to make distinction among the client computers 3 - 1 to 3 - 3 ) each store a chat client program for performing chatting while sharing a chat space provided by the server 2 with the other computers 3 . By execution of the chat client program and the chat server program in the server 2 , the client computer 3 displays the chat space for performing chatting.
[0064] FIG. 2 shows an example of the configuration of the server 2 . A ROM (Read Only Memory) 32 stores programs used by a CPU (Central Processing Unit) 31 and basically-fixed data of calculation parameters. The CPU 31 executes various application programs and a basic OS (Operating System) program to perform various processes described below. A RAM (Random Access Memory) 33 stores programs executed by the CPU 31 and data required for the processing by the CPU 31 .
[0065] The CPU 31 , the ROM 32 , and the RAM 33 are interconnected by a bus 34 . An input/output interface 35 is connected to the bus 34 .
[0066] The chat room manager 12 , an input unit 36 , an audio output unit 37 , a monitor 38 , a storage unit 39 , and the communication unit 11 are connected to the input/output interface 35 . If necessary, a drive 40 is connected to the input/output interface 35 .
[0067] In response to reception of an instruction to create a new chat room from the client computer 3 , the chat room manager 12 creates a region, in the database 13 , for managing data exchanged in the new chat room from this point onward. A chat room ID for identifying the chat room is assigned to the region.
[0068] In the region created for the new chat room, a region for managing chat log data and a region for managing shared information are created. Subsequently, the chat log data and the shared information are managed in the respective regions.
[0069] In the following description, the region for managing the chat log data is referred to as the chat log data management region, and the region for managing the shared information is referred to as the shared information management region.
[0070] In response to reception of chat text from the client computer 3 performing chatting, the chat room manager 12 searches the database 13 on the basis of the chat room ID sent in conjunction with the chat text for the corresponding chat room. The chat room manager 12 stores the received chat text as chat log data in the chat log data management region in the chat room.
[0071] If chat log data is already stored in the chat log data management region, the chat room manager 12 adds the received chat text to the already-stored chat log data and updates the stored data.
[0072] If the chat text received from the client computer 3 includes a shared information ID (ID for identifying individual pieces of shared information, which will be described later) attached thereto, the chat room manager 12 attaches the shared information ID included in the chat text to the chat log data and stores the chat log data with the shared information ID in the chat log data management region.
[0073] After the chat room manager 12 stores the received chat text as the chat log data in the database 13 , the chat room manager 12 sends the chat log data stored in the database 13 to all client computers 3 chatting in the same chat room via the communication unit 11 .
[0074] Of the chat log data, only a portion that corresponds to the received chat text is sent. When the chat log data includes the shared information ID attached thereto, the chat room manager 12 also sends the shared information ID in conjunction with the chat log data via the communication unit 11 .
[0075] When the chat room manager 12 receives shared information from the client computer 3 performing chatting, the chat room manager 12 searches the database 13 on the basis of the chat room ID sent in conjunction with the shared information for the corresponding chat room. The chat room manager 12 stores the received shared information in the shared information management region corresponding to the chat room ID in the database 13 .
[0076] If shared information having the same shared information ID is already stored in the shared information management region in the database 13 , the chat room manager 12 deletes the shared information with the same shared information ID, which has been stored in the shared information management region, in the database 13 , and stores the newly received shared information.
[0077] After the chat room manager 12 stores the shared information in the shared information management region, the chat room manager 12 sends the stored shared information to all the client computers 3 belonging to the chat room via the communication unit 11 .
[0078] The chat room manager 12 individually identifies and manages each member logged on to the chat room. When a new user logs on to the chat in progress, or when a user logs out from the chat, the chat room manager 12 updates information concerning members logged on to the chat room (hereinafter referred to as logged-on user information) and sends the updated logged-on user information to all the client computers 3 logged on to the chat room.
[0079] The input unit 36 is formed of, for example, a keyboard and a mouse and operated by a user when inputting various commands to the CPU 31 . Under the control of the CPU 31 , the audio output unit 37 plays predetermined audio data. The monitor 38 is formed of, for example, a CRT (Cathode-Ray Tube) or an LCD (Liquid Crystal Display) and displays predetermined information under the control of the CPU 31 . The storage unit 39 stores, for example, the OS and the chat client program supplied to each client computer 3 .
[0080] The communication unit 11 performs communication processing via the network 1 with the client computers 3 .
[0081] If necessary, the drive 40 is connected to the input/output interface 35 . A magnetic disk 41 , an optical disk 42 , a magneto-optical disk 43 , or a semiconductor memory 44 is placed on the drive 40 as the need arises, and a computer program read therefrom is installed in the storage unit 39 if necessary.
[0082] FIG. 3 shows an example of the configuration of the client computer 3 shown in FIG. 1 . As shown in FIG. 3 , the client computer 3 is arranged by removing the chat room manager 12 and the database 13 from the internal configuration of the server 2 shown in FIG. 2 and, instead, adding a chat input manager 66 , a shared information manager 67 , and a chat log manager 68 . The chat input manager 66 , the shared information manager 67 , and the chat log manager 68 will now be described, and a description of the common portion with the server 2 is omitted.
[0083] In the following description, a window for displaying chat log data input from users in order of input (a known window for chatting) is referred to as a chat window. A window for displaying shared information and for accepting addition and/or deletion of information by users is referred to as a shared-information window.
[0084] The chat input manager 66 performs predetermined processing on chat text input at a predetermined position (input area) in the chat window via the input unit 69 and sends the processed chat text via a communication unit 73 to the server 2 .
[0085] When an operation is performed to link the chat text input in the input area with the shared-information window, the chat input manager 66 adds a predetermined character string to the chat text being input and displays an arrow indicating a link between the chat text and the shared-information window on a monitor 71 . Subsequently, when an instruction to send the chat text is input from the input unit 69 , the chat input manager 66 attaches a shared information ID (details thereof are described later) to the chat text to be sent to the server 2 and sends the chat text to the server 2 .
[0086] When information created in the shared-information window is designated by a user to be shared with the other client computers 3 , the shared information manager 67 creates a shared information ID for individually identifying each piece of shared information, attaches the created shared information ID to the shared information, and sends the shared information via the communication unit 73 to the server 2 .
[0087] When the shared information manager 67 receives shared information from the server 2 via the communication unit 73 , the shared information manager 67 stores the received shared information in a storage unit 72 .
[0088] If shared information having the same shared information ID is already stored in the storage unit 72 , the shared information manager 67 deletes the shared information with the same shared information ID, which has been stored in the storage unit 72 , and stores the newly received shared information.
[0089] Subsequently, the shared information manager 67 displays the shared information stored in the storage unit 72 in the shared-information display window.
[0090] The chat log manager 68 stores chat log data supplied from the server 2 in the storage unit 72 , subsequently displays the chat window on the monitor 71 , and displays the chat log data in the chat window. If the chat log data supplied from the server 2 includes a shared information ID attached thereto, the chat log manager 68 additionally stores the shared information ID in the storage unit 72 .
[0091] In a case in which chat log data is already stored in the storage unit 72 , if additional chat log data is supplied from the server 2 , the chat log manager 68 adds the received chat log data to the chat log data stored in the storage unit 72 and stores the chat log data. The chat log manager 68 additionally displays the stored chat log data in the chat window.
[0092] With reference to the flowchart of FIG. 4 , a process of starting a chat will now be described.
[0093] In the following description, a user using the client computer 3 - 1 is referred to as user A; a user using the client computer 3 - 2 is referred to as user B; and a user using the client computer 3 - 3 is referred to as user C. The nickname of user A is “AAA”; the nickname of user B is “BBB”; and the nickname of user C is “CCC”.
[0094] In the following description, references are made to examples of images displayed on the monitor 71 of each client computer 3 . The same reference number is given to those corresponding to the same portion in a plurality of drawings.
[0095] The server 2 is activated. The server 2 constantly detects the client computer(s) 3 connected to the network 1 .
[0096] When user A activates the client computer 3 - 1 , a client program for managing the chat system is activated in the client computer 3 - 1 . The operation of the client program causes the client computer 3 - 1 to display, at a predetermined position on the monitor 71 , a list of client computers 3 activated and connected to the network 1 at that time from among the remaining client computers 3 (hereinafter referred to as a user list).
[0097] In step S 11 of FIG. 4 , user A operates the operation unit 69 of the client computer 3 - 1 and designates a desired chat partner (user B in this case) from the user list displayed on the monitor 71 . On the basis of the designation by the user, the client computer 3 - 1 sends the nickname “BBB” of user B designated as the desired chat partner and the name of a chat room into which the desired chat partner is invited (“AAA” in this case) to the server 2 and requests the server 2 to send an invitation to a chat to user B.
[0098] In step S 1 , the server 2 receives the request sent from the client computer 3 - 1 in step S 11 .
[0099] In step S 2 , the server 2 sends an invitation indicating that there is the chat invitation to the chat room “AAA” from user A to the client computer 3 - 2 .
[0100] In step S 21 , the communication unit 73 of the client computer 3 - 2 receives the invitation sent from the server 2 in step S 2 and displays the invitation on the monitor 71 . At this time, a guidance message such as “You have received an invitation to a chat from AAA. Do you want to participate in the chat? (YES or NO)” is displayed.
[0101] When user B selects “NO”, the client computer 3 - 2 sends a negative response to the server 2 . The server 2 informs the client computer 3 - 1 of the negative response that user B does not want to participate in the chat.
[0102] In contrast, when user B selects “YES”, the client computer 3 - 2 sends in step S 22 an affirmative response that user B wants to participate in the chat via the communication unit 73 to the server 2 .
[0103] In step S 3 , the server 2 receives the response from the client computer 3 - 2 given in step S 22 .
[0104] In step S 4 , the chat room manager 12 of the server 2 creates a region for storing data to be exchanged between the client computers 3 - 1 and 3 - 2 in a new chat room in the database 13 and assigns a chat room ID to the created region. The chat room manager 12 creates logged-on user information indicating that user A and user B are logged on to the new chat room and stores the logged-on user information in the region with the chat room ID.
[0105] In step S 5 , the server 2 sends start-chat commands to the client computers 3 - 1 and 3 - 2 .
[0106] In step S 12 , the communication unit 72 of the client computer 3 - 1 receives the command sent from the server 2 in step S 5 . In step S 13 , the CPU 61 of the client computer 3 - 1 creates, in the storage unit 72 , a region for storing data to be exchanged in the chat room from this point onward.
[0107] In step S 14 , the CPU 61 of the client computer 3 - 1 displays a chat window at a predetermined position on the monitor 71 . FIG. 5 shows an example of an image displayed on the monitor 71 of the client computer 3 - 1 .
[0108] Referring to FIG. 5 , a chat window 101 is displayed at the left side of the monitor 71 . The chat window 101 is formed of a log display area 102 , an input area 103 , and a user-list display area 104 .
[0109] The input area 103 accepts input of a character string from a user. In step S 14 , no character is input in the input area 103 . The log display area 102 displays chat log data. The user-list display area 104 displays a list of users (nicknames) who are owners of the client computers 3 connected to the network 1 from among the client computers 3 .
[0110] When a send key 105 is clicked, the chat text input in the input area 103 is sent to the server 2 .
[0111] In step S 23 , the communication unit 73 of the client computer 3 - 2 receives the command sent from the server 2 in step S 5 . In step S 24 , the CPU 61 of the client computer 3 - 2 creates, in the storage area 72 , a region for storing data to be exchanged in the chat room from this point onward.
[0112] In step S 25 , the CPU 61 of the client computer 3 - 2 displays a chat window at a predetermined position on the monitor 71 . As in the client computer 3 - 1 , the monitor 71 of the client computer 3 - 2 displays the chat window including a log display area, an input area, and a user-list display area.
[0113] As discussed above, the new chat room starts to be shared by user A and user B. Alternatively, a chat can be started without performing the above-described process. In the above description, an invitation is sent to only user B. Alternatively, invitations can be sent to a plurality of users.
[0114] When sending invitations to a plurality of users, in step S 11 , user A selects the nicknames of all desired chat partners and sends the nicknames to the server 2 . The server 2 sends invitations to all the users requested by the client computer 3 - 1 and sends start-chat commands to all the client computers 3 that have given invitation acceptance responses.
[0115] Accordingly, a chat can be started among a plurality of users.
[0116] Referring to FIG. 6 , a process of accepting chat text input and displaying chat log data will now be described.
[0117] In step S 41 , the client computer 3 - 1 accepts chat text input from user A via the input unit 69 . Specifically, for example, the input area 103 of the monitor 71 of the client computer 3 - 1 accepts input of chat text (“This is A. Let's decide the date for the next project meeting” in FIG. 5 ). When the mouse clicks on the send key 105 to designate sending, the process proceeds to step S 42 .
[0118] In step S 42 , the chat input manager 66 of the client computer 3 - 1 sends the chat text input in the input area 103 (“This is A. Let's decide the date for the next project meeting” in FIG. 5 ) via the communication unit 73 to the server 2 .
[0119] When the send key 105 is clicked, the shared information manager 67 determines whether or not there is shared information to be sent. In FIG. 5 , no shared information is created. It is thus determined that there is no shared information to be sent. The shared information manager 67 does not send shared information to the server 2 .
[0120] In step S 31 , the communication unit 11 of the server 2 receives the chat text sent from the client computer 3 - 1 in step S 42 . In step S 32 , the chat room manager 12 of the server 2 stores the received chat text as chat log data in the region created in the database 13 in step S 4 of FIG. 4 .
[0121] In step S 33 , the chat room manager 12 of the server 2 sends the chat log data stored in the database 13 in step S 32 via the communication unit 11 to the client computers 3 - 1 and 3 - 2 .
[0122] In step S 43 , the communication unit 73 of the client computer 3 - 1 receives the chat log data sent from the server 2 in step S 33 .
[0123] In step S 44 , the chat log manager 68 of the client computer 3 - 1 stores the chat log data received in step S 43 in the storage unit 72 and displays the chat log data in the log display area 102 of the chat window 101 . For example, referring to FIG. 5 , the log display area 102 displays the nickname “AAA” of user A and the chat log data “This is A. Let's decide the date for the next project meeting”. At this time, the chat text input in the input area 103 is deleted.
[0124] In steps S 51 and S 52 , the client computer 3 - 2 performs processing similar to that performed by the client computer 3 - 1 in step S 43 and S 44 . As a result, as in the client computer 3 - 1 , the chat log data is also displayed in the log display area of the monitor 71 of the client computer 3 - 2 .
[0125] Accordingly, the chat log data is shared among a plurality of users.
[0126] Referring to the flowchart of FIG. 7 , a process of enabling a plurality of client computers to share shared information will now be described.
[0127] In step S 71 , in response to an instruction from user A via the input unit 69 , the shared information manager 67 of the client computer 3 - 1 displays a shared-information window 111 on the monitor 71 , as shown in FIG. 8 . FIG. 8 shows an example of a screen displayed on the monitor 71 of the client computer 3 - 1 subsequent to the process shown in FIG. 7 . User A writes information that user A wants to share with the other users in a shared-information display area 112 of the displayed shared-information window 111 .
[0128] User A can freely write various types of data, such as characters, images, tables, and graphs, in the shared-information display area 112 of the shared-information window 111 . Referring to FIG. 8 , the character string “Scheduling for the Next Project Meeting” and the schedule of user A from the third (Monday) through the seventh (Friday) are written using the symbols ◯ and x (◯ means that the user is available and x means that the user is not available).
[0129] In step S 72 , the client computer 3 - 1 accepts the input of chat text into the input area 103 from user A and a link between the chat text input in the input area 103 and the shared-information window 111 .
[0130] Specifically, for example, referring to FIG. 8 , when user A inputs the chat text “I′m free on the” in the input area 103 and drags-and-drops a shared-information icon 113 displayed in the lower left hand corner of the shared-information window 111 onto the input area 103 , a link is placed between the character string being input in the input area 103 and the shared-information window 111 . In FIG. 8 , a dotted line indicating the drag-and-drop operation is not actually displayed on the monitor 71 .
[0131] FIG. 9 shows an example of an image displayed on the monitor 71 immediately after the shared-information icon 113 is dragged and dropped onto the input area 103 .
[0132] Referring to FIG. 9 , the word “following”, which is a link word 131 , is displayed subsequent to the character string “I′m free on the” being input in the input area 103 , and a link arrow 132 heading from the link word 131 towards the linked shared-information window 111 is displayed.
[0133] As discussed above, when the shared-information icon 113 is dragged and dropped onto the input area 103 , the chat input manager 66 adds the link word 131 “following” at the end of the chat text and displays the link arrow 132 heading from the link word 131 towards the shared-information window 111 on the monitor 71 .
[0134] In the above description, after the shared information is completely written in the shared-information display area 112 in step S 71 , a link to the shared-information window 111 is placed in step S 72 . Alternatively, after a link to the shared-information window 111 is placed, information is written in the shared-information display area 112 .
[0135] Subsequent to the chat text “I′m free on the following” being input in the input area 103 , “days” is input. Subsequently, when user A clicks on the send key 105 , the process proceeds to step S 73 .
[0136] In step S 73 , the shared information manager 67 of the client computer 3 - 1 creates a shared information ID of the shared information written in the shared-information display area 112 and attaches the shared information ID to the shared information. Also, the shared information manager 67 supplies the shared information ID to the chat input manager 66 . The chat input manager 66 attaches the shared information ID to the chat text “I′m free on the following days”. The chat room ID is attached to the shared information having the shared information ID attached thereto by the shared information manager 67 and to the chat text having the shared information ID attached thereto by the chat input manager 66 , and the shared information and the chat text are sent via the communication unit 73 to the server 2 .
[0137] In step S 61 , the communication unit 11 of the server 2 receives the chat text and the shared information sent from the client computer 3 - 1 in step S 73 .
[0138] In step S 62 , the chat room manager 12 of the server 2 searches the database 13 for the storage region having the same chat room ID as that attached to the received data and stores the received chat text “I′m free on the following days.” as chat log data having the shared information ID attached thereto in the detected chat log data management region.
[0139] The chat room manager 12 reads the shared information ID attached to the shared information received in step S 61 and determines whether or not shared information having the same shared information ID is stored in the shared information management region. If there is shared information having the same shared information ID, the chat room manager 12 deletes the shared information with the same shared information ID from the shared information management region in the database 13 and stores the shared information received in step S 61 . In this example, it is determined that no shared information having the same shared information ID is stored. In this case, the chat room manager 12 stores the shared information (having the shared information ID attached thereto) received in step S 61 in the shared information management region.
[0140] In this case, the chat log data “I′m free on the following days.” is stored in conjunction with the previously-stored chat log data “This is A. Let's decide the date for the next project meeting”. The two pieces of chat log data are arranged and stored in order of storage.
[0141] In step S 63 , the chat room manager 12 of the server 2 sends the chat log data “I′m free on the following days.” and the shared information stored in the database 13 in step S 62 via the communication unit 11 to the client computers 3 - 1 and 3 - 2 .
[0142] In step S 74 , the communication unit 73 of the client computer 3 - 1 receives the chat log data and the shared information sent from the server 2 in step S 63 . The CPU 61 of the client computer 3 - 1 stores the received chat log data and the shared information in the storage unit 72 .
[0143] In step S 75 , as shown in FIG. 10 , the chat log manager 68 of the client computer 3 - 1 displays the chat log data stored in the storage unit 72 in step S 74 in the log display area 102 . Specifically, the log display area 102 additionally displays the nickname “AAA” and the chat log data “I′m free on the following days.” under the previously-displayed chat log data.
[0144] The shared information manager 67 of the client computer 3 - 1 displays the shared information received in step S 74 in the shared-information window 111 displayed on the monitor 71 of the client computer 3 - 1 .
[0145] The chat log manager 68 refers to the shared information ID attached to the chat log data stored in the storage unit 72 in step S 74 , searches for a shared-information window displaying the shared information with the same shared information ID (the shared-information window 111 in FIG. 10 ), and displays a link arrow 142 heading from a link word 141 to the shared-information window 111 ( FIG. 10 ).
[0146] As discussed above, since the link arrow 142 heading from the link word 141 towards the shared-information window 111 is displayed, the user understands at a glance the association between each piece of chat log data and the corresponding shared information even when a plurality of pieces of chat log data are displayed in the log display area 102 .
[0147] In steps S 81 and S 82 , the client computer 3 - 2 performs processing similar to that performed by the client computer 3 - 1 in steps S 74 and S 75 .
[0148] FIG. 11 shows an example of an image displayed on the monitor 71 of the client computer 3 - 2 in step S 81 . As shown in FIG. 11 , a log display area 162 of a chat window 161 displays the same chat log data as that displayed in the log display area 102 of the client computer 3 - 1 shown in FIG. 10 . A shared-information display area 167 of a shared-information window 166 shown in FIG. 11 displays the same shared information as that displayed in the shared-information display area 112 of the client computer 3 - 1 shown in FIG. 10 .
[0149] As shown in FIG. 11 , a link arrow 170 heading from a link word 169 “following” of the chat log data “I′m free on the following days.” displayed in the log display area 162 towards the shared-information window 166 is displayed. This is the same as the image displayed on the monitor 71 of the client computer 3 - 1 shown in FIG. 10 .
[0150] User A can add information to or delete information from the shared information displayed in the shared-information display area 112 shown in FIG. 10 . Also, user B can add information to or delete information from the shared information shown in the shared-information display area 167 shown in FIG. 11 .
[0151] For example, in the monitor display state shown in FIG. 11 , user B adds his/her schedule (◯ and x) in the shared-information display area 167 and the chat text “I added my schedule.” in an input area 163 of the chat window 161 . FIG. 12 shows an example of an image displayed on the monitor 71 of the client computer 3 - 2 at this point.
[0152] As shown in FIG. 12 , the schedule of user B (◯ and x) is added in the shared-information display area 167 , and the chat text “I added my schedule.” is written in the input area 163 of the chat window 161 .
[0153] When user B clicks on a send key 165 in this state, the shared information manager 67 of the client computer 3 - 2 attaches the shared information ID included in the shared information received in step S 81 to the shared information having the information added thereto.
[0154] Subsequently, the chat input manager 66 supplies the chat text input in the input area 163 to the communication unit 73 , and the shared information manager 67 supplies the shared information having the shared information ID attached thereto to the communication unit 73 . The communication unit 73 attaches the chat room ID to the supplied chat text and shared information and sends the chat text and the shared information via the network 1 to the server 2 .
[0155] The chat room manager 12 of the server 2 stores the chat text received from the client computer 3 - 2 in the chat log data management region for the chat room corresponding to the chat room ID in the database 13 . The chat room manager 12 reads the shared information ID attached to the received shared information and determines whether or not shared information having the same shared information ID is stored in the shared information management region.
[0156] As a result, it is determined that the shared information ID of the shared information previously stored in the shared information management region in step S 62 is the same as that of the currently received shared information. The chat room manager 12 deletes the shared information having the same shared information ID, which has been stored in the shared information management region, and, instead, stores the currently received shared information in the shared information management region.
[0157] Subsequently, the chat room manager 12 of the server 2 sends the chat log data stored in the chat log data management region and the shared information stored in the shared information management region to the client computers 3 - 1 and 3 - 2 .
[0158] The client computers 3 - 1 and 3 - 2 receive the chat log data and the shared information from the server 2 . Each chat log manager 68 stores the chat log data in the corresponding storage unit 72 and additionally displays the chat log data in the corresponding log display area. Each shared information manager 67 reads the shared information ID attached to the received shared information and determines whether or not shared information having the same shared information ID is stored in the corresponding storage unit 72 .
[0159] As a result, it is determined that the shared information ID of the shared information previously stored in the storage unit 72 in step S 74 (or step S 81 ) is equivalent to that of the currently received shared information. Each shared information manager 67 deletes the shared information having the same shared information ID, which has been stored in the corresponding storage unit 72 , and stores the currently received shared information in the storage unit 72 . Subsequently, each shared information manager 67 displays the new shared information stored in the storage unit 72 in the shared-information display area in the shared-information window displayed on the corresponding monitor 71 .
[0160] As discussed above, shared information displayed in the shared-information display area is edited by a plurality of clients (information is added thereto or deleted therefrom), and the shared information is updated at all times to the newest information.
[0161] FIG. 13 shows an example of the updated shared information displayed on the monitor 71 of the client computer 3 - 2 . As shown in FIG. 13 , the fact that the link arrow 170 heading from the link word 169 towards the shared-information window 166 is displayed is the same as the image displayed on the monitor 71 of the client computer 3 - 2 prior to updating the shared information, as shown in FIG. 11 .
[0162] Specifically, after the link arrow between the link word and the new shared-information window is displayed, even if information is added to or deleted from the shared information in the same shared-information window and the shared information is thus updated, the initial association between the link word and the shared-information window is maintained at the time the link arrow was first displayed.
[0163] When the image shown in FIG. 13 is displayed on the monitor 71 , the user only inputs chat text in the input area 163 , and no information is added to or deleted from the shared information displayed in the shared-information display area 167 . When the user clicks on the send key 165 in this state, the shared information manager 67 determines that no information is added to or deleted from the shared information and thus does not send the shared information displayed in the shared-information display area 167 to the server 2 .
[0164] Specifically, for example, when the image shown in FIG. 13 is displayed on the monitor 71 , the chat text “Should we make it on the fourth (Tuesday)?” is input in the input area 163 , and no information is added to or deleted from the shared information in the shared-information display area 167 . In this case, the client computer 3 - 2 only sends the chat text to the server 2 . The server 2 stores the received chat text as chat log data in the chat log data management region and, subsequently, sends the chat log data to the client computers 3 - 1 and 3 - 2 . The client computers 3 - 1 and 3 - 2 display the chat log data received from the server 2 on the corresponding log display areas.
[0165] FIG. 14 shows an example of an image displayed on the monitor 71 of the client computer 3 - 2 at this point. As shown in FIG. 14 , the log display area 162 displays the chat log data “Should we make it on the fourth (Tuesday)?”. The shared-information display area 167 displays the same shared information as that displayed in the shared-information display area 167 shown in FIG. 13 .
[0166] As discussed above, only when information is added to or deleted from the shared information displayed in the shared-information display area, the shared information is sent to the server 2 . Accordingly, the amount of information sent to the server 2 is reduced.
[0167] FIG. 15 schematically illustrates data managed in the database 13 .
[0168] The server 2 can simultaneously manage a plurality of chat rooms. Referring to FIG. 15 , the database 13 identifies and manages a plurality of chat rooms using unique chat room IDs 191 . Specifically, FIG. 15 shows a case in which the chat room manager 12 of the server 2 simultaneously manages twelve different chat rooms whose chat room IDs range from chat 0001 to chat 0012 . In FIG. 15 , the chat room ID of the above-described chat room in which user A and user B participate is chat 0001 .
[0169] Under the category named “participating clients 192 ” shown in FIG. 15 , members participating in the corresponding chat rooms (that is, logged-on user information) are managed in each chat room. Specifically, for example, the clients participating in the chat room with the chat room ID chat 0001 are “A and B”, indicating user A and user B.
[0170] Under the category named “chat log 193 ” shown in FIG. 15 , chat log data corresponding to each of the chat rooms from chat 0001 to chat 0012 is managed. For example, data managed in the chat room with the chat room ID chat 0001 is shown in chat log data 194 .
[0171] As shown in the chat log data 194 , chat log data for a chat exchanged between the client computers 3 - 1 and 3 - 2 is stored in the chat log 193 . In the chat log data 194 , a link instruction 195 surrounded by a dotted line, that is, “<ref.xxx> following </ref>”, indicates that the surrounded word is a link word. As indicated by the link instruction 195 , the chat room manager 12 links the chat log data with shared information 196 designated to be linked therewith and stores the chat log data in the database 13 .
[0172] In the above description, an example of a chat between two computers, namely, the client computers 3 - 1 and 3 - 2 , is illustrated. In a case of a chat involving three or more client computers 3 , the processing performed by the client computers 3 and the server 2 is similar to that in a case of the above-described chat involving two client computers 3 .
[0173] The processing of the client computer 3 - 3 and the server 2 in a case in which the client computer 3 - 3 participates in an on-going chat between the client computers 3 - 1 and 3 - 2 in the middle of the chat will now be described.
[0174] The chat room manager 12 of the server 2 receives, from the client computer 3 - 3 , a notification of request for participation in an on-going chat performed between the client computers 3 - 1 and 3 - 2 . The chat room manager 12 reads chat log data and shared information exchanged between the client computers 3 - 1 and 3 - 2 up to that time from the database 13 and sends the read data via the communication unit 11 to the client computer 3 - 1 .
[0175] The client computer 3 - 3 receives the chat log data and the shared information from the server 2 and stores the received data and information in the storage unit 72 . The chat log manager 68 of the client computer 3 - 3 displays a chat window formed of a log display area, an input area, and a user-list display area 215 on the monitor 71 and displays the chat log data stored in the storage unit 72 in the log display area. The shared information manager 67 of the client computer 3 - 3 displays a shared-information window on the monitor 71 and displays the shared information stored in the storage unit 72 in the shared-information window.
[0176] FIG. 16 shows an example of an image displayed on the monitor 71 of the client computer 3 - 3 participating in the on-going chat in the middle of the chat.
[0177] Referring to FIG. 16 , a chat window 211 is displayed at the left, and a shared-information window 218 is displayed at the right. A log display area 212 in the chat window 211 displays the chat log data exchanged between user A and user B up to that time (the chat log data 194 in FIG. 15 ). A shared-information display area 219 in the shared-information window 218 displays the most recent shared information exchanged between user A and user B.
[0178] As discussed above, the monitor 71 of the client computer 3 - 3 displays the details of the chat performed between the client computers 3 - 1 and 3 - 2 up to that time (chat log data and shared information).
[0179] In a known chat, it is difficult for a user who participates in an on-going chat in the middle of the chat to understand the details of conversation in the chat up to that time unless the user reads the conversation (chat log data) displayed in the log display area from the beginning.
[0180] In contrast, in the system according to the present invention, as described in the above example, the main point of conversation conducted in the log display area between user A and user B (users' schedules in this example) is written in the shared-information window. This enables user C, who is the user of the client computer 3 - 3 , to understand at a glance the details of conversation conducted between user A and user B by looking at information (schedules of user A and user B) in the shared-information window 218 displayed on the monitor 71 even if user C participates in the on-going chat in the middle of the chat.
[0181] As shown in FIG. 16 , since a link word 213 and a link arrow 214 are displayed on the monitor 71 , user C understands the details of conversation in the chat up to that time more easily.
[0182] The processing of the client computers 3 - 1 to 3 - 3 and the server 2 in a case of a chat involving three or more client computers 3 will now be described.
[0183] If a chat involves three or more client computers 3 , the processing performed by the server 2 and each client computer 3 is similar to that in a case of a chat involving two client computers 3 , which is described with reference to the flowchart of FIG. 7 .
[0184] Referring to FIG. 17 , the processing of the client computers 3 - 1 to 3 - 3 and the server 2 in a case of a chat involving the client computers 3 - 1 to 3 - 3 will now be described.
[0185] In step S 161 , for example, user C inputs the chat text “I added my schedule, too. Please arrange the date.” in an input area 216 on the monitor 71 of the client computer 3 - 3 shown in FIG. 16 , adds information (e.g., the schedule of user C) in the shared-information display area 219 , and clicks on a send key 217 . The process proceeds to step S 162 , and the client computer 3 - 3 sends the input chat text and shared information to the server 2 .
[0186] In step S 131 , the server 2 receives the chat text and the shared information sent from the client computer 3 - 3 in step S 162 . In step S 132 , the server 2 stores the received chat log data and shared information in predetermined regions of the database 13 .
[0187] In step S 133 , the server 2 sends the chat log data and the shared information stored in the database 13 in step S 132 to the client computers 3 - 1 to 3 - 3 .
[0188] The client computers 3 - 1 , 3 - 2 , and 3 - 3 receive the chat text and the shared information from the server 2 and stores the received data in the corresponding storage units 72 in steps S 141 , S 151 , and S 161 , respectively.
[0189] The client computers 3 - 1 , 3 - 2 , and 3 - 3 display the received chat text and shared information on the corresponding monitors 71 in steps S 142 , S 152 , and S 162 , respectively.
[0190] FIG. 18 shows an example of an image displayed on the monitor 71 of the client computer 3 - 3 in step S 164 .
[0191] Referring to FIG. 18 , the log display area 212 of the chat window 211 additionally displays the chat log data “I added my schedule data, too. Please arrange the date”. In the shared-information display area 219 of the shared-information window 218 , the schedule of user C (◯ and x) is added.
[0192] As discussed above, in the chat involving three or more client computers, as in the chat involving two client computers, the chat text (chat log data) and shared information are sent/received between the client computers 3 and the server 2 .
[0193] In the chat performed by the above-described client computers 3 - 1 to 3 - 3 , the processing of the client computers 3 and the server 2 in the chat system according to the present invention is described using a case of schedule adjustment. Writing the main point of conversation in the shared-information window allows communication to be performed more smoothly.
[0194] FIG. 19 shows an example of an image displayed on the monitor 71 of the client computer 3 - 1 after the chat log data is added and the information is added to the shared information by user A in the above case of schedule adjustment. Specifically, referring to FIG. 19 , the log display area 102 displays chat log data input from user A, that is, “OK. Let's make it on the seventh (Friday)”, and the shared-information display area 112 in the shared-information window 111 additionally displays “Confirmed: seventh (Friday)”.
[0195] As discussed above, communication is performed in a conversation-like manner in the log display area 102 , and the main point is summarized in the shared-information window 111 . Accordingly, the users can easily exchange their opinions without seeing and talking to one another in person.
[0196] In the above-described case, only text data is handled as shared information. Other possible types of shared information include graphs, tables, and other image data. In the above-described case, a case in which one shared-information window is displayed is described. Alternatively, a plurality of shared-information windows may be displayed.
[0197] FIG. 20 shows an example of a case in which image data (map) serving as shared information is displayed in conjunction with a plurality of shared-information windows on the monitor 71 of the client computer 3 - 1 .
[0198] Specifically, referring to FIG. 20 , two shared-information windows, namely, the shared-information window 111 and a shared-information window 233 , are displayed on the monitor 71 . A shared-information display area 234 in the shared-information window 233 displays the image data (map).
[0199] The link arrow 142 heading from the link word 141 towards the shared-information window 111 is displayed, and a link arrow 232 heading from a link word 231 towards the shared-information window 233 is displayed.
[0200] With reference to the flowchart of FIG. 21 , a process performed by the server 2 for implementing the above-described operation will now be described.
[0201] In step S 201 , the CPU 31 of the server 2 continuously monitors the access to the communication unit 11 by each client computer 3 . When the client computer 3 accesses the communication unit 11 , the process proceeds to step S 202 .
[0202] In step S 202 , the chat room manager 12 analyzes the details of the access by the client computer 3 and determines whether or not the access includes a request for creation of a new chat room. If the access includes a request for creation of a new chat room, in step S 203 , the chat room manager 12 reads the nickname of a desired chat partner, which is included in the information sent from the client computer 3 , and sends an invitation to a chat to the client computer 3 operated by the user having the detected nickname.
[0203] When a response to the invitation is sent from the client computer 3 to which the invitation has been sent, in step S 204 , the chat room manager 12 determines whether or not the response indicates the acceptance of the chat invitation. If the response indicates the acceptance of the chat invitation, in step S 205 , the chat room manager 12 creates a new storage region identified by a chat room ID in the database 13 (step S 4 in FIG. 4 ).
[0204] In step S 206 , the chat room manager 12 sends an instruction via the communication unit 11 to each of plural client computers 3 starting chatting in the new chat room to display a chat window on the monitor 71 . Subsequently, the process returns to step S 201 .
[0205] When the chat room manager 12 determines in step S 204 that the response from the client computer 3 to which the invitation has been sent indicates the rejection of the chat invitation, in step S 207 , the chat room manager 12 informs the client computer 3 that has sent the request for creation of the new chat room of the rejection of the chat invitation from the desired chat partner (user). Subsequently, the process returns to step S 201 .
[0206] If it is determined in step S 202 that the access by the client computer 3 includes no request for creation of a new chat room, the process proceeds to step S 208 .
[0207] In step S 208 , the chat room manager 12 determines whether the access from the client computer 3 includes an invitation to an on-going chat room to a new user. If it is determined that the access includes an invitation to a new user, in step S 209 , the chat room manager 12 detects the nickname of a desired chat partner (new user), which is included in the information sent from the client computer 3 , and sends an invitation to the chat having a chat-room name attached thereto to the client computer 3 operated by the user with the detected nickname.
[0208] When a response to the invitation is sent from the client computer 3 to which the invitation has been sent, in step S 210 , the chat room manager 12 determines whether or not the response indicates the acceptance of the chat invitation. If the response indicates the acceptance of the chat invitation, in step S 211 , the chat room manager 12 sends chat log data and shared information related to the chat, which have been stored in the database 13 and which have been exchanged in the chat room up to that time, to the client computer 3 operated by the new user. Subsequently, the process returns to step S 201 .
[0209] If it is determined in step S 210 that the response from the client computer 3 to which the invitation has been sent indicates the rejection of the chat invitation, in step S 212 , the client computer 3 having sent the chat invitation is informed of the rejection of the chat invitation from the desired chat partner (new user). Subsequently, the process returns to step S 201 .
[0210] If the chat room manager 12 determines in step S 208 that the access from the client computer 3 includes no invitation to an on-going chat room to a new user, in step S 213 , the chat room manager 12 determines whether or not the access from the client computer 3 includes chat log data, thus determining whether or not the access from the client computer 3 includes chat log data to be written in the chat window.
[0211] As a result, if the access from the client computer 3 includes chat log data, the chat room manager 12 determines that the access from the client computer 3 includes chat log data to be written in the chat window. In step S 214 , the chat room manager 12 stores the received chat log data in the database 13 .
[0212] As shown in FIG. 15 , the chat log data is stored in the chat log 193 having the corresponding chat room ID. When the chat log data includes a shared information ID attached thereto, the shared information ID is also stored in conjunction with the chat log data.
[0213] In step S 215 , the chat room manager 12 sends the chat log data stored in the database 13 in step S 214 via the communication unit 11 to all client computers 3 participating in the same chat room.
[0214] If the access from the client computer 3 includes no chat lot data in step S 213 , or if the processing in step S 215 is completed, in step S 216 , the chat room manager 12 determines whether or not the access from the client computer 3 includes shared information. If the access includes shared information, the process proceeds to step S 217 .
[0215] In step S 217 , the chat room manager 12 reads the shared information ID of the shared information and the chat room ID included in the access from the client computer 3 and determines whether or not shared information having the same shared information ID as the read shared information ID is stored in the shared information management region in a chat room corresponding to the read chat room ID. As a result, when shared information having the same shared information ID is already stored in the shared information management region, in step S 218 , the chat room manager 12 deletes the shared information having the same shared information ID, which has been stored in the shared information management region.
[0216] When the chat room manager 12 determines in step S 217 that no shared information having the same shared information ID as that of the shared information received from the client computer 3 is stored in the shared information management region, or when the processing in step S 218 is completed, the process proceeds to step S 219 .
[0217] In step S 219 , the chat room manager 12 stores the shared information received from the client computer 3 in the shared information management region in the database 13 .
[0218] In step S 220 , the chat room manager 12 sends the shared information stored in the database 13 in step S 219 to all the other client computers 3 chatting in the same chat room. Subsequently, the process returns to step S 201 .
[0219] If the chat room manager 12 determines in step S 216 that the access from the client computer 3 includes no shared information, in step S 221 , the chat room manager 12 performs predetermined processing in accordance with an instruction included in the access from the client computer 3 . The process returns to step S 201 .
[0220] The server 2 performs the above-described process to manage the client computers 3 performing chatting.
[0221] With reference to FIGS. 22 and 23 , a process performed by each client computer 3 for implementing the above-described operation will now be described.
[0222] In step S 251 , the CPU 61 of each client computer 3 determines whether or not an instruction is input from a User via the input unit 69 . If an instruction is input from the input unit 69 , in step S 252 , the CPU 61 determines whether or not the instruction from the user designates execution of a new chat.
[0223] As a result, if the instruction from the user designates execution of a new chat, in step S 253 , the CPU 61 requests the server 2 via the communication unit 73 to send an invitation to a specified chat partner.
[0224] When a response from the specified chat partner is received from the server 2 , in step S 254 , the CPU 61 determines whether or not the response from the specified chat partner indicates the acceptance of the chat invitation. If the response from the specified chat partner indicates the acceptance of the chat invitation, in step S 255 , the CPU 61 displays a chat window on the monitor 71 in accordance with an instruction from the server 2 .
[0225] If the CPU 61 determines in step S 254 that the response from the specified chat partner indicates the rejection of the chat invitation, in step S 256 , the CPU 61 displays on the monitor 71 a guidance message indicating that the specified chat partner to which the invitation has been sent does not want to chat. Subsequently, the process returns to step S 251 .
[0226] If the CPU 61 determines in step S 252 that the instruction from the user does not designate execution of a new chat, in step S 257 , the CPU 61 determines whether or not the instruction from the user designates inviting a new user to an on-going chat room in which the user and another user are already chatting. If the instruction from the user designates inviting a new user to an on-going chat room in which the user and another user are already chatting, the process proceeds to step S 258 .
[0227] In step S 258 , the CPU 61 requests the server 2 via the communication unit 73 to send an invitation to a specified chat partner (a user who is not participating in the on-going chat and who is specified by operating the input unit 69 from among users displayed in the user-list area).
[0228] Subsequently, when a response is sent from the user to which the invitation has been sent, in step S 259 , the CPU 61 displays the response from the invited user on the monitor 71 . Specifically, whether the response from the invited user indicates the acceptance or rejection of the chat invitation is displayed on the monitor 71 .
[0229] When the CPU 61 determines in step S 257 that the instruction from the user does not designate inviting a new user to an on-going chat room in which the user and another user are already chatting, the process proceeds to step S 260 .
[0230] In step S 260 , the CPU 61 determines whether or not the instruction from the user designates sending of chat text. Specifically, for example, as shown in FIG. 5 , when the character string “This is A. Let's decide the date for the next project meeting.” is input in the input area 103 , it is determined whether the send key 105 is clicked (or Enter key is operated).
[0231] As a result, when the CPU 61 determines that the instruction from the user designates sending of chat text, in step S 261 , the chat input manager 66 determines, in response to a command from the CPU 61 , whether or not a link to new shared information is placed on the chat text input in the input area 103 . When a link to new shared information is placed on the character string input in the input area 103 , in step S 262 , the shared information manager 67 creates, in response to a command from the CPU 61 , a shared information ID of the shared information displayed in the shared-information window and attaches the shared information ID to the shared information. Also, the shared information manager 67 supplies the shared information ID to the chat input manager 66 . The chat input manager 66 attaches the shared information ID supplied from the shared information manager 67 to the chat text.
[0232] In step S 263 , in response to a command from the CPU 61 , the chat input manager 66 supplies the chat text input in the input area 103 to the communication unit 73 , and the shared information manager 67 supplies the shared information to the communication unit 73 . The communication unit 73 sends the supplied chat text and shared information to the server 2 .
[0233] Subsequently, the process returns to step S 251 .
[0234] If the chat input manager 66 determines in step S 261 that no link to new shared information is placed on the chat text input in the input area 103 , in step S 264 , in response to a command from the CPU 61 , the shared information manager 67 determines whether or not information is added to or deleted from the shared information displayed in the shared-information display window. If it is determined that information is added to or deleted from the shard information displayed in the shared-information window, in step S 265 , the shared information manager 67 reads the shared information ID attached to the shared information prior to the addition or deletion of information and attaches the read shared information ID to the shared information after the addition or deletion of information. Subsequently, the process proceeds to step S 263 , and the above-described processing is repeated.
[0235] When the shared information manager 67 determines in step S 264 that no information is added to or deleted from the shared information displayed in the shared-information window (or when no shared-information window is displayed on the monitor 71 ), in step S 266 , in response to a command from the CPU 61 , the chat input manager 66 sends the chat text input in the input area 103 via the communication unit 73 to the server 2 .
[0236] Subsequently, the process returns to step S 251 . If the CPU 61 determines in step S 260 that the instruction from the user does not designate sending of chat text, the process proceeds to step S 267 .
[0237] In the chat system according to the present invention, chatting users may only send shared information. In this case, information displayed in the chat window is not updated, and only information displayed in the shared-information window is updated.
[0238] In step S 267 , the CPU 61 determines whether or not the instruction from the user designates updating of shared information already displayed in the shared-information window.
[0239] As a result, if the CPU 61 determines that the instruction from the user designates updating of shared information already displayed in the shared-information window, in step S 268 , the CPU 61 sends the shared information displayed in the specified shared-information window to the server 2 . Subsequently, the process returns to step S 251 .
[0240] If the CPU 61 determines in step S 267 that the instruction from the user does not designate updating of shared information already displayed in the shared-information window, in step S 269 , the CPU 61 determines whether or not the instruction from the user designates creation of a new shared-information window. If the instruction from the user designates creation of a new shared-information window, in step S 270 , in response to a command from the CPU 61 , the shared information manager 67 displays a new shared-information window on the monitor 71 . Subsequently, the process returns to step S 251 .
[0241] If the CPU 61 determines in step S 269 that the instruction from the user does not designate creation of a new shared-information window, in step S 271 , the CPU 61 determines whether or not the instruction from the user designates termination of a chat. If it is determined that the instruction from the user designates termination of a chat, in step S 272 , the CPU 61 terminates an on-going chat. Subsequently, the process returns to step S 251 .
[0242] When a plurality of users remain in the chat room after the chat is terminated by one client computer 3 , the remaining users can continue chatting.
[0243] If the CPU 61 determines in step S 271 that the instruction from the user does not designate termination of a chat, in step S 273 , the CPU 61 performs processing other than that described above in accordance with the instruction from the user.
[0244] If the CPU 61 determines in step S 251 that no instruction is input from the user, the process proceeds to step S 274 of FIG. 23 .
[0245] In step S 274 , the CPU 61 determines whether or not the communication unit 73 has received information sent from the server 2 . If information sent from the server 2 is received, the process proceeds to step S 275 .
[0246] In step S 275 , the CPU 61 determines whether or not the access from the server 2 includes an invitation to a chat. If the access from the server 2 includes an invitation to a chat, in step 276 , the CPU 61 displays on the monitor 71 an invitation (for example, a message such as “You have received an invitation to a chat from user A. Do you want to accept the invitation? (Yes or No)”).
[0247] The user can select whether to participate in the chat using the input unit 69 . In step S 277 , the CPU 61 determines whether the selection input by the user is the acceptance of the chat invitation. If the selection input by the user is the acceptance of the chat invitation, in step S 278 , the CPU 61 sends information indicating that the user wants to participate in the chat via the communication unit 73 to the server 2 .
[0248] If the CPU 61 determines in step S 277 that the selection input by the user is not the acceptance of the chat invitation, in step S 279 , the CPU 61 sends information indicating that the user does not want to participate in the chat via the communication unit 73 to the server 2 .
[0249] If the CPU 61 determines in step S 275 that the access from the server 2 includes no chat invitation, the process proceeds to step S 280 .
[0250] In step S 280 , the CPU 61 determines whether or not the access from the server 2 includes an instruction to display a chat window on the monitor 71 . If it is determined that the access from the server 2 includes an instruction to display a chat window on the monitor 71 , in step S 281 , in response to a command from the CPU 61 , the chat log manager 68 displays a chat window on the monitor 71 . Subsequently, the process returns to step S 251 .
[0251] If the CPU 61 determines that the access from the server 2 includes no instruction to display a chat window on the monitor 71 , the process proceeds to step S 282 .
[0252] In step S 282 , the CPU 61 determines whether or not the access from the server 2 includes an instruction to display a new shared-information window on the monitor 71 . If it is determined that the access from the server 2 includes an instruction to display a new shared-information window on the monitor 71 , in step S 283 , in response to a command from the CPU 61 , the chat log manager 68 displays a new shared-information window on the monitor 71 . Subsequently, the process returns to step S 251 .
[0253] If the CPU 61 determines that the access from the server 2 includes no instruction to display a new shared-information window on the monitor 71 , the process proceeds to step S 284 .
[0254] In step S 284 , in response to a command from the CPU 61 , the chat log manager 68 determines whether or not the access from the server 2 includes chat log data. Accordingly, it is determined whether or not the access from the server 2 includes chat log data to be written in the chat window.
[0255] As a result, if the access from the server 2 includes chat log data, the chat log manager 68 determines that the access from the server 2 includes chat log data to be written in the chat window. In step S 285 , the chat log manager 68 stores the received chat log data in the storage unit 72 .
[0256] If the chat log data includes a shared information ID attached thereto, the shared information ID is also stored in conjunction with the chat log data.
[0257] In step S 286 , the chat log manager 68 displays the chat log data stored in the storage unit 72 in step S 285 at a predetermined position in the log display area displayed on the monitor 71 .
[0258] If it is determined in step S 284 that the access from the server 2 includes no chat log data, or if the processing in step S 286 is completed, the process proceeds to step S 287 . In response to a command from the CPU 61 , the shared information manager 67 determines whether or not the access from the server 2 includes shared information. If the access from the server 2 includes shared information, the process proceeds to step S 288 .
[0259] In step S 288 , the shared information manager 67 determines whether or not shared information having the same shared information ID as that of the shared information included in the access from the server 2 is stored in the storage unit 72 . As a result, if shared information having the same shared information ID is already stored in the storage unit 72 , in step S 289 , the shared information manager 67 deletes the shared information having the same shared-information ID, which has been stored in the storage unit 72 .
[0260] If the shared information manager 67 determines in step S 288 that no shared information having the same shared-information ID as that of the shared information received from the server 2 is stored in the storage unit 72 , or if the processing in step S 289 is completed, the process proceeds to step S 290 .
[0261] In step S 290 , the shared information manager 67 stores the shared information received from the server 2 in the storage unit 72 .
[0262] In step S 291 , the shared information manager 67 displays the shared information stored in the storage unit 72 in step S 290 in the shared-information window.
[0263] If the chat log data displayed in step S 286 in the log display area in the chat window has a shared-information ID attached thereto, when the shared information manager 67 displays in step S 291 the shared information in the shared-information window, the chat log manager 68 displays a link arrow heading from the chat log data displayed in the log display area towards the shared-information window.
[0264] Subsequently, the process returns to step S 251 .
[0265] If the shared information manager 67 determines in step S 287 that the access from the server 2 includes no shared information, in step S 292 , the CPU 61 performs predetermined processing in accordance with an instruction included in the access from the server 2 . Subsequently, the process returns to step S 251 .
[0266] The client computer 3 performs the above-described process to provide a chat environment to the user.
[0267] In the above description, as described with reference to FIG. 8 , a link is placed between chat text and a shared-information window by dragging and dropping the shared-information icon 113 in the shared-information window 111 onto the input area 103 in the chat window 101 . There is another possible method for placing a link between chat text and a shared-information window, which will now be described.
[0268] With reference to the flowchart of FIG. 24 , another method (process) for placing a link between chat text and a shared-information window will now be described.
[0269] In step S 301 , the chat input manager 66 determines whether or not a link word (e.g., “following”) is input in an input area of a chat window. If no link word is input in the input area, the process is terminated.
[0270] If the chat input manager 66 determines in step S 301 that a link word is input in the input area of the chat window, in step S 302 , the chat input manager 66 causes the shared information manager 67 to determine whether or not a shared-information window is displayed on the monitor 71 .
[0271] If the shared information manager 67 determines in step S 302 that no shared-information window is displayed on the monitor 71 , the chat input manager 66 terminates the process.
[0272] If the shared information manager 67 determines in step S 302 that a shared-information window is displayed on the monitor 71 , in step S 303 , the chat input manager 66 requests the shared information manager 67 to notify the chat input manager 66 of the oldest-displayed shared-information window of one or more shared-information windows displayed on the monitor 71 .
[0273] In response to the request from the chat input manager 66 , the shared information manager 67 notifies the chat input manager 66 of the oldest shared-information window displayed on the monitor 71 .
[0274] On the basis of the notification from the shared information manager 67 , the chat input manager 66 displays a link arrow (places a link) heading from the link word input in the input area towards the oldest shared-information window displayed on the monitor 71 .
[0275] In step S 304 , the CPU 61 determines whether or not TAB key is operated. If it is determined that TAB key is operated, the process proceeds to step S 305 .
[0276] In step S 305 , in response to a command from the CPU 61 , the chat input manager 66 requests the shared information manager 67 to notify the chat input manager 66 of the shared-information window that is next oldest to the currently linked shared-information window of one or more shared-information windows displayed on the monitor 71 .
[0277] In response to the request from the chat input manager 66 , the shared information manager 67 notifies the chat input manager 66 of the shared-information window that is next oldest to the currently-linked shared-information window.
[0278] On the basis of the notification from the shared information manager 67 , the chat input manager 66 displays a link arrow (places a link) heading from the link word input in the input area towards the shared-information window that is next oldest to the currently-linked shared-information window.
[0279] If the CPU 61 determines in step S 304 that TAB key is not operated, in step S 306 , the CPU 61 determines whether or not Enter key is operated. If it is determined that Enter key is not operated, the process returns to step S 304 , and the processing from step S 304 onward is repeated.
[0280] If the CPU 61 determines in step S 306 that Enter key is operated, in step S 307 , in response to a command from the CPU 61 , the chat input manager 66 determines to place a link to the shared-information window specified by the link arrow. The process is thus completed.
[0281] As discussed above, a link to a shared-information window is placed at the time of inputting a link word. This enables a user to place a link to a shared-information window while keeping his/her mind on inputting chat text.
[0282] The user can set a predetermined word as a link word. The user can also store several words as link words in a chat client program.
[0283] Although the chat window and the shared-information window are arranged as independent windows in the above-described embodiment, the two windows may be combined to form one window.
[0284] Although the chat window and the shared-information window are displayed on the same monitor in the above-described embodiment, the windows may be displayed separately on a plurality of monitors.
[0285] Although the chat log data is text data in the above-described embodiment, the chat log data may include data other than text data, such as audio data. In this case, for example, the client computer 3 includes an audio input unit, and audio data input from the audio input unit is used.
[0286] Although the server 2 is described as an independent unit in the above-described example, the client computer 3 may include the function of the server 2 . In this case, the client computers 3 - 1 to 3 - 3 each perform the function of the above-described client computer and the function of the above-described server. Specifically, for example, the client computer 3 - 1 may send chat log data and shared information, which are generated by the client computer 3 - 1 , to the client computer 3 - 2 or the client computer 3 - 3 . The client computer 3 - 1 may display chat log data and shared information sent from the client computer 3 - 2 or the client computer 3 - 3 on the monitor 71 of the client computer 3 - 1 and send the chat log data and the shared information to the client computer 3 - 2 or the client computer 3 - 3 .
[0287] The above-described series of processes can be performed by hardware or software. In a case in which the series of processes is performed by software, a program forming the software is installed from a program storage medium into a computer (the CPU 31 shown in FIG. 2 or the CPU 61 shown in FIG. 3 ) incorporated in dedicated hardware or, for example, into a general personal computer capable of performing various functions by installing therein various programs.
[0288] The program storage medium having stored thereon a program to be installed in and executed by a computer is formed of, as shown in FIGS. 2 and 3 , a package medium including the magnetic disks 41 and 75 (including flexible disks), the optical disks 42 and 76 (including CD-ROMs (Compact Disk-Read Only memory) and DVDs (Digital Versatile Disks)), the magneto-optical disks 43 and 77 , or the semiconductor memories 44 and 78 . The program is stored in the program storage medium using a wired or wireless communication medium, such as a local area network (LAN), the Internet, or digital satellite broadcasting, via an interface such as a router or a modem, if necessary.
[0289] In this specification, steps for writing the program provided by the medium are not necessarily processed in time series in the order described. Parallel processing or individual processing is also included.
[0290] In this specification, the system refers to the entirety of an apparatus formed of a plurality of apparatuses. | In a service providing system, a client computer displays chat log data received from a server in a log display area and shared information in a shared-information display area. The chat log data and the shared information, both of which are received from the server, are displayed with graphical information which supplements a relationship between the chat log data and the shared information. | 99,436 |
[0001] This application claims priority to U.S. provisional application No. 60/871,837, filed on Dec. 26 2006, which is herein incorporated by reference in its entirety.
BACKGROUND OF THE INVENTION
[0002] 1. Field of the Invention
[0003] The present invention relates to a type of semiconductor chip and its applications or, more specifically, it relates to a type of semiconductor chip and its application circuits.
[0004] 2. Description of the Related Art
[0005] In common power regulator devices, goals behind the design not only include lowering total circuit costs, but also accelerating response speeds of signals and increasing the efficiency of regulating power supplies. Currently, in order to achieve the goal of mediating many different voltage ranges, the size of voltage regulators are rather large and on-chip regulators are not a reality. For a PCB with multiple electrical devices, because different electrical devices have different voltage demands, power supplies of different output voltages are used to correspond to general voltage ranges that are used by the electrical devices. However, this method consumes a rather large amount of energy, increases the difficulty of designing circuits, and also has a rather high cost.
[0006] Therefore, to decrease the amount of energy needed, a common method is to use multiple voltage regulators or converters to modify the voltage from a single power supply unit, in accordance to needs of the electrical devices. These voltage regulators or converters allow the voltage that enters each electrical device to correspond to the device's working voltage. For example, FIG. 1 shows a common diagram of an equivalent circuit structure. On the circuit structure, there is a power supply unit 10 , and on one side of the power supply unit 10 , a voltage regulator or converter 12 is connected. On the other side of the voltage regulator 12 , multiple parasitic elements 14 are connected, and the electrical devices 16 (such as chips) that are to be controlled are also connected to the parasitic elements. Voltage regulator 12 can vary the voltage from power supply unit 10 to a specific range that corresponds to the characteristics of electrical devices 16 .
[0007] More specifically, voltage regulator 12 can take a steady input voltage and regulate the voltage within a specific range according to the needs of different devices (such as chips), and then input the voltage into the devices. With current circuit technology, this method must be carried out by voltage regulators or converters, resistors, capacitors, and inductors constructed on the PCB. Referring to the electrical devices 16 and voltage regulator 12 disclosed in FIG. 1 , there are multiple parasitic capacitors, inductors, and resistors in serial or parallel. Therefore, after a power supply voltage is regulated by voltage regulator 12 , the power supply voltage still needs to pass through multiple parasitic elements for enabling electrical devices 16 . These multiple parasitic elements are spread out over the PCB and within the package of the chip, and therefore cause a decrease in the efficiency at which the voltage is regulated.
[0008] Referring to FIG. 2 , an example result of circuits of FIG. 1 , a graph is shown where output impedance is plotted against load current frequency. As shown on the graph, when the usage frequency of electrical devices 16 is 10 7 Hz, the corresponding output impedance is 0.025 ohms. However, when the usage frequency of electrical devices is 10 8.5 Hz, the output impedance quickly increases to 0.3 ohms, showing an obvious disadvantage to this method of voltage regulation.
[0009] The circuit diagram shown in FIG. 3 is commonly used in the design of voltage regulator 12 , wherein voltage regulator 12 includes a semiconductor chip 1115 , and also an inductor 1320 ′ and a capacitor 1310 ′ constructed off-chip. Semiconductor chip 1115 includes MOS 1114 b ′, diode 1114 c ′, switch controller 1114 a ′, and voltage feedback device 1112 ′. Then a power supply inputs into voltage regulator 12 , voltage feedback device 1112 ′ takes a voltage signal and transfers it to switch controller 1114 a ′. Switch controller 1114 a ′ then uses this voltage signal to control when MOS 1114 b ′ is switched on or off, which therefore controls the output voltage.
[0010] Another circuit diagram is shown in FIG. 4 . This circuit diagram is similar to that of FIG. 3 , except that the diode 1114 c ′ in FIG. 3 is replaced by MOS 1114 d ′ in FIG. 4 . In this circuit, the voltage feedback device 1112 ′ also takes a voltage signal and transfers it to switch controller 1114 a ′, which controls when MOS 1114 b ′ is switched on or off, therefore controlling the output voltage.
[0011] Therefore, the greater the number of different types of electrical devices 16 on the PCB, the greater the number of corresponding voltage regulating devices, so that the supply voltages entering the electrical devices 16 will fall in the correct voltage range. However, such circuit design utilizes a large quantity of high cost voltage regulator devices, and the electrical wiring between different voltage regulators 12 must be separated, causing the need for more metal lines and therefore increasing total manufacturing costs. Needless to say, such circuit design is not suitable for use in micro-scale electronic products. In addition, although the use of multiple voltage regulators 12 in place of multiple power supply units 10 can effectively reduce the amount of resources wasted, the large number of voltage regulators 12 used to account for different electrical devices 16 causes circuits on the PCB to become rather complicated. Because signals pass through a complicated arrangement of wiring, the signal response time is naturally longer and cannot be immediate, simultaneously lowering efficiency of power management. Also, the circuit design takes up a large portion of the PCB, which is an inefficient use of circuit routing.
[0012] The present invention proposes a semiconductor chip and its application circuit to lessen above mentioned problems.
SUMMARY OF THE INVENTION
[0013] The primary objective of the present invention is to provide a semiconductor chip structure and its application circuit, wherein the switching voltage regulator or voltage converter is integrated within the semiconductor chip using chip fabrication methods, so that the switching voltage regulator or voltage converter and semiconductor chip are combined as one structure.
[0014] Another objective is to provide a semiconductor chip structure and its application circuit, with the ability to adapt immediately to supply-voltage variation, efficiently decreasing the transient response time.
[0015] Still another objective is to provide a semiconductor chip structure and its application circuit, so that the use of such semiconductor chip with the integrated voltage regulator or converter will reduce the overall difficulty of circuit designs on the PCB or Motherboard, both satisfying the demand to lower manufacturing costs and miniaturize electronic products.
[0016] In order to achieve the above mentioned objectives, the present invention provides a semiconductor chip structure, which includes a silicon substrate with multiple devices, and a set of external components. On this silicon substrate there is a thin circuit structure with a passivation layer. This passivation layer has multiple passivation layer openings for electrically connection from external components or circuits to the thin circuit structure. The above mentioned devices are active devices. Examples of active devices include diodes, P-Type MOS devices, N-type MOS devices and complementary metal oxide semiconductor (CMOS) devices. Voltage feedback devices and switch controller are composed of the mentioned active devices in the semiconductor chip. On the other hand, external components are passive components, such as the resistors, capacitors, and inductors. From bottom to top, the circuit structure includes at least the first dielectric layer, first metal layer, second dielectric layer, and second metal layer. The first dielectric layer lies above the substrate, and within the first dielectric layer there is a contact window. The first metal layer is above the first dielectric layer, and every point on the first metal layer can be electrically connected to corresponding devices using corresponding contact windows. The second dielectric layer is above the first metal layer and contains multiple vias [Do we need to define via?]. The second metal layer is above the second dielectric layer, and every point on the second metal layer can be electrically connected to corresponding first metal layer through corresponding vias. Also, on the passivation layer there is a polymer layer. This polymer layer has an opening above the opening of the passivation layer, and an under bump metal structure or post passivation metal layer is constructed on top of the passivation layer opening. Also, according to different semiconductor chips, there are a solder layer, or a solder wetting layer, or a wire bondable layer, a barrier layer, a metal layer and an adhesion/barrier layer comprised in the under bump metal structure. The thickness of the solder layer can vary depending on the different thicknesses of and materials used in the packaging structure of semiconductor chips. The post passivation metal layer may has the same composition as the under bump metal structure or comprises with an adhesion/barrier layer and a metal layer that is a copper or gold. Lastly, on the post passivation metal layer there is a second polymer layer, and this second polymer layer contains an opening that allows the post passivation metal layer to be revealed. Also, the semiconductor chip in the present invention uses methods used in the Thin Small Outline Package (TSOP), Small Outline J-Lead (SOJ), Quad Flat Package (QFP), Think Quad Flat Package (TQFP), or Ball Grid Array (BGA) as packaging methods. In addition, using wire-bonding or flip chip techniques, the semiconductor chip in the present invention is electrically connected to the outside.
[0017] The present invention also provides the application circuit of a semiconductor chip, which includes an internal electrical circuit and an external electrical circuit. The internal and external circuits are electrically connected using a metal circuit. The devices of the internal circuit are chosen from, but not limited to, P-Type MOS devices, N-type MOS devices, CMOS devices, voltage feedback devices and switch controller. On the other hand, components of the external electrical circuit are chosen from, but not limited to, resistors, capacitors and inductors. The internal electrical circuit is in or over a silicon substrate, while the metal circuit and external circuit are over said substrate with the metal circuit in between the internal circuit and external circuit. Similarly, all semiconductor chips in the present invention use methods used in the Thin Small Outline Package (TSOP), Small Outline J-Lead (SOJ), Quad Flat Package (QFP), Think Quad Flat Package (TQFP), or Ball Grid Array (BGA) as packaging methods. In addition, using wire-bonding or flip chip techniques, the semiconductor chip in the present invention is electrically connected to the outside.
[0018] Therefore, the present invention provides a semiconductor chip with switching voltage regulation and the ability to adapt to varying voltages demanded by various chip designs, which decreases transient response time, circuit routing area used on the PCB, and the complexity of circuit connection. These improvements lead to a decrease in the overall cost of manufacturing semiconductor devices.
[0019] To enable the objectives, technical contents, characteristics, and accomplishments of the present invention and the embodiments of the present invention are to be described in detail in reference to the attached drawings below.
BRIEF DESCRIPTION OF THE DRAWINGS
[0020] FIG. 1 shows the structure of prior voltage regulating circuits.
[0021] FIG. 2 is a graph showing the relationship between the load current frequency of the circuit structure and output impedance.
[0022] FIG. 3 shows Embodiment 1 of the circuit of a prior step-down voltage regulator.
[0023] FIG. 4 shows Embodiment 2 of the circuit of a prior step-down voltage regulator.
[0024] FIG. 5 shows the corresponding circuit diagram of the present invention.
[0025] FIG. 6 is a graph showing the relationship between usage frequency and output impedance.
[0026] FIG. 7 shows the semiconductor chip of Embodiment 1.
[0027] FIGS. 7 a to 7 e show the processes of the semiconductor chip of Embodiment 1.
[0028] FIG. 8 shows the semiconductor chip of Embodiment 2.
[0029] FIGS. 8 a to 8 u and FIGS. 8 aa to 8 am show the processes of the semiconductor chip of Embodiment 2.
[0030] FIG. 9 shows the semiconductor chip of Embodiment 3.
[0031] FIGS. 9 a to 9 d show the processes of the semiconductor chip of Embodiment 3.
[0032] FIG. 10 shows the semiconductor chip of Embodiment 4.
[0033] FIGS. 10 a to 10 i show the processes of the semiconductor chip of Embodiment 4.
[0034] FIG. 11 a shows the semiconductor chip of Embodiment 5.
[0035] FIG. 11 b shows the semiconductor chip of Embodiment 6.
[0036] FIGS. 12 to 15 show the ball grid array (BGA) packaging structure of Embodiment 4.
[0037] FIGS. 16 a to 16 c show the packaging structure of the semiconductor chip of Embodiment 1, Embodiment 2, Embodiment 4, and Embodiment 5 in the present invention.
[0038] FIGS. 16 d to 16 f show the packaging structure of the semiconductor chip of Embodiment 6 in the present invention.
[0039] FIGS. 17 a to 17 c show the packaging structure of the semiconductor chip of Embodiment 3 in the present invention.
[0040] FIGS. 17 d to 17 f show the packaging structure of the semiconductor chip of Embodiment 6 in the present invention.
[0041] FIG. 18 is a view illustrating the equivalent circuit of the semiconductor chip of Embodiment 1 in the present invention.
[0042] FIG. 19 shows the equivalent circuit of the semiconductor chip of Embodiment 2 in the present invention.
[0043] FIG. 20 is a graph showing the relationship between voltage and time of the circuit in FIG. 19 .
[0044] FIG. 21 a to 21 l shows the manufacturing of the structure of Embodiment 7.
[0045] FIG. 22 a to 22 m shows the manufacturing of the structure of Embodiment 8.
[0046] FIG. 23 a to 23 b shows the manufacturing of the structure of Embodiment 9 as seen from above.
[0047] FIG. 24 a to 24 b shows the structure of Embodiment 10.
[0048] FIG. 25 a to 25 k shows the manufacturing of the structure of Embodiment 11.
[0049] FIG. 26 and 27 shows the circuit diagram of the present invention used as a voltage amplifying device.
DESCRIPTION OF THE PREFERRED EMBODIMENTS
[0050] The present invention discloses a semiconductor chip structure and its application circuit, wherein multiple passive devices are integrated on a semiconductor chip. By using active devices from semiconductor chips of different functions to match the passive components integrated on the semiconductor chip, immediate voltage adaptation can be achieved within a specific voltage range.
[0051] As opposed to the circuit structure disclosed in FIG. 1 , the present invention provides a semiconductor chip structure with the equivalent circuit structure shown in FIG. 5 . The most defining characteristic of the circuit structure used in the present invention is that the circuit structure contains the voltage regulator or called converter 12 ′ constructed after parasitic elements 14 ′ of PC board and parasitic elements 15 ′ of chip package, as opposed to circuit structures of FIG. 1 with voltage regulator 12 ′ before parasitic elements 14 ′ of PC board as in prior art. Therefore, because voltage regulator 12 ′ does not need to bear the burden of parasisitc elements 14 ′ and 15 ′, the voltage regulator or converter integrated with a single chip allows circuit operation under higher frequency. [Also, this circuit structure design can lower manufacturing costs and simplify the routing design on the PCB because the distance between voltage regulator 12 ′ and corresponding electrical devices 16 ′ is shortened. The simplified routing design increases the speed and efficiency at which signals are delivered and solves the problem of large voltage fluctuations under high frequency usage. An example relationship between load current frequency and impedance resistance values are shown in FIG. 6 .
[0052] Following, the preferred embodiments of the each structure in the semiconductor chip structure will first be proposed. Then, in reference to specific embodiments, application circuits will be proposed.
Embodiment 1
[0053] In reference to FIG. 7 , substrate 100 is a type of semiconductor base. This substrate can be silicon based, gallium arsenide (GaAs) based, or silicon germanium (SiGe) based, and many of the devices, such as devices 110 , 112 , and 114 , are located in or over substrate 100 . These devices 110 , 112 , and 114 are all active devices mainly. Active devices include voltage feedback devices, switch controller, or MOS devices, such as p-channel MOS devices, n-channel MOS devices, BiCMOS devices, Bipolar Junction Transistor (BJT), or CMOS.
[0054] There is a thin circuit structure located on substrate 100 . This circuit structure includes a first dielectric layer 150 , multiple metal layers 140 , at least one second dielectric layer 155 . The thicknesses of the first dielectric layer 150 and second dielectric layer 155 are between 0.3 micrometers and 2.5 micrometers, and the materials that are used to make the first and second dielectric layers include boron containing silicate glass, silicon-nitride, silicon-oxide, silicon-oxynitride, and carbon containing low-k dielectric material. On the other hand, the thicknesses of metal layers 140 are between 0.1 micrometers and 2 micrometers, and the materials used to make the metal layers comprise copper layer, aluminum-copper alloy, tantalum, tantalum nitride, tungsten, and tungsten alloy. Devices 110 , 112 , 114 are electrically connected to metal layers 140 through a metal contact 120 and metal via 130 , which passes through first dielectric layer 150 and second dielectric layer 155 . Metal contact 120 and via 130 can be a W-plug or Cu-plug. In addition, the metal layers 140 are formed by various methods including damascene process, electroplating, CVD, and sputtering. For example, the damascene process, electroplating, sputtering, and CVD can be used to form copper metal layers 140 , or sputtering can be used to form aluminum metal layers 140 . On the other hand, the first dielectric layer 150 and second dielectric layer 155 are usually formed by Chemical Vapor Deposition (CVD).
[0055] Passivation layer 160 is over the circuit structure comprising the first dielectric layer 150 , metal layers 140 , and second dielectric layer 155 . This passivation layer 160 can protect devices 110 , 112 , 114 and the metal layers 140 described above from humidity and metal ion contamination. In other words, passivation layer 160 can prevent movable ions, such as sodium ions, moisture, transition metal ions, such as gold, silver, and copper, and other impurities from passing through and damaging devices 110 , 112 , 144 , which could be MOS devices, transistors, voltage feedback devices, and switch controller, or all of metal layers 140 that are below passivation layer 160 . In addition, passivation layer 160 usually consists of silicon-oxide (such as SiO 2 ), phosphosilicate glass (PSG), silicon-nitride (such as Si 3 N 4 ) or silicon oxynitride. Passivation layer 160 typically has a thickness between 0.3 micrometers and 2 micrometers, and when it includes a silicon-nitride layer, this silicon-nitride layer usually has a thickness exceeding 0.3 micrometers and less than 2 micrometers.
[0056] There are currently ten methods of manufacturing passivation layer 160 .
[0057] In a first method, the passivation layer 160 is formed by depositing a silicon oxide layer with a thickness of between 0.2 and 1.2 μm using a CVD method and on the silicon oxide layer depositing a silicon nitride layer with thickness between 0.3 and 1.2 μm by using a CVD method.
[0058] In a second method, the passivation layer 160 is formed by depositing a silicon oxide layer with a thickness of between 0.2 and 1.2 μm using a CVD method, next depositing a silicon oxynitride layer with a thickness of between 0.05 and 0.3 μm on the silicon oxide layer using a Plasma Enhanced CVD (PECVD) method, and then depositing a silicon nitride layer with a thickness of between 0.2 and 1.2 μm on the silicon oxynitride layer using a CVD method.
[0059] In a third method, the passivation layer 160 is formed by depositing a silicon oxynitride layer with a thickness of between 0.05 and 0.3 μm using a CVD method, next depositing a silicon oxide layer with a thickness of between 0.2 and 1.2 μm on the silicon oxynitride layer using a CVD method, and then depositing a silicon nitride layer with a thickness of between 0.2 and 1.2 μm on the silicon oxide layer using a CVD method.
[0060] In a fourth method, the passivation layer 160 is formed by depositing a first silicon oxide layer with a thickness of between 0.2 and 0.5 μm using a CVD method, next depositing a second silicon oxide layer with a thickness of between 0.5 and 1 μm on the first silicon oxide layer using a spin-coating method, next depositing a third silicon oxide layer with a thickness of between 0.2 and 0.5 μm on the second silicon oxide layer using a CVD method, and then depositing a silicon nitride layer with a thickness of 0.2 and 1.2 μm on the third silicon oxide using a CVD method.
[0061] In a fifth method, the passivation layer 160 is formed by depositing a silicon oxide layer with a thickness of between 0.5 and 2 μm using a High Density Plasma CVD (HDP-CVD) method and then depositing a silicon nitride layer with a thickness of 0.2 and 1.2 μm on the silicon oxide layer using a CVD method.
[0062] In a sixth method, the passivation layer 160 is formed by depositing an Undoped Silicate Glass (USG) layer with a thickness of between 0.2 and 3 μm, next depositing an insulating layer of TEOS, PSG or BPSG (borophosphosilicate glass) with a thickness of between 0.5 and 3 μm on the USG layer, and then depositing a silicon nitride layer with a thickness of 0.2 and 1.2 μm on the insulating layer using a CVD method.
[0063] In a seventh method, the passivation layer 160 is formed by optionally depositing a first silicon oxynitride layer with a thickness of between 0.05 and 0.3 μm using a CVD method, next depositing a silicon oxide layer with a thickness of between 0.2 and 1.2 μm on the first silicon oxynitride layer using a CVD method, next optionally depositing a second silicon oxynitride layer with a thickness of between 0.05 and 0.3 μm on the silicon oxide layer using a CVD method, next depositing a silicon nitride layer with a thickness of between 0.2 and 1.2 μm on the second silicon oxynitride layer or on the silicon oxide using a CVD method, next optionally depositing a third silicon oxynitride layer with a thickness of between 0.05 and 0.3 μm on the silicon nitride layer using a CVD method, and then depositing a silicon oxide layer with a thickness of between 0.2 and 1.2 μm on the third silicon oxynitride layer or on the silicon nitride layer using a CVD method.
[0064] In a eighth method, the passivation layer 160 is formed by depositing a first silicon oxide layer with a thickness of between 0.2 and 1.2 μm using a CVD method, next depositing a second silicon oxide layer with a thickness of between 0.5 and 1 μm on the first silicon oxide layer using a spin-coating method, next depositing a third silicon oxide layer with a thickness of between 0.2 and 1.2 μm on the second silicon oxide layer using a CVD method, next depositing a silicon nitride layer with a thickness of between 0.2 and 1.2 μm on the third silicon oxide layer using a CVD method, and then depositing a fourth silicon oxide layer with a thickness of between 0.2 and 1.2 μm on the silicon nitride layer using a CVD method.
[0065] In a ninth method, the passivation layer 160 is formed by depositing a first silicon oxide layer with a thickness of between 0.5 and 2 μm using a HDP-CVD method, next depositing a silicon nitride layer with a thickness of between 0.2 and 1.2 μm on the first silicon oxide layer using a CVD method, and then depositing a second silicon oxide layer with a thickness of between 0.5 and 2 μm on the silicon nitride using a HDP-CVD method.
[0066] In a tenth method, the passivation layer 160 is formed by depositing a first silicon nitride layer with a thickness of between 0.2 and 1.2 μm using a CVD method, next depositing a silicon oxide layer with a thickness of between 0.2 and 1.2 μm on the first silicon nitride layer using a CVD method, and then depositing a second silicon nitride layer with a thickness of between 0.2 and 1.2 μm on the silicon oxide layer using a CVD method.
[0067] In passivation layer 160 , there are more than one passivation layer openings 165 , which therefore expose part of the metal layers 140 below. The passivation layer openings 165 can be in the shape of a circle, square, rectangle, or polygon with more than five edges. Corresponding to different shapes, there are different definitions for opening dimensions. For example, a circle opening has dimensions defined by its diameter, a square opening has dimensions defined by its side length, and a polygon with more than five edges has dimensions defined by the longest diagonal.
[0068] The portion of the metal layers 140 exposed by the passivation layer openings 165 in the passivation layer 160 is defined to be pad 166 . On pad 166 , there can be an optional metal cap (not shown in figure) to protect pad 166 from being damaged by oxidation. This metal cap can be an aluminum-copper alloy, a gold layer, a titanium tungsten alloy layer, a tantalum layer, a tantalum nitride layer, or a nickel layer. For example, when pad 166 is a copper pad, there needs to be a metal cap, such as an aluminum-copper alloy, to protect the copper pad exposed by the passivation layer openings 165 from oxidation, which could damage the copper pad. Also, when the metal cap is an aluminum-copper alloy, a barrier layer is formed between the copper pad and aluminum-copper alloy. This barrier layer includes titanium, titanium tungsten alloy, titanium nitride, tantalum, tantalum nitride, chromium, or nickel. The following method is under a condition where there is no metal cap, but those familiar with such technology should be able to deduce a similar method with the addition of a metal cap.
[0069] Next, an under bump metal structure 250 is constructed over passivation layer opening 165 . The thickness of under bump metal structure 250 is between one micrometer and 15 micrometers. This under bump metal structure 250 is connected to external devices 310 and 320 through a solder layer 300 . The solder layer 300 may include gold-tin alloy, tin-silver alloy, tin-silver-copper alloy, or other lead-free alloy. Using tin-silver alloy as an example, the tin to silver ratio can be adjusted according to needs, with the most common tin/silver ratio being 96.0˜97/3.0˜4. The thickness of said solder layer 300 is between 30 micrometers and 350 micrometers.
[0070] Under bump metal structure 250 can be a TiW/Cu/Ni metal layer structure, Ti/Cu/Ni metal structure, Ti/Cu metal structure, or Ti/Cu/Ni/Au metal structure.
[0071] Referring to FIG. 7 a to FIG. 7 e , a method for forming the TiW/Cu/Ni/Au under bump metal structure 250 is first using the sputtering process or evaporating process to form a TiW adhesion/barrier metal layer 168 with thickness between 0.05 and 0.5 micrometers on pad 166 and passivation layer 160 , then using the sputtering process to form a copper seed layer 170 with thickness between 0.05 and 1 micrometer on TiW metal layer 168 . Next, a patterned photoresist layer 172 is formed on seed layer 170 . This patterned photoresist layer 172 has more than one opening 172 a revealing seed layer 170 . Next, using the electroplating or electroless plating process, copper metal layer 174 with thickness between 3 and 30 micrometers, nickel layer 176 with thickness between 0.5 and 5 micrometers, and gold layer 178 with thickness between 0.05 and 1.5 micrometer, preferred between 0.05 and 0.2 micrometers are formed respectively in opening 172 a of patterned photoresist layer 172 . Finally, photoresist layer 172 , the portions of seed layer 170 and TiW metal layer 168 that are not under gold layer 178 are removed, completing the TiW/Cu/Ni/Au under bump metal structure 250 . Here, Cu seed layer 170 removing process can be done by using wet etching solution containing H2SO4 or NH4OH, and TiW adhesion/barrier metal layer 168 removing process can be done by using wet etching solution containing 20˜40%H2O2. It is preferred that the PH value of the etching solution for TiW removal is higher than 6 to prevent Cu corrosion during TiW removal.
[0072] Another ways to form seed layer 170 are an evaporating method, an electroplating method, or an electroless plating method, but preferred by a sputtering. Because seed layer 170 is important for the construction of electrical circuits thereon, the material used for seed layer 170 will vary according to material used for electrical circuits in following processes. For example, if the metal layer 174 made of copper material is formed on seed layer 170 by electroplating, then copper is also the optimal material to use for seed layer 170 . Similarly, if the metal layer 174 made of gold material is formed on seed layer 170 by electroplating then gold is the optimal material to use for seed layer 170 .
[0073] If the metal layer 174 made of palladium material is formed on seed layer 170 by electroplating, then palladium is also the optimal material to use for seed layer 170 . If the metal layer 174 made of platinum material is formed on seed layer 170 by electroplating, then platinum is also the optimal material to use for seed layer 170 . If the metal layer 174 made of rhodium material is formed on seed layer 170 by electroplating, then rhodium is also the optimal material to use for seed layer 170 . If the metal layer 174 made of ruthenium material is formed on seed layer 170 by electroplating, then ruthenium is also the optimal material to use for seed layer 170 . If the metal layer 174 made of rhenium material is formed on seed layer 170 by electroplating, then rhenium is also the optimal material to use for seed layer 170 . If the metal layer 174 made of silver material is formed on seed layer 170 by electroplating, then silver is also the optimal material to use for seed layer 170 .
[0074] The structure of under bump metal structure 250 will vary depending on the method use to form solder layer 300 :
[0075] For example, if solder layer 300 is formed on under bump metal structure 250 by an electroplating method, the under bump metal structure 250 is preferred to be a TiW/Cu/Ni alloy structure or Ti/Cu/Ni alloy structure, with the solder structure 300 electroplated on the nickel layer, the TiW or Ti metal layer, formed by a sputtering method, on pad 166 and passivation layer 160 , and Cu/Ni deposited by electroplating. In between the TiW or Ti metal layer and copper layer, there is a copper seed layer deposited by sputtering.
[0076] In another example, if the solder layer 300 is provided by external devices 300 and 320 or solder printing, then the under bump metal structure 250 is preferred to be a TiW/Cu/Ni/Au or Ti/Cu/Ni/Au structure.
[0077] Through solder layer 300 , the under bump metal structure 250 on passivation layer opening 165 is electrically connected to external devices 310 and 320 (labeled as 310 in figure). External devices 310 and 320 are also electrically connected to the metal layer 140 below passivation layer 165 , therefore external devices 310 and 320 to also be electrically connected to devices 110 , 112 , and 114 .
[0078] External devices 310 and 320 are passive devices, which include inductors, capacitors, or integrated passive devices. In the present invention, external devices 310 and 320 are a capacitor and an inductor, respectively. For example, external device 310 may be a capacitor, while external device 320 may be an inductor, or external device 310 may be an integrated passive device, while external device 320 may be an inductor. The dimensions of external devices 310 and 320 may be chosen from industrial standard dimension 1210, dimension 0603, dimension 0402, or dimension 0201, wherein said dimension 0201 stands for 0.02 inches by 0.01 inches, and dimension 1210, dimension 0603, and dimension 0402 deduced by the same standard. In general, external devices 310 and 320 have a length between 0.2 mm and 5 mm and a width between 0.1 mm and 4 mm. External devices 310 and 320 are directly constructed on under bump metal structure 250 through the connection of solder layer 300 .
[0079] Also, external devices 310 and 320 can be mounted either before or after a dice sawing procedure is performed on substrate 100 .
[0080] Finally, the semiconductor chip after dice sawing procedures as disclosed in Embodiment 1 can be electrically connected to external circuits or power supplies through wires made by wire-bonding or through solder by flip chip techniques.
Embodiment 2
[0081] Referring to FIG. 8 , the structure of Embodiment 2 is similar to that of Embodiment 1, and therefore an explanation of some of the manufacturing process and properties will not be repeated. The difference between Embodiment 2 and Embodiment 1 lies in an under bump metal structure 260 and a bonding metal layer 400 c that are constructed on or over pad 166 b . Said bonding metal layer 400 c can be used to connect electrically to external circuits through a wire formed by wire-bonding (not shown in figure).
[0082] The structure of Embodiment 2 can be manufactured with the following methods:
Manufacturing method 1 of Embodiment 2:
[0083] Referring to FIG. 8 a , integrated circuit 20 represents all structures below passivation layer 160 . Also included in integrated circuit 20 are substrate 100 , devices 110 , 112 , 114 , first dielectric layer 150 , metal layers 140 , second dielectric layer 155 , metal contact 120 , and via 130 , wherein multiple passivation layer openings 165 reveal multiple pads 166 a and 166 b.
[0084] Referring to FIG. 8 b , an adhesion/barrier layer 22 is formed on passivation layer 160 and pad 166 a and 166 b by using sputtering. The thickness of adhesion/barrier layer 22 is between 0.1 micrometers and 1 micrometer, with an optimal thickness between 0.3 micrometers and 0.8 micrometers. The adhesion/barrier can be selected from or composed of the following materials, Ti, TiW, TiN, Ta, TaN, Cr, and Mo. Ti and TiW are the two preferred materials for adhesion/barrier.
[0085] Referring to FIG. 8 c , a seed layer 24 with a thickness between 0.05 micrometers and 1 micrometer (and an optimal thickness between 0.1 micrometers and 0.7 micrometers) is then formed on adhesion/barrier layer 22 . Similar to seed layer 170 described above, the material used for seed layer 24 will vary according to the material of metal layers formed later. The material of seed layer can be Cu, Au or Ag. Au is the preferred seed layer material in this embodiment.
[0086] Referring to FIG. 8 d , photoresist layer 26 is formed on seed layer 24 , and through spin coating, exposure and development, photoresist layer 26 is patterned, forming multiple photoresist layer openings 26 a in photoresist layer 26 , which reveal portions of seed layer 24 that are over pad 166 b.
[0087] 7 Referring to FIG. 8 e , bonding metal layer 400 c is formed by an electroplating method on seed layer 24 , which is in photoresist layer opening 26 a . The bonding metal layer 400 c consists of materials such as gold, copper, silver, palladium, rhodium, ruthenium, rhenium, or nickel, and may have a single metal layer structure or multiple metal layer structure. The thickness of bonding metal layer 400 c is between 1 micrometers and 100 micrometers, with optimal thickness between 1.5 micrometers and 15 micrometers. The bonding metal layer 400 c may be composed with combinations of the multiple metal layer structure which comprise Cu/Ni/Au, Cu/Au, Cu/Ni/Pd, and Cu/Ni/Pt. In this embodiment, bonding metal layer 400 c is preferred to be a single layer made of gold.
[0088] Referring to FIG. 8 f , remove patterned photoresist 26 and portions of seed layer 24 that are not below metal layer 400 c . If seed layer 24 is made of gold, seed layer 24 is removed by using solution containing I 2 and KI.
[0089] Referring to FIG. 8 g , a seed layer 28 with a thickness between 0.05 micrometers and 1 micrometer (and an optimal thickness between 0.1 micrometers and 0.7 micrometers) is formed on adhesive/barrier layer 22 and metal layer 400 c . In this embodiment, the material of said seed layer 28 is preferred to be copper (Cu). Similar to seed layer 170 described above, the material used for seed layer 28 will vary according to the material of metal layers formed later.
[0090] Referring to FIG. 8 h, a photoresist layer 30 is formed on seed layer 28 , and through spin coating, exposure and development, photoresist layer 30 is patterned, forming multiple photoresist layer openings 30 a in photoresist layer 30 , which reveal portions of seed layer 28 that are over pad 166 a.
[0091] Referring to FIG. 8 i, a metal layer 32 is formed by an electroplating method on seed layer 28 , which is in photoresist layer opening 30 a . The metal layer 32 is made of copper, and has a thickness between 1 micrometer and 100 micrometers, with optimal thickness between 1.5 micrometers and 15 micrometers.
[0092] Referring to FIG. 8 j, a metal layer 34 is formed by an electroplating method on metal layer 32 , which is in photoresist layer opening 30 a . The metal layer 34 is made of nickel, and has a thickness between 0.1 micrometers and 20 micrometers, with optimal thickness between 1 micrometer and 5 micrometers.
[0093] Referring to FIG. 8 k, a metal layer 300 is formed by an electroplating method on metal layer 34 , which is in photoresist layer opening 30 a . The metal layer 300 consists of material such as tin, Sn/Ag alloy, Sn/In alloy, Sn/Ag/Cu alloy, and any other lead free soldering material, and has a thickness between 5 micrometers and 300 micrometers, with optimal thickness between 20 micrometers and 150 micrometers.
[0094] Referring to FIG. 8 l , remove patterned photoresist layer 30 and the portions of seed layer 28 and adhesive/barrier layer 22 that are not below metal layer 300 . To remove seed layer 28 made of copper, NH 3 + or SO 4 2+ is used to etch the copper. And to remove adhesive/barrier layer 22 , dry etching or wet etching can be used. Dry etching involves using reactive ion etching or Argon sputter etching. On the other hand, when using wet etching, if adhesive/barrier layer 22 is made of Ti/W alloy, hydrogen peroxide can be used to remove the layer, and if adhesion/barrier layer 22 is made of Ti, HF containing solution can be used to remove the layer. Meanwhile, the multiple metal layers, such as metal layer 34 , metal layer 32 , seed layer 28 , and adhesive/barrier layer 22 , below metal layer 300 are the under bump metal structure 250 shown in FIG. 8 and the seed layer 28 and adhesion/barrier layer 24 below metal layer 400 c are the under bump metal structure 260 show in FIG. 8 respectively. In the manufacturing of this embodiment, under bump metal structure 250 is a TiW/Cu/Ni structure, and under bump metal structure 260 is a TiW/Au seed layer.
[0095] Referring to FIG. 8 m, solder layer 300 collates into a semi-sphere through the process of reflow in an environment containing oxygen less than 20 ppm.
[0096] Referring to FIG. 8 n , mount external device 310 and external device 320 separately on solder layer 300 . In this embodiment, external devices 310 and 320 are passive devices, which include inductors, capacitors, or integrated passive devices. In the present invention, external devices 310 and 320 are two different passive devices. For example, external device 310 may be a capacitor, while external device 320 may be an inductor, or external device 310 may be an integrated passive device, while external device 320 may be an inductor. External devices 310 and 320 each have multiple contact points (not shown in figure). On the surface of these multiple contact points, there are metals suited for mounting on metal layer 300 . For example, the surface of contact points may have a soldering material layer such as tin containing layer or a solder wetting layer such as gold layer.
[0097] The dimensions of external devices 310 and 320 may be chosen from industrial standard dimension 1210, dimension 0603, dimension 0402, or dimension 0201, wherein said dimension 0201 stands for 0.02 inches by 0.01 inches, and dimension 1210, dimension 0603, and dimension 0402 deduced with the same standard. In general, external devices 310 and 320 have a length between 0.2 mm and 5 mm, a width between 0.1 mm and 4 mm, and a height between 0.01 mm and 2 mm.
[0098] The next steps will be a dicing procedure, where substrate 100 is first i sawed into multiple chips. Next, a wire 37 is formed by wire-bonding on metal layer 400 c , which is on pad 166 b , and said wire 37 is used to connect to external circuits or power supplies.
[0099] Also, external devices 310 and 320 can be mounted after dicing procedures are performed on substrate 100 .
[0100] Manufacturing method 2 of Embodiment 2:
[0101] Manufacturing method 2 differs from manufacturing method 1 in that solder layer 300 is provided by external devices 310 and 320 or external adding during mounting process of device 310 and 320 . In other words, before mounting with external devices 310 and 320 , the structure does not have a solder layer 300 on the under bump metal structure 250 . The following is a detailed description of the manufacturing process.
[0102] Continuing from FIG. 8 b and referring to also FIG. 8 o , a seed layer 38 is formed on adhesive/barrier layer 22 with a thickness between 0.05 micrometers and 1 micrometers (and an optimal thickness between 0.1 micrometers and 0.7 micrometers. In this embodiments, seed layer 38 is made of Cu. Similar to seed layer 170 described above, the material used for seed layer 38 will vary according to the material of metal layers formed later.
[0103] Referring to FIG. 8 p , photoresist layer 40 is formed on seed layer 38 , and through spin coating, exposure and development, photoresist layer 40 is patterned, forming multiple photoresist layer openings 40 a in photoresist layer 40 , which separately reveal portions of seed layer 24 that are over pad 166 b and pad 166 a.
[0104] Referring to FIG. 8 q, metal layer 42 is formed by an electroplating method on seed layer 38 , which is in photoresist layer opening 40 a . The metal layer 42 consists of materials such as gold, copper, silver, palladium, rhodium, ruthenium, rhenium, or nickel, and may have a single metal layer structure or multiple metal layer structure. The thickness of metal layer 42 is between 1 micrometers and 100 micrometers, with optimal thickness between 1.5 micrometers and 15 micrometers. In this embodiment, metal layer 42 is made of copper.
[0105] Referring to FIG. 8 r, a metal layer 44 is formed by an electroplating method on metal layer 42 , which is in photoresist layer opening 40 a . The metal layer 44 is made of nickel, and has a thickness between 0.5 micrometers and 100 micrometers, with optimal thickness between 1 micrometer and 5 micrometers.
[0106] Referring to FIG. 8 s, a metal layer 46 is formed by an electroplating or electroless-plating method on metal layer 44 , which is in photoresist layer opening 40 a . The metal layer 46 consists of materials such as gold, silver, palladium, rhodium, ruthenium, or rhenium, and has a thickness between 0.03 micrometers and 2 micrometers, with optimal thickness between 0.05 micrometer and 0.5 micrometers. In this embodiment, the material of metal layer 46 is gold (Au).
[0107] Referring to FIG. 8 t, remove patterned photoresist layer 40 and the portions of seed layer 44 and adhesive/barrier layer 22 that are not below metal layer 46 . To remove seed layer 24 made of copper, a NH 3 + or SI 4 2+ containing solution is used to etch the copper. To remove adhesive/barrier layer 22 , dry etching or wet etching can be used. Dry etching involves using reactive ion etching or Argon sputter etching. On the other hand, when using wet etching, if adhesive/barrier layer 22 is made of Ti/W alloy, hydrogen peroxide can be used to remove the layer, and if adhesion/barrier layer 22 is made of Ti, HF containing solution can be used to remove the layer.
[0108] Referring to FIG. 8 u, connect external device 310 and external device 320 separately on solder layer 300 . The external devices 310 and 320 contain a solder layer 300 , or forming a solder layer 300 on metal layer 46 by screen printing method, and through this solder layer 300 , external devices 310 and 320 are mounted to metal layer 46 .
[0109] In this embodiment, external devices 310 and 320 are passive devices, which include inductors, capacitors, or integrated passive devices. In the present invention, external devices 310 and 320 are two different passive devices. For example, external device 310 may be a capacitor, while external device 320 may be an inductor, or external device 310 may be an integrated passive device, while external device 320 may be an inductor. External devices 310 and 320 each have multiple contact points (not shown in figure). On the surface of these multiple contact points, there are metals suited for mounting on metal layer 300 . For example, the surface of contact points may have a soldering material layer or a solder wetting layer such as gold layer.
[0110] The dimensions of external devices 310 and 320 may be chosen from industrial standard dimension 1210, dimension 0603, dimension 0402, or dimension 0201, wherein said dimension 0201 stands for 0.02 inches by 0.01 inches, and dimension 1210, dimension 0603, and dimension 0402 deduced with the same standard. In general, external devices 310 and 320 have a length between 0.2 mm and 5 mm, a width between 0.1 mm and 4 mm, and a height between 0.01 mm and 2 mm.
[0111] The next step is a dicing procedure, where substrate 100 is sawed into multiple chips. Then, a wire 47 is conducted by wire-bonding on metal layer 46 , which is on pad 166 b , and said wire 47 is used to connect to outside circuits or power supplies.
[0112] Also, external devices 310 and 320 can be mounted after dicing procedures are performed on substrate 100 .
Manufacturing method and structure 3 of Embodiment 2:
[0113] Referring to FIG. 8 aa and FIG. 8 ab, FIGS. 8 aa is a cross-sectional view cut along the line 2 - 2 in FIG. 8 ab. Integrated circuit 20 represents all structures below passivation layer 160 . Also included in integrated circuit 20 is substrate 100 , devices 110 , 112 , 114 , first dielectric layer 150 , metal layers 140 , second dielectric layer 155 , metal contact 120 , and via 130 , wherein multiple passivation layer openings 165 a and openings 165 b in passivation layer 160 reveal multiple pads 166 a , pads 166 b and 166 ab. Multiple metal pads 166 a and 166 b are designed in a rectangle preferentially.
[0114] Referring to FIG. 8 ac, an adhesion/barrier layer 22 is formed on passivation layer 160 , pad 166 a and 166 b and 166 b by using sputtering method. The thickness of adhesion/barrier layer 22 is between 0.1 micrometers and 1 micrometer, with an optimal thickness between 0.3 micrometers and 0.8 micrometers. The adhesion/barrier can be selected from or composed of the following materials, Ti, TiW, TiN, Ta, TaN, Cr, and Mo. Ti and/or TiW are the preferred material for adhesion/barrier.
[0115] Referring to FIG. 8 ad, a seed layer 38 with a thickness between 0.05 micrometers and 1 micrometers (and an optimal thickness between 0.1 micrometers and 0.7 micrometers) is then formed on adhesion/barrier layer 22 . Similar to seed layer 170 described above, the material used for seed layer 38 will vary according to the material of metal layers formed later. The material of seed layer 38 can be Cu, Au or Ag. Cu is the preferred seed layer material in this embodiment.
[0116] Referring to FIG. 8 ae, photoresist layer 40 is formed on seed layer 38 , and through spin coating, exposure and development, photoresist layer 40 is patterned, forming multiple photoresist layer openings 40 a in photoresist layer 40 , which separately reveal portions of seed layer 38 that are over pad 166 a and pad 166 b.
[0117] Referring to FIG. 8 af, metal layer 42 is formed by an electroplating method on seed layer 38 , which is in photoresist layer opening 40 a . The metal layer 42 consists of materials such as gold, copper, silver, palladium, rhodium, ruthenium, or rhenium. The thickness of metal layer 42 is between 1 micrometers and 100 micrometers, with optimal thickness between 1.5 micrometers and 15 micrometers. In this embodiment, metal layer 42 is preferred to be a single layer made of copper.
[0118] Referring to FIG. 8 ag, metal layer 44 is formed by an electroplating method on metal layer 42 , which is in photoresist layer opening 40 a . The metal layer 44 consists of nickel preferentially. The thickness of metal layer 44 is between 0.1 micrometers and 10 micrometers, with optimal thickness between 0.5 micrometers and 5 micrometers.
[0119] Referring to FIG. 8 ah, metal layer 46 is formed by an electroplating method on metal layer 44 , which is in photoresist layer opening 40 a . The metal layer 46 consists of materials such as gold, copper, silver, palladium, rhodium, ruthenium, or rhenium. The thickness of metal layer 46 is between 0.03 micrometers and 5 micrometers, with optimal thickness between 0.05 micrometers and 1.5 micrometers. In this embodiment, metal layer 46 is preferred to be a single layer made of gold.
[0120] Referring to FIG. 8 ai, remove patterned photoresist layer 40 and the portions of seed layer 38 and adhesive/barrier layer 22 that are not below metal layer 46 . To remove seed layer 38 made of copper, NH 3 + or SO 4 2+ containing solution is used to etch the copper. To remove adhesive/barrier layer 22 , dry etching or wet etching can be used. Dry etching involves using reactive ion etching or Argon sputter etching. On the other hand, when using wet etching, if adhesive/barrier layer 22 is made of Ti/W alloy, hydrogen peroxide can be used to remove the layer, and if adhesion/barrier layer 22 is made of Ti, HF containing solution can be used to remove the layer.
[0121] Referring to FIG. 8 aj, connect external device 310 on the metal layer 46 , which is over the pads 166 a . The external devices 310 have a solder layer 300 , or forming a solder layer 300 on metal layer 46 by screen printing, and through this solder layer 300 , external devices 310 are mounted on metal layer 46 .
[0122] Referring to FIG. 8 ak and FIG. 8 al , FIGS. 8 al is a cross-sectional view cut along the line 2 - 2 ′ in FIG. 8 ak. Connect external device 320 on the metal layer 46 , which is over the pads 166 ab and the external device 320 is also over the external device 310 . The external devices 320 have a solder layer 301 , or forming a solder layer 301 on metal layer 46 by screen printing, and through this solder layer 301 , external devices 320 are mounted on metal layer 46 .
[0123] Referring to FIG. 8 am, perform a dicing process to singular each chip, where substrate 100 is sawed into multiple chips. Next, a wire 47 is formed by wire-bonding on metal layer 46 , which is on pad 166 b , and said wire 47 is used to connect to outside circuits or power supplies.
[0124] Also, external devices 310 and 320 can be mounted after dicing procedures are performed on substrate 100 .
Embodiment 3
[0125] Referring to FIG. 9 , Embodiment 3 is similar to Embodiment 2, with the difference being the material and thickness of connecting metal layer 400 . In Embodiment 3, solder layer 400 is constructed on pad 166 a and 166 b . The following is a description of the formation of the structure of Embodiment 3.
[0126] Manufacturing method of Embodiment 3:
[0127] Embodiment 3 can continue from FIG. 8 r of manufacturing method 2 of Embodiment 2. Referring to FIG. 9 a , a solder layer 400 is formed on metal layer 44 in photoresist layer opening 40 a by an electroplating method. The thickness of solder layer 400 is between 30 micrometers and 350 micrometers. Chosen materials of solder layer 400 include tin/silver, tin/copper/silver, and tin/lead alloy.
[0128] Referring to FIG. 9 b, remove patterned photoresist layer 40 and the portions of seed layer 38 and adhesive/barrier layer 22 that are not below solder layer 400 . To remove seed layer 38 made of copper, NH 3 + or SO 4 2+ containing solution is used to etch the copper.
[0129] Referring to FIG. 9 c , use a reflow process as previous description for FIG. 8 m so that solder layer 400 will reach melting point and aggregate into a semi-spherical shape.
[0130] Referring to FIG. 9 d , external device 310 and external device 320 are separately mounted to solder layer 400 over pad 166 a . In this embodiment, external devices 310 and 320 are passive devices, which include inductors, capacitors, and integrated passive devices. In the present invention, external devices 310 and 320 are two different passive devices. For example, external device 310 may be a capacitor, while external device 320 may be an inductor, or external device 310 may be an integrated passive device, while external device 320 may be an inductor.
[0131] The dimensions of external devices 310 and 320 may be chosen from industrial standard dimension 1210, dimension 0603, dimension 0402, or dimension 0201, wherein said dimension 0201 stands for 0.02 inches by 0.01 inches, and dimension 1210, dimension 0603, and dimension 0402 deduced by the same standard. In general, external devices 310 and 320 have a length between 0.2 mm and 5 mm, a width between 0.1 mm and 4 mm, and a height between 0.01 mm and 2 mm.
Embodiment 4
[0132] Referring then to FIG. 10 , in the semiconductor chip structure revealed by this embodiment, a first polymer layer 200 on passivation layer 160 can be optionally formed. Said first polymer layer 200 has a thickness between 3 micrometers and 25 micrometers and is made of materials such as polyimide (PI), benzocyclobutene (BCB), parylene, epoxy resins, elastomers, and porous dielectric material. The following is a description of the formation of the structure of Embodiment 3.
[0133] Manufacturing method of Embodiment 4:
[0134] Referring to FIG. 10 a , integrated circuit 20 is used to represent various structures below passivation layer 160 . Integrated circuit 20 includes substrate 100 , devices 110 , 112 , 114 , first dielectric layer 150 , metal layers 140 , second dielectric layer 155 , metal contact 120 , and metal via 130 , wherein passivation layer 160 has multiple openings 165 that reveal multiple pads 166 .
[0135] Referring to FIG. 10 b , a photosensitive polymer layer 200 with a thickness between 3 micrometers and 25 micrometers is formed on passivation layer 160 , and through spin coating, exposure and development, and O2 plasma ash or etching, polymer layer 200 is patterned, forming many openings 200 a in polymer layer 200 . These openings 200 a reveal pad 166 . Polymer layer 200 is then heated to a temperature between 150 and 390 degrees Celcius to cure polymer layer 200 so that said polymer layer 200 will harden. The material of polymer layer 200 can be chosen from polyimide (PI), benzocyclobutene (BCB), parylene, epoxy-based material, or ester type polymers, such as epoxy resins or photoepoxy SU-8 provided by Sotec Microsystems of Swiss Renens, or elastomers, such as silicone.
[0136] Referring to FIG. 10 c , an adhesion/barrier layer 48 is formed on polymer layer 200 and pad 166 through a sputtering method. The thickness of the adhesion/barrier layer 48 is between 0.1 micrometer and 1 micrometer, with an optimal thickness between 0.2 micrometers and 0.5 micrometers. The material of adhesion/barrier layer 48 can be Ti, TiW, TiN, Ta, TaN or composite of the above metals.
[0137] Referring to FIG. 10 d, a seed layer 50 with a thickness between 0.05 micrometers and 1 micrometers (optimal thickness between 0.08 micrometers and 0.5 micrometers) is formed on the adhesion/barrier layer. The material of said seed layer 50 in this embodiment is gold (Au), but as in the description of seed layer 170 above, the material of seed layer 50 will vary depending on the material of the metal layer formed later on.
[0138] Referring to FIG. 10 e , a photoresist layer 52 is formed on seed layer 50 , and through spin coating, exposure and development a patterned photoresist layer 52 is formed, with multiple photoresist openings 52 a on photoresist layer 52 that reveal seed layer 50 on pad 166 .
[0139] Referring to FIG. 10 f, metal layer 220 is formed on seed layer 50 in photoresist layer opening 52 a by an electroplating method. The material of metal layer 220 includes gold, copper, silver, palladium, platinum, rhodium, ruthenium, rhenium, or nickel, and may have a single metal layer structure or multiple metal layer structure. The thickness of metal layer 220 is between 2 micrometers and 25 micrometers, with optimal thickness between 3 micrometers and 10 micrometers. Furthermore, the structure of metal layer 220 with a multiple metal layer structure can include combinations such as Cu/Ni/Au, Cu/Au, Cu/Ni/Pd, and Cu/Ni/Pt. In this embodiment metal layer 220 is preferred a single gold layer.
[0140] Referring to FIG. 10 g, remove patterned photoresist layer 52 and portions of seed layer 50 and adhesive/barrier layer 48 that are not below metal layer 220 . If seed layer 50 is made of gold, seed layer 50 is removed by using I 2 plus KI solution. On the other hand, hydrogen peroxide (H 2 O 2 ) can be used to remove adhesive/barrier layer 48 if the material of the adhesion/barrier layer 48 is TiW. The portions of seed layer 50 and adhesive/barrier layer 48 under metal layer 220 correspond to label 210 in FIG. 10 .
[0141] Referring to FIG. 10 h , a photosensitive polymer layer 230 with a thickness between 3 micrometers and 25 micrometers is formed. Through spin coating, exposure, development, and O2 plasma ash or etching, to form many openings 240 a in polymer layer 230 , which expose metal layer 200 . Next, polymer layer 230 is heated and cured. This curing process proceeds at a temperature between 150 degrees Celsius and 380 degrees Celsius. The material of polymer layer 230 can be chosen from polyimide (PI), benzocyclobutene (BCB), parylene, epoxy-based material, or ester type polymers, such as epoxy resins or photoepoxy SU-8 provided by Sotec Microsystems of Swiss Renens, or elastomers, such as silicone.
[0142] Metal layer 220 revealed by openings 240 a is defined to be multiple pads 220 a and one wire bonding pad 220 b. Pad 220 a can be used to connect to external devices 310 and external device 320 , and wire binding pad 220 b can be connected to external circuits or power supplies through wires formed by the wire bounding method. In this embodiment, external devices 310 and 320 are passive devices, which include, inductors, capacitors, and integrated passive devices. In the present invention, external devices 310 and 320 are two different passive devices. For example, external device 310 may be a capacitor, while external device 320 may be an inductor, or external device 310 may be an integrated passive device, while external device 320 may be an inductor.
[0143] The dimensions of external devices 310 and 320 may be chosen from industrial standard dimension 1210, dimension 0603, dimension 0402, or dimension 0201, wherein said dimension 0201 stands for 0.02 inches by 0.01 inches, and dimension 1210, dimension 0603, and dimension 0402 deduced by the same standard. In general, external devices 310 and 320 have a length between 0.2 mm and 5 mm, a width between 0.1 mm and 4 mm, and a height between 0.01 mm and 2 mm.
[0144] Referring to FIG. 10 i , external device 310 and external device 320 are separately connected to pads 220 a . External device 310 and external device 320 include a solder layer 400 , with a thickness between 30 micrometers and 350 micrometers, and made of materials such as Sn/Ag, Sn/Cu/Ag, Sn/Au alloy, or other related materials. The said solder layer 400 may be provided by screen printing process instead of included in external devices. External device 310 and external device 320 are connected to pads 220 a through solder layer 400 by using surface mount technology.
[0145] The next step is a dicing procedure, where substrate 100 is sawed into multiple chips. Then a wire 56 is formed by wire bounding on wire bonding pad 220 b , and said wire 56 is used to connect wire bonding pad 220 b to external circuits or power supplies.
[0146] Also, external devices 310 and 320 can be mounted after dicing procedures are performed on substrate 100 by using surface mount technology.
Embodiment 5
[0147] Referring to FIG. 11 a , the pad metal 166 of the circuit structure in above mentioned four embodiments is made of aluminum. However, in this fifth embodiment, the pad metal 166 is made of copper. When the pad metal 166 is made of copper, there needs to be a metal cap layer 170 to protect pad 166 revealed by passivation layer 160 openings, so that pad 166 will not be damaged by oxidation and can sustain later on processes such as wire bounding and flip-chip. The metal cap layer 170 is an aluminum-copper layer, a gold layer, a titanium (Ti) layer, a titanium tungsten alloy layer, a tantalum (Ta) layer, a tantalum nitride (TaN) layer, or a nickel (Ni) layer. When the metal cap is an aluminum-copper layer, a barrier layer (not shown in figure) is formed between the copper pad 166 and metal cap layer 170 . This barrier layer can be titanium, titanium tungsten alloy, titanium nitride, tantalum, tantalum nitride, chromium, or nickel.
[0148] The manufacturing of under bump metal structure and mounting external devices in FIG. 11 a is the same as that of the embodiment 4.
Embodiment 6
[0149] Referring to FIG. 11 b , the difference between Embodiment 6 and the first to fifth embodiments is that external devices are integrated into a single external device 330 . For example, external device 330 can be an integrated passive device of a capacitor and an inductor. Except for external device 330 , the manufacturing process and materials are all identical to those of the first to fifth embodiments. Therefore, the manufacturing process and materials of identical devices will not be repeated.
[0150] All the semiconductor chip structures described in the above six embodiments can be packaged in the Ball Grid Array (BGA) as shown in FIGS. 12 to 15 . FIGS. 12 to 15 reveal the packaging structure of a semiconductor chip package structure with only one semiconductor device. FIG. 12 explains one of the packaging structure of FIG. 7 of the Embodiment 1, FIG. 8 of Embodiment 2, FIG. 10 of Embodiment 4, and FIG. 11 a of the Embodiment 5. The packaging structure of FIG. 12 includes electrically connecting the integrated circuit 20 to the BGA substrate 500 through wire 510 , and sealing the above mentioned devices with molding compound 520 . BGA substrate 500 has multiple solder balls 530 is electrically connected to outside circuits through these solder balls 530 .
[0151] On the other hand, FIG. 13 describes one of the packaging structures of FIG. 9 in Embodiment 3. The integrated circuit 20 is electrically connected to BGA substrate 500 through solder layer 400 . Then, the above mentioned devices are sealed with a molding compound 520 , and the BGA substrate 500 is electrically connected to outside circuits through solder balls 530 . Said molding compound 520 is a polymer such as epoxy resin or polyimide compound.
[0152] In FIG. 14 and FIG. 15 , the external device 310 and 320 in FIGS. 12 and 13 are replaced by an integrated passive device 330 (such as in embodiment 6). In FIG. 14 , the integrated circuit 20 is electrically connected to the BGA substrate 500 through wire 510 , and in FIG. 15 , it is electrically connected to the BGA substrate 500 through solder layer 400 a.
[0153] Aside from above mentioned BGA packaging structure, the present invention can use common packaging form such as the Thin Small Outline Package (TSOP), Small Outline J-Lead (SOJ), s Quad Flat Package (QFP), Think Quad Flat Package (TQFP), or other common lead frame packaging form. As shown in FIG. 16 a to 16 f and FIG. 17 a and 17 f, the integrated circuit 20 is constructed on lead frame 600 , which is made of copper or copper alloy and has a thickness between 100 micrometers and 2000 micrometers.
[0154] FIG. 16 a to 16 c describe the packaging structure of FIG. 7 of Embodiment 1, FIG. 8 of Embodiment 2, FIG. 10 of Embodiment 4, and FIG. 11 a of Embodiment 5. Integrated circuit 20 is electrically connected to lead frame 600 through wire 510 . The above mentioned devices are then sealed with a molding compound 520 , but exposing the leads of lead frame 600 . These leads are then connected to an outside circuit.
[0155] In FIGS. 16 d to 16 f, the external devices 310 and 320 in FIGS. 16 a to 16 c are replaced by an integrated device 330 (as in Embodiment 6).
[0156] In FIGS. 17 a to 17 c another packaging structure of FIG. 9 in Embodiment 3 is shown. Integrated circuit 20 is electrically connected to lead frame 600 through solder layer 400 b , and the above-mentioned devices are then sealed with molding compound 520 , but exposing the leads of lead frame 600 . These leads are then connected to other outside circuits. Said molding compound 520 is a polymer such as epoxy resin or polyimide compound.
[0157] In FIGS. 17 d to 17 f, the external devices 310 and 320 in FIGS. 17 a to 17 c are replaced by an integrated device 330 (as in Embodiment 6).
[0158] The description up until this point has been of semiconductor chip structures. Following is the description and explanation of application circuits corresponding to the semiconductor chip structures. The application circuits include an internal circuit, an external circuit, and a metal connection which are all integrated on a single semiconductor chip.
[0159] In FIG. 18 , the simplified equivalent circuit shown is similar to the application circuit shown in FIG. 7 . Devices 112 , and 114 in FIG. 7 correspond respectively to, and voltage feedback device 1112 , and switch circuit including switch controller 1114 a and switch MOS 1114 b , 1114 e in FIG. 18 , and external devices 320 and 310 in FIG. 7 correspond respectively to inductor 1320 and capacitor 1310 in FIG. 18 , wherein inductor 1320 and capacitor 1310 are connected and voltage feedback device 1112 is electrical connected between inductor 1320 and capacitor 1310 . This voltage feedback device 1112 can feedback the voltage signal between inductor 1320 and capacitor 1310 . In the circuit revealed by FIG. 18 , a power supply input 1311 uses wire-bonded leads or solder layers on contact pads of the semiconductor chip to input power to MOS 1114 b , which is below the passivation layer of the semiconductor chip. Feedback device 1112 then takes the voltage signal passing between inductor 1320 and capacitor 1310 , and the voltage signal is transmitted back to switch controller 1114 a . Switch controller 1114 a then uses the signal to decide the on and off timing of the two MOS 1114 b and 1114 e located on the semiconductor chip, which allows switch controller 1114 a to regulate the duty cycle of MOS 1114 b and 1114 e and therefore to regulate the voltage at output 1313 . In the present invention, inductor 1320 , capacitor 1310 , switch controller 1114 a , and voltage feedback device 1112 form the voltage regulator or converter. Therefore, according to different working voltage ranges of semiconductor chips, voltage regulator integrated with the semiconductor chip can use the described mechanism to regulate voltages immediately, using the shortest transfer path to transfer power supply to the semiconductor chip, allowing the voltage level of the semiconductor chip's power supply to be quickly regulated to a specific voltage range.
[0160] Also, according to the electrical circuit structure shown in FIG. 18 and the semiconductor chip structure disclosed by the present invention, since the passive components in the present invention are all integrated over semiconductor substrates with active devices, therefore, multiple electronic devices could easily be connected to each other. FIG. 19 shows an equivalent circuit of multiple passive devices and a semiconductor chip connected together, wherein all switch MOS 1114 f , 1114 h , 1114 j , 1114 g , 1114 i , 1114 k and inductor 1320 a , 1320 b , and 1320 c connect to a capacitor 1310 , voltage feedback device 1112 , and a switch controller 1114 a . Therefore, when input pad 1110 inputs a power supply, voltage feedback device 1112 takes a voltage signal between inductors 1320 a , 1320 b , 1320 c and capacitor 1310 and sends a voltage feedback signal to switch controller 1114 a . Switch controller 1114 a then decides when MOS 1114 f , 1114 g , 1114 h , 1114 i , 1114 j , 1114 k will be switched on or off separately. The switch controller 1114 a controls the duty cycles and on-off phases of switch MOS 1114 f , 1114 g , 1114 h , 1114 i , 1114 j , 1114 k to fine-tune the voltage level at output 1313 . When switch controller 1114 a controls MOS 1114 f , 1114 g , 1114 h , 1114 i , 1114 j , 1114 k , at least two different on-off phases are generated. As shown in FIG. 20 , a result of output of FIG. 19 's circuit when each switch MOS set with different switching phase, the voltage ripple of output is minimized by different on-off phases of switching MOS. Therefore, the present invention provides a semiconductor chip with a more stable power voltage.
Embodiment 7
[0161] FIG. 21 a to FIG. 21 l demonstrate a manufacturing process of a on-chip regulator or converter with inductor and capacitor, wherein the inductor is made by using post-passivation embossing process and the capacitor is attached by using surface mount technology.
[0162] Referring to FIG. 21 a , integrated circuit 20 represents all structures below passivation layer 160 . Also included in integrated circuit 20 is substrate 100 , devices 110 , 112 , 114 , first dielectric layer 150 , metal layers 140 , second dielectric layer 155 , metal contact 120 , and metal via 130 , wherein multiple passivation layer openings 165 a in passivation layer 160 reveal multiple pads 166 a , 166 b , and 166 c.
[0163] Referring to FIG. 21 b , an adhesion/barrier layer 401 is formed by sputtering on passivation layer 160 and contact pads 166 a , 166 b , and 166 c . The thickness of said adhesion/barrier layer 401 is between 0.1 micrometers and 1 micrometer, with an optimal thickness between 0.3 micrometers and 0.8 micrometers. The material of adhesion/barrier 401 is preferred to be a TiW or Ti or Ti/TiW.
[0164] Referring to FIG. 21 c , a seed layer 402 with a thickness between 0.05 micrometers and 1 micrometers (with an optimal thickness between 0.08 micrometers and 0.7 micrometers) is formed next on adhesion/barrier layer 401 by sputtering. In this embodiment, said seed layer 402 is made of gold preferentially. However, as described above, the material of seed layer 402 varies according to the material of metal layers formed afterwards.
[0165] Referring to FIG. 21 d , photoresist layer 404 is formed on seed layer 402 , and through spin coating, exposure and development, photoresist layer 404 is patterned, forming multiple photoresist layer openings 404 a in photoresist layer 404 , which separately reveal portions of seed layer 402 that are over pad 166 a , 166 b , and 166 c.
[0166] Referring to FIG. 21 e , bonding metal layer 406 is formed by an electroplating method on seed layer 402 , which is in photoresist layer opening 404 a . The bonding metal layer 406 consists of materials such as gold, copper, silver, palladium, rhodium, ruthenium, rhenium, or nickel, and may have a single metal layer structure or multiple metal layer structure. The thickness of bonding metal layer 406 is between 1 micrometers and 100 micrometers, with optimal thickness between 1.5 micrometers and 15 micrometers. The combinations of the multiple metal layer structure comprise Cu/Ni/Au, Cu/Au, Cu/Ni/Pd, and Cu/Ni/Pt. In this embodiment, bonding metal layer 406 is preferred a single layer made of gold.
[0167] Referring to FIG. 21 f , remove patterned photoresist layer 404 and portions of seed layer 402 and adhesive/barrier layer 401 that are not below metal layer 406 . Portions of seed layer 402 that are made of gold are removed by using solvents containing KI plus I 2 solution, while adhesive/barrier layer 401 is removed by using solvents containing hydrogen peroxide (H 2 O 2 ) if the material of layer 401 is TiW.
[0168] Referring to FIG. 21 g , after removing patterned photoresist layer 404 and portions of seed layer 402 and adhesive/barrier layer 401 that are not under metal layer 406 , said bonding metal layer 406 at least forms one inductor device 408 , multiple wire-bonding pads 410 , and multiple contact pads 412 on passivation layer 160 . Said wire-bonding pads 410 are formed on pad 166 a , while said contact pads 412 are formed on pad 166 c , and said inductor device 408 is formed on passivation layer 160 and pads 166 b . FIG. 21 f is a signified cross section view of FIG. 21 g across horizontal line 2 - 2 . Multiple inductor devise 408 can also be formed on or over passivation layer 160 , as shown in FIG. 21 h , but in this embodiment, only one inductor device 408 is demonstrated mainly.
[0169] Referring to FIG. 21 i , a polymer layer 414 is formed on multiple wire-bonding pads 410 , multiple contact pads 412 , and passivation layer 160 .
[0170] Referring to FIG. 21 j , through spin coating, exposure and development, etching and O2 plasma ash, polymer layer 414 is formed and patterned with multiple openings 414 a that reveal multiple wire-bonding pads 410 , multiple contact pads, 412 , and cover inductor device 408 . Polymer layer 414 is then cured under a temperature between 150 and 380 degrees Celcius. The material of polymer layer 414 can be chosen from polyimide (PI), benzocyclobutene (BCB), parylene, epoxy-based material, such as epoxy resins or photoepoxy SU-8 provided by Sotec Microsystems of Swiss Renens, or elastomers, such as silicone. If polymer layer 414 is made of polyimide, it is preferred ester-type polyimide. The polymer layer 414 is preferred to be photosensitive, then lithography can be used to pattern said polymer layer 414 . Polymer layer 414 has a thickness between 5 micrometers and 50 micrometers, with an optimal thickness between 10 micrometers and 20 micrometers.
[0171] Referring to FIG. 21 k and FIG. 21 l , dicing procedures are used to cut substrate 100 , passivation layer 160 , and polymer layer 414 into multiple semiconductor chips 600 . Said multiple wire-bonding pads 410 on semiconductor chips 600 can be connected to external circuits or power sources through a wire 416 formed by a wire-bonding process. Contact pad 412 can then be connected to a capacitor device 418 with a solder layer 420 , through surface mount technique (SMT), wherein said capacitor device 418 is connected to inductor device 408 through metal layers 140 in integrated circuit 20 . Of course the dicing procedures can be performed after capacitor mounting.
[0172] Manufacturing method and structure 1 of Embodiment 8:
[0173] FIG. 22 a to FIG. 22 m demonstrate a manufacturing process of another on-chip regulator or converter with inductor and capacitor, wherein the inductor is made by using post-passivation embossing process and the capacitor is attached by using surface mount technology.
[0174] Referring to FIG. 22 a , integrated circuit 20 represents all structures below passivation layer 160 . Also included in integrated circuit 20 is substrate 100 , devices 110 , 112 , 114 , first dielectric layer 150 , metal layers 140 , second dielectric layer 155 , metal contact 120 , and via 130 , wherein multiple passivation layer openings 165 a in passivation layer 160 reveal multiple pads 166 a , 166 b , and 166 c.
[0175] Referring to FIG. 22 b , a polymer layer 421 is formed on passivation layer 160 and pads 166 a , 166 b , and 166 c . Through spin coating, exposure and development, etching and O2 plasma ash, polymer layer 421 is formed and patterned with multiple openings 421 a that reveal multiple pads 166 a , 166 b , and 166 c . Polymer layer 421 is then cured under a temperature between 150 and 380 degrees Celcius. The material of polymer layer 421 can be chosen from polyimide (PI), benzocyclobutene (BCB), parylene, epoxy-based material, such as epoxy resins or photoepoxy SU-8 provided by Sotec Microsystems of Swiss Renens, or elastomers, such as silicone. If polymer layer 421 is made of polyimide, it is preferred ester-type polyimide. The polymer layer 421 is preferred to be photosensitive, then lithography can be used to pattern said polymer layer 421 . Polymer layer 421 has a thickness between 5 micrometers and 50 micrometers, with an optimal thickness between 10 micrometers and 25 micrometers.
[0176] Referring to FIG. 22 c , an adhesion/barrier layer 422 is formed by sputtering on polymer layer 421 and pads 166 a , 166 b , and 166 c . Said adhesion/barrier layer 422 has a thickness between 0.1 micrometers and 1 micrometer, with an optimal thickness between 0.3 micrometers and 0.8 micrometers. The material of adhesion/barrier 401 is preferred to be a TiW or Ti or Ti/TiW.
[0177] Referring to FIG. 22 d , a seed layer 424 with a thickness between 0.05 micrometers and 1 micrometers (with an optimal thickness between 0.08 micrometers and 0.7 micrometers) is formed next on adhesion/barrier layer 422 by sputtering. In this embodiment, said seed layer 424 is made of gold preferentially. However, as described above, the material of seed layer 424 varies according to the material of metal layers formed afterwards.
[0178] Referring to FIG. 22 e , photoresist layer 426 is formed on seed layer 424 , and through spin coating, exposure and development, photoresist layer 426 is patterned, forming multiple photoresist layer openings 426 a in photoresist layer 426 , which separately reveal portions of seed layer 426 that are over pad 166 a , 166 b , and 166 c.
[0179] Referring to FIG. 22 f , bonding metal layer 428 is formed by an electroplating method on seed layer 424 , which is in photoresist layer opening 426 a . The bonding metal layer 428 consists of materials such as gold, copper, silver, palladium, rhodium, ruthenium, rhenium, or nickel, and may have a single metal layer structure or multiple metal layer structure. The thickness of bonding metal layer 428 is between 1 micrometer and 100 micrometers, with optimal thickness between 1.5 micrometers and 15 micrometers. Layer 428 may be combinations of multiple metal layer structure comprising Cu/Ni/Au, Cu/Au, Cu/Ni/Pd, and Cu/Ni/Pt. In this embodiment, bonding metal layer 428 is a single layer made of gold preferentially.
[0180] Referring to FIG. 22 g , remove patterned photoresist layer 426 and portions of seed layer 424 and adhesive/barrier layer 422 that are not below metal layer 428 . Seed layer 424 that are made of gold are removed by using solvents containing KI plus I 2 solution, while adhesive/barrier layer 422 is removed by using solvents containing hydrogen peroxide (H 2 O 2 ) if the material of layer 422 is TiW.
[0181] Referring to FIG. 22 h , after removing patterned photoresist layer 426 and portions of seed layer 424 and adhesive/barrier layer 422 that are not under metal layer 428 , said bonding metal layer 428 at least forms one inductor device 430 , multiple wire-bonding pads 432 , and multiple contact pads 434 on polymer layer 421 . Said wire-bonding pads 432 are formed on pad 166 a , while said contact pads 434 are formed on pad 166 c , and said inductor device 430 is formed on or over passivation layer 160 and pads 166 b . FIG. 21 f is a signified cross section view of FIG. 21 g cut across horizontal line 2 - 2 . Multiple inductor devices 430 can also be formed on polymer 421 , as shown in FIG. 22 i, but in this embodiment, only one inductor device 408 is demonstrated mainly.
[0182] Referring to FIG. 22 j, a polymer layer 436 is formed by using spin coating on inductor device 430 , multiple wire-bonding pads 432 , multiple contact pads 434 , and polymer layer 421 .
[0183] Referring to FIG. 22 k, through exposure and development, etching, and O2 plasma ash polymer layer 436 form multiple openings 436 a that reveal multiple wire-bonding pads 432 , multiple contact pads 434 , and conceal inductor device 430 . Polymer layer 436 is then cured under a temperature between 150 and 380 degrees Celcius. The material of polymer layer 436 can be chosen from polyimide (PI), benzocyclobutene (BCB), parylene, or ester type polymers, such as epoxy resins or photoepoxy SU-8 provided by Sotec Microsystems of Swiss Renens, or elastomers, such as silicone. If polymer layer 436 is made of polyimide, it is preferred ester-type polyimide. The polymer layer 436 is photosensitive preferentially, then lithography can be used to pattern said polymer layer 436 . Polymer layer 436 has a thickness between 5 micrometers and 50 micrometers, with an optimal thickness between 10 micrometers and 20 micrometers.
[0184] Referring to FIG. 22 l and FIG. 22 m, dicing procedures are used to cut substrate 100 , passivation layer 160 , polymer layer 421 , and polymer layer 436 into multiple semiconductor chips 600 . Said multiple wire-bonding pads 432 on semiconductor chips 600 can be connected to external circuits or power sources through a wire 416 formed by a wire-bonding process. Contact pad 434 can then be connected to a capacitor device 418 with a solder layer 420 , through surface mount technique (SMT), wherein said capacitor device 418 is connected to inductor device 430 through metal layers 140 in integrated circuit 20 . Of course the dicing procedures may be performed after capacitor mounting.
[0185] Manufacturing method and structure 2 of Embodiment 8:
[0186] Continuing from FIG. 22 k and referring to also FIG. 22 n and FIG. 22 o, the inductor 430 and the pads 166 b are between the contact pads 434 and the pads 166 c.
[0187] Referring to FIG. 22 p and FIG. 22 q, dicing procedures are used to cut substrate 100 , passivation layer 160 , polymer layer 421 , and polymer layer 436 into multiple semiconductor chips 600 . Said multiple wire-bonding pads 432 on semiconductor chips 600 can be connected to external circuits or power sources through a wire 416 formed by a wire-bonding process. Contact pad 434 can then be connected to a capacitor device 418 with a solder layer 420 , through surface mount technique (SMT), wherein said capacitor device 418 is connected to inductor device 430 through metal layer 428 or metal layers 140 in integrated circuit 20 . Of course the dicing procedures may be performed after capacitor mounting.
Embodiment 9
[0188] Referring to FIG. 23 a and FIG. 23 b , this embodiment is similar to Embodiment 8, with the only difference being the location of wire-bonding pad 432 and pad 166 a . In Embodiment 8, wire-bonding bad 432 is directly above pad 166 a , but in this embodiment, wire-bonding pad 432 is not directly above pad 166 a . Therefore, the location of wire-bonding pad 432 can be adjusted according to requirement and not limited to the area directly above pad 166 a.
Embodiment 10
[0189] Referring to FIG. 24 a and FIG. 24 b , this embodiment is similar to Embodiment 8 , with the difference being a connecting point 438 of inductor devices revealed by multiple openings 436 a in polymer layer 436 . Connecting point 438 can be connected to external circuits or power sources using a wire 416 made by a wire-bonding process.
Embodiment 11
[0190] Referring to FIG. 25 a , integrated circuit 20 represents all structures below passivation layer 160 . Also included in integrated circuit 20 is substrate 100 , devices 110 , 112 , 114 , first dielectric layer 150 , metal layers 140 , second dielectric layer 155 , metal contact 120 , and metal via 130 , wherein multiple passivation layer openings 165 a in passivation layer 160 reveal multiple pads 166 a , 166 b , and 166 c (Pad 166 a is not labeled in FIG. 25 a , but is in FIG. 25 b ).
[0191] Referring to FIG. 25 b , an adhesion/barrier layer 401 is formed by sputtering on passivation layer 160 and contact pads 166 a , 166 b , and 166 c . The thickness of said adhesion/barrier layer 401 is between 0.1 micrometers and 1 micrometer, with an optimal thickness between 0.3 micrometers and 0.8 micrometers. The material of adhesion/barrier 401 is preferred to be a TiW or Ti or Ti/TiW.
[0192] Referring to FIG. 25 c , a seed layer 402 with a thickness between 0.05 micrometers and 1 micrometers (with an optimal thickness between 0.08 micrometers and 0.7 micrometers) is formed next on adhesion/barrier layer 401 by sputtering. In this embodiment, said seed layer 402 is made of gold preferentially. However, as described above, the material of seed layer 402 varies according to the material of metal layers formed afterwards.
[0193] Referring to FIG. 25 d , photoresist layer 404 is formed on seed layer 402 , through spin coating, exposure and development, photoresist layer 404 is patterned, forming multiple photoresist layer openings 404 a in photoresist layer 404 , which separately reveal portions of seed layer 402 that are over pad 166 a , 166 b , and 166 c.
[0194] Referring to FIG. 25 e , bonding metal layer 406 is formed by an electroplating method on seed layer 402 , which is in photoresist layer opening 404 a . The bonding metal layer 406 consists of materials such as gold, copper, silver, palladium, rhodium, ruthenium, rhenium, or nickel, and may have a single metal layer structure or multiple metal layer structure. The thickness of bonding metal layer 406 is between 1 micrometer and 100 micrometers, with optimal thickness between 1.5 micrometers and 15 micrometers. Layer 406 may be combinations of multiple metal layer structure comprising Cu/Ni/Au, Cu/Au, Cu/Ni/Pd, and Cu/Ni/Pt. In this embodiment, bonding metal layer 406 is preferred to be a single layer made of gold.
[0195] Referring to FIG. 25 f , remove patterned photoresist layer 404 and portions of seed layer 402 and adhesive/barrier layer 401 that are not below metal layer 406 . Seed layer 402 that are made of gold are removed by using solvents containing I 2 , while adhesive/barrier layer 401 is removed by using solvents containing hydrogen peroxide (H 2 O 2 ) if the material of layer 401 is TiW. After removing patterned photoresist layer 404 and portions of seed layer 402 and adhesion/barrier layer 401 that is not under bonding metal layer 406 , said bonding metal layer 406 includes multiple wire-bonding pads 440 and multiple contact pads 442 , wherein a wire-bonding pad 440 and a contact pad 442 are connected through bonding metal layer 406 .
[0196] Referring to FIG. 25 g , a polymer layer 414 is formed by using spin coating on multiple wire-bonding pads 440 , multiple contact pads 442 , and passivation layer 160 .
[0197] Referring to FIG. 25 h, through exposure and development, and O2 plasma ash, polymer layer 444 is patterned with multiple openings 444 a that reveal multiple wire-bonding pads 440 and multiple contact pads 442 . Polymer layer 444 is then cured under a temperature between 150 and 380 degrees Celcius. The material of polymer layer 444 can be chosen from polyimide (PI), benzocyclobutene (BCB), parylene, epoxy-based material, such as epoxy resins or photoepoxy SU-8 provided by Sotec Microsystems of Swiss Renens, or elastomers, such as silicone. If polymer layer 444 is made of polyimide, it is preferred ester-type polyimide. The polymer layer 444 is photosensitive preferentially, then lithography can be used to pattern said polymer layer 444 , and the etching process will be unnecessary. Polymer layer 444 has a thickness between 5 micrometers and 50 micrometers, with an optimal thickness between 10 micrometers and 25 micrometers.
[0198] Referring to FIG. 25 i and FIG. 25 j, dicing procedures are used to cut substrate 100 , passivation layer 160 , and polymer layer 444 into multiple semiconductor chips 600 . Said multiple wire-bonding pads 440 on semiconductor chips 600 can be connected to external circuits or power sources through a wire 416 formed by a wire-bonding process. Contact pad 442 can then be connected to a capacitor device 448 with a solder layer 420 , through surface mount technique (SMT), wherein said capacitor device 448 is connected to inductor device 448 through metal layers 140 in integrated circuit 20 . FIG. 25 j is a cross section view of FIG. 25 k from horizontal line 2 - 2 . Of course the dicing procedures may be performed after capacitor mounting.
[0199] Embodiment 10 and Embodiment 11 can be used in devices that step-up voltage as shown in circuit diagrams of FIG. 26 and FIG. 27 . In FIG. 26 , power source input 2240 is connected to inductor 2320 , inductor 2320 is connected to capacitor 2310 through transistor 2114 d , voltage feedback device 2112 is connected to power output 2110 , and switch controller 2114 a is connected to voltage feedback device 2112 and a switch transistor 2114 b. When power enters through power input 2240 , switch controller 2114 a receives the voltage signal of voltage feedback device 2112 and controls the on and off timing of switch transistor 2114 b , pumping up the voltage level of power source output 2110 . Inductor 2320 together with capacitor 2310 , voltage feedback device 2112 , switch transistor 2114 b and transistor 2114 d form an on-chip voltage regulator or converter with the previous described manufacture processes.
[0200] The difference between FIG. 27 and FIG. 26 is that the circuit diagram of FIG. 27 is made of multiple inductors 2320 , capacitor 2310 , switch transistor 2114 g , switch transistor 2114 i , transistor 2114 h and transistor 2114 f. Switch controller 2114 a is used to receive the voltage signal of voltage feedback device 2112 and control the duty cycle and phase of switch transistor 2114 g , and switch transistor 2114 i and therefore pumping up the voltage level of power output 2110 . In comparison to the circuit diagram of FIG. 26 , the circuit diagram of FIG. 27 can be more accurately and efficiently to regulate the output voltage.
[0201] From the description above, it can be known that the present invention discloses a semiconductor chip and its application circuit, wherein in the passive and active devices are integrated with the semiconductor chip, so that the signal path between the two types of devices has minimal distance, therefore enabling fast and effective voltage regulation and also decreasing circuit routing area on the PCB. Most importantly, the reaction time of each device is decreased, increasing the performance of electronic device without increasing cost.
[0202] While this invention has been described in terms of the above specific embodiment(s), those skilled in the art will recognize that the invention can be practiced with modifications within the spirit and scope of the appended claims, i.e. that changes can be made in form and detail, without departing from the spirit and scope of the invention. Accordingly all such changes come within the purview of the present invention and the invention encompasses the subject matter of the claims which follow. | The present invention reveals a semiconductor chip structure and its application circuit network, wherein the switching voltage regulator or converter is integrated with a semiconductor chip by chip fabrication methods, so that the semiconductor chip has the ability to regulate voltage within a specific voltage range. Therefore, when many electrical devices of different working voltages are placed on a Printed Circuit Board (PCB), only a certain number of semiconductor chips need to be constructed. Originally, in order to account for the different demands in voltage, power supply units of different output voltages, or a variety of voltage regulators need to be added. However, using the built-in voltage regulator or converter, the voltage range can be immediately adjusted to that which is needed. This improvement allows for easier control of electrical devices of different working voltages and decreases response time of electrical devices. | 98,146 |
TECHNICAL FIELD
The present invention relates to an object detection frame display apparatus and an object detection frame display method, and in particular to art for displaying an object detection frame such as a face recognition frame in a display in an imaging apparatus such as a digital camera.
BACKGROUND ART
In recent years, some imaging apparatuses such as digital cameras are configured to detect from the image being captured the region of a person or a face and to display the region surrounded by a frame (hereinafter, called an object detection frame) (refer to, for example, Patent Literature (hereinafter, abbreviated as “PTL”) 1).
Displaying an object detection frame enables a user to instantaneously judge where in the image of a subject a target such as a person or face (hereinafter sometimes called a detection target object) is located, and allows the user to smoothly perform an operation such as disposing the target in the center of the image being captured. In an imaging apparatus that performs automatic focus (AF) or automatic exposure (AE) control at a surrounded target, the user can also verify the region in which the focus point or exposure is adjusted, based on the object detection frame.
In this case, of course, displaying of an object detection frame requires art for detecting an object. PTL 2 describes art for detecting a face in an image being captured. In PTL 2, an indicator value (score) of similarity between sample face images determined by pre-learning and the image to be captured is calculated, and an image region in which the indicator value is at least a threshold is detected as a candidate region for a face image. Actually, because a plurality of candidate regions are detected in the area surrounding the same face image, that is, because a candidate region group is detected, in PTL 2, further threshold judgment of these candidate regions is performed to integrate candidate regions of one and the same face image.
Combining the object detection frame described in PTL 1 and the object detection described in PTL 2, the following object detection window display processing is performed.
Specifically, first, raster scanning of the input image using an object detector forms object detection frame candidates around a target object. Next, integrating object detection frame candidates in proximity to one another forms and displays the ultimate integrated frame. Specifically, grouping is done while using the scores and the like of detection frame candidates, and grouped detection frame candidates in proximity to one another are integrated and displayed. As a result, an object detection frame surrounding the target object (ultimate integrated frame) is displayed.
CITATION LIST
Patent Literatures
PTL 1
Japanese Patent Application Laid-Open No. 2005-286940
PTL 2
Japanese Patent Application Laid-Open No. 2007-188419
SUMMARY OF INVENTION
Technical Problem
However, if a plurality of detection target objects exist in proximity to one another within an image to be captured, it is difficult to form and display the ultimate integrated frame at the proper position because the overlapping between the object detection frame candidates becomes large.
Specifically, if a plurality of detection target objects exist in proximity to one another within an image to be captured, the ultimate integrated image is not separated, and the ultimate integrated frame is formed and displayed between the plurality of detection target objects. Accordingly, so that the ultimate integrated frame cannot contain the detection target object and does not look good in this case.
FIGS. 1A to 1D show a specific example of this case. FIGS. 1A to 1D show time-sequence images of substantially the same position captured in the sequence FIGS. 1A , 1 B, 1 C, and then 1 D. The object detection frame display apparatus detects two persons in the image to be captured. The rectangular frames shown in the drawing by thin lines are object detection frame candidates, and the rectangular frames shown by thick lines are the ultimate integrated frames. What is actually displayed is the image to be captured and the ultimate integrated frame superimposed thereover, and the object detection frame candidates can either be displayed or not be displayed.
FIGS. 1A and 1D are cases in which separation of the ultimate integrated frame is successful. In these successful cases, the displayed ultimate integrated frame contains each of the persons that are the detection targets. FIGS. 1B and 1C are cases in which separation of the ultimate integrated frame fails, where the ultimate integrated frame is displayed between the two persons. In these failure cases, the ultimate integrated frame cannot contain the persons that are the detection targets. Thus, as can be seen from FIGS. 1B and 1C , the ultimate integrated frame does not look good in relationship with the detection target objects.
One method for solving the above-noted problem is to devise an appropriate integration algorithm for use when forming the ultimate integrated frame. This, however, has the problem of making the algorithm complex, which increases the amount of processing and makes the configuration complex.
The present invention has been made in consideration of the above-noted points, and aims at providing an object detection frame display apparatus and an object detection frame display method each being capable of displaying an object detection frame easily viewable by a user, with a relatively small amount of processing.
Solution to Problem
An object detection frame display apparatus according to an aspect of the present invention includes: an object detection frame computation section that determines first object detection frames each indicating a region of a detection target object from an input image, and that further determines a second object detection frame by integrating the first object detection frames analogically inferred to be object detection frames related to the same detection target object; a containment frame computation section that determines, for each of the second object detection frames, a third object detection frame containing the first object detection frames serving as a basis for determining the second object detection frame; a display frame forming section that forms an object detection frame to be displayed, based on a relationship of a size of the second object detection frame with respect to a size of the third object detection frame; and a display section that displays the object detection frame formed by the display frame forming section.
An object detection frame display method according to an aspect of the present invention includes: an object detection frame computation step of determining first object detection frames each indicating a region of a detection target object from an input image, and further determining a second object detection frame by integrating the first object detection frames analogically inferred to be object detection frames related to the same detection target object; a containment frame computation step of determining, for each of the second object detection frames, a third object detection frame containing the first object detection frames serving as a basis for determining the second object detection frame; and a display frame formation step of forming an object detection frame to be displayed, based on a relationship of a size of the second object detection frame with respect to a size of the third object detection frame.
Advantageous Effects of Invention
According to the present invention, an object detection frame easily viewable by a user can be displayed with a relatively small amount of processing.
BRIEF DESCRIPTION OF DRAWINGS
FIGS. 1A to 1D are diagrams showing an example of how object detection frames with poor appearance is displayed because of not-separated object detection frames;
FIG. 2 is a block diagram showing the configuration of an object detection frame display apparatus of Embodiment 1;
FIG. 3 is a diagram provided to describe a third object detection frame (containment frame);
FIGS. 4A and 4B are diagrams showing the processing by a plural object existence estimation section and a display frame forming section;
FIG. 5 is a flowchart showing the processing procedure of the object detection frame display apparatus of Embodiment 1;
FIGS. 6A to 6C are diagrams showing the object detection frame forming processing according to Embodiment 1 in an easily understandable manner;
FIGS. 7A to 7D are diagrams showing display examples of object detection frames according to Embodiment 1;
FIG. 8 is a block diagram showing the configuration of an object detection frame display apparatus of Embodiment 2;
FIGS. 9A and 9B are diagrams showing the integration processing performed by a display frame integration section;
FIG. 10 is a flowchart showing the processing procedure of the object detection frame display apparatus of Embodiment 2;
FIGS. 11A to 11C are diagrams showing object detection frame forming processing according to Embodiment 2 in an easily understandable manner;
FIGS. 12A to 12D are diagrams showing a display example of an object detection frame according to Embodiment 2;
FIG. 13 is a block diagram showing the configuration of an object detection frame display apparatus of Embodiment 3;
FIGS. 14A and 14B are diagrams provided to describe object detection frame forming processing performed by a display frame forming section of Embodiment 3;
FIGS. 15A to 15C are diagrams provided to describe object detection frame forming processing performed by the display frame forming section of Embodiment 3, in particular describing the processing when the number of determined object detection frames does not coincide with the number of object-detection-frame candidate positions; and
FIGS. 16A to 16C are diagrams showing object detection frame forming processing according to Embodiment 3 in an easily understandable manner.
DESCRIPTION OF EMBODIMENTS
Embodiments of the present invention will be described below in detail with references made to the drawings.
Embodiment 1
FIG. 2 shows the configuration of an object detection frame display apparatus in Embodiment 1 of the present invention. Object detection frame display apparatus 100 is provided in, for example, a digital camera, an in-vehicle navigation apparatus, or a surveillance camera system.
Object detection frame display apparatus 100 inputs an image to image input section 101 . The input image is, for example, an image that is captured by a digital camera, an in-vehicle navigation apparatus, or a surveillance camera system. Image input section 101 outputs the input image to display section 110 and object detection frame computation section 102 .
Object detection frame computation section 102 performs pattern recognition processing of the input image so as to determine first object detection frames (object detection frame candidates) indicating a region of a detection target object, and further integrates first object detection frames that are analogically inferred to be object detection frames related to the same detection target object so as to determine a second object detection frame. Stated differently, object detection frame computation section 102 groups the first object detection frames into a cluster so as to determine a second object detection frame.
The first object detection frames are the frames shown by thin lines in FIGS. 1A to 1D . The second object detection frames are shown by thick lines in FIGS. 1A to 1D .
Specifically, object detection frame computation section 102 , by adopting processing such as described in PTL 2, for example, determines the first object detection frames and the second object detection frame.
The first object detection frames are rectangles surrounding partial image regions that have an indicator value indicating the similarity with the detection target object, which is at least a threshold value. The first object detection frames are so-called object detection frame candidates, and actually a plurality of candidates in the area surrounding the detection target object are determined.
Next, object detection frame computation section 102 sets each region surrounded by a first object detection frame (each candidate region) as a candidate region of interest. If, among candidate regions other than the candidate regions of interest, there is a nearby candidate region having a coordinate distance from the candidate region of interest that is not greater than a prescribed distance, object detection frame computation section 102 sets the candidate region of interest and the nearby candidate region as one candidate group. Next, object detection frame computation section 102 computes an integrated indicator value which reflects the magnitude of the plurality of indicator values, based on the plurality of computed indicator values with respect to the candidate regions forming the candidate group. Next, if the integrated indicator value is at least a second threshold, object detection frame computation section 102 takes an image within a prescribed region on the input image that includes the candidate group for which the integrated indicator value has been computed to be the detection target object image, and forms a second object detection frame that surrounds that image.
The processing performed by object detection frame computation section 102 is not restricted to the above-noted processing. That is, it is sufficient to determine a second object detection frame by detecting image regions having a high similarity with a detection target object image (for example, an image of a person, a face, or a vehicle) so as to form first object detection frames surrounding that image region candidate, and then integrate first object detection frames that are analogically interred to be object detection frames related to the same detection target object. The present invention is not restricted to the method of determining the first object detection frames and the second object detection frame.
Object detection frame computation section 102 outputs position information of the first object detection frames and position information of the second object detection frame to containment frame computation section 103 . Object detection frame computation section 102 outputs position information of the second object detection frame to plural object existence estimation section 104 . The position information of an object detection frame includes information of the rectangular size of the object detection frame (information regarding the size of the rectangle). That is, the position information of an object detection frame is information that can indicate the position of the overall object detection frame. The same is true with regard to the position information of the object detection frames described below.
The containment frame computation section 103 , as shown in FIG. 3 , for each second object detection frame 12 , determines the containment frame that contains first object detection frame 11 serving as the basis for determining the second object detection frame 12 , as third object detection frame 13 . In this case, third object detection frame (containment frame) 13 , as its name implies, may be a frame that contains first object detection frame 11 . Third object detection frame 13 is, for example, the smallest rectangle containing a plurality of first object detection frames 11 . Third object detection frame 13 , for example, is the union set of a plurality of first object detection frames 11 . Containment frame computation section 103 outputs position information of a determined third object detection frame 13 to plural object existence estimation section 104 .
Plural object existence estimation section 104 inputs position information of second object detection frame 12 and position information of third object detection frame 13 , and checks the size of second object detection frame 12 with respect to third object detection frame 13 , using this information. Plural object existence estimation section 104 thus estimates whether or not a plurality of detection target objects exists nearby second object detection frame 12 . Plural object existence estimation section 104 outputs to display frame forming section 105 information of the estimation result indicating whether or not a plurality of objects exist, position information of second object detection frame 12 , and position information of third object detection frame 13 .
Display frame forming section 105 forms an object detection frame to be displayed (hereinafter call a display object detection frame). If display frame forming section 105 receives as input from plural object existence estimation sections 104 estimation result information indicating that a plurality of detection target objects do not exist near second object detection frame 12 , display frame forming section 105 outputs second object detection frame 12 as the display object detection frame. In contrast, if display frame forming section 105 receives as input from plural object existence estimation sections 104 estimation result information indicating that a plurality of detection target objects exist near second object detection frame 12 , display frame forming section 105 forms and outputs a display object detection frame that is an enlarged second object detection frame 12 .
FIGS. 4A and 4B show the processing performed by plural object existence estimation section 104 and display frame forming section 105 . The thin dotted lines in the drawing indicate second object detection frames 12 , the coarse dotted lines indicate third object detection frames 13 , and the solid lines indicate display object detection frames 14 .
FIG. 4A (upper row) shows examples of second object detection frame 12 and third object detection frame 13 input to plural object existence estimation section 104 . The drawing shows four examples. FIG. 4B (lower row) shows display object detection frames 14 that are formed by display frame forming section 105 .
As shown in the drawing, the vertical and horizontal lengths of third object detection frame 13 are taken to be A_H and A_W, respectively, and the vertical and horizontal lengths of second object detection frames 12 are taken to be B_H and B_W, respectively.
Taking the distance thresholds to be TH_H and TH_W, if the condition |A_H−B_H|>TH_H or the condition |A_W−B_W|TH_W is satisfied, plural object existence estimation section 104 judges that a plurality of second object detection frames 12 exist nearby.
If the relationship between second object detection frame 12 and third object detection frame 13 satisfies the above-noted condition, display frame forming section 105 forms display object detection frame 14 with its center at the center position of second object detection frame 12 and having a vertical length of (A_H++B_H)/2 and a horizontal length of (A_W+B_W)/2. The size of display object detection frame 14 is not restricted to this, and it is sufficient if the size of display object detection frame 14 be equal to or greater the size of second object detection frame 12 but not greater than the size of third object detection frame 13 .
In FIGS. 4A and 4B , the leftmost example shows the case in which plural object existence estimation section 104 estimates that a plurality of objects does not exist near second object detection frame 12 . In this case, as shown in the leftmost example of FIG. 4A , the difference between the sizes of second object detection frame 12 and third object detection frame 13 does not exceed the threshold, and display frame forming section 105 outputs second object detection frame 12 as display object detection frame 14 , as shown in the leftmost example in FIG. 4B .
In contrast, the three examples in FIGS. 4A and 4B other than the leftmost example show cases in which plural object existence estimation section 104 estimates that a plurality of objects exists near second object detection frame 12 . In this case, as shown in the examples other than the leftmost example in FIG. 4A , the difference between the sizes of second object detection frame 12 and third object detection frame 13 exceeds the threshold (in the second example from the left, the difference in the horizontal lengths is greater the threshold, in the third example from the left, the difference in the vertical lengths is greater the threshold, and in the fourth example from the left the differences in both the horizontal and vertical lengths are greater the threshold), and display frame forming section 105 forms display object detection frame 14 between second object detection frame 12 and third object detection frame 13 , as shown in examples other than the leftmost examples of FIG. 4A . More specifically, the display object detection frame 14 is larger than second object detection frame 12 and not larger than third object detection frame 13 .
Display section 110 superimposes and then displays display object detection frame 14 received as input from display frame forming section 105 on the captured image received as input from image input section 101 .
FIG. 5 is a flowchart showing the procedure of object detection frame display apparatus 100 . At step ST 1 , object detection frame display apparatus 100 inputs an image to image input section 101 . At the following step ST 2 , object detection frame computation section 102 computes first object detection frames (object detection frame candidates) 11 . At the following step ST 3 , object detection frame computation section 102 computes second object detection frame 12 by integrating first object detection frames 11 . At the following step ST 4 , containment frame computation section 103 computes third object detection frame (containment frame) 13 . At the following step ST 5 , plural object existence estimation section 104 estimates, from the relationship between the sizes of second object detection frame (integrated frame) 12 and third object detection frame (containment frame) 13 , whether or not a plurality of detection target objects exist near second object detection frame 12 .
If an estimation result is obtained indicating the existence of a plurality of detection target objects near second object detection frames 12 (YES at step ST 5 ), object detection frame display apparatus 100 transitions to step ST 6 display frame forming section 105 forms a display object detection frame 14 having a shape that is an enlargement of second object detection frame 12 , and at the following step ST 7 , object detection frame display apparatus 100 causes display section 110 to display this object detection frame 14 along with the captured image.
In contrast, if an estimation result is obtained indicating the nonexistence of a plurality of detection target objects near second object detection frame 12 (NO at step ST 5 ), object detection frame display apparatus 100 transitions to step ST 7 and causes display section 110 to display second object detection frame 12 along with the captured image.
FIGS. 6A to 6C show the relationship between a detection target object (persons in the example shown) and each object detection frame in an easily understandable manner. In FIGS. 6A to 6C , the drawings in the upper row show the relationship between detection target objects, second object detection frames (integrated frames) 12 , and third object detection frames (containment frames) 13 . The drawings in the lower row show the relationship between detection target object and the ultimately displayed display object detection frame 14 .
The example shown in FIG. 6A shows the ideal situation, in which second object detection frames 12 respectively surround persons, properly, in which case, as shown in the lower row, second object detection frames 12 are displayed as display object detection frames 14 as is.
The example shown in FIG. 6B shows the situation in which, because of an improper second object detection frame 12 , there are persons spilling outside of second object detection frame 12 , in which case, as shown in the lower row, display object detection frame 14 formed by enlarging second object detection frame 12 is displayed. This enables persons spilling outside of second object detection frame 12 if displayed as is to be surrounded by display object detection frame 14 . Second object detection frame 12 being improper is judged from the size of second object detection frame 12 with respect to the size of third object detection frame 13 being not greater than a threshold.
The example shown in FIG. 6C is an example in which although the left-side second object detection frame 12 - 1 is proper, the right-side second object detection frame 12 - 2 is improper. In this case, as shown in the lower row, the left-side second object detection frame 12 - 1 is displayed as display object detection frame 14 - 1 as is, and the right-side second object detection frame 12 - 2 is displayed enlarged as display object detection frame 14 - 2 . This enables persons spilling outside of right-side second object detection frame 12 - 2 if displayed as is to be surrounded by display object detection frame 14 - 2 . Right-side second object detection frame 12 - 2 being improper is judged from the size of the right-side second object detection frame 12 - 2 with respect to the size of the right-side third object detection frame 13 - 2 being not greater than a threshold.
FIGS. 7A to 7D show example images displayed by the object detection frame display apparatus of the present embodiment. FIGS. 7A to 7D show time-sequence images of substantially the same position captured in the sequence FIGS. 7A , 7 B, 7 C, and then 7 D. Object detection frame display apparatus 100 detects two persons in the image to be captured. The rectangles shown in the diagrams by thin lines are first object detection frames 11 , and the rectangles shown by thick lines are ultimate integrated frames 14 ultimately displayed by the present embodiment.
Comparing FIGS. 7A to 7D , which are display examples in the present embodiment, with FIGS. 1A to 1D that show conventional display examples, in the time-sequence images of FIGS. 7A and 7D , because separation of second object detection frames 12 succeeds, similar to the time sequence of FIGS. 1A and 1D , the second object detection frames (described as the ultimately integrated frames in the description of FIGS. 1A to 1D ) are displayed as object detection frames 14 as is.
In contrast, in the time-sequence images of FIGS. 7B and 7C , because separation of second object detection frame 12 fails (refer to FIGS. 1B and 1C ), object detection frame 14 , which is an enlargement of second object detection frame 12 , is displayed. Because display object detection frame 14 contains the two persons, which are the detection target objects, without spilling outside, compared with second object detection frame (ultimately integrated frame) 12 displayed as shown in FIGS. 1B and 1C , display object detection frame 14 looks good and is easily viewable.
As described above, according to the present embodiment, there are provided: object detection frame computation section 102 that performs pattern recognition processing of the input image so as to determine first object detection frames 11 indicating a region of a detection target object, and that further integrates first object detection frames 12 that are analogically inferred to be object detection frames related to the same detection target object so as to determine a second object detection frame 12 ; containment frame computation section 103 that, for each second object detection frame 12 , determines third object detection frame 13 that contains first object detection frame 11 serving as the basis for determining second object detection frame 12 ; and display frame forming section 105 that forms object detection frame 14 to be displayed based on the relationship of the size of second object detection frame 12 with respect to the size of third object detection frame 13 .
Doing the above, because display frame forming section 105 can form object detection frame 14 that is an enlargement of second object detection frame 12 , even if the separation of second object detection frame 12 in object detection frame computation section 102 fails, object detection frame 14 which looks good and is easily viewable can be displayed.
In addition, when the configuration of the present embodiment is adopted, the integration algorithm in object detection frame computation section 102 does not have to be complex, and also, because the amount of processing of the added containment frame computation section 103 and display frame forming section 105 need only be relatively small, the increase in amount of processing is small.
Embodiment 2
In FIG. 8 , parts corresponding to those in FIG. 2 are assigned the same reference signs, and the configuration of object detection frame display apparatus 200 of the present embodiment is illustrated. Object detection frame display apparatus 200 as shown in FIG. 8 includes display frame integration section 201 in addition to the configuration of object detection frame display apparatus 100 of FIG. 2 .
Display frame integration section 201 receives, as input, position information of an object detection frame formed by display frame forming section 105 . As a specific example, display frame integration section 201 receives, as input, position information of a second object detection frame (including an enlarged second object detection frame) from display frame forming section 105 .
Display frame integration section 201 detects second object detection frames that satisfy a condition in which a mutual distance between frames is not greater than a first threshold and a mutual ratio of sizes of the frames is not greater than a second threshold. Display frame integration section 201 then integrates the detected second object detection frames, and forms and outputs to display section 110 a display object detection frame that contains a plurality of second object detection frames satisfying the condition. In contrast, display frame integration section 201 outputs second object detection frames that do not satisfy the above-noted condition as is to display section 110 without integrating them. In this case, the reason for adding “a mutual ratio of sizes of the frames is not greater than a threshold” to the integration condition is that, for example, even though there are cases in which a detection frame of a person toward the foreground in the screen and a detection frame of a person toward the background in the screen should not be integrated, if the integration conditions are only the detection frame distance threshold, there is a risk that these detection frames will be integrated. By adding the size threshold, because the frame of a person toward the foreground in a frame is large and the frame of a person toward the background in the frame is small, the ratio of the sizes of the detection frames should be larger than a threshold, thereby preventing an improper integration. In the following, to simplify the description, the description will mainly be provided for the case of using only the distance threshold as an integration condition.
Display frame integration section 201 may, for example, integrate second object detection frames in which regions are mutually partially overlapping. This case corresponds to a case where the above-noted distance threshold is zero. The threshold is not a restriction, however, and the setting can be made as is appropriate.
FIGS. 9A and 9B show how the integration processing is performed by display frame integration section 201 . If, as shown in FIG. 9A , the distance between second object detection frames 12 output from display frame forming section 105 does not exceed the threshold, second display frame integration section 201 , as shown in FIG. 9B , integrates second object detection frames 12 having a distance not exceeding the threshold, and forms object detection frame 15 surrounding second object detection frames 12 . Object detection frame 15 is displayed on display section 110 . In FIG. 9B , for the sake of convenience, although frames other than object detection frame 15 displayed by frame integration section 201 are shown, the object detection frame displayed on display section 110 in FIG. 9B is only object detection frame 15 .
FIG. 10 is a flowchart showing the processing procedure of object detection frame display apparatus 200 . In FIG. 10 , procedure parts that are the same as in FIG. 5 are assigned the same reference signs as in FIG. 5 . The procedure parts that differ from FIG. 5 are described below.
At step ST 6 , when display frame forming section 201 forms display object detection frame 14 having a shape that is an enlargement of second object detection frame 12 , object detection frame display apparatus 200 proceeds to step ST 10 . At step ST 10 , display frame integration section 201 makes the above-noted distance judgment with regard to each second object detection frame 12 (including enlarged second object detection frame 14 ), so as to judge whether or not the object detection frames should be integrated.
In this case, display frame integration section 201 obtains a negative result at step ST 10 (NO at step ST 10 ) for second object detection frames 12 and 14 having a distance that is larger than the threshold, and outputs second object detection frames 12 and 14 as is to display section 110 without integrating the frames. By doing this, second object detection frames 12 and 14 are displayed as is at step ST 7 .
In contrast, display frame integration section 201 obtains a positive result at step ST 10 (YES at step ST 10 ) for second object detection frames 12 and 14 having a distance that is not greater than the threshold, and transitions to step ST 11 . At step ST 11 , by integrating second object detection frames 12 and 14 having a distance that is not greater than the threshold, display frame integration section 201 forms object detection frame 15 that contains the frames, and outputs the integrated object detection frame 15 to the display section. By doing this, second object detection frame 15 that is integrated at step ST 7 is displayed.
FIGS. 11A to 11C are diagrams showing object detection frames displayed by the present embodiment, in an easily understandable manner. In comparison with FIGS. 6A to 6C described in Embodiment 1, because the characteristics of the object detection frames displayed in the present embodiment are well understood, in the following the differences with respect to FIGS. 6A to 6C will be described.
In the case, such as in the example shown in FIG. 11A , in which case second object detection frames 12 such as shown in the upper row are obtained by object detection flame computation section 102 , because the distances of these object detection frames 12 do not exceed the threshold, display frame integration section 201 integrates these object detection frames 12 , thereby forming and causing display of object detection frame 15 such as shown in the lower row.
In the case, such as in the example shown in FIG. 11B , in which case second object detection frame 12 such as shown in the upper row is obtained by object detection frame computation section 102 , as described regarding Embodiment 1, second object detection frame 12 is enlarged by display frame forming section 105 and is taken as object detection frame 14 . When this is done, because there is no object detection frame having a distance from object detection frame 14 that does not exceed the threshold, object detection frame 14 is not integrated, and is displayed as shown in the lower row.
In the case, such as in the example shown in FIG. 11C , in which case second object detection frames 12 such as shown in the upper row are obtained by object detection frame computation section 102 , as described regarding Embodiment 1, second object detection frame 12 is enlarged by display frame forming section 105 and is taken as object detection frame 14 . When this is done, because the distances of the plurality of object detection frames 14 do not exceed the threshold, the plurality of object detection frames 14 are made into the integrated object detection frame 15 as shown in the lower row and displayed.
FIGS. 12A to 12D show examples of images displayed by the object detection frame display apparatus 200 of the present embodiment. FIGS. 12A to 12D show time-sequence images of substantially the same position captured in the sequence FIGS. 12A , 12 B, 12 C, and then 12 D. The frames shown by thin lines in the drawing are first object detection frames 11 , and the rectangular frames shown by thick lines are object detection frames 15 ultimately displayed in the present embodiment.
Comparing FIGS. 12A to 12D , which are display examples in the present embodiment, with FIGS. 7A to 7D , which are display examples in Embodiment 1, in the time-sequence images in FIGS. 12A and 12D , object detection frames having a distance that does not exceed the threshold are integrated and displayed as object detection frame 15 . In the time-sequence images in FIGS. 12B and 12C , because there is no frame having a distance that does not exceed the threshold, object detection frame 14 is not integrated and is displayed as object detection frame 15 as is.
As described above, according to the present embodiment, in addition to the configuration of Embodiment 1, by providing display frame integration section 201 that integrates close second object detection frames 12 and 14 , in addition to the effect of Embodiment 1, increases in variation in the number of object detection frames 15 that are displayed in a time-sequence image can be prevented, enabling a more easily viewable display of object detection frame 15 .
That is, although by adopting the configuration of Embodiment 1, it is possible to form an object detection frame from which there is no extreme spillover of detected objects, the number of object detection frames may vary frequently such as two or one in the same object region in time-sequence images. Adopting the configuration of the present embodiment prevents such variation, and in time-sequence images, prevents increases in variation in the number of object detection frames for the same detected object.
Also, although a similarity in size (that is, with a ratio between mutual sizes that does not exceed the threshold) accompanied by overlap (that is, with a mutual distance that does not exceed a threshold) might cause flicker, the problem of flicker is eliminated because integration eliminates such object detection frames.
Embodiment 3
In FIG. 13 , parts corresponding to those in FIG. 2 are assigned the same reference signs, and the configuration of object detection frame display apparatus 300 of the present embodiment is illustrated. In object detection frame display apparatus 300 in FIG. 13 , compared with object detection frame display apparatus 100 of FIG. 2 , display frame forming section 301 differs in configuration from display frame forming section 105 .
If estimation result information indicating that a plurality of detection target objects do not exist near second object detection frame 12 is received as input from plural object existence estimation section 104 , display frame forming section 301 outputs second object detection frame 12 as the display object detection frame. In contrast, if estimation result information indicating that a plurality of detection target objects exist near second object detection frame 12 is received as input from plural object existence estimation section 104 , display frame forming section 301 forms a plurality of second object detection frames as display object detection frames within third object detection frame 13 .
Stated differently, when the size of second object detection frames 12 in relationship to the size of third object detection frame 13 is less than a threshold, display frame forming section 301 forms and displays a plurality of object detection frames within third object detection frame 13 .
In the case of the present embodiment, based on the ratio of the size of second object detection frames 12 with respect to the size of third object detection frame 13 , display frame forming section 301 determines the number of display object detection frames to form within third object detection frame 13 .
The processing performed by display frame forming section 301 of the present embodiment forming object detection frames will be described using FIGS. 14A and 14B . The thin dotted lines in the drawings indicate second object detection frame 12 , the thick dotted lines indicate third object detection frames 13 , and the solid lines indicate display object detection frames 16 .
(1) Determination of the Number of Object Detection Frames 16 :
The number of display object detection frames 16 to be formed is determined by making a threshold judgment of the ratio of surface areas between third object detection frame 13 and second object detection frame 12 . In this case, as shown in FIG. 14A , the vertical and horizontal lengths of third object detection frame 13 are taken, respectively, to be A_H and A_W and the vertical and horizontal lengths of second object detection frame 12 are taken, respectively, to be B_H and B_W. Given this, the surface area ratio R is (A_W×A_H)/(B_W×B_H). The number of display object detection frames 16 to be displayed is determined by comparing this surface area ratio to a prescribed threshold. For example, thresholds TH1, TH2, TH3, and TH4 are set so as to satisfy the condition TH1>TH2>TH3>TH4. Then, the determination may be made so that the number of object detection frames 16 is one if TH1<R, two if TH1≧R>TH2, three if TH2≧R>TH3, and four if TH3≧R>TH4. FIG. 14B shows an example in which the number of display object detection frames 16 is two.
(2) Size of Object Detection Frame 16 :
The size of object detection frame 16 is such that the vertical and horizontal lengths are, respectively, B_H and B_W. That is, the size of each object detection frame 16 is the same size as second object detection frame 12 . Stated differently, each object detection frame 16 is a copy of second object detection frame 12 .
(3) Position of Object Detection Frame 16 :
If the position of each object detection frame 16 is X=(A_W/(B_W) and Y=(A_H)/(B_H), the horizontal A_W and vertical A_H of third object detection frame 13 have, respectively, center positions that are equally divided by X+1 and Y+1. The example shown in FIG. 14B is a case where X=2 and Y=1, in which object detection frames 16 having center positions of A_W and A_H that are equally divided by 2+1 (i.e., 3) and 1+1 (i.e., 2).
There are cases in which the determined number of object detection frames 16 does not coincide with the number of positions of object detection frames 16 . Specifically, although there is no problem when detection objects are close to one another in the horizontal direction or the vertical direction, there may be cases in which the above-noted difference in numbers occurs when detection objects are close to one another in vertical and horizontal directions. The reasons for this and countermeasures are described below, using FIGS. 15A to 15C .
FIG. 15A is the case in which the determined number of object detection frames 16 and the number of positions of object detection frames 16 coincide, in which case there is no problem. In contrast, in the example shown in FIG. 15B , the problem of whether to make the number of object detection frames 16 three or four arises (it is actually desirable to determine this as three).
Given this, as a countermeasure in the present embodiment, the positions of A_W and A_H are first divided equally by X+1 and Y+1, respectively and taken as the candidate center points of the object detection frames 16 to be ultimately displayed. If the number of candidate points coincides with the determined object detection frames 16 having the candidate points as center positions are formed and displayed as is.
In contrast, if the number of object detection frames determined by the above-noted surface area ratio is fewer than the number of candidate points, the overlap between regions of the object detection frames 16 having centers at the candidate points and a region of a first object detection frame 11 serving as the basis for determining third object detection frame 13 is determined, with selection being made in the sequence of decreasing size of overlapping regions. In this case, the region of first object detection frame 11 serving as the basis for determining third object detection frame 13 is, as shown in FIG. 15C , the union set region of a plurality of first object detection frames 11 serving as the basis for determining third object detection frame 13 .
Considering the examples shown in FIGS. 15B and 15C , comparing with object detection frames 16 - 2 , 16 - 3 , and 16 - 4 formed with centers at candidate points K2, K3, and K4, because object detection frame 16 - 1 formed with its center point at candidate point K1 has an overlap with the shaded region in FIG. 15C that is small, object detection frame 16 - 1 , which is formed with its center at candidate point K1, may be removed from the object detection frames ultimately displayed. Doing this enables the ultimately displayed frames to be made to coincide with the number of object detection frames determined by the surface area ratio, and also enables proper candidate points to be left from among a plurality of candidate points, so as to form object detection frames 16 - 2 , 16 - 3 , and 16 - 4 (refer to FIG. 15B ).
FIGS. 16A to 16C show object detection frames 16 that is displayed in the present embodiment. In comparison with FIGS. 16A to 16C described with regard to Embodiment 1, because the characteristics of the object detection frame 16 displayed by the present embodiment are well understood, in the following the differences with respect to FIGS. 6A to 6C will be described.
In the case, such as in the example shown in FIG. 16A , in which second object detection frames 12 such as shown in the upper row are obtained by object detection frame computation section 102 , because the sizes of second object detection frames 12 in relation to the size of third object detection frames 13 is such that it is at least the threshold, second object detection frames 12 are displayed as display object detection frames 16 as is, as shown in the lower row.
In the case, such as in the example shown in FIG. 16B , in which second object detection frames 12 such as shown in the upper row are obtained by object detection frame computation section 102 , because the size of second object detection frames 12 in relation to the size of third object detection frame 13 is less than the threshold, a plurality of object detection frames 16 are formed within third object detection frame 13 .
In the case, such as shown in FIG. 16C , in which second object detection frames 12 such as shown in the upper row are obtained by object detection frame computation section 102 , the size of the left-side second object detection frame 12 - 1 in relationship to third object detection frame 13 - 1 is at least the threshold, and the size of the right-side second object detection frame 12 - 2 in relationship to third object detection frame 13 - 2 is less than the threshold. Thus, the left-side second object detection frame 12 - 1 is displayed as display object detection frame 16 as is, and the right-side second object detection frame 12 - 2 is formed and display as a plurality of object detection frames 16 within the third object detection frame 13 - 2 .
As described above, according to the present embodiment, in addition to the configuration of Embodiment 1, when the size of second object detection frame 12 is less than a threshold in relationship to the size of third object detection frame 13 , display frame forming section 301 forms a plurality of object detection frames 16 within third object detection frame 13 . Additionally, the number of display object detection frames 16 to be formed within third object detection frame 13 is determined based on the ratio of size of second object detection frame 12 with respect to the size of third object detection frame 13 .
Because, in addition to achieving the effect of Embodiment 1, this enables limiting increases in variation in the number of object detection frames 16 that are displayed in a time-sequence image, it is possible to display more easily viewable object detection frames 16 .
The configuration elements in object detection frame display apparatuses 100 , 200 , and 300 in the above-described embodiments, other than image input section 101 and display section 110 , can be formed by a computer such as a personal computer including memory and a CPU. The functions of each configuration element can be implemented by a CPU reading and executing a computer problem stored in memory.
The disclosure of Japanese Patent Application No. 2011-130200, filed on Jun. 10, 2011; including the specification, drawings and abstract, is incorporated herein by reference in its entirety.
INDUSTRIAL APPLICABILITY
The present invention is suitable for use in performing image recognition processing of an image captured by, for example, a digital camera or in-vehicle camera.
REFERENCE SIGNS LIST
11 First object detection frame
12 Second object detection frame
13 Third object detection frame
14 , 15 , 16 Display object detection frame
100 , 200 , 300 Object detection frame display apparatus
102 Object detection frame computation section
103 Containment frame computing section
104 Plural object existence estimation section
105 , 301 Display frame forming section
110 Display section
201 Display frame integration section | Provided is an object frame display device ( 100 ) in which: an object detection frame computation unit ( 102 ) derives a first object detection frame which denotes a region of an object to be detected by carrying out a pattern recognition process on an inputted image, and derives a second object detection frame by integrating first object detection frames which are inferred to be object detection frames relating to the same object to be detected; a containment frame computation unit ( 103 ) derives, for each second object detection frame, a third object detection frame which contains the first object detection frame upon which the second object detection frame is based; and a display frame forming unit ( 105 ) forms an object detection frame which is displayed on the basis of a relation between the size of the second object detection frame and the size of the third object detection frame. | 51,892 |
BACKGROUND OF THE INVENTION
[0001] 1. Field of the Invention
[0002] The present invention relates to a reaction device incorporating a carbon monoxide remover to remove carbon monoxide by oxidizing it and a vaporizer to vaporize fuel and water, and relates to an electronic device.
[0003] 2. Description of Related Art
[0004] In recent years, a fuel cell has attracted attention as a clean power source having high energy conversion efficiency, and it has been developed to put the fuel cell to practical use, such as a fuel cell powered vehicle and electric home. The fuel cell is a device to generate electrical energy by an electrochemical reaction of hydrogen and oxygen, and a reaction device to generate hydrogen from a mixture gas of a fuel and water is connected to such fuel cell. For example, a reaction device (30) described in Japanese Patent Application Laid-Open Publication No. 2001-118595 includes combustors (50) and (51) each mounted in a ring shape, a vaporizer (35) installed above the combustors (50) and (51), reformers (21) and (32) provided in a scroll pattern above the vaporizer (35), and a carbon monoxide remover (34) communicating with the ends of the reformers (21) and (32) on their peripheral sides. In the reaction device, a heated gas heated by the combustors (50) and (51) flows while touching the outer side of the vaporizer (35) to heat the vaporizer (35). After that, the heated gas flows in a scroll pattern along the reformers (21) and (32) while touching the outer sides of the reformers (21) and (32) to heat the reformers (21) and (32). In the heated vaporizer (35), the fuel and the water are vaporized by being heated, and the mixture gas of the vaporized fuel and water is sent to the reformers (21) and (32). In the reformers (21) and (32), a hydrogen gas, a carbon monoxide gas, and the like, are generated from the fuel and the water, and the generated gases are sent from the reformers (21) and (32) to the carbon monoxide remover (34) In the carbon monoxide remover (34), carbon monoxide is removed by being oxidized. The hydrogen gas obtained by such a way is sent to the fuel cell, and electrical energy can be obtained in the fuel cell.
[0005] On the other hand, the research and development for mounting the fuel cell as a power source have been made also in a cellular phone, a notebook-sized personal computer, and the like, which have been being miniaturized and enhanced in their properties. If the fuel cell is mounted in a small-sized device, such as the cellular phone and the notebook-sized personal computer, not only the fuel cell but also the reaction device must be miniaturized. As a technique to miniaturize the reaction device, for example, there is a technique described in Japanese Patent Application Laid-Open Publication No. 2005-132712, where the reaction device (1) is formed by stacking a carbon monoxide remover (2c), a reformer (2b), and a vaporizer (2a) from the bottom in order. Any of the carbon monoxide remover (2c), the reformer (2b), and the vaporizer (2a) has a flow path formed by joining two substrates on each of which a groove to be the flow path is formed. Moreover, a heating element, which heats by electricity, is provided to each of the carbon monoxide remover (2c), the reformer (2b), and the vaporizer (2a). Moreover, a vacant space is formed between each of the carbon monoxide remover (2c), the reformer (2b), and the vaporizer (2a), which thereby enables to set them at optimum temperatures individually.
[0006] However, in the reaction device (30) described in the Japanese Patent Application Laid-Open Publication No. 2001-118595, the heat generated by the combustors (50) and (51) is transferred to the vaporizer (35) and the reformers (21) and (32) through the medium of the gas, and the heated gas is ejected after the gas further has heated the vaporizer (35) and the reformers (21) and (32). Consequently, heat use efficiency is bad.
[0007] Moreover, in the reaction device (1) described in the Japanese Patent Application Laid-Open Publication No. 2005-132712, the reformer (2b), the carbon monoxide remover (2c), and the vaporizer (2a) are separately heated, and no heat conduction is caused among the reformer (2b), the carbon monoxide remover (2c), and the vaporizer (2a) owing to the vacant spaces formed among them. Consequently, the heat use efficiency is bad.
SUMMARY OF THE INVENTION
[0008] The present invention was devised in order to settle the problems mentioned above.
[0009] The present invention is successful in improving heat use efficiency in a reaction device and an electronic device.
[0010] According to a first aspect of the invention, a reaction device comprises: a carbon monoxide remover to remove carbon monoxide; and a vaporizer to vaporize fuel, provided inside the carbon monoxide remover.
[0011] Preferably, the reaction device further comprises a reformer to reform the fuel vaporized by the vaporizer to generate a reformation product.
[0012] Preferably, the carbon monoxide remover includes a flow path to discharge the fuel vaporized by the vaporizer to an outside of the carbon monoxide remover, and a flow path to take in the reformation product from the reformer.
[0013] Preferably, the carbon monoxide remover is structured by stacking a plurality of plate members and frame members put between each of the plate members, and each plate member located between the frame members among the plate members is provided with a plurality of through holes; and wherein the vaporizer is inserted in the carbon monoxide remover in a stacking direction of the plate members and the frame member.
[0014] Preferably, the vaporizer includes a tube section inserted from an outer surface of the carbon monoxide remover into the inside of the carbon monoxide remover, and a liquid absorbing material to absorb liquid, with which the tube section is filled up.
[0015] Preferably, the reaction device further comprises an electric heater to heat the carbon monoxide remover and the vaporizer, the electric heater being provided inside the carbon monoxide remover.
[0016] Preferably, the reaction device further comprises a combustor to heat the carbon monoxide remover and the vaporizer, the combustor being provided inside the carbon monoxide remover.
[0017] Preferably, the reaction device further comprises a combustor provided around an end of the tube section inside the carbon monoxide remover, wherein the liquid absorbing material is filled up to a position corresponding to the combustor.
[0018] According to a second aspect of the invention, an electronic device comprises: a reaction device according to claim 1 ; a reformer to reform the fuel vaporized by the vaporizer to produce a reformation product; a fuel cell to generate electric power by using the reformation product; and an electronic device main body operating by the electric power supplied from the fuel cell.
BRIEF DESCRIPTION OF THE DRAWINGS
[0019] The present invention will be fully understood by the following detailed description and the attached drawings, but these are only for illustration and are not intended to limit the scope of the present invention, in which:
[0020] FIG. 1 is a block diagram showing a generating device using a reaction device of an embodiment to which the present invention is applied;
[0021] FIG. 2 is a perspective view showing the reaction device of the embodiment, to which the present invention is applied;
[0022] FIG. 3 is an exploded perspective view showing the reaction device in the state of being partially decomposed;
[0023] FIG. 4 is an exploded perspective view showing the main body of the reaction device in the state of being decomposed;
[0024] FIGS. 5A to 5F , 6 A to 6 F, 7 A to 7 F, 8 A to 8 F, 9 A to 9 F, 10 A to 10 F and 11 A to 11 F are bottom views each showing a constituent element of the main body of the reaction device;
[0025] FIG. 12 is a perspective view showing the reaction device in the state of being fractured;
[0026] FIG. 13A is a schematic perspective view showing the main body of the reaction device principally;
[0027] FIG. 13B is a schematic sectional view showing the main body of the reaction device principally;
[0028] FIG. 14 is a diagram showing the routes inside the reaction device;
[0029] FIG. 15 is a diagram showing the routes inside the reaction device;
[0030] FIG. 16 is a perspective view showing a two-stage pipe of a reaction device of a modification; and
[0031] FIG. 17 is a longitudinal sectional view of a reaction device of a second embodiment to which the present invention is applied.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
[0032] In the following, the preferred embodiments for implementing the present invention are described with reference to the attached drawings. However, technically preferable various limitations for implementing the present invention are applied to the embodiments described in the following, but these limitations are not intended to limit the scope of the invention to the following embodiments and the shown examples.
First Embodiment
[0033] FIG. 1 is a block diagram showing the configurations of a reaction device 100 , to which the present invention is applied, and a generating device using the reaction device 100 . The generating device is the one that is equipped in an electronic device, such as a notebook-sized personal computer, a cellular phone, a personal digital assistant (PDA), an electronic personal organizer, a wrist watch, a digital still camera, a digital video camera, a game device, and an amusement machine. The generating device is used as the power source for operating the main bodies of these electronic devices.
[0034] The generating device includes the small-sized reaction device 100 , a fuel cartridge 101 , and a fuel cell type generator cell 102 . Fuel (such as methanol, ethanol, dimethyl ether, butane, or gasoline) and water are reserved in the fuel cartridge 101 in the state of being separate from each other or being mixed with each other. The fuel and the water are supplied to the reaction device 100 in a mixed state with each other by a not-shown micropump.
[0035] The reaction device 100 includes a vaporizer 111 , a reformer 113 , a carbon monoxide remover 115 , a first combustor 119 , and a second combustor 123 .
[0036] The fuel and the water that have been supplied from the fuel cartridge 101 to the reaction device 100 are sent to the vaporizer 111 . The fuel and the water are vaporized in the vaporizer 111 , and a mixture gas of the fuel and the water is sent from the vaporizer 111 to the reformer 113 through a flow path 112 . The vaporization of the fuel and the water in the vaporizer 111 is brought about by the heat absorption of the combustion heat of the first combustor 119 , the reaction heat of the carbon monoxide remover 115 , and the like.
[0037] The reformer 113 produces a hydrogen gas and the like from the vaporized water and the vaporized fuel by a catalytic reaction, and further produces a carbon monoxide gas, although the quantity thereof is infinitesimal. If the fuel is methanol, then the chemical reactions of the following formulae (1) and (2) are caused in the reformer 113 . Incidentally, a reaction of producing hydrogen is a heat absorption reaction, and the combustion heat of the second combustor 123 or the like is used as the heat.
[0000] CH 3 OH+H 2 O→3H 2 +CO 2 (1)
[0000] H 2 +CO 2 →H 2 O+CO (2)
[0038] Reformation products such as the hydrogen gas containing the carbon monoxide produced in the reformer 113 are sent to the carbon monoxide remover 115 , and the air in the outside is further sent to the carbon monoxide remover 115 through a flow path 116 . The carbon monoxide remover 115 selectively removes carbon monoxide by preferentially oxidizing the secondarily produced carbon monoxide with a catalyst. The reaction of oxidizing carbon monoxide is an exothermic reaction. Incidentally, the mixture gas from which the carbon monoxide has been removed is called as a reformed gas.
[0039] The fuel cell type generator cell 102 includes a fuel electrode 102 a , an oxygen electrode 102 b , and an electrolyte film 102 c put between the fuel electrode 102 a and the oxygen electrode 102 b . The reformed gas in the carbon monoxide remover 115 is ejected from the reaction device 100 through a flow path 117 to be supplied to the fuel electrode 102 a of the fuel cell type generator cell 102 , and the external air is further sent to the oxygen electrode 102 b . The hydrogen in the reformed gas that has been supplied to the fuel electrode 102 a then electrochemically reacts with the oxygen in the air supplied to the oxygen electrode 102 b through the electrolyte film 102 c , and thereby electric power is generated between the fuel electrode 102 a and the oxygen electrode 102 b . The electric power output by the fuel electrode 102 a and the oxygen electrode 102 b is standardized through a DC-DC converter 103 , and is output to a load 105 such as the electronic device mentioned above. At this time, a secondary battery 104 may be once charged by the electric power from the fuel cell type generator cell 102 , and the electric power may be output to the load 105 from the secondary battery 104 through the DC-DC converter 103 .
[0040] If the electrolyte film 102 c is an electrolyte film having hydrogen ion permeability (for example, a solid polymer electrolyte membrane), the reaction of the following formula (3) is caused at the fuel electrode 102 a , and the hydrogen ions generated at the fuel electrode 102 a permeate the electrolyte film 102 c to cause the following formula (4) at the oxygen electrode 102 b.
[0000] H 2 →2H + +2 e − (3)
[0000] 2H + +1/2O 2 +2 e→H 2 O (4)
[0041] The remaining hydrogen gas and the like that have not electrochemically reacted at the fuel electrode 102 a are mixed with air. A mixture gas of the hydrogen gas, the air, and the like, is supplied to the first combustor 119 through a flow path 118 , and is supplied to the second combustor 123 through a flow path 122 . The combustors 119 and 123 combust the hydrogen gas by the catalytic reaction. Consequently, combustion heat is produced. Exhaust gas is then ejected to the outside from the second combustor 123 through a flow path 124 . The exhaust gas of the first combustor 119 is sent to the flow path 124 through a flow path 121 , and is further ejected to the outside through the flow path 124 . Incidentally, instead of supplying the hydrogen from the fuel electrode 102 a to the combustors 119 and 123 , a gaseous fuel (such as hydrogen or methanol vapor) may be mixed with air to be separately supplied to the combustors 119 and 123 .
[0042] Next, the concrete configuration of the reaction device 100 is described. FIG. 2 is a perspective view of the reaction device 100 , and FIG. 3 is an exploded perspective view of the reaction device 100 .
[0043] As shown in FIGS. 2 and 3 , the reaction device 100 includes a heat insulating package 130 shaped in a hexahedron box, a reaction device main body 150 housed in the heat insulating package 130 , and a manifold 140 attached on the under surface of the heat insulating package 130 .
[0044] The manifold 140 is the one made by integrally forming a fuel introducing pipe 141 , an air introducing pipe 142 , a first offgas introducing pipe 143 , a second offgas introducing pipe 144 , a reformed gas exhausting pipe 145 , and an exhaust pipe 146 . The manifold 140 is made of a metal material such as stainless steel (for example, SUS 316L).
[0045] The heat insulating package 130 includes a housing 131 composed of a top plate and four side plates, and a bottom plate 132 covering the opening of the under surface of the housing 131 . The housing 131 and the bottom plate 132 are severally made of a metal material such as stainless steel (for example, SUS 316L). A metallic reflection film made of aluminum, gold, silver, or copper is formed on the inner surface of the heat insulating package 130 , and the heat rays and the electromagnetic waves that have emitted from the reaction device main body 150 are reflected by the metallic reflection film. Moreover, the atmosphere inside the heat insulating package 130 is made to be lower than the atmospheric pressure, and it is preferably set to one Pa or less.
[0046] A fuel introducing hole 132 a , an air introducing pipe 132 b , a first offgas introducing hole 132 c , a second offgas introducing hole 132 d , a reformed gas exhausting hole 132 e , and an exhaust hole 132 f penetrate the bottom plate 132 . The manifold 140 is attached to the bottom plate 132 by being joined thereto. The fuel introducing pipe 141 communicates with the fuel introducing hole 132 a ; the air introducing pipe 142 communicates with the air introducing pipe 132 b ; the first offgas introducing pipe 143 communicates with the first offgas introducing hole 132 c , the second offgas introducing pipe 144 communicates with the second offgas introducing hole 132 d ; the reformed gas exhausting pipe 145 communicates with the reformed gas exhausting hole 132 e ; and the exhaust pipe 146 communicates with the exhaust hole 132 f.
[0047] FIG. 4 is an exploded perspective view of the reaction device main body 150 . As shown in FIG. 4 , the reaction device main body 150 is a laminated body of members 1 - 42 made of a metal material such as stainless steel (for example, SUS 316L), and the laminated body is made by stacking the members 1 - 42 from the bottom in order to join them.
[0048] FIGS. 5A-5F show the bottom views of the members 1 - 6 ; FIGS. 6A-6F show the bottom views of the members 7 - 12 ; FIGS. 7A-7F show the bottom views of the members 13 - 18 ; FIGS. 8A-8F show the bottom views of the members 19 - 24 ; FIGS. 9A-9F show the bottom views of the members 25 - 30 ; FIGS. 10A-10F show the bottom views of the members 31 - 36 ; and FIGS. 11A-11F show the bottom views of the members 37 - 42 . As shown in FIGS. 5A-5F , 6 A- 6 F, 7 A- 7 F, 8 A- 8 F, 9 A- 9 F, 10 A- 10 F, and 11 A- 11 F, the member 1 and the member 31 among the members 1 - 42 are integrally formed by bundling a plurality of pipes. The members 2 , 4 , 6 , 8 , 10 , 12 , 14 , 16 , 18 , 20 , 22 , 24 , 26 , 28 , 30 , 32 , 34 , 36 , 38 , 40 , and 42 (these are hereinafter referred to as “plate members”) are severally a quadrilateral plate member, concretely a regular square plate member, and the quadrilaterals forming their outer edges when they are severally viewed in a plane view mutually coincide. The members 3 , 5 , 7 , 9 , 11 , 13 , 15 , 17 , 19 , 21 , 23 , 25 , 27 , 29 , 33 , 35 , 37 , 39 , and 41 (they are hereinafter referred to as “frame members”) are severally a quadrilateral plate-shaped frame body, concretely a regular square plate-shaped frame body, and the shapes and the sizes of the frames of the quadrilaterals forming the external forms of the frame members when they are severally viewed in a plane mutually coincide. The frame members 3 , 5 , 7 , 9 , 11 , 13 , 15 , 17 , 19 , 21 , 23 , 25 , 27 , 29 , 33 , 35 , 37 , 39 , and 41 severally function as a gap member for separating a space between each of the plate members 2 , 4 , 6 , 8 , 10 , 12 , 14 , 16 , 18 , 20 , 22 , 24 , 26 , 28 , 30 , 32 , 34 , 36 , 38 , 40 , and 42 , which are stacked above and below each of the frame members 3 , 5 , 7 , 9 , 11 , 13 , 15 , 17 , 19 , 21 , 23 , 25 , 27 , 29 , 33 , 35 , 37 , 39 , and 41 , respectively, by a predetermined space. Furthermore, the quadrilaterals that form the outer edges of the members 2 , 4 , 6 , 8 , 10 , 12 , 14 , 16 , 18 , 20 , 22 , 24 , 26 , 28 , 30 , 32 , 34 , 36 , 38 , 40 , and 42 in plane view coincide with the quadrilaterals that form the outer edges of the members 3 , 5 , 7 , 9 , 11 , 13 , 15 , 17 , 19 , 21 , 23 , 25 , 27 , 29 , 33 , 35 , 37 , 39 , and 41 , respectively. By the stacking of the members 1 - 42 , the upper and lower sides of the frame members 3 , 5 , 7 , 9 , 11 , 13 , 15 , 17 , 19 , 21 , 23 , 25 , 27 , 29 , 33 , 35 , 37 , 39 , and 41 among the members 1 - 42 are covered, and a chamber is severally formed inside each of the frame members 3 , 5 , 7 , 9 , 11 , 13 , 15 , 17 , 19 , 21 , 23 , 25 , 27 , 29 , 33 , 35 , 37 , 39 , and 41 .
[0049] As shown in FIG. 5A , the member 1 (hereinafter referred to as “aggregate pipe 1 ”) is a member made by bundling an air introducing pipe 1 b , a first offgas introducing pipe 1 c , a second offgas introducing pipe 1 d , and a reformed gas exhausting pipe 1 e and exhaust pipe if with a fuel introducing pipe 1 a put at the center to integrally form them. As shown in FIG. 3 , the aggregate pipe 1 is joined on the bottom plate 132 on the inside of the heat insulating package 130 . The fuel introducing pipe 1 a communicates with the fuel introducing hole 132 a ; the air introducing pipe 1 b communicates with the air introducing pipe 132 b ; the first offgas introducing pipe 1 c communicates with the first offgas introducing hole 132 c ; the second offgas introducing pipe 1 d communicates with the second offgas introducing hole 132 d ; the reformed gas exhausting pipe 1 e communicates with the reformed gas exhausting hole 132 e ; and the exhaust pipe if communicates with the exhaust hole 132 f.
[0050] As shown in FIG. 5B , a through hole 2 a is formed at the central part of the plate member 2 , and through holes 2 b - 2 f are also formed around the through hole 2 a . As shown in FIG. 4 , the plate member 2 is stacked on the aggregate pipe 1 to be joined to it. The through hole 2 a communicates with the fuel introducing pipe 1 a ; a through hole 2 b communicates with the air introducing pipe 1 b ; a through hole 2 c communicates with the first offgas introducing pipe 1 c ; a through hole 2 d communicates with the second offgas introducing pipe 1 d ; a through hole 2 e communicates with the reformed gas exhausting pipe 1 e ; and a through hole 2 f communicates with the exhaust pipe if.
[0051] As shown in FIG. 5C , a divider piece 3 g having the same height as that of the frame member 3 is formed inside the frame member 3 . The divider piece 3 g projects to the internal edge of the frame member 3 , especially from one corner to the opposite corner thereof, inside the frame body 3 . A through hole 3 a formed by the divider piece 3 g is formed at the central part of the space divided inside the frame member 3 ; through holes 3 b - 3 d , a through hole 3 f , and a slit 3 e are formed around the through hole 3 a ; and a chamber 3 j , which is a space having the height of the frame member 3 , is formed inside the frame body 3 . One end of the slit 3 e is opened, and the slit 3 e communicates with the chamber 3 j . The frame member 3 is stacked on the plate member 2 to be joined with it, and the bottom of the slit 3 e is covered by the plate member 2 . The through hole 3 a communicates with the through hole 2 a ; the through hole 3 b communicates with the through hole 2 b ; the through hole 3 c communicates with the through hole 2 c ; the through hole 3 d communicates with the through hole 2 d ; and the through hole 3 f communicates with the through hole 2 f . Moreover, the through hole 2 e communicates with the other end of the slit 3 e.
[0052] As shown in FIG. 5D , a through hole 4 a is formed at the central part of the plate member 4 , and through holes 4 b - 4 d and a through hole 4 f are also formed around the through hole 4 a . Moreover, the plate member 4 is formed in a honeycomb and is dotted with a plurality of holes 4 g penetrating the plate member 4 . The plate member 4 is stacked on the frame member 3 to be joined with it, and the top of the slit 3 e is covered by the plate member 4 . The through hole 4 a communicates with the through hole 3 a ; the through hole 4 b communicates with the through hole 3 b ; the through hole 4 c communicates with the through hole 3 c ; the through hole 4 d communicates with the through hole 3 d ; and the through hole 4 f communicates with the through hole 3 f . The holes 4 g do not overlap with the slit 3 e , and the top of the slit 3 e is covered by the plate member 4 .
[0053] As shown in FIG. 5E , a divider piece 5 g , which projects from a corner of the frame member 5 to the inside of the frame member 5 and has the same height as that of the frame member 5 , is formed inside the frame member 5 . A through hole 5 a formed by the divider piece 5 g is formed at the central part of the space divided inside the frame member 5 ; through holes 5 b - 5 d and a through hole 5 f are formed around the through hole 5 a ; and a chamber 5 j , which is a space having the height of the frame member 5 , is formed inside the frame member 5 . The frame member 5 is stacked on the plate member 4 to be joined with it. The through hole 5 a communicates with the through hole 4 a ; the through hole 5 b communicates with the through hole 4 b ; the through hole 5 c communicates with the through hole 4 c ; the through hole 5 d communicates with the through hole 4 d ; and the through hole 5 f communicates with the through hole 4 f.
[0054] As shown in FIG. 5F , a through hole 6 a is formed at the central part of the plate member 6 , and through holes 6 b - 6 d and a through hole 6 f are also formed around the through hole 6 a . Moreover, the plate member 6 is formed in a honeycomb and is dotted with a plurality of holes 6 g penetrating the plate member 6 . The plate member 6 is stacked on the frame member 5 to be joined with it. The through hole 6 a communicates with the through hole 5 a ; the through hole 6 b communicates with the through hole 5 b ; the through hole 6 c communicates with the through hole 5 c ; the through hole 6 d communicates with the through hole 5 d ; and the through hole 6 f communicates with the through hole 5 f.
[0055] The frame members 7 , 9 , 11 , and 13 shown in FIGS. 6A , 6 C, 6 E, and 7 A, respectively, are formed similarly to the frame member 5 . That is, chambers 7 j , 9 j , 11 j , and 13 j , which are spaces having the heights of the frame members 7 , 9 , 11 , and 13 , respectively, are divided in the frame members 7 , 9 , 11 , and 13 , respectively. Through holes 7 a , 9 a , 11 a , and 13 a , which severally have a shape and a size similar to those of the through hole 5 a and are formed by divider pieces 7 g , 9 g , 11 g , and 13 g , respectively, are formed to communicate with one another including the through hole 5 a . Through holes 7 b , 9 b , 11 b , and 13 b , which severally have a shape and a size similar to those of the through hole 5 b and communicate with one another including the through hole 5 a , are formed. Through holes 7 c , 9 c , 11 c , and 13 c , which severally have a shape and a size similar to those of the through hole 5 c and communicate with one another including the through hole 5 c , are formed. Through holes 7 d , 9 d , 11 d , and 13 d , which severally have a shape and a size similar to those of the through hole 5 d and communicate with one another including the through hole 5 d , are formed. Through holes 7 f , 9 f , 11 f , and 13 f , which severally have a shape and a size similar to those of the through hole 5 f and communicate with one another including the through hole 5 f , are formed. Plate members 8 , 10 , and 12 shown in FIGS. 6B , 6 D, and 6 F, respectively, are formed similarly to the plate member 6 . That is, through holes 8 a , 10 a , and 12 a , which severally have a shape and a size similar to those of the through hole 6 a and communicate with one another including the through hole 6 a , are formed in the plate members 8 , 10 , and 12 . Through holes 8 b , 10 b , and 12 b , which severally have a shape and a size similar to those of the through hole 6 b and communicate with one another including the through hole 6 b , are also formed. Through holes 8 c , 10 c , and 12 c , which severally have a shape and a size similar to those of the through hole 6 c and communicate with one another including the through hole 8 c , are also formed. Through holes 8 d , 10 d , and 12 d , which severally have a shape and a size similar to those of the through hole 6 d and communicate with one another including the through hole 6 d , are also formed. Through holes 8 f , 10 f , and 12 f , which severally have a shape and a size similar to those of the through hole 6 f and communicate with one another including the through hole 6 f , are also formed. Through holes 8 g , 10 g , and 12 g , which severally have a shape and a size similar to those of the through hole 6 g and communicate with one another including the through hole 6 g through chambers 7 j , 9 j , and 11 j , respectively, are severally formed. These members 7 - 12 are stacked in the order to overlap with the frame member 5 and the plate member 6 to be joined together.
[0056] As shown in FIG. 7B , through holes 14 a - 14 d and a through hole 14 f are formed in the plate member 14 . Moreover, the plate member 14 is formed in a honeycomb and is dotted with a plurality of holes 14 g penetrating the plate member 14 . The plate member 14 is stacked on the frame member 13 to be joined with it. The through hole 14 a communicates with the through hole 13 a ; the through hole 14 b communicates with the through hole 13 b ; the through hole 14 c communicates with the through hole 13 c ; the through hole 14 d communicates with the through hole 13 d ; and the through hole 14 f communicates with the through hole 13 f . Incidentally, the holes 14 g are not formed in a surface corresponding to a combustion chamber 15 f , which will be described later, except the through hole 14 f.
[0057] As shown in FIG. 7C , a divider piece 15 g , which projects from a corner of the frame member 15 to the inside of the frame member 15 and has the same height as that of the frame member 15 , is provided inside the frame member 15 . A through hole 15 a formed by the divider piece 15 g is provided at the central part of the space divided inside the frame member 15 , and through holes 15 b - 15 d are formed around the through hole 15 a . The letter-C-like combustion chamber 15 f is formed to enclose the through hole 15 a , and a chamber 15 j is formed inside the frame member 15 . The frame member 15 is stacked on the plate member 14 to be joined with it, and the bottoms of the chamber 15 j and the combustion chamber 15 f are covered by the plate member 14 . The through hole 15 a communicates with the through hole 14 a ; the through hole 15 b communicates with the through hole 14 b ; the through hole 15 c communicates with the through hole 14 c ; and the through hole 15 d communicates with the through hole 14 d . Moreover, the through hole 14 f communicates with the combustion chamber 15 f . However, none of the holes 14 g communicates with the combustion chamber 15 f . The gateway of the combustion chamber 15 f is partitioned with a partition 15 i.
[0058] As shown in FIG. 7D , through holes 16 a - 16 d , a slit 16 f , and a through hole 16 h are formed in the plate member 16 . Moreover, the plate member 16 is formed in a honeycomb and is dotted with a plurality of holes 16 g penetrating the plate member 16 . The plate member 16 is stacked on the frame member 15 to be joined with it, and the tops of the chamber 15 j and the combustion chamber 15 f are covered by the plate member 16 . The through hole 16 a communicates with the through hole 15 a ; the through hole 16 b communicates with the through hole 15 b ; the through hole 16 c communicates with the through hole 15 c ; and the through hole 16 d communicates with the through hole 15 d . The slit 16 f is situated on the right side of the partition 15 i and a partition 17 i , which will be described later. Incidentally, none of the holes 16 g is formed on the surfaces corresponding to the combustion chamber 15 f and a combustion chamber 17 f , which will be described later, except for the slit 16 f . The slit 16 f communicates with the combustion chamber 15 f , and the through hole 16 h communicates with the combustion chamber 15 f . None of the holes 16 g communicates with the combustion chamber 15 f.
[0059] As shown in FIG. 7E , a divider piece 17 g , which projects from a corner of the frame member 17 to the inside of the frame member 17 and has the same height as that of the frame member 17 , is formed inside the frame member 17 . A through hole 17 a situated at the central part of the area formed by the divider piece 17 g is formed at the central part of a space divided inside the frame member 17 . Through holes 17 b - 17 d and a through hole 17 h are formed around the through hole 17 a . The letter-C-like combustion chamber 17 f is formed to enclose the through hole 17 a . A chamber 17 j is formed inside the frame member 17 . The frame member 17 is stacked on the plate member 16 to be joined with it. The bottoms of the chamber 17 j and the combustion chamber 17 f are covered by the plate member 16 . The through hole 17 a communicates with the through hole 16 a ; the through hole 17 b communicates with the through hole 16 b ; the through hole 17 c communicates with the through hole 16 c ; the through hole 17 d communicates with the through hole 16 d ; and the through hole 17 h communicates with the through hole 16 h . The gateway of the combustion chamber 17 f is partitioned by the partition 17 i . Moreover, the slit 16 f communicates with the combustion chamber 17 f , but none of the holes 16 g communicates with the combustion chamber 17 f.
[0060] As shown in FIG. 7F , through holes 18 a - 18 d , a slit 18 f and a through hole 18 h are formed in the plate member 18 . The diameter of the through hole 18 a is smaller than that of the through hole 17 a . Moreover, the plate member 18 is formed in a honeycomb and is dotted with a plurality of holes 18 g penetrating the plate member 18 . The plate member 18 is stacked on the frame member 17 to be joined with it. The tops of the chamber 17 j and the combustion chamber 17 f are covered by the plate member 18 . The through hole 18 a communicates with the through hole 17 a ; the through hole 18 b communicates with the through hole 17 b ; the through hole 18 c communicates with the through hole 17 c ; the through hole 18 d communicates with the through hole 17 d ; and the through hole 18 h communicates with the through hole 18 h . The slit 18 f is situated on the left side of the partition 17 i and a partition 19 i , which will be described later. Incidentally, because none of the holes 18 g is formed on the surfaces corresponding to the combustion chamber 17 f and a combustion chamber 19 f , which will be described later, except for the slit 18 f , the slit 18 f communicates with the combustion chamber 17 f , and none of the holes 18 g communicates with the combustion chamber 17 f.
[0061] As shown in FIG. 8A , a divider piece 19 g , which projects from a corner of the frame member 19 to the inside of the frame member 19 and has the same height as that of the frame member 19 , is formed inside the frame member 19 . A through hole 19 a formed by the divider piece 19 g is formed at the central part in the space divided inside the frame member 17 . Through holes 19 b and 19 c and a through hole 19 h are further formed around the through hole 19 a . The combustion chamber 19 f is formed to enclose the through hole 19 a , and a chamber 19 j , which is a space of the height of the frame member 19 is formed inside the frame member 19 . The frame member 19 is stacked on the plate member 18 to be joined with it, and the bottoms of the chamber 19 j and the combustion chamber 19 f are covered by the plate member 18 . The through hole 19 a communicates with the through hole 18 a ; the through hole 19 b communicates with the through hole 18 b ; the through hole 19 c communicates with the through hole 18 c ; and the through hole 19 h communicates with the through hole 18 h . The gateway of the combustion chamber 19 f is partitioned with the partition 19 i . Moreover, although the through hole 18 d and slit 18 f communicate with the combustion chamber 19 f , none of the holes 18 g communicates with the combustion chamber 19 f.
[0062] As shown in FIG. 8B , through holes 20 a - 20 c and a through hole 20 h are formed in the plate member 20 . Moreover, the plate member 20 is formed in a honeycomb and is dotted with a plurality of holes 20 g penetrating the plate member 20 . The plate member 20 is stacked on the frame member 19 to be joined with it. The tops of the chamber 19 j and the combustion chamber 19 f are covered by the plate member 20 . The through hole 20 a communicates with the through hole 19 a ; the through hole 20 b communicates with the through hole 19 b ; the through hole 20 c communicates with the through hole 19 c ; and the through hole 20 h communicates with the through hole 18 h . Because none of the holes 20 g is formed in the surface corresponding to the combustion chamber 19 f , none of the holes 20 g communicates with the combustion chamber 19 f.
[0063] As shown in FIG. 8C , a divider piece 21 g , which projects from a corner of the frame member 21 to the inside of the frame member 21 and has the same height as that of the frame member 21 , is formed inside the frame member 21 . A through hole 21 a and slits 21 b , 21 c , and 21 h are formed by the divider piece 21 g in the space divided inside the frame member 21 , and a chamber 21 j is formed inside the frame member 21 . The frame member 21 is stacked on the plate member 20 to be joined with it, and the bottoms of the slits 21 b , 21 c , and 21 h are covered by the plate member 20 . The bottom of the chamber 21 j is also covered by the plate member 20 . The through hole 21 a communicates with the through hole 18 a . Moreover, the through hole 20 b communicates with an end of the slit 21 b ; the through hole 20 c communicates with an end of the slit 21 c ; and the through hole 20 h communicates with an end of a slit 21 h . The divider piece 21 g widely covers the circumference of the slits 21 b , 21 c , and 21 h for efficiently propagating the heat of a heating wire 161 , which will be described later, to the vaporizer 111 situated below.
[0064] As shown in FIG. 8D , through holes 22 a - 22 c and a through hole 22 h are formed at the central part of the plate member 22 . Moreover, the plate member 22 is formed in a honeycomb and is dotted with a plurality of holes 22 g penetrating the plate member 22 . The plate member 22 is stacked on the frame member 19 to be joined with it. The tops of the slits 21 b , 21 c , and 21 h are covered by the plate member 22 , and the top of the chamber 21 j is covered by the plate member 22 . The through hole 22 a communicates with the through hole 21 a . The through hole 22 b communicates with an end of the slit 21 b ; the through hole 22 c communicates with an end of the slit 21 c ; and the through hole 22 h communicates with an end of the slit 21 h . Moreover, the heating wire 161 is formed around the through holes 22 a - 22 c and the through hole 22 h on the top surface (back surface) of the plate member 22 .
[0065] As shown in FIG. 8E , a divider piece 23 g , which projects from a corner of the frame member 23 to the inside of the frame member 23 and has the same height as that of the frame member 23 , is formed inside the frame member 23 . Through holes 23 a - 23 c and a through hole 23 h formed by the divider piece 23 g is formed in the space divided inside the frame member 23 , and a chamber 23 j is formed inside the frame member 23 . The frame member 23 is stacked on the plate member 22 to be joined with it, and the bottom of the chamber 23 j is covered by the plate member 22 . The through hole 23 a communicates with the through hole 22 a ; the through hole 23 b communicates with the through hole 22 b ; the through hole 23 c communicates with the through hole 22 c ; and the through hole 23 h communicates with the through hole 22 h.
[0066] The plate members 24 and 26 shown in FIGS. 8F and 9B are formed similarly to the plate member 22 . That is, through holes 24 a and 26 a , each of which has a shape and a size similar to those of the through hole 22 a and communicates with one another including the through hole 22 a , are formed in the plate members 24 and 26 , respectively. Through holes 24 b and 26 b , each of which has a shape and a size similar to those of the through hole 22 b and communicates with one another including the through hole 22 b , are formed in the plate members 24 and 26 , respectively. Through holes 24 c and 26 c , each of which has a shape and a size similar to those of the through hole 22 c and communicates with one another including the through hole 22 c , are formed in the plate members 24 and 26 , respectively. Through holes 24 h and 26 h , each of which has a shape and a size similar to those of the through hole 22 h and communicates with one another including the through hole 22 h , are formed in the plate members 24 and 26 , respectively. Through holes 24 g and 26 g , each of which has a shape and a size similar to those of the through hole 22 g and communicates with one another including the through hole 22 g , are formed in the plate members 24 and 26 , respectively. The frame members 25 and 27 shown in FIGS. 9A and 9C , respectively, are formed similarly to the frame member 23 . These members 24 - 27 are stacked on the frame member 22 and the plate member 24 to be overlapped on them in the order of the reference numerals, and are joined with one another. That is, through holes 25 a and 27 a , each of which has a shape and a size similar to those of the through hole 23 a and communicates with one another including the through hole 23 a , are formed in the frame members 25 and 27 , respectively. Through holes 25 b and 27 b , each of which has a shape and a size similar to those of the through hole 23 b and communicates with one another including the through hole 23 b , are formed in the frame members 25 and 27 , respectively. Through holes 25 c and 27 c , each of which has a shape and a size similar to those of the through hole 23 c and communicates with one another including the through hole 23 c , are formed in the frame members 25 and 27 , respectively. Through holes 25 h and 27 h , each of which has a shape and a size similar to those of the through hole 23 h and communicates with one another including the through hole 23 h , are formed in the frame members 25 and 27 , respectively.
[0067] As shown in FIG. 9D , through holes 28 a - 28 c and a through hole 28 h are formed at the central part of the plate member 28 . Moreover, the plate member 28 is formed in a honeycomb and is dotted with a plurality of holes 28 g penetrating the plate member 28 . The plate member 28 is stacked on the frame member 27 to be joined with it. The top of a chamber 27 j is covered by the plate member 28 . A through hole 28 a communicates with the through hole 27 a ; a through hole 28 b communicates with the through hole 27 b ; a through hole 28 c communicates with the through hole 27 c ; and the through hole 28 h communicates with the through hole 27 h . None of the holes 28 g is formed on the surface corresponding to a slit 29 b , which will be described later.
[0068] As shown in FIG. 9E , a divider piece 29 g , which projects from a corner of the frame member 29 to the inside of the frame member 29 and has the same height as that of the frame member 29 , is formed inside the frame member 29 . Through holes 29 a , 29 c , and 29 h and the slit 29 b , which are formed by the divider piece 29 g , are formed at the center of the space divided inside the frame member 29 , and a chamber 29 j is formed inside the frame member 29 . One end of the slit 29 b is opened to communicate with the chamber 29 j . The frame member 29 is stacked on the plate member 28 to be joined with it, and the bottoms of the chamber 29 j and the slit 29 b are covered by the plate member 28 . The through hole 29 a communicates with the through hole 28 a ; the through hole 29 c communicates with the through hole 28 c ; and the through hole 29 h communicates with the through hole 28 h . Moreover, the through hole 28 b communicates with the other end of the slit 29 b.
[0069] As shown in FIG. 9F , through holes 30 a - 30 c and a through hole 30 h are formed at the central part of the plate member 30 . The plate member 30 is stacked on the frame member 29 to be joined with it. The tops of the chamber 29 j and the slit 29 b are covered by the plate member 30 . The through hole 30 a communicates with the through hole 29 a ; the through hole 30 c communicates with the through hole 29 c ; and the through hole 30 h communicates with the through hole 29 h . Moreover, the through hole 29 b communicates with the other end of the slit 29 b.
[0070] As shown in FIG. 10A , the member 31 is an aggregate pipe provided between the reformer 113 and the carbon monoxide remover 115 , and through holes 31 a - 31 c and a through hole 31 h are formed therein. The plate member 32 shown in FIG. 10B is formed similarly to the plate member 30 . A member 31 is put between the central part of the plate member 30 and the central part of the plate member 32 , and the member 31 is joined with the plate member 30 and the plate member 32 . Then, a through hole 32 a , the through hole 31 a , and the through hole 30 a communicate with one another; a through hole 32 b , a through hole 31 b , and a through hole 30 b communicate with one another; a through hole 32 c , a through hole 31 c , and the through hole 30 c communicate with one another; and a through hole 32 h , the through hole 31 h and the through hole 30 h communicate with one another. A heating wire 165 connected with lead wires 166 and 167 is provided around the through holes 31 a - 31 c and the through hole 31 h on the under surface of the plate member 32 .
[0071] The frame member 33 shown in FIG. 10C is formed similarly to the frame member 29 . The frame member 33 is stacked on the plate member 32 to be joined with it. The bottoms of a chamber 33 j and a slit 33 b are covered by the plate member 32 . A through hole 33 a formed by the divider piece 29 g communicates with the through hole 32 a ; a through hole 33 c communicates with the through hole 32 c ; and a through hole 33 h communicates with a through hole 32 h . Moreover, the through hole 32 b communicates with an end of the slit 33 b.
[0072] As shown in FIG. 10D , through holes 34 a , 34 c , and 34 h are formed at the central part of the plate member 34 . Moreover, the plate member 34 is formed in a honeycomb and is dotted with a plurality of holes 34 g penetrating the plate member 34 . The plate member 34 is stacked on the frame member 33 to be joined with it. The tops of the chamber 33 j and the slit 33 b are covered by the plate member 34 . A through hole 34 a communicates with the through hole 33 a ; a through hole 34 c communicates with the through hole 33 c ; and a through hole 34 h communicates with the through hole 33 h.
[0073] The frame member 35 shown in FIG. 10E is formed similarly to the frame member 23 . The frame member 35 is stacked on the plate member 34 to be joined with it, and the bottom of a chamber 35 j is covered by the plate member 34 . A through hole 35 a formed by a divider piece 35 g communicates with the through hole 34 a ; a through hole 35 c communicates with the through hole 34 c ; and a through hole 35 h communicates with the through hole 34 h.
[0074] The plate member 36 shown in FIG. 10F is formed similarly to the plate member 26 . The plate member 36 is stacked on the frame member 35 to be joined with it. The top of the chamber 35 j is covered by the plate member 36 . A through hole 36 a communicates with the through hole 36 a ; a through hole 36 b communicates with a through hole 35 b ; a through hole 36 c communicates with the through hole 35 c ; and a through hole 36 h communicates with the through hole 35 h.
[0075] The frame member 37 shown in FIG. 11A is formed similar to the frame member 23 . The frame member 37 is stacked on the plate member 36 to be joined with it. The bottom of a chamber 37 j is covered by the plate member 36 . A through hole 37 a formed by a divider piece 37 g communicates with the through hole 36 a ; a through hole 37 b communicates with the through hole 36 b ; a through hole 37 c communicates with the through hole 36 c ; and a through hole 37 h communicates with the through hole 36 h.
[0076] As shown in FIG. 11B , through holes 38 a - 38 c and 38 h are formed at the central part of the plate member 38 . Moreover, the plate member 38 is formed in a honeycomb and is dotted with a plurality of holes 38 g penetrating the plate member 38 . The plate member 38 is stacked on the frame member 33 to be joined with it. The top of the chamber 37 j is covered by the plate member 33 . The through hole 34 a communicates with the through hole 33 a ; the through hole 34 c communicates with the through hole 33 c ; and the through hole 34 h communicates with the through hole 33 h.
[0077] As shown in FIG. 11C , a divider piece 39 g , which projects from a corner of the frame member 39 to the inside of the frame member 39 and has the same height as that of the frame member 39 , is formed inside the frame member 39 . Through holes 39 b , 39 c , and 39 h and a slit 39 a formed by the divider piece 39 g are formed in the space divided inside the frame member 39 , and a chamber 39 j is formed inside the frame member 39 . One end of the slit 39 a is opened, and the chamber 39 j and the slit 39 a communicate with each other. The frame member 39 is stacked on the plate member 38 to be joined with it. The bottoms of the chamber 39 j and the slit 39 a are covered by the plate member 38 . A through hole 39 b communicates with a through hole 38 b ; a through hole 39 c communicates with a through hole 38 c ; and a through hole 39 h communicates with a through hole 38 h . Moreover, a through hole 38 a communicates with the other end of the slit 39 a.
[0078] As shown in FIG. 11D , through holes 40 c and 40 h are formed at the central part of the plate member 40 . The plate member 40 is stacked on the frame member 39 to be joined with it. The tops of the chamber 39 j and the slit 39 a are covered by the plate member 40 . A through hole 40 c communicates with the through hole 39 c , and a through hole 40 h communicates with the through hole 39 h.
[0079] As shown in FIG. 11E , a divider piece 41 g , which projects from the internal edge of the frame member 41 to the inside of the frame member 41 is formed inside the frame member 41 . Slits 41 c and 41 h are formed on the divider piece 41 g . One ends of the slits 41 c and 41 h are opened, and the slits 41 c and 41 h communicate with a chamber 41 j inside the frame member 41 . The frame member 41 is stacked on the plate member 40 to be joined with it. The bottoms of the chamber 41 j and the slits 41 c and 41 h are covered by the plate member 40 . The through hole 40 c communicates with the other end of the slit 41 c , and the through hole 40 h communicates with the other end of the slit 40 h.
[0080] As shown in FIG. 11F , the plate member 42 is a flat plate. The plate member 42 is stacked on the frame member 41 to be joined it. The tops of the chamber 41 j and the slits 41 c and 41 h are covered by the plate member 42 .
[0081] FIG. 12 is a perspective view of a longitudinal section of the reaction device 100 ; FIG. 13A is a perspective view principally showing the reaction device main body 150 and the manifold 140 of the reaction device 100 ; and FIG. 13B is a side view principally showing the reaction device main body 150 and the manifold 140 . FIGS. 14 and 15 show correspondence relations between each section of the reaction device 100 shown in FIG. 1 and the routes formed by the stacking of the members 1 - 42 shown in FIGS. 5A-5F , 6 A- 6 F, 7 A- 7 F, 8 A- 8 F, 9 A- 9 F, 10 A- 10 F, and 11 A- 11 F. Incidentally, in FIGS. 13A and 13B , the reformer 113 and the carbon monoxide remover 115 are shown by alternate long and two short dashes lines in order to make it easy to see the vaporizer 111 , the first combustor 119 , the second combustor 123 , and the like, which are formed inside the reaction device 100 .
[0082] As shown in FIG. 14 , the route in the range from the fuel introducing pipe 141 to the through hole 17 a corresponds to the vaporizer 111 . That is, as shown in FIGS. 12 , 13 A, and 13 B, the members 1 - 17 are stacked; the member 1 (aggregate pipe 1 ) is joined on the top surface of the bottom plate 132 of the heat insulating package 130 ; and the manifold 140 is joined on the under surface of the bottom plate 132 . Thereby, the fuel introducing pipe 141 , the fuel introducing hole 132 a , the fuel introducing pipe 1 a , and the through hole 2 a - 17 a are ranged to be a cylindrical tube, and the vaporizer 111 is hereby constructed. A liquid absorbing material 111 a is filled up in this tube section, that is, in the rage from the fuel introducing pipe 141 to the through hole 16 a . The upper end of the liquid absorbing material 111 a is separated from the under surface of the plate member 18 , and an internal space is formed between the upper end of the liquid absorbing material 111 a and the under surface of the plate member 18 in the through hole 17 a . Incidentally, the region in which the liquid absorbing material 111 a is filled up is not especially limited. The region may be the one from the fuel introducing pipe 141 to the through hole 15 a , the one from the fuel introducing pipe 141 to the through hole 14 a , or the one from the fuel introducing pipe 141 to the through hole 13 a.
[0083] The liquid absorbing material 111 a is the one absorbing liquid. The liquid absorbing material 111 a may be the one made by fixing inorganic fibers or organic fibers with a binder, the one made by sintering inorganic powder, the one made by fixing inorganic powder with a binder, or the one that is a mixture of graphite and glassy carbon. To put it concretely, a felt material, a ceramic porous material, a fiber material, and a carbon porous material are used as the liquid absorbing material 111 a . The fuel and the water that have been sent from the fuel cartridge 101 are absorbed by the liquid absorbing material 111 a from the lower end of the liquid absorbing material 111 a , and permeate to the upper end of the liquid absorbing material 111 a by the capillary phenomenon of the liquid absorbing material 111 a . The mixed liquid of the fuel and the water that has been absorbed by the liquid absorbing material 111 a vaporizes by heat in the neighborhood of the upper end inside liquid absorbing material 111 a , and the mixture gas of the fuel and the water is emitted from the upper end of the liquid absorbing material 111 a.
[0084] In order to heat the upper side of the vaporizer 111 , the second combustor 123 is constructed around the top end of the vaporizer 111 . As shown in FIG. 15 , the range from the combustion chamber 19 f to the combustion chamber 15 f corresponds to the second combustor 123 . That is, as shown in FIGS. 12 , 13 A, and 13 B, the members 14 - 20 are stacked, and the upper and lower sides of the combustion chambers 15 f , 17 f , and 19 f are covered. The combustion chamber 15 f and the combustion chamber 17 f communicate with each other with the slit 16 f , and the combustion chamber 17 f and the combustion chamber 19 f communicate with each other with the slit 18 f . Thereby, the second combustor 123 is constructed. Moreover, a combusting catalyst (for example, platinum) is carried at the parts facing the combustion chambers 15 f , 17 f , and 19 f (for example, the central part of the under surface of the plate member 20 , the central parts of both the surfaces of the plate members 18 and 16 , and the central part of the top surface of the plate member 14 ). The gaseous fuel (hydrogen and the like) supplied to the second combustor 123 is combusted (oxidized) by the combusting catalyst, and combustion heat is thereby generated. The operating temperature of the vaporizer 111 is made to be the one within a range of 130-150° C. by the combustion heat of the second combustor 123 .
[0085] If the liquid absorbing material 111 a is filled up from the fuel introducing pipe 141 to the through hole 16 a or the through hole 15 a , then the upper end of the liquid absorbing material 111 a is situated inside the second combustor 123 . Moreover, if the liquid absorbing material 111 a is filled up from the fuel introducing pipe 141 to the through hole 14 a , through hole 13 a , or a lower part than the through hole 13 a , then the upper end of the liquid absorbing material 111 a is situated on the lower outside of the second combustor 123 .
[0086] The heating wire 161 (shown in FIG. 8D ) is subsidiarily provided besides the second combustor 123 . The heating wire 161 is the one made by patterning an electric heating material (electric resistance material), such as gold, and is formed at the central part of the top surface of the plate member 22 . Lead wires 162 and 163 are connected to both the ends of the heating wire 161 , respectively. As shown in FIGS. 2 , 3 , and the like, the lead wires 162 and 163 penetrate the bottom plate 132 to be extended to the outside of the heat insulating package 130 . Incidentally, because the electric resistance of the heating wire 161 depends on temperature, the heating wire 161 also functions as a temperature sensor to measure the temperature on the basis of the electric current and the voltage thereof. The second combustor 123 and the heating wire 161 are used for heating the vaporizer 111 and the carbon monoxide remover 115 to a predetermined temperature.
[0087] As shown in FIG. 15 , the range from the offgas introducing pipe 144 to the through hole 18 d corresponds to the flow path 122 , and a mixture gas of a gaseous fuel and air is sent to the second combustor 123 with the flow path 122 . The range from the through hole 14 f to the exhaust pipe 146 corresponds to the flow path 124 , and exhaust gasses such as carbon dioxide and water vapor are sent with the flow path 124 to be ejected to the outside. That is, as shown in FIGS. 12 , 13 A, and 13 B, the stacking of the members 1 - 18 , the joining of the bottom plate 132 with the aggregate pipe 1 , and the joining of the bottom plate 132 with the manifold 140 range the offgas introducing pipe 144 , the offgas introducing hole 132 d , the offgas introducing pipe 1 d , and the through hole 2 d - 18 d . The flow path 122 is hereby constructed, and the flow path 122 communicates with the combustion chamber 19 f through a through hole 19 d . Similarly, the ranging of the exhaust pipe 146 , the exhaust hole 132 f , the exhaust pipe if, and the through hole 2 f - 14 f constructs the flow path 124 , and the flow path 124 communicates with the combustion chamber 15 f through the through hole 14 f.
[0088] As shown in FIG. 14 , the range from the through hole 18 a to the slit 39 a corresponds to the flow path 112 . That is, as shown in FIGS. 12 , 13 A, and 13 B, the members 18 - 40 are stacked, and the through holes 18 a - 38 a and the slit 39 a are ranged to construct the tubular flow path 112 . The flow path 112 communicates with the vaporizer 111 through the through hole 18 a . The mixture gas of water and fuel that has vaporized in the vaporizer 111 is sent to the reformer 113 through the flow path 112 .
[0089] As shown in FIG. 14 , the range from the chamber 39 j to the chamber 33 j corresponds to the reformer 113 . That is, as shown in FIGS. 12 , 13 A, and 13 B, the member 32 - 40 are stacked; the upper and lower sides of the chambers 33 j , 35 j , 37 j , and 39 j are covered; the chambers 33 j and 35 j communicates with each other through the holes 34 g ; the chambers 35 j and 37 j communicate with each other through the holes 36 g ; the chambers 37 j and 39 j communicates with each other through the holes 38 g ; and the reformer 113 is hereby constructed. A reforming catalyst (such as a Pd/ZnO catalyst in the case where the fuel is methanol) is carried on the parts facing the chambers 33 j , 35 j , 37 j , and 39 j (for example, the under surface of the plate member 40 , both the surfaces of the plate members 38 , 36 , and 34 , and the top surface of the plate member 32 ). The mixture gas of the fuel and the water sent from the vaporizer 111 receives a reforming reaction by the reforming catalyst in the reformer 113 , and hydrogen and the like are generated.
[0090] Because heat is necessary for the reforming reaction, the first combustor 119 heating the reformer 113 is provided on the reformer 113 , and the heating wire 165 is subsidiarily provided at the bottom part of the reformer 113 . The heating wire 165 is made by patterning an electric heating material (electric resistance material), such as gold, in a meandering shape, and is formed on the under surface of the plate member 32 . The lead wires 166 and 167 are connected to both the ends of the heating wire 165 , respectively. The lead wires 166 and 167 penetrate the bottom plate 132 to extend to the outside of the heat insulating package 130 . Incidentally, because the electric resistance of the heating wire 165 depends on temperature, the heating wire 165 also functions as a temperature sensor for measuring temperature on the basis of the electric current and the voltage thereof.
[0091] As shown in FIG. 15 , the chamber 41 j corresponds to the first combustor 119 . That is, as shown in FIGS. 12 , 13 A, and 13 B, the stacking of the members 40 - 42 covers the upper and lower sides of the chamber 41 j to construct the first combustor 119 . A combusting catalyst (such as platinum) is carried on the parts facing the chamber 41 j (the top surface of the plate member 40 , and the under surface of the plate member 42 ). The gaseous fuel (of hydrogen and the like) supplied to the first combustor 119 is combusted by the combusting catalyst, and combustion heat is hereby generated. The operating temperature of the reformer 113 is made to be the one within the range of 360-380° C. by the combustion heat of the first combustor 119 and the heating of the heating wire 165 .
[0092] As shown in FIG. 15 , the range from the offgas introducing pipe 143 to the slit 41 c corresponds to the flow path 118 , and the mixture gas of the gaseous fuel and the air which gas is the remainder of the hydrogen that has been supplied from the flow path 117 to the fuel cell type generator cell 102 and has not been subjected to the electrochemical reaction in the fuel cell type generator cell 102 is sent to the first combustor 119 through the flow path 118 . Moreover, the chamber 41 j corresponds to the first combustor 119 . The range from the slit 41 h to the through hole 16 h corresponds to the flow path 121 . The exhaust gases of water, carbon dioxide, and the like, are sent to the flow path 124 through the flow path 121 , and are ejected to the outside from the flow path 124 . That is, as shown in FIGS. 12 , 13 A, and 13 B, the stacking of the members 1 - 42 , the joining of the bottom plate 132 with the aggregate pipe 1 , and the joining of the bottom plate 132 with the manifold 140 range the offgas introducing pipe 143 , the offgas introducing hole 132 c , the offgas introducing pipe 1 c , the through holes 2 c - 20 c , the slit 21 c , the through holes 22 c - 40 c , and the slit 41 c . The flow path 118 is hereby constructed, and the flow path 118 communicates with the chamber 41 j at an end of the slit 41 c . Similarly, the ranging of the through holes 16 h - 20 h , the slit 21 h , the through holes 22 h - 40 h , and the slit 41 h constructs the flow path 121 . The flow path 121 communicates with the chamber 41 j at an end of the slit 41 h.
[0093] As shown in FIG. 14 , the range from the slit 33 b to the slit 29 b corresponds to a flow path 114 . That is, as shown in FIGS. 12 , 13 A, and 13 B, the members 28 - 34 are stacked, and through holes 30 b - 32 b are ranged. Furthermore, the slit 29 b is ranged with the through hole 30 b ; the slit 33 b is ranged with the through hole 32 b ; and the flow path 114 is constructed. The flow path 114 communicates with the reformer 113 at an end of the slit 33 b , and communicates with the carbon monoxide remover 115 at an end of the slit 29 b . The hydrogen, the carbon monoxide, and the like, which have been generated at the reformer 113 , are sent to the carbon monoxide remover 115 through the flow path 114 .
[0094] As shown in FIG. 14 , the range from the air introducing pipe 142 to the through hole 28 b corresponds to the flow path 116 , and the range from the chamber 29 j to the chamber 3 j corresponds to the carbon monoxide remover 115 . That is, as shown in FIGS. 12 , 13 A, and 13 B, the members 1 - 30 are stacked, and the upper and lower sides of the chambers 3 j - 29 j are covered. These chambers 3 j - 29 j communicate with each other through the hole of the plate member between each of them, and the carbon monoxide remover 115 is hereby constructed. Moreover, the stacking of the members 1 - 30 , the joining of the bottom plate 132 with the aggregate pipe 1 , and the joining of the bottom plate 132 with the manifold 140 range the air introducing pipe 142 , the air introducing hole 132 b , the air introducing pipe 1 b , the through holes 2 b - 20 b , the slit 21 b , and the through holes 22 b - 28 b . The flow path 116 is hereby constructed. The flow path 116 communicates with the chamber 29 j through the slit 29 b , and air is sent to the carbon monoxide remover 115 through the flow path 116 . A selectively oxidizing catalyst (such as platinum) is carried on the parts facing the chambers 3 j - 29 j (for example, the under surface of the plate member 30 , both the surfaces of the plate members 28 , 26 , 24 , 22 , 20 , 18 , 16 , 14 , 12 , 10 , 8 , 6 , and 4 , and the top surface of the plate member 2 ). The hydrogen, the carbon monoxide, and the like, sent from the reformer 113 are mixed with the air sent through the flow path 116 , and flow in the carbon monoxide remover 115 . In the carbon monoxide remover 115 , the carbon monoxide is preferentially oxidized by the selectively oxidizing catalyst, and the carbon monoxide is hereby removed.
[0095] As shown in FIG. 14 , the range from the slit 3 e to the reformed gas exhausting pipe 145 corresponds to the flow path 117 , and a reformed gas such as the hydrogen and the like is sent from the carbon monoxide remover 115 to the outside through the flow path 117 . That is, as shown in FIGS. 12 , 13 A, and 13 B, the stacking of the members 1 - 3 , the joining of the bottom plate 132 with the aggregate pipe 1 , the joining of the bottom plate 132 with the manifold 140 range the reformed gas exhausting pipe 145 , the reformed gas exhausting hole 132 e , the reformed gas exhausting pipe 1 e , the through hole 2 e , and the slit 3 e . The flow path 117 is hereby constructed, and the flow path 117 communicates with the chamber 3 j at an end of the slit 3 e.
[0096] As described above, the stacking of the members 1 - 30 constructs the carbon monoxide remover 115 , the vaporizer 111 , and the second combustor 123 . As shown in FIG. 12 , the vaporizer 111 is provided by being inserted from the lower part of the carbon monoxide remover 115 into the inside of the carbon monoxide remover 115 ; the second combustor 123 is provided around the top end of the vaporizer 111 inside the carbon monoxide remover 115 ; and the heating wire 161 is provided on the second combustor 123 inside the carbon monoxide remover 115 . Such an arrangement relation improves the balance among the heat generated by the second combustor 123 , the heat generated by the carbon monoxide remover 115 , and the heat to be used for the vaporization in the vaporizer 111 . Consequently, the carbon monoxide remover 115 and the vaporizer 111 can be operated in a suitable temperature range (130-150° C.), and the efficiency of using heat is also improved. Incidentally, the tubular flow path 112 for ejecting the mixture gas vaporized in the vaporizer 111 to send the mixture gas from the vaporizer 111 to the reformer 113 is provided to be inserted from the upper part of the carbon monoxide remover 115 into the inside of the carbon monoxide remover 115 adversely to the vaporizer 111 , and the flow path 112 communicates with the vaporizer 111 inside the carbon monoxide remover 115 .
[0097] In particular, the heat generated in the carbon monoxide remover 115 easily fills the inside of the carbon monoxide remover 115 , and the temperature inside the carbon monoxide remover 115 easily rises. However, because the vaporizer 111 is provided to be inserted to the inside of the carbon monoxide remover 115 , the temperature inside the carbon monoxide remover 115 does not become a too high temperature.
[0098] Moreover, the temperature of the carbon monoxide remover 115 tends to be distributed in such a way that the temperature in the inside thereof is higher and that in outer side thereof is lower. The temperature of the vaporizer 111 also tends to be distributed in such a way that the temperature at the top end thereof is higher and that in the bottom end is lower. Consequently, the mixed liquid of the fuel and the water that has been absorbed by the liquid absorbing material 111 a is vaporized in the inside and the surface on the top end side of the liquid absorbing material 111 a , and the vaporizing of the mixed liquid is scarcely caused in the inside and the surface of the bottom end thereof. Consequently, the gas vaporized in the liquid absorbing material 111 a does not flow backward to be discharged from the lower end of the liquid absorbing material 111 a to the lower part. Consequently, the permeation quantity of the mixed liquid into the liquid absorbing material 111 a is stabilized, and the quantity of the gasses transpired from the upper end side of the liquid absorbing material 111 a can also be stabilized in its turn to make it possible to reduce the changes of the flow rate by bumping.
[0099] Moreover, the operating temperature of the upper part laminated body (members 32 - 42 ) including the reformer 113 and the first combustor 119 and the operating temperature of the lower part laminated body (members 1 - 30 ) including the carbon monoxide remover 115 , the vaporizer 111 , and the second combustor 123 differ from each other. The operating temperature of the upper part laminated body is within a range of 360-380° C., and the operating temperature of the lower part laminated body is within the range of 130-150° C. A space is here formed between the upper part laminated body at a higher temperature and the lower part laminated body at a lower temperature, and the member 31 in the shape of the aggregate pipe, which is thinner than each of the upper part laminated body and the lower part laminated body, connects the upper part laminated body with the lower part laminated body. Consequently, because the heat conduction route from the upper part laminated body to the lower part laminated body is limited to the member 31 , a temperature difference can be generated between the upper part laminated body and the lower part laminated body.
[0100] Incidentally, the present invention is not limited to the embodiment described above, but various improvements and the changes of the design thereof may be performed within a range of not-departing from the sprit and the scope of the present invention.
[0101] In the embodiment described above, the through holes 2 a - 17 a are ranged by stacking the members 2 - 31 to form the vaporizer 111 , and the through holes 18 a - 31 a are ranged to form the flow path 112 . Instead, it is possible to make a two-stage pipe 170 as shown in FIG. 16 penetrate the lower part laminated body of the members 2 - 30 from the lower part thereof to the upper part thereof without providing the things enclosing the through holes 2 a - 31 a in the members 2 - 31 . In this case, a part 171 having a larger diameter in the two-stage pipe 170 corresponds to the through holes 2 a - 17 a , and a part 172 having a smaller diameter in the two-stage pipe 170 corresponds to the through holes 18 a - 38 a . The top end of the two-stage pipe 170 is joined with the under surface of the plate member 31 , and the hollow in the part 172 having the smaller diameter communicates with the through hole 32 a of the plate member 32 . Furthermore, a selectively oxidizing catalyst is carried on the periphery of the two-stage pipe 170 , and consequently the selectively oxidizing catalyst faces the chambers 3 j - 29 j . Moreover, the selectively oxidizing catalyst joins the contact surface of the periphery of the two-stage pipe 170 and the members 2 - 31 .
Second Embodiment
[0102] FIG. 17 is a longitudinal sectional view of a reaction device 200 of a second embodiment.
[0103] Also the reaction device 200 has a small size similarly to the reaction device 100 of the first embodiment, and is mounted on an electronic device together with a fuel cell type generator cell and a fuel cartridge.
[0104] The reaction device 200 includes a heat insulating package 230 having an inside hollow, and a reaction device main body 250 housed in the heat insulating package 230 . The heat insulating package 230 is made of a metal material, such as stainless steel (for example, SUS 316L), and a metallic reflection film of aluminum, gold, silver, or copper is formed on the inner surface of the heat insulating package 230 . The inside of the heat insulating package 230 is made to be in a vacuum state.
[0105] The reaction device main body 250 includes a lower part laminated body 251 , an upper part laminated body 252 , a vaporizer pipe 270 penetrating the lower part laminated body 251 from the lower part thereof to the upper part thereof.
[0106] The vaporizer pipe 270 is formed to be two stages. That is, the vaporizer pipe 270 includes a large diameter cylindrical tube section 271 at the lower part and a small diameter cylindrical tube section 272 , which has a diameter smaller than that of the large diameter cylindrical tube section 271 and is connected to the upper end of the large diameter cylindrical tube section 271 . The vaporizer pipe 270 is the one forming the large diameter cylindrical tube section 271 and the small diameter cylindrical tube section 272 to be one body. A heating wire is patterned on the periphery of the top end of the large diameter cylindrical tube section 271 , or a combustor is provided at the circumference of the top end of the large diameter cylindrical tube section 271 inside the lower part laminated body 251 . The upper part of the large diameter cylindrical tube section 271 is heated by the heating wire and the combustor.
[0107] A liquid absorbing material 273 is filled up in the large diameter cylindrical tube section 271 of the vaporizer pipe 270 , and the upper end of the liquid absorbing material 273 is separated from the lower end of the small diameter cylindrical tube section 272 . An internal space is formed at the hollow upper part of the large diameter cylindrical tube section 271 . The liquid absorbing material 273 absorbs liquid. The liquid absorbing material 273 may be the one made by fixing inorganic fibers or organic fibers with a binder, the one made by sintering inorganic powder, the one made by fixing inorganic powder with a binder, or the one of a mixture of graphite and glassy carbon. The liquid absorbing material 273 is filled up into the large diameter cylindrical tube section 271 of the vaporizer pipe 270 in this way, and a vaporizer is configured from the large diameter cylindrical tube section 271 , a liquid supplying material 273 , and the like.
[0108] The lower part laminated body 251 is one made by putting each of frame members 202 , 204 , 206 , 208 , 210 , and 212 between each of a plurality of plate members 201 , 203 , 205 , 207 , 209 , 211 , and 213 , respectively, and by joining them. By the stacking of the plate members and the frame members 201 - 213 , the upper and lower sides of the frame members 202 , 204 , 206 , 208 , 210 , and 212 are covered, and chambers 202 j , 204 j , 206 j , 208 j , 210 j , and 212 j are formed inside the frame members 202 , 204 , 206 , 208 , 210 , 212 , respectively.
[0109] Moreover, each of the plate members 203 , 205 , 207 , 209 , and 211 is formed in a honeycomb, and a plurality of holes 203 g , 205 g , 207 g , 209 g , and 211 g is formed in the plate members 203 , 205 , 207 , 209 , and 211 , respectively.
[0110] A selectively oxidizing catalyst (for example, platinum) is carried on both the surfaces of each of the plate members 203 , 205 , 207 , 209 , and 211 ; the selectively oxidizing catalyst is carried on the top surface of the plate member 201 ; and the selectively oxidizing catalyst is carried on the under surface of the plate member 213 . The selectively oxidizing catalyst is carried on the periphery of the vaporizer pipe 270 . By the carrying of the selectively oxidizing catalyst in such a way, the lower part laminated body 251 functions as a carbon monoxide remover.
[0111] Through holes are formed at the central parts of the plate members 201 , 203 , 205 , 207 , and 209 , and the large diameter cylindrical tube section 271 of the vaporizer pipe 270 is inserted into the through holes. Moreover, through holes are also formed at the central parts of the plate members 211 and 213 , and the small diameter cylindrical tube section 272 of the vaporizer pipe 270 is inserted into the through holes, too. By the penetration of the vaporizer pipe 270 into the lower part laminated body 251 from the lower part thereof, the vaporizer made of the large diameter cylindrical tube section 271 and the like is provided to be inserted into the inside of the lower part laminated body 251 (carbon monoxide remover), and a combustor and a heater are provided around the top end of the vaporizer inside the lower part laminated body 251 .
[0112] The large diameter cylindrical tube section 271 of the vaporizer pipe 270 penetrates the heat insulating package 230 to extend to the outside of the heat insulating package 230 . A reformed gas exhausting pipe 245 is joined with the under surface of the plate member 201 , and the chamber 202 j communicates with the hollow of the reformed gas exhausting pipe 245 . The reformed gas exhausting pipe 245 penetrates the heat insulating package 230 to extend to the outside of the heat insulating package 230 . An air introducing pipe 242 is joined with the top surface of the plate member 213 , and a chamber 212 j communicates with the hollow of the air introducing pipe 242 . The air introducing pipe 242 penetrates the heat insulating package 230 to extend to the outside of the heat insulating package 230 .
[0113] The upper part laminated body 252 is made by putting each of frame members 215 and 217 between each of a plurality of plate members 214 , 216 , and 218 , respectively, and by joining them. By the stacking of the plate members and the frame members 214 - 218 , the upper and lower sides of the frame members 215 and 217 are covered, and chambers 215 j and 217 j are formed inside the frame members 215 and 217 , respectively.
[0114] The plate member 216 is formed in a honeycomb, and a plurality of holes 216 g are formed in the plate member 216 . A reforming catalyst (for example, Pd/ZnO catalyst) is carried on both the surfaces of the plate member 216 ; the reforming catalyst is carried on the under surface of the plate member 218 ; and the reforming catalyst is carried on the top surface of the plate member 214 . The upper part laminated body 252 is hereby functions as a reformer.
[0115] The upper end of the small diameter cylindrical tube section 272 is joined with the under surface of the plate member 214 , and a chamber 215 j communicates with the hollow of the small diameter cylindrical tube section 272 . A pipe 231 intervenes between the plate member 214 and the plate member 213 , and the chamber 215 j and the chamber 212 j communicate with each other through the pipe 231 .
[0116] Moreover, a heating wire is patterned on the under surface of the plate member 214 , and a combustor is provided at the upper part of the plate member 218 . Thereby, the upper part laminated body 252 is heated by the heating wire and the combustor.
[0117] Next, the operation of the reaction device 200 is described.
[0118] The upper part laminated body 252 is heated by the combustor and the heating wire provided on the upper part laminated body 252 , and the vaporizer pipe 270 and the lower part laminated body 251 are heated by the combustor and the heating wire provided around the vaporizer pipe 270 .
[0119] Moreover, when a mixed liquid of a fuel and water is sent from the fuel cartridge 101 to a lower part opening of the vaporizer pipe 270 , the mixed liquid is absorbed by the liquid absorbing material 273 . The mixed liquid absorbed by the liquid absorbing material 273 permeates to the upper end of the liquid absorbing material 273 by the capillary phenomenon, and vaporizes by heat in the inside and the surface of the upper end in the neighborhood of the upper end of the liquid absorbing material 273 . The mixture gas of the fuel and the water transpires from the upper end side of the liquid absorbing material 273 to the upper part.
[0120] The mixture gas that has transpires from the upper end side of the liquid absorbing material 273 passes through the small diameter cylindrical tube section 272 to be sent to the inside of the upper part laminated body 252 . When the mixture gas is flowing in the chambers 215 j and 217 j of the upper part laminated body 252 , hydrogen, carbon monoxide, and the like, are generated from the mixture gas by the operation of the reforming catalyst (if the fuel is methanol, the hydrogen, the carbon monoxide, and the like are generated in accordance with the chemical reaction formulae (1) and (2)).
[0121] The hydrogen gas and the like generated by the upper part laminated body 252 pass through the pipe 231 to be sent to the inside of the lower part laminated body 251 . Furthermore, the external air passes through the air introducing pipe 242 to be sent to the inside of the lower part laminated body 251 . When the gases sent from the upper part laminated body 252 to the lower part laminated body 251 are flowing through the chambers 202 j , 204 j , 206 j , 208 j , 210 j , and 212 j , carbon monoxide in the gases is preferentially oxidized by the catalyst, and the carbon monoxide is removed. The gases in the state in which the carbon monoxide has been removed pass through the reformed gas exhausting pipe 245 to be ejected. The gases are then sent to the fuel cell type generator cell.
[0122] By the insertion of the top end of the large diameter cylindrical tube section 271 , which is a vaporizer, from the lower end of the lower part laminated body 251 to the inside thereof, the balance of the heat generated by the oxidization of carbon monoxide inside the lower part laminated body 251 and the heat used for vaporization in the liquid absorbing material 273 becomes good. Consequently, the lower part laminated body 251 and the large diameter cylindrical tube section 271 can be operated in a suitable temperature range (for example, 130-150° C.), and the temperature inside the lower part laminated body 251 does not become too hot to improve the efficiency of using heat. Moreover, a temperature distribution in which the temperature at the top end of the large diameter cylindrical tube section 271 is higher and the temperature at the bottom end is lower is produced in the large diameter cylindrical tube section 271 , and the mixed liquid of the fuel and the water absorbed by the liquid absorbing material 273 becomes easy to evaporate in the neighborhood of the top end of the liquid absorbing material 273 . Consequently, the quantity of the gas that has transpired from the liquid absorbing material 273 is stabilized.
[0123] As described above, because heat is generated by the oxidization of carbon monoxide in the carbon monoxide remover and the vaporizer is provided to be inserted inside the carbon monoxide remover, the heat generated in the carbon monoxide remover is used for the vaporization in the vaporizer, and the balance of the heat generation of the carbon monoxide remover and the heat absorption of the vaporizer becomes better. The heat generated by the carbon monoxide remover easily fills the inside of the carbon monoxide remover, and the temperature inside the carbon monoxide remover becomes easy to rise. But, because the vaporizer is provided to be inserted into the inside of the carbon monoxide remover, the temperature inside the carbon monoxide remover does not become a too high temperature. Consequently, the efficiency of using heat is improved.
[0124] The entire disclosure of Japanese Patent Application No. 2006-263127 filed on Sep. 27, 2006 including description, claims, drawings, and abstract are incorporated herein by reference.
[0125] Although various exemplary embodiments have been shown and described, the invention is not limited to the embodiments shown. Therefore, the scope of the invention is intended to be limited solely by the scope of the claims that follow. | A reaction device can raise heat use efficiency. The reaction device includes a carbon monoxide remover removing carbon monoxide, and a vaporizer provided inside the carbon monoxide remover to vaporize fuel. | 91,821 |
BACKGROUND OF THE INVENTION
The present invention relates to a body frame of a small-sized vehicle such as a motorcycle a motortricycle or the like, and more particularly to an interconnecting structure between frame elements forming a body frame of such a small-sized vehicle.
In the case of employing a pipe frame for a body frame of such a small-sized vehicle, upon connecting respective frame pipes, a lug is used and a lug and frame pipes are jointed together by welding or brazing, or else a lug is omitted and frame pipes are directly jointed together by arc welding. Not only are skilled operations necessitated for achieving such jointing, but also the frame pipes and the lug must be brought to a red hot state over a wide range, hence thermal strain is liable to occur and so the strain must be reformed after jointing. In order to carry out this type of work, special treatment equipment is necessitated, which increases an amount of work and brings about higher cost.
Moreover, when frame pipes made of light alloy material are used for a body frame of a small-sized vehicle, generation of blowholes within a welding metal, inclusion of slag, cracking by welding, etc. are liable to occur, and therefore a very skilled welding operative is necessitated.
SUMMARY OF THE INVENTION
It is therefore one principal object of the present invention is to provide an interconnecting structure between frame elements forming a body frame of a small-sized vehicle, which does not rely upon welding connection.
Another object of the present invention is to provide an improved body frame of a small-sized vehicle in which even frame elements made of different materials can be rigidly interconnected with each other.
Still another object of the present invention is to priovide an improved body frame of a small-sized vehicle which does not necessitate a skilled operative for interconnecting frame elements.
Yet another object of the present invention is to provide an improved body frame of a small-sized vehicle which does not necessitate a special treatment equipment nor an additional amount of work for reforming frame elements after the frame elements have been interconnected with each other.
A further object of the present invention is to provide an improved body frame of a small-sized vehicle which can be manufactured with less labor and at a lower cost than such body frames in the prior art by employing a novel interconnecting structure between frame elements.
A still further object of the present inention is to provide an improved body frame of a small-sized vehicle in which frame elements are rigidly interconnected with each other against torsional moments exerted upon the frame elements.
According to one feature of the present invention, there is provided an interconnecting structure between frame elements forming a body frame of a small-sized vehicle, in which the frame elements to be interconnected are fitted to each other, and the fitting portions thereof are fixedly secured to each other by means of an adhesive agent.
According to another feature of the present invention, there is provided an interconnecting structure between frame elements forming a frame body of a small-sized vehicle, in which the frame elements to be interconnected are fitted to each other, and the fitting portions thereof have a non-circular cross-section shape and are fixedly secured to each other by means of an adhesive agent.
According to still another feature of the present invention, there is provided a body frame of a small-sized vehicle, in which frame elements forming the body frame have a non-circular cross-section shape at their portions to be interconnected, and the interconnecting portions of the frame elements are fitted to each other and fixedly secured to each other by means of an adhesive agent.
The above-mentioned and other features and objects of the present invention will become more apparent by reference to the following description of preferred embodiments of the invention taken in conjunction with the accompanying drawings.
BRIEF DESCRIPTION OF THE INVENTION
FIG. 1 is a perspective view partly cut away showing an interconnecting structure between frame elements in a motorcycle body frame according to one preferred embodiment of the present invention,
FIG. 2 is a perspective view of a head pipe that is one of the frame elements,
FIG. 3 is a perspective view of a cover member to be integrally jointed and secured to the head pipe,
FIG. 4 is a perspective view of an essential part of a main pipe to be connected to the head pipe and the cover plate which cooperate with each other,
FIG. 5 is a schematic elevation view of a motorcycle which empolys an interconnecting structure for frame elements according to another preferred embodiment of the present invention,
FIG. 6 is a perspective view partly cut away illustrating one interconnecting structure between frame elements shown in FIG. 5,
FIG. 6 is a disintegrated perspective view of the same interconnecting structure,
FIG. 8 is a disintegrated perspective view similar to FIG. 7 showing a modified embodiment of the interconnecting structure between frame elements illustrated in FIGS. 6 and 7,
FIG. 9 is a perspective view of an essential part of a motorcycle employing an interconnecting structure between frame elements according to still another preferred embodiment of the present invention, and
FIG. 10 is a cross-section view showing an essential part of the interconnecting structure between frame elements shown in FIG. 9.
DESCRIPTION OF PREFERRED EMBODIMENTS
One preferred embodiment of the present invention is illustrated in FIGS. 1 through 4. A body frame of a motorcycle comprises a principal frame consisting of a head pipe which rotatably supports a rotary shaft of a steering handle, main pipes rigidly connected to the head pipe and extending over an engine towards the rear of a vehicle body, and down tubes which are also rigidly connected to the head pipe, extending downwards in front of the engine, further extending towards the rear of the vehicle body at the level of the bottom of the engine while supporting the engine, and are either directly connected to the rear end of the main pipe or connected to a lower end of a center pillar connected to the main pipe.
FIG. 1 shows a front head portion of such a body frame in a perspective view, in which a pair of main pipes 34 and a pair of down tubes 44 are connected to a head pipe 10. For the purpose of clarifyng the interconnecting relationship of these frame elements, at first description will be made individually on the configurations of the respective frame elements.
The head pipe 10 is formed of a head pipe main body 12, and upper and lower pairs of branch pieces 14 and 16, respectively, which project from a peripheral wall of the head pipe main body 12 in a V-shaped arrangement (See FIG. 2). The branch pieces 14 and 16 are pieces of substantially U-shape in cross-section having first pipe fitting grooves 18 and 20, respectively, on their outside surfaces, and with regard to the groove widths of the first pipe fitting 18 and 20, a groove width W of the portions near to the base ends of the branch pieces 14 and 16 is made larger than a groove width W o of the tip end portions and a groove width Wmax at the positions on the periphiral wall portions of the head pipe main body 12 is made the maximum. In FIG. 2, reference numerals 15 and 17 designate holes for inserting rivets.
A cover member 22 is formed of a curved base plate portion 24 covering a front surface of the peripheral wall of the head pipe main body 12, and upper and lower pairs of branch pieces 26 and 28, respectively, which extend from the bass plate portion 24 in a V-shaped arrangement, and there are provided second pipe fitting grooves 30 and 32 extending from inside surface portions the base plate portion 24 along the inside surfaces of the respective branch pieces 26 and 28. The branch pieces 26 and 28 are pieces of substantially U-shape in cross-section (See FIG. 3). The second pipe fitting grooves 30 and 32 have configurations coresponding to those of the first pipe fitting grooves 18 and 20 in the head pipe 10, and the groove width on the side of the base plate portion 24 is larger than the groove width on the side of the branch pieces 26 and 28. In FIG. 3, reference numerals 27 and 29 designate holes for inserting rivets.
The main pipe 34 is an elongated body having a rectangular transverse cross-section, and in a pair of opposed walls of the tip end portion thereof to be connected to the head pipe 10 are formed slots 40 from their tip end edges, and a wedge 42 is struck into a tip end opening of the main pipe 34. In other words, in the main pipe 34 at its tip end portion another pair of opposed walls 38 are diverged outwardly, and so the distance between the opposed walls 38 is larger at the tip end portion than at the other portion (See FIG. 4). In FIG. 4, reference numeral 37 designates holes for inserting rivets. It is to be noted that since the configuration of a connecting portion of the down tube 44 is the same as that of the main pipe 34, further description and illustration thereof will be omitted.
Now, the method for assembling the respective members will be explained. At first, a structural adhesive agent (for example, epoxy resin, acrylic resin, etc.) is applied to outer peripheral surfaces of the connecting portions of the pair of main pipes 34 and the pair of down tubes 44, and these connecting portions are inserted into the first pipe fitting grooves 18 and 20 in the respective branch pieces 14 and 16 of the head pipe 10 from the sidewise directions of the branch pieces 14 and 16. Thereupon, the main pipes 34 and the down tubes 44 are inserted so that the diverged portions at the tip ends of the main pipes 34 and the down tubes 44 may just fit into the base end portions having an enlarged groove width of the first pipe fitting grooves. Subsequently, the above-described structural adhesive agent is applied either to the entire inner wall surface of the cover member 22 or to the portion of the inner wall surface of the cover member 22 except for the portions making contact with main pipes 34 and the down tubes 44, and the cover member 22 is jointed so as to cover the head pipe main body 12 and the connecting portions of the main pipes 34 and the down tubes 44 whose surfaces are already applied with the structural adhesive agent. Through these procedures, the main pipes 34 and the down tubes 44 protruding from the first pipe fitting grooves 18 and 20, respectively, and the second fitting grooves 30 and 32 would fit to each other, and flange portions 31 and 33 of the second pipe fitting grooves 30 and 32 would be jointed to the flange portions 19 and 21 of the first pipe fitting grooves 18 and 20 so as cover the latter.
Thereafter, the branch piece 14, the main pipe 34 and the branch piece 26 are connected together as reinforced by means of rivets 46 (FIG. 1) passing through the rivet insert holes 15, 27 and 37, while the branch piece 16, the down tube 46 and the branch piece 28 are connected together as reinforced by means of rivets 48 (FIG. 1). It is to be noted that the rivets 46 and 48 used as temporary reinforcing means during the period for curing the adhesive agent can also function as permanent auxiliary connecting means.
Owing to the above-described connecting relationship between the head pipe 10 and the respective pipe members 34 and 44, there exists an advantage that even if forces directed in the directions of extracting the respective pipes 34 and 44 from the locking holes formed by the first and second pipe fitting grooves 18 and 30 and by the first and second pipe fitting grooves 20 and 32, respectively, are exerted upon the main pipes 34 and the down tubes 44, respectively, excessive shearing forces would not act upon the layers of the adhesive agent because the diverged portions at their tip ends are confined by the narrow width portions of the first pipe fitting grooves 18 and 20 and the second pipe fitting grooves 30 and 32. In addition, even if forces adapted to separate the branch pieces 14 and 16 respectively from the branch pieces 26 and 28 are exerted upon the main pipes 34 and the down tubes 44, an anti-separation property between the joint surfaces of the respective members is excellent and the interconnection between the respective members can be stably maintained, because in addition to the mutual jointing between the respective members by means of an adhesive agent, they are supplementarily jointed by means of the rivets 46 and 48. And, while bending moments act upon the branch pieces 14, 16, 26 and 28 due to the above-mentioned forces, these members 14, 16, 26 and 28 are hardly deformed because they have a U-shaped transverse cross-section and thus have a great rigidity. Furthermore, even if torsional moments should act upon the connecting portions between the head pipe 10 and the respective pipes 34 and 44, relative displacements along the jointing surfaces therebetween would not occur owing to the fact that the transverse cross-section shape of the respective members at the connecting portions is a rectangular shape. Still further, although thermal deformations would be generated at the connecting portions according to a welding connection process, with the interconnecting structure according to the illustrated embodiment of the present invention in which the respective pipe members are jointed be means of an adhesive agent, thermal deformation would never be generated at the connecting portions, and hence a treatment for removing thermal strains normally included in an interconnecting work is unnecessary, so that production efficiency can be improved and lowering of costs can be achieved; Also, in contrast to the fact that in the case of employing pipe members made of light alloy material as the frame elements and interconnecting them by welding, a skilled operation technique is necessitated, the work of interconnecting the respective frame elements by means of an adhesive agent is relatively easy, and so, it has an advantage that a skilled operation technique is not necessitated. Moreover, if an adhesive agent is used, even interconnection between members made of different materials such as between a pipe member made of light alloy material and a pipe member steel, can be effected easily. This implies that reduction of a manufacturing cost as well as realization of a light weight of a vehicle body can be achieved by arbitrarily combining frame elements made of expensive materials and frame elements made of less expensive materials and by partly employing frame elements made of light-weight materials according to necessity.
It is to be noted that while the main pipes 34 and the down tubes 44 had a rectangular transverse cross-section shape througout their entire lengths in the above-described embodiment, it is also possible to use pipe members having a circular transverse cross-section except for the connecting portions thereof to the head pipe 10 in place of the above-described pipe members.
Now description will be made on another preferred embodiment of the present invention shown in FIGS. 5 to 7, a modified embodiment to the same shown in FIG. 8, and a still further embodiment of the present invention shown in FIGS. 9 and 10.
FIG. 5 shows a motorcycle 50 in a schematic elevation view. A body frame of the motorcycle 50 comprises a main frame consisting of a head pipe 52, main pipes 54 and down tubes 56 connected to the head pipe 52, seat rails 58 connected to the main pipes 54, center pillars 55 integrally formed with the main pipes 54, and back stays having one of their ends connected to the down tubes 56 and their other ends, that is, the top ends connected to the seat rails 58.
FIG. 6 shows in an enlarged perspective view a connecting member 62 for jointly connecting the center pillar 55, the back stay 60 and the down tube 56 (only connecting member positioned on the right side of a vehicle body being illustrated).
Each of the connecting members positioned respectively on the left and right sides of the vehicle body is a three-forked member, and tip end portions of its respective branch pieces 64, 66 and 68 are formed in a thinned rectangular rod shape serving as engaging portions 65, 67 and 69 for fitting into the respective frame elements. These respective engaging portions 65, 67 and 69 are fittid via the above-described structural adhesive agent into the down tube 56, the center pillar 55 and the back stay 60, respectively.
In addition, each of the left and right connecting members 62 has a rear fork mounting hole 63, and a rear fork 84 is swingably supported by a pivot bolt inserted into the rear fork mounting hole 63.
Furthermore, a cross pipe 76 is provided between the left and right connecting members 62. On this cross pipe 76 are integrally provided a pair of brackets 78 for mounting cushion links for the rear fork 84 as projected therefrom, and besides, a rib 80 adapted to divide the inner hollow space of the cross pipe main body into two chambers is provided integrally with the cross pipe 76 as shown in FIG. 7.
On the inside surface of the connecting member 62 is integrally provided a boss 70 serving as an engaging menber as projected therefrom, a slot 72 and a rivet insert hole 74 are formed in the boss 70, and the cross pipe 76 is tightly fitted to the boss 70 via the above-described structural adhesive agent. The rib 80 fits into the slot 72 (See FIG. 7).
In order to connect the cross pipe 76 to the connecting member 62, after an adhesive agent has been preliminarily applied either onto the entire surface of the boss 70 including the inside surface of the slot 72 or pnto the inner surface of the cross pipe 76 including the surface of the rib 80, the cross pipe 76 is fitted to the boss 70, then the both members 70 and 76 are temporarily connected by means of a rivet 82, and subsequently, the adhesive agent is cured by heating (in the case of a thermosetting resin) or by natural cooling (in the case of a thermoplastic resin). In this connection, even after the adhesive agent has been cured, it is desirable to leave the rivet 82 mounted as means for preventing disconnection.
In this way, the cross pipe 76 can be firmly jointed to the boss 70 of the connecting member 62. It is to be noted that although a torsional moment is exerted upon the cross pipe 76 due to the fact that the cushion links for the rear fork 84 are connected to the brackets 78, since the rib 80 of the cross pipe 76 is fitted in the slot 72 of the boss 70, the cross pipe 76 would not rotate around the boss 70. In addition, against a bending moment exerted upon the cross pipe 76 by the rear fork 84 via the cushion links, a sufficient mechanical strength and a sufficient rigidity of the cross pipe 76 can be assured by preliminarily aligning the direction of the rib 80 with the direction of the force generating the bending moment.
A boss 88 provided in association with a connecting member 86 shown in FIG. 8 which illustrates a modified embodiment to the connecting member 62, has a oval cross-section shape, and a cross pipe 90 to be fitted to this boss 88 via an adhesive agent also has an oval cross-section shape. In this modified embodiment also, similar effects and advantages to the first described embodiment can be realized. It is to be noted that if the direction of the major diameter of the cross pipe 90 is aligned with the direction of application of a bending load, then the resistance against the bending load is large, and so, this alignment is favorable. For the cross-section shape of the boss 88, besides the above-mentioned oval shape, an elliptic, rectangular or other shape can be employed.
In another preferred embodiment shown in FIG. 9, a cross pipe 102 is connected to left and right main pipes 100 by means of a similar connecting structure to that of the above-described embodiments. On the cross pipe 102 are integrally provided brackets 104 as projected therefrom, and to the brackets 104 is connected on end of a rear cushion 106. The other end of this rear cushion 106 is connected via cushion links 108 to a front portion of a rear fork 110. The connecting structure between the cross pipe 102 and the main pipe 100 is shown in FIG. 10, in which a boss 101 integrally formed on the main pipe 100 as projected therefrom and the cross pipe 102 are jointed by means of the above-described adhesive agent.
As will be apparent from the above description, according to the present invention a novel connecting structure between frame elements in a body frame of a small-sized vehicle has been provided. According to this connecting structure, frame elements are mutually jointed and interconnected by means of an adhesive agent under a mutually fitted relationship, and the cross-section shape of the frame elements at least at their connecting portions is made non-circular. Therefore, according to the present invention, the following advantages can be obtained. That is, the advantages are that even if a torsional moment is exerted upon the interconnected frame elements, the connecting relationship at the connecting portion is always stable, that even in the case of interconnecting frame elements made of different materials, the connection can be effected easily in the quite same manner as in the case of interconnecting frame elements made of the same material, that a skilled operation technique is not necessitated for carrying out interconnection between frame elements, and that reduction of a weight of a vehicle body as well as lowering of a manufacturing cost can be achieved.
Since many changes and modification can be made to the above-described construction without departing from the spirit of the present invention, it is intended that all matter contained in the above description and illustrated in the accompanying drawings shall be interpreted to be illustrative and not as a limitation to the scope of the invention. | A body frame of a small-sized vehicle such as a motorcycle or the like is assembled by interconnecting a plurality of frame elements. Among at least one pair of the frame elements, a connecting portion of one frame element is fitted into a connecting portion of the other frame element, and the respective connecting portions are firmly connected with each other by means of an adhesive agent. Moreover, the cross-section shapes of the both connecting portions are made non-circular, that is, not a simple circular shape, and thereby the interconnecting structure is very strong and rigid against a torsional force exerted thereupon. | 22,410 |
BACKGROUND OF THE INVENTION
1. Field of the Invention
The present invention relates to an anode used for corrosion protection of a reinforcing steel covered with a concrete layer, a corrosion-protecting structure of a concrete constructions using the same and a corrosion protection method of the concrete constructions.
2. Description of the Conventional Art
There has been known an electric corrosion protection which lowers an electric potential of a steel product to a corrosion-free electric potential by applying an electric current to the steel product such as a reinforcing steel in a concrete from an electrode (an anode) which is installed in the vicinity of a surface of the concrete, thereby suppressing progress of the corrosion of the steel product. An impressed current system and a galvanic anode have been known as the electric corrosion protection.
The impressed current system is a cathode corrosion protection in which an electric circuit is produced by connecting a positive pole of a DC power supply device to a steel product corrosion protecting an anode and a negative pole by an electric conductor, and a corrosion protection current is applied to the steel product from the anode.
The galvanic anode system is structured such that a galvanic anode (a sacrificial anode) is connected to the steel product by the electric conductor, the galvanic anode being made of a material having a lower oxidation-reduction potential than the steel product to be electrically corrosion protected, for example, a base metal such as zinc, magnesium or aluminum or alloys thereof, and the metal of the galvanic anode is ionized in place of the steel product so as to prevent corrosion of the steel product. In other words, the galvanic anode system is a method of completing an electric battery by using the corrosion protecting steel product as the cathode and using a material having a lower oxidation-reduction potential than the steel product as the anode, and flowing a corrosion protection current to the steel product on the basis of difference in potential between both the electrodes.
However, since the galvanic anode system depletes the material having the low oxidation-reduction potential with age, the galvanic anode system has such a problem that it is necessary to periodically change the galvanic anode.
On the other hand, since the impressed current system is structured such that the anode having a high corrosion resistance such as a titanium mesh, a titanium grid or a titanium rod is installed to a surface of the concrete or installed by forming a groove or a hole on the surface, and is fixed by a mortar, it is not necessary to periodically change the anode, however, there is such a problem that the anode having the high corrosion resistance is expensive and is disadvantageous in cost, and it takes a lot of trouble with construction.
Further, there is a method of attaching platinum titanium wires to a concrete surface at intervals, and coating a whole surface of the concrete with a conductive coating material, however, since an electric potential distribution of a contact surface between a conductive coating film and the concrete is not uniform, there is such a problem that the conductive coating film is deteriorated by an electrochemical reaction and tends to be peeled.
With regard to the problems mentioned above, in recent years, there has been proposed a corrosion protection method utilizing a carbon fiber or a carbon powder while paying attention to the carbon fiber which is used for reinforcing at the time of repairing the concrete constructions.
For example, patent document 1 proposes an electric corrosion protection method of a reinforced concrete, the method attaching a material having a specific air permeability which is hard to pass salt content and water content to an inner side, attaching a sheet coated with a nonwoven fabric of a carbon fiber or a carbon powder to an inner side thereof, further attaching a protection cover coated with a non-shrink mortar in an inner side thereof to the outside of the reinforced concrete constructions, connecting a metal having a high corrosion resistance and the sheet in an end portion of the protection cover so as to form a current-carrying point in an anode side, forming a hole in the concrete at an appropriate position, and connecting the metal to the reinforcing steel so as to form a current-carrying point in a cathode side.
Further, patent document 2 proposes a corrosion protection method of attaching a carbon fiber sheet onto a surface of the existing concrete constructions including a steel product provided within the concrete, via a conductive adhesive agent, and applying an electric current so that the steel product is a cathode and the carbon fiber sheet is an anode.
Further, patent document 3 is proposed since it is hard to freely adjust a conductive property and an adhesion strength of the conductive adhesive agent in the proposal in the patent document 2, and proposes a corrosion protection method of applying an electric current so that a cathode is constructed by a steel product of a corrosion protection reinforced concrete assembly in which an adhesive agent layer for bonding a concrete constructions and a carbon fiber sheet is arranged so as to be sectioned from a layer of a conductive material having a higher conductive property than the adhesive agent, the adhesive agent layer and the steel product being arranged between a surface of the concrete constructions and the carbon fiber sheet, and an anode is constructed by the carbon fiber sheet.
Further, combination of a backfill is carried out as a means for assisting the proposals. For example, patent document 4 proposes a backfill for an electric corrosion protection of a concrete constructions which includes a water-absorbing resin and an alkaline aqueous solution and is in a gel state. According to the proposal, it is possible to prevent a liquid leakage of the backfill even in the case that the electric current is applied for a long time, an ionic conductive property and a water property are good, an excellent alkali buffer action is exhibited, and it is possible to apply such a service life property that an exciting performance is less reduced.
PRIOR ART DOCUMENT
Patent Document
Patent Document 1: Japanese Unexamined Patent Publication No. 2003-27607
Patent Document 2: Japanese Unexamined Patent Publication No. 11-200516
Patent Document 3: Japanese Unexamined Patent Publication No. 2004-27709
Patent Document 4: Japanese Unexamined Patent Publication No. 2008-127678
SUMMARY OF THE INVENTION
Problem to be Solved by the Invention
However, the proposal of the patent document 1 is structured such as to let out gas such as oxygen and chlorine which is generated by an electrochemical reaction, to an external portion, by bonding a breathable carbon sheet to the concrete by the mortar, however, since an electrolysis occurs in an interface between the carbon sheet and the mortar at the exciting time and the gas is generated, there is such a problem that a chap or a crack is formed in the mortar, and the carbon sheet tends to be peeled off. Accordingly, in the proposal of the patent document 1, the carbon sheet is fixed by screw fastening a rigid protection cover such as an FRP mold form. As a result, the carbon sheet is not peeled off, however, the carbon sheet and the mortar are insufficiently bonded due to the generated gas with age, and the electric current is hard to flow due to the reduction of degree of adhesion. Therefore, it is necessary to apply a higher electric voltage for securing a predetermined corrosion protection current.
On the other hand, since the proposal of the patent document 2 is structured such that the carbon fiber sheet is attached onto the surface of the concrete constructions via the conductive adhesive agent, it is possible to obtain an adhesion force which has a higher reliability in comparison with the case that the bonding by the mortar. Further, since an electric potential distribution of the concrete surface becomes uniform at the time of carrying out the electric corrosion protection, on the basis of the conductive property of the carbon fiber sheet, and it is possible to reduce the generation of the chlorine gas, it is possible to achieve the corrosion protection without enhancing the applied electric voltage.
However, in the case that content rate of the conductive property particles of the carbon and the metal in the conductive adhesive agent is raised for increasing the conductive property, the adhesion force is lowered. Further, in the case that the content rate of the conductive property particles of the carbon and the metal in the conductive adhesive agent is lowered for reducing the adhesion force, the conductive property is lowered. Therefore, it becomes hard to freely adjust the conductive property and the adhesion strength of the conductive adhesive agent.
The proposal of the patent document 3 which solves the problem in the proposal of the patent document 2 is structured such that the adhesive agent layer for bonding the concrete constructions surface and the carbon fiber sheet is arranged so as to be sectioned from the layer of the conductive property material having the higher conductive property than the adhesive agent. In other words, since the adhesive agent layer and the conductive layer are provided in a stripe manner, it is possible to adjust the conductive property and the adhesion strength of the conductive adhesive agent freely to some degree.
However, the electric potential distribution of the concrete surface becomes uneven between the portion in which the conductive layer exists and the portion in which the conductive layer does not exist; and it is necessary to make the applied electric voltage higher to some degree for obtaining a predetermined electric current which is necessary for the corrosion protection.
Further, the work of providing the adhesive agent layer and the conductive layer in the stripe manner is achieved by a field construction, and is necessarily carried out overhead in the corrosion protection construction which is frequently applied to a back surface of the structure such as a floor plate of a bridge, so that the construction is extremely complicated and is not practical.
Further, in any of the proposals in the patent documents 1 to 3, even if the carbon sheet can be adhered to the surface of the concrete layer, an energy barrier is great in the interface between the concrete and the conductive adhesive agent when the movement of a positive electric charge caused by an electric current supplied from a positive pole of an external power supply changes to the movement of the positive electric charge which is transported to the reinforcing steel on the basis of an ionic conduction in the concrete. In the case that an electrochemical polarization is generated by the barrier, and a predetermined electric current necessary for corrosion protection is applied, the applied electric voltage becomes higher. Therefore, in any of the proposals in the patent documents 1 to 3, it is hard to hold down the applied electric voltage so as to achieve the electric corrosion protection in which the gas generation by the electrolysis of the water and the chlorine chemical compound is less.
Further, in any of the proposals in the patent documents 1 to 3, the work of adhering the concrete surface and the carbon sheet is mainly achieved by the field construction, and it is necessary to carry on the work while taking into consideration the time for which the mortar or the adhesive agent is dried or cured. In some cases, there is a case that it is necessary to wait until the mortar or the adhesive agent is dried or cured. Further, in the corrosion protection construction in which the back surface such as the floor plate of the bridge is frequently treated, the field construction tends to be a hard work.
Further, for example, even by employing the backfill as described in the patent document 4, the backfill itself does not have a function of reinforcing the adhesion between the concrete surface and the carbon sheet. Therefore, in the electric current application for a long period, the degree of adhesion between the concrete surface and the anode is lowered, the electrochemical polarization becomes larger, and the rising of the applied electric voltage is unavoidable. Further, since the work of fixing the outer container to the concrete constructions surface and filling with the backfill is added, this structure does not contribute to the reduction of the working amount in the construction field.
The present invention is made by taking the circumstances mentioned above into consideration, and an object of the present invention is to provide an anode which can reduce a working amount in a construction field as much as possible, can hold down an applied electric voltage and can achieve an electric corrosion protection in which gas is less generated by an electrolysis of water and chlorine chemical compound, a corrosion-protecting structure of a concrete constructions using the same, and a corrosion protection method.
Means for Solving the Problem
The inventors of the present invention have devoted themselves to make a study of an anode in which an electric potential distribution of a concrete surface is uniform at the time of carrying out an electric corrosion protection, and a movement of an electron to an external power supply is efficiently converted into a movement of a positive ion in the concrete, for solving the problem mentioned above. As a result, they have conceived using an electrolyte layer formed as a sheet having adhesive power possible to attach to the surface of the concrete. For example, a sheet of a gel electrolyte such as a conductive hydro gel (hereinafter, refer also to as “hydro gel”) can be made smaller its electrochemical polarization in an interface with a conductive layer by an ion which is included in a solvent of the gel (water in the case of the hydro gel) which is richer in comparison with the concrete. Further, the anode can be attached to the surface of the concrete on the basis of an adhesion property of a resin matrix constructing the gel electrolyte. As a result, since an adhesion between the gel electrolyte and the concrete layer becomes higher, an ion conduction tends to be caused. Further, it is possible to reduce a work rate in the construction field at the time of installing the anode. The inventors of the present invention have completed the present invention on the basis of the knowledge.
The present invention provides the following anode.
(1) An anode comprising the conductive layer formed as a sheet, and a first electrolyte layer formed as a sheet and having adhesive power possible to attach to the conductive layer and a surface layer of an object to be protected from corrosion, wherein the first electrolyte layer is attached to one surface of the conductive layer.
(2) The anode according to the item (1), wherein the conductive layer includes carbon material.
(3) The anode according to the item (2), wherein the carbon material is supported by a base of fiber or a base of film.
(4) The anode according to the item (3), wherein the carbon material is carbon powder.
(5) The anode according to any one of the items (1) to (4), wherein the conductive layer has many gas permeable apertures.
(6) The anode according to any one of the items (1) to (5), wherein the conductive layer has many ion permeable apertures, and a second electrolyte layer which has an electrolyte formed as a sheet and has an adhesive power possible to attach to the conductive layer is attached to the other surface of the conductive layer.
(7) The anode according to any one of the items (1) to (6), wherein the outside of the conductive layer or the second electrolyte layer is covered with a protection layer.
Further, the present invention provides the following corrosion-protecting structure of the concrete constructions and the following corrosion protection method of the concrete constructions.
(8) A corrosion protection structure for concrete constructions, concrete constructions wherein the anode according to any one of the items (1) to (7) is attached to a surface of the concrete constructions by using the first electrolyte layer, the conductive layer of the anode is connected to a positive pole of an external power supply, and a negative pole of the external power supply is connected to the an object to be protected from corrosion.
(9) A corrosion protection method of a concrete constructions, the method applying an electric voltage between the conductive layer of the anode and the an object to be protected from corrosion so as to apply a corrosion protection current, by using the corrosion-protecting structure of the concrete constructions according to the item (8).
Effect of the Invention
According to the anode of the item (1), since the first electrolyte layer having the electrolyte formed as the sheet and having the adhesive power possible to attach to the conductive layer and the surface layer of the an object to be protected from corrosion is attached to one surface of the conductive layer so as to form a laminated structure, it is possible to attach the anode to the surface layer of the an object to be protected from corrosion by using the surface to which the conductive layer is not attached in the first electrolyte layer. As a result, it is possible to widely reduce a work rate in the construction field for installing the anode.
Further, since the conductive layer formed as the sheet and the gel electrolyte formed as the sheet are closely contacted uniformly in a wide area, an electric potential distribution of the surface layer of the an object to be protected from corrosion becomes uniform at the time of carrying out an electric corrosion protection. Further, since the movement of the electric charge from the external power supply is efficiently converted into the ion conduction of the electrolyte by the ion of the electrolyte which is richer in comparison with the concrete, it is possible to make an electrochemical polarization smaller. As a result, since it is possible to set the electric voltage applied to the anode lower, it is possible to reduce generation of gas on the basis of an electrolysis of water and chlorine chemical compound.
Further, since the anode 10 according to the present invention can obtain a corrosion protection effect even if the applied electric voltage is small, the anode can achieve the corrosion protection by using an independent power supply such as a solar battery, a fuel battery or a dry battery, without using any commercial power source requiring a power supply unit which is expensive and takes a lot of trouble for installation.
Further, since the anode 10 according to the present invention employs the electrolyte layer in a contact point with the concrete, the anode does not come into direct contact with a foreign body. Therefore, the anode according to the present invention can scale back the influence of a short circuit and an electric corrosion.
According to the anode of the item (2), in addition to the effect of the anode of the item (1), since any metal having a high corrosion resistance such as an expensive titanium is not necessarily used for the anode, an advantage in cost can be obtained. Further, since the carbon material is lighter than the metal, it is possible to make the anode lighter.
According to the anode of the item (3), in addition to the effect of the anode of the item (2), since the carbon material can be supported to the base material of the synthetic resin, the corrosion resistance is high, and it is possible to adjust a conductive property and achieve a cost reduction.
According to the anode of the item (4), in addition to the effect of the anode of the item (3), since the inexpensive carbon power can be used, an advantage in cost can be obtained.
According to the anode of the item (5), in addition to the effects of the anode of the items (1) to (4), since the conductive layer has many gas permeable apertures, it is possible to release the gas generated in the interface with the first electrolyte layer, in the case that the corrosion protection is achieved by applying a great electric current. As a result, it is possible to prevent the conductive layer from being partly peeled off from the first electrolyte layer. Therefore, in relation to the reinforcing steel in which the corrosion progresses, the corrosion can be restrained by applying the electric voltage flowing the great electric current, as a first stage, and the corrosion protection can be achieved by applying the electric voltage which less generates the gas on the basis of the electrolysis of the water and the electrolyte as a second stage in the case that a passive state membrane is formed.
According to the anode of the item (6), in addition to the effects of the anode of the items (1) to (5), since the second electrolyte layer solidified as the sheet is further attached to the other surface to which the first electrolyte layer of the conductive layer is not attached, both surfaces of the conductive layer can be closely contacted with the electrolyte layer. As a result, since the electronic conduction is converted into the ion conduction in both surfaces of the conductive layer, it is possible to make the electrochemical polarization further smaller.
According to the anode of the item (7), in addition to the effects of the anode of the items (1) to (6), it is possible to prevent physical damage and soil of the conductive layer or the second electrolyte layer, and intrusion of rain water and flying salt content without reduction of a handling property and a construction property of the anode.
According to the corrosion-protecting structure of the item (8), in addition to the same effects as those of the anode of the items (1) to (7), the construction of the corrosion protection is easily carried out, the work rate in the construction field is widely reduced, and it is possible to achieve the corrosion protection of the concrete constructions without any risk of peeling of the anode.
According to the corrosion protection method of the item (9), in addition to the same effects as those of the corrosion-protecting construction of the item (8), since it is possible to hold down the applied electric voltage even in the case that the great electric current is used for the corrosion protection, it is possible to carry out a stable electric corrosion protection for a long period.
BRIEF EXPLANATION OF THE DRAWINGS
FIG. 1 is a cross sectional view schematically showing a corrosion-protecting structure of a concrete constructions using an example of an anode according to the present invention;
FIG. 2 is a cross sectional view schematically showing a corrosion-protecting structure of a concrete constructions using the other example of the anode according to the present invention;
FIG. 3 is a graph showing results of a constant voltage applying test of the anode according to the present invention;
FIG. 4 is a graph showing results of the constant voltage applying test of the anode according to the present invention and an anode according to the other method;
FIG. 5 is a graph showing results of a constant current applying test of an anode according to an example 1 of the present invention; and
FIG. 6 is a graph showing results of the constant current applying test of an anode according to an example 2 of the present invention.
DESCRIPTION OF REFERENCE NUMERALS
1 , 2 corrosion-protecting construction of present invention
3 surface layer (concrete layer)
4 an object to be protected from corrosion (iron plate)
5 external power supply
6 circuit wiring (conducting wire)
10 anode
11 conductive layer
12 first electrolyte layer
13 second electrolyte layer
14 protection layer
15 , 16 aperture (through hole)
DETAILED DESCRIPTION OF PREFERRED EMBODIMENTS
A description will be given below of the present invention on the basis of preferable embodiments with reference to the accompanying drawings.
FIG. 1 schematically shows an example of an anode 10 according to the present invention and a first embodiment of a corrosion-protecting structure of a concrete constructions using the same.
A corrosion-protecting structure 1 of the concrete constructions using the anode 10 according to the present embodiment installs the anode 10 by attaching a first electrolyte layer 12 to a surface of a concrete layer 3 . Further, a positive pole of an external power supply 5 is connected to the conductive layer 11 of the anode 10 by using a circuit wiring 6 , and a negative pole of the external power supply 5 is connected to a an object to be protected from corrosion 4 by using the circuit wiring 6 so as to form a corrosion protection circuit.
Here, “attach” means integration of objects according to adhesion or sticking. The adhesion means integration of objects with such an adhesion strength that can be peeled off in an intentional interface, however, can not be peeled off in a natural state. The sticking means integration of objects with such an adhesion strength that can not be peeled off in the interface.
The conductive layer 11 is a sheet electrode which uniformly supplies an electric current supplied from the external power supply 5 to a surface of the first electrolyte layer 12 . The conductive layer 11 is obtained by forming a material having a high durability (corrosion resistance) against gas such as oxygen and chlorine which are generated at the time of applying the electric current, and an electrolyte solution, as a sheet.
As the material having the high corrosion resistance used for the conductive layer 11 , there can be listed up a metal such as platinum, titanium, nickel, lead and a stainless steel, and carbon material.
Among the metal having the high corrosion resistance, the titanium is preferable since it is excellent in the corrosion resistance, light and soft. The stainless steel is preferable since it is advantageous in cost. In the case that platinum or ruthenium is plated, the stainless steel and the titanium are preferable since they are excellent in the corrosion resistance and the conductive property.
In the case that the metal is used for the conductive layer 11 , it is possible to use a structure obtained by forming a metal mesh such as a metal foil, a metal ribbon, a woven cloth of a metal fiber and an expand metal into a sheet. The metal ribbon or the metal mesh having an opening is light and inexpensive, however, there is a case that an adhesion strength in relation to the first electrolyte layer is inferior. Therefore, the metal foil is preferable as the metal used for the conductive layer 11 .
In the case that the metal foil is used, a thickness thereof may be decided by taking into consideration an easiness for acquiring, a rigidity, a weight and a cost. For example, in the case that the titanium foil is used, the thickness thereof is preferably between 20 μm and 500 μm in the case that stainless foil is used, the thickness thereof is preferably 10 μm to 300 μm. If the foil is thicker than this range, the conductive layer becomes too heavy and has a chance of peeling off from the first electrolyte layer at the time of using for a long period. Further, the rigidity is high and is hard to be processed. Further, in the case that the anode is constructed as a bent surface, the foil is hard to follow the bent surface.
In the case that the metal ribbon is used, a plurality of foils can be used in line for enlarging a width. In this case, it is preferable that the metal ribbons are electrically connected by a conductive body.
Among the materials having a high corrosion resistance used for the conductive layer 11 , a carbon material is preferable since it is light, and is easily applied flexibility, and reservation of conductive property is compatible with cost reduction by adjusting the carbon material.
In the case that the carbon material is used for the conductive layer 11 , it is possible to use a graphite sheet processed a graphite into a sheet, a conductive sheet made of carbon material such as a woven cloth, a nonwoven fabric sheet and a knitted cloth of a carbonized fiber of an organic fiber, a carbon mixed paper having a conductive property, and a sheet obtained by coating or soaking conductive carbon material such as a carbon short fiber or a carbon powder into a sheet-like base of fiber such as a base of film, a woven cloth, a nonwoven fabric sheet, the knitted cloth a paper, or the like. In the sheet of a carbon fiber, a part of the fiber may not be a carbon fiber.
Here, the coating means putting a carbon material mainly on the surface of a base of film or a base of fiber, and the soaking means putting the carbon material on the surface of a base of fiber and penetration into an inner portion. However, in the case that a carbon material is put on the surface of a base of fiber, the carbon material frequently penetrates into gaps of the base of fiber. In the present invention, since it is preferable that the conductive property of the conductive layer 11 becomes higher by the penetration of the carbon material, it is not necessary to strictly distinguish the coating and the soaking. In the following description, the soaking may be expressed broadly expressed as “coating”.
Since it is costly advantageous to use the carbon coated sheet obtained by coating a carbon material as the conductive layer 11 , and it is easy to adjust the conductive property, the carbon coated sheet is preferable.
The material of the base of film or the base of fiber supporting a carbon material in the carbon coated sheet can employ metal, carbon material, synthetic resin, glass, cotton, linen, wool, silk or the like.
Among them, a base material made of the metal is preferable since it is excellent in the conductive property, however, may be corroded by gas such as oxygen or chlorine and electrolyte solution (electrolysis solution) generated at the time of applying the electric current. As a result, it is necessary to use platinum or titanium which has a high corrosion resistance, and this is costly disadvantageous. Therefore, the carbon coated sheet supporting a carbon material with the base material of synthetic resin is preferable since corrosion resistance becomes higher, and adjustment of conductive property and cost reduction can be achieved.
The conductive layer constructed by the carbon coated sheet obtained by coating the carbon material to the base of fiber (hereinafter, refer also to as “fiber conductive layer”) is preferable since a contact area between the conductive layer 11 and the first electrolyte layer 12 becomes larger on the basis of concavity and convexity of the surface of the base of fiber. Further, in the case that the first electrolyte layer 12 employs a gel electrolyte layer which has an adhesion property, is flexible, and is excellent in a tracking property to the concavity and convexity, a part of the gel intrudes into the gaps of the base of fiber, and the adhesion is increased. As a result, the gel electrolyte efficiently ionizes and receives positive electric charge which is fed from the positive pole of the external power supply 5 , and can efficiently move positive electric charge to the surface layer 3 of an object to be protected from corrosion 4 on the basis of an ionic conduction. Further, by coating a carbon material so that the gaps of the base of fiber come to permeable apertures capable of transmitting gas, it is possible to let out the gas generated through the gaps of the base of fiber in the case that the great electric current is used at the corrosion protecting time.
As the base of fiber of the fiber conductive layer, it is possible to employ a base of fiber material obtained by processing a conductive fiber such as a metal fiber or a carbon fiber, and a non-conductive fiber such as a glass fiber, an animal fiber, a plant fiber, a synthetic resin fiber or the like into a sheet such as a woven cloth, a nonwoven fabric, a knitted cloth, a paper or the like.
The base of fiber constituted by a metal fiber is excellent in conductive property, however, may be corroded as passing of time on the basis of the generation of electrolyte solution or gas. In this case, it is preferable to coat a carbon material which is excellent in the corrosion resistance. In this case, since a whole of the fiber conductive layer becomes conductive, the conductive property is high.
Among the base of fiber of the fiber conductive layer, the base of fiber constituted by the synthetic resin fiber is preferable since it has a high corrosion resistance.
As the resin constituting a synthetic resin fiber which comes to the base of fiber, there can be listed up a polyester resin such as a polyethylene terephthalate (PET) or a polyethylene naphthalate (PEN), a fluorocarbon resin such as a polytetrafluoro-ethylene (PTFE) or an ethylene tetrafluoro-ethylene copolymer (ETFE), a polyolefin resin such as a polyethylene (PE) or a polypropylene (PP), a polyamide resin such as a nylon, a tetra acetyl cellulose (TAC), a polyester sulfon (PES), a poly phenylene sulfide (PPS), a polycarbonate (PC), a polyarylate (PAr), a polysulfon (PSF), a polyether imide (PEI), a polyacetal, a polyimide polymer, a polyethersulfone, and so on.
The conductive layer (hereinafter, refer also to as “film conductive layer”) obtained by coating a carbon material to a base of film is preferable because it can precisely control a coating amount of the carbon material. Further, since the carbon material does not penetrate to the back side of the film, it is possible to coat with a general-purpose simple coating device.
However, there is a case that it is hard to coat a carbon material thickly if the base material is constructed by a film. In such case, the carbon material may be coated onto both surfaces of the film. In this case, it is preferable to make the front and back carbon coated layer conductive forming the film porous or connecting the front and back sides by a conductive tape. Further, the carbon coated layer may be reinforced by burying fiber material in the carbon coated layer.
The film conductive layer happens to be hard to pass gas through in some kinds of base of film. Generally, in the case that the small electric voltage equal to or less than 2 V is applied at the corrosion protecting time, a gas generation amount is extremely small, and the generated gas transmits the base of film. As a result, no problem is caused. However, in the case that the electric current amount allowing a demineralizing treatment or a re-alkalization is necessary for corrosion protecting the reinforcing steel in which the corrosion has made progress, the generated gas can be let out by the provision of a lot of through holes 15 in the film conductive layer. In this case, an inner diameter of the through hole 15 is preferably as small as possible so long as the gas can transmit. However, since both of the base film and the carbon coated layer are perforated, it is preferable to set such a magnitude as about 0.1 to 1 mm, so as to prevent from clogging. Further, in the case that the thickness of the carbon coated layer is large, it is preferable to make the diameter of the through hole 15 relatively large.
For forming the through hole 15 , it is possible to employ a known method such as a punching method, a laser beam method or a perforation method using a heated needle or a cooled needle. The punching perforation by using a punch can obtain a hole having a comparatively larger diameter in comparison with the perforation using the heated needle or the cooled needle. In the perforation using the cooled needle, the periphery of the hole is in an irregularly divided state, and does not form a definite opening hole, however, can transmit the gas. In the melting perforation using the laser beam or the heated needle, a peripheral edge of the hole is molten and solidified so as to form a definite opening hole, and a reduction in strength of the conductive layer 11 is comparatively small even by the provision with a higher density. Accordingly, this method is preferable.
The shape of the through hole 15 can be formed as a circular shape, an oval shape, a square shape, a rectangular shape, a polygonal shape, an indefinite shape and the other optional shapes.
As the base of film used in the film conductive layer, a resin film is preferable since it is excellent in the corrosion resistance and can be easily formed into a film. As the resin forming the resin film, there can be listed up the same resins as the resins constituting the base of fiber mentioned above.
A thickness of the base of film used in the film conductive layer is not limited as long as a physical strength can be secured, however, can be normally set between about 10 μm and 100 μm.
The carbon material coated to the base material of the fiber conductive layer and the film conductive layer preferably employs a carbon powder constituted by a conductive carbon.
As the conductive carbon, it is possible to employ, for example, graphite, various carbon blacks such as Ketjen black, thermal black, acetylene black, channel black and furnace black, carbon nanotube and so on. Among them, graphite, Ketjen black and carbon nanotube are preferable because the conductive property is high. Especially graphite, which is inexpensive and has a high conductive property, is preferable. The carbon powder may include a carbon short fiber.
Employing a carbon material as a conductive particle is more inexpensive in comparison with employing a noble metal such as platinum or gold as a conductive particle, and is more excellent in a chemical stability in comparison with employing a base metal such as nickel or zinc as a conductive particle. As a result, it is possible to enhance a durability against the corrosion in a long time by generation of electrolyte solution or electric current in the conductive layer 11 constructed by the fiber conductive layer or the film conductive layer.
As a method of coating the carbon material to the base of fiber or the base of film, for example, there can be listed up a method of dispersing the carbon powder or the carbon short fiber into a solvent like organic solvent or water so as to form a paste state, and coating the obtained carbon paste, for example, by a coating method such as a dipping method, a gravure coating method, a bar coating method or a screen coating method and drying. An addictive such as a dispersing agent may be blended in the carbon paste, for improving dispersibility of the carbon material. Further, a resin component may be blended as a binder in the carbon paste for facilitating the coating work and the formation of the coated layer. The more the added amount of the binder is, the more preferable the formation of the coated layer is. However, since the binder is left in the conductive layer 11 when the solvent is evaporated, the binder may obstruct the contact between the conductive particles. Therefore, the carbon paste is preferably blended with the binder while taking the conductive property into consideration.
The first electrolyte layer 12 is an electric charge transmitting layer which includes ions having positive and negative electric charges and is solidified into a sheet. The electric charge is transmitted on the basis of an ionic conduction by movement of the ions included in the first electrolyte layer 12 or transmitting of the electric charge between the ions. As the main electrolyte used in the first electrolyte layer 12 , there can be listed up a gel electrolyte in which the electrolyte solution is supported by the resin matrix, a polymer electrolyte such as an ion gel in which an ion liquid (an organic room temperature molten salt) constituted by a positive ion such as an imidazolium ion or a pyridinium ion and a negative ion such as BF 4− or PF 6− is supported by the resin matrix, and a true polymer electrolyte in which a lithium salt such as a bis(trifluoro methane sulfonyl) imide lithium (LiTFSI) is supported by the polyether resin.
Among them, the gel electrolyte is preferable because it has a high ionic conduction and gains flexibility easily. The gel electrolyte is obtained by gelating (solidifying) a electrolyte solution into the resin matrix by addition of polymer or oil gelating agent, polymerization of including multifunctional monomer, cross-linking reaction of the polymer or the like.
The first electrolyte layer 12 is a layer which sticks to the surface layer 3 of the anode 10 to the ion transmitting surface layer 3 existing on the surface of the an object to be protected from corrosion 4 such as the concrete layer or the coating material membrane, and transfers electric charge converting electron movement (electron transfer) achieved by electric current supplied from the positive pole of the external power supply 5 to the conductive layer 11 into the ionic conduction. It is preferable. that the first electrolyte layer 12 is a gel electrolyte which is a soft adhesive layer, since a part of the electrolyte layer enters into the micro concavity and convexity of the concrete layer 3 in the case that the anode 10 is attached to the surface layer of the an object to be protected from corrosion 4 , for example, the concrete layer 3 , so that the electrolyte layer can come into contact and be attached with the high adhesion strength and the wide contact area.
The thickness of the gel electrolyte layer used in the first electrolyte layer 12 is not particularly limited, however, is preferably set between 100 μm and 1000 μm. If the first electrolyte layer 12 is thicker than this range, any problem is not caused, however, a costly disadvantage is caused. If the first electrolyte layer 12 is thinner than this range, an adhesive power may come short. Further, moving capability of electric charge may be lowered in the case that the electrolyte solution in the gel electrolyte is absorbed into the concrete layer 3 .
The gel electrolyte used in the first electrolyte layer 12 is preferably constructed by a conductive polymer gel electrolyte having adhesion property which is obtained by supporting the solvent and the electrolyte salt, preferably further a wetting agent into the resin matrix co-polymerized monomer for cross-linkage in monomer for polymerization. It is necessary for the polymer gel electrolyte to support the solvent in the liquid state to a three-dimensional mesh structure of polymer chains combined physically or chemically, and to maintain its shape.
In the polymer gel electrolyte used in the first electrolyte layer 12 , a skeleton (a resin matrix) of a flexible polymer three-dimensional mesh structure can form by designing appropriately the polymer three-dimensional mesh structure. The polymer gel electrolyte having the skeleton mentioned above has an appropriate cohesive power, and is good in its wettability onto the surface of a attached body. Therefore, it is possible for the contact portion with the attached body to come close in a molecular level. Further, since a compression strength and a tension strength are brought to the gel by the appropriate cohesive power of the polymer gel electrolyte, a high adhesive bonding property can be obtained by a mutual intermolecular force.
In the resin matrix of the polymer gel electrolyte used in the first electrolyte layer 12 , it is preferable for enhancing the cohesive power to apply the cross-linking treatment by the cross-linking agent or cross-link on the basis of the polymerization of monomer for polymerization and monomer for cross-linkage. The resin matrix in which the polymer chain is three-dimensionally cross-linked is excellent in a capacity of supporting the solvent or the wetting agent. As a result, it is possible to support the electrolyte salt into the resin matrix in a state of being dissolved in a molecular level.
The polymerized monomer forming the resin matrix is not particularly limited as long as the monomer has one carbon-carbon double combination capable of polymerization in the molecule. For example, there can be listed up a (meta) acrylic acid derivative such as a (meta) acrylic acid, a maleic acid, a fumaric acid, an itacoinic acid, a crotonic acid, a (poly) ethylene glycol (meta) acrylate, a (poly) propylene glycol (meta) acrylate and a (poly) glycerin (meta) acrylate, a (meta) acryl amide derivative such as a (meta) acryl amide, an N-methyl (meta) acryl amide, an N-ethyl (meta) acryl amide, an N-propyl (meta) acryl amide, an N-butyl (meta) acryl amide, an N,N-dimethyl (meta) acryl amide, a diacetone acryl amide, an N,N-dimethyl amino propyl (meta) acryl amide and a t-butyl acryl amide sulfonic acid, salts thereof, an N-vinyl amide derivative such as an N-vinyl pyrrolidone, an N-vinyl formamide and an N-vinyl acetamide, a sulfonic acid monomer such as a vinyl sulfonic acid and an aryl sulfonic acid, and their salts. Here, (meta) acryl means acryl or meth acryl.
As the monomer for cross-linkage which is polymerized with the monomer for polymerization so as to be cross-linked, it is preferable to use a monomer having two or more double combinations capable of polymerization in the molecule. Specifically, there can be listed up a multifunctional (meta) acryl amide monomer such as a methylene bis(meta) acryl amide, an ethylene bis (meta) acryl amide, an N,N-methylene bis acryl amide and an N-methylol acryl amide, a multifunctional (meta) acrylate monomer such as a (poly) ethylene glycol di (meta) acrylate, a (poly) propylene glycol di (meta) acrylate, a glycerin tri (meta) acrylate and a glycidyl (meta) acrylate, a tetra allyloxy ethane, and a diallyl ammonium chloride. Among them, the multifunctional (meta) acryl amide monomer is preferable, and the N,N-methylene bis acryl aminde is more preferable. The monomers for cross-linkage may be singly employed, or two or more may be combined.
As a content of the cross-linked monomer, 0.005 to 10 weight part is preferable in relation to 100 weight part of the resin matrix obtained by polymerizing and cross-linking the monomer for polymerization and the monomer for cross-linkage. If the content of the monomer for polymerization is less in the resin matrix, the number of mesh cross-linking points connecting between the main chains is small, and there is a case that the polymer gel electrolyte excellent in a shape retaining property can not be obtained. If the content of the monomer for cross-linkage is large, the number of the mesh cross-linking points connecting between the main chains is increased, although the polymer gel electrolyte having high shape retaining property In an appearance can be obtained, the polymer gel electrolyte becomes fragile, and the polymer gel electrolyte may tend to be tore or broken easily by the tension force or the compression force. Further, the polymer main chain becomes hydrophobic on the basis of the increase of the cross-linking point, it becomes hard to hold stably the solvent sealed in the mesh structure, and it becomes easy to be caused bleeding.
In order to enhance the capacity of supporting the solvent or the wetting agent of the polymer gel electrolyte and the cohesive power, a three-dimensional structure may be formed by newly impregnating monomer for polymerized and monomer for cross-linkage into the previously polymerized resin matrix and polymerizing again, in which different resin matrixes are penetrated to each other. The previously polymerized resin matrix may be cross-linked or not be cross-linked.
As the solvent which can be used in the polymer gel electrolyte, a polar solvent having high boiling point, low vapor pressure at room temperature, and compatibility with monomer for polymerizing and monomer for cross-linkage is preferable.
As the solvent mentioned above, there can be listed up, water, alcohols such as methanol, ethanol, isopropanol, and so on, cellosolves such as methyl cellosolve, ethyl cellosolve, butyl cellosolve, and so on, amides such as N,N-dimethyl formamide, N,N-dimethyl acetamide, N,N′-dimethyl-2-imidazolidinone, N-methyl-2-pyrrolidone, sulfolane, dimethyl sulfoxide, and so on. These solvents may be used by being mixed.
The solvent included in the polymer gel electrolyte is preferably between 5 and 50 weight %, and more preferably between 5 and 40 weight %. The solvent is less than the above mentioned range, the conductive property is not good, since the flexibility of the polymer gel electrolyte is poor and the electrolyte salt can be hardly added. The solvent is beyond the above mentioned range, bleeding of the solvent may occur, because the balance solvent supporting amount of the polymer gel electrolyte goes beyond greatly. Also, the solvent which can not be held may flow out, and a physical property may change with age.
In the case that the polymer gel electrolyte used in the first electrolyte layer 12 is constituted by a hydro gel obtained by holding water as the solvent a electrolyte salt and preferably further a wetting agent into a hydrophilic resin matrix, the water in the concrete layer 3 and the solvent are common. This structure is preferable because the ionic conduction becomes easy to cause in the interface between the concrete layer 3 and the first electrolyte layer 12 .
The hydro gel can hold the electrolyte salt dissolved in water in a molecular level in the resin matrix. Further, the electrolyte water solution makes the moving speed of electric charge high, and makes it possible to enhance the flexibility and the adhesion property easily.
A moisture content of the hydro gel employed in the first electrolyte layer 12 is normally between 5 and 50 weight %, and preferably between 10 and 30 weight %. If the moisture content is low, the flexibility of the hydro gel may be lowered. Further, there may be a case that the ionic conductive property is lowered, and the capacity of moving electric charge is inferior. If the moisture content of the hydro gel is high, the water of which amount is beyond the amount capable of the hydro gel can hold may break away or evaporate, so that the gel may deflate or the physical property such as the ionic conductive property may greatly change. Also, since the gel is too soft, there is a case that the shape retaining property is inferior.
If the hydro gel employed in the first electrolyte layer 12 includes a wetting agent, it is possible to inhibit the moisture content of the hydro gel from being lowered. In a view point of adhesion property and shape retaining property, the wetting agent is adjusted to a range between 5 and 80 weight %, preferably to a range between about 20 and 70 weight %. If the content of the wetting agent in the hydro gel is small, a moisture retention force of the hydro gel may come short, the water content may tend to transpire, the hydro gel may be inferior in the stability with age and be inferior in the flexibility, and the adhesion property may be lowered. If the content of the wetting agent is large, a viscosity becomes too high and a handling property is lowered at the time of manufacturing the hydro gel, so that air bubbles may be mixed at the time of forming the hydro gel. Further, the contents of the resin matrix and the water become relatively smaller and there is a risk that the shape retaining property and the ionic conductive property may be lowered.
The wetting agent is not particularly limited as long as it can improve the supporting force of the solvent. For example, there can be listed up polyalcohols such as ethylene glycol, propylene glycol, butanediol, glycerin, pentaerythritol and sorbitol, polyols obtained by polymerizing one kind or two or more kinds of these polyalcohols as the monomer, and saccharide such as glucose, fructose, sucrose and lactose. The wetting agent may be used singly or two or more kinds may be combined. Further, the polyalcohols may have a functional group such as ester bond, aldehyde group and carboxyl group in a molecule of the polyalcohols or the terminal end of the molecule. Among them, the polyalcohols are preferable because they bring elasticity to the hydro gel in addition to the function of holding the water content. Among the polyalcohols, glycerin is particularly suitable in the light of a long period water retention property. The polyalcohols can be used by selecting one kind or two or more kinds from them. The polyalcohols which are in a liquid state at the room temperature are more preferable because they are excellent in the improvement of the elasticity of the hydro gel and the handling property at the manufacturing time. In the case that it is necessary to improve the elasticity of the hydro gel, a known filler such as titanium oxide, calcium carbonate, talc, and so on may be added.
As the electrolyte salt included in the hydro gel employed in the first electrolyte layer 12 , it is possible to optionally select among electrolyte salts which are commonly used as a charge transport. The salt mentioned above is not particularly limited as long as the salt can apply the ionic conductive property to the hydro gel. For example, there can be listed up an alkali metal halide salt such as a sodium halide like NaCl and a potassium halide like KCl, an alkali earth metal halide salt such as a magnesium halide and a calcium halide, the other metal halides such as LiCl, inorganic salts such as sulfates, nitrates, phosphates, chlorates, perchlorates, hypochlorites, chlorites and ammonium salts of various metals like K 2 SO 4 and Na 2 SO 4 , fluorine containing electrolyte salts like LiPF 6 , LiBF 4 and LiTFSI, and various complex salts, monovalent organic carboxylates of an acetic acid, a benzoic acid, a lactic acid and a tartaric acid, monovalent or bivalent or higher salts of a phthalic acid, a succinic acid, an adipic acid and a citric acid, metal salts of organic acid such as a sulfonic acid and an amino acid, and salts of polymer electrolyte such as a poly (meta) acrylic acid, a polyvinyl sulfonic acid, a poly t-butyl acryl amide sulfonic acid, a poly allylamine, a polyethylene imine. It is possible to use materials which are insoluble or in a distributed state at the time of manufacturing the hydro gel, however, are dissolved in the hydro gel according to a time elapse, and a silicate salt, an aluminate, a metal oxide and a metal hydride can be listed up as the materials mentioned above.
The content rate of the electrolyte salt in the hydro gel is preferably between 0.01 and 20 weight %, and more preferably between 0.1 and 10 weight %. If the content is higher than this range, the electrolyte salt is hard to be completely dissolved in water, and may be deposited as a crystal in the hydro gel, or may obstruct the dissolution of other components. If the content is lower than this range, the electrolyte salt may be inferior in the ionic conductive property.
The hydro gel employed in the first electrolyte layer 12 becomes ionic conductive as long as it includes electrolyte, and can transmit electric charge. However, in the case that the hydro gel further includes an oxidation-reduction agent, the electric charge is more smoothly transmitted. As the oxidation-reduction agent mentioned above, there can be listed up organic type agents such as a quinine-hydroquinone mixture, and inorganic type agent such as S/S 2− and I 2 /I − . Further, it is possible to preferably employ a metal iodide such as LiI, NaI, KI, CsI and CaI 2 and an iodine chemical compound of quaternary ammonium compound such as a tetraalkyl ammonium iodide, a pyridinium iodide and an imidazoline iodide.
Further, in order to adjust pH of the hydro gel, alkalis such as NaOH, KOH, and so on may be included.
As a manufacturing method of the hydro gel employed in the first electrolyte layer 12 , for example, there can be listed up a cross-linking and polymerizing method of dissolving or dispersing a material obtained by adding a monomer for polymerization, a monomer for cross-linkage, a wetting agent, a polymerization initiator and an electrolyte salt into water, a method of impregnating an electrolyte salt into a resin matrix obtained by dissolving or dispersing a monomer for polymerization, a monomer for cross-linkage, a wetting agent and a polymerization initiator into water so as to cross-link and polymerize, and a method of creating the resin matrix by adding a cross-linking agent to a dispersion solution obtained by dissolving or dispersing electrolyte into a straight chain polymer obtained by dispersing only a monomer for the polymerization into water and polymerizing under existence of the wetting agent so as to cross-linking react the straight chain polymer and the cross-linking agent.
An antiseptic, a mildew proofing agent, an antirust, an antioxidant, a stabilizer, an interfacial active agent, and a coloring agent may be appropriately added to the hydro gel employed in the first electrolyte layer 12 as occasion demands.
A laminating method of the first electrolyte layer 12 can employ a known method. For example, there can be listed up a method of coating on the conductive layer 11 according to a coating method such as a gravure coat, a bar coat and a screen coat.
In the case that the first electrolyte layer 12 employs the hydro gel which is previously formed as a sheet, the sheet of the hydro gel has an adhesion property. Accordingly, it is possible to directly attach the sheet of the hydro gel to the conductive layer 11 . This method is preferable in the case that the anode 10 is mass produced from roll to roll by using the conductive layer 11 wound into a roll and the hydro gel sheet wound into a roll.
In the case that the conductive layer 11 is cut as a sheet, a sol-state electrolyte layer may be formed by coating, on the conductive layer 11 , the material obtained by dissolving or dispersing the material to which, in the water, a monomer for polymerization, a monomer for cross-linkage, the wetting agent, the polymerization initiator and the electrolyte salt are added, and may be gelated thereafter by radical polymerization.
In the case that the first electrolyte layer 12 is integrally wound into the roll or cut as a sheet so as to be superposed at the time of mass producing the anode 10 from roll to roll, it is preferable to laminate a release coated paper on a surface which is exposed to an outer side of the first electrolyte layer 12 .
In the anode 10 according to the present embodiment, a protection layer 14 is laminated onto the conductive layer 11 . The protection layer 14 is positioned on the surface of the anode 10 so as to shut off the water and the air and prevent the conductive layer 11 and the first electrolyte layer 12 from being soiled, deteriorated or broken. Accordingly, the protection layer 14 is preferably formed so as to cover a whole surface of the conductive layer 11 and the first electrolyte layer 12 .
The protection layer 14 is preferably formed by dry laminating a resin film or extrusion laminating a resin, in the case that the conductive layer 11 is constructed by a metal foil or a carbon coated sheet. In the case that the conductive layer 11 has concavity and convexity such as a metal mesh and a punching metal, it is preferable to previously form the resin as a flat member such as a sheet or a plate, and adhesive bond a periphery thereof by an adhesive bonding agent such as an epoxy adhesive.
As the resin forming the protection layer 14 , there can be preferably employed a fluorocarbon resin such as a poly vinylidene fluoride (PVDF), a polytetrafluoro-ethylene (PTFE) or an ethylene-tetrafluoroethylene copolymer (ETFE), an epoxy resin and an acrylic resin such as a methyl methacrylate (MMA) since they are excellent in an antipollution performance and a weather resistance. In addition, there can be listed up resins such as a polyester like a polyethylene, terephthalate (PET) and a polyethylene naphthalate (PEN), a tetra acetyl cellulose (TAC), a polyester sulfon (PES), a poly phenylene sulfide (PPS), a polycarbonate (PC), a polyarylate (PAr), a polysulfon (PSF), a polyether imide (PEI), a polyacetal, a transparent polyimide and a polyethersulfone.
Among these resins, the fluorocarbon resin is preferable because of excellent weather resistance. Further, the fluorocarbon resin can be formed as the protection layer 14 which discharges the gas such as oxygen and chlorine generated in the case that the corrosion protection is achieved by applying an electric current about 10 mA to 30 mA, without applying a process of arranging a lot of holes, since it has a low barrier property against the gas.
The protection layer 14 can be laminated by dry laminate as long as resin is formed as a film, and is preferable in the case that the anode 10 is mass produced from roll to roll. The film as mentioned above is preferably oriented for enhancing its strength.
A thickness of the protection layer 14 is preferably thin in the light of a discharging property of the gas such as oxygen and chlorine generated at the corrosion protecting time and a cost, as long as a physical strength is satisfied. Specifically, the thickness of the protection layer 14 is selected in a range between 10 and 200 μm, preferably between 20 and 100 μm. The protection layer 14 may be constructed by laminating a plurality of layers of the same kind of resin or different kinds of resins.
The protection layer 14 may be colored, or may be provided with a design such as letter information or patterns. Particularly, if the protection layer 14 is colored into gray type colors similar to a color of the surface of the concrete layer 3 , it is preferable because the anode 10 is indistinctive.
In the forming method of the protection layer 14 , the protection layer 14 is generally formed as a film and laminated to the conductive layer 11 by using an adhesive bonding agent. In the case that the conductive layer 11 is constructed by the film conductive layer, the surface of the base of film to which the carbon material is not coated may be used as the protection layer 14 .
In the object to be protected from corrosion 4 to which the anode 10 according to the present invention is preferably applied, the material including nickel, titanium, copper or zinc is possible to be protected from corrosion other than the material including iron like a steel product (for example stainless steel). Further, the anode 10 can be attached directly to a surface of a metal covered with a concrete layer or a membrane of coating material and to an exposed metal or to a surface layer constructed by an ion permeable oxide membrane such as rust existing in the surface, and it is possible for them to protect from corrosion.
In the case that the object to be protected from corrosion 4 is buried in the concrete layer 3 , a gel material including a water content exists in an extremely small gap in the concrete layer 3 . Oft, Na + , Ca 2+ and K + are main ions included in the gel material. Further, sodium chloride intrudes into the concrete layer of the structure near the sea where the necessity of corrosion protection is high. In other words, the concrete layer 3 is a solid state electrolyte layer in which an impedance is significantly large, and can serve as the ionic conductive layer by the ion. Further, since the water content in the concrete layer 3 is discharged into the air by being dried, or the concrete layer 3 absorbs the water content in the air on the basis of a rain water or a daily difference of temperature, the concrete layer 3 does not come to an absolute dry condition.
Further, in the object to be protected from corrosion 4 to which the anode 10 according to the present invention can be applied, an object to be protected from corrosion in which a coating material film is formed on a surface can be also applied. The coating material film looks like an electric insulation layer, however, a lot of cracks or fine holes to which the water content causing the corrosion enters exist on a surface of the coating film which requires an electric corrosion protection. The cracks and holes penetrate to the object to be protected from corrosion. Since the cracks or hole parts can not shut off the water content or the air, the water content exists. Accordingly, the ion can move in this part, and this part is ionic conductive. Therefore, this part can be corrosion protected by attaching the anode 10 according to the present invention to the coating film of a coating material. Further, since the corrosion protection may be applied to the part of the cracks and the fine holes, an extremely narrow area is corrosion protected. Therefore, even if the electron supply amount from the anode 10 is small, it is possible to achieve an extremely effective corrosion protection.
Further, in the case that the hydro gel is used as the first electrolyte layer 12 , a part of the hydro gel enters into the cracks or the fine holes on the surface, and comes into contact with the object to be protected from corrosion, or is positioned extremely near the same. Therefore, it is possible to more securely achieve the corrosion protection.
Further, since the hydro gel has a resin matrix, the conductive layer 11 does not come into contact with a metal even if the anode 10 is directly adhesive bonded to the surface of the metal which forms the object to be protected from corrosion in the case of protecting corrosion the metal having a coating membrane, it does not come to a short circuit.
In the corrosion-protecting structure 1 of concrete constructions according to the present embodiment, the anode 10 is attached to the surface layer 3 of the concrete constructions by using the first electrolyte layer 12 , the conductive layer 11 of the anode 10 is connected to the positive pole of the external power supply 5 , and the negative pole of the external power supply 5 is connected to the object to be protected from corrosion 4 by using the circuit wiring 6 .
The material of the circuit wiring 6 preferably has a corrosion resistance against the anode dissolution, for example, there can be listed up carbon, titanium, stainless steel, platinum, tantalum, zirconium, niobium, nickel, and nickel alloys such as Monel and Inconel. Among them, titanium is preferable because it is accessible and has a resistance against the anode dissolution over a wide range of electric potential.
Further, it is possible to employ an aluminum wire and a copper wire, which have no resistance against the anode dissolution, by covering with the resin layer.
Next, a description will be given of a second embodiment of the corrosion-protecting structure of the concrete constructions using the other example of the anode 10 according to the present invention with reference to FIG. 2 .
A different point of the corrosion-protecting structure 2 of the concrete constructions according to the present embodiment from the first embodiment exists in a point that a second electrolyte layer 13 having such adhesive power that can be attached to the conductive layer 11 is laminated onto the surface on which the first electrolyte layer 12 is not laminated in the conductive layer 11 .
The second electrolyte layer 13 carries out conversion from electron conduction into ionic conduction by an interface with the conductive layer 11 . The electron conduction of positive electric charge by the electric current supplied from the external power supply 5 to the conductive layer 11 is converted into ionic conduction by both the interfaces between the first electrolyte layer 12 and the second electrolyte layer 13 , and the conductive layer 11 . Further, the positive electric charge converted into the ionic conduction by the interface of the second electrolyte layer 13 transmits the conductive layer 11 and efficiently moves to the concrete layer 3 together with the positive electric charge which is converted into ionic conduction by the interface of the first electrolyte layer 12 .
The conductive layer 11 has many ion permeable apertures 16 , through which the ion converted into the ionic conduction from the electron conduction by the second electrolyte layer 13 and having the positive electric charge.
In the case that the conductive layer 11 is a fiber conductive layer, the ion permeable aperture 16 can be formed by coating carbon material so that micro gaps between the fibers are communicated.
In the case that the conductive layer 11 is a fiber electrode, the structure is preferable, since on the surfaces a contact area between the conductive layer 11 , and the first electrolyte layer 12 and the second electrolyte layer 13 becomes great by concavity and convexity, and the ion can easily move between the electrolyte layers.
In the case that the conductive layer 11 is a film conductive layer, an ion permeable conductive layer 11 is formed by coating the carbon material to both surfaces of the base of film and perforating the through hole 16 .
It is preferable that a part of the first and second electrolyte layers 12 and 13 enters into the inner portion of the through hole 16 and they come into direct contact with each other. Accordingly, an inner diameter of the through hole 16 may be made smaller as long as the ion can transmit, however, is preferably set, for example, to about 0.3 to 10 mm. Further, in the case that the thickness of the conductive layer 11 is large, the diameter of the through hole 16 is preferably made large relatively.
In the case that the first and second electrolyte layers 12 and 13 are constructed by the gel electrolyte which includes electrolysis solution (electrolyte solution), the electric charge can move as long as the electrolysis solution oozing from the gel electrolyte is filled in the through hole 16 . Therefore, in this case, the first electrolyte layer 12 does not necessary come into direct contact with the second electrolyte layer 13 within the through hole 16 of the conductive layer 11 .
The through hole 16 can be formed in the same manner as the through hole 15 . According to the punching perforation by a punch, the hole having the comparatively greater diameter can be obtained in comparison with the perforation using a heated needle or a cooled needle, and the first electrolyte layer 12 tends to come into direct contact with the second electrolyte layer 13 . According to the perforation using a cooled needle, the periphery of the hole comes to an irregularly torn state and is hard to form a definite opening hole, however, in the case that the gel electrolyte is used, the ion can transmit from the torn gap.
The shape of the through hole 16 can be formed as a circular shape, an oval shape, a square shape, a rectangular shape, a polygonal shape, an indefinite shape and the other optional shapes.
Even in the case that the conductive layer 11 is the fiber conductive layer, the through hole 16 is effective in the case that the ion permeability comes short.
The second electrolyte layer 13 may be different from the first electrolyte layer 12 , however, it is preferable to use the same electrolyte.
Since the second electrolyte layer 13 does not need a function of attaching to the concrete layer 3 , it is possible to use an electrolyte having no adhesive power such as a structure obtained by holding the electrolyte solution in a polyacrylic salt or a polyether resin. However, the second electrolyte layer 13 having the adhesive power is preferable, since it can be laminated without using any additional adhesive bonding agent at the time of laminating with the conductive layer 11 and laminating with the protection layer 14 .
In the present embodiment, the protection layer 14 is laminated on the second electrolyte layer 13 , and prevents the second electrolyte layer 13 from being wetted, dried, soiled, deteriorated and broken. Accordingly, the protection layer 14 preferably covers a whole surface of the second electrolyte layer 13 .
It is preferable that the protection layer 14 reflects and/or absorbs ultraviolet light and does not pass through the ultraviolet light, for protecting the second electrolyte layer 13 from being deteriorated.
Examples
A description will be given specifically of the present invention with reference to examples.
An example 1 of the anode 10 was produced according to the following procedures, and electric current change was measured at the time of applying a constant voltage by a constant voltage power supply unit. The constant voltage is applied for the reason that the electric voltage is kept 1 V which does not generate chlorine gas and oxygen gas, in order to avoid an adverse effect to results of measurement due to generation of the chlorine gas and the oxygen gas.
The conductive carbon paste in which powder graphite was dispersed into organic solvent, and blended with a binder was coated on the PPS film having a thickness of 38 μm and dried, and the conductive layer 11 having a width of 60 mm and a length of 80 mm was produced. The amount of the carbon powder coated was about 20 g/m 2 in dry weight. The thickness of the conductive layer 11 was 15 μm.
The conductive layer 11 obtained was perforated by heated needles from the side of PPS film surface, and a lot of through holes 15 were formed in the conductive layer 11 . An ETFE film which was colored gray by blending a pigment and had a thickness of 25 μm was dry laminated in the PPS film surface of the conductive layer 11 so as to form the protection layer 14 . At the dry laminating time, the adhesive bonding agent was gravure coated in a dotted pattern.
The first electrolyte layer 12 employed a hydro gel sheet (“ST-gel SR-R” manufactured by Sekisui Plastics Co., Ltd.) having a thickness of about 0.8 mm, a width of about 50 mm and a length of about 50 mm. The carbon powder surface of the conductive layer 11 was superposed and closely attached to the first electrolyte layer 12 so that a margin in the periphery of three sides of the conductive layer 11 was 5 mm and a margin in one side was 25 mm, and the example 1 of the anode 10 shown in FIG. 1 was manufactured.
The copper tape having a width of 10 mm was attached along one side in a longitudinal direction by the conductive adhesive agent to the conductive layer 11 which was exposed with a width of 25 mm in the obtained anode 10 . The copper tape is an installation spot of an electric current drainage point (a positive pole connection portion of the external power supply 5 ), and is a power feeder member which reduces a difference of electric voltage applied at the current applying time between a far portion and a near portion in relation to the drainage point of the conductive layer 11 .
The first electrolyte layer 12 of the anode 10 was adhesive bonded to the concrete layer 3 constructed by a 60 mm square shaped mortar to which an iron plate 4 having a width of 60 mm and a length of 80 mm is attached aligning three sides and which has a thickness of 20 mm. A general portland cement was used as the cement. The specification of the mortar was set such that cement, standard sand and water are 1:3:0.5 in mass ratio, according to the blend of the mortar described in JIS R 5201 “physical testing method of cement”. The water cement ratio in the blend is 0.50.
The positive pole of the external power supply 5 was connected to the copper tape of the conductive layer 11 of the anode 10 by the conducting wire 6 constructed by the copper wire coated with the resin, and the negative pole of the external power supply 5 was connected to the iron plate 4 by the same conductive wire 6 . The periphery of the protection layer 14 and each of the connection portions between the copper tape of the conductive layer 11 and the copper wire 6 was sealed by using a fluorocarbon resin film and an epoxy adhesive bonding agent, and the example 1 of the first embodiment of the corrosion-protecting structure 1 of the concrete constructions shown in FIG. 1 was formed.
A zero-shunt ammeter (AM-02 manufactured by TOHO TECHNICAL RESEARCH CO., LTD.) was provided in a midstream of the conductive wire 6 connecting the external power supply 5 and the anode 10 , and the electric voltage 1 V was applied between the conductive layer 11 and the iron plate 4 under environment of RH 85%, 60 degrees Celsius and an amount of electric current was measured. Results are shown in FIG. 3 .
According to a constant voltage applying test, the electric current equal to or higher than 3 mA/m 2 flowed over 200 days (4800 hours) or longer. As a result, the adhesion performance of the concrete layer 3 , it is known that the first electrolyte layer 12 and the conductive layer 11 against the long time current application has a practical durability. As long as the electric current equal to or higher than 3 mA/m2 flows, it is possible to achieve the corrosion protection of the reinforcing steel in which the corrosion progress is shallow, and a preliminary corrosion protection of the reinforcing steel in which the passive state membrane is formed. Therefore, the anode according to the present invention, the corrosion-protecting structure of the concrete constructions using the same and the corrosion protection method can be used in such the corrosion protection.
A comparative example 1 of the corrosion-protecting structure 1 of the concrete constructions was manufactured by employing the same structures as those of the example 1 except a structure in which a slurry is formed by inputting 20 kg of non-shrink cement (FILCON R manufactured by Sumitomo Osaka Cement Co., Ltd.) into 7.2 g of water is coated at a thickness of about 5 mm and the conductive layer 11 is adhesive bonded to the concrete layer 3 , in place of the first electrolyte layer 12 used in the anode 10 .
In the same manner as the constant voltage applying test of the example 1 of the corrosion-protecting structure 1 of the concrete constructions, the voltage 1 V was applied to each of the example 1 and the comparative example 1, and the amount of electric current was measured. Results are shown in FIG. 4 .
In FIG. 4 , reference symbol A is attached to the example 1 (carbon/gel), and reference symbol B is attached to the comparative example 1 (carbon/mortar).
The corrosion-protecting structure 1 according to the example 1 was smaller in its initial electric current amount in comparison with the corrosion-protecting structure according to the comparative example 1, however, was inverted for about 400 hours (shown by reference symbol C in FIG. 4 ), the amount of electric current was stable from the measurement start time to 500 hours, and a change of the electric current hardly appeared.
In the comparative example 1, the initial electric current amount was great, and the electric current became smaller little by little. The reason is considered due to the influence of the water content in the non-shrink cement.
Next, on the assumption of the case that the amount of electric current allowing the demineralizing treatment and the re-alkalization is required for corrosion protecting the reinforcing steel in which the corrosion has made progress, a constant electric current of 300 mA/m 2 was applied to the anode 10 according to the example 1 by the constant current power supply unit, in place of the concrete layer 3 according to the example 1 manufactured by using the mortar to which a sodium chloride is further added at 10 kg/m 3 . Results are shown in FIG. 5 .
The electric current was comparatively stable at 3 to 4 V for 150 hours after starting the electric current application, however, the electric voltage thereafter rose little by little, and an electric voltage response was lost around 230 hours or longer. According to this behavior, it is assumed that the generated gas stays within the anode 10 , the conductive layer 11 and the first electrolyte layer 12 are peeled, and the conductive adhesion agent of the copper tape is deteriorated.
Accordingly, an example 2 of the anode 10 was manufactured by dry laminating a PP nonwoven fabric with 30 g/m2 between the ETFE film serving as the protection layer 14 and the conductive layer 11 .
The example 2 of the corrosion-protecting structure 1 was manufactured by using the anode 10 according to the example 2 in the same manner as the example 1 of the corrosion-protecting structure 1 of the concrete constructions, and the constant electric current of 300 mA/m 2 was applied. Results are shown in FIG. 6 .
As a result, the electric voltage was stable between 3 V and 3.5 V in 40 days, and the rising tendency of the electric voltage as shown in FIG. 5 did not appear.
The electric current equal to or more than 1 A/m2 is generally used for the demineralizing treatment and the re-alkalization, however, the demineralizing treatment and the re-alkalization make progress theoretically even by the small electric current as long as the corrosion protection effect is provided. Therefore, the anode 10 according to the present invention can be applied to the demineralizing treatment and the re-alkalization without using a protection layer having a high air permeability as the protection layer 14 . According to our additional experiment, it is confirmed that the chlorine ion moves in the concrete on the basis of an elemental analysis by EPMA even in the case that the electric current of 300 mA/m 2 is used. Therefore, the anode according to the present invention, the corrosion-protecting structure of the concrete constructions using the same and the corrosion protection method can achieve the positive demineralizing treatment and re-alkalization, by using the protection layer having the high air permeability as the protection layer 14 .
On the basis of these results of the measurements, the anode according to the present invention, it was known that the corrosion-protecting structure of the concrete constructions using the same and the corrosion protection method can be applied to the corrosion protection due to the great electric current, in relation to the reinforcing steel in which the corrosion has made progress. Therefore, according to the present invention, the deterioration is suppressed by applying the electric voltage applying such a great electric current that can allow the demineralizing treatment and the re-alkalization, as a first stage, and a conservative corrosion protection can be achieved by applying such an electric voltage that generates less gas by the electrolysis as a second stage after the passive state membrane is formed.
Further, in the case that the corrosion protection is carried out by using the great electric current, it was known that it is preferable to form the gas passage between the conductive layer 11 and the protection layer 14 , by laminating the protection layer 14 on the conductive layer 11 having air permeability in the anode 10 , adhesive bonding the conductive layer 11 and the protection layer 14 in the dotted pattern, and interposing an air permeable layer such as a nonwoven fabric between them.
Further, in the case of applying the corrosion protection electric current which less generates the gas and is equal to or less than 30 mA to the anode according to the present invention, the corrosion-protecting structure of the concrete constructions using the same and the corrosion protection method can achieve the corrosion protection for a long period by a simple structure in which the through hole 15 of the conductive layer 11 and the gas passage in the protection layer 14 are omitted.
As a problem at the time of carrying out the electric corrosion protection, there is a short circuit and electric corrosion phenomenon caused by a foreign body such as an iron wire at the time of piling into the concrete. In the case that the short circuit and electric corrosion occurs, soil and/or gas is generated at the time of an electromagnetic corrosion protection. Therefore, it is necessary to remove the foreign body in the concrete at the time of piling.
Since the anode according to the present invention employs the electrolyte layer in the contact point with the concrete, the anode does not come into direct contact with the foreign body. Therefore, since it is thought that the anode according to the present invention can scale back the influence of the short circuit and the electric corrosion, the anode 10 and a test piece were manufactured and an experiment was carried out.
An example 3 of the anode 10 was manufactured by employing the same structures as those of the example 1 of the anode 10 except a structure in which the conductive layer 11 having a width of 110 mm and a length of 130 mm is manufactured, and a hydro gel sheet having a width of 100 mm and a length of 100 mm is attached.
Test pieces were formed as a square shape in which end surfaces are 100 mm vertically and horizontally, and were constructed as a concrete rectangular column having a length of 600 mm. At the time of manufacturing the test pieces, a standard test piece was set by burying a reinforcing steel having a diameter of 16 mm so that an end portion is exposed from a center of both the end surfaces of the concrete rectangular column. The standard test piece was set such that 357 mix sand and 10 kg/m3 salt were mixed in a common cement, and a water cement ration was set to 50%. Further, an iron wire having a diameter of 3 mm was buried in the center in a longitudinal direction of one surface of the standard test piece so that a part thereof is exposed. At the time of burying the iron wire in the test piece, a short circuit test piece was formed by arranging three iron wires in parallel so as to be winded around the reinforcing steel and buried. And a electric corrosion test piece was formed by arranging three iron wires in parallel to one surface of the test piece along the reinforcing steel so as to be buried.
The example 3 of the corrosion-protecting structure was formed by attaching the anode 10 according to the example 3 to the center in the longitudinal direction of the surface of the standard test piece. Further, an example 4 and an example 5 of the corrosion-protecting structure were formed by attaching the anode 10 according to the example 3 onto three iron wires which are exposed to the surfaces of the short circuit test piece and the electric corrosion test piece.
On the other hand, comparative examples 2 to 4 of the corrosion-protecting structure were formed by adhesive bonding the anode constructed by a titanium mesh (width 100 mm and length 100 mm) obtained by platinum plating a narrow wire having a diameter of 1 mm and formed as a rhombic net shape of 22 mm×45 mm in place of the anode 10 according to the examples 3 to 5 by a mortar having a thickness of 10 mm.
Further, the constant electric current of 26 mA/m 2 was applied to each of the examples 3 to 5 and the comparative examples 2 to 4 of the corrosion-protecting structure, and a change amount of the electric voltage applied to the corrosion protection circuit and the reinforcing steel electric potential in relation to the natural electric potential was measured per one hour by using a data logger. At the time of measuring, an attached type reference electrode of AgCl was attached to the surface of the test piece in which the anode does not exist. An experimental temperature was fixed to 20° C., the examples 3 to 5 were measured for 120 days, and the comparative examples 2 to 4 were measured for 50 days.
Almost the same behavior exhibits in the electric voltages applied in the example 3 which employs the standard test piece, and the example 5 which employs the electric corrosion test piece. The electric voltages applied to the example 3 and the example 5 were 1.25 V at the beginning of the corrosion protection, thereafter rose, and became stable at 1.75 V from about 20 days.
On the other hand, electric voltage applied to the example 4 which employs the short circuit test piece was 1.1 V at the beginning of the corrosion protection, rose according to an approximately constant incline, and became stable at about 1.7 V from about 70 days.
In other words, the electric voltage equal to or lower than 2 V was applied to each of the examples 3 to 5, and the examples 3 to 5 had such a tendency that converts into a fixed electric voltage.
A longer time was required until the electric voltage of the example 4 of the short circuit test piece was fixed, in comparison with the example 3 using the standard test piece. It was assumed that the electric current was applied on the basis of the ionic conduction of the hydro gel, the iron wire was corrosion protected, the passive state membrane was formed in the contact portion between the hydro gel and the iron wire and the electric current is hard to be applied. As a result, it was assumed that the electric current was applied to the other portions than the contact portion little by little.
On the other hand, the electric voltage applied to the comparative example 2 employing the standard test piece was 2 V at the beginning of the corrosion protection, thereafter rose with an approximately fixed incline, reached 4 V for 50 days, and was rising further.
The electric voltage applied to the comparative example 3 employing the short circuit test piece was 2.5 V at the beginning of the corrosion protection, thereafter rose with an approximately fixed incline, reached 3.8 V for 50 days, and was rising further. In the comparative example 3, since the reinforcing steel and the titanium mesh are short circuited by the iron wire, it was expected that the electric current was applied with the low electric voltage, however, twice or higher electric voltage was required actually in comparison with the example 3. It was assumed that since the titanium mesh was adhesive bonded by the mortar, the contact resistance was high and the short circuit electric current was smaller than the expected one, on the basis of small difference from the comparative example 2.
The electric voltage applied to the comparative example 4 employing the electric corrosion test piece was 1.3 V at the beginning of the corrosion protection, thereafter rose with an approximately fixed incline, reached 1.9 V for 50 days, and was rising further.
The change amount of the reinforcing steel electric potential in relation to the natural electric potential was different in each of the examples 3 to 5, however, rose with an approximately fixed similar incline, and was rising further. The change amount of the electric potential at the beginning of the corrosion protection was 200 mV in the example 3 employing the standard test piece, 175 mV in the example 4 employing the short circuit test piece, and 280 mV in the example 5 employing the electric corrosion test piece. The change amount of the electric potential on 120th day was 280 mV in the example 3, 225 mV in the example 4, and 350 mV in the example 5.
On the other hand, the comparative example 2 employing the standard test piece was 300 mV at the beginning of the corrosion protection, rose to 320 mV for 5 days, and thereafter was approximately fixed.
The comparative example 3 employing the short circuit test piece was 125 mV at the beginning of the corrosion protection, and rose to 160 mV for one day. Further, it underwent a transition at a fixed value from 9 days to 15 days, thereafter downed little by little, and was fixed approximately at 150 mV for 45 days.
The comparative example 4 employing the electric corrosion test piece was 200 mV at the beginning of the corrosion protection, and rose to 250 mV for one day. Thereafter, it rose with an approximately fixed incline, reached 300 mV for 50 days, and was rising further.
From these matters, in the examples 3 to 5, the change amount of the reinforcing steel electric potential greatly goes beyond 100 mV in any of them, and the corrosion protection can be achieved. Further, in the case that the fixed corrosion protection electric current is applied, it was known that the lower electric voltage was applied in comparison with the comparative examples 2 to 4.
Further, the difference of the change amount in the reinforcing steel electric potential of the comparative example 3 was 175 mV which was 58% reduction, at the beginning of the corrosion protection, and 170 mV which was 53% reduction, for 50 days, that is, was less than a half, the comparative example 3 employing the short circuit test piece in relation to the comparative example 2 employing the standard test piece. This was assumed that a part of the electric current flowed by the electronic conduction due to the short circuit.
On the other hand, the difference of the change amount in the reinforcing steel electric potential of the example 4 was 25 mV which was 13% reduction, at the beginning of the corrosion protection, and 55 mV which was 20% reduction, for 120 days, that is, was smaller than the comparative example 2, the comparative example 4 employing the short circuit test piece in relation to the example 3 employing the standard test piece. Further, the examples 3 to 5 showed a tendency that the electric voltage applied to the corrosion protection circuit is converged into a fixed value. Therefore, it was known that the example 3 employing the short circuit test piece could achieve a stable corrosion protection without being applied the short circuit electric current.
Further, it was assumed that the applied electric voltage is lower in the comparative example 4 employing the electric corrosion test piece in comparison with the comparative example 2 employing the standard test piece, since the iron wire served as the anode, and the area coming into contact with the concrete was increased. Therefore, it was assumed that the iron wire was strongly exposed to the electric corrosion.
On the other hand, the electric voltage shows almost the same behavior in the example 4 employing the electric corrosion test piece and the example 5 employing the standard test piece. Therefore, it was known that the example 4 employing the electric corrosion test piece can achieve a stable corrosion protection without being affected by the electric corrosion portion.
Further, since the corrosion-protecting structure according to the present invention covers the surface of the concrete with the anode, no problem is generated even if the electric corrosion is generated, and the rust soil appears on the surface of the concrete.
The description is given above of the present invention with reference to the accompanying drawings, on the basis of the preferable embodiments, however, the present invention is not limited to these embodiments. In these embodiments, the electric feed member constructed by the copper tape is attached along one side in the longitudinal direction of the conductive layer, however, in the case of employing the conductive layer having a small surface resistance such as a metal foil, a metal ribbon, a woven cloth of a metal fiber, a metal mesh like a expand metal, and the sheet made of the carbon material having a conductive property, the electric feed member may be omitted. Further, in the case of employing the carbon coated sheet having a great surface resistance, the electric feed member may be provided in two opposed sides in the longitudinal direction of the conductive layer, two sides in the longitudinal direction and their intermediate, or four sides of the conductive layer. Further, the electric feed member may be constructed by a thread in place of the tape. The material of the electric feed member may be constructed by titanium or stainless steel. | To provide an anode, corrosion-protecting structure of a concrete constructions using this, and a corrosion protection method capable of protecting electrical corrosion, with little generation of gas due to electrolysis of water or chlorine compounds, by decreasing as far as possible the amount of processing performed on the structural body in on-site construction work and suppressing the voltage that is conducted therethrough to a low level. [Solution] A corrosion-protecting structure ( 1 ) is constituted by attaching an anode ( 10 ) to the surface layer ( 3 ) of a corrosion-protecting body ( 4 ) through a first electrolyte layer ( 12 ) on one face of a conductive layer ( 11 ) formed as a sheet. The electrolyte is formed as a sheet. The first electrolyte layer ( 12 ) having adhesiveness is attached to the conductive layer ( 11 ) and the surface layer ( 3 ) of the corrosion-protecting body ( 4 ). | 97,851 |
CROSS REFERENCES TO RELATED APPLICATIONS
This is the regular utility filing of provisional patent application 61/687,972, filed May 4, 2012, titled “Vase Environmental Conditioning Device” by the same inventors.
REFERENCE TO FEDERALLY SPONSORED RESEARCH OR DEVELOPMENT
NA
REFERENCE TO JOINT RESEARCH AGREEMENTS
NA
REFERENCE TO SEQUENCE LISTING
NA
BACKGROUND OF THE INVENTION
1. Field of the Invention
The present invention relates generally to methods and apparatus for preserving plants after cutting, and, in particular, relates to preserving cut flowers and flora in a container, and, in greater particularity, relates to cooling and/or heating the water in a vase or other container that is used to hold cut flowers and other flora.
2. Description of the Prior Art
Cut flowers such as roses and other flora are frequently used to enhance the aesthetics and health of an environment and as a gift of endearment and appreciation. The lifetime of such often expensive cut flora is limited by the ability of the cut stem to draw water up to the petals, leaves, etc., by the growth of algae that can plug the transport cells in the xylem and the growth of a callus by the flora itself that seals off the cut end of the stem in an undesired attempt to heal itself.
In addition the phloem needs to be free to transport liquid down through the stem for the proper functioning of the cells in the flora.
In order to deal with the effects of algae and growth of a callus, it is standard practice to change the water in a vase every second day and recut the end of the stem to remove the callus and algae. Unfortunately, this procedure is time consuming, and many people either do not know of this procedure or forget to do it or are unaware of how best to extend the life of cut flora. In addition, each time the stem is cut the flora becomes shorter reducing its aesthetic value.
The importance of control of phytohormones should not be underestimated. For example, roses are popular as cut flowers partly as they are dicots, dicots being generally less affected by auxins than monocots. But all flora are not equally affected such as lilies, being monocots, are generally even more deleteriously affected by auxins than roses, thus the conventional practice of preservation has not been commercially practical.
Flower shops typically keep flowers in a cooler, cooling the entire flower to prolong their life, but once sold to the consumer, the flower immediately starts to deteriorate.
Other products currently exist that are sold to enhance the lifetime of cut flora. Some products are marketed as “plant food” or “plant preservatives”. One such “plant food” is actually the chemical, alum (aluminum magnesium sulfate). Alum acidifies the water in the vase in an attempt to retard the growth of algae. Unfortunately this approach has limited value and in some cases is deleterious to the flora. Other products use algaecides or metal ions that are toxic to algae in an attempt to limit or retard algae growth. Here again these products are often undesirable, perform poorly, and can actually damage the flora.
Several patents disclose different chemical compositions and processes to preserve cut flows: U.S. Pat. Nos. 8,263,528; 8,250,805; 7,273,831; 7,199,082; 6,688,039; 6,440,900; 6,365,548; 5,500,403; and 4,061,483. These patents are incorporated by reference.
Accordingly, there is a need for a device and method for preserving cut flowers and flora and other plants without the use of chemicals.
SUMMARY OF THE INVENTION
The present invention provides a device for extending the useful life of cut plants, and in particular, cut flowers and flora by the use of a temperature controlling device.
The temperature controlling device has one or more thermoelectric modules or cooling/heating devices attached to one or more heat sinks and cold plates. When the correct power is applied to a thermoelectric module or cooling/heating device, heat flows from the “cold” side of the thermoelectric module or cooling device to the “hot” side of the module where heat sinks are located. In the case of the thermoelectric device, this is called the Peltier Effect. The hot side of the module is placed in thermal contact with a heat sink. The heat sink absorbs and distributes the heat into itself, and typically through its fins to exchange the heat to the ambient air. To enhance that transfer of heat to the ambient air, a fan can be used to circulate the air maximizing heat transfer. Use of a fan can reduce the size of the heat sink required and minimize reheating of the vase by preventing the warmed air from coming into contact with the vase.
The cold side of the thermoelectric module is placed in contact with a thermally conductive cold plate. This plate is brought into thermal contact with the vase in a manner that facilitates transfer of heat from/to the water in the vase.
Since the cold plate is in thermal contact with the cold side of the thermoelectric module this heat from the water of the vase is transferred to the heat sink and in turn to the ambient air.
The vase can be placed on the cold plate directly if the vase is composed of a good thermal conductor such as a metal. If the vase is composed of a poor thermal conductor such as glass, ceramic, or plastic, it is desirable then to enhance the thermal conduction of heat from the water to the cold plate by adding a thermal conductor. The thermal conductor can extend from near the surface of the water in the vase to the cold plate underneath the vase. If the vase is sitting on the cold plate the thermal conductor can extend through a hole in the bottom of the vase and have a large enough diameter where it contacts the cold plate to efficiently transfer heat from the water in the vase into the cold plate and vice versa.
Alternatively, if desired, a modified thermal conductor can be placed in thermal contact with the upper section of the water in the vase. The advantage to this approach is that a thermal conductor may not be required extending through the center of the vase as the cold water produced by the device will cause convection directly. If the vase is built of a thermally conductive material such as metal the device can be brought into thermal contact virtually anywhere in or on the vase.
If the vase is composed of a transparent material such as glass or plastic it can generally be more aesthetically desirable to place the cold plate under the vase and use a thermal conductor that extends up through the center of the vase to near the surface of the water to cause efficient transfer of heat from the water in the vase by conduction and convection, cooling or heating the water from the inside out, minimizing thermal load.
In addition, it can be desirable to use a vase composed of a poor thermal conductor, such as glass, ceramic, or plastic to minimize the heat gain from the ambient air. If the surface of the vase is closer to the ambient temperature due to the poor thermal conductivity of the walls of the vase, less heat will flow into the water putting less burden on the cooling device allowing the device to be smaller, consume less energy, and will cause less condensation on the exterior of the vase. In this case the thermal conductor is required if the cooling device is located underneath the vase. If the thermal contact is made by placing the temperature controlling device at, in, or near the top surface of the water in the vase an additional thermal conductor may not be required.
As an alternative, the water in the vase can be circulated out of the vase through the cold plate attached to the thermoelectric device or other heat/cool device and back to the vase. This is generally less desirable aesthetically and functionally, but can be desirable for use in larger vases as the larger apparatus required can be remotely located out of sight. It also can facilitate larger cooling devices such as conventional gas compression or absorption cooling devices as well as provide a means to add water to the vase as needed.
As another alternative, the cold plate can be liquid cooled or heated and the heat transferred to or from the cold plate by circulating the liquid to a remote heat exchanger or cooling device.
It is therefore one aspect of the present invention to provide an attractive, compact device based on a thermoelectric cooler or other cool/heat device so that the aesthetic aspects of cut flowers can be maintained and the useful life of such flora can be maximized.
It is another aspect of the present invention to provide a temperature control device for a vase having no maintenance beyond the periodic addition of water to replenish the water lost to transpiration by the flora and evaporation. In fact the evaporation of water is reduced by the lowering of the temperature of the water in the vase by the temperature control device.
It is another aspect of the present invention to provide a method of extending the useful life of cut plants, and flowers in particular that does not use any chemicals in the water and/or preservatives.
It is another aspect of the present invention to provide a method and a temperature cooling device that eliminates or greatly reduces algae growth and the growth of a callus on the cut end of a stem.
It is a further aspect of the present invention to provide a device that adjusts the voltage and power applied to the thermoelectric module to maintain the temperature of the water in the vase at an optimal performance level.
In another aspect of the present invention wherein the temperature controlling device adjusts the voltage and power applied to a fan or fans to control the amount of heat transferred and thus the temperature of the water in the vase is maintained at an optimum operating temperature.
In another aspect of the present invention, the flow of heat is reversed in order to heat the water to avoid freezing and damaging the stems of the flowers by reversing the polarity of voltage applied to the module.
In another aspect of the present invention, the temperature controlling device will make monocots commercially practical as cut flowers, greatly expanding the aesthetic possibilities.
In another aspect of the present invention, an LED indicator is used to verify the proper functioning and/or temperature of the device.
In another aspect of the present invention, a thermal switch or switches can be used to control the temperature controlling device having the thermoelectric device therein and/or the fan to obtain the desired water temperature in the vase.
In another aspect of the present invention, a micro-controller is used to sense the temperature of the device and/or the vase water with a thermistor, thermocouple, or other temperature sensing device in order to control the cooling or heating applied to the vase water in conjunction with the thermoelectric module and/or fan. In addition, the micro-controller can verify proper operation of the device and indicate the condition by illuminating one or more LEDs.
These and other objects, features, and advantages of the present invention will become more readily apparent from the attached drawings and the detailed description of the preferred embodiments, which follow.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a side elevation cross-section of the temperature controlling device with a glass vase and thermal conductor within the vase;
FIG. 2 is a side elevation cross-section of the temperature controlling device with a metallic vase and insulated cup inside the bottom of the vase;
FIG. 3A is a block diagram of a preferred embodiment of the present invention; FIG. 3B illustrates a generic temperature controlling system; and
FIG. 4 is a block flow diagram of the present invention having a programmable processor therein.
Like reference numerals refer to like parts throughout the several views of the drawings.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
The present invention provides a device for extending the useful life of cut plants, and in particular, cut flowers and flora by the use of a temperature controlling device that appropriately adjusts the water temperature.
Even the standard practice cited above does not extend the life of many flora as compared to the present invention. In addition to controlling algae and callus growth, cooling the stems in the water reduces the production and transport of ethylene, auxins, and other phytohormones, as well as accumulation of such phytohormones in the vase water. Ethylene is a plant hormone that accelerates ripening and deterioration of many plants and fruit. Ethylene is generally recognized as causing deterioration of flowers if they do not receive adequate air ventilation. By preventing generation and accumulation of ethylene in the vase water, deterioration of flowers is delayed. The effect of reduction of auxins can also be observed as cooling the stems stimulates new growth of shoots on the stems and retards callus formation where the stem has been cut. The reason for the preference for new growth of shoots at the expense of callus or root formation is the reduced ratio of auxin to cytokinin.
Referring now to FIG. 1 , a temperature controlling system 100 has a vase cooling device 1 with a housing 2 that defines an open chamber 3 in which a heat sink 4 and a thermoelectric module 5 is disposed. The thermoelectric module operates as a Peltier device. The overall dimensions of housing 2 may vary greatly not only in terms of size but also shape and may be ornamental in nature. A number of configurations are suitable for heat sink 4 . The configuration shown for heat sink 4 is composed of a metal plate 6 having multiple fins 7 . In general, multiple fins 7 fixed in the conventional manner optimize heat transfer from the thermoelectric module 5 in the preferred embodiment, but other heat dissipation means or configurations may be suitable.
The hot side of the thermoelectric module 5 is typically in thermal contact with heat sink 4 and a cold side of thermoelectric module 5 is typically in thermal contact with a cold plate 8 . Cold plate 8 is in contact with the vase 10 or other container. By reversing the polarity of the power applied to the thermoelectric module 5 with an electronic controller 9 , the direction of heat flow effected by thermoelectric module 5 can be reversed to warm the vase 10 and avoid freezing of the cut stems of flora 11 in the event the vase becomes too cold as in the occurrence of cold weather.
Heat sink 4 and cold plate 8 are typically formed of metal that is an excellent heat conductor. Most preferred are copper or aluminum or the like. The surface ratio of heat sink 4 to cold plate 8 , the thermal characteristics of the materials used to form heat sink 4 and cold plate 8 , the characteristics of thermoelectric module 5 , as well as the air velocity and flow over heat sink 4 are such that the cold plate 8 is maintained at an appropriate temperature so as to maintain the desired temperature of the water in vase 10 , typically about a few degrees above zero degrees C. Typically the thermal resistance between heat sink 4 and cold plate 8 will be well below 2 degrees Celsius per Watt. Cold plate 8 will typically have a surface area of 0.5 to 50 square inches or more. It will be appreciated that heat sink 4 and cold plate 8 will be attached to thermoelectric module 5 in the standard way known to those skilled in the art.
A fan or fans 14 are shown below heat sink 4 to circulate ambient air through heat sink 4 to increase the cooling efficiency of heat sink 4 . Appropriate vents in the housing 2 would be included as necessary. The fan or fans 14 can be configured in a number of ways known in the art. The configuration shown is preferred for the purpose of compactness and high efficiency. The use of two fans 14 allows placement of the fans such that the highest velocity air at the periphery of each fan 14 is introduced directly under the center of cold plate 8 , and in turn, directly under the center of thermal conductor 15 . This minimizes the thermal path. In addition, locating the fans 14 directly at the bottom of heat sink 4 and fins 7 improves heat transfer efficiency by inducing vortices into the spaces between fins 7 due to rotation of the blades in fans 14 and aerodynamic shear directly over fins 7 . This reduces the thickness of the boundary layer of air that typically insulates the surface of fins 7 of heat sink 4 .
Cold plate 8 , housing 2 , heat sink 4 , and insulating layer 12 may contain one or more small holes or paths to allow condensed water from vase 10 , cold plate 8 , and thermoelectric module 5 to flow into the area of heat sink fins 7 in order to increase the cooling effect obtained and dispose of the condensate.
Thermoelectric module 5 is surrounded by insulation layer 12 to seal out moisture and minimize undesired heat flow between heat sink 4 and cold plate 8 .
In some applications requiring a large heat transfer area and/or high thermal capacity, it may be desirable to utilize more than one thermoelectric module per heat sink and/or cold plate, as well as multiple heat sinks and/or cold plates. When multiple thermoelectric modules are utilized, it is often useful to wire the modules in series.
A micro-controller 13 is preferably provided for careful regulation of the temperature of vase 10 as well as controlling and monitoring of proper functions as noted herein and performance of the device. Micro-controller 13 using appropriate sensors can track temperatures, humidities, dew points, moisture, light levels, other atmospheric conditions, electrical conditions, perform diagnostics, vary operation by time of day, control LED lights and lighting, communicate with other electronic devices, and log the operation of the device. As to operational condition of the system, a thermochromic or other visible temperature indicator utilizing liquid crystals, leuco dyes, or other means indicates by a change in color, transparency, or other means that the system is operating properly. For example, microencapsulated dyes can be embedded, printed, laminated, etc., in or on the vase, housing, or cold plate, the color, transparency, or other appearance of which would indicate the operating temperature of the water in the vase or the system. The color, for example, may change continuously over a predetermined range.
In conjunction with the real time clock, the micro-controller 13 can control the operation of the device 1 as to time of day, by the calendar day, and by the season as well as in conjunction with natural light and artificial illumination requirements.
The vase can be placed on the cold plate 8 directly if the vase is composed of a good thermal conductor such as a metal. If the vase is composed of a poor thermal conductor such as glass, ceramic, or plastic, it is desirable to enhance the thermal conduction of heat from the water to the cold plate of device 1 . A typical configuration of a thermal conductor is shown in FIG. 1 . The thermal conductor 15 can have a base disk which is positioned on the upper surface of the cold plate and can include an elongated portion which is configured to extend from near the surface of the water, upper horizontal line therein, in the vase 10 to the base disk portion of the thermal conductor 15 which is positioned on top of the cold plate 8 and underneath the vase 10 . If the vase 10 is sitting on the base disk portion of the thermal conductor 15 that is, in turn, positioned on the cold plate 8 , the elongated portion of the thermal conductor 15 can extend through a hole in the bottom of the vase. The thermal conductor 15 can have a large enough diameter base disk, where it contacts the cold plate directly, to efficiently transfer heat from the water in the vase into the cold plate and vice versa. This embodiment is useful when the vase is made of a material that poorly conducts heat such as glass.
Alternatively, if desired, the device 1 can be placed in thermal contact with the upper section of the water in the vase. The advantage to this approach is that a thermal conductor may not be required extending through the center of the vase as the cold water produced by the device will cause convection directly. If the vase is built of a thermally conductive material such as metal the device can be brought into thermal contact virtually anywhere in or on the vase.
If the vase is composed of a transparent material such as glass or plastic it can generally be more aesthetically desirable to place the cold plate under the vase and use a thermal conductor 15 that extends up through the center of the vase to near the surface of the water to cause efficient transfer of heat from the water in the vase by conduction and convection, cooling or heating the water from the inside out, minimizing thermal load.
In addition, it can be desirable to use a vase composed of a poor thermal conductor, such as glass, ceramic, or plastic to minimize the heat gain from the ambient air. If the surface of the vase is closer to the ambient temperature due to the poor thermal conductivity of the walls of the vase, less heat will flow into the water putting less burden on the cooling device allowing the device to be smaller, consume less energy, and will cause less condensation on the exterior of the vase. In this case the thermal conductor is required if the cooling device is located underneath the vase. If the thermal contact is made by placing the cooling device at, in, or near the top surface of the water in the vase an additional thermal conductor may not be required.
As an alternative, the water in the vase can be circulated out of the vase by tubes through the cold plate attached to the thermoelectric device or other heat/cool device and back to the vase. This is generally less desirable aesthetically and functionally, but can be desirable for use in larger vases as the larger apparatus required can be remotely located out of sight. It also can facilitate larger cooling devices such as conventional gas compression or absorption cooling devices.
As another alternative, the cold plate can be liquid cooled or heated and the heat transferred to or from the cold plate by circulating the liquid to a remote heat exchanger or cooling device.
The temperature controlling system 100 , FIGS. 1 and 2 , is provided for plants such as cut flowers that cools and/or heats water in at least one container such as a vase.
FIG. 3A illustrates one embodiment of the present invention. A temperature controlling system 100 includes at least one thermoelectric module 102 therein. The thermoelectric module 102 may be replaced by any device that can remove heat from a surface such as cooling coils. In order to remove the heat, at least one heat sink 104 or heat exchanger may be used. In order to provide a more efficient heat transfer between the vase 1 and the module 102 , a cold plate 106 is placed there between. A temperature sensor 108 on or near the cold plate 106 may also be employed to monitor the temperature of the vase 1 by the micro-controller 110 . If the temperature of the vase 1 falls below a given value, the current can be reversed in the thermoelectric device 102 by the micro-controller 110 to heat the water in the vase 1 . The temperature controlling system 100 also may include a thermal conductor 15 to facilitate transfer of heat from/to the water in the container and to minimize a temperature differential in the water in the vase. The temperature controlling system 100 is controlled by a micro-controller 110 having one or more micro-processors therein being of conventional design and programmed to operate the system 100 . A touch switch 112 may be used to turn the system on. The temperature controlling system 100 may include current and voltage sensing devices 114 to measure the temperature of the module and relating this to the ambient temperature and the temperature of the water. Further one or more LEDs in the light indicator 116 can be used to indicate the operating condition of the system. To remove heat from the thermoelectric module 102 , at least one fan 118 cools the heat sink 104 and increases air flow in and around the system, 100 . The fan speed is also monitored and adjusted by the micro-controller 110 . If needed one insulating layer 16 , FIG. 2 , may be used inside the vase at the bottom to prevent excessive cooling and inadvertent freezing of the ends of the flower stems where they rest at the bottom of said vase. Clearly a plastic spacer can be used to prevent over cooling of the stem ends. Many sensors may be employed in the system 100 such as at least one humidity, moisture, or dew point sensor to detect the conditions when water may condense on the device and/or the container; at least one photosensor to detect ambient light levels; at least one illumination device to provide lighting to the flowers in the vase for photosynthesis, bio-regulation, and aesthetic purposes that can be scheduled and controlled by the micro-controller/processor; and at least one water level sensor to detect the need to add water to the vase and to further communicate this information. The water level sensor or device may be a thermochromic dye, ink, strip, film, or other temperature indicator that can be applied or attached on or in the vase as the water is colder or warmer where the water contacts the surrounding material such as the surface of the vase.
The temperature controlling system 100 may also include at least one communication port, power line carrier such as HomePlug, WIFI connection to the Internet, RF link such as Bluetooth, or light communication such as an IR port so as to be able to communicate with the temperature controlling system.
The temperature controlling system 100 may also include with the micro-controller 110 at least one real time clock for controlling the time of day and calendar operation of the device with the micro-controller. Also included in another embodiment would be at least one auxiliary output control such as a relay to control other devices such as a water dispensing system, additional lighting, ventilation, and the like. Also included in system 100 may be at least one speaker or sound producing device to alert a user to the condition of the system and/or the container, such as a low water condition or temperature out of intended range.
Another feature of the present invention is an odor enhancing or freshening device/means 120 , FIG. 3A , in the form of a card, strip, or other form that is inserted into or adjacent to the air flow through or from the heat sink or other heat exchanger. Many hybrid roses and other flora have lost their natural aroma due to selective breeding; by enhancing the aroma of the flora, the user can enjoy a more complete aesthetic experience.
FIG. 4 illustrates a possible flow diagram for a microprocessor used in a microcontroller of the present invention. The system 100 is started 400 by a switch. Upon turn on, the microprocessor will request user inputs 404 as applicable data is read 402 . These user inputs 404 may not be requested if the user has already input them from a prior turn on. The user inputs would include such items as date, time, flora, operating times, etc. Next, the system 100 would read applicable variables 406 through sensors, etc., such as present ambient temperature, light, water temperature, etc. After reading the data and variable, the system 100 would operate the system 100 and adjust various indicators 414 such as operating condition. If the conditions are not within specification, the microprocessor would output alarms 410 , visibly, by sounds, verbally, or otherwise. The system 100 would be terminated or end 412 operations if by user inputs or out of limit conditions.
FIG. 3B illustrates a generic temperature controlling system 200 that includes a cooling/heating device 202 . The device 202 may employ a water circulator 204 with a heat exchanger therein. Water is circulated through lines 206 into a heat exchanger 208 located inside the vase or outside of a container 210 such as in the base. The circulating water is separate for the water in the container 210 . As noted above, appropriate controls, sensors, power, etc., would operate the cooling/heating device 202 . In the preferred embodiment above, no water circulation is required since heating/cooling of the water is accomplished by means of the thermoelectric module, the cold plate, and the vase walls, and if there is not sufficient heat conduction, a temperature conductor may be added to the vase as noted above depending on the material of the vase walls.
Since many modifications, variations, and changes in detail can be made to the described embodiments of the invention, it is intended that all matters in the foregoing description and shown in the accompanying drawings be interpreted as illustrative and not in a limiting sense. Thus, the scope of the invention should be determined by the appended claims and their legal equivalents. | An environmental controlling system to better preserve cut flowers and other flora in vase water. The system uses thermoelectric modules, heat exchangers, fans, power supply, and a thermal conductor to cool and/or heat the water in a flower vase as required. By cooling the water, formation of algae and formation of a callus on the cut stem is reduced. In addition, keeping the stems in water of optimal temperature controls production of ethylene and other phytohormones. These effects prevent premature wilting, leaf abscission, flower senescence, and reduces the care required to maximize the life of cut flowers and other flora. In the event of cold ambient conditions that might cause freezing, the flow of heat can optionally be reversed, warming the water in the vase to avoid freezing the stems and/or maintain optimum temperature and other conditions for a specific variety of flora. | 29,847 |
FIELD
[0001] The present disclosure generally relates to an ingredient or foodstuff package having distinct ingredient or foodstuff compartments, and in particular to an ingredient package which functions to package and dispense plural ingredients or foodstuffs therefrom.
BACKGROUND
[0002] Gasified candy, when exposed to moisture, tends to melt when in prolonged contact therewith. Given a sufficient amount of exposure to moisture (as for example, when exposed to one's mouth), the candy shells surrounding carbon dioxide gas bubbles essentially melt thereby releasing carbon dioxide gas, which action is often described as a popping sensation in one's mouth. The candy, to have its intended affect, should preferably be melted at the time of consumption and therefore separated from ingredients that may tend to otherwise prematurely melt the candy shells and release the popping gas. The candy, however, is often times enjoyed in conjunction with other food items or foodstuffs having significant moisture content such as pudding. In order to successfully serve both pudding and gasified candy for simultaneous consumption, it is necessary to separate the two ingredients prior to consumption. Packaging that enables the consumer to simultaneously and conveniently carry both ingredients in a single package for simultaneous consumption and enjoyment is therefore desirous.
[0003] Gasified candy and pudding are exemplary ingredients, however. Other foodstuffs or ingredients that may benefit from compartmentalized separation prior to consumption include any number of probiotic products and/or products containing active cultures such as yogurt or cottage cheese juxtaposed against other sugary ingredients or foodstuffs such as fruit, fruit-based ingredients, jams, and jellies. Some of the more pertinent prior art relating to packaging directed to compartmentalizing ingredients or constituent parts prior to active admixture and the like is described hereinafter.
[0004] U.S. Pat. No. 3,861,522 ('522 patent), which issued to Llewellyn et al., discloses a Compartmented Package having Variable Volume Compartments. The '522 patent teaches a compartmented package in which a longitudinal diaphragm, made of film, is sealed to the inner wall of a circular tubular member, also made of film, to form at least two continuous longitudinal linear junctures therebetween in a manner such that the volumes of the resulting compartments are variable. A two-compartment package having infinite relative volume variability in both compartments is stated to be the preferred embodiment.
[0005] U.S. Pat. No. 4,495,748 ('748 patent), which issued to Rowell, discloses certain Containers and Machine for Making Them. The '748 patent teaches a container preferably made from sheet plastics comprising a bag containing a tubular valve member, the bag being sealed with a seam at each end, the top seal having an opening therein for entry of an access tube into the valve member, and the valve member having a sealing seam which facilitates piercing of the access tube through the valve member into the bag. A second bag may be provided within the first bag. A machine for making the containers continuously from sheets of material is also disclosed.
[0006] U.S. Pat. No. 4,681,228 ('228 patent), which issued to Kerry et al., discloses a Package Filled with a Water Soluble Toxic Pulverulent or Granular Product. Kerry et al. note that some chemical products are so toxic that they must not come into contact with parts of the human body. The '228 patent teaches a package of such a construction that during filling and transport thereof and during the release of product therefrom, the risk of anyone coming into contact with the product is restricted to a minimum, is characterized in that the product is situated in a closed inner container consisting of a water-soluble flexible material, and that the filled inner container is placed inside a closed outer container consisting of a flexible material which is resistant to water, both the inner container and the outer container consisting of a flexible tube which is closed near the two ends by a transverse joint and the end strips of the inner container are connected to the joining strips of the outer container in a manner such that between the contents of the inner container and the said joining strips there is a certain distance, and that a tear line is made in an exposed part of one of the end strips of the inner container.
[0007] U.S. Pat. No. 6,935,086 ('086 patent), which issued to Benkus et al., discloses a double-bag package, and method for manufacturing the same, constructed by modification to existing Double Bag Package and Perforation Knife. The '086 patent teaches certain form and fill packaging machines and perforation knives. In a preferred embodiment thereof, the disclosure involves producing a double-bag package from a single sheet of packaging film by feeding a roll of film having graphics printed sideways rather than vertically into a vertical form, fill and seal packaging machine and using a novel perforating/cutting knife to alternately cut and perforate transverse seals. The perforating/cutting knife has teeth in the shape of oblique triangular pyramids, with each tooth having three cutting edges. The perforating/cutting knife produces self-correcting T-shaped perforation patterns capable of capturing and redirecting errant tears for fail-safe directional separation.
[0008] International Publication No. WO 94/27886, authored by Richter et al., discloses a Container with Multiple Chambers, to Package Components Separately Prior to Use in Admixture. The Richter et al. publication teaches a package for accommodating a product having at least two components, which package has at least two self-contained chambers in which the individual components of the product can be stored in such a manner that they are hermetically separated from one another. The individual chambers are connected together in such a manner that they can be separated from one another only by destroying at least one chamber wall. The end regions of the chamber walls are in the form of a common closure for the individual chambers such that the individual chambers can only be opened simultaneously. In the preferred embodiment, the package comprises at least one folded carton having essentially a front and a back wall, side walls, bottom flaps and top flaps, inside which carton are arranged in a fixed manner at least two tube-like inner sachets each of which accommodates one of the components directly and which represent the chambers for the individual components, and the top end regions of which that project out of the inside of the folded carton form the common closure after the inner sachets have been filled separately.
[0009] From a review of these publications and other prior art generally known in the relevant art, it will be seen that the prior art does not teach a package for coaxially aligning and compartmentalizing constituent ingredients of a final mixture. Further, the prior art does not teach certain methodology for finally serving foodstuffs or presenting ingredients by axial displacement relative to package assembly, whereby plural foodstuffs or ingredients are coaxially presented for mixture at the time of consumption. The prior art thus perceives a need for a package assembly and methodology associated therewith that provides consumers with a novel means for receiving and consuming multiple ingredients, the admixture of which has arguably greater delectable value than the sum of its parts.
SUMMARY
[0010] Accordingly, an ingredient separating package is disclosed which functions to package and present plural ingredients which may, upon presentation, effect an opportune admixture. In one aspect, the package may comprise at least one inner tube or inner barrier, an outer tube or barrier, first and second package ends, and a longitudinal package axis extending intermediate the first and second package ends. The inner and outer tubes may optionally extend coaxially about the package axis. The inner tube receives an inner ingredient and the outer tube receives both the inner tube, laden with the inner ingredient, and an outer ingredient. The inner and outer tubes are sealed at the first and second package ends. The inner tube thereby prevents untimely ingredient inter-contact, the outer tube thereby seals the coaxial package from ambient matter such as air, debris, or other matter that may be considered problematic to effect a proper ingredient admixture.
[0011] The inner and outer tubes may be sealed to one another at the first and second package ends and may comprise certain manually enabled, end-opening structure as may be preferably defined by state of the art singular, paired, continuous, or skipped laser scoring. Thereby, the user may selectively unseal or open a select package end (typically the top package end as directed by external graphical indicia) and coaxially dispense the inner and outer ingredients for further effect or action. Certain methodology is further presented as reflective of the disclosed structures in terms of coaxial ingredient presentation and foodstuff service.
BRIEF DESCRIPTION OF THE DRAWINGS
[0012] FIG. 1 is a front or top perspective view of an embodiment of a coaxial ingredient package assembly;
[0013] FIG. 2 is a transverse cross-sectional view of the coaxial ingredient package assembly shown in FIG. 1 ;
[0014] FIG. 3 is a front or top plan view of an embodiment of the coaxial ingredient package assembly outlining an otherwise hidden inner ingredient compartment in broken lines;
[0015] FIG. 4 is a longitudinal cross-sectional view of the coaxial ingredient package assembly shown in FIG. 3 depicting coaxial inner and outer ingredient compartments;
[0016] FIG. 5 is an end view of the coaxial ingredient package assembly shown in FIG. 3 ;
[0017] FIG. 6 is a back or bottom perspective view of an inner ingredient barrier of the coaxial ingredient package assembly configured for a lap seal type longitudinal seal;
[0018] FIG. 7 is a back or bottom perspective view of an outer ingredient barrier of the coaxial ingredient package assembly configured for a fin seal type longitudinal seal;
[0019] FIG. 8 is a back or bottom perspective view of the inner ingredient barrier and the outer ingredient barrier of the coaxial ingredient package assembly coaxially aligned about a longitudinal package axis;
[0020] FIG. 9 is a back or bottom perspective view of the coaxial ingredient package assembly with a first end removed and depicting a user pinching or squeezing a second end to coaxially displace first and second coaxially aligned ingredients from the package assembly;
[0021] FIG. 10 is a fragmentary view of a select package end being manually removed from the coaxial ingredient package assembly depicting skipped, paired score lines to enable the manual end removal;
[0022] FIG. 11 is a fragmentary view of a select package end with end removal started to the left of the figure and depicting skipped, singular score lines to enable further manual end removal;
[0023] FIG. 12 is a fragmentary view of a select package end of the coaxial ingredient package assembly depicting continuous, paired score lines to enable manual end removal;
[0024] FIG. 13 is a fragmentary view of a select package end of the coaxial ingredient package assembly depicting a continuous, singular score line to enable manual end removal;
[0025] FIG. 14 is an enlarged front or top view of the coaxial ingredient package assembly with a first package end removed and depicting a user pinching or squeezing a second package end thereby manually aiding axial displacement of first and second ingredients, the first and second ingredients being coaxially presented at the opened first package end;
[0026] FIG. 15 is a fragmentary depiction of a user pinching or squeezing the coaxial ingredient package assembly adjacent a sealed first package end thereby axially displacing coaxially aligned first and second ingredients directly into the user's mouth via an open second package end for mouth mixing;
[0027] FIG. 16 is a top perspective type depiction of two tandem vertical form fill and seal assemblies forming the coaxial ingredient package assembly;
[0028] FIG. 17 is a front or top perspective view of another embodiment of an ingredient package assembly;
[0029] FIG. 18 is a section view of the ingredient package assembly of FIG. 17 taken along line 18 - 18 of FIG. 17 ; and
[0030] FIG. 19 is a section view of the ingredient package assembly of FIG. 17 taken along line 19 - 19 of FIG. 18 .
DETAILED DESCRIPTION
[0031] Referring now to the drawings with more specificity, an embodiment of a coaxial ingredient or foodstuff package or coaxial package assembly 10 is generally illustrated and referenced in FIGS. 1-5 , 14 , and 16 . Another embodiment of a non-coaxial ingredient or foodstuff package assembly 102 is generally referenced in FIGS. 17-19 . The coaxial package assembly 10 is designed primarily for compartmentalizing and packaging ingredients or foodstuffs in coaxial relation to one another and for presenting the coaxially aligned ingredients or foodstuffs to the consumer. The non-coaxial package assembly 102 is designed primarily for compartmentalizing and packaging ingredients or foodstuffs to the consumer. In this regard, it has been noted that certain foodstuffs and/or ingredients are often best stowed or compartmentalized until the time of consumption or admixture.
[0032] Thus, the coaxial ingredient package assembly 10 may well function to package plural ingredients or foodstuffs in distinct coaxial compartments and preferably comprises at least one plastic, pliable, or pinchable inner foodstuff barrier or tube 11 as illustrated and referenced in FIGS. 1-4 , 6 , and 8 - 13 , and 16 ; and a plastic, pliable, or pinchable outer foodstuff barrier or tube 12 as illustrated and referenced in FIGS. 1-5 , and 7 - 16 . Further, the package assembly 10 may be said to preferably comprise first and second package ends 13 as generally depicted and referenced in FIGS. 1 , 3 - 5 , and 9 - 15 ; and a longitudinal package axis 100 as depicted and referenced in FIGS. 1-4 , 8 , and 14 .
[0033] The inner ingredient or foodstuff barrier 11 is preferably formed by way of a first vertical form fill and seal (VFFS) assembly 15 as generally depicted in FIG. 16 and may preferably comprise a composite polymer material comprising state of the art materials such as polypropylene, polyester, paper, polyolefin extrusions, adhesive laminates, and other such materials. It is noted that for many ingredients, foodstuffs, or food products, flavor retention is highly important. In this regard, as is noted in the prior art, metalized food-contacting layers or surfaces provide excellent flavor retention when juxtaposed adjacent ingredients. Thus, it is contemplated that a metalized food or ingredient-contacting layer may preferably or alternatively form an innermost surface or layer 14 of foodstuff barrier 11 as generally referenced in FIG. 6 .
[0034] The film composition of inner foodstuff barrier 11 generally depicted in FIG. 6 should in any event be ideally suited for use on vertical form and fill machines for the packaging of foodstuff ingredients or food products, as the methodology involved in constructing package assembly 10 preferably involves the use of tandem VFFS machines or assemblies as generally depicted in FIG. 16 . Both the innermost surface 14 of barrier 11 and the outermost surface or layer 16 of barrier 11 should provide excellent food-contacting barrier properties (as would, for example, a metalized thin layer of aluminum). Further, the outermost surface 16 of barrier 11 should enable sealing attachment to the innermost surface 14 .
[0035] In this regard, it is noted that state of the art techniques for forming a preferred longitudinal lap seal may involve the use of metalized oriented polypropylene (OPP) or metalized polyethylene terephtalate (PET). Excellent results may be achieved by utilizing OPP or PET for the outside or outermost surface 16 of barrier 11 insofar as the same enables state of the art heat sealing of the longitudinal back seal (or transverse seal) of the film. Notably, there is no requirement for an ink layer for the inner ingredient or foodstuff barrier 11 as viewable graphics and the like may be considered superfluous, the same being otherwise hidden or blocked from view by the outer barrier 12 .
[0036] With reference to FIGS. 6 and 8 , it will be seen that a portion of the inside surface layer 14 is mated with a portion of the outside surface or layer 16 in the area indicated by an arrow (in FIG. 6 ) to form a lap seal 20 (referenced in FIG. 8 ). The lap seal 20 in this area may typically be accomplished by applying heat and pressure to the film in such area. The lap seal design shown in the noted figures thus helps to insure that the product to be placed inside the formed package will be protected or isolated from matter radially external to the inner foodstuff barrier 11 .
[0037] It is contemplated that inner foodstuff barrier 11 may preferably comprises a longitudinal lap seal 20 of the type generally described and depicted in FIG. 8 so as to minimize packaging material volume extending into the interstices 17 between the inner foodstuff barrier 11 and the outer foodstuff barrier 12 , which interstices 17 is generally referenced in FIG. 8 . From a comparative consideration of FIGS. 2 and 8 , it will be understood that providing a lap seal 20 on barrier 11 will not only minimize packaging material volume, but maximize the outer foodstuff volume 18 and minimize obstruction(s) during axial displacement of the outer foodstuff or ingredient 28 . The outer foodstuff volume 18 is generally referenced in FIG. 2 , and the outer foodstuff 28 is generally depicted and referenced in FIGS. 4 , 9 , 14 , and 16 .
[0038] The outer foodstuff barrier 12 is preferably formed by way of a second vertical form fill and seal (VFFS) assembly 19 tandemly juxtaposed in inferior adjacency to assembly 15 as further generally depicted in FIG. 16 . Outer foodstuff barrier 12 may also preferably comprise a composite polymer material comprising state of the art materials such as polypropylene, polyester, paper, polyolefin extrusions, adhesive laminates, and other such materials. As has been noted, many foodstuffs or food products benefit from the use of metalized food-contacting packaging layers or surfaces to retain food flavor. Thus, a metalized food-contacting layer may form an innermost layer or surface 23 of foodstuff barrier 12 as referenced in FIG. 7 .
[0039] The film composition of outer foodstuff barrier 12 generally depicted in FIG. 7 should in any event be also be ideally suited for use on vertical form and fill machines for the packaging of food-based ingredients or food products, as the methodology involved in constructing package assembly 10 preferably involves the use of tandem VFFS machines or assemblies 15 and 19 . The innermost surface 23 of barrier 12 should provide excellent barrier properties (as would, for example, a metalized thin layer of aluminum) and should enable sealing attachment unto itself. In this last regard, it is noted that state of the art techniques for forming a fin seal 22 may also involve the use of metalized oriented polypropylene (OPP) or metalized polyethylene terephtalate (PET). Excellent results may be achieved by utilizing OPP or PET for the inside or innermost surface 23 of barrier 12 insofar as the same enables state of the art heat sealing of the longitudinal back seal (or transverse seal) of the film. Notably, outer foodstuff barrier 12 may comprise an outer ink or graphics layer for the presentation of graphics that can be viewed through a transparent outside layer 24 , which outside layer 24 may comprise state of the art OPP or PET materials.
[0040] In this last regard, it will be noted that a longitudinal fin seal 22 is to be preferred for longitudinally sealing the back of outer foodstuff barrier 12 , which fin seal 22 is generally depicted in FIGS. 2 , 8 , and 9 . Outer foodstuff barrier 12 may preferably comprises a longitudinal fin seal 22 of the type generally described and depicted so as to maximize the outermost (hermetic) seal integrity of the package assembly, it being generally understood that fin seals generally provide superior hermetic seals. Further, in contradistinction to the inner lap seal 20 which functions to provide a benefit by reducing interstitial packaging material volume, there is no equal benefit of this type external to the package and thus the outer fin seal 22 is to be preferred to provide a superior seal and barrier to matter external to the package assembly 10 such as air, bacteria, debris, etc. Alternatively, however, it is contemplated that a lap seal may also be used to back seal the outer foodstuff barrier 12 , for example in situations requiring conservation of materials.
[0041] The fin seal variation generally depicted also provides that the product to be placed in the formed package will be protected from the ink layer by the inside surface or layer 23 . Again, the outside layer 24 does not normally contact any packaged foodstuff product. In the preferred embodiment depicted in FIG. 7 , the inside surface or layer 23 is folded over and then sealed on itself in the area indicated by the arrows. Again, this seal is accomplished by the application of heat and pressure to the film in the area illustrated as may be seen from a general inspection of FIG. 16 at reference numeral 25 .
[0042] It should perhaps be reiterated that the packaging materials that are fed into the form, fill and seal machines shown in FIG. 16 are preferably packaging film(s), such as polypropylene, polyester, paper, polyolefin extrusions, adhesive laminates, and other such materials, or from layered combinations of the above. For many food products, where flavor retention is important, a metalized layer may form the innermost layer, and in the case of inner foodstuff barrier 11 , a metalized layer may form both the innermost surface or layer 14 and the outermost surface or layer 16 .
[0043] As may be further seen from an inspection of FIG. 16 , the inner foodstuff barrier 11 functions to receive an inner ingredient or inner foodstuff 26 and thereby forms an inner (food) package 27 . The inner ingredient or inner foodstuff 26 is further illustrated and referenced in FIGS. 2 , 4 , 9 , and 14 . The outer foodstuff barrier 12 , in turn, receives the inner food package 27 and an outer foodstuff 28 in substantially coaxial relation about the package axis 100 . The inner foodstuff barrier 11 essentially functions to prevent contact intermediate the inner foodstuff 26 and the outer foodstuff 28 as further depicted in FIGS. 2 , 4 , 9 , 14 , and 16 . The outer foodstuff barrier 12 essentially functions to prevent contact intermediate the outer foodstuff 28 and radially ambient matter or matter radially external to package assembly 10 (such as air or debris).
[0044] Finally, the first and second package ends 13 are preferably heat-pressure sealed to finally seal the package assembly 10 . The sealed first and second package ends 13 effectively function to selectively prevent contact intermediate the inner and outer foodstuffs 26 and 28 and axially ambient matter or matter axially external to package assembly 10 . In this last regard, the notion of selectively preventing contact intermediate the inner and outer foodstuffs 26 and 28 and axially ambient matter is meant to convey that the user may elect to enable contact therebetween, as for example, by opening the package assembly 10 . It is thus contemplated that the coaxial foodstuff package or package assembly 10 may further preferably comprise certain manually-enabled, end-opening means for enabling a user to manually (in other words, with one's hand and/or fingers) open a select package end, the select package end being selected from the group consisting of the first and second package ends 13 , but which may preferably be situated adjacent the top end as directed by implied by graphical indicia viewable via the outer package structures.
[0045] It is further contemplated that the end-opening means may be defined by certain select scoring as selected from the group comprising a singular score line 30 as generally depicted in FIGS. 11 and 13 ; paired score lines 31 as generally depicted in FIGS. 3 , 10 , 12 , and 14 ; continuous score lines 32 as generally depicted in FIGS. 12-14 , and skipped score lines 33 as generally depicted in FIGS. 3 , 10 , and 11 . It will be seen from an inspection of the noted figures that the select scoring may be preferably transversely aligned or orthogonal to the package axis 100 for enabling a user to remove the select package end as comparatively depicted in FIGS. 10 and 14 . It is further contemplated that the select scoring may be preferably laser scored as a means to enhance the user's ability to manually, evenly and simultaneously open the compartments 38 and 39 containing the inner foodstuff 26 and the outer foodstuff 28 , respectively, to ambient matter, including, a user's mouth 101 as generally depicted in FIG. 15 .
[0046] In this last regard, it is contemplated that the preferred opening technology take the form of or be defined by a laser score. The laser score will be both on the inner tube 11 and the outer tube 12 . It is further contemplated that the laser score may be preferably applied while the packages are in the web configuration, prior to being formed into a tube. As heretofore stated, the score can be of many different designs; a solid score, a skip score (as shown by dotted lines), a double score where the scores are preferably about 1 mm apart making it easier to align the inner and outer scores for a clean removal of the select package end (i.e. the top) of each tube. By using a laser score the entire select package end (i.e. the top) of the tube can be removed, making the dispensing of the ingredients or inner and outer foodstuffs 26 and 28 inside much cleaner or with minimal axial obstruction(s).
[0047] Certain foodstuff service and/or presentation methodology is inherently taught by the structure(s) heretofore disclosed and described. For example, a certain foodstuff service method is contemplated whereby contact between plural foodstuffs may be prevented prior to final foodstuff service. In this regard, the method is contemplated as comprising certain steps including, aligning an inner foodstuff such as inner foodstuff 26 about a foodstuff axis such as package axis 100 . The step of inner foodstuff alignment may be structurally achieved by bounding or packaging the inner foodstuff with a first foodstuff barrier such as inner foodstuff barrier 11 as generally depicted in FIG. 15 at 35 . The methodology may further comprise a step of coaxially aligning at least one outer foodstuff such as outer foodstuff 28 about the inner foodstuff (and the foodstuff axis). The step of outer foodstuff coaxial alignment may be structurally achieved by bounding or packaging the outer foodstuff(s) with a second or secondary foodstuff barrier(s) such as outer foodstuff 12 as generally depicted in FIG. 15 at 36 .
[0048] After the respective foodstuffs are axially aligned, the same may be sealed from ambient matter (such as air or debris) for stowing and/or transporting the ingredients or foodstuffs and the foodstuffs may be unsealed or opened to ambient matter (such as a plate or one's mouth) prior to final foodstuff service. After opening or unsealing the otherwise sealed foodstuffs, it is contemplated that the methodology may involve the step of finally serving the inner and outer foodstuffs to the foodstuff consumer, as for example, by setting the coaxially aligned foodstuffs in front of the foodstuff consumer or by dispensing the foodstuffs from coaxial alignment directly to the foodstuff consumer, as for example, by dispensing the contents directly into one's mouth as generally depicted in FIG. 15 .
[0049] Notably, the step(s) of foodstuff alignment and foodstuff sealing may be defined by the process of packaging the foodstuff in respective foodstuff sheathing such as inner and outer foodstuff barriers 11 and 12 . Thus, the methodology here contemplated may further involve the step of preventing foodstuff contact during the step of coaxial foodstuff alignment. Further, the inner and outer foodstuffs may be simultaneously and axially displaced during final foodstuff service as for example, by squeezing, pinching (as at 37 in FIGS. 9 and 14 ) or otherwise forcing the foodstuffs from the structures herein specified, which structures may be defined as an inner chamber 38 and an outer chamber 39 both of which are generally referenced in FIG. 8 .
[0050] In this last regard, it is contemplated that the user may elect to allow gravitational force to pull foodstuffs or other ingredient contents from the inner and outer chambers 38 and 39 as generically depicted in FIG. 14 where both gravitational force (in other words, the weight of package contents as depicted at vector arrow 40 ) and the user's pinching action 37 may operate to force foodstuffs 26 and 28 from chambers 38 and 39 for further processing. Thus, it may be said that inner and outer foodstuffs may be manually forced into axial displacement by pinching the foodstuffs along the foodstuff axis.
[0051] Typically, after having been finally served the foodstuffs, the user may elect to mix the foodstuffs out of coaxial or concentric alignment. This may be achieved in any number of ways, not the least of which is via mouth-mixing the foodstuffs as implicitly shown in FIG. 15 . Notably, should the user elect to dispense container contents directly into one's mouth from the open select package end, admixture of ingredients may be effectively achieved thereby to effect flavor and enjoyment prior to admixed foodstuff or ingredient consumption.
[0052] It is contemplated that the process of presenting foodstuff(s) may differ somewhat from foodstuff service methodology heretofore set forth. The presentation method or method for coaxially presenting plural foodstuffs to a foodstuff consumer is believed to essentially comprise the steps of coaxially aligning a plurality of foodstuffs about a foodstuff axis. The process of coaxial foodstuff alignment is believed to set up the process of axial displacement of foodstuffs along the foodstuff axis, which process, in turn, sets up the process of coaxial presentation of foodstuffs to a foodstuff consumer. In other words, after axially displacing the coaxially aligned foodstuffs, the same may be presented to the foodstuff consumer. As before, the plural foodstuffs may be prevented from contacting one another during coaxial foodstuff alignment. Further, should the foodstuffs benefit from being sealed from ambient matter (as for example for stowage on a market shelf), it is further contemplated that the foodstuffs may be sealed from ambient matter and opened prior to axial foodstuff displacement, the displacement may be effectively achieved or effected by way of pinching action or other forceful means as heretofore contemplated.
[0053] While the above description contains much specificity, this specificity should not be construed as limitations on the scope of the invention, but rather as an exemplification of the invention. For example, the invention may be described as a coaxial foodstuff package having distinct coaxial compartments for housing distinct ingredients, the separation of which may be beneficial until to the actual time of consumption. The disclosed preferred embodiments have illustrated a two chamber foodstuff package. However, a coaxial foodstuff package comprising more than two distinct compartments according to the teachings set forth herein is contemplated. Should the manufacturer elect to form three or more coaxial compartments, it is contemplated that inner barriers should take the form of inner foodstuff barrier 11 and the outermost barrier should take the form of outer foodstuff barrier 12 .
[0054] Further, a foodstuff or other ingredient package for packaging and presenting plural foodstuffs or ingredients is disclosed. The package essentially comprises at least one inner foodstuff or ingredient barrier (such as barrier 11 ), an outer foodstuff or ingredient barrier (such as barrier 12 ), first and second package ends, and at least one longitudinal package axis (such as axis 100 ). The inner foodstuff barrier extends intermediate the outer foodstuff barrier and the package axis for receiving an inner foodstuff and forming an inner food package or packages. The outer foodstuff barrier receives the inner food package(s) and an outer foodstuff, which essentially fills the interstitial cavity intermediate the outer barrier and the inner food package(s). The inner foodstuff barrier essentially functions to prevent contact intermediate the inner and outer foodstuffs, and the outer foodstuff barrier essentially functions to prevent contact intermediate the outer foodstuff and radially ambient matter.
[0055] The first and second package ends are sealed for selectively preventing contact intermediate the inner and outer foodstuffs and axially ambient matter. In this regard, it is contemplated that a multiaxial foodstuff package may be gleaned from the teachings set forth herein wherein the foodstuff package may comprises plural inner foodstuffs bound by certain inner foodstuff barriers and a single outer foodstuff which fills the interstitial space intermediate the inner foodstuff barrier(s) and the outer foodstuff barrier. Further, in terms of a foodstuff presentation method, the method for presenting plural foodstuffs to a foodstuff consumer may be said to comprise the steps of axially displacing axially aligned plural foodstuffs along the foodstuff axes for axially presenting plural foodstuffs to a foodstuff consumer; and presenting the axially aligned and axially displaced foodstuffs to the foodstuff consumer. This method may be preferably defined by coaxially aligning the plural foodstuffs or ingredients prior to axial displacement.
[0056] As a last point, it will be seen that the types of ingredients storable in the package do not necessarily have to be overtly reactionary with one another as would be the case with gasified candy and moisture-laden ingredients such as pudding. The package may well function to separate ingredient pairs and the like such as cottage cheese on the outside and a fruit sauce on the inside (similar to the ingredients of B REAKSTONE'S ®/K NUDSEN ® C OTTAGE D OUBLES ® brand(s) snack packs); chocolate sauce on the outside and marshmallow cream on the inside; pudding on the outside and whipped cream on the inside; peanut butter on the outside and jelly on the inside; ketchup on the outside and mustard on the inside; and pudding on the outside and gasified candy on the inside. The package can be manufactured so that the contents including both foodstuffs can be visible through the transparency of the film used for the package or the exterior product can be partially seen through the transparency of the film so that the outer package can also carry the brand name and advertising of the manufacturer as needed.
[0057] Turning now to the embodiment of FIGS. 17-19 , the package 102 is similar in construction and manufacture to that of the package 10 discussed above, but is not coaxial. More specifically, the package 102 includes and inner foodstuff barrier 111 disposed within an outer foodstuff barrier 112 . The inner foodstuff barrier 111 may have an outer layer 116 that contains an inner foodstuff 126 and separates the inner foodstuff 126 from an outer layer 124 of outer foodstuff barrier 111 and an outer foodstuff 128 contained therein. The inner and outer foodstuffs 126 and 128 may be different, or they may be the same. Also similar to the previously-discussed package 10 , the package 110 has sealed first and second ends 113 , a lap seal 120 between ends of the outer layer 116 of the inner foodstuff barrier 111 , and a fin seal 122 between ends of the outer layer 124 of the outer foodstuff barrier 112 , as illustrated in FIG. 18 . As illustrated in FIG. 19 , the outer foodstuff 128 does not necessarily surround the inner foodstuff barrier 111 .
[0058] Although described by reference to a preferred embodiment and certain alternative embodiments, it is not intended that the novel assembly be limited thereby, but that modifications thereof are intended to be included as falling within the broad scope and spirit of the foregoing disclosure, the following claims and the appended drawings. | Coaxial and non-coaxial ingredient packages provides an integrated inner and outer package via a common transverse seal across opposing ends of the package. The transverse seal is accomplished by way of the outer surface of the inner package and the inner surface of the outer package. The inner package functions to receive a first ingredient and the outer package functions to receive a second ingredient. An opening mechanism located at a select package end enables the user to unseal the inner and outer packages simultaneously thereby facilitating the common dispensing of package contents or ingredients in a complementary manner for opportune admixture. Certain methodology for coaxial ingredient or foodstuff service and/or presentation is further presented as reflective of the disclosed structures. | 38,244 |
TECHNICAL FIELD OF THE INVENTION
[0001] The present invention relates to modifying small structures using localized electrochemistry and is particularly useful in the field of nanotechnology.
BACKGROUND OF THE INVENTION
[0002] Micrometer and nanometer scale structures are used in many fields including biological sciences, microelectromechanical systems (MEMS) and semiconductor manufacturing. For example, semiconductor devices such as microprocessors can be made up of millions of transistors, each interconnected by thin metallic lines branching on several levels and electrically isolated from each other by layers of insulating materials. Biological sensors may include microscopic regions of biological material that detect an analyte, transducers and electronics that provide an interpretable detectable signal.
[0003] When a new nanoscopic device is first produced in a fabrication facility, the design typically does not operate exactly as expected. It is then necessary for the engineers who designed the device to review their design and “rewire” it to achieve the desired functionality. Due to the complexity of lithography processes typically used to fabricate microstructures, it typically takes weeks or months to have the re-designed device produced. Further, the changes implemented frequently do not solve the problem, or the changes expose another flaw in the design requiring additional design changes. The process of testing, re-designing and re-fabrication can significantly lengthen the time to market new semiconductor devices. Device editing—the process of modifying a device during its development without having to remanufacture the whole circuit—provides tremendous economic benefits by reducing both processing costs and development cycle times.
[0004] Charged particle beam systems, such as focused ion beam systems and electron beam systems, are used to create and alter microscopic structures because the charged particles can be focused to a spot smaller than one tenth of a micron. Focused ion beams can micro-machine material by sputtering that is, physically knocking atoms or molecules from the target surface or chemically assisted ion beam etching. Electron beams can be used in chemically-assisted electron beam etching.
[0005] Ion beams, electron beams, and laser beams can also be used to directly deposit material by a process known as beam-induced deposition or direct-write deposition. Direct write deposition allows a device designer to test variations of the device without undertaking the lengthy process of modifying photolithography masks and fabricating a new circuit from scratch. Direct write deposition can be achieved by using electron beam, ion beam, or laser beam stimulated chemical vapor deposition, in which a precursor species dissociates due to the effects of the beam. Part of the dissociated molecules is deposited onto the substrate, and part of the dissociated molecule forms volatile by-products, which eventually release from the substrate surface. The precursor can be a vapor that contains a metal species to be deposited. The metal is deposited only in the area impacted by the beam, so the shape of the deposited metal can be precisely controlled. An ion beam assisted deposition process is described, for example, in U.S. Pat. No. 4,876,112 to Kaito et al. for a “Process for Forming Metallic Patterned Film” and U.S. Pat. No. 5,104,684 to Tao et al. for “Ion Beam Induced Deposition of Metals.”
[0006] It is often difficult to obtain high purity materials using direct write deposition, primarily due to the incorporation into the deposit of other components of the precursor molecules or the elements from the incident ion beam, such as gallium ions. This lack of control of composition, material purity, or internal structure often leads to undesirable properties in the deposited material. Tungsten and platinum deposited by focused ion beam (FIB)-induced deposition typically have resistivities greater than about 150 micro ohm centimeters (μΩ-cm). Recently-introduced FIB copper depositions have resistivities of 30-50 μΩ-cm. This is significantly higher than the resistivity of pure copper, which is less than 5 μΩ-cm. As conductor sizes continue to shrink and processor speeds increase, it will be necessary to reduce the resistivity of conductors deposited during the device edit process, so that the smaller conductors can carry the required current. Similarly, the resistivity of material used to fill vias, metal filled holes that connect conductors in different layers, will need to decrease because the diameter of vias will decrease in the future so there is less conductive material in the hole to carry current. Low resistivity of the fill material and elimination of voids thus becomes even more important. Also, as via dimensions decrease, it becomes more difficult to cleanly sever a line at the bottom of the via without redepositing conductive material on the sidewalls of the via, which can short circuit other layers.
[0007] Furthermore, the materials that can be deposited by charged particle beam-induced deposition are limited by the availability of vapor phase precursors with requisite properties, that is, high residency time (stickiness) on the surface, lack of spontaneous decomposition, and decomposition in the presence of the beam to deposit the desired material and form a volatile byproduct. When suitable deposition precursors do exist for a particular material, the deposition rates are often limited by gas depletion effects and other factors.
[0008] Processes for applying metal globally to a circuit are known. For example, copper electroplating has been used by IC manufactures to make on-chip interconnection in the Damascene process, originally developed by IBM in 1997. The electroplating bath solutions are specially formulated by and commercially available from various semiconductor chemical supplier companies. The IC manufacturing electroplating technology, known as superfilling during chip manufacturing has the capability of filling vias having diameters of about 100 nm with a 1:5 aspect-ratio. Such processes, however, are applied globally to an entire chip.
[0009] U.S. Pat. No. 7,674,706 to Gu et al. for “System for Modifying Structures Using Localized Charge Transfer Mechanism to Remove or Deposit Material” (“Gu”) describes depositing a localized drop of electrolyte on a portion of an integrated circuit and depositing or etching using an electric current flowing from a probe in the drop, through the electrolyte and then through the substrate. In one embodiment, the probe in the drop is replaced by using a charged particle beam to supply current, with the circuit being completed through the substrate.
[0010] FIG. 1 shows a method of localized electrochemical deposition of conductors using a micro or nano pipette in close proximity to a conductive surface. Such a method is described in Suryavanshi et al. in “Probe-based electrochemical fabrication of freestanding Cu nanowire array,” Applied Physics Letters 88, 083103 (2006) (“Suryavanshi”). A glass pipette 102 holds an electrolyte solution 104 , such as 0.05 M CuSO 4 . A power supply 106 provides current for the electrochemical reaction, with an electric circuit being formed between a copper electrode 108 and a conductive substrate 110 . The process is typically carried out in atmosphere under the observation of an optical microscope. A device that moves about a surface writing a pattern is referred to as a “nano pen.”
SUMMARY OF THE INVENTION
[0011] It is an object of the invention, therefore, to provide a method for altering a microscopic structure, and in particular, to provide a method for selectively depositing high purity material onto, or removing material from, a microscopic structure
[0012] Embodiments of the invention use a localized charge transfer mechanism to precisely deposit or remove material onto a substrate. In some embodiments, the invention can rapidly and precisely deposit metal conductors or rapidly remove metals or other conductive materials from a structure. Some embodiments use a nanocapillary having a diameter sufficiently small that liquid is extracted by capillary forces, instead of by hydrostatic forces, thereby improving control of the liquid dispensation.
[0013] In some embodiments, the electrochemical reaction is performed in a vacuum chamber of a charged particle beam system, such as an environmental scanning electron microscope, with a moveable nano pen defining a pattern or spot at or near which the deposition occurs. In some embodiments, the surface on which the material is deposited does not need to be electrically conductive—the electrical circuit can be completed, for example, by a charged particle beam or by a thin film of liquid that extends a significant distance from the bubble of electrolyte at the end of the nano pen.
[0014] Some embodiment provide an automated process, with the position and/or the state of the deposit being monitored, preferably by a scanning electron microscope, the image being analyzed by software and the nano pen movement being adjusted based on the image analysis.
[0015] The foregoing has outlined rather broadly the features and technical advantages of the present invention in order that the detailed description of the invention that follows may be better understood. Additional features and advantages of the invention will be described hereinafter. It should be appreciated by those skilled in the art that the conception and specific embodiments disclosed may be readily utilized as a basis for modifying or designing other structures for carrying out the same purposes of the present invention. It should also be realized by those skilled in the art that such equivalent constructions do not depart from the spirit and scope of the invention as set forth in the appended claims.
BRIEF DESCRIPTION OF THE DRAWINGS
[0016] FIG. 1 shows a prior art electrochemical writing instrument.
[0017] FIG. 2 shows a system for depositing pure metal or etching a metal.
[0018] FIG. 3 is a flow chart showing the operation of the system of FIG. 2 .
[0019] FIG. 4 shows a system that uses a charged particle beam as a virtual electrode.
[0020] FIG. 5 shows a system in which electrodeposition is performed on an insulating surface adjacent a conductor.
[0021] FIG. 6 is a flow chart showing the operation of the system of FIG. 5 .
[0022] FIG. 7 is a photomicrograph of a metal deposited using the system shown in FIG. 5 .
[0023] FIG. 8 shows a system in which a charged particle beam deposits a conductor to be used as an electrode in conjunction with the charged particle beam supplying charge for the reaction.
[0024] FIG. 9 is a flow chart showing the operation of the system of FIG. 8 .
[0025] FIG. 10 shows a system in which a beam causes a deposit from a thin layer of electrolyte away from the electrolyte bubble at the tip of the nanocapillary.
[0026] FIG. 11 is a flow chart showing the operation of the system of FIG. 10
[0027] FIG. 12 is a photomicrograph of a metal deposited using the system shown in FIG. 10 .
[0028] FIG. 13 is a flow chart showing a procedure for forming a nanocapillary.
[0029] FIG. 14A is a diagram of the alignment of the nanocapillary relative to the FIB prior to milling the tip of the nanocapillary to achieve the specific geometry necessary to induce adequate flow.
[0030] FIG. 14B is a diagram of the milling of the nanocapillary.
[0031] FIG. 14C is a diagram of the milling of fiducials on the nanocapillary.
[0032] FIG. 14D is a diagram showing the alignment of a nanocapillary with a surface to locally deposit an electrolyte solution for electrochemical deposition
[0033] FIGS. 15A and 15B are photomicrographs of a nanocapillary after some of the processing steps described in FIG. 14 . FIG. 15A shows the nanocapillary end after cutting.
[0034] FIG. 15B shows the nanocapillary of FIG. 15B with fiducial milled on it.
[0035] FIG. 16 is a flow chart showing a procedure for preparing the nanocapillary.
[0036] FIG. 17A-D shows a sequence of steps involved in filling the nanocapillary.
[0037] FIG. 18 shows a modified GIS assembly used to hold a nanocapillary.
DETAILED DESCRIPTION OF PREFERRED EMBODIMENTS
[0038] In a preferred embodiment, the present invention provides a means to directly deposit or etch conductive material onto a substrate. A nano pen dispenses an electrolyte and an electric current through the electrolyte electrochemically deposits material onto the surface or etches material from the surface. A “nano pen,” as used herein, comprises a device that dispenses small quantities of liquid to “write” or “etch” upon a substrate as the pen moves relative to the surface. Nano pens can comprise, for example, nanocapillaries, nano syringes, nanopipettes, etc.
[0039] Some embodiments of the invention can be used to deposit metals that are substantially pure. Because the metals are pure, they can have resistivities that are forty or more times lower than the resistivities of existing FIB-induced deposition of tungsten and platinum materials, and ten times lower than the resistivity of FIB-induced deposition of copper conductive materials. The resistivities are comparable to those of pure metals, for example less than 100 μΩ-cm, more preferably less than 50 μΩ-cm, even more preferably less than 25 μΩ-cm or less than 10 μΩ-cm, and most preferably less than 5 μΩ-cm. The deposited metals can be greater than 90% (atomic percent) pure, more preferably greater than 95% pure and most preferably greater than 99% pure. Alloys could be deposited using solutions containing multiple metal ion species.
[0040] In some embodiments of the invention, the nano pen operates in the sample vacuum chamber of a charged particle beam system, such as an environmental scanning electron microscope (SEM). Environmental SEMs typically operate with the sample in a chamber at a pressure of between 0.07 and 50 Torr, which is much higher than the pressures in the vacuum chamber of a conventional SEM or FIB, typically less than 10 −5 mbar,. A liquid electrolyte used in some embodiments of the invention will raise the pressure in the vacuum chamber, but the higher operating pressure can still be within the operating limits of an environmental SEM. In some embodiments, the sample and/or the nano pen may be cooled to reduce the electrolyte vapor pressure and maintain working pressures in the environmental SEM sample chamber within the operating limits.
[0041] When the process is used in an environmental SEM, the SEM image can be used to position and direct the capillary, manually or automatically, for forming a deposition pattern and for monitoring the growth process with great precision. The high resolution of the SEM facilitates an automated process, in which the position of the nano pen and the material being deposited or etched is observed and interpreted using pattern recognition software. The position of the nano pen and the state of the process, such as the geometry of the deposit or etch, are measured and fed back to the process controller to correct the process in real time, that is, while it is being performed, providing a closed loop feedback system. Such embodiments overcome a limitation of prior art systems, such as that of Suryavanshi, in which the accuracy of the placement of the nano pen is limited by the resolution of an optical microscope.
[0042] Another advantage of operating the invention in a vacuum chamber is that a charged particle beam can induce charge transfer reactions so that the charged particle beam can be used as a virtual electrode. Prior art electrochemical, direct-write processes for directly depositing a material onto a surface are not compatible with insulating surfaces as the insulating surface prevents the electrochemical circuit from being formed. Embodiments of the present invention using a charged particle beam itself as a virtual cathode and a nanocapillary to locally apply the electrolyte allows deposition on an insulating surface.
[0043] Using a virtual electrode facilitates deposition on an insulating surface or on an isolated conductor. For example, an ion beam, such as a beam of gallium, argon, or other ions, can provide positive charges to induce anodic reactions for deposition. An electron beam, depending upon the primary beam energy, may induce either anodic or cathodic reactions. The electron beam supplies negative charges for a cathodic reaction. At lower energies, however, each electron in an electron beam can cause the removal of more than one electron from the species in the anodic region, resulting in a net flow of positive charges into the substrate. Thus, the electron beam may be used to electrodeposit material by providing a net positive charge or to etch material by providing a net negative charge.
[0044] When a charged particle beam is used to induce an electrochemical reaction, the other electrode to complete the circuit is typically provided at the nano pen, either by a wire in the nano pen or a coating on the nano pen. In some embodiments, an electron beam or ion beam can be used with a precursor gas to deposit a conductor to be used as a physical electrode. An electron beam or ion beam can be directed to the deposited conductor as a current source. A pattern can be drawn from the beam-deposited conductor using the nano pen, with the electric circuit being completed through the electrodeposited pattern to the electrolyte and finally through the conductor associated with the nano pen. Such embodiments overcome a limitation of prior art systems, such as that of Suryavanshi, because such embodiments do not require a conductive path from the deposited material through the substrate.
[0045] In other embodiments, the electrochemical circuit can extend from the conductor at the nano pen through the electrolyte and through a conductor in electrical contact with conductors within the work as described, for example, in Gu. For example, if the work piece is an integrated circuit, part of the electrochemical circuit can occur through the conductive layers of the circuit using the circuit's pins or probe touching part of a conductive layer for external connections.
[0046] In some embodiments, the fluid is delivered by capillary forces only, as opposed to hydrostatic pressure. Hydrostatic flow of fluid for localized delivery requires a large diameter at the interface of fluid to vacuum, resulting in large uncontrollable amounts of liquid being delivered. The electrolyte capillary bubble in these types of applications typically has a diameter between 1 μm and 50 μm in low vacuums using pressure driven flows. A smaller diameter of, i.e., about 100 nm is preferred for more precise deposition. When the diameter of a capillary is relatively large, liquid can be easily extracted by applying a pressure differential across the liquid in the capillary, that is, pressure is applied at the back end to push the liquid out of the capillary tip. As the diameter of the tip gets very small, an impractically large hydrostatic pressure would be required to force out the liquid, but the liquid can be extracted using capillary action by contacting the end of the nanocapillary with the substrate surface. Capillary action is caused by a combination of surface tension and adhesion of the liquid to a solid.
[0047] The diameter of the nano pen at which capillary action dominates over hydrostatic pressure for extracting liquid depends on the surface tension of the liquid, on the adhesion between the liquid and the material of which the nano pen is composed, and on the adhesion between the liquid and the material of which the substrate is composed. When the nano pen is composed of borosilicate glass, the liquid is ultrapure water, and the substrate surface is silicon, the diameter of the nano pen is preferably less than 20 μm, more preferably less than 5 μm and most preferably less than 1 μm.
[0048] Some embodiments use capillary forces to define fluid flow in a controlled manner, supply the fluid at a precise location on the surface, and deliver adequately small amounts of electrolyte to the surface. This enables the fluid to flow in a defined and controlled manner upon contact of the nano pen to the surface/substrate. Providing fluid flow only via capillary flow results in: (1) directed flow only upon contact of the nanocapillary to the surface; (2) small amounts of fluid can be delivered; (3) fluid can be supplied at a precise location on the surface (high resolution technique).
[0049] Direct-write processes have been limited to directing the charged particle beam toward the electrolyte solution bubble or just on the periphery of the bubble, as delivered by the nano pen. This has made it difficult to alter microstructures in electrically isolated areas. Applicants have found that deposition can be performed away from the electrolyte solution itself due to a very thin layer of solution that diffuses away from the bubble. Depositions 100 microns or more away from the bubble can be induced by directing a charged particle beam to the thin layer, allowing a pattern to be deposited on an insulting or isolated conducting surface away from the electrolyte bubble. The resolution of such a deposition is determined by the resolution of the charged particle beam and interaction volume of the electron beam in the substrate, rather than by the size of the bubble or the diameter of the nano pen.
[0050] Because the electrolyte is applied locally to plate a small area, no electroplating bath is needed. Most of the work piece remains dry. The specific plating solution used will depend on the application; many electroplating solutions are known in the art. For example, one suitable solution comprises ENTHONE ViaForm® Make-up LA, to which is added 5 ml/L of ENTHONE ViaForm® Accelerator and 2 ml/L ENTHONE ViaForm® Suppressor. The ENTHONE ViaForm® solutions are available from Enthone, Inc., West Haven, Conn. Metals such as Cu, W, Au, Pt, Pd, Ag, Ni, Cr, Al, Ta, Zn, Fe, Co, Re etc and alloys composed of these metals can also be written using the nano pen.
[0051] FIG. 2 shows an embodiment of the invention in which a nanocapillary 202 is used for electrochemical deposition or etching within sample vacuum chamber 204 of a charged particle beam system 206 , such as an environmental scanning electron microscope. Nanocapillary 202 is used to deliver electrolyte solution 208 to a surface 210 . The electrolyte solution forms a bubble 214 on surface 210 . The surface may be hydrophilic or hydrophobic, although preferably hydrophilic. Nanocapillary 202 is attached to a micromanipulator 212 that preferably provides motion in three axes and rotation along the capillary axis. In some embodiments, a modified gas injection system, which is a common accessory in charged particle beam systems, can be used as the micromanipulator. One electrode for electrochemical deposition is provided by a conductive coating 218 on, or a wire (not shown) in or on, nanocapillary 202 . The electrode associated with the nanocapillary is positively biased. In some embodiments, surface 210 is conductive and is connected through the sample substrate 220 or through a surface probe (not shown) to an electrode 224 to provide a second contact for electrochemical processing. In other embodiments, the charged particle beam can function as a virtual cathode or anode, providing charges for the electrochemical reaction.
[0052] A pressure limiting aperture 230 maintains a pressure differential between an electron optical column vacuum chamber 232 and the sample vacuum chamber 204 to reduce dispersion of the primary electron beam 231 by gas molecules. Thus, evaporation of the electrolyte 208 increases pressure in the sample vacuum chamber 204 , but much less so in the charged particle beam optical column vacuum chamber 232 . The sample in some embodiments is preferably cooled, for example, by a cooler 238 , such as a thermoelectric cooler, to increase the relative humidity at the substrate as compared to the bulk of the chamber. In some embodiments, the nanocapillary is also cooled, for example, by a thermoelectric cooler.
[0053] The electrochemical deposition or etching can be observed by the environmental scanning electron microscopy 206 , in which electron beam 231 scans the region where material is being deposited and secondary electrons 234 are emitted upon impact of electron beam 231 . The secondary electrons 234 are amplified by gas cascade amplification and detected by an electrode 238 , forming an image whose brightness at each point corresponds to the current detected by the electrode 238 . The image can be used to monitor and adjust the progress of the electrochemical deposition or etching to provide real time feedback to an operator. The image can be used to position and guide the nanocapillary 202 during deposition or etch.
[0054] In some embodiments, the deposition or etch can be automated. An image processor 250 uses pattern recognition software to recognize the nanocapillary and the substrate around it. A controller 252 controls the movement of the nanocapillary through micromanipulator 212 in accordance with a predetermined pattern. The image from the electron microscope can provide real time position information for closed loop feedback so that the position of the nanocapillary 202 can be controlled to produce the desired pattern on the surface 210 . The deposition or etch pattern can also be observed to adjust the deposition process, such as the speed of the nanocapillary or the pressure at which the nanocapillary contacts the surface.
[0055] As described above, the diameter is preferably sufficiently small so that the electrolyte is forced out of the nanocapillary by capillary action when the capillary is in contact with the surface, rather than through hydrostatic pressure.
[0056] FIG. 3 is a flowchart showing the operation of the system of FIG. 2 . In step 302 , the nanocapillary is filled with electrolyte as described in more detail below. In step 304 , the nanocapillary and sample are placed in the sample vacuum chamber, the nanocapillary being positioned in a micromanipulator so that it can be oriented, positioned, and moved. The sample is typically placed on a three axis stage. In step 306 , the sample vacuum chamber is evacuated. In step 308 , the nanocapillary is positioned at the beginning of the pattern to be deposited by observing the nanocapillary and the sample with the scanning electron beam. In step 310 , the nanocapillary is moved against the surface of the sample, and the electrolyte begins to flow. In step 312 , concurrent with step 310 , current flows from the positively biased electrode at the nanocapillary through electrolyte to a second electrode provided by a conductive feature on the surface, either preexisting or deposited for this process, or by a charged particle beam. After electrochemical deposition of a pattern using the nanocapillary has commenced, current can flow through the deposited pattern to the conductive feature. As the current flows, material is deposited at the cathodic terminal or etched from the anodic terminal. In step 314 , the nanocapillary is moved to deposit the desired pattern. In step 316 , the position of the nanocapillary and the state of the deposition or etch process is observed using the scanning electron microscope. In step 318 , the image is analyzed and in step 320 , the position of the nanocapillary is adjusted. In decision block 322 , the controller determined whether or not the process is complete. If the process is not complete, the process continues with step 316 .
[0057] FIG. 4 shows a charged particle beam system 402 , similar to that shown in FIG. 2 , except in charged particle beam system 402 , the charged particle beam 231 provides a virtual cathode to allow electrochemical deposition on an insulating surface or onto an electrically isolated conductive surface. By using the charged particle beam, preferably an electron beam, as a virtual electrode, nanocapillary 202 can deposit material onto an insulating surface 404 .
[0058] Capillary bubble 214 of the electrolyte solution 208 forms on the surface 404 . Beam 231 is initially directed at the capillary bubble 214 and functions as a virtual cathode by, for example, providing electrons or ions in the beam current to complete the electrochemical circuit. After a conductive material is deposited and nanocapillary is moved away from its original position, the electron beam can be directed to any point along the deposited conductor. The process for using the system of FIG. 4 is the same process described in the flowchart shown in FIG. 3 .
[0059] FIG. 5 shows schematically an embodiment of the invention in which a beam induces electrochemical deposition on an insulating surface 502 by using a nearby electrically isolated conductive surface 504 on a substrate 506 . The conductive surface 504 can be pre-existing as part of the original device or it can be added, for example, through beam-induced deposition. An electrolyte bubble 214 is placed via nanocapillary 202 to overlap the conductive region 504 and the insulating surface 502 upon which the material is to be electrochemically deposited. A charged particle beam 231 , preferably an electron beam, is directed to a location on the conductive surface 504 . The point to which the charged particle beam 231 is directed can be a significant distance away from the electrolyte bubble 214 . In some embodiments, charged particle beam 231 acts as a virtual cathode or current source. The other electrode is provided by a coating 218 or wire (not shown) at the nanocapillary to provide a positive bias relative to the substrate. Power supply 512 shows a connection to the nanocapillary and another connection to substrate 506 . If the conductive layer 504 is well isolated, no current will flow through the substrate 506 , and all current for the electrochemical reaction will be supplied by the charged particle beam. Material is then deposited on insulating region 504 through electrochemical deposition. Nanocapillary 202 can be maintained in a stationary position or can be moved to provide a pattern of deposited material. If nanocapillary 202 is maintained in a stationary position, the reaction can continue until the electrochemical cell is emptied of electrolyte or shorted by the growth of the deposited material, i.e. copper dendrite, from the contact pad to the nanocapillary 202 . In general, growth occurs preferentially in the direction of the shortest distance between the capillary and the conductive surface.
[0060] FIG. 6 is a flowchart showing the steps of the embodiment shown in FIG. 5 . In step 602 , the nanocapillary is filled with electrolyte as described in more detail below. In step 604 , the nanocapillary and sample are placed in the sample vacuum chamber, the nanocapillary being positioned in a micromanipulator so that it can oriented, positioned, and moved. The sample is typically placed on a three axis stage. In step 606 , the sample vacuum chamber is evacuated. In step 608 , the nanocapillary is positioned at the beginning of the pattern to be deposited by observing the nanocapillary and the sample with the scanning electron beam. In this embodiment, the pattern is started at the edge of a conductive feature. In step 610 , the nanocapillary is moved against the surface of the sample at the edge of a conductive feature, and the electrolyte begins to flow. In step 612 , concurrent with step 610 , current flows from the electrode at the nanocapillary through electrolyte, through the conductive feature and the circuit is completed by the charged particle beam. After electrochemical deposition of a pattern using the nanocapillary has commenced, current can flow through the deposited pattern to the conductive feature so that the circuit can be completed by the charged particle beam. As the current flows, material is deposited at the cathodic terminal or etched from the anodic terminal. In step 614 , the nanocapillary is moved to deposit the desired pattern. In step 616 , the position of the nanocapillary and the state of the deposition or etch process is observed using the scanning electron microscope. In step 618 , the image is analyzed and in step 620 , the position of the nanocapillary is adjusted. In decision block 622 , the controller determined whether or not the process is complete. If the process is not complete, the process continues with step 616 .
[0061] FIG. 7 shows a SEM image of pure copper dendrite 702 grown using the embodiment shown in FIG. 5 on an insulating surface 704 at the edge of a conductive surface 706 . On average, the growth occurs preferentially in the direction of shortest distance from capillary to electrode.
[0062] FIG. 8 shows a system similar to that of FIG. 6 , in which the conductor that mediates electrodeposition is fabricated by beam-induced deposition. FIG. 8 shows a charged particle beam system 800 that includes a gas injection source 803 having a reservoir of precursor materials for use in beam-induced deposition. Beam-induced deposition can be used to deposit a cathode 802 on an insulating surface 404 . A thin layer of material 806 can then be deposited on top of or extending from cathode 802 by moving the nanocapillary 202 in a desired pattern. A precursor gas suitable for FIB deposition of copper is hexafluoroacetylacetonato Cu(I) trimethyl vinyl silane (CAS 139566-53-3). Thus, a focused ion beam can be used to deposit a conductor to be used as a cathode, and then the electrochemical process can be used to deposit a lower resistivity, purer metallic layer on top of or extending from, the FIB deposited layer. An electron beam can also be used to deposit material. Other suitable deposition precursor gases include tungsten hexacarbonyl (W(CO 6 )) and methylcyclopentadienyl trimethyl platinum. An electrolyte solution 208 is then locally applied using nanocapillary 202 as described with respect to FIG. 2 . A conductor on or in nanocapillary 202 provides one electrode. The electrochemical circuit can be completed by the electron beam 231 impinging on the cathode 802 , conductive probe (not shown) contacted to the cathode, or through the substrate 220 .
[0063] The nanocapillary can be moved in an arbitrary pattern to deposit a conductor, and the beam can be directed to the cathode 804 , to the electrolyte bubble, or to any position on the deposited conductor to complete the electrical circuit.
[0064] FIG. 9 shows a method of using the embodiment described in FIG. 8 . Details that were described with respect to earlier embodiments are not repeated. Step 902 includes applying a physical cathode on an insulating surface, preferably by charged particle deposition. Step 904 includes positioning the nanocapillary so that the electrolyte bubble contacts the physical cathode. In step 906 , the electron beam is directed to the physical cathode, thereby providing current to initiate the deposition reaction. Once deposition starts, the nanocapillary can be moved away from the cathode to draw a pattern of deposition in step 908 . The deposited conductive material provides the electrical connection back to the cathode and completes the electrochemical circuit while the electrolyte is moved away.
[0065] FIG. 10 shows a charged particle beam system 1000 in which electrochemical deposition on an insulating surface 502 can be induced at a position remote from the electrolyte bubble 214 and remote from any conductor on the surface. Applicants have unexpectedly found that a very thin layer of electrolyte solution 1002 diffuses a significant distance from electrolyte bubble 214 but remains continuous enough to complete the electrochemical circuit. An electron beam directed to a position on the electrolyte solution layer 1002 will result in the reduction of the electrolyte component to electrodeposit a material. For example, the beam could reduce Cu 2+ from the thin meniscal layer to deposit copper from the electrolyte, with there still being sufficient electrical contact through the layer to complete the circuit and allow continuation of the reaction.
[0066] The electrolyte solution layer 1002 can be so thin that it may not be visible in a ESEM. The electrolyte solution layer 1002 replenishes itself from the bubble 214 as long as the distance away from nanocapillary 202 is not too great. This embodiment shows that it is not necessary to move a nano-pen to deposit a pattern; moving the beam alone within the thin layer will result in deposition in the desired pattern. Electrolyte solution layer 1002 allows direct write deposition of a conductor to be performed up to a 100 microns away from the electrolyte solution itself. The distance to which the fluid extends may be more than 3 times the diameter of the bubble, more than 7 times the diameter of the bubble, more than 20 times the diameter of the bubble or more than 50 times the diameter of the bubble.
[0067] The maximum distance will depend on the electrolyte, the surface, and the pressure in the sample vacuum and can be determined empirically by a skilled person for specific materials. This embodiment provides high resolution, localized electrodeposition without significant regard to the location and size of the electrolytic solution bubble. It had previously been assumed that the direct-write would need to be performed either by the charged particle beam either penetrating the visible bubble or just on the periphery of the visible bubble. Applicants have found that the deposition can be performed tens to a hundred microns away from the bubble, on an isolated area that would appear to be electrically isolated and not provide an electrochemical pathway.
[0068] FIG. 11 is a flow chart showing a process for using the embodiment of FIG. 10 . Process details that are the same as those shown in FIG. 5 are not shown. In step 1102 , the filled nanocapillary is positioned on an insulating surface, and a thin layer of electrolyte extends over the insulating surface. In step 1104 , a charged particle beam is directed in a pattern over the thin layer of electrolyte.
[0069] FIG. 12 shows an SEM image of a deposition made using the system shown in FIG. 10 . The image shows highly pure copper grains deposited more than 50 microns from an electrolyte bubble located on an oxide film. The deposition in this case is on an isolated chrome film, and the nanocapillary was biased to +7 V.
[0070] In an alternative embodiment that uses the thin layer of electrolyte remote from the bubble, a pattern can be deposited starting from a conductor remote from the capillary bubble. Electron beam 231 can be directed to a point on a conductor 504 that is contacted by the thin electrolyte solution layer 1002 , remote from the electrolyte bubble 214 , and deposition will occur originating at the conductor. After conductive pattern 1004 deposit begins, electron beam 231 can be directed to a point on conductive pattern 1004 to guide the deposition pattern.
[0071] The electrochemical circuit in this embodiment is completed by coating 218 on nanocapillary 202 or by a conductor associated with the nanocapillary. This embodiment provides for electrochemical deposition at electrically isolated areas where there is no pre-existing conductive pathway. This embodiment eliminates the need to deposit, either by beam-induced deposition by using the nanocapillary, a nearby cathode.
[0072] In still another variation, a negative bias is applied to the electrode at the nano pen in contact with the surface, and material is deposited at the position of the nano pen. The positive terminal can be supplied by a focused ion beam or by electron beam operated so as to eject more secondary electrons than are incident in the primary beam, thereby leaving a net positive charge.
[0073] FIG. 13 is a flowchart showing one method of preparing a nanocapillary for use with the present invention. The starting material can be, for example, a borosilicate tube having an inner diameter of 0.5 mm and having an internal filament to assist filling. Such nanocapillaries are commercially available from Sutter Instruments Company, Novato, Calif. In step 1302 , the nanocapillary is cleaned and baked. In step 1304 , the nanocapillary is heated and pressure is applied along the long axis of the tube to create small tips, preferably less than 100 nm, at the end of the nanocapillary. This step is referred to as “pulling,” which can be performed using commercially available “pullers,” also available from Sutter Instruments Company.
[0074] In step 1306 , the nanocapillary is coated with a conductor. For example, the nanocapillary can be sputter-coated with gold. Before coating, the end of the nanocapillary that was not narrowed is preferably covered, for example, with aluminum foil, to prevent sputtered material from reducing the inner diameter of the tube at the end that will be filled. A specific procedure that has worked efficiently is to coat the nanocapillary for 8 minutes on each of two sides at 15 mA dc magnetron sputter current. Another specific procedure that has worked efficiently also is to coat for 4 minutes on each side with Cu at 15 mA power followed by 6 minutes on each side with Au at 15 mA; in this procedure the Cu serves as an adhesion layer for the Au coating.
[0075] In step 1308 the nanocapillary tip is oriented for cutting the tip using a focused ion beam to create a tip geometry that facilitates flow from the nanocapillary. The preferred nanocapillary tip is cut so that the opening from which the electrolyte flows is parallel to the substrate surface when the nanocapillary is positioned in the nanomanipulator. In some embodiments, the nanocapillary is mounted on a modified gas injection system. In some charged particle beam systems from FEI Company, the assignee of the present invention, a gas injection system can be mounted onto any of several ports on the sample vacuum chamber. The angle of each port to the vertical charged particle beam system axis is fixed. The tip of the nanocapillary is cut at an angle determined by the angle of the port in which it will be mounted. For example, in one system, the nanocapillary is oriented in the micromanipulator such that the capillary axis is oriented 30.4 degrees from the substrate surface, and so the tip is cut at 30.4 degrees from the capillary axis, as shown in FIG. 14D . Because of the configuration of a dual beam, with a vertical SEM column and a FIB column oriented at 57.5 degrees, special fixturing and a tilting stage are useful for cutting the tip at the preferred angle.
[0076] FIG. 14A is a diagram showing how the nanocapillary 1402 is aligned relative to the FIB 1406 prior to milling the tip of the nanocapillary. Nanocapillary 1402 is mounted on stub 1404 , which is angled at 66°. Stub 1404 is tilted −14° so that the nanocapillary is normal to FIB 1406 .
[0077] FIG. 14B is a diagram of the milling of the nanocapillary. The tip of nanocapillary 1402 is first centered in the FIB field of view. The FIB 1406 , whose axis 1410 is oriented perpendicular to the page, is scanned along line 1408 to cut the tip of nanocapillary 1402 to cut the tip at 59.6° to a plane normal to the nanocapillary axis in step 1310 . As the insulating capillary tends to accumulate a static charge that deflects the beam, care must be taken during fabrication of the nanocapillary.
[0078] In step 1312 , a very shallow fiducial mark 1420 comprising two perpendicular lines is milled onto the gold coating of nanocapillary 1402 as shown in FIG. 14C . The fiducial mark 1420 is imaged during operation by the electron microscope and are used to rotationally align the nanocapillary to the substrate surface. One line of the fiducial marks 1420 is centered along the nanocapillary axis and another line is perpendicular to the first line, extending fully over the edge of nanocapillary 1402 from the FIB viewpoint.
[0079] In step 1314 , the nanocapillary is filled with electrolyte as described in more detail below. After filling, the nanocapillary is mounted in a micromanipulator, preferably a modified GIS system, in step 1316 . In step 1318 , the nanocapillary is roughly aligned to the center of the electron beam. In step 1320 , the nanocapillary is rotated in the field of view of the electron beam until in the electron beam image the horizontal line of the fiducial terminates at the center of the nanocapillary as shown in FIG. 14D . In FIG. 14D , the electron beam axis, as shown by marker 1422 , is perpendicular to the page. FIG. 14E is a side view showing the preferred alignment of a nanocapillary with a surface when used to locally deposit an electrolyte solution for electrochemical deposition. In step 1322 , the nanocapillary is lowered to contact the surface in order to initiate the flow of electrolyte onto the surface.
[0080] FIGS. 15A and 15B are photomicrograph of a nanocapillary 1500 having a glass tube 1502 cut at an angle and sputter coated with gold 1504 . FIG. 15A shows an internal filament 1506 to facilitate capillary flow within the nanocapillary. The nanocapillary shown in FIG. 15 has a large diameter 1508 to illustrate the fabrication technique. FIG. 15 B shows a smaller scale image of nanocapillary 1500 with an alignment fiducial 1510 visible.
[0081] After the nanocapillary is formed, it is filled. As described above, some embodiments of the invention use a nanocapillary having a sufficiently small inner diameter that the electrolyte flows by capillary action rather than by hydrostatic pressure. The small diameter of the nanocapillary makes filling difficult because of the surface tension of the liquid filling. Reliable and reproducible capillary flow when the nanocapillary touches the substrate within a vacuum chamber depends on the geometry of the tip of the nanocapillary and adequate filling of the nanocapillary with electrolyte.
[0082] FIG. 16 describes a method for filling a nanocapillary. FIG. 17 illustrates various steps of the process shown in FIG. 16 . FIG. 17 is adapted in part from FIG. 4.3 from “Donnermeyer, A. 2007. Thesis. Scanning ion-conductance microscopy. Bielefeld (Germany): Bielefeld University”. FIG. 17A shows a nanocapillary 1700 , which includes an internal filament 1702 to facilitate filing. In step 1602 , illustrated by FIG. 17B , a fluid 1704 is placed inside the nanocapillary by filling it from the backside using a microloader 1706 . The microloader is a syringe with a tip capable of fitting in the backside of the nanocapillary, where the diameter is about 250 microns. Although the internal filament in the nanocapillary causes some fluid 1704 to travel to the tip as shown by meniscus 1710 in FIG. 17C , much of the fluid remains away from the tip because of the small diameter of the nanocapillary 1700 . Optionally, in step 1604 , the back end of the nanocapillary is sealed with vacuum compatible wax 1708 to prevent the fluid inside the nanocapillary from evaporating into the vacuum from the back end of the nanocapillary. The wax used can be, for example, Apiezon Wax W. Mild heat (approximately 110° C.) can be used to melt the wax and provide a good vacuum-tight seal. The fluid is thus effectively sealed inside the nanocapillary. If wax is not used to seal the back end of the nanocapillary then the metal section 1808 in FIG. 18 (described below) should be sealed to ensure that the fluid is sealed inside the nanocapillary and cannot evaporate via the back side into the vacuum chamber.
[0083] To facilitate filling of the tip of the nanocapillary, it is placed in a customized centrifuge. An example of a customized centrifuge uses a rotor from a 12 V computer fan, model FAN 3701U from StarTech. In step 1606 , the centrifuge is operated, for example, at 5000 rpm for 30 minutes, which is sufficient for reproducible and reliable filling of the nanocapillary tip with fluid. FIG. 17D shows the nanocapillary after step 1606 showing the additional fluid at the tip as shown by the movement of meniscus 1710 . In step 1608 , the nanocapillary is attached to the micromanipulator. Good electrical contact between the conductive coating on the nanocapillary and the metal of the micromanipulator can be provided by applying silver paint to the junction. The drying of the silver takes about 10-20 minutes, and two layers are typically applied. The nanocapillary is then ready for use. The flow from the nanocapillary to the substrate or surface is primarily due to capillary forces, and as such, the tip of the nanocapillary contacts the substrate directly to induce a flow.
[0084] In step 1610 , nanocapillary 1402 in the micromanipulator is aligned to the center of an electron beam. In step 1612 , nanocapillary 1402 is rotated to locate the fiducial marks 1420 , and the nanocapillary is oriented so that the horizontal fiducial line terminates at the center of nanocapillary 1402 as viewed with the electron beam. Nanocapillary 1402 is then ready to locally deliver fluid to the substrate 1430 in step 1614 .
[0085] Because many charged particle beam systems include a gas injection system (GIS) for beam induced deposition and etching, and the gas injection system typically has the movement capabilities required for the nanocapillary, it is convenient to attach the nanocapillary to an existing GIS. FIG. 18 shows a modified GIS assembly 1800 that provides the necessary positioning capability. That is, the modified GIS assembly includes the ability to insert, to retract, to rotate, and to adjust the position of the inserted nanocapillary. The modified GIS housing mounts to the wall of the vacuum chamber walls at a known angle, so the nanocapillary is inserted at a well defined angle with respect to the surface.
[0086] Modified GIS assembly 1800 includes metal rod 1802 which spans the entire length of GIS 1810 . One end of metal rod 1802 includes a handle 1806 to provide easy rotational, insertable, and retractable movement of the nanocapillary for in chamber applications. The vacuum seal of metal rod 1802 is provided by a series of small o-rings 1804 spaced along the length of metal rod 1802 . The vacuum seal has been shown to work down to chamber pressures of 2×10 −6 mbar, and it is still possible to rotate central rod 1802 at this vacuum level without causing a gas burst or leak.
[0087] A nanocapillary 1807 is attached to an intermediate metal section 1808 . A silicone o-ring 1805 can be used to hold the metal section 1808 to provide a vacuum seal. The intermediate metal section 1808 screws into rod 1802 .
[0088] Preferably, metal rod 1802 is electrically isolated from the shell of GIS assembly 1810 to allow an electrical bias to be applied to the nanocapillary. This is useful in cases where the nanocapillary functions as the anode or cathode in electrochemical circuits. If the nanocapillary is to be grounded to the chamber, a simple grounding connection can easily be made.
[0089] Some embodiments, such as the automated deposition aspect using pattern recognition software and feedback, can be practiced in air, outside a vacuum chamber. Embodiments that use a charged particle beam are practiced within a vacuum chamber used for charged particle beam processing. Some embodiments that are practiced within a vacuum chamber use an electrolyte having low or negligible vapor pressure, such as a neoteric liquid, while other embodiments use a convention, higher vapor pressure electrolyte.
[0090] Using an embodiment suitable for use within a charged particle beam vacuum chamber allows steps that require charged particle beam processing and steps that require electrochemical processing to be performed without repeatedly moving the work piece into and out of a vacuum chamber. Such embodiments eliminate the time consuming steps of moving the work piece in and out of the vacuum chamber and pumping down the vacuum chamber to an adequate vacuum between process steps. Also, maintaining the work piece within a vacuum chamber reduces contamination.
[0091] Because any conductive area within the electrochemical circuit and covered by the electrolyte will be affected by the electrochemical reaction, it is desirable in some applications to provide a barrier which insulates any exposed conductive area within the circuit that is to remain unaffected. A local insulating layer can be deposited using electron-beam-induced deposition, FIB deposition, chemical vapor deposition, or another process. The electrochemical process will not deposit or etch the work piece where protected by an insulating layer.
[0092] Embodiments of the invention are applicable to various aspects of nanotechnology, including “device editing,” that is, adding or removing electrical paths to change the connections in a device such as an integrated circuit. Embodiments of the invention are useful in any application that requires precise localized deposition or etching of metals and other materials.
[0093] Also, the technique is not necessarily limited to depositing and etching conductors—charge transfer may also be used to deposit or remove polymer materials. The local electrochemical processes can be used on any surface to which an electrolyte can flow, and it is not limited, like beam processing, to processing along a line of sight from the beam source.
[0094] The term “contact” or “electrical contact” as used herein includes direct and indirect connections. While the invention is described primarily in terms of depositing or etching metals, the invention can be used to deposit or etch any material having sufficient conductivity to participate in electrochemical reaction.
[0095] The invention has multiple aspects that are separately patentable and not all aspects will be used in all embodiments.
[0096] Although the present invention and its advantages have been described in detail, it should be understood that various changes, substitutions and alterations can be made herein without departing from the spirit and scope of the invention as defined by the appended claims. The scope of the present application is not limited to the particular embodiments of the process, machine, manufacture, composition of matter, means, methods and steps described in the specification. As one of ordinary skill in the art will readily appreciate from the disclosure of the present invention, processes, machines, manufacture, compositions of matter, means, methods, or steps, presently existing or later to be developed that perform substantially the same function or achieve substantially the same result as the corresponding embodiments described herein may be utilized according to the present invention. Accordingly, the appended claims are intended to include within their scope such processes, machines, manufacture, compositions of matter, means, methods, or steps. | A charge transfer mechanism is used to locally deposit or remove material for a small structure. A local electrochemical cell is created without having to immerse the entire work piece in a bath. The charge transfer mechanism can be used together with a charged particle beam or laser system to modify small structures, such as integrated circuits or micro-electromechanical system. The charge transfer process can be performed in air or, in some embodiments, in a vacuum chamber. | 56,848 |
BACKGROUND OF THE INVENTION
FIELD OF THE INVENTION
This invention relates to an apparatus for obtaining refractive index distribution information of a medium having light scattering properties. This invention particularly relates to an apparatus for obtaining the information representing the distribution of refractive indexes (medium densities) in a region inside of a medium, which has light scattering properties, by utilizing an optical heterodyne detection technique.
DESCRIPTION OF THE PRIOR ART
Various apparatuses have heretofore been used in order to obtain the information representing the forms and/or structures in regions inside of media having light scattering properties. For example, as one of apparatuses for obtaining the information representing the forms and/or structures of inclusions, which are interspersed in the region inside of a medium having light scattering properties, by utilizing the differences in the refractive indexes of the inclusions with respect to light, an apparatus for carrying out an extremely short pulse time gate method has been proposed in, for example, Japanese unexamined Patent Publication No. 63(1988)-179223. The proposed apparatus is provided with a light source for producing pulsed light with a timing, controlled by a timing control device, and a photodetector for irradiating the pulsed light, produced by the light source, to a medium, whose light scattering properties are to be obtained, and detecting the pulsed light, which has passed through the medium having light scattering properties. The proposed apparatus is further provided with a high-speed shutter, which is located between the medium having light scattering properties and the photodetector. In accordance with the control operation of the timing control device, the high-speed shutter can take an open position that allows the light, which has passed through the medium having light scattering properties, to impinge upon the photodetector can also take a closed position that blocks the light which has passed through the medium having light scattering properties. In the proposed apparatus the time required for the pulsed light to pass through the medium having light scattering properties may vary in accordance with the refractive indexes of the inclusions, which are interspersed in the region inside of the medium having light scattering properties, with respect to the light. The opening and closing operation of the high-seed shutter is controlled by utilizing such characteristics, and the light, which has passed through the medium having light scattering properties and which corresponds to the refractive indexes of the inclusions with respect to the light, is obtained selectively.
Also, as the methods for detecting a light beam, passed through a medium having light scattering properties, such as a living body, without being scattered, include optical heterodyne detection methods, as proposed, for example, in Japanese Unexamined Patent Publication Nos. 2(1990)-110345 and 2(1990)110346. With the optical heterodyne detection technique, two light beams having slightly different wavelengths are superposed one upon the other such that their directions of travel may coincide with each other, and the interference of the two light beams occurring due to the difference between their wavelengths is utilized. Only when the directions of travel of the two light beams superposed one upon the other perfectly coincide with each other, a beat signal having an intensity that repeatedly becomes high and low can be detected in a plane, which is normal to the light beams. Therefore, only the light beam which has passed through the medium having light scattering properties without being scattered, can be discriminated very accurately. Also, with optical heterodyne detection techniques having good direction discriminating performance, the difference (i.e., the phase difference) between the phase of the beat signal detected from the light, which has passed through an inclusion in the region inside of the medium having light scattering properties, and the phase of predetermined light taken as a reference corresponds the refractive index difference of the inclusion. Therefore, the refractive index difference of the inclusion can be obtained by carrying out calculation processing on the phase difference.
However with the extremely short pulse time gate method, such that only the desired light which has passed through the medium having light scattering properties, can be selected accurately, it is necessary to use an expensive streak camera as the high-speed shutter. Therefore, the cost of the apparatus for carrying out the extremely short pulse time gate method cannot be kept low. Also, the inclusions are interspersed in the region inside of the medium having light scattering properties. Therefore, in order to obtain the information representing the distribution of the inclusions, it is necessary to carry out the measurement for every point in the medium having light scattering properties. Accordingly, the problems occur in that the measurement time cannot be kept short.
With the optical heterodyne detection technique for obtaining a refractive index difference from the phase difference of the beat signal of the interference wave, the refractive index difference corresponding to an optical path difference on the wavelength order can be obtained accurately. However, with the optical heterodyne detection technique, it is not possible to measure a large refractive index difference corresponding to an optical path difference larger than the wavelength order. Also, of the scattered light, which is scattered many times in the region inside of the medium having light scattering properties and is radiated from the surface of the medium towards various directions, the scattered light (i.e., cross talk light), which is directed to the same travel direction as the light beam, which has passed through the medium without being scattered, becomes mixed into the light beam, which has passed through the medium without being scattered. Therefore, the photodetector detects the light beam, which has passed through the medium without being scattered into which the scattered light has been mixed. As a result, the problems occur in that the signal-to-noise ratio of the detection signal cannot be kept high.
SUMMARY OF THE INVENTION
The primary object of the present invention is to provide an apparatus for obtaining refractive index distribution information of a medium having light scattering properties, wherein a light beam, which has passed through the light scattering medium without being scattered, and scattered light, which is radiated out of the light scattering medium, are perfectly separated from each other, and only the light beam which has passed through the light scattering medium without being scattered, is thereby detected with a high signal-to-noise ratio.
Another object of the present invention is to provide an apparatus for obtaining refractive index distribution information of a light scattering medium, wherein the distribution of large refractive index differences corresponding to optical path differences larger than the wavelength order is measured quickly.
An apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention is characterized by discriminating a light beam, which has passed through the light scattering medium without being scattered, from scattered light. The scattered light, which is radiated out of the light scattering medium in the same direction am the direction of travel of the light beam having passed through the light scattering medium without being scattered, may travel along an optical path having a longer optical path length than the optical path length of the light beam, which has passed through the light scattering medium without being scattered, in the region inside of the light scattering medium. A calculation is then made to find the difference between the optical path length and the physical path length of the discriminated light beam which has passed through the light scattering medium without being scattered, in the region inside of the light scattering medium. In this manner, a refractive index difference of an inclusion in the region inside of the light scattering medium is obtained. The light beam, which has passed through each of different portions of the light scattering medium without being scattered, is simultaneously detected by each of the photo detecting devices of a photodetector, and the operations described above are carried out. In this manner, the distribution of the refractive indexes of the inclusions at various portions of the light scattering medium is obtained.
Specifically, the present invention provides a first apparatus for obtaining refractive index distribution information of a light scattering medium, comprising:
i) a light source for producing a low coherence light beam,
ii) an optical system for splitting the low coherence light beam, which has been produced by the light source, into two light beams, causing the two light beams to travel respectively along two different optical paths, which have approximately equal optical path lengths, and thereafter combining the two light beams with each other,
iii) a frequency shifter, which is located in at least either one of the two optical paths and which shifts the frequency of the light beam traveling along at least either one of the two optical paths such that the frequencies of the two light beams traveling respectively along the two optical paths may be different from each other,
iv) an optical path difference modulating means, which is located in at least either one of the two optical paths and which modulates the optical path difference between the two optical paths by modulating the length of at least either one of the two optical paths,
v) a photodetector for detecting:
a) the intensity of a combined light beam obtained from the combination of the light beam, which has passed through a light scattering medium without being scattered, the light scattering medium being located in one of the two optical paths, and the light beam having traveled along the other optical path, the combination being effected by the optical system, and
b) the intensity of a combined light beam obtained from the combination of scattered light traveling in the same direction as the direction of travel of the light beam, which has passed through the light scattering medium without being scattered, and the light beam having traveled along the other optical path, the combination being effected by the optical system,
the photodetector comprising a one-dimensional array or a two-dimensional array of a plurality of photo detecting devices, which are arrayed along a plane that is normal to the direction of travel of the combined light beams, and
vi) an operation means for:
a) detecting an optical path difference between the light beam, which has passed through the light scattering medium without being scattered, and the light beam, which has traveled along the other optical path, before being combined with each other, the detection being made for each of the photo detecting devices of the photodetector and in accordance with the optical intensity having been detected by each photo detecting device with respect to each of values, to which the optical path difference has been modulated by the optical path difference modulating means,
b) calculating the difference value between the optical optical-path difference, which has been detected for each of the photo detecting devices, and a certain optical path difference serving as a reference,
c) dividing the thus calculated difference value by the thickness of the light scattering medium, and
d) thereby calculating a refractive index difference at each of different positions in the light scattering medium.
By way of example, as the low coherence light beam, a light beam, which is produced by a super-luminescent diode (SLD) and has a coherence length falling within the range of 40 μm to 50 μm, or a light beam, which is produced by a light emitting diode (LED) has a coherence length falling within the range of 0 to 20 μm, may be employed. A light beam produced by an SLD has good directivity and should preferably be employed as the low coherence light beam.
The term "frequency shifter" as used herein refers to a means for shifting the frequency. By way of example, a means for temporally sweeping and modulating the phase in a saw tooth-like pattern or a means utilizing an acousto-optic modulator (AOM) may be employed as the frequency shifter.
The present invention also provides a second apparatus for obtaining refractive index distribution information of a light scattering medium, comprising:
i) a light source for producing a coherent light beam,
ii) a modulation means for temporally sweeping the frequency of the coherent light beam produced by the light source,
iii) an optical system for splitting the coherent light beam, which has been modulated by the modulation means, into two light beams, causing the two light beams to travel respectively along two optical paths having an optical path difference, which has been set in advance, and thereafter combining the two light beams with each other,
iv) a photodetector for detecting:
a) the intensity of a combined light beam obtained from the combination of the light beam, which has passed through a light scattering medium without being scattered, the light scattering medium being located in one of the two optical paths, and the light beam having traveled along the other optical path, the combination being effected by the optical system, and
b) the intensity of a combined light beam obtained from the combination of scattered light traveling in the same direction as the direction of travel of the light beam, which has passed through the light scattering medium without being scattered, and the light beam having traveled along the other optical path, the combination being effected by the optical system,
the photodetector comprising a one-dimensional array or a two-dimensional array of a plurality of photo detecting devices, which are arrayed along a plane that is normal to the direction of travel of the combined light beams, and
v) an operation means for:
a) detecting an optical optical-path difference between the light beam, which has passed through the light scattering medium without being scattered, and the light beam, which has traveled along the other optical path, before being combined with each other, the detection being made for each of the photo detecting devices of the photodetector and in accordance with the optical intensity having been detected by each photo detecting device,
b) calculating the difference value between the optical optical-path difference, which has been detected for each of the photo detecting devices, and a certain optical optical-path difference serving as a reference,
c) dividing the thus calculated difference value by the thickness of the light scattering medium, and
d) thereby calculating a refractive index difference at each of different positions in the light scattering medium.
The light source for producing the coherent light beam may also serve as the modulation means for temporally sweeping the frequency of the coherent light beam produced by the light source.
If the surface of the light scattering medium, which is located in the optical path, has a curved shape or an uneven shape, the light beam impinging upon the light scattering medium will be refracted at the boundary of the light scattering medium. Also, the light beam, which has passed through the light scattering medium without being scattered, will be refracted at the boundary of the light scattering medium when it is radiated out of the light scattering medium. Therefore, it will often occur that the direction of travel of the light beam impinging upon the light scattering medium and the direction of travel of the light beam, which has passed through the light scattering medium without being scattered, do not coincide with each other. In such cases, the light scattering medium may be covered with a light-permeable medium, which has approximately the same refractive index as the refractive index of the light scattering medium and which has a light entry face and a light radiating lace finished to be normal to the direction of travel of the light beam impinging upon the light scattering medium.
In the first and second apparatuses obtaining refractive index distribution information of a light scattering medium in accordance with the present invention, in cases where a one-dimensional photodetector is used, information representing two-dimensional distribution of refractive indexes can be obtained by utilizing a scanning means for scanning at least either one of the one-dimensional photodetector and the system other than the one-dimensional photodetector in a direction, which is approximately normal to the direction along which the one-dimensional photodetector extends.
Also, the first and second apparatuses for obtaining refractive index distribution information of a light scattering medium in accordance with the resent invention may be provided with a movement means for moving at least either one of the light scattering medium, which is a sample to be measured, and an entire system other than the light scattering medium or part the entire system other than the light scattering medium such that the light beam irradiated to the light scattering medium may be rotated and moved with respect to the light scattering medium. Further, the first and second apparatuses for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention may be provided with an image reconstructing means, which is located at a stage after the operation means and is provided with algorithms of computed tomography (CT) capable of forming a three-dimensional refractive index distribution image from the refractive index distribution information obtained at each position of rotation.
With the first apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention, the low coherence light beam is produced by the light source, such as an SLD. The low coherence light beam is split by an optical element of the optical system, such as a beam splitter, into a first light beam and a second light beam. The first and second light beams travel respectively along a first optical path and a second optical path, which have approximately equal optical path lengths. The two light beams are thereafter combined with each other by an optical element of the optical system, such as a beam splitter, and are thus caused to interfere with each other.
A frequency shifter is located in one of the two optical paths. The frequency of the light beam traveling along the optical path, in which the frequency shifter is located, is shifted to a frequency slightly different from the frequency of the light beam traveling along the other optical path. The light beam traveling along the optical path, in which the medium having light scattering properties is located, impinges upon the light scattering medium. As a result, a light beam, which has passed through the light scattering medium without being scattered, and scattered light are radiated out of the light scattering medium.
The light beam, which has passed through the light scattering medium without being scattered, carries the refractive index information at the portion of the light scattering medium through which the light beam has passed. This is because the optical path length of the light beam passing through the medium corresponds to the refractive index of the medium through which the light beam passes.
The scattered light is radiated out of the light scattering medium towards indefinite directions regardless of the direction of incidence of the light beam upon the light scattering medium. Part of the scattered light is radiated out of the light scattering medium towards the same direction as the direction of travel of the light beam, which has passed through the light scattering medium without being scattered. (The part of the scattered light will hereinbelow be referred to as the "cross talk light.")
Therefore, in order for the refractive index information of the light scattering medium to be obtained with a high signal-to-noise ratio, it is necessary to separate the light beam, which has passed through the light scattering medium without being scattered, and the cross talk light from each other. How they are separated from each other will be described hereinbelow.
The light beam, which passes through the light scattering medium without being scattered, travels the shortest distance through the light scattering medium in the same direction as the direction of travel of the incident light beam. On the other hand, the cross talk light is scattered at least one time by the light scattering substance in the region inside of the light scattering medium and is then radiated out of the light scattering medium. Therefore, the optical path length, by which the cross talk light travels in the region inside of the light scattering medium, becomes longer than the optical path length, by which the light beam passing through the light scattering medium without being scattered travels in the region inside of the light scattering medium. The coherence length of the light beam produced by the light source is short. Therefore, when the optical path difference between the light beam, which has traveled along one of the two optical paths and has a certain frequency, and the light beam, which has passed through the light scattering medium located in the other optical path without being scattered and has a different frequency, or the cross talk light having the different frequency becomes approximately zero, the two light beams having different frequencies interfere with each other at the optical element, such as a beam splitter. In this manner, a beat signal occurs which has an intensity that repeatedly becomes high and low at a frequency equal to the difference between the frequencies of the two light beams.
The interference light is classified in accordance with the optical path difference between the two optical paths into interference light resulting from the interference of the light beam passed through the light scattering medium without being scattered and the light beam which has traveled along the other optical path, and the interference light resulting from the interference of the cross talk light and the light beam which has traveled along the other optical path.
With the first apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention, the length of either one of the two optical paths is changed by the optical path difference modulating means. In this manner, the interference light associated with the light beam which has passed through the light scattering medium without being scattered and which has thus traveled along the optically shortest distance, can be discriminated from the interference light associated with the cross talk light, which has traveled along an excessive optical path. The discriminated light beam, which has passed through the light scattering medium without being scattered and which has thus traveled along the optically shortest distance, involves optical path differences in accordance with the refractive index differences at different portions of the light scattering medium. Therefore, a calculation is made to find the difference between the optical path difference at each of different positions in the light scattering medium and the optical path difference at a certain reference position in the light scattering medium. The difference, which has thus been calculated, is then divided by the thickness of the light scattering medium. In this manner, a distribution of relative refractive index differences at different positions in the light scattering medium can be obtained.
The distribution of the refractive index differences in the light scattering medium is the distribution of the values, which are obtained from the spatial integration in the direction along which the light beam has passed through the light scattering medium. Therefore, as described above, at least either one of the light scattering medium and the entire system other than the light scattering medium or part of the entire system other than the light scattering medium may be moved by the movement means such that the light beam irradiated to the light scattering medium may be rotated and moved with respect to the light scattering medium. The operations described above are repeated at each position of rotation, and the information, which represents the distribution of the refractive index differences at respective positions of rotation, is thereby obtained. The obtained information, which represents the distribution of the refractive index differences at respective positions of rotation, is then reconstructed by the algorithms of the CT technique in the image reconstructing means. In this manner, a three-dimensional refractive index distribution image of the light scattering medium can be obtained.
As described above, with the first apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention, the light beam, which has passed through the light scattering medium without being scattered, can be perfectly separated from the scattered light, which is radiated out of the light scattering medium. Therefore, only the light beam, which has passed through the light scattering medium without being scattered, can be detected with a high signal-to-noise ratio. Also, the distribution of large refractive index differences corresponding to optical path differences larger than the wavelength order can be measured quickly.
With the second apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention, the coherent light beam is produced by the light source. The frequency of the coherent light beam is temporally swept by the modulation means. The light beam is then split by the optical system into the first light beam and the second light beam. The first light beam and the second light beam respectively travel along the first optical path and the second optical path, which have an optical path difference set in advance. Thereafter, the two light beams are combined with each other. Because an two optical paths have the optical path difference set in advance, the lengths of time required for the two light beams to travel respectively along the optical paths are different from each other. Because the frequency of the light beam, which has been produced by the light source, is swept temporally, at the time at which the two light beams having traveled respectively along the two optical paths are combined with each other, the frequencies of the two light beams take different values.
The light beam, which travels along the second optical path, merely travels along the optical path. On the other hand, the light beam, which travels along the first optical path, impinges upon the light scattering medium, which is located in the first optical path. As a result, a light beam which has passed through the light scattering medium without being scattered and scattered light are radiated out of the light scattering medium.
As described above, the optical path length of the light beam, which has passed through the light scattering medium without being scattered, and the optical path length of the cross talk light, which is among the scattered light, are different from each other.
Therefore, in cases where the length of the second optical path (i.e., the second optical path length) is longer than the length of the first optical path (i.e., the first optical path length), the difference between the first optical path length, that parses through the optical path of the light beam which has passed through the light scattering medium without being scattered and the second optical path length, becomes larger than the difference between the first optical path length, that passes through the optical path of the cross talk light and the second optical path length. Accordingly, at the time at which the two light beams are caused to interfere with each other by the optical system, the difference between the frequency of the light beam, which has passed through the light scattering medium without being scattered, and the frequency of the second light beam, which has traveled along the second optical path, takes a value larger than the difference between the frequency of the cross talk light and the frequency of the second light beam, which has traveled along the second optical path. The interference light generates a beat signal, which has the intensity repeatedly becoming high and low at a frequency equal to the difference between the frequencies of the two light beams before interfering with each other. Accordingly, the beat frequency of the interference light resulting from the interference of the light beam, which has passed through the light scattering medium without being scattered, and the second light beam becomes higher than the beat frequency of the interference light resulting from the interference of the cross talk light and the second light beam.
On the other hand, in cases where the length of the first optical path (i.e., the first optical path length) is longer than the length of the second optical path (i.e., the second optical path length), the difference between the first optical path length, that passes through the optical path of the light beam, which has passed through the light scattering medium without being scattered, and the second optical path length becomes smaller than the difference between the first optical path length, that passes through the optical path of the cross talk light, and the second optical path length. Accordingly, at the time at which the two light beams are caused to interfere with each other by the optical system, the difference between the frequency of the light beam, which has passed through the light scattering medium without being scattered, and the frequency of the second light beam, which has traveled along the second optical path, takes a value smaller than the difference between the frequency of the cross talk light and the frequency of the second light beam, which has traveled along the second optical path. Accordingly, the beat frequency of the interference light resulting from the interference of the light beam, which has passed through the light scattering medium without being scattered, and the second light beam becomes lower than the beat frequency of the interference light resulting from the interference of the cross talk light and the second light beam.
In accordance with the intensity of the interference light for each of the beat frequency, the interference light associated with the light beam, which has passed through the light scattering medium without being scattered and which has thus traveled along the optically shortest distance, can be discriminated from the interference light associated with the cross talk light. From the frequency of the discriminated interference light associated with the light beam, which has passed through the light scattering medium without being scattered and which has thus traveled along the optically shortest distance, a calculation is made to find the frequency equal to the difference between the frequency of the light beam, which has passed through the light scattering medium without being scattered, and the frequency of the light beam, which has traveled long the other optical path and which is caused to interfere with the light beam having passed through the light scattering medium without being scattered. Also, in accordance with the difference frequency thus calculated and the frequency sweep characteristics, a calculation is made to find the optical path difference between the optical path along which the light beam having passed through the light scattering medium without being scattered has traveled, and the optical path, along which the light beam caused to interfere with the light beam having passed through the light scattering medium without being scattered has traveled. This calculation is made for each of different positions in the light scattering medium. A calculation is then made to find the difference between the optical path difference at each of different positions in the light scattering medium and the optical path difference at a certain reference position in the light scattering medium. The difference, which has thus been calculated, is then divided by the thickness of the light scattering medium. In this manner, a distribution of relative refractive index differences at different positions in the light scattering medium can be obtained.
As in the first apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention, the distribution of the refractive index differences in the light scattering medium is the distribution of the values, which are obtained from the spatial integration in the direction along which the light beam has passed through the light scattering medium. Therefore, as described above, at least either one of the light scattering medium and the entire system other than the light scattering medium of part of the entire system other than the light scattering medium may be moved by the movement means such that the light beam irradiated to the light scattering medium may be rotated and moved with respect to the light scattering medium. The operations described above are repeated at each position of rotation, and the information, which represents the distribution of the refractive index differences at respective positions of rotation, is thereby obtained. The obtained information, which represents the distribution of the refractive index differences at respective positions of rotation, is then reconstructed by the algorithms of the CT technique in the image reconstructing means. In this manner, a three-dimensional refractive index distribution image of the light scattering medium can be obtained.
As described above, with the second apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention, the light beam, which has passed through the light scattering medium without being scattered, can be perfectly separated from the scattered light, which is radiated out of the light scattering medium. Therefore, only the light beam, which has passed through the light scattering medium without being scattered, can be detected with a high signal-to-noise ratio. Also, the distribution of large refractive index differences corresponding to optical path differences larger than the wavelength order can be measured quickly.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a block diagram showing a first embodiment of the apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention,
FIG. 2 is a graph showing a phase sweep wave form of reference light,
FIGS. 3A, 3B, and 3C are explanatory views showing how compensation is made for refraction of incident light and radiated light at boundaries of a light scattering medium,
FIG. 4A is an explanatory view showing the relationship between a light beam, which has passed through a light scattering medium without being scattered, and cross talk light,
FIG. 4B is an explanatory view showing how a refractive index distribution is obtained with a light beam, which has passed through a light scattering medium without being scattered,
FIG. 5 is a graph showing the relationship between an optical path difference and an optical intensity of interference light,
FIGS. 6A and 6B are schematic views showing examples of optical path difference controllers,
FIG. 7 is a block diagram showing a second embodiment of the apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention,
FIG. 8 is a graph showing a frequency sweep wave form of a laser beam produced by a light source,
FIG. 9 is a graph showing the relationship between a beat frequency and an optical intensity of interference light, and
FIG. 10 is a block diagram showing a different embodiment of the apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention.
DESCRIPTION OF THE PREFERRED EMBODIMENTS
The present invention will hereinbelow be described in further detail with reference to the accompanying drawings.
FIG. 1 is a block diagram showing a first embodiment of the apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention. The illustrated apparatus for obtaining refractive index distribution information comprises an SLD (super-luminescent diode) light source 20 for producing an SLD light beam al having a frequency ωO, and a collimator lens 21 for collimating the light beam a1, which has been produced by the SLD light source 20, into a collimated light beam a2. The apparatus for obtaining refractive index distribution information also comprises beam splitters 22, 23 and mirrors 24, 25 for splitting the light beam a2, which has been collimated by the collimator lens 21, into light beams a3 and a4, causing the light beams a3 and a4 to travel respectively along two optical paths A and B having approximately equal optical path lengths, and thereafter superposing the light beams a3 and a4 one upon the other. The apparatus for obtaining refractive index distribution information further comprises a piezo-electric device 32, which modulates the phase of the light beam a4 traveling among the optical path B in a saw tooth wave form shown in FIG. 2, and a saw tooth wave generating drive circuit 33 for generating a signal, which drives the piezo-electric device 32. The apparatus for obtaining refractive index distribution information still further comprises a photodetector 30 constituted of a two-dimensional array of a plurality of photodiodes PD(xi, yj), which detect the optical intensity of a light beam a6 obtained by superposing the light beams a3 and a4 one upon the other by the beam splitter 23, and which photoelectrically converts the detected optical intensity and feeds out an electric signal. The apparatus for obtaining refractive index distribution information also comprises a signal processing unit 31 for calculating the optical path difference between the optical paths, which the two light beams before being superposed one upon the other travel, from the optical intensities detected by the respective photodiodes PD(xi, yj) of the photodetector 30. The signal processing unit 31 also measures the distribution of refractive index differences in a light scattering medium 10 from the distribution of the optical path differences corresponding to the respective photodiodes PD(xi, yj).
The part (xi, yj) of PD(xi, yj) represents the position on the x-y coordinate system of the two-dimentional photo detecting surface of the photodetector 30. Therefore, PD(xi, yj) represents the photodiode, which is located at the position having the coordinates (xi, yj).
The light beam a2, which has been collimated by the collimator lens 21, is split by the beam splitter 22 into the light beams a3 and a4, which respectively travel along the two optical paths A and B. The phase of the light beam a4 is modulated by the piezo-electric device 32, and its frequency is thereby shifted. The light beam a4 will hereinbelow be referred to as the reference light beam a4 (or a5). An optical path difference controller 37, which modulates the optical path length of the optical path B and thereby controls the optical path difference between the optical path A and the optical path B, is located in the optical path B of the reference light a4. The optical path difference controller 37 is connected to a drive circuit 36, which generates a signal for driving the optical path difference controller 37.
By way of example, as illustrated in FIG. 6A, the optical path difference controller 37 may be constituted of two light-permeable plates 38, 38, which are positioned facing each other and can be rotated by an identical angle in reverse directions around center points 0 and 0'. Alternatively, as illustrated in FIG. 6B, the optical path difference controller 37 may be constituted of two mirrors 39, 39, which stand facing each other and are inclined slightly with respect to the incident light, and which can be moved in parallel such that the distance between them can be varied.
The light scattering medium 10, the refractive index distribution of which is to be measured, is located in the optical path A. The light scattering medium 10 has a thickness 1o in the direction along which the light beam a3 passes. As illustrated in FIG. 3A, the surface of the light scattering medium 10 has a curved shape. Therefore, when the light beam impinges upon the light scattering medium 10 and is radiated out of the light scattering medium 10, the light beam is refracted and the direction of travel of the principal beam changes. In such cases, an artifact is caused to occur. Therefore, as illustrated in FIG. 3B, a light-permeable matching medium 11, which has approximately the same refractive index as the refractive index of the light scattering medium 10, is located such that it may be in close contact with the light scattering medium 10. In this manner, the direction of travel of the principal beam is prevented from being changed. The light entry face and the light radiating face of the matching medium 11 are finished approximately normal to the direction of travel of the light beam. For example, as illustrated in FIG. 3C, the matching medium 11 may be constituted of flexible bag bodies 13, 13, which are made of very thin films, such as polyethylene films, and which are filled with a liquid medium 14 having the same refractive index as the refractive index of the light scattering medium 10, and plane-parallel glass plates 12, 12, which are respectively in close contact with the flexible bag bodies 13, 13. The flexible bag bodies 13, 13 are pushed against the light scattering medium 10 from the light entry side and the light radiating side so as to constitute a sandwich structure.
As an aid in facilitating the explanation, the combination of the light scattering medium 10 and the matching medium 11 will hereinbelow be referred to as the light scattering medium 10.
How this embodiment operates will be described hereinbelow.
The SLD light beam al, which has been produced by the light source 20, is collimated by the collimator lens 21 into the collimated light beam a2. The collimated light beam a2 is split by the beam splitter 22 into two light beams a3 and a4, which travel respectively along the two optical paths A and B. As illustrated in FIG. 4A, the light beam a3, which travels along the optical path A, impinges upon the light scattering medium 10 and is divided into scattered light a20 and a light beam a10, when has passed through the light scattering medium 10 without being scattered. The scattered light a20 is scattered by the light scattering substance in the region inside of the light scattering medium 10 towards various directions and is thereby radiated out of the light scattering medium 10. The light beam a10, which has passed through the light scattering medium 10 without being scattered, carries the refractive index information of the light scattering medium 10 and is radiated out of the light scattering medium 10 in the same direction as the incidence direction. As illustrated in FIG. 4A, due to multiple scattering, or the like, part of the scattered light a20 is radiated out of the light scattering medium 10 in the same direction as the direction along which the light beam a10 (having passed through the light scattering medium 10 without being scattered) is radiated out. Such part of the scattered light a20 will hereinbelow be referred to as the cross talk light.
The cross talk light a21 has the characteristic that, due to the multiple scattering in the region inside of the light scattering medium 10, it travels along an optical path having an optical path length longer than the optical path length by which the light beam a10 (passing through the light Scattering medium 10 without being scattered) travels in the region inside of the light scattering medium 10.
On the other hand, as illustrated in FIG. 4B, the light beam a10, which has passed through the light scattering medium 10 without being scattered, is composed of light a10(xi, yj), which has passed through each of portions of the light scattering medium 10 having the coordinates (xi, yJ) on the x-y coordinate system that is normal to the light beam a10, which has passed through the light scattering medium 10 without being scattered. The light a10(xi, yj), which passes through the light scattering medium 10 without being scattered, travels by the optical path length corresponding to the refractive index in the optical path in the region inside of the light scattering medium 10 and is then radiated out of the light scattering medium 10. The light a10(xi, yj), which has passed through the light scattering medium 10 without being scattered, impinges upon the photodiode PD(xi, yj), which is located at the position having the corresponding coordinates (xi, yj).
For example, in FIG. 4B, regions K, L, and M have refractive indexes different from the refractive index of the major part of the light scattering medium 10. The light a10(xl, yl), which passes through the light scattering medium 10 without being scattered, passes through the region K and is then radiated out of the light scattering medium 10. The light a10(x2, y2), which passes through the light scattering medium 10 without being scattered, passes through the region L having a different refractive index and is then radiated out of the light scattering medium 10. Also, the light a10(x3, y3), which passes through the light scattering medium 10 without being scattered, passes through the region M having a different refractive index and is then radiated out of the light scattering medium 10.
On the other hand, the phase of the light beam a4, which travels along the other optical path B, is swept in the saw tooth wave form shown in FIG. 2 by the mirror 25, which is driven together with the piezo-electric device 32 driven by the saw tooth wave generating drive circuit 33. In this manner, the light beam a4 is converted into the reference light beam a5 having a frequency ω1, which is not equal to ω0
The reference light beam a5 thus obtained and the light a10(xi,yj), which has passed through the light scattering medium 10 without being scattered, are combined with each other by the beam splitter 23. Also, the reference light beam a5 and the cross talk light a21, which has been radiated out of the light scattering medium 10, are combined with each other by the beam splitter 23. The optical intensity of the combined light beam is detected by the photodetector 30, photoelectrically converted into an electric signal proportional to the optical intensity, and fed into the signal processing unit 31.
The coherence length of the SLD light beam a1 falls within the range of 40 μm to 50 μm and is thus very short in wavelength. Therefore, if the optical path difference between the optical path A and the optical path B is not equal to approximately zero, the light beams having traveled along the optical path A and the optical path B will not interfere with each other when they are combined with each other. When the optical path difference between the optical path A and the optical path B is set to be approximately equal to zero by the optical path difference controller 37, which is driven by the drive circuit the reference light beam a5 and the light a10(xi, yj), which has passed through the light scattering medium 10 without being scattered, are caused to interfere with each other in accordance with the optical path difference. Alternatively, the reference light beam a5 and the cross talk light a21 are caused to interfere with each other in accordance with the optical path difference. The light beam a6 obtained from the interference generates a beat signal, which has an intensity repeatedly becoming high and low at a frequency Δω(=|ωO-ω1 |) equal to the difference between the frequencies of the two light beams before interfering with each other. Specifically, as described above, the interference between the light a10(xi, yj), which has passed through the light scattering medium 10 without being scattered, and the reference light beam a5 or the interference between the cross talk light a21 and the reference light beam a5 occurs in accordance with the optical path difference. The light obtained from the former interference will hereinbelow be referred to as interference light a61(Xi, Yj). The light obtained from the latter interference will hereinbelow be referred to as interference light a62.
As illustrated in FIG. 4B, the interference light a61(xi, yj) obtained from the interference between the light a10(xi, yj), which has passed through the light scattering medium 10 without being scattered, and the reference light beam a5, and the interference light a62 obtained from the interference between the cross talk light a21 and the reference light beam a5 impinge upon the photodiodes PD(xi, yj) of the photodetector 30 corresponding to the coordinates (xi, yj). The optical intensities of the interference light a61(xi, yj) and the interference light a62 are respectively detected by the photodiodes PD(xi, yj). FIG. 5 shows the detected optical intensity with respect to the optical optical-path difference ΔL, which has been detected by the optical path difference controller 37. By way of example, FIG. 5 shows the optical intensities detected by the photodiodes PD(x1, y1), PD(x2, y2), and PD(x3, y3). As for the illustrated detected optical intensity curves, for example, the optical path difference ΔL(x1, y1), at which the optical intensity detected by the photodiode PD(xl, yl) rises characteristically, represents the optical path difference occurring when the interference light a61(x1, y1) obtained from the interference between the light a10(x1, y1), which has passed through the light scattering medium 10 without being scattered, and the reference light beam a5 is detected. The optical path difference corresponding to the part of the detected optical intensity curve, at which the detected optical intensity decreases little by little, represents the optical path difference of the interference light a62 associated with the cross talk light a21.
The signal processing unit 31 detects the optical path differences ΔL(xi, yj), at which the optical intensities rise characteristically, from the optical intensities detected by the respective photodiodes PD(xi, yj). The signal processing unit 31 then calculates the differences ΔL(xi, yj) between the optical path differences ΔL(xi, yj) and the optical path difference ΔL(x1, y1) at the position having the coordinates (x1, y1). The differences Δ1(xi, yj) are then divided by the physical thickness lo taken in the direction along which the light beam passes through the light scattering medium 10. The values obtained from the division represent the values which correspond to the refractive indexes at the positions having the coordinates (xi, yj), with respect to the value which corresponds to the refractive index at the position having the coordinates (x1, y1) in the light scattering medium 10 and which is taken as the reference. By the calculation of such values, it is possible to obtain the distribution of the refractive index differences in the light scattering medium 10.
In the manner described above, the information representing the distribution of the refractive index differences at the portions having the coordinates (xi, yj) in the light scattering medium 10 is obtained from the signal processing unit 31. The obtained information is then fed into a cathode ray tube (CRT) display device 34 and is displayed thereon as an image representing the distribution of the refractive index differences in the light scattering medium 10.
As described above, with this embodiment of the apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention, the light beam, which has passed through the light scattering medium without being scattered, and scattered light, which is radiated out of the light scattering medium, can be easily separated from each other. As a result, the refractive index distribution information of the light scattering medium can be detected with a high signal-to-noise ratio.
In this embodiment of the apparatus or obtaining refractive index distribution information of a light scattering medium in accordance with the present invention, the optical path difference controller 37, the piezo-electric device 32, and the saw tooth wave generating drive circuit 33 are located in the optical path B, which is different from the optical path A in which the light scattering medium 10 is located. The apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention is not limited to the embodiment described above and may be embodied in different ways such that the elements described above may be located in the optical path A, in which the light scattering medium 10 is located, or may be respectively distributed to both of the optical paths A and
FIG. 7 is a block diagram showing a second embodiment of the apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention. The illustrated apparatus for obtaining refractive index distribution information comprises a laser beam source for producing a laser beam a1, and a frequency sweep drive circuit 66 or sweeping the frequency of the laser beam a1 in the saw tooth wave form shown in FIG. 8. The apparatus for obtaining refractive index distribution information also comprises a collimator lens 51 collimating the laser beam a1, which has been produced by the laser beam source 50 and the frequency of which has been swept by the frequency sweep drive circuit 66, into a collimated laser beam a2. The apparatus for obtaining refractive index distribution information further comprises beam splitters 52, 53 and mirrors 54, 55 for splitting the collimated laser beam a2 into two laser beams a3 and a4, causing the laser beams a3 and 84 to travel respectively along two optical paths A ad having slightly different optical path lengths, and thereafter superposing the laser beams a3 and a4 one upon the other. The apparatus for obtaining refractive index distribution information still comprises a photodetector 60 constituted of a two-dimensional array of a plurality of photodiodes PD(xi, yJ), which detect the optical intensity of a laser beam a5 obtained by superposing the laser beams a3 an a4 one upon the other by the beam splitter 53, and which photoelectrically converts the detected optical intensity and feeds out an electric signal. The apparatus for obtaining refractive index distribution information also comprises a signal processing unit 61 for detecting the difference frequency, which is equal to the difference between the frequencies of the two interfering laser beams, from the frequencies of change in the optical intensities detected by the respective photodiodes PD(xi, yj) of the photodetector 60. The signal processing unit 61 also calculates the distribution of relative refractive index differences at different positions in a light scattering medium 10 from the detected difference frequency and the frequency sweep characteristics of the frequency sweep drive circuit 66.
The laser beam a2, which has been collimated by he collimator lens 51, is split by the beam splitter 52 into the laser beams a3 and a4, which respectively travel along the two optical paths A and S. The light scattering medium 10, the refractive index distribution of which is to be measured, is located in the optical path A. As in the first embodiment described above, the light scattering medium 10 is covered by the matching medium 11.
How the second embodiment operates will be described hereinbelow.
As described above, the laser beam a1 is produced by the laser beam source 50. The frequency of the laser beam a1 is temporally swept by the frequency sweep drive circuit 66 in the form shown in FIG. 8. The laser beam a1, which has been produced by the laser beam source 50 and the frequency of which has been swept, is collimated by the collimator lens 51 into the collimated laser beam a2. The collimated laser beam a2 is split by the beam splitter 52 into two laser beams a3 and a4, which travel respectively along the two optical paths A and B. The laser beam 3, which travels along the optical path A, impinges upon the light scattering medium 10. As explained above in the first embodiment, the laser beam a3 is radiated out of the light scattering medium 10 as a laser beam a10, which has linearly passed the shortest distance through the light scattering medium 10 without being scattered, and as the cross talk light a21, which travels along an optical path having an optical path length longer than the optical path length of the laser beam a10, which has passed through the light scattering medium 10 without being scattered.
Of the laser beam a3, which has traveled along the optical path A, the laser beam a1O, which has passed through the light scattering medium 10 without being scattered, and the cross talk light a21 are respectively combined by the beam splitter 53 with the laser beam a4, which has traveled along the other optical path B. In this manner, the laser beam a10 and the cross talk light a21 are respectively caused to interfere with the laser beam a4.
The time required for the laser beam a10, which passes through the light scattering medium 10 without being scattered, to arrive at the beam splitter 53 is shorter than the time required for the cross talk light a21 to arrive at the beam splitter 53. Therefore, the frequency of the laser beam a4 interfering with the laser beam a10, which has passed through the light scattering medium 10 without being scattered, on the beam splitter 53 is lower than the frequency of the laser beam a4 interfering with the cross talk light a21 on the beam splitter 53. Accordingly, for example, in cases where the length of the optical path B is shorter than the length of the optical path A, the difference between the frequency of the laser beam a4 interfering with the laser beam a10, and the frequency of the laser beam a1O, itself becomes smaller than the difference between the frequency of the laser beam a4 interfering with the cross talk light a21 and the frequency of the cross talk light a21. As a result, the frequency of the beat signal occurring in interference light a51, that is associated with the laser beam a10, which has passed through the light scattering medium 10 without being scattered, becomes lower than the frequency of the beat signal occurring in interference light a52, that is associated with the cross talk light a21.
On the other hand, in cases where the length of the optical path B is longer than the length of the optical path A, the difference between the frequency of the laser beam a4 interfering with the laser beam a10, and the frequency of the laser beam a10, itself becomes larger than the difference between the frequency of the laser beam a4 interfering with the gross talk light a21 and the frequency of the cross talk light a21. As a result, the frequency o the beat signal occurring in the interference light a51, that is associated with the laser beam a10, which has passed through the light scattering medium 10 without being scattered, becomes higher than the frequency of the beat signal occurring in the interference light a52, that is associated with the cross talk light a21.
As described above, the laser beam a10, which has passed through the light scattering medium 10 without being scattered, and the cross talk light a21 can be discriminated from each other in accordance with the frequency of the beat signal occurring due to the interference.
As in the first embodiment described above, the laser beam a10, which has passed through the light scattering medium 10 without being scattered, is composed of light a10(xi, yj), which has passed through each portions of the light scattering medium 10 having the coordinates (xi, yj) on the x-y coordinate system that is normal to the laser beam a10 The light a18(xi, yj), which passes through the light scattering medium 10 without being scattered, travels by the optical path length corresponding to the refractive index in the optical path in the region inside of the light scattering medium 10 and is then radiated out the light scattering medium 10. The light a10(xi, yj), which has passed through the light scattering medium 10 without being scattered, impinges upon the photodiode PD(xi, yj), which is located at the position having the corresponding coordinates (xi, yj).
Of the optical intensity curves detected by the photodiodes PD(xi, yj), those detected by the photodiodes PD(x1, y1), PD(x2, y2), and PD(x3, y3) are shown in FIG. 9. As for the illustrated detected optical intensity curves, for example, the frequency ν(x1, y1), at which the optical intensity detected by the photodiode PD(x1, y1) rises characteristically, represents the PG,46 frequency of the interference light a51(x1, y1) obtained from the interference between the light a10(x1, y1), which has passed through the light scattering medium 10 without being scattered, and the reference laser beam a5. The frequency corresponding to the part of the detected optical intensity curve, at which the detected optical intensity decreases little by little, represents the frequency of the interference light a52 associated with the cross talk light a21.
The signal processing unit 61 detects the frequencies ν(xi, yj), at which the optical intensities rise characteristically, from the optical intensities detected by the respective photodiodes PD(xi, yj). The frequency of the beat signal of the interference light is the difference between the frequencies of the two light beams before interfering with each other. Therefore, from the frequencies ν(xi, yj), at which the optical intensities rise characteristically, and the frequency sweep characteristics of the frequency sweep drive circuit 66 shown in FIG. 8, a calculation is made to find the difference t(xi, yj) between the optical path passage time off the light a10(xi, yj), which has passed through the light scattering medium 10 without being scattered, and the optical path passage time of the reference laser beam a5. Also, also the optical-path difference ΔL'(xi, yj) corresponding to the time difference (xi, yj) is calculated. The optical-path difference ΔL'(xi, yj) is the optical-path difference and varies in accordance with the refractive index of the portion having the coordinates (xi, yj) in the light scattering medium 10.
The signal processing unit 61 then calculates the differences Δ1(xi, yj) between the optical optical-path differences ΔL'(xi, yj) and the optical-path difference ΔL'(x1, y1) at the position having the coordinates (x1, y1). The differences Δ1(xi, yj) are then divided by the physical thickness lo taken in the direction, along which the laser beam passes through the light scattering medium 10. In this manner, the refractive index differences at the portions having the coordinates (xi, yj) in the light scattering medium 10 are calculated.
In the manner described above, the information representing the distribution of the refractive index differences at the portions having the coordinates (xi, yj) in the light scattering medium 10 is obtained from the signal processing unit 61. The obtained information is then fed into the CRT display device 34 and is displayed thereon as an image representing the distribution of the refractive index differences in the light scattering medium 10.
As described above, with the second embodiment of the apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention, the laser beam, which has passed through the light scattering medium without being scattered, and scattered light, which is radiated out of the light scattering medium, can be easily separated from each other. As a result, the refractive index distribution information of the light scattering medium can be detected with a high signal-to-noise ratio.
In the first and second embodiments of the apparatus for obtaining refractive index distribution information of a light scattering medium in accordance with the present invention, it may occur that the amount of the scattered light component is larger than the light component, which has passed through the light scattering medium 10 without being scattered. Also, it may occur that the detected optical intensity curves shown in FIG. 9 extend over wide frequency bands. In such cases, for example, in the second embodiment, it becomes difficult to detect the frequency ν(xi, yj) of the interference light a51(xi, yj) obtained from the interference between the light a10(xi, yj), which has passed through the light scattering medium 10 without being scattered, and the reference laser beam a5. In order to eliminate such problems, as illustrated in FIG. 10, the signal processing unit 31 in the first embodiment may be provided with a cross correlation processing unit 70. (Also, the signal processing unit 61 in the second embodiment may be provided with the cross correlation processing unit 70.) For example, with the cross correlation processing unit 70 connected to the signal processing unit 61, the detection of the frequency ν(xi, yj) may be carried out by taking the frequency ν(x1, y1) of the interference light a51(x1, y1), which has been detected at a point having the coordinates (x1, y1) in the light scattering medium 10, as a reference and carrying out calculations for cross correlation with other signals. | A superheterodyne split-beam system is used to measure the refractive index distribution associated with a light scattering medium. Initially, a coherent light beam is split into a first reference light beam and a second light beam. The second light beam is passed through a light scattering medium. Scattered and unscattered portions of the second light beam are separated using the characteristic that the scattered light travels by a longer optical path length than the unscattered light. The first light beam is recombined with the unscattered light beam, and the associated optical path difference is measured. Using the difference between the calculated path difference and a predetermined reference path difference, as well as the thickness of the scattering medium, refractive indices are measured. The use of a photodetector array allows for determining a distribution of the refractive indexes of the inclusions at various portions of the medium. | 67,792 |
CROSS-REFERENCE TO RELATED APPLICATIONS
[0001] This application claims the benefit under 35 U.S.C. § 119(e) of U.S. Provisional Applications Nos. 60/587,974, filed Jul. 13, 2004, and 60/632,853, filed Dec. 2, 2004, the disclosures of which are incorporated herein by reference.
BACKGROUND OF THE INVENTION
[0002] 1. Field of the Invention
[0003] This invention relates to 16-membered macrolide anti-infective agents and methods for making and using them.
[0004] 2. Description of Related Art
[0005] Both 14- and 16-membered macrolide antibiotics have been used extensively in human and veterinary medicine. These compounds bind to bacterial ribosomes and inhibit protein synthesis. Erythromycin A, the prototype 14-membered macrolide antibiotic, has a limited activity spectrum and unpleasant gastrointestinal side effects due to an acid catalyzed rearrangement resulting in the creation of derivatives that have high affinity for the motilin receptor. These issues have prompted a large effort in the design of semisynthetic analogs of erythromycin A, leading to compounds such as clarithromycin (Biaxin™), azithromycin (Zithromax™), and the more recently developed ketolides, telithromycin (Ketek™) and cethromycin (ABT773).
[0006] In addition to the efforts in the 14-membered macrolide area, there have been considerable efforts in the 16-membered macrolide area. Illustrative disclosures relating to semi-synthetic 16-membered macrolide antibiotics include: Theriault, U.S. Pat. No. 3,784,447 (1974); Gorman et al., U.S. Pat. No. 3,459,853 (1969); Lukacs et al., U.S. Pat. No. 4,918,058 (1990); Narandja et al., U.S. Pat. No. 5,023,240 (1991); Maring et al., U.S. Pat. No. 5,140,014 (1992); Hecker et al., U.S. Pat. No. 5,545,624 (1996); Jaynes, U.S. Pat. No. 5,677,287 (1997); Narandja et al., U.S. Pat. No. 5,688,924 (1997); Narandja et al., U.S. Pat. No. 5,922,684 (1999); Or et al., U.S. Pat. No. 6,680,299 B2 (2004); Katz et al., US 2002/0128213 A1 (2002); Ma et al., US 2004/0014687 A1 (2004); Hamao et al., EP 0,070,170 A1 (1983); Narandja et al., EP 0,287,082 (1988); Lopotar et al., EP 0,410,433 A2 (1991); Narandja et al., EP 0,985,679 Al (2000); Hamao et al., JP 62-221695 A (1987); Tanaka et al., J. Antibiot. 35 (1), 113-116 (1982); Sakamoto et al., J. Antibiot. 37 (12), 1628-1634 (1984); Debono et al., J. Antibiot. 42 (8), 1253-1267 (1989); Ruggeri et al., J. Antibiot. 42 (9), 1443-1445 (1989); Maring et al., J. Antibiot. 44 (4), 448-450 (1991); Grandjean et al., J. Carbohydrate Chem., 15 (7), 831-855 (1996); and Narandja et al., J. Antibiot. 52 (1), 68-70 (1999); the disclosures of which are incorporated herein by reference.
[0007] Due to the continuing emergence of antibiotic-resistant bacterial strains, there exists an ongoing need for new antibacterial compounds. We have discovered new 16-member macrolide antibacterial compounds having a useful spectrum of activity against various bacteria.
BRIEF SUMMARY OF THE INVENTION
[0008] In a first aspect, this invention provides a compound having a structure according to formula I
and the pharmaceutically acceptable salts, esters, solvates, hydrates, and prodrug forms thereof,
wherein
R 2 is CHO or
R 3 is H, CH 2 OH,
R 4 is MeO or Me; R 5 is H or Me; R 6 is Me or Et; R 7 is H or C 1 -C 4 alkyl; R 8 and R 9 are independently H, (C 1 -C 4 )alkyl, CH 2 OH, or CH 2 O(C 1 -C 4 )alkyl, or R 8 and R 9 combine to form (CHR 10 ) m ; each R 10 is independently H, OH, O(C 1 -C 4 )alkyl, or (C 1 -C 4 )alkyl; Ar is an unsubstituted or substituted aromatic moiety selected from the group consisting of phenyl,
wherein a substituted aromatic moiety Ar has one to three substituents independently selected from the group consisting of halo, hydroxy, C 1 -C 4 alkyl, C 2 -C 4 alkenyl, C 2 -C 4 alkynyl, trifluoromethyl, cyano, nitro, C 1 -C 3 alkylamino or dialkylamino, and C 1 -C 3 alkoxy; and Ar 1 is phenyl or phenyl substituted with one to three substituents independently selected from the group consisting of halo, hydroxy, C 1 -C 4 alkyl, C 2 -C 4 alkenyl, C 2 -C 4 alkynyl, trifluoromethyl, cyano, nitro, C 1 -C 3 alkylamino or dialkylamino, and C 1 -C 3 alkoxy; m is 1, 2, 3, or 4; and n is 0, 1, or 2; subject to a first proviso (I) that when (a) R 1 is other than
(b) R 2 is CHO, and (c) R 3 is other than
then Ar is other than unsubstituted or substituted phenyl; and a second proviso (II) that when (a) R 1 is H and (b) R 2 is CHO, then R 3 is
[0027] In a second aspect, there is provided a compound having a structure according to formula Ila, IIb, IIc, or IId:
and the pharmaceutically acceptable salts, solvates, hydrates, and prodrug forms thereof.
[0028] In a third aspect, there is provided a method for treating a bacterial infection, comprising administering to a patient suffering from such infection a therapeutically effective amount of a compound of this invention.
[0029] In a fourth aspect, there is provided the use of a compound of this invention for the preparation of a medicament for treating a bacterial infection.
[0030] In a fifth aspect, there is provided a pharmaceutical formulation comprising a compound of this invention and an excipient.
[0031] In a sixth aspect, there is provided a method for inhibiting the proliferation of bacteria, comprising contacting the bacteria with an effective amount of a compound of this invention. Such contacting may take place in vitro or in vivo.
BRIEF DESCRIPTION OF THE DRAWING(S)
[0032] FIGS. 1 through 5 show schemes for the synthesis of compounds of this invention.
DETAILED DESCRIPTION OF THE INVENTION
DEFINITIONS
[0033] “Alkyl” means an optionally substituted straight or branched chain hydrocarbon moiety having the specified number of carbon atoms in the chain (e.g., as in “C 1 -C 5 alkyl”) or, where the number of carbon atoms is not specified, up to 3 carbon atoms in the chain.
[0034] “Alkenyl” means an optionally substituted straight or branched chain hydrocarbon moiety having at least one carbon-carbon double bond and the specified number of carbon atoms in the chain (e.g., as in “C 2 -C 5 alkenyl”) or, where the number of carbon atoms is not specified, up to 3 carbon atoms in the chain.
[0035] “Alkynyl” means an optionally substituted straight or branched chain hydrocarbon moiety having at least one carbon-carbon triple bond and the specified number of carbon atoms in the chain (e.g., as in “C 2 -C 5 alkynyl”) or, where the number of carbon atoms is not specified, up to 3 carbon atoms in the chain.
[0036] “Alkoxy” means an alkyl group bonded to oxygen, as in methoxy or ethoxy.
[0037] “Alkylamino” means an alkyl group bonded to an amine nitrogen, as in methyl amino. “Dialkylamino” means two alkyl groups (which may be the same or different) bonded to the same amine nitrogen, as in dimethylamino.
[0038] “Halogen” or “halo” means fluorine, chlorine, bromine or iodine.
[0039] “Mym” means a mycaminosyl group, represented by one of the structures below, according to whether it is used in a monovalent or divalent context:
[0040] “Myn” means a mycinosyl group, represented by the structure below:
[0041] “Myr” means a mycarosyl group, represented by the structure below:
[0042] Where it is indicated that a group may be substituted, for example by use of “substituted or unsubstituted” or “optionally substituted” phrasing, such group may have one or more independently selected substituents, preferably one to five in number, more preferably one or two in number. It is understood that substituents and substitution patterns can be selected by one of ordinary skill in the art to provide compounds that are chemically stable and that can be synthesized by techniques known in the art as well as the methods set forth herein. Examples of suitable substituents include alkyl, alkenyl, alkynyl, aryl, halo, trifluoromethoxy, trifluoromethyl, hydroxy, alkoxy, cycloalkyloxy, heterocyclooxy, alkanoyl, alkanoyloxy, amino, alkylamino quarternary ammonium, aralkylamino, cycloalkylamino, heterocycloamino, dialkylamino, alkanoylamino, thio, alkylthio, cycloalkylthio, heterocyclothio, ureido, nitro, cyano, carboxy, caroboxylalkyl, carbamyl, alkoxycarbonyl, alkylthiono, arylthiono, alkylsulfonyl, sulfonamindo, aryloxy, and the like, in addition to those specified herein. Where a different number and/or type of substituent(s) are specified in a particular context, such different specification prevails in respect of such particular context.
[0043] “Pharmaceutically acceptable salt” means a salt of a compound suitable for pharmaceutical formulation. Where a compound has one or more basic functionalities, the salt can be an acid addition salt, such as a sulfate, hydrobromide, tartrate, mesylate, maleate, citrate, phosphate, acetate, pamoate (embonate), hydroiodide, nitrate, hydrochloride, lactate, methylsulfate, fumarate, benzoate, succinate, mesylate, lactobionate, suberate, tosylate, and the like. Where a compound has one or more acidic moieties, the salt can be a salt such as a calcium salt, potassium salt, magnesium salt, meglumine salt, ammonium salt, zinc salt, piperazine salt, tromethamine salt, lithium salt, choline salt, diethylamine salt, 4-phenyl-cyclohexylamine salt, benzathine salt, sodium salt, tetramethylammonium salt, and the like.
[0044] “Pharmaceutically acceptable ester” means an ester that hydrolyzes in vivo (for example in the human body) to produce the parent compound or a salt thereof or has per se activity similar to that of the parent compound. Suitable ester groups include, without limitation, those derived from pharmaceutically acceptable aliphatic carboxylic acids, particularly alkanoic, alkenoic, cycloalkanoic and alkanedioic acids, in which each alkyl or alkenyl moiety preferably has no more than six carbon atoms. Illustrative esters include formates, acetates, propionates, butyrates, acrylates, citrates, succinates, and ethylsuccinates.
[0045] “Therapeutically effective amount” means that amount of active compound(s) or pharmaceutical agent(s) that elicit the biological or medicinal response in a tissue system, animal or human sought by a researcher, veterinarian, medical doctor or other clinician, which response includes alleviation of the symptoms of the disease or disorder being treated. The specific amount of active compound(s) or pharmaceutical agent(s) needed to elicit the biological or medicinal response will depend on a number of factors, including but not limited to the disease or disorder being treated, the active compound(s) or pharmaceutical agent(s) being administered, the method of administration, and the condition of the patient.
[0046] Unless particular stereoisomers are specifically indicated (e.g., by a bolded or dashed bond at a relevant stereocenter in a structural formula, by depiction of a double bond as having E or Z configuration in a structural formula, or by use stereochemistry-designating nomenclature), all stereoisomers are included within the scope of the invention, as pure compounds as well as mixtures thereof. Unless otherwise indicated, individual enantiomers, diastereomers, geometrical isomers, and combinations and mixtures thereof are all encompassed by the present invention. Polymorphic crystalline forms and solvates are also encompassed within the scope of this invention.
[0047] The present invention includes within its scope prodrugs of the compounds of this invention. Such prodrugs are in general functional derivatives of the compounds that are readily convertible in vivo into the required compound. Thus, in the methods of treatment of the present invention, the term “administering” shall encompass the treatment of the various disorders described with the compound specifically disclosed or with a compound which may not be specifically disclosed, but which converts to the specified compound in vivo after administration to a subject in need thereof. Conventional procedures for the selection and preparation of suitable prodrug derivatives are described, for example, in Wermuth, “Designing Prodrugs and Bioprecursors,” in Wermuth, ed., The Practice of Medicinal Chemistry, 2nd Ed., pp. 561-586 (Academic Press 2003).
[0000] Compounds and Methods
[0048] Turning now to preferred embodiments of compounds according to formula Ia (reproduced again below for convenience):
[0049] In the groups R 1 , it is preferred that the length of the link (C 1 -C 5 alkyl, C 2 -C 5 alkenyl, C 1 -C 5 alkyl-O—, etc.) between the groups Ar and the oxime oxygen be four atoms long, especially for compounds according to formula Ib or Ic. Preferred groups R 1 are
[0050] Where R 2 is
then R8 and R 9 preferably combine to form (CH(CH 3 )CH 2 CH(CH 3 ), corresponding to R 2 being
[0051] Where R 3 is
then R 8 and R 9 preferably are each H, corresponding to R 3 being CH 2 NMe 2 .
[0052] Where a group Ar is substituted, the substituent preferably is halo, more preferably fluoro.
[0053] In one embodiment, Ar is other than unsubstituted or substituted phenyl, in particular when R 1 is
[0054] In another embodiment, R 1 is
[0055] More preferably, R 1 is
[0056] Most of the time, the Z-isomer of the C 9 oxime possess better activities than the corresponding E-isomers and are therefore preferred, although in some instances the potency pattern is reversed. However, compounds of this invention can be used as mixtures of the E and Z isomers, or as either isomer individually.
[0057] In a first preferred subgenus of compounds according to formula I, R 4 and R 5 are both Me and R 6 is Et, corresponding to a compound having a structure according to formula Ia:
[0058] In a second preferred subgenus of compounds according to formula I, R 2 is CHO, R 3 is CH 2 OH, R 4 and R 5 are both Me, and R 6 is Et, corresponding to a compound having a structure according to formula Ib:
[0059] In one embodiment of compounds according to formula Ib, R 1 is selected from the group consisting of
[0060] In a third preferred subgenus of compounds according to formula I, R 2 is
R 3 is
R 4 and R 5 are both Me, and R 6 is Et, corresponding to a compound having a structure according to formula Ic:
[0061] In one embodiment of compounds according to formula Ic, R 1 is other than H. Preferably, R 1 is selected from the group consisting of
[0062] In a fourth preferred subgenus of compounds according to formula I, R 2 is
R 3 is CH 2 OH, R 4 and R 5 are both Me, and R 6 is Et, corresponding to a compound having a structure according to formula Id:
[0063] In one embodiment of compounds according to formula Id, R 1 is other than H. Preferably R 1 is selected from the group consisting of
[0064] In a fifth preferred subgenus of compounds according to formula I, R 2 is CHO, R 3 is CH 2 NMe 2 , R 4 and R 5 are both Me, and R 6 is Et, corresponding to a compound having a structure according to formula Ie:
[0065] In a sixth preferred subgenus of compounds according to formula I, R 2 is CHO,
R 3
R 4 and R 5 are both Me, and R 6 is Et, corresponding to a compound having a structure according to formula If:
[0067] In a seventh preferred subgenus of compounds according to formula I, R 2 is CHO, R 3 is H, R 4 is OMe, R 5 is H, and R 6 is Me, corresponding to a compound having a structure according to formula Ig:
[0068] In an eighth preferred subgenus of compounds according to formula I, R 2 is CHO,
R 3 is
R 4 and R 5 are both Me, and R 6 is Et, corresponding to a compound having a structure according to formula Ih:
[0070] In one embodiment of compounds according to formula Ih, Ar 1 is phenyl. In another embodiment, Ar 1 is phenyl and R 1 is H. In another embodiment, Ar 1 is phenyl and R 1 is selected from the group consisting of
[0071] Exemplary compounds having a structure according to formula I are shown in Table A (R 4 and R 5 are both Me. R 6 is Et. The E/Z configuration of OR 1 in the oxime functionality is as noted adjacent to each R 1 group, with “E/Z” meaning a mixture of E and Z isomers.)
TABLE Exemplary Compounds Cpd. R 1 R 2 R 3 A CHO CH 2 OH B Same Same C Same Same D Same Same E Same Same F Same Same G Same Same H Same Same J Same Same K L Same Same M Same Same N Same Same O Same Same P Same Same Q Same Same R Same CH 2 OH S Same Same T CH 2 OH U Same Same V Same Same W Same Same X Same Same Y CHO CH 2 NMe 2 Z Same Same AA CHO BB Same Same CC DD CHO EE Same Same FF Same Same GG (E/Z) H Same Same
[0072] An example of a compound having a structure according to formula Ig is compound HH, shown below:
[0073] FIG. 1 shows schematically the methodology employed for the synthesis of compounds Ib. The starting material was 5-O-mycaminosyltylonolide (1, “OMT,” Gorman et al., U.S. Pat. No. 3,459,853 (1969), incorporated herein by reference). The C-19 aldehyde group of OMT was protected as the 1,3-dioxolane by treatment with ethylene glycol in the presence of camphorsulfonic acid (“CSA”) in CH 2 Cl 2 , to produce 1,3-dioxolane 2. Conversion of the C-9 ketone group of 1,3-dioxolane 2 to the oxime was carried out using NH 2 OH.HCl in the presence of pyridine, yielding oxime 3. Oxime 3 was then converted to alkylated oxime 4 by selective alkylation on the C-9 oxime oxygen using an arylalkyl bromide R 1 Br and KOtBu in DMF. In many cases, E and Z oximes could be separated by reverse phase high pressure liquid chromatography (“HPLC”). Finally, compound Ib was obtained by de-protection of the C-19 aldehyde was achieved by stirring alkylated oxime 4 in acetone and CSA.
[0074] FIG. 2 shows schematically the synthesis of compounds Ic. Tilmicosin (6) was prepared from desmycosin (5) via reductive amination using 3,5-dimethylpiperidine in the presence of formic acid (Debono et al., J. Antibiot. 42 (8), 1253-1267 (1989), incorporated herein by reference). Tilmicosin 9-oxime 7 was obtained by oximation of tilmicosin 6 with NH 2 OH.HCl in MeOH-THF-H 2 O. Alkylation of tilmicosin 9-oxime 7 with an arylalkyl bromide R 1 Br gave compound Ic.
[0075] Compounds according to formula Id can be made by the scheme shown in FIG. 3 . 20-Deoxy(3,5,-dimethyl-1-piperidine)OMT (8, “DDP-OMT”) was prepared from OMT 1 by reductive amination generally as described in the context of FIG. 2 . DDP-OMT 8 was then oximated to give oxime 9, which was in turn alkylated to give compound Id.
[0076] FIG. 4 shows schematically the synthetic methodology for making compounds Ie. Alkylated oxime 4 ( FIG. 1 ) was converted to phosphate ester 10 by reacting with diphenylphosphoryl azide (“DPPA”). Phosphate ester 10 was then converted to 23-azido compound 11 by heating in the presence of NaN 3 and a catalytic amount of NaI in DMF. 23-Azido compound 11 was reduced to amine 12 with Me 3 P. Reductive alkylation of amine 12 with NaCNBH 3 in acetic acid-formaldehyde gave dimethylamine 13. Lastly, deprotection of the C-19 aldehyde with CSA-acetone converted dimethylamine 13 to compound Ie. The E- and Z-isomers could be separated by HPLC.
[0077] Compounds having the structures of formulae If and Ig were prepared starting from desmycomysin 5 and compound 14, respectively, using a sequence of reactions analogous to that shown in FIG. 1 .
[0078] Compounds of this invention can be used to treat infections by Gram-positive or Gram-negative bacteria, in particular infections by Streptococcus pneumoniae, Staphylococcus aureus, Staphylococcus epidermidis, Haemophilus influenzae, and Enterococcus faecalis.
[0079] Preferably, compounds of this invention are provided in a purified and isolated form, for example following column chromatography, high-pressure liquid chromatography, recrystallization, or other purification technique. Where particular stereoisomers of compounds of this invention are specified, such stereoisomers preferably are substantially free of other stereoisomers.
[0080] Compounds of this invention may be used in a pharmaceutical formulation comprising a compound of this invention and an excipient. Excipients that may be used include carriers, surface active agents, thickening or emulsifying agents, solid binders, dispersion or suspension aids, solubilizers, colorants, flavoring agents, coatings, disintegrating agents, lubricants, sweeteners, preservatives, isotonic agents, and combinations thereof. The selection and use of suitable excipients is taught in Gennaro, ed., Remington: The Science and Practice of Pharmacy, 20th Ed. (Lippincott Williams & Wilkins 2003), the disclosure of which is incorporated herein by reference.
[0081] For human administration, an effective amount of a compound of this invention is used, optionally in combination with a pharmaceutically acceptable carrier. Generally, an effective amount is a dose of 200 to 500 mg daily for an adult. The composition may be dry, or it may be a solution. Treatment may be reactive, for treating an existing condition, or prophylactic, to forestall development of a condition. Compounds of this invention can be used in the preparation of a medicament. The compounds may be administered orally, topically, or parenterally (e.g., intravenously, subcutaneously, intraperitoneally, transdermally). Compounds of this invention can also be used in veterinary applications, especially for the treatment of non-human mammals.
[0082] The practice of this invention can be further understood by reference to the following examples, which are provided by way of illustration and not of limitation.
EXAMPLE 1
Compounds Ib
[0083] This example describes the preparation of compounds according to formula Ib, using compound D as the archetype and following the scheme of FIG. 1 .
[0084] Step 1: 1.3-Dioxolane 2. CSA (93 mg, 0.4008 mmol, 1.5 eq) and HOCH 2 CH 2 OH (166 mg, 10 eq) were added to a solution of OMT (160 mg, 0.2676 mmol) in CH 2 Cl 2 (0.5 mL). The reaction mixture was stirred at room temperature (“RT”) overnight. CHCl 3 (50 mL) was added to the reaction mixture. The organic phase was washed with saturated NaHCO 3 (3×20 mL), dried over Na 2 SO 4 , filtered, and evaporated to dryness. The product was purified on silica gel column (1%-3% MeOH in CH 2 Cl 2 with 1% Et 3 N) to obtain 120 mg of 1,3-dioxolane 2.
[0085] Step 2: Oxime 3. NH 2 OH.HCl (10 eq) and pyridine (10 eq) were added to 1,3-dioxolane 2 (60 mg, 0.09346 mmol) dissolved in MeOH (3 mL). The reaction mixture was stirred at RT overnight. CHCl 3 (50 mL) was added to the reaction mixture. The organic phase was washed with saturated NaHCO 3 (3×20 mL), dried over Na 2 SO 4 , filtered, and evaporated to dryness to give oxime 3 (50 mg) as a mixture of E- and Z-isomers. Oxime 3 was used without purification in the next step.
[0086] Step 3: Alkylated oxime 4. Oxime 3 (53 mg, 0.06401 mmol) and 6-(3-bromo-prop-1-ynyl)quinoline (1.5 eq) were placed in a 5 mL round bottom flask, which was then flushed with nitrogen. Freshly distilled THF (2 mL) and dry DMF (0.4 mL) were added at RT. KOtBu (96 μL, 1M in THF) was added and the reaction mixture was stirred at RT for 2 hr. CHCl 3 (50 mL) was added. The organic phase was washed with saturated NaHCO 3 (3×20 mL), dried over Na 2 SO 4 , filtered, and evaporated to dryness. The product was subjected to HPLC purification (C18-reverse phase column, solvent A: H 2 O with 5 mM NH 4 OAc, solvent B: CH 3 CN/MeOH (4/1) with 5mM NH 4 OAc, 50%-55% B over 25 minutes) to obtain 11 mg of the alkylated Z oxime 4 and 8.9 mg of the alkylated E oxime 4.
[0087] Step 4: Compound D. Alkylated E oxime 4 (20 mg), CSA (10 mg), and acetone (1 mL) were stirred at RT for 2 days. The acetone was removed. The product was purified by silica gel column (CH 2 Cl 2 with 1% Et 3 N to 1-3% MeOH in CH 2 Cl 2 with 1% Et 3 N) to obtain 15 mg of compound D. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.71 (s, 1H), 8.91 (d, J=2 Hz, 1H), 8.29 (s, 1H), 8.07 (d, J=8.4 Hz, 1H), 7.81 (d, J=7.2 Hz, 1H), 7.71 (dd, J=8.4 Hz, 8.4 Hz, 1H), 7.56 (dd, J=8 Hz, 8 Hz, 1H), 7.00 (d, J=15.6 Hz, 1H), 5.91 (d, J=15.6 Hz, 1H), 5.58 (d, J=10.4 Hz, 1H), 4.93 (m, 3H), 4.30 (m, 1H), 4.24 (d, J=7.6 Hz, 1H), 3.91 (m 1H), 3.66 (dd, J=7.2 Hz, 10.4 Hz, 1H), 3.49 (dd, J=7.2 Hz, 10.4 Hz 1H), 3.24 (m, 1H), 3.04 (dd, J=9.6 Hz, 9.6 Hz, 1H), 2.97 (dd, J=10.8 Hz, 17.6 Hz, 1H), 2.85 (m, 1H), 2.51 (s, 6H), 1.79 (s, 3H), 1.23 (d, J=6.0 Hz, 3H), 1.15 (d, J=6.8 Hz, 3H), 1.00 (d, J=6.4 Hz, 3H), 0.94 (t, J=7.2, 3H), LC-MS (m/z) calculated for C 43 H 59 N 3 O 10 777.42; found 778.79 (M+1).
[0088] Other compounds Ib were prepared following the above procedure, mutatis mutandis. In some instances as noted, the E/Z oxime isomers were not separated.
[0089] Compound A. The E/Z oximes (E:Z ratio 1.5:1 by 1 H NMR) were not separated in step 3. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.72 (s, 1H, Z), 9.67 (s, 1H, E), 8.74 (dd, J=1.6 Hz, 5.2 Hz, 1H, E+Z), 8.09 (d, J=8.4 Hz, 1H, E+Z), 8.00 (d, J=9.2 Hz, 1H, E+Z), 7.42 (dd, J=2.74 Hz, 9.4 Hz, 1H, E), 7.34 (dd, J=4.3 Hz, 8.4 Hz, 1H, E+Z), 7.14 (d, J=2.74 Hz, 1H, Z), 7.12 (d, J=2.74 Hz, 1H, E), 6.75 (d, J=15.5 Hz, 1H, E), 5.87 (d, J=15.5 Hz, 1H, E), 5.38 (d, J=10.4 Hz, 1H, E), 5.38 (d, J=10.4 Hz, 1H, E), 5.30 (d, J=10.4 Hz, 1H, Z), 4.86 (dt, J=2.0Hz, 9.8 Hz, 1H, E), 4.77 (m, 1H, Z), 2.50 (s, 6H, Z), 2.49 (s, 6H, E), 1.76 (s, 3H, Z), 1.74 (s, 3H, E), LC-MS (m/z) calculated for C 43 H 63 N 3 O 11 797.45, found 798.66 (M+1).
[0090] Compound B. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.70 (s, 1H), 8.74 (s, 1H), 8.03 (d, J=7.2 Hz, 1H), 7.96 (d, J=9.2 Hz, 1H), 7.72 (br, 1H), 7.52 (dd, 1H), 7.07 (d, J=2.4 Hz, 1H), 4.92 (dt, J=2.74 Hz, 9.78 Hz, 1H), 4.32 (d, J=7.2 Hz, 1H), 3.05 (dd, J=9.2 Hz, 9.2 Hz, 1H), LC-MS (m/z) calculated for C 44 H 65 N 3 O 11 811.46; found 813.0 (M+1).
[0091] Compound C 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.70 (s, 1H), 7.27 (m, 2H), 6.91 (m, 3H), 5.52 (d, J=10 Hz, 1H), 4.93 (dt, J=2.54 Hz, 9.4 Hz, 1H), 4.74 (d, J=13.8 Hz, 1H), 4.31 (d, J=7.2 Hz, 1H), 3.89-3.60 (m, 8H), 3.52 (dd, J=7.6 Hz, 10 Hz, 1H), 3.29 (m, 1H), 3.16 (br, 3H), 3.03 (dd, J=9.2 Hz, 9.2 Hz, 1H), 2.87 (m, 2H), 2.60 (m, 1H), 2.50 (s, 6H), 2.36 (m, 2H), 1.97 (d, J=16.4 Hz, 1H), 1.80 (s, 3H), 1.61 (m, 2H), 1.41 (m, 2H), 1.26 (d, J=6.3 Hz, 3H), 1.19 (d, J=6.65 Hz, 3H), 0.98 (d, J=7.0 Hz, 3H), 0.94 (t, J=7.0, 3H), LC-MS (m/z) calculated for C 43 H 66 N 4 O 11 814.47; found 816.0 (M+1).
[0092] Compound E. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.69 (s, 1H), 8.87 (d, J=2 Hz, 1H), 8.26 (d, J=1.6 Hz, 1H), 8.08 (d, J=8.4 Hz, 1H), 7.80 (d, J=7.2 Hz, 1H), 7.71 (dd, J=8.8 Hz, 8.8 Hz, 1H), 7.56 (dd, J=8 Hz, 8 Hz 1H), 5.70 (br, 1H), 4.89-4.98 (m, 3H), 4.30 (d, J=7.2 Hz, 1H), 3.88 (d, J=10.4 Hz, 1H), 3.64-3.83 (m, 3H), 3.54 (dd, J=7.4 Hz, 10.2 Hz, 1H), 3.28 (m, 1H), 3.02 (dd, J=9.2 Hz, 9.2 Hz, 1H), 2.89 (m, 1H), 2.49 (s, 6H), 1.82 (s, 3H), 1.62 (m, 2H), 1.25 (d, J=7.2 Hz, 3H), 1.23 (d, J=8 Hz, 3H), 0.99 (d, J=6.4 Hz, 3H), 0.94 (t, J=8.8, 3H), LC-MS (m/z) calculated for C 43 H 59 N 3 O 10 777.42; found 778.75 (M+1).
[0093] Compound F. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.70 (s, 1H), 8.96 (d, J=2 Hz, 1H), 8.10 (s, 1H), 8.05 (d, J=8.4 Hz, 1H), 7.81 (d, J=8.4 Hz, 1H), 7.66 (dd, J=7.2 Hz, 7.2 Hz, 1H), 7.52 (dd, J=6.8 Hz, 6.8 Hz 1H), 6.94 (d, J=15.6 Hz, 1H), 6.72 (d, J=16.2 Hz, 1H), 6.54 (dt, J=5.9 Hz, 16.0 Hz, 1H), 5.88 (d, J=15.6 Hz,1H), 5.54 (d, J=10.8 Hz, 1H), 4.89 (dt, J=11.9 Hz, 2.4 Hz, 1H), 4.24 (d, J=7.6 Hz, 1H), 3.92 (d, J=10.8 Hz, 1H), 3.63-3.76 (m, 3H), 3.48 (dd, J=7.6 Hz, 10.4 Hz, 1H), 3.22 (m, 1H), 3.04 (dd, J=9.6 Hz, 9.6 Hz, 1H), 2.86 (m, 1H), 2.48 (s, 6H), 1.77 (s, 3H), 1.60 (m, 1H), 1.42 (m, 1H), 1.22 (d, J=6.0 Hz, 3H), 1.14 (d, J=6.8 Hz, 3H), 1.01 (d, J=6.8 Hz, 3H), 0.92 (t, J=7.2, 3H), LC-MS (m/z) calculated for C 43 H 61 N 3 O 10 779.44; found 780.66 (M+1).
[0094] Compound G. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.68 (s, 1H), 8.93 (d, J=2.4 Hz, 1H), 8.11 (s, 1H), 8.04 (d, J=8.4 Hz, 1H), 7.81 (d, J=7.4 Hz, 1H), 7.66 (dd, J=6.4 Hz, 7.0 Hz, 1H), 7.52 (dd, J=7.0 Hz, 7.0 Hz 1H), 6.73 (d, J=16.4 Hz, 1H), 6.57 (dt, J=16.0 Hz, 5.3 Hz, 1H), 5.58 (d, J=8.0 Hz,1H), 4.94 (m, 1H), 4.78 (d, J=5.2 Hz, 1H), 4.30 (d, J=7.2 Hz, 1H), 3.89 (d, J=10.0 Hz, 1H), 3.65-3.75 (m, 3H), 3.53 (dd, J=7.2 Hz, 10.6 Hz, 1H), 3.28 (m, 1H), 3.03 (dd, J=9.6 Hz, 9.6 Hz, 1H), 2.90 (m, 1H), 2.49 (s, 6H), 1.82 (s, 3H), 1.61 (m, 1H), 1.20 (d, J=6.8 Hz, 3H), 0.99 (d, J=6.4 Hz, 3H), 0.93 (t, J=7.2, 3H), LC-MS (m/z) calculated for C 43 H 61 N 3 O 10 779.44; found 780.68 (M+1).
[0095] Compound H. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.71 (s, 1H), 8.80 (s, 1H), 8.77 (dd, J=11.5 Hz, 13.5 Hz, 1H), 8.06 (d, J=9.2 Hz, 1H), 8.00 (d, J=7.0 Hz, 1H), 7.97 (d, J=5.3 Hz, 1H), 6.91 (d, J=15.9 Hz, 1H), 6.58 (dt, J=16.2 Hz, 4.5 Hz, 1H), 5.53 (d, J=11.4 Hz,1H), 5.0 (dt, J=10.2 Hz, 2.9Hz, 1H), 4.77-4.88 (m, 2H), 4.25 (d, J=7.4 Hz, 1H), 3.90 (d, J=10.4 Hz, 1H), 3.75-3.85 (m, 3H), 3.52 (dd, J=8.4 Hz, 10.4 Hz, 1H), 3.26 (m, 1H), 3.07 (dd, J=7.6 Hz, 10.0 Hz, 1H), 2.93 (m, 1H), 2.52 (s, 6H), 1.86 (s, 3H), 1.65 (m, 1H), 1.22 (d, J=6.9 Hz, 3H), 1.00 (d, J=6.9 Hz, 3H), 0.96 (t, J=7.2, 3H), LC-MS (m/z) calculated for C 42 H 60 N 4 O 10 780.43; found 781.70 (M+1).
[0096] Compound J. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.70 (s, 1H), 8.75 (d, J=1.6 Hz, 1H), 8.08 (d, J=8.4 Hz, 1H), 7.94 (s, 1H), 7.78 (d, J=7.6 Hz, 1H), 7.66 (dd, J=8.0 Hz, 8.0 Hz, 1H), 7.54 (dd, J=7.2 Hz, 7.2 Hz, 1H), 5.72 (d, J=10 Hz, 1H), 5.07 (m, 1H), 4.29 (d, J=7.43 Hz, 1H), 3.51(dd, J=7.6 Hz, 10.4 Hz, 1H), 3.27 (m, 1H), 3.04 (dd, J=9.2 Hz, 9.2 Hz, 1H),, 2.50 (s, 6H), 1.80 (s, 3H), 1.28 (d, J=6.5 Hz, 3H), 1.17 (d, J=6.8 Hz, 3H), 1.00 (d, J=6.8 Hz, 3H), 0.98 (t, J=7.8, 3H), LC-MS (m/z) calculated for C 44 H 65 N 3 O 10 795.47; found 796.66 (M+1).
[0097] Compound IIa. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.66 (s, 1H), 7.29 (d, J=8.4 Hz, 2H), 6.94 (m, 3H), 5.43 (d, J=8.4 Hz, 1H), 4.93 (dt, J=9.4 Hz, 2.5 Hz, 1H), 4.37 (m, 2H), 4.3(d, J=7.2 Hz, 1H), 4.19 (m, 2H), 3.82 (m, 2H), 3.69 (dd, J=4.7 Hz, 10.7 Hz, 1H), 3.62 (dd, J=6.85 Hz, 11.5 Hz, 1H), 3.52 (dd, J=7.6 Hz, 11.0 Hz, 1H), 3.30 (m, 1H), 3.02 (dd, J=9.8 Hz, 9.8 Hz, 1H), 2.87 (m, 1H), 2.49 (s, 6H), 2.35 (dd, J=9.6 Hz, 9.6 Hz, 1H), 1.97 (d, J=16.0 Hz, 1H), 1.83 (m, 1H), 1.79(s, 3H), 1.60 (m, 2H), 1.28 (d, J=6.0 Hz, 3H), 1.19 (d, J=6.8 Hz, 3H), 0.97 (d, J=7.2 Hz, 3H), 0.94 (t, J=7.2, 3H), LC-MS (m/z) calculated for C 39 H 60 N 2 O 11 732.42; found 734.0 (M+1).
[0098] Compound IIb. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.67 (s, 1H), 7.29 (d, 1H), 6.95 (d, 1H), 5.89 (d, J=15.6 Hz, 1H), 5.53 (d, J=10.4 Hz, 1H), 4.91 (dt, 1H), 4.39(dd, J=4.4 Hz, 4.4 Hz, 1H), 3.93 (d, J=10.4 Hz, 1H), 3.49 (dd, J=7.6 Hz, 10.8 Hz, 1H), 3.24 (dd, J=6.0 Hz, 8.8 Hz, 1H), 3.06 (dd, J=9.2 Hz, 9.2 Hz, 1H), 3.30 (m, 1H), 3.02 (dd, J=9.8 Hz, 9.8 Hz, 1H), 2.52 (s, 6H), 1.10 (d, J=6.8 Hz, 3H), 0.99 (d, J=6.8 Hz, 3H), 0.95 (t, J=7.6, 3H), LC-MS (m/z) calculated for C 39 H 60 N 2 O 11 732.42; found 734.0 (M+1).
[0099] Compound IIc. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.61 (s, 1H), 6.92 (d, J=15.6 Hz, 1H), 5.89 (d, J=15.6 Hz, 1H), 5.53 (d, J=10.4 Hz, 1H), 4.91 (dt, J=9.6 Hz, 2.7 Hz, 1H), 4.24(dd, J=7.4Hz, 1H), 3.93 (d, J=10.2 Hz, 1H), 3.48 (dd, J=7.4 Hz, 10.4 Hz, 1H), 3.23 (dd, J=5.9 Hz, 8.6 Hz, 1H), 3.03 (dd, J=9.4 Hz, 9.4 Hz, 1H), 2.50 (s, 6H), 1.79 (s, 3H), 1.10 (d, J=6.8 Hz, 3H), 1.00 (d, J=6.8 Hz, 3H), 0.95 (t, J=7.6, 3H), LC-MS (m/z) calculated for C 38 H 57 FN 2 O 10 720.40; found 722.0 (M+1).
[0100] Compound IId. 1 H NMR (400 MHz, CDCL 3 ) δ (ppm) 9.63 (s, 1H), 7.30 (dd, J=5.9 Hz, 8.4 Hz, 2H), 7.02 (dd, J=8.6 Hz, 8.6 Hz, 1H), 6.02 (s, br, 1H), 5.46 (d, J=10.4 Hz, 1H), 5.04 (m, 2H), 4.93 (m, 1H), 4.30 (dd, J=724Hz, 1H), 3.86 (d, J=3.9 Hz, 1H), 3.81 (m, 1H), 3.71 (dd, J=4.1 Hz, 10.8 Hz, 1H), 3.64 (dd, J=6.9 Hz, 6.9 Hz, 1H), 3.52 (dd, J=8.0, Hz, 10.2 Hz, 1H), 3.30 (m, 1H), 3.03 (dd, J=9.1 Hz, 9.1 Hz, 1H), 2.87 (m, 1H), 2.83 (dd, J=8.0 Hz, 18.0 Hz, 1H), 2.60 (m, 1H), 2.49 (s, 6H), 2.36 (dd, J=10.2 Hz, 10.2 Hz, 1H), 2.23 (m, 1H), 1.98 (d, J=15.9 Hz, 1H), 1.80 (s, 3H), 1.59 (m, 2H), 1.28 (d, J=6.3 Hz, 3H), 1.18 (d, J=6.6 Hz, 3H), 0.97 (d, J=7.0 Hz, 3H), 0.94 (t, J=7.2, 3H), LC-MS (m/z) calculated for C 38 H 57 FN 2 O 10 ; found 722.0 (M+1).
EXAMPLE 2
Compounds Ic
[0101] This example describes the preparation of compounds according to formula Ic, using compounds K and L as the archetypes and following the scheme in FIG. 2 .
[0102] Step 1: Tilmicosin 9-oxime 7. Tilmicosin (6, 0.5754 mmol; Debono et al., J. Antibiot. 42 (8), 1253-1267 (1989), incorporated herein by reference) was dissolved in MeOH (24 mL), THF (6 mL), and H 2 O (2 mL). NH 2 OH.HCl (0.8 g, 11.5 mmol) was added. The reaction mixture was heated to 50° C. for 5 hr. The MeOH and THF were removed under reduced pressure. EtOAc (200 mL) was added. The organic phase was washed with saturated NaHCO 3 (3×100 mL), dried over Na 2 SO 4 , filtered, and evaporated to dryness to give tilmiconsin 9-oxime 7 (234 mg) as a mixture of E and Z isomer, which was used in the next step without purification.
[0103] Step 2: Compounds K and L. To a solution of tilmicosin 9-oxime 7 (60 mg, 0.06787 mmol) in DMF (0.5 mL) was added 6-(3-bromo-propoxy)quinoline (2.4 eq) and KOH (85% powder, 2.4 eq). The reaction mixture was stirred at RT for 5 hr. The reaction was stopped by addition of EtOAc (25 mL). The organic phase was washed with saturated NaHCO 3 (3×10 mL), dried over Na 2 SO 4 , filtered, and evaporated to dryness. The product mixture was subjected to HPLC purification (C18-reverse phase column, solvent A: H 2 O with 5 mM NH 4 OAc, solvent B: CH 3 CN/MeOH (4/1) with 5mM NH 4 OAc, 58% B isocratic) to yield 20 mg of pure compound K and 10 mg of pure compound L.
[0104] Compound K: 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 8.76 (dd, J=1.6 Hz, 4.4 Hz, 1H), 8.06 (d, J=7.2 Hz, 1H), 8.01 (d, J=9.2 Hz, 1H), 7.38 (dd, J=2.7 Hz, 9.2 Hz, 1H), 7.36 (dd, J=4.1 Hz, 8.6 Hz, 1H), 7.10 (d, J=2.8 Hz, 1H), 5.45 (br, 1H), 4.95 (br, 1H), 4.49 (d, J=7.6 Hz, 1H), 4.40 (d, J=7.6 Hz, 1H), 4.29 (m, 2H), 4.18 (dd, J=6.4 Hz, 6.4 Hz, 1H), 3.90 (dd, J=10.4 Hz, 5.1 Hz, 1H), 3.76 (d, J=11.2 Hz, 1H), 3.69 (m, 1H), 3.58 (s, 3H), 3.48 (m, 1H), 3.42 (s, 3H), 3.23 (dd, J=9.4 Hz, 9.4 Hz, 1H), 3.13 (dd, J=2.3 Hz, 9.4 Hz, 1H), 2.94 (dd, J=2.7 Hz, 7.8 Hz, 1H), 2.77 (s, 6H), 2.61 (m, 1H), 2.44 (dd, J=10.6 Hz, 16.2 Hz, 1H), 2.23 (m, 1H), 1.33 (d, J=5.9 Hz, 1H), 1.23 (d, J=6.3 Hz, 3H), 1.14 (d, J=6.6 Hz, 3H), 0.91 (d, J=6.6 Hz, 3H), 0.90 (t, J=6.3 Hz, 3H), LC-MS (m/z) calculated for C 58 H 92 N 4 O 14 1068.66; found 1069.4 (M+1).
[0105] Compound L: 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 8.76 (dd, J=1.6 Hz, 4.4 Hz, 1H), 8.04 (d, J=7.2 Hz, 1H), 8.02 (d, J=9.2 Hz, 1H), 7.38 (dd, J=2.7 Hz, 9.2 Hz, 1H), 7.36 (dd, J=4.5 Hz, 8.0 Hz, 1H), 7.08 (d, J=2.4 Hz, 1H), 6.86 (d, J=15.6 Hz, 1H), 5.84 (d, J=15.6 Hz, 1H), 5.54 (d, J=10.4 Hz, 1H), 4.92 (dt, J=2.4 Hz, 10.0 Hz, 1H), 4.55 (d, J=7.6 Hz, 1H), 4.30 (m, 1H), 4.29 (m, 2H), 4.20 (m, 1H), 3.95 (dd, J=9.6 Hz, 4.0 Hz, 1H), 3.80 (d, J=10.0 Hz, 1H), 3.74 (dd, J=3.2 Hz, 3.2 Hz, 1H), 3.61 (s, 3H), 3.61 (m, 1H), 3.50 (m, 1H), 3.49 (s, 3H), 3.31 (m, 1H), 3.18 (dd, J=9.2 Hz, 3.2 Hz, 1H), 3.13 (d, J=9.6 Hz, 1H), 3.02 (dd, J=2.8 Hz, 8.0 Hz, 1H), 2.90 (m, 1H), 2.64 (s, 6H), 2.63 (m, 1H), 2.40 (dd, J=10.2 Hz, 16.2 Hz, 1H), 2.25 (m, 1H), 2.17 (d, J=2.4 Hz, 1H), 1.73 (s, 3H), 1.26 (d, J=6.3 Hz, 1H), 1.26 (d, J=6.3 Hz, 1H), 1.24 (d, J=6.5 Hz, 3H), 1.09 (d, J=6.8 Hz, 3H), 0.95 (d, J=6.5 Hz, 3H), 0.95 (d, J=6.5 Hz, 3H), 0.92 (t, J=7.6 Hz, 3H), 0.78 (d, J=5.9 Hz, 3H), LC-MS (m/z) calculated for C 58 H 92 N 4 O 14 1068.66; found 1069.4 (M+1).
[0106] Other compounds Ic were prepared according to the above procedure, mutatis mutandis. In some instances as noted, the E/Z oxime isomers were not separated.
[0107] Compound M. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 8.76 (dd, J=1.6 Hz, 4.4 Hz, 1H), 8.06 (d, J=7.2 Hz, 1H), 8.01 (d, J=9.2 Hz, 1H), 7.38 (dd, J=2.7 Hz, 9.2 Hz, 1H), 7.37 (dd, J=2.5 Hz, 6.5 Hz, 1H), 7.06 (d, J=2.5 Hz, 1H), 5.5 (br, 1H), 4.96 (br, 1H), 4.53 (d, J=7.6 Hz, 1H), 4.34 (d, J=7.8 Hz, 1H), 4.14 (m, 2H), 3.94 (br, 1H), 3.78 (d, J=10.4 Hz, 1H), 3.71 (t, J=2.74 Hz, 1H), 3.58 (m, 1H), 3.58 (s, 3H), 3.48 (m, 1H), 3.47 (s, 3H), 3.00 (dd, J=2.9 Hz, 7.8 Hz, 1H), 2.80 (m, 1H), 2.61 (s, 6H), 2.42 (dd, J=10.2 Hz, 15.6 Hz, 1H), 1.75 (s, 3H), 1.32 (d, J=6.1 Hz, 3H), 1.15 (d, J=6.8 Hz, 3H), 0.96 (d, J=6.6 Hz, 3H), 0.91 (t, J=5.7 Hz, 3H), 0.86 (d, J=6.1 Hz, 3H), LC-MS (m/z) calculated for C 59 H 94 N 4 O 14 1082.68; found 1084.0 (M+1).
[0108] Compound N 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 8.76 (dd, J=1.6 Hz, 4.1 Hz, 1H), 8.04 (dd, J=1 Hz, 8.6 Hz, 1H), 8.00 (d, J=9.2 Hz, 1H), 7.38 (dd, J=2.7 Hz, 9.4 Hz, 1H), 7.35 (dd, J=4.5 Hz, 8.6 Hz, 1H), 7.07 (d, J=2.7 Hz, 1H), 6.85 (d, J=15.6 Hz, 1H), 5.85 (d, J=15.6 Hz, 1H), 5.53 (d, J=10.4 Hz, 1H), 4.91 (dt, J=2.4 Hz, 9.8 Hz, 1H), 4.55 (d, J=7.8 Hz, 1H), 4.27 (d, J=7.2 Hz, 1H), 4.20 (m, 1H), 4.14 (m, 2H), 3.96 (dd, J=9.8 Hz, 4.1 Hz, 1H), 3.82 (d, J=9.8 Hz, 1H), 3.74 (dd, J=3.1 Hz, 3.1 Hz, 1H), 3.65 (d, J=9.8 Hz, 1H), 3.61 (s, 3H), 3.48 (s, 3H), 3.49 (m, 1H), 3.30 (m, 1H), 3.18 (dd, J=9.6 Hz, 3.1 Hz, 1H), 3.09 (dd, J=9.2 Hz, 9.2 Hz,1H), 3.02 (dd, J=2.7 Hz, 7.8 Hz, 1H), 2.91 (m, 2H), 2.56 (s, 6H), 1.74 (s, 3H), 1.08 (d, J=7.4 Hz, 3H), LC-MS (m/z) calculated for C 59 H 94 N 4 O 14 1082.68; found 1084.0 (M+1).
[0109] Compound O. The E and Z isomers were not separated. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 7.25 (m, 2H), 6.91 (m, 3H), 5.54 (br, 1H), 4.88 (br, 1H), 4.54 (d, J=7.4 Hz, 1H), 4.37 (m, 1H), 4.26 (m, 1H), 4.20 (m, 2H), 3.96 (br, 1H), 3.78 (br, 1H), 3.71 (dd, J=3.3 Hz, 3.3 Hz, 1H), 3.59 (s, 3H), 3.59 (m, 1H), 3.49 (m, 1H), 3.46 (s, 3H), 3.29 (m, 1H), 3.15 (br, 1H), 2.49 (s, 6H), 2.36 (dd, J=10.2 Hz, 10.2 Hz, 1H), 1.73 (s, 3H), 1.14 (d, J=6.5 Hz, 3H), 0.80 (d, J=6.1 Hz, 3H), LC-MS (m/z) calculated for C 54 H 89 N 4 O 14 1003.63; found 1005.0 (M+1).
[0110] Compound P. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 7.30 (m, 2H), 7.01 (dd, J=8.6 Hz, 8.6 Hz, 2H), 5.5 (br, 1H), 4.95 (br, 1H), 4.53 (d, J=7.8 Hz, 1H), 4.31 (d, J=7.2 Hz, 1H), 3.78 (d, J=10.0 Hz, 1H), 3.73 (t, J=2.9 Hz, 1H), 3.60 (s, 3H), 3.43 (s, 3H), 3.17 (dd, J=3.3 Hz, 9.4 Hz, 1H), 3.08 (dd, J=9.6 Hz, 9.6 Hz, 1H), 3.00 (dd, J=2.7 Hz, 7.6 Hz, 1H), 2.95 (m, 1H), 2.56 (s, 6H), 1.88 (m, 1H), 1.75 (s, 3H), 1.57 (m, 2H), 1.30 (d, J=6.3 Hz, 3H), 1.13 (d, J=6.9 Hz, 3H), LC-MS (m/z) calculated for C 53 H 86 FN 3 O 13 991.61; found 993.0 (M+1).
[0111] Compound Q. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 7.35 (d, 8.4 Hz, 1H), 7.33 (d, J=8.4 Hz, 1H), 7.05 (d, J=8.8 Hz, 1H), 7.03 (d, J=8.4 Hz, 1H), 6.88 (d, J=15.6 Hz, 1H), 5.82 (d, J=15.6 Hz, 1H), 5.58 (d, J=10.4 Hz, 1H), 4.95 (dt, J=10 Hz, 2.4 Hz, 1H), 4.55 (d, J=8 Hz, 1H), 4.33 (d, J=5.6 Hz, 1H), 3.96 (dd, J=4 Hz, 9.6 Hz, 1H), 3.84 (d, J=10 Hz, 1H), 3.75 (dd, J=2.8 Hz, 2.8 Hz, 1H), 3.69 (d, J=8 Hz, 1H), 3.63 (s, 3H), 3.48 (s, 3H), 3.49 (m, 1H), 3.32 (m, 1H), 3.18 (m, 2H), 3.03 (dd, J=7.6 Hz, 2.8 Hz, 1H), 2.91 (m, 1H), 2.73 (s, 6H), 2.43 (dd, J=16.0 Hz, 10.0 Hz, 1H), 1.75 (s, 3H), 1.60 (m, 2H), 1.52 (m, 2H), 1.28 (d, J=6.4 Hz, 3H), 1.26 (d, J=6.4 Hz, 3H), 1.07 (d, J=6.8 Hz, 3H), 0.96 (d, J=6.8 Hz, 3H), 0.93 (t, J=7.2 Hz, 3H), 0.93 (d, J=6.4 Hz, 3H), 0.85 (d, J=6.4 Hz, 3H), LC-MS (m/z) calculated for C 53 H 86 FN 3 O 13 991.61; found 993.06 (M+1).
[0112] Compound CC. 1 H NMR (400 MHz, CDCL 3 ) δ (ppm) 8.77 (dd, J=1.57 Hz, 4.11 Hz, 1H), 8.04 (d, J=7.2 Hz, 1H), 8.02 (d, J=9.2 Hz, 1H), 7.38 (dd, J=2.7 Hz, 7.6 Hz, 1H), 7.36 (dd, J=4.3 Hz, 8.4 Hz, 1H), 7.08 (d, J=2.9 Hz, 1H), 6.86(d, J=15.6 Hz, 1H), 5.84 (d, J=15.6 Hz, 1H), 5.54 (d, J=10.2 Hz, 1H), 4.92 (m, 1H), 4.55 (d, J=7.63 Hz, 1H), 4.32 (m, 1H), 4.29 (m, 2H), 4.20 m, 2H), 3.96 (dd, J=4.3 Hz, 9.4 Hz, 1H), 3.80 (d, J=10.0 Hz, 1H), 3.74 (dd, J=3.1 Hz, 3.1 Hz, 1H), 3.62 (m, 1H), 3.61 (s, 3H), 3.52 (m, 1H), 3.49 (s, 3H), 3.31 (m, 1H), 3.18 (dd, J=3.2 Hz, 9.2 Hz, 1H), 3.13 (d, J=9.4 Hz, 1H), 3.02 (dd, J=2.5 Hz, 7.6 Hz, 1H), 2.90 (m, 2H), 2.64 (m, 1H), 2.64 (s, 6H), 2.40 (dd, J=10.6 Hz, 16.4 Hz, 1H), 2.25 (m, 2H), 2.17 (d, J=2.54 Hz, 1H), 1.95 (d, J=15.9 Hz, 1H), 1.88 (m, 1H), 1.73 (s, 3H), 1.26 (d, J=6.1 Hz, 3H), 1.24 (d, J=6.6 Hz, 3H), 1.09 (d, J=6.85 Hz, 3H), 0.95 (d, J=6.6 Hz, 3H), 0.92 (t, J=7.4 Hz, 3H), 0.78 (d, J=6.6 Hz, 3H), LC-MS (m/z) calculated for C 58 H 92 N 4 O 14 , 1068.66; found 1069.74 (M+1).
EXAMPLE 3
Compounds Id
[0113] Compounds Id were prepared as shown in FIG. 3 . The procedures were analogous to those used for compounds Ic, except that OMT 1 was used instead of tilmicosin 6. See Debono et al., J. Antibiot. 42 (8), 1253-1267 (1989). The E and Z isomers were separated, except where noted otherwise.
[0114] Compound R. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 8.76 (d, J=2.8 Hz, 2H), 8.03 (d, J=8.0 Hz,1H), 8.00 (d, J=9.2 Hz, 1H), 7.35 (m, 2H), 7.08 (d, J=2 Hz, 1H), 6.71 (d, J=16.8 Hz, 1H), 6.61 (d, J=16.8, 1H), 5.57 (d, J=10.4 Hz, 1H), 4.77 (m, 1H), 2.79 (s, 6H), 1.78 (s, 3H), LC-MS (m/z) calculated for C 50 H 78 N 4 O 10 894.57; found 896.0 (M+1).
[0115] Compound S. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm), 8.77 (br, 1H), 8.01 (d, J=9.2 Hz, 1H), 8.00 (d, J=8.0 Hz, 1H), 7.37 (d, J=5.6 Hz, 1H), 7.36 (d, J=6.4 Hz, 1H), 7.05 (d, J=2.4 Hz, 1H), 6.68 (d, J=16.8 Hz, 1H), 6.07 (d, J=17.2 Hz, 1H), 5.46 (d, J=10.8 Hz, 1H), 4.82 (dd, J=11.2 Hz, 11.2 Hz, 1H), 1.22 (d, J=7.2 Hz, 3H), 1.04 (d, J=6.4 Hz, 3H), 0.97 (t, J=7.6 Hz, 3H), 0.94 (d, 6.4 Hz, 3H), 0.73 (d, J=6.4 Hz, 3H), LC-MS (m/z) calculated for C 50 H 78 N 4 O 10 894.57; found 896.0 (M+1).
[0116] Compound T. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 8.73 (d, J=4.4 Hz, 2H), 8.01 (d, J=8.0 Hz,1H), 7.97 (d, J=9.6 Hz, 1H), 7.34 (m, 2H), 7.03 (d, J=2.8 Hz, 1H), 5.45 (d, J=10.4 Hz, 1H), 2.59 (s, 6H), 1.74, LC-MS (m/z) calculated for C 51 H 80 N 4 O 10 908.59; found 910.0 (M+1).
[0117] Compound U. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm), 8.76 (d, J=2.8 Hz, 1H), 8.03 (d, J=7.2 Hz, 1H), 8.00 (d, J=9.6 Hz, 1H), 7.35 (m, J=5.6 Hz, 2H), 7.05 (d, J=2.8 Hz, 1H), 6.64 (d, J=16.8 Hz, 1H), 6.06 (d, J=17.2 Hz, 1H), 5.44 (d, J=10.0 Hz, 1H), 4.80 (m, 1H), 2.62 (s, 6H), 1.79 (s, 3H), LC-MS (m/z) calculated for C 51 H 80 N 4 O 10 908.59; found 910.0 (M+1).
[0118] Compound V. The E and Z isomers were not separated. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm), 7.28 (m, 2H), 6.93 (m, 3H), 6.85 (d, J=15.6 Hz, 1H), 5.91 (d, J=15.6 Hz, 1H), 2.52 (s, 6H), 1.78 (s, 3H), 1.16 (d, J=6.8 Hz, 3H), 1.07 (d, J=6.8 Hz, 3H), 0.81 (d, J=6.4 Hz, 3H), LC-MS (m/z) calculated for C 46 H 75 N 3 O 10 829.55; found 831.0 (M+1).
[0119] Compound W. The E and Z isomers were not separated. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm), 7.27 (m, 2H), 7.00 (m, 3H), 2.50 (s, 6H), 1.77 (s, 3H), 1.12 (d, J=6.4 Hz, 3H), 0.95 (d, J=6.8 Hz, 3H), LC-MS (m/z) calculated for C 45 H 72 FN 3 O 9 817.55; found 819.0 (M+1).
[0120] Compound X. The E and Z isomers were not separated. 13 C NMR (100 MHz, CDCl 3 ) δ (ppm), 177.02, 167.38, 150.86, 136.99, 129.25, 120.63, 116.66, 73.26, 72.41, 72.07, 58.15, 49.77, 49.39, 46.78, 44.90, 41.83, 41.64, 40.36, 39.39, 28.67, 22.68, 19.04, 18.14, 12.73, 9.71, LC-MS (m/z) calculated for C 50 H 81 N 5 O 10 911.60; found 913.0 (M+1).
EXAMPLE 4
Compounds Ie
[0121] Compounds Ie were prepared according to FIG. 4 , with the following procedure for converting compound A to compounds Y and Z being representative.
[0122] Step 1: Phosphate ester 10. Compound A (218 mg, 0.26 mmol, 1 eq) was flushed under N 2 for 30 min. Freshly distilled THF (0.5 mL) was added followed by 1,8-diazabicyclo[5.4.0]undec-7-ene (“DBU,” 38.7 μL, 1 eq), and diphenylphosphorylazide (61.5 μL, 1.1 eq). The reaction mixture was stirred at RT for 2 hr. TLC (10% MeOH in CH 2 Cl 2 ) indicated the starting material was consumed and a new upper spot appeared. Solvent was removed under vacuum. Separation of the product using silica gel column on ISCO (1% Et 3 N in CH 2 Cl 2 to 1% Et 3 N to 1% MeOH in CH 2 Cl 2 ) to yield 173 mg of phosphate ester 10 .
[0123] Step 2: 23-Azido Compound 11. Phosphate ester 10 (173 mg, 1 eq) was dissolved in DMF (3.2 mL). NaN 3 (314 mg, 30 eq) was added. The reaction mixture was heated to 50° C. The reaction progress was monitored by HPLC (C-18 reverse phase column, 4.6×150 mm, mobile phase: isocratic 60% B, solvent B: CH 3 CN/MeOH (4/1) with 5 mM NH 4 OAc; solvent A: H 2 O with 5 mM NH 4 OAc). HPLC indicated the reaction was 50% complete after stirring at 50° C. for 3.5 hours. NaI (23.8 mg) was added and the reaction mixture was stirred at 50° C. for another 2.5 hr. HPLC indicated the reaction was still not complete. NaN 3 (208 mg) was added and the reaction was stirred at 65° C. overnight until HPLC shown that little starting material remained. EtOAc (100 mL) was added and the organic layer was washed with saturated NaHCO 3 (3×30 mL), dried over Na 2 SO 4 , filtered, and evaporated to dryness. 23-Azido compound 11 (119 mg) was obtained after purification on ISCO using a 10 g silica gel column (1% Et 3 N in CH 2 Cl 2 to 1% Et 3 N to 1% MeOH in CH 2 Cl 2 ).
[0124] Step 3: Amine 12. To a solution of 23-azido compound 11 (50 mg, 1 eq) in THF (5 mL) and H 2 O (0.25 mL) was added Me 3 P (225 μL, 1M in THF). The reaction mixture was stirred at RT for 1.5 hr until HPLC (C-18 reverse phase column, 4.6×150 mm, mobile phase: isocratic 60% B, solvent B: CH 3 CN/MeOH (4/1) with 5 mM NH 4 OAc; solvent A: H 2 O with 5 mM NH 4 OAc) indicated the starting material was completely converted. The solvent was removed to yield amine 12, which was used for next step without purification.
[0125] Step 4: Dimethyl amine 13. Amine 12 was dissolved in MeOH (3 mL). H 2 CO (182 μL, 20 eq), HOAc (24.6 μL, 8 eq), and NaCNBH 3 (14.5 mg, 4 eq) were added. The reaction mixture was stirred at RT for 1 hr. The volatiles were removed under vacuum. The products were purified directly on a reverse phase HPLC semi-prep column (C-18 reverse phase, 9.6×250 mm, the mobile phase B: CH 3 CN/MeOH (4/1) with 5 mM NH 4 OAc; phase A: H 2 O with 5 mM NH 4 OAc, isocratic 45% B, diode array detector 190-400 nm) to yield 15.6 mg of dimethylamine 13 (E oxime) and 12.3 mg of dimethylamine 13 (Z oxime).
[0126] Step 5a: Compound Y. Dimethylamine 13 E oxime (15.6 mg) was dissolved in acetone (2 mL). CSA(16 mg) was added. The reaction was stirred at RT overnight. The solvent was removed and the product was purified by silica gel column on ISCO (1% Et 3 N in CH 2 Cl 2 to 1% Et 3 N to 2% MeOH in CH 2 Cl 2 ) to yield 11 mg compound Y. The final compound was characterized by NMR ( 1 H, 13 C, COSY, HSQC, HMBC) and LC/MS. 1 H NMR (400 MHz, CDCl 3 ), δ (ppm) 9.64 (s, 1H), 8.73 (d, J=2.8 Hz, 1H), 8.10 (d, J=8.4 Hz, 1H), 7.98 (d, J=9.2 Hz, 1H), 7.38 (dd, J=2.4 Hz, 9.2 Hz, 1H), 7.33 (dd, J=4.0 Hz, 8.0 Hz, 1H), 7.10 (d, J=2.4 Hz, 1H), 6.90 (d, J=15.6 Hz, 1H), 5.79 (d, J=15.6 Hz, 1H), 5.33 (d, J=10.0 Hz, 1H), 4.66 (dd, 1H), 4.25 (m, 4H), 4.12 (m, 2H), 3.92 (d, J=10.8 Hz, 1H), 3.74 (d, J=10.0 Hz, 1H), 3.53 (m, 1H), 3.47 (m, 1H), 3.02 (dd, J=9.2 Hz, 9.2 Hz, 1H), 2.90 (dd, J=10.8 Hz, 18.0 Hz, 1H), 2.76 (m, 1H), 2.49 (s, 6H), 2.35 (m, 2H), 2.18 (m, 1H), 2.19 (d, 1H), 1.82 (m, 1H), 1.75 (s, 3H), 1.58 (m, 1H), 1.39 (m, 1H), 1.17 (d, J=6.0 Hz, 3H), 1.08 (d, J=6.8 Hz, 3H), 1.00 (d, J=6.4 Hz, 3H), 0.92 (t, J=7.2, 3H), 13 C NMR (100 MHz, CDCl 3 ), δ (ppm), 203.6, 174.3, 159.8, 157.0, 147.7, 144.2, 138.4, 138.1, 135.0, 134.5, 130.6, 129.4, 122.6, 121.2, 116.3, 105.8, 103.7, 80.4, 77.9, 73.2, 71.0, 70.7, 70.2, 70.0, 64.9, 61.2, 45.7, 43.7, 43.0, 41.7, 39.1, 31.9, 29.6, 29.0, 27.2, 25.7, 18.7, 17.9, 12.6, 9.8, 9.1, LC-MS (m/z) calculated for C 45 H 68 N 4 O 10 824.49; found 825.5 (M+1).
[0127] Step 5b: Compound Z. Dimethylamine 13 Z oxime (12.3 mg) was dissolved in acetone (2 mL). CSA(13 mg) was added. The reaction was stirred at RT for 36 hr. Solvent was removed and the product was purified by silica gel column on ISCO (1% Et 3 N in methylene chloride to 1% Et 3 N to 2% MeOH in CH 2 Cl 2 ) to obtain 8 mg compound Z. 1 H NMR (400 MHz, CDCl 3 ), δ (ppm), 9.72 (s, 1H), 8.74 (d, J=3.6 Hz, 1H), 8.14 (d, J=7.6 Hz, 1H), 7.98 (d, J=9.2 Hz, 1H), 7.40 (dd, J=2.0 Hz, 9.2 Hz, 1H), 7.33 (dd, J=4.0 Hz, 8.0 Hz, 1H), 7.18 (s, 1H), 5.13 (d, J=9.2 Hz, 1H), 4.49 (br, 1H), 4.29 (m, 4H), 4.18 (m, 2H), 3.87 (d, J=10.4 Hz, 1H), 3.79 (m, 1H), 3.53 (m, 1H), 3.47 (m, 1H), 3.05 (dd, J=9.2 Hz, 9.2 Hz, 1H), 2.51 (s, 6H), 1.73 (s, 3H), 1.15 (d, J=6.0 Hz, 3H), LC-MS (m/z) calculated for C 45 H 68 N 4 O 10 824.49; found 825.5 (M+1).
EXAMPLE 5
Compounds If
[0128] Compounds If were made using the procedure of Example 1, except that the starting material was desmycosin 5 instead of OMT 1.
[0129] Compound AA. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.64 (s, 1H), 8.74 (d, J=3.6 Hz, 1H), 8.08 (d, J=8.0 Hz, 1H), 7.99 (d, J=9.2 Hz, 1H), 7.37 (dd, J=2.4 Hz, 8.8 Hz, 1H), 7.33 (dd, J=4.0 Hz, 8.0 Hz, 1H), 7.1 (d, J=2.8 Hz, 1H), 6.89 (d, J=15.6 Hz, 1H), 5.83 (d, J=16 Hz, 1H), 5.55 (d, J=10.4 Hz, 1H), 4.94 (ddd, 1H), 4.54 (d, J=8 Hz, 1H), 4.27 (m, 3H), 4.23 (d, J=7.43 Hz, 1H), 4.15 (m, 3H), 3.92 (m, 2H), 3.74 (m, 2H), 3.61 (s, 3H), 3.49 (s, 3H), 2.50 (s, 6H), 1.73 (s, 3H), 1.26 (d, 3H), 1.18 (d, J=6.65 Hz, 3H), 1.09 (d, J=6.46 Hz, 3H), 0.99 (d, J=6.46 Hz, 3H), 0.93 (t, J=7.24, 3H), LC-MS (m/z) calculated for C 51 H 77 N 3 O 15 971.54; found 972.79 (M+1).
[0130] Compound BB. 1 H NMR (400 MHz, CDCl 3 ) δ (ppm) 9.73 (s, 1H), 8.76 (d, J=2.8 Hz, 1H), 8.10 (d, J=8.4 Hz, 1H), 8.0 (d, J=9.2Hz, 1H), 7.41 (dd, J=2.4 Hz, 9.2 Hz, 1H), 7.34 (dd, J=4.4 Hz, 8.4 Hz, 1H), 7.15 (d, J=2.4 Hz, 1H), 5.41 (d, J=10.0 Hz, 1H), 4.84 (m, 1H), 4.49 (d, J=7.6 Hz, 1H), 3.61 (s, 3H), 3.42 (s, 3H), 2.51 (s, 6H), 1.75 (s, 3H), 1.18 (d, J=6.85 Hz, 3H), LC-MS (m/z) calculated for C 51 H 77 N 3 O 15 971.54; found 973.2 (M+1).
EXAMPLE 6
Compounds Ig
[0131] Compound HH, representative of compounds Ig, was made from compound 14 (desmycarosyl niddamycin). Compound 14 can be made by the acid treatment of niddamycin (Ma et al., US 2004/0014687 (2004), incorporated herein by reference). The sequence of reactions was analogous to that in FIG. 1 (protection of C-19 aldehyde, oximation of C-9 ketone, O-alkylation of C-9 oxime, and deprotection of C-19 aldehyde).
EXAMPLE 7
Compounds Ih
[0132] FIG. 5 shows the scheme for the preparation of compounds Ih, using the instance in which Ar 1 is phenyl as the archetype.
[0133] Step 1: Keto carbamate 15. To demycinosyltylosin 14 (“DMT”, 2 g) in 17 mL of dichloromethane at room temperature, was added benzylisocyanate (0.83 mL). The reaction was stirred at room temperature for 7 hours. DMT can be made, for example, as described in Baltz et al., U.S. Pat. No. 4,321,361 (1982), the disclosure of which is incorporated herein by reference. TLC indicated the starting material was still present. Therefore, the reaction was stirred over night at room temperature. The solvent was removed under reduced pressure. The product was purified by silica gel column (5% acetone in hexane to 50% acetone in hexane with 1% triethylamine), yielding keto carbamate 15 (1.84 g).
[0134] Step 2: Acetal carbamate 16. The reaction mixture of 2.05 g of keto carbamate 15, 2.9 g ethylene glycol, 0.814 g CSA in methylene chloride (20 mL), was stirred at room temperature overnight. Ethyl acetate (300 mL) was added. The organic layer was washed with saturated NaHCO 3 (2×180 mL), dried over sodium sulfate, filtered and evaporated to dryness, yielding acetal carbamate 16 (1.95 g).
[0135] Step 3: Oxime carbamate 17. To acetal carbamate 16 (1 g) in methanol, was added pyridine (1.07 mL) and hydroxylamine hydrochloride (0.92 g). The reaction mixture was stirred at room temperature for 8 hours. Ethyl acetate ( 300 mL) was added. The organic phase was washed with saturated NaHCO 3 (2×150 mL) and then brine (150 mL), dried over sodium sulfate, filtered and evaporated to dryness. The product was purified by silica gel column (5% acetone in hexane to 50% acetone in hexane with 1% triethylamine), yielding oxime carbamate 17 (1 g).
[0136] Step 4: Alkvlated oxime carbamate 18. To oxime carbarnate 17 (150 mg, 0.195 mmol)and an alkyl bromide (0.411 mmol) in THF(3 mL)/DMF(1 mL) was added potassium t-butoxide (253 μL, 1M in THF) at room temperature. The reaction mixture was stirred at room temperature for 2 hours. Chloroform (120 mL) was added and the organic phase was washed with saturated NaHCO 3 (2×150 mL) and then brine (150 mL), dried over sodium sulfate, filtered and evaporated to dryness. Silica gel column purification (20% acetone in hexane to 80% acetone in hexane with 1% triethylamine) yielded alkylated oxime carbamate 18 (110 mg).
[0137] Step 5: Compounds Ih. Alkylated oxime carbamate 18 (20 mg), CSA (10 mg), and acetone (1 mL) were stirred together at room temperature for 2 days. The acetone was then removed. The product was purified by silica gel column (DCM w/1% TEA to 1-3% methanol in dichloromethane w/1% TEA) to yield compound Ih (15 mg).
[0138] Compounds DD, EE, and FF were prepared according to the above procedure. Compound GG was also so prepared, except that the acetal group of oxime carbamate was directly hydrolyzed, by-passing the alkylation step.
[0139] Compound DD. LC-MS (m/z) calculated for C 51 H 70 N 4 O 12 930.50; found 931.4 (M+1).
[0140] Compound EE. LC-MS (m/z) calculated for C 52 H 72 N 4 O 12 944.5 1; found 945.5 (M+1).
[0141] Compound FF. LC-MS (m/z) calculated for C 51 H 68 N 4 O 11 912.49; found 913.4 (M+1).
[0142] Compound GG. LC-MS (m/z) calculated for C 39 H 59 N 3 O 11 745.42; found 746.4 (M+1). (Compound not pure.)
EXAMPLE 8
Biological Activity
[0143] Compounds of this invention were tested for biological activity against a series of bacterial strains, using erythromycin A, tylosin, OMT, tilmicosin (compound 6, FIG. 2 )), compound 8 ( FIG. 3 ) and/or telithromycin (Ketek™) as comparison compounds. Results for S. pneumoniae, S. aureus, S. epidermidis, and E. faecalis are provided in Table B. Data on activity against H. influenzae for selected compounds are presented in Table C.
TABLE B Biological Activity Bacteria & Compound strain Ery A Tyl OMT A B IIa IIb S. pneumoniae ATCC6301 0.025 0.098 0.025 0.025 0.025 0.20 0.025 ATCC700671 0.049 0.20 0.049 0.025 0.025 0.39 0.20 ATCC700676* 6.25 0.20 0.78 0.025 0.025 0.20 0.025 ATCC700677* 6.25 >12.5 6.25 0.20 0.39 3.12 1.56 ATCC700905* 3.12 0.20 0.78 0.025 0.025 0.39 0.20 ATCC700906* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC49619 0.049 0.098 0.098 0.01 0.01 0.20 0.20 S. aureus ATCC6538p 0.098 0.20 0.39 0.025 0.20 0.78 0.39 ATCC33591* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC14154* >12.5 1.56 1.56 0.20 0.78 1.56 1.56 ATCCBAA-39* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCCBAA-44* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC29213 0.20 1.56 0.78 0.098 0.78 1.56 1.56 S. epidermidis ATCC12228 0.20 0.39 0.39 0.098 0.20 1.56 0.78 E. faecalis ATCC51575 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 *macrolide resistant strain Ery A = erythromycin A Tyl = tylosin Bacteria & Compound strain C D E F G H J S. pneumoniae ATCC6301 0.025 0.025 0.025 0.025 0.025 0.025 0.025 ATCC700671 0.025 0.049 0.025 0.049 0.025 0.049 0.025 ATCC700676* 0.39 0.049 0.025 0.049 0.049 0.049 0.025 ATCC700677* 6.25 >12.5 >12.5 >12.5 >12.5 >12.5 0.025 ATCC700905* 0.20 0.049 0.049 0.049 0.049 0.049 0.025 ATCC700906* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC49619 0.01 0.049 0.025 0.025 0.025 0.025 0.049 S. aureus ATCC6538p 0.78 0.098 0.098 0.098 0.20 0.20 0.025 ATCC33591* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC14154* 1.56 0.78 0.39 0.39 0.78 0.39 0.20 ATCCBAA-39* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCCBAA-44* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC29213 1.56 0.39 0.39 0.39 0.78 0.39 0.20 S. epidermidis ATCC12228 0.20 0.20 0.098 0.049 0.39 0.20 0.20 E. faecalis ATCC51575 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 *Macrolide resistant strain Bacteria & Compound strain Tilm K L M N O P S. pneumoniae ATCC6301 0.39 0.01 0.01 0.01 0.025 0.39 0.39 ATCC700671 0.78 0.025 0.01 0.01 0.049 0.39 0.78 ATCC700676* 0.78 0.049 0.049 1.56 1.56 1.56 3.12 ATCC700677* 6.25 0.049 0.025 6.25 6.25 6.25 6.25 ATCC700905* 1.56 0.20 0.098 1.56 0.78 0.78 3.12 ATCC700906* >12.5 >12.5 >12.5 >12.5 >12.5 12.5 12.5 ATCC49619 1.56 0.098 0.025 0.01 0.098 0.78 0.78 S. aureus ATCC6538p 0.098 0.20 0.20 0.78 0.78 0.20 0.39 ATCC33591* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC14154* 0.39 0.39 0.20 1.56 1.56 0.78 6.25 ATCCBAA-39* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCCBAA-44* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC29213 0.20 0.39 0.20 1.56 3.12 0.39 0.78 S. epidermidis ATCC12228 0.098 0.39 0.20 1.56 3.12 0.39 0.78 E. faecalis ATCC51575 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 *Macrolide resistant strain Tilm = tilmicosin (Compound 6, FIG. 2 ) Bacteria & Compound strain 8 Q R S T U V S. pneumoniae ATCC6301 0.39 0.20 6.25 6.25 1.56 6.25 0.20 ATCC700671 0.78 0.39 6.25 6.25 3.12 12.5 0.39 ATCC700676* 1.56 0.78 >12.5 12.5 6.25 >12.5 0.78 ATCC700677* >12.5 6.25 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC700905* 1.56 0.78 >12.5 12.5 6.25 12.5 0.39 ATCC700906* >12.5 12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC49619 0.78 0.39 6.25 6.25 6.25 12.5 0.39 S. aureus ATCC6538p 0.39 0.20 12.5 >12.5 6.25 >12.5 0.78 ATCC33591* >12.5 12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC14154* 1.56 0.78 >12.5 >12.5 >12.5 >12.5 6.25 ATCCBAA-39* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCCBAA-44* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC29213 1.56 0.78 >12.5 >12.5 12.5 >12.5 6.25 S. epidermidis ATCC12228 0.78 0.78 >12.5 >12.5 >12.5 >12.5 6.25 E. faecalis ATCC51575 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 *Macrolide resistant strain Bacteria & Compound strain W X Y Z AA BB HH S. pneumoniae ATCC6301 0.39 0.049 0.025 0.025 0.025 0.025 0.025 ATCC700671 0.39 0.098 0.098 0.049 >12.5 0.049 0.025 ATCC700676* 0.39 1.56 0.025 0.025 0.049 0.049 0.025 ATCC700677* >12.5 >12.5 >12.5 >12.5 6.25 0.025 3.12 ATCC700905* 0.39 0.78 0.025 0.025 6.25 0.025 0.025 ATCC700906* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC49619 0.39 0.049 0.025 0.049 6.25 0.049 0.025 S. aureus ATCC6538p 0.78 0.39 — — 0.39 0.2 0.2 ATCC33591* >12.5 >12.5 — — >12.5 >12.5 >12.5 ATCC14154* 3.12 3.12 — — 0.78 0.78 0.78 ATCCBAA-39* >12.5 >12.5 — — >12.5 >12.5 >12.5 ATCCBAA-44* >12.5 >12.5 — — >12.5 >12.5 >12.5 ATCC29213 3.12 1.56 — — 0.78 0.39 3.12 S. epidermidis ATCC12228 3.12 0.78 — — 0.78 0.39 0.78 E. faecalis ATCC51575 >12.5 >12.5 — — >12.5 >12.5 >12.5 *Macrolide resistant strain Bacteria & Compound strain DD EE FF GG IIc IId S. pneumoniae ATCC6301 0.049 0.049 0.2 0.049 0.2 0.025 ATCC700671 0.049 0.2 0.2 0.098 0.39 0.2 ATCC700676* 0.049 0.049 0.049 0.098 0.2 0.025 ATCC700677* 0.2 0.39 0.2 0.39 3.12 1.56 ATCC700905* >12.5 0.049 0.098 0.098 0.39 0.2 ATCC700906* 0.049 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC49619 0.049 0.098 0.2 0.049 0.2 0.2 S. aureus ATCC6538p 0.78 3.12 1.56 3.12 0.78 0.39 ATCC33591* 12.5 >12.5 12.5 >12.5 >12.5 >12.5 ATCC14154* 1.56 6.25 6.25 6.25 1.56 1.56 ATCCBAA-39* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCCBAA-44* >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 ATCC29213 0.78 6.25 3.12 0.78 1.56 1.56 S. epidermidis ATCC12228 0.78 6.25 3.12 0.39 1.56 0.78 E. faecalis ATCC51575 >12.5 >12.5 >12.5 >12.5 >12.5 >12.5 *Macrolide resistant strain
[0144]
TABLE C
H. influenzae Activity
Haemophilus Influenzae strain
Compound
ATCC9006
ATCC49766
EH001
EH002
EH003
EryA
1.56
6.25
3.12
6.25
3.12
Ketek
1.56
3.12
1.56
6.25
1.56
OMT
1.56
1.56
3.12
6.25
1.56
A
6.25
6.25
—
—
—
J
6.25
6.25
—
—
—
Y
1.56
3.12
3.12
6.25
3.12
Z
1.56
3.12
3.12
3.12
1.56
DD
12.5
12.5
—
—
—
EE
12.5
>12.5
—
—
—
FF
12.5
12.5
—
—
—
GG
12.5
12.5
—
—
—
[0145] The above results demonstrate that compounds of this invention are active against a variety of bacteria, such as S. pneumoniae, S. aureus, H. influenzae, S. epidermidis, and E. faecalis.
[0146] Over all, the compounds according to formula Ib have comparable or better activity than erythromycin A or OMT against macrolide-susuceptible strains, and they show substantially improved activity against a number of macrolide-resistant strains of S. pneumoniae (ATCC700676, ATCC700677, ATCC700905, and ATCC14154). In addition, some are also more potent than OMT against the inducibly resistant Staphylococcus aureus host ATCC14154. It is worth noting that the optimal atom length between the group Ar and the oxime oxygen is four, with compounds A and J (4 atom linker) showing properties superior to compound B (5 atom linker) and compounds F and G (3 atom linker). The Z-configuration oximes consistently show better activities than their E counterparts (i.e., compound IIb is more active than compound Ia and compound E is more active than compound D).
[0147] In general, compounds according to formula Ic show significantly increased antibacterial activities over the parent compound tilmicosin (compound 6, FIG. 2 ) against both macrolide-susceptible and macrolide-resistant S. pneumoniae strains.
[0148] 20-Deoxy(3,5-dimethyl-1-piperidine)OMT (compound 8, FIG. 3 ) and 20-deoxy(3,5-dimethyl-1-piperidine)OMT 9-oxime (compound 9, FIG. 3 ) exhibited no antibiotic activity and addition of aromatic side chains (compounds R through X) restored antibacterial activity only slightly. Hansen et. al., Molecular Cell 10, 117 (2002), have suggested that the C-6 ethylaldehyde of 16-membered macrolides forms a covalent bond with the N6 atom of the A2103 residue (corresponding to A2062 in E. coli ) in the 23S RNA component of the ribosome of Haloarcula marismortui. They also suggested that the mycinosyl moiety of tylosin interacts with A841 (A748 in E. coli numbering) in domain II of the 50S ribosome. It is possible that the binding of 16-membered macrolides to ribosomes requires the mycinose residue if the 19-aldehyde is missing (hence the failure of compound 25 to bind) and the addition of extensions at C-9 do not restore binding substantially. On the other hand, where the scaffold contains either the C-19 aldehyde (OMT) or the mycinose residue (tilmicosin), addition of arylalkyl side chains at C-9 appears to enhance binding to ribosomes.
[0149] Regarding the H. influenzae in Table C, compounds A and J showed approximately a 4-fold decrease in activity compared to OMT against strains ATCC9006 and ATCC49766 (Table C). It has been reported that replacement of the 23-OH of OMT by a basic group such as dialkylamine enhances its potency against gram-negative bacteria. (See Sakamoto et al., J. Antibiotics 37 (12), 1628 (1984) and Tanaka et al., J. Antibiotics 35 (1), 113 (1984).) Compounds Y and Z, which may be viewed as 23-deoxy-23-dimethylamino counterparts of compound A, were found to have improved potency against H. influenzae, to a level similar to OMT and Ketek™, while their potency against S. pneumoniae essentially remained unchanged, compared to compound A (except against ATCC700677).
[0150] The foregoing detailed description of the invention includes passages that are chiefly or exclusively concerned with particular parts or aspects of the invention. It is to be understood that this is for clarity and convenience, that a particular feature may be relevant in more than just the passage in which it is disclosed, and that the disclosure herein includes all the appropriate combinations of information found in the different passages. Similarly, although the various figures and descriptions herein relate to specific embodiments of the invention, it is to be understood that where a specific feature is disclosed in the context of a particular figure or embodiment, such feature can also be used, to the extent appropriate, in the context of another figure or embodiment, in combination with another feature, or in the invention in general. | Sixteen membered macrolide anti-infective agents having a structure according to formula I
where R 1 , R 2 , R 3 , R 4 , R 5 , and R 6 are as defined herein, and related compounds are disclosed. | 74,617 |
PRIORITY CLAIM
[0001] This application claims priority to U.S. Provisional Patent Application US 61/445,944, filed Feb. 23, 2011, the content of which is hereby incorporated by reference in its entirety.
FIELD OF INVENTION
[0002] This invention relates to the field of data analysis and more specifically to a method and device for displaying and manipulating multidimensional data from an instrument such as a flow cytometer.
BACKGROUND
[0003] Multiple measurements performed on a single sample have been a problem if the user wanted to see more than three parameters displayed together simultaneously. While the relationships of two or three parameters are easily plotted as two or three dimensional graphs respectively, larger numbers of parameters remain somewhat difficult to simultaneously display and view by a user.
[0004] Multiple parameters have been plotted in two dimensional space through the use of non-orthogonal display axes. Users become accustomed to understanding the relationships of objects plotted on multi-parameter graphs, and the ability to view subsets of the data and relationships between the various parameters. However, other than the simple rotation of display axes, the manipulation of the multiple parameter display of such data to better permit the user to see the relationships between the parameters has remained somewhat problematic. What is needed is a system to better permit a user to display and manipulate the display of multidimensional data.
[0005] The present invention addresses these issues.
SUMMARY OF THE INVENTION
[0006] The invention relates in part to a method and apparatus for rendering and manipulating the display of multiple parameters obtained from a plurality of objects simultaneously.
[0007] In one aspect, the invention relates to a method of displaying multidimensional data relating to a plurality of objects. In one embodiment, the method includes the steps of plotting, by a processor on a display device the parametric locations of the plurality of objects in m-dimensional parametric space on a first 2-dimensional display and positioning a boundary over a subset of the parametric locations of the plurality of objects in the first 2-dimensional display on the display device. In another embodiment the method further comprises the step of performing data analysis on the objects within the boundary. In another embodiment the step of performing data analysis comprises plotting, by the processor on the display device, the parametric locations of the objects corresponding to the subset of the parametric locations in the first 2-dimensional display in an n-dimensional space on a second 2-dimensional display.
[0008] In another embodiment, the method further includes the step of reading the multiparameter object data from a storage device. In yet another embodiment, the method further includes the step of reading the multiparameter object data from an instrument. In still yet another embodiment, the method further includes the step of translating the origin of the second 2-dimensional display. In one embodiment, the method includes the step of reorienting the axes of the second 2-dimensional display. In another embodiment, the method includes the step of calculating object parametric data from object measured data.
[0009] In another aspect, the invention relates to a system of displaying multidimensional data relating to a plurality of objects. In one embodiment, the system includes a display device; a user input device; and a processor, in communication with the display device and the user input device. The processor plots the parametric locations of the plurality of objects in m-dimensional parametric space on a first 2-dimensional display. The system positions a closed boundary over a subset of the parametric locations of the plurality of objects in the first 2-dimensional display on the display device. The processor plots on the display device the parametric locations of the objects corresponding to the subset of the parametric locations in the first 2-dimensional display in an n-dimensional space on a second 2-dimensional display.
[0010] In another embodiment, the system further includes a data storage device in communication with the processor, from which the processor reads object data. In another embodiment, the system further includes a second display device for displaying the second 2-dimensional display.
[0011] In yet another aspect, the invention relates to a method for displaying multidimensional data from a plurality of objects. In one embodiment, the method includes the steps of: for each object having multidimensional data, generating, using a processor, a location in m-dimensional parameter space; transforming, using a processor, a location in n≦m-dimensional parameter space for each object; plot, on a display device, an n-dimensional location for each object in m-dimensional parameter space onto a first 2-dimensional geometric display space; defining, on the display device, a closed boundary in the first 2-dimensional geometric display space; positioning, on the display device, the closed boundary over a subset of the parametric locations of the objects in the first 2-dimensional geometric display space; transforming, by the processor, a location in p≦m-dimensional parameter space for each object whose parameters are within the closed boundary; and plotting, on a second display device, in a second 2-dimensional display space the p-dimensional location for each object within the boundary in the first 2-dimensional geometric display space.
[0012] In another embodiment, the method further includes the step of reading, by the processor from a data storage device, multidimensional data from the plurality of objects. In yet another embodiment, the second display device and the first display device are the same display device. In still yet another embodiment, the method further includes the step of selecting the shape of the closed boundary.
[0013] In still yet another aspect, the invention relates to a method for displaying multidimensional data from a plurality of objects. In one embodiment, the method includes the steps of, for each object having multidimensional data, and for each event associated with each object, and for each dimension to be displayed, transforming, using a processor, an event location in m-dimensional parameter space for each object using the algorithmic relationships: X=X+(eventValue*COS (axisAngle)*axisRadius) and Y=Y+(eventValue*SIN (axisAngle)*axisRadius), wherein eventValue is the numerical value of the event, axisRadius is the length of the axis and axisAngle is the angle of the axis in the display; and defining, on the display device, a closed boundary in a first 2-dimensional geometric display space; positioning, on the display device, the closed boundary over a subset of the parametric locations of the objects in the first 2-dimensional geometric display space; and determining if the transformed event location is within the closed boundary; and if the event location is within the closed boundary flagging the event.
BRIEF DESCRIPTION OF THE DRAWINGS
[0014] The objects and features of the invention can be better understood with reference to the drawings described below. The drawings are not necessarily drawn to scale; emphasis is instead being placed on illustrating the principles of the invention. The drawings associated with the disclosure are addressed on an individual basis within the disclosure as they are introduced.
[0015] FIG. 1 is an embodiment of a 2-dimensional display of a five dimensional plot of flow cytometry data;
[0016] FIG. 2 is an embodiment of a 2-dimensional display of a four dimensional plot of flow cytometry data;
[0017] FIG. 3 is another embodiment of a 2-dimensional display of a two dimensional plot of flow cytometry data showing the selection of flow cytometric data using a closed boundary of the invention;
[0018] FIG. 4 is yet another embodiment of a plot of flow cytometry data selected by the closed boundary of FIG. 3 and displayed on a second multidimensional plot as a 2-dimensional display;
[0019] FIG. 5 is still yet another embodiment of a plot of flow cytometry data selected by the closed boundary of FIG. 3 and displayed on a second multidimensional plot as a 2-dimensional display;
[0020] FIG. 6 is another embodiment of a plot of flow cytometry data selected by the closed boundary of FIG. 3 and displayed on another multidimensional plot as a 2-dimensional display; and
[0021] FIG. 7 is a flow chart of an embodiment of the algorithm of the invention.
DETAILED DESCRIPTION
[0022] The following description refers to the accompanying drawings that illustrate certain embodiments of the invention. Other embodiments are possible and modifications may be made to the embodiments without departing from the spirit and scope of the invention. Therefore, the following detailed description is not meant to limit the invention. Rather, the scope of the invention is defined by the appended claims.
[0023] It is important to realize that this data analysis technique and system is not limited to any type of data or data from any type of specific device that measures multiple parameters, either directly or computationally. Solely for the purposes of explanation, the description of the embodiments of the invention will reference data from a flow cytometer, but the invention is not restricted to such an instrument or the data it produces.
[0024] For the purposes of explanation, and in brief overview, a flow cytometer as known to the art includes a source of biological cells or other analytes, a laser, a plurality of photodetectors and a processor system. The source of cells moves the cells in a linear fashion through a channel. As the cells pass through the channel they intersect a beam of light from the laser and light is typically scattered in the forward (FS) direction and in the side directions (SS). Light scattered in the forward direction is an indication of cell size while light scatter in the side direction is an indication of cell complexity. If the cells have been stained with a fluorescent dye and the dyes are chosen so as to be excited by the laser light, fluorescent light from the dyes is also emitted.
[0025] The forward and side scattered light is detected by detectors placed in the path of and orthogonal to the path of the laser light beam, respectively. Similarly, fluorescent light is detected by one of a plurality of photodetectors, again orthogonally placed to the path of the laser beam. Signals obtained from the photodetectors are digitized by the processor system, stored on disk and displayed. The data on the disks can then be analyzed and displayed by other processor systems.
[0026] If the cells are stained with a number of dyes and each dye has a peak which is detected by a different detector, a multidimensional scatter plot of the cells can be drawn ( FIG. 1 ). As seen in FIG. 1 , each axis of the multidimensional scatter plot corresponds to a different parameter (forward scattering, side scattering) or monoclonal antibody with fluorescent-dye (CD45-FITC, CD4-RD1, and CD8-ECD). The plot shown displays five parameters for simplicity but more parameters could have been displayed. Generally with such plots one can select more or fewer parameter axes to plot. FIG. 2 depicts a replotting of FIG. 1 with only four axes plotted. The system can produce statistical calculations on the entire dataset or portions of the datasets as selected and plotted or not plotted by the user.
[0027] To make the explanation of the operation of the system of the invention easier, consider an initial multidimensional data set for which initially only two of the dimensions are displayed in a scatter plot ( FIG. 3 ). In this plot, the forward scatter or size measurement is measured against the amount of fluorescent label CD45-FITC on the cells. To allow the user to select points of interest, in this case corresponding to cells which are of a certain size and which have a certain amount of fluorescence, the system provides a closed boundary, in this case an ellipse (E), on the display. The user of the system, by placing the ellipse (E) over an area of the scatter plot using an input device such as a mouse, selects a region of the scatter plot that is of interest. Alternatively, the system may select the regions of interest without user intervention. Although in this example the closed boundary is an ellipse, any shape boundary can be used. Typically the boundary is a closed boundary but may be an open boundary if the boundary is positioned at the edge of the display area.
[0028] The user can then ask the system to replot parameters of the objects of interest in the area of interest (E) of the full scatter plot onto another plot of the same parameters for the objects FIG. 4 or another multidimensional plot of different parameters of the same objects FIG. 5 . Alternatively, the user can choose not to replot the data selected within the boundary, but instead simply perform data analysis such as statistical analysis and graphing without resorting to scatter plots. In FIG. 4 the region of interest defined by the ellipse is mapped to the same parameter space from which the data is selected but the axes have been repositioned. Alternatively those objects, in this example the cells measured by flow cytometry, which correspond to the parameters in the ellipse, can be remapped to an entirely different parameter space as in FIG. 5 . In FIG. 5 , the fluorescent component of the monoclonal CD4-RD1 is mapped against the side scattering or complexity of the cell. Note that this is not simply a remapping of the same parameters because neither axis in FIG. 5 (SS side scattering or CD4-RD1) is in FIG. 4 . Finally, FIG. 6 plots three parameters (SS side scattering, monoclonal antibody CD4-RD1, and monoclonal antibody CD45-FITC) of the cells of interest from the bounded region in FIG. 3 in 2-dimensional space.
[0029] It is important to realize that FIGS. 1-6 do not represent three dimensional views. That is, the axes of FIGS. 1-6 are not the edges of a cube, but instead represent 2-dimensional plots of various axes of a multidimensional space. The orientation, length and axes of these plots are selectable by the user in an interactive manner.
[0030] Referring to FIG. 7 , to accomplish this user adjustable flexibility of display, the system, which includes a processor, data storage device, user input device and a display device, executes an algorithm as shown in the figure. For the purposes of discussion herein, when the word “processor” or “processor system” is used, the intent is that such words encompass and are not limited to stand-alone processors, but also microprocessors, field programmable gate arrays, personal computers, tablets, and specially constructed electronic circuits. The system accesses the object parameter data set either from a data storage device or from the measuring instrument directly.
[0031] In this FIG. 7 , the term “event” means the collection of measurements, actual or calculated, made on an object. The system first sets the “event” or measurement set number (I) equal to zero (Step 10 ). Then, as part of a loop the system first determines if the “event” value is less than the total number of events (Step 14 ). If this is not true, then every event (data for all objects) has been plotted and the execution terminates (Step 18 ).
[0032] If the measurement set number (I) is less than the total number of events, then the data from the first event is obtained (Step 22 ), the plotting variable initialized (Step 26 ), and the number of axes to be plotted (Step 30 ) initialized. As long as the number of axes plotted is less than the number of axes displayed (Step 34 ), the values of the parameters for the event are transformed according to the algorithmic relationship:
[0000] X=X +eventValue*COS (axisAngle)*axisRadius
[0000] Y=Y+ eventValue*SIN (axisAngle)*axisRadius
[0033] These equations replace X,Y with the previous values of X,Y plus the value of the event times either the cosine value of the axis angle (for X) or the sine value of the axis angle (for Y) times the axis radius. This transformation essentially is a transformation to polar coordinates for plotting purposes, with the origin of the display at the center of the display and the angle measured from what would normally be the X-axis.
[0034] The axisIndex is then incremented (Step 42 ) and the loop repeats until all the various axes are computed. At this point, the position of the point or pixel is calculated on the two dimensional display (Step 46 ). Next, the system determines if that pixel point is inside the user selected area (E) (Step 50 ). If the pixel point is not within (E), the event index is simply incremented (Step 54 ) and the outer loop repeats. If the point is within the user selected area, the event is flagged as being within the set of points of interest (Step 58 ). Then the system increments the event index (Step 54 ) and the outer loop repeats. In this way, the objects corresponding to the points within the closed boundary of the parameter plot are determined and are then replotable on another two dimensional display, on the same or different display device, with the parameters of interest. The system may optionally (as shown in phantom in FIG. 7 ) translate the origin of the plot, and rescale the plot. The clamping function plots points which would normally be off-scale due to axis limitations to the maximum value of the display axis.
[0035] It is to be understood that the figures and descriptions of the invention have been simplified to illustrate elements that are relevant for a clear understanding of the invention. Those of ordinary skill in the art will recognize, however, that these and other elements may be desirable. However, because such elements are well known in the art, and because they do not facilitate a better understanding of the invention, a discussion of such elements is not provided herein. It should be appreciated that the figures are presented for illustrative purposes and not as construction drawings. Omitted details and modifications or alternative embodiments are within the purview of persons of ordinary skill in the art.
[0036] It can be appreciated that, in certain aspects of the invention, a single component may be replaced by multiple components, and multiple components may be replaced by a single component, to provide an element or structure or to perform a given function or functions. Except where such substitution would not be operative to practice certain embodiments of the invention, such substitution is considered within the scope of the invention.
[0037] The examples presented herein are intended to illustrate potential and specific implementations of the invention. It can be appreciated that the examples are intended primarily for purposes of illustration of the invention for those skilled in the art. There may be variations to these diagrams or the operations described herein without departing from the spirit of the invention. For instance, in certain cases, method steps or operations may be performed or executed in differing order, or operations may be added, deleted or modified.
[0038] Furthermore, whereas particular embodiments of the invention have been described herein for the purpose of illustrating the invention and not for the purpose of limiting the same, it will be appreciated by those of ordinary skill in the art that numerous variations of the details, materials and arrangement of elements, steps, structures, and/or parts may be made within the principle and scope of the invention without departing from the invention as described in the claims.
[0039] Variations, modification, and other implementations of what is described herein will occur to those of ordinary skill in the art without departing from the spirit and scope of the invention as claimed. Accordingly, the invention is to be defined not by the preceding illustrative description, but instead by the spirit and scope of the following claims. | A method and apparatus for displaying and manipulating the rendering of multiple parameters obtained from a plurality of objects simultaneously. In one embodiment, the method includes the steps of: plotting the parametric locations of the plurality of objects in m-dimensional parametric space on a first 2-dimensional display; positioning a closed boundary over a subset of the parametric locations of the plurality of objects in the first 2-dimensional display; and plotting the parametric locations of the objects corresponding to the subset of the parametric locations in the first 2-dimensional display in an n-dimensional space on a second 2-dimensional display. | 20,870 |
This is a 371 national phase application of PCT/JP2009/005653 filed 27 Oct. 2009, claiming priority to Japanese Patent Application No. 2008-280520 filed 30 Oct. 2008, the contents of which are incorporated herein by reference.
TECHNICAL FIELD
The present invention relates to a device and a method for detecting a stopped state of a vehicle and an alignment adjusting device to which the device or the method for detecting the stopped state of the vehicle is applied.
BACKGROUND ART
At work of alignment adjustment of a vehicle such as a motorcar, the vehicle must be stopped at a predetermined position on an alignment adjusting device.
As a general method for positioning the vehicle at the predetermined position on the alignment adjusting device, there is a method with a wheel stopper or a guide. In such a method, the wheel stopper is provided at a position which is standard in the longitudinal direction of the vehicle. An operator operates the vehicle and stops the vehicle while making wheels (tires) of the vehicle touch the wheel stopper, thereby positioning the vehicle the longitudinal direction. Otherwise, a guide is provided at a position which is standard in the lateral direction of the vehicle and the vehicle is stopped while arranging the tire along the guide, thereby positioning the vehicle the lateral direction.
However, the size and width of the tire is different for the type of the vehicle so that it is difficult to secure the positioning accuracy with the conventional positioning method.
As mentioned above, the stopped position of the vehicle is dispersed so that it is difficult to hold adjusting tools automatically to the adjustment portions arranged inside and outside the vehicle without touching the surrounding, whereby the adjustment work of the alignment cannot be automated. Namely, typically of the adjustment work of the alignment, for automating the work which requires adjusting tools to be held to predetermined positions from the outside of the vehicle, the stopped status of the vehicle must be detected correctly as the premise. In this case, the stopped status of the vehicle is a notion including the stopped position and stopped posture of the vehicle (that is common below).
Conventionally, for example, an art for detecting position of a vehicle is disclosed in the Patent Literature 1 shown below.
In the conventional art shown in the Patent Literature 1, an area sensor is arranged at a position through which the tire of the vehicle passes, and when the tire passes through the monitoring area, the time at which a photo detector of the area sensor is blocked and the signal is shut off is measured and inputted to a signal processor, and then the signal processor specifies the center position of the tire based on the length of the time at which the signal is shut off, whereby the position of the vehicle is detected.
However, with the art shown in the Patent Literature 1, it is difficult to detect the stopped status of the vehicle accurately.
Patent Literature 1: JP 2001-331281 A
SUMMARY OF INVENTION
Technical Problem
The present invention is provided in consideration of the conditions as mentioned above, and the purpose of the invention is to provide an art for detecting a stopped state of a vehicle which are capable of precisely detecting the stopped state of the vehicle in order to automate an operation which is externally provided to the stopped vehicle such as an alignment adjusting operation.
Solution to Problem
The above-mentioned problems are solved by the following means according to the present invention.
A device for detecting a stopped state of a vehicle according the first aspect of the present invention has a plurality of tires and a body in which a plurality of fenders respectively corresponding to the tires are formed, and comprises a plurality of groups of distance sensors respectively corresponding to the tires and the fenders and an arithmetic unit connected to the groups of the distance sensors.
Each of the groups of the distance sensors comprises: a front distance sensor scanning the front portion of the outer side surface of the tire corresponding to the group of the distance sensors and detecting coordinate of a portion of the front portion of the tire at which the tire expands the most outward along the direction of the side surface of the tire as a first point; a rear distance sensor scanning the rear portion of the outer side surface of the tire corresponding to the group of the distance sensors and detecting coordinate of a portion of the rear portion of the tire at which the tire expands the most outward along the direction of the side surface of the tire as a second point; an upper distance sensor scanning the upper portion of the outer side surface of the tire corresponding to the group of the distance sensors and detecting coordinate of a portion of the upper portion of the tire at which the tire expands the most outward along the direction of the side surface of the tire as a third point; and
a fender part distance sensor scanning the fender corresponding to the group of the distance sensors and detecting coordinate of a portion of the fender at which the fender expands the most outward along the direction of the side surface of the body as a fourth point.
The arithmetic unit detects an evaluation point of the tire based on coordinate of a centroid point of a triangle formed with the first, second and third points detected by the group of the distance sensors, and detects an evaluation point of the fender based on the coordinate of the fourth point detected by the group of the distance sensors so as to detect the stopped state of the vehicle based on the coordinate of the evaluation point detected about each of the tires and the coordinate of the evaluation point detected about each of the fenders.
In one of the forms of exploitation of the present invention, preferably, the upper distance sensor also serves as the fender part distance sensor.
In one of the forms of exploitation of the present invention, preferably, each of the groups of the distance sensors comprises noncontact distance sensors, and each of the distance sensors is arranged at a position separated for a predetermined distance from the corresponding tire.
In one of the forms of exploitation of the present invention, preferably, each of the groups of the distance sensors comprises laser sensors.
A method for detecting a stopped state of a vehicle according the second aspect of the present invention has a plurality of tires and a body in which a plurality of fenders respectively corresponding to the tires are formed, and comprises a plurality of groups of distance sensors respectively corresponding to the tires and the fenders and an arithmetic unit connected to the groups of the distance sensors. Coordinate of a portion of the front portion of the tire at which the tire expands the most outward along the direction of the side surface of the tire is detected as a first point, coordinate of a portion of the rear portion of the tire at which the tire expands the most outward along the direction of the side surface of the tire is detected as a second point, coordinate of a portion of the upper portion of the tire at which the tire expands the most outward along the direction of the side surface of the tire is detected as a third point, a centroid point of a triangle formed with the detected first, second and third points is employed as an evaluation point of the tire, coordinate of a portion of the fender at which the fender expands the most outward along the direction of the side surface of the body is detected as a fourth point, the detected fourth point is employed as an evaluation point of the fender, and the arithmetic unit detects the stopped state of the vehicle based on the coordinate of the evaluation point detected about each of the tires and the coordinate of the evaluation point detected about each of the fenders.
In one of the forms of exploitation of the present invention, preferably, the first point is detected by a front distance sensor scanning the front portion of the outer side surface of the corresponding tire, the second point is detected by a rear distance sensor scanning the rear portion of the outer side surface of the corresponding tire, the third point is detected by an upper distance sensor scanning the upper portion of the outer side surface of the corresponding tire, and the fourth point is detected by a fender part distance sensor scanning the corresponding fender.
In one of the forms of exploitation of the present invention, preferably, the fourth point is detected by the upper distance sensor also serving as the fender part distance sensor.
In one of the forms of exploitation of the present invention, preferably, each of the distance sensors is arranged at a position separated for a predetermined distance from the corresponding tire and detecting corresponding one of the first, second, third and fourth points non-contactingly.
In one of the forms of exploitation of the present invention, preferably, each of the distance sensors comprises laser sensors.
An alignment adjusting device according the third aspect of the present invention comprises the device for detecting the stopped state of the vehicle according the first aspect of the present invention, and the stopped state of the vehicle is adjusted based on the detection result of the stopped state of the vehicle by the device for detecting the stopped state of the vehicle.
In one of the forms of exploitation of the present invention, preferably, the arithmetic unit detects the gap between the detection result of the stopped state of the vehicle by the detection device and ideal stopped state of the vehicle, the arithmetic unit adjusts automatically the alignment of the vehicle when the gap is less than a predetermined threshold, and the arithmetic unit adjusts the stopped state of the vehicle when the gap is more than the threshold.
Advantageous Effects of Invention
The present invention constructed as the above brings the following effects.
According the first aspect of the present invention, the stopped state of the vehicle can be detected regardless of the size and shape of the vehicle, and the stopped state of the body and the stopped state of each of the tires can be detected respectively, whereby the stopped state of the vehicle can be detected accurately.
The number of distance sensors can be reduced so as to provide the detection device for the stopped state of the vehicle with easy construction.
The positioning of the vehicle can be performed easily.
The detection accuracy of the stopped state of the vehicle can be secured.
According the second aspect of the present invention, the stopped state of the body and the stopped state of each of the tires can be detected respectively, whereby the stopped state of the vehicle can be detected accurately.
The stopped state of the vehicle can be detected regardless of the size and shape of the vehicle.
The number of distance sensors can be reduced so as to provide the detection device for the stopped state of the vehicle with easy construction.
The positioning of the vehicle can be performed easily.
The detection accuracy of the stopped state of the vehicle can be secured.
According to the third aspect of the present invention, the stopped state of the vehicle can be detected regardless of the size and shape of the vehicle accurately, whereby the alignment adjustment work can be automated.
The adjuster is prevented from touching the body at the time of the alignment adjustment work.
BRIEF DESCRIPTION OF DRAWINGS
FIG. 1 is a block diagram of entire construction of a vehicle stopped state detection device according to an embodiment of the present invention.
FIG. 2( a ) is a schematic left side view of the entire construction of the vehicle stopped state detection device. FIG. 2 ( b ) is a schematic left side view of set conditions of a detection range of a method for detecting a stopped state of a vehicle.
FIG. 3( a ) is a schematic right side view of the entire construction of the vehicle stopped state detection device. FIG. 3 ( b ) is a schematic right side view of set conditions of a detection range of a method for detecting a stopped state of a vehicle.
FIG. 4 is a schematic plan view of the entire construction of the vehicle stopped state detection device.
FIG. 5 is a perspective view of detection condition of vehicle stopped state by the vehicle stopped state detection device.
FIG. 6 is an explanation drawing of a detection method of an evaluating point.
FIG. 7 is a schematic drawing of a detection method of stopped state of a vehicle. (a) shows the detection method of the stopped state. (b) illustrates the stopped state that only a body is slanted.
FIG. 8 is a block diagram of entire construction of an alignment adjusting device according to an embodiment of the present invention.
FIG. 9 is a schematic side view of the entire construction of the alignment adjusting device.
FIG. 10 is a flow chart of alignment adjusting work with the alignment adjusting device.
FIG. 11 is a schematic side view of automatic adjustment condition of a toe angle with the alignment adjusting device (before adjustment).
FIG. 12 is a schematic side view of automatic adjustment condition of a toe angle with the alignment adjusting device (under adjustment).
DESCRIPTION OF EMBODIMENTS
Explanation will be given on entire construction of a vehicle stopped state detection device according to an embodiment of the present invention referring to FIGS. 1 to 4 .
FIG. 1 is a block diagram of entire construction of a vehicle stopped state detection device according to an embodiment of the present invention. FIG. 2 is a schematic left side view of the entire construction of the vehicle stopped state detection device. FIG. 3 is a schematic right side view of the entire construction of the vehicle stopped state detection device. FIG. 4 is a schematic plan view of the entire construction of the vehicle stopped state detection device.
As shown in FIGS. 2 to 4 , in this embodiment, for convenience of the explanation, a 3-dimensional coordinate system is prescribed. An X-axis corresponding to a lengthwise (longitudinal) direction, a Y-axis corresponding to a crosswise (lateral) direction, and a Z-axis corresponding to a height (vertical) direction are prescribed. The direction of rearward movement of the vehicle is regarded as the positive direction of the X-axis, the rightward direction about the forward movement of the vehicle (the negative direction of the X-axis) is regarded as the positive direction of the Y-axis, and the upward direction of the vehicle is regarded as the positive direction of the Z-axis.
As shown in FIG. 1 , the vehicle stopped state detection device 1 detects stopped state of a vehicle and has a detection part 2 , a controller 7 , an arithmetic unit 8 and the like.
The detection part 2 detects directly the stopped state of the vehicle which is an object to be detected, and includes a plurality of groups of distance sensors 3 , 4 , 5 and 6 . The groups of distance sensors 3 , 4 , 5 and 6 respectively include front distance sensors 3 a , 4 a , 5 a and 6 a , rear distance sensors 3 b , 4 b , 5 b and 6 b , and upper distance sensors 3 c , 4 c , 5 c and 6 c.
The controller 7 accumulates signals detected by the distance sensors (the front distance sensors 3 a , 4 a , 5 a and 6 a , the rear distance sensors 3 b , 4 b , 5 b and 6 b , and the upper distance sensors 3 c , 4 c , 5 c and 6 c ) and processes the signals synchronously. Each of the distance sensors is connected to the controller 7 .
The controller 7 is connected to the arithmetic unit 8 including a PC or the like.
An operation program for calculating the stopped state of the vehicle based on the signals inputted from the controller 7 is installed in the arithmetic unit 8 , and basic data required for calculating the stopped state of the vehicle (data of body shape, data of tire shape and the like corresponding to types of vehicles) is previously stored in the arithmetic unit 8 .
As shown in FIGS. 2( a ) and 3 ( a ), the vehicle 100 to which the detection method of vehicle stopped state according to the embodiment of the present invention is adopted includes a left-front tire 11 disposed at the left-front side of the vehicle 100 , a right-front tire 12 disposed at the right-front side of the vehicle 100 , a left-rear tire 13 disposed at the left-rear side of the vehicle 100 , and a right-rear tire 14 disposed at the right-rear side of the vehicle 100 about the forward travel direction (negative direction of the X-axis), and a body 10 supported by the tires 11 , 12 , 13 and 14 .
In this embodiment, as regions showing parts of outside surfaces of the tires 11 , 12 , 13 and 14 , regions referred to as front portions 11 a , 12 a , 13 a and 14 a , rear portions 11 b , 12 b , 13 b and 14 b , and upper portions 11 c , 12 c , 13 c and 14 c are set.
In this embodiment, upper and lower two horizontal tangential lines and front and rear two vertical tangential lines are set about the inner peripheral circle of each of the tires 11 , 12 , 13 and 14 , and the region of the outside surface enclosed by an arc of the outer peripheral circle of each of the tires 11 , 12 , 13 and 14 at the front side of the vehicle, the upper and lower two horizontal tangential lines and the front vertical tangential line is prescribed as corresponding one of the front portions 11 a , 12 a , 13 a and 14 a.
The region of the outside surface enclosed by an arc of the outer peripheral circle of each of the tires 11 , 12 , 13 and 14 at the rear side of the vehicle, the upper and lower two horizontal tangential lines and the rear vertical tangential line is prescribed as corresponding one of the rear portions 11 b , 12 b , 13 b and 14 b . Furthermore, the region of the outside surface enclosed by an arc of the outer peripheral circle of each of the tires 11 , 12 , 13 and 14 at the upper side of the vehicle, the front and rear two vertical tangential lines and the upper horizontal tangential line is prescribed as corresponding one of the upper portions 11 c , 12 c , 13 c and 14 c.
By forecasting the region in which a detection point is obtained based on the data of tire shape and the like, the region (that is, the front portions 11 a , 12 a , 13 a and 14 a , the rear portions 11 b , 12 b , 13 b and 14 b and the upper portions 11 c , 12 c , 13 c and 14 c ) can be set more narrowly. In this case, the detection accuracy and detection speed (operation speed) of the detection point is improved.
In this embodiment, as shown in FIGS. 2( a ) and 3 ( a ), as a regions showing parts of outside surfaces of fenders 15 , 16 , 17 and 18 formed in the body 10 of the vehicle 100 , regions referred to as fender parts 15 a , 16 a , 17 a and 18 a are set.
In this embodiment, in the outside surface of each of the fenders 15 , 16 , 17 and 18 , the region enclosed by the front and rear two vertical tangential lines set about the inner peripheral circle of corresponding one of the tires 11 , 12 , 13 and 14 is prescribed as the fender part 15 a , 16 a , 17 a and 18 a . Namely, each of the fender parts 15 a , 16 a , 17 a and 18 a is set above corresponding one of the upper portions 11 c , 12 c , 13 c and 14 c at the same longitudinal position as that of the corresponding one of the upper portions 11 c , 12 c , 13 c and 14 c.
By forecasting the region in which a detection point is obtained based on the data of body shape and the like, the fender parts 15 a , 16 a , 17 a and 18 a can be set more narrowly. In this case, the detection accuracy and detection speed (operation speed) of the detection point is improved.
As shown in FIGS. 2( b ), 3 ( b ) and 4 , in the vehicle stopped state detection device 1 , in the vicinity of each of the tires 11 , 12 , 13 and 14 , the distance sensors (corresponding one of the front distance sensors 3 a , 4 a , 5 a and 6 a , corresponding one of the rear distance sensors 3 b , 4 b , 5 b and 6 b , and corresponding one of the upper distance sensors 3 c , 4 c , 5 c and 6 c ) are arranged.
Namely, as shown in FIG. 2 , in the vicinity of the left-front tire 11 , the group of the distance sensors 3 is disposed corresponding to the left-front tire 11 . The front distance sensor 3 a is disposed corresponding to the front portion 11 a of the outside surface of the left-front tire 11 , the rear distance sensor 3 b is disposed corresponding to the rear portion 11 b , and the upper distance sensor 3 c is disposed corresponding to the upper portion 11 c.
Then, the distance sensors 3 a , 3 b and 3 c can scan the corresponding regions (that is, the front portion 11 a , the rear portion 11 b and the upper portion 11 c ).
As shown in FIG. 3 , in the vicinity of the right-front tire 12 , the group of the distance sensors 4 is disposed corresponding to the right-front tire 12 . The front distance sensor 4 a is disposed corresponding to the front portion 12 a of the outside surface of the right-front tire 12 , the rear distance sensor 4 b is disposed corresponding to the rear portion 12 b , and the upper distance sensor 4 c is disposed corresponding to the upper portion 12 c.
Then, the distance sensors 4 a , 4 b and 4 c can scan the corresponding regions (that is, the front portion 12 a , the rear portion 12 b and the upper portion 12 c ).
As shown in FIG. 2 , in the vicinity of the left-rear tire 13 , the group of the distance sensors 5 is disposed corresponding to the left-rear tire 13 . The front distance sensor 5 a is disposed corresponding to the front portion 13 a of the outside surface of the left-rear tire 13 , the rear distance sensor 5 b is disposed corresponding to the rear portion 13 b , and the upper distance sensor 5 c is disposed corresponding to the upper portion 13 c.
Then, the distance sensors 5 a , 5 b and 5 c can scan the corresponding regions (that is, the front portion 13 a , the rear portion 13 b and the upper portion 13 c ).
As shown in FIG. 3 , in the vicinity of the right-rear tire 14 , the group of the distance sensors 6 is disposed corresponding to the right-rear tire 14 . The front distance sensor 6 a is disposed corresponding to the front portion 14 a of the outside surface of the right-rear tire 14 , the rear distance sensor 6 b is disposed corresponding to the rear portion 14 b , and the upper distance sensor 6 c is disposed corresponding to the upper portion 14 c.
Then, the distance sensors 6 a , 6 b and 6 c can scan the corresponding regions (that is, the front portion 14 a , the rear portion 14 b and the upper portion 14 c ).
As each of the distance sensors (corresponding one of the front distance sensors 3 a , 4 a , 5 a and 6 a , corresponding one of the rear distance sensors 3 b , 4 b , 5 b and 6 b , and corresponding one of the upper distance sensors 3 c , 4 c , 5 c and 6 c ), a noncontact distance sensor is adopted and arranged at a predetermined distance from corresponding one of the tires 11 , 12 , 13 and 14 .
According to the construction, the positioning of the vehicle 100 can be performed easily.
Next, explanation will be given on detection condition of vehicle stopped state by the vehicle stopped state detection device 1 referring to FIG. 5 .
FIG. 5 is a perspective view of detection condition of vehicle stopped state by the vehicle stopped state detection device according to the embodiment of the present invention. Herein, explanation will be given on the detection condition of vehicle stopped state in the vicinity of the left-front tire 11 as the representation of the tires 11 , 12 , 13 and 14 . However, the detection condition of vehicle stopped state in the vicinity of each of the other tires 12 , 13 and 14 is similar and the explanation of the tires 12 , 13 and 14 is omitted for convenience.
As shown in FIG. 5 , the front distance sensor 3 a scans the front portion 11 a of the left-front tire 11 completely and measures the distance between the front distance sensor 3 a and the front portion 11 a . Then, the results of measurement are inputted into the arithmetic unit 8 .
Subsequently, based on the results of measurement by the front distance sensor 3 a , the arithmetic unit 8 performs the operation so as to detect the surface shape of the front portion 11 a.
Furthermore, based on the detected surface shape of the front portion 11 a , the arithmetic unit 8 detects the point A which expands the most outward along the outside surface direction of the left-front tire 11 (along the negative direction of the Y-axis) in the front portion 11 a (in other words, the point in the front portion 11 a which is the most close to the front distance sensor 3 a ). For distinguishing what tire the point A is detected about, hereinafter, the point detected about the front portion 11 a of the left-front tire 11 is referred to as the point A( 11 ). Similarly, the point detected about the front portion 12 a of the right-front tire 12 is referred to as the point A( 12 ), the point detected about the front portion 13 a of the left-rear tire 13 is referred to as the point A( 13 ), and the point detected about the front portion 14 a of the right-rear tire 14 is referred to as the point A( 14 ).
Simultaneously with the measurement by the front distance sensor 3 a , the rear distance sensor 3 b scans the rear portion 11 b of the left-front tire 11 completely and measures the distance between the rear distance sensor 3 b and the rear portion 11 b . Then, the results of measurement are inputted into the arithmetic unit 8 .
Subsequently, based on the results of measurement by the rear distance sensor 3 b , the arithmetic unit 8 performs the operation so as to detect the surface shape of the rear portion 11 b.
Furthermore, based on the detected surface shape of the rear portion 11 b , the arithmetic unit 8 detects the point B which expands the most outward along the outside surface direction of the left-front tire 11 (along the negative direction of the Y-axis) in the rear portion 11 b (in other words, the point in the rear portion 11 b which is the most close to the rear distance sensor 3 b ). For distinguishing what tire the point B is detected about, hereinafter, the point detected about the rear portion 11 b of the left-front tire 11 is referred to as the point B( 11 ). Similarly, the point detected about the rear portion 12 b of the right-front tire 12 is referred to as the point B( 12 ), the point detected about the rear portion 13 b of the left-rear tire 13 is referred to as the point B( 13 ), and the point detected about the rear portion 14 b of the right-rear tire 14 is referred to as the point B( 14 ).
Furthermore, simultaneously with the measurement by the front distance sensor 3 a and the rear distance sensor 3 b , the upper distance sensor 3 c scans the upper portion 11 c of the left-front tire 11 completely and measures the distance between the upper distance sensor 3 c and the upper portion 11 c . Then, the results of measurement are inputted into the arithmetic unit 8 .
Subsequently, based on the results of measurement by the upper distance sensor 3 c , the arithmetic unit 8 performs the operation so as to detect the surface shape of the upper portion 11 c.
Furthermore, based on the detected surface shape of the upper portion 11 c , the arithmetic unit 8 detects the point C which expands the most outward along the outside surface direction of the left-front tire 11 (along the negative direction of the Y-axis) in the upper portion 11 c (in other words, the point in the upper portion 11 c which is the most close to the upper distance sensor 3 c ). For distinguishing what tire the point C is detected about, hereinafter, the point detected about the upper portion 11 c of the left-front tire 11 is referred to as the point C( 11 ). Similarly, the point detected about the upper portion 12 c of the right-front tire 12 is referred to as the point C( 12 ), the point detected about the upper portion 13 c of the left-rear tire 13 is referred to as the point C( 13 ), and the point detected about the upper portion 14 c of the right-rear tire 14 is referred to as the point C( 14 ).
Simultaneously with the completely scanning of the upper portion 11 c , the upper distance sensor 3 c scans the fender part 15 a of the left-front fender 15 completely and measures the distance between the upper distance sensor 3 c and the fender part 15 a . Then, the results of measurement are inputted into the arithmetic unit 8 .
Furthermore, based on the detected surface shape of the fender part 15 a , the arithmetic unit 8 detects the point F which expands the most outward along the outside surface direction of the left-front tire 11 (along the negative direction of the Y-axis) in the fender part 15 a (in other words, the point in the fender part 15 a which is the most close to the upper distance sensor 3 c ). For distinguishing what tire the point F is detected about, hereinafter, the point detected about the fender part 15 a of the left-front fender 15 is referred to as the point F( 15 ). Similarly, the point detected about the upper portion 16 a of the right-front fender 16 is referred to as the point F( 16 ), the point detected about the upper portion 17 a of the left-rear fender 17 is referred to as the point F( 17 ), and the point detected about the upper portion 18 a of the right-rear fender 18 is referred to as the point F( 18 ).
Namely, in this embodiment, the upper distance sensors 3 c , 4 c , 5 c and 6 c also serve as distance sensors corresponding to the fender parts 15 a , 16 a , 17 a and 18 a respectively (that is, fender part distance sensors).
According to the construction, the number of distance sensors can be reduced so as to provide the vehicle stopped state detection device 1 , which is used in the method for detecting vehicle stopped state, with easy construction.
In this embodiment, laser sensors are employed as the distance sensors (that is, the front distance sensors 3 a , 4 a , 5 a and 6 a , corresponding one of the rear distance sensors 3 b , 4 b , 5 b and 6 b , and corresponding one of the upper distance sensors 3 c , 4 c , 5 c and 6 c ). Accordingly, detection accuracy required for detecting minute change of shape appearing in the regions (that is, the front portions 11 a , 12 a , 13 a and 14 a , the rear portions 11 b , 12 b , 13 b and 14 b and the upper portions 11 c , 12 c , 13 c and 14 c ) is secured.
According to the construction, the detection accuracy of the stopped state of the vehicle 100 is secured.
Next, explanation will be given on detection method of vehicle stopped state according to the embodiment of the present invention referring to FIGS. 6 and 7 .
FIG. 6 is an explanation drawing of a detection method of vehicle stopped state according to the embodiment of the present invention. FIG. 7 is a schematic drawing of a detection method of vehicle stopped state according to the embodiment of the present invention.
As shown in FIG. 6 , about the left-front tire 11 , a triangle S 1 is formed with the points A( 11 ), B( 11 ) and C( 11 ) measured by the group of the distance sensors 3 and detected by the arithmetic unit 8 .
In this embodiment, the arithmetic unit 8 calculates a three dimensional coordinate of a centroid point G( 11 ) of the triangle S 1 , and the centroid point G( 11 ) is employed as an evaluation point of the left-front tire 11 . Then, the stopped state of the left-front tire 11 is detected with the three dimensional coordinate of the centroid point G( 11 ) and the shape data of the left-front tire 11 previously stored in the arithmetic unit 8 .
The concept of the stopped state in this case includes the longitudinal and lateral stopped position of the tire, the crushed condition of the tire caused by change of air pressure, and stopped posture of the tire changed by the steering angle (rudder angle) of the tire or the like.
Similarly, about the right-front tire 12 , a triangle S 2 is formed with the points A( 12 ), B( 12 ) and C( 12 ) measured by the group of the distance sensors 4 and detected by the arithmetic unit 8 , and the arithmetic unit 8 calculates a three dimensional coordinate of a centroid point G( 12 ) of the triangle S 2 . The centroid point G( 12 ) is employed as an evaluation point of the right-front tire 12 . Then, the stopped state of right-front tire 12 is detected with the three dimensional coordinate of the centroid point G( 12 ) and the shape data of the right-front tire 12 previously stored in the arithmetic unit 8 .
Similarly, about the left-rear tire 13 , a triangle S 3 is formed with the points A( 13 ), B( 13 ) and C( 13 ) measured by the group of the distance sensors 5 and detected by the arithmetic unit 8 , and the arithmetic unit 8 calculates a three dimensional coordinate of a centroid point G( 13 ) of the triangle S 3 . The centroid point G( 13 ) is employed as an evaluation point of the left-rear tire 13 . Then, the stopped state of left-rear tire 13 is detected with the three dimensional coordinate of the centroid point G( 13 ) and the shape data of the left-rear tire 13 previously stored in the arithmetic unit 8 .
Similarly, about the right-rear tire 14 , a triangle S 4 is formed with the points A( 14 ), B( 14 ) and C( 14 ) measured by the group of the distance sensors 6 and detected by the arithmetic unit 8 , and the arithmetic unit 8 calculates a three dimensional coordinate of a centroid point G( 14 ) of the triangle S 4 . The centroid point G( 14 ) is employed as an evaluation point of the right-rear tire 14 . Then, the stopped state of right-rear tire 14 is detected with the three dimensional coordinate of the centroid point G( 14 ) and the shape data of the right-rear tire 14 previously stored in the arithmetic unit 8 .
About the fenders 15 , 16 , 17 and 18 , the points F( 15 ), F( 16 ), F( 17 ) and F( 18 ) measured by the upper distance sensors 3 c , 4 c , 5 c and 6 c and detected by the arithmetic unit 8 are employed as evaluation points of the fenders 15 , 16 , 17 and 18 respectively. By comparing the three dimensional coordinates of the points F with the shape data of the body 10 previously stored in the arithmetic unit 8 , the stopped state of the body 10 is detected.
In the detection method of vehicle stopped state according to the embodiment of the present invention, the points A( 11 ), A( 12 ), A( 13 ) and A( 14 ) as the first points are detected respectively by the front distance sensors 3 a , 4 a , 5 a and 6 a which scan the front portions 11 a , 12 a , 13 a and 14 a of the outside surfaces of the tires 11 , 12 , 13 and 14 . The points B( 11 ), B( 12 ), B( 13 ) and B( 14 ) as the second points are detected respectively by the rear distance sensors 3 b , 4 b , 5 b and 6 b which scan the rear portions 11 b , 12 b , 13 b and 14 b of the outside surfaces of the tires 11 , 12 , 13 and 14 . The points C( 11 ), C( 12 ), C( 13 ) and C( 14 ) as the third points are detected respectively by the upper distance sensors 3 c , 4 c , 5 c and 6 c which scan the upper portions 11 c , 12 c , 13 c and 14 c of the outside surfaces of the tires 11 , 12 , 13 and 14 . The points F( 15 ), F( 16 ), F( 17 ) and F( 18 ) as the fourth points are detected respectively by the upper distance sensors 3 c , 4 c , 5 c and 6 c which function as fender portion sensors scanning the fenders 15 , 16 , 17 and 18 .
According to the construction, the stopped state of the vehicle 100 can be detected regardless of the size and shape of the vehicle 100 , whereby the stopped state of the vehicle 100 can be detected accurately.
As shown in FIG. 7 , total eight points of the three dimensional coordinates, the centroid point G( 11 ) detected about the left-front tire 11 , the centroid point G( 12 ) detected about the right-front tire 12 , the centroid point G( 13 ) detected about the left-rear tire 13 , the centroid point G( 14 ) detected about the right-rear tire 14 , and the points F( 15 ), F( 16 ), F( 17 ) and F( 18 ) respectively detected about the fenders 15 , 16 , 17 and 18 are used collectively so that the arithmetic unit 8 detects the stopped state of the vehicle 100 .
According to the detection method of vehicle stopped state according to the embodiment of the present invention, the stopped state of the body 10 and the stopped state of each of the tires 11 , 12 , 13 and 14 can be detected independently. Then, for example as shown in FIG. 7( b ), the stopped state of the vehicle 100 that only the body 10 is rotated centering on the Y-axis (along so-called pitch direction) can be detected accurately.
As shown in this embodiment, the present invention is adopted to a general vehicle with four wheels. However, by the application of the present invention, invention can be adopted easily to a vehicle that the number of tires (wheels) is not four.
Namely, the detection device of vehicle stopped state according to the embodiment of the present invention (that is, the vehicle stopped state detection device 1 ), which detects the stopped state of the vehicle 100 having a plurality of tires (that is, the tires 11 , 12 , 13 and 14 ) and the body 10 in which the fenders respectively corresponding to the tires (that is, the fenders 15 , 16 , 17 and 18 ) are formed, includes a plurality of groups of the distance sensors respectively corresponding to the tires 11 , 12 , 13 and 14 and the fenders 15 , 16 , 17 and 18 (that is, the groups of distance sensors 3 , 4 , 5 and 6 ) and the arithmetic unit 8 connected to the groups of distance sensors 3 , 4 , 5 and 6 . For example, illustrating with the group of distance sensors 3 , the detection device includes the front distance sensor 3 a which scans the front portion 11 a of the outside surface of the left-front tire 11 corresponding to the group of distance sensors 3 and detects the coordinate of the portion of the front portion 11 a at which the left-front tire 11 expands the most outward along the direction of the side surface of the left-front tire 11 as the first point A( 11 ), the rear distance sensor 3 b which scans the rear portion 11 b of the outside surface of the left-front tire 11 corresponding to the group of distance sensors 3 and detects the coordinate of the portion of the rear portion 11 b at which the left-front tire 11 expands the most outward along the direction of the side surface of the left-front tire 11 as the second point B( 11 ), the upper distance sensor 3 c which scans the upper portion 11 c of the outside surface of the left-front tire 11 corresponding to the group of distance sensors 3 and detects the coordinate of the portion of the rear portion 11 b at which the left-front tire 11 expands the most outward along the direction of the side surface of the left-front tire 11 as the third point C( 11 ), and the upper distance sensor 3 c which scans the fender part 15 a of the left-front fender 15 corresponding to the group of distance sensors 3 and detects the coordinate of the portion of the fender part 15 a at which the left-front fender 15 expands the most outward along the direction of the side surface of the body 10 as the fourth point F( 15 ). The arithmetic unit 8 detects the evaluation point of the left-front tire 11 (that is, the point G( 11 )) based on the coordinate of the centroid point G( 11 ) of the triangle S 1 formed with the points A( 11 ), B( 11 ) and C( 11 ) measured by the group of distance sensors 3 as apexes, and detects the evaluation point of the left-front fender 15 (that is, the point F( 15 )) based on the coordinate of the point F( 15 ). Based on the coordinates of the point G( 11 ) which is the evaluation point detected about the left-front tire 11 and the points G( 12 ), G( 13 ) and G( 14 ) detected about the other tires 12 , 13 and 14 and the coordinates of the point F( 15 ) which is the evaluation point detected about the left-front fender 15 and the points F( 16 ), F( 17 ) and F( 18 ) detected about the other fenders 16 , 17 and 18 , the stopped state of the vehicle 100 is detected.
The detection method of vehicle stopped state according to the embodiment of the present invention, which detects the stopped state of the vehicle 100 having a plurality of tires (that is, the tires 11 , 12 , 13 and 14 ) and the body 10 in which the fenders respectively corresponding to the tires (that is, the fenders 15 , 16 , 17 and 18 ) are formed, includes a plurality of groups of the distance sensors respectively corresponding to the tires 11 , 12 , 13 and 14 and the fenders 15 , 16 , 17 and 18 (that is, the groups of distance sensors 3 , 4 , 5 and 6 ) and the arithmetic unit 8 connected to the groups of distance sensors 3 , 4 , 5 and 6 . For example, illustrating with the group of distance sensors 3 , the coordinate of the portion of the front portion 11 a of the left-front tire 11 at which the left-front tire 11 expands the most outward along the direction of the side surface of the left-front tire 11 is detected as the first point A( 11 ), the coordinate of the portion of the rear portion 11 b of the left-front tire 11 at which the left-front tire 11 expands the most outward along the direction of the side surface of the left-front tire 11 is detected as the second point B( 11 ), the coordinate of the portion of the upper portion 11 c of the left-front tire 11 at which the left-front tire 11 expands the most outward along the direction of the side surface of the left-front tire 11 is detected as the third point C( 11 ), and the centroid point G( 11 ) of the triangle S 1 formed with the detected points A( 11 ), B( 11 ) and C( 11 ) is employed as the evaluation point of the left-front tire 11 . The coordinate of the portion of the fender part 15 a of the left-front fender 15 at which the left-front fender 15 expands the most outward along the direction of the side surface of the body 10 is detected as the fourth point F( 15 ), and the detected point F( 15 ) is employed as the evaluation point of the left-front fender 15 . Based on the coordinates of the evaluation points respectively detected about the tires 11 , 12 , 13 and 14 (that is, the points G( 11 ), G( 12 ), G( 13 ) and G( 14 )) and the coordinates of the evaluation points respectively detected about the fenders 15 , 16 , 17 and 18 (that is, the points F( 15 ), F( 16 ), F( 17 ) and F( 18 )), the arithmetic unit 8 detects the stopped state of the vehicle 100 .
According to the construction, the stopped state of the vehicle 100 can be detected regardless of the size and shape of the vehicle 100 , and the stopped state of the body 10 and the stopped state of each of the tires 11 , 12 , 13 and 14 can be detected respectively, whereby the stopped state of the vehicle 100 can be detected accurately.
Next, explanation will be given on an alignment adjusting device according to an embodiment of the present invention referring to FIGS. 8 and 9 .
FIG. 8 is a block diagram of entire construction of the alignment adjusting device according to the embodiment of the present invention. FIG. 9 is a schematic side view of the entire construction of the alignment adjusting device according to the embodiment of the present invention.
The alignment adjusting device adjusts a toe angle of each of tires of a vehicle and includes a toe angle detection device detecting the toe angle. The toe angle detection device only detects the toe angle, and the adjusting work of the toe angle has not been automated and is performed by an operator generally.
As shown in FIG. 8 , the alignment adjusting device 20 includes the above-mentioned vehicle stopped state detection device 1 , and additionally includes a controller 21 , an adjuster 22 , a monitor 23 , an operation switch 24 and the like. In this embodiment, the detection part 2 provided in the vehicle stopped state detection device 1 also serves as the above-mentioned toe angle detection device.
The controller 21 controls each part of the alignment adjusting device 20 (for example, the adjuster 22 ) and is connected to the arithmetic unit 8 . The result of the stopped state of the vehicle detected by the vehicle stopped state detection device 1 is inputted from the arithmetic unit 8 into the controller 21 .
The adjuster 22 is controlled based on control signals transmitted from the controller 21 . As shown in FIG. 11 , the adjuster 22 shown in this embodiment includes a slide part 22 a having a tool part 22 c which functions as a tool fastening and loosening bolts, nuts and the like and a robot part 22 b functioning as a robot which guides the tool part 22 c to a desired position. The adjuster 22 is controlled by the controller 21 so as to adjust automatically fastening condition of the bolt or nut positioned at an optional position.
In this embodiment, the adjuster 22 is illustrated which has an easy mechanism that the slide part 22 a is slid along a guide 22 d of the robot part 22 b . However, it may alternatively be constructed that the robot part 22 b is an articulated robot arm and the tool part may be provided in the tip of the robot arm.
The monitor 23 is a display device connected to the controller 21 and displays the vehicle stopped state detection device 1 inputted into the controller 21 so that an operator which adjusts the alignment can know the stopped state of the vehicle and the like.
The operation switch 24 is connected to the controller 21 and includes an operation part 24 a which can be operated by an operator in the vicinity of the vehicle 100 . When the operator confirms the stopped state of the vehicle and operates the operation switch 24 , the automatic control of the adjuster 22 by the controller 21 is permitted for the first time.
Next, explanation will be given on the automatic adjusting condition of the alignment by the alignment adjusting device 20 referring to FIGS. 10 to 12 .
FIG. 10 is a flow chart of alignment adjusting work with the alignment adjusting device according to the embodiment of the present invention. FIG. 11 is a schematic side view of automatic adjustment condition of a toe angle with the alignment adjusting device according to the embodiment of the present invention (before adjustment). FIG. 12 is a schematic side view of automatic adjustment condition of a toe angle with the alignment adjusting device according to the embodiment of the present invention (under adjustment).
As shown in FIG. 10 , in the adjusting work of the alignment by the alignment adjusting device 20 , firstly, an operator operates the vehicle 100 so as to send the vehicle into the alignment adjusting device 20 (STEP- 1 ).
Next, the operator stops the vehicle 100 at a predetermined stop position while performing rough positioning (STEP- 2 ).
Next, when the vehicle 100 is stopped at the predetermined stop position, the vehicle stopped state detection device 1 detects the stopped state of the vehicle 100 (STEP- 3 ).
Then, the judgment is performed based on the stopped state of the vehicle 100 detected by the vehicle stopped state detection device 1 (STEP- 4 ).
At the (STEP- 4 ), the arithmetic unit 8 compares the stopped state of the vehicle 100 detected by the vehicle stopped state detection device 1 with predetermined (desirable) stopped state set at the design, calculates shear amounts along each axis and around each axis, and confirms whether each shear amount is less than a threshold prescribed previously or not so as to perform the judgment. The judgment is performed with a formula 1 shown below.
A judgment formula about the X-axis is illustrated.
The shear amount in the X-axis direction of the front wheels (in more detail, the mean value of the shear amounts in the X-axis direction of the left-front tire 11 and the right-front tire 12 ) is defined as ΔX F , the shear amount of the rear wheels (in more detail, the mean value of the shear amounts in the X-axis direction of the left-rear tire 13 and the right-rear tire 14 ) is defined as ΔX R , the shear amount in the X-axis direction of the body is defined as ΔX V , the shear angle around the X-axis of the front wheels (in more detail, the mean value of the shear angles around the X-axis of the left-front tire 11 and the right-front tire 12 ) is defined as Δθ XF , the shear angle of the rear wheels (in more detail, the mean value of the shear angles around the X-axis of the left-rear tire 13 and the right-rear tire 14 ) is defined as Δθ XR , the shear angle around the X-axis of the body is defined as Δθ XV , and the threshold is defined as x.
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Then, similar judgment is also performed about the other axes (the Y-axis and the Z-axis). When at least one of the judgments about the axes does not satisfy the judgment formula, the operation of the operation switch 24 is annulled (STEP- 5 ), and then the shear amount is displayed by the monitor 23 (STEP- 6 ) so as to represent information for an operator to judge what direction and what distance the stopped state of the vehicle 100 is revised.
Then, based on the standard displayed by the monitor 23 , the operator revises the stopped state of the vehicle 100 (STEP- 7 ) and the vehicle stopped state detection device 1 detects the stopped state of the vehicle 100 again (STEP- 3 ), and (STEP- 3 ) to (STEP- 7 ) are repeated until the shear amount of each of the axis directions and the shear amount around each of the axes become less than the prescribed threshold.
When all the judgment about each axis is satisfied, the purport thereof is displayed by the monitor 23 (STEP- 8 ) so as to demand the operator to operate the operation switch 24 . Then, when the operator operates the operation switch 24 (for example, pulls the operation part 24 a ) (STEP- 9 ), the automatic control cycle of the adjuster 22 by the controller 21 is started (STEP- 10 ).
As shown in FIG. 11 , at the adjustment work of the alignment, a tie rod 26 which is the adjustment part for the toe angle may be arranged deeply inside a recess 25 formed in the body 10 . Conventionally, when a tool is held to the tie rod 26 automatically by a robot or the like, the tool may touch the body 10 or the like because the stopped state of the vehicle 100 is not grasped correctly. Then, the adjustment work of the toe angle is performed by an operator each time. That obstructs the automating of the adjustment work of the alignment.
In the alignment adjusting device 20 , the stopped state of the vehicle 100 can be grasped accurately by the vehicle stopped state detection device 1 . Then, based on the information from the arithmetic unit 8 , the position and angle of insertion of the adjuster 22 can be adjusted accurately by the controller 21 .
Then, as shown in FIG. 12 , the slide part 22 a of the adjuster 22 can be inserted into the recess 25 without touching the body 10 or the like, and the tool part 22 c formed at the tip of the slide part 22 a can be held accurately to the tie rod 26 arranged deeply inside the recess 25 . Accordingly, the adjuster 22 can fasten and loosen the tie rod 26 without an operator. The controller 21 can controls the actuation of the adjuster 22 while detecting the toe angle of the vehicle 100 by the detection part 2 so as to adjust the fastening condition of the tie rod 26 . Namely, by the alignment adjusting device 20 , the adjustment work of the toe angle about the vehicle 100 can be automated.
As mentioned above, in the alignment adjusting device 20 according to the embodiment of the present invention, the arithmetic unit 8 detects the gap between the detection result of the stopped state of the vehicle 100 by the vehicle stopped state detection device 1 and the ideal stopped state of the vehicle 100 . When the gap is less than a predetermined threshold x, the alignment of the vehicle 100 is adjusted automatically, and when the gap is more than the threshold x, the stopped state of the vehicle 100 is adjusted.
According to the construction, the adjuster 22 is prevented from touching the body 10 at the time of the alignment adjustment work.
When the work of adjustment of toe angle of the vehicle 100 and the like is finished and the automatic control cycle of the adjuster 22 by the controller 21 is finished completely (STEP- 11 ), the series of automatic alignment adjustment work by the alignment adjusting device 20 is finished.
Namely, the alignment adjusting device 20 according to the embodiment of the present invention has the vehicle stopped state detection device 1 and adjusts the stopped state of the vehicle 100 based on the detection result of the stopped state of the vehicle 100 by the vehicle stopped state detection device 1 .
According to the construction, the stopped state of the vehicle 100 can be detected regardless of the size and shape of the vehicle 100 accurately, whereby the alignment adjustment work can be automated.
Industrial Applicability
The present invention is adoptable suitably to an art for detecting a stopped state of a vehicle and can be used for work such as alignment adjustment work of the vehicle after detecting the stopped state of the vehicle. | Provided are a device and a method for detecting a stopped state of a vehicle which are capable of precisely detecting the stopped state of the vehicle in order to automate an operation which is externally provided to the stopped vehicle such as an alignment adjusting operation; and an alignment adjusting device to which the device and the method for detecting a stopped state of a vehicle are applied. An arithmetic unit detects, with respect to the left-front tire, for example, an evaluation point of the left-front tire on the basis of the gravity point of a triangle comprising, as vertexes, a point A, a point B, and a point C which are detected by a group of distance sensors; detects an evaluation point of the left-front fender on the basis of a point detected by the group of distance sensors; and detects the stopped state of the vehicle on the basis of the respective evaluation points of the respective tires and the respective evaluation points of the respective fenders. | 59,019 |
CROSS-REFERENCE TO PRIOR APPLICATIONS
[0001] This application is a divisional of application Ser. No. 12/697,818 filed Feb. 1, 2010, which is a non-provisional of provisional application No. 61/162,847 filed Mar. 24, 2009.
FIELD OF THE INVENTION
[0002] The present invention relates to the field of waste recycling, and more particularly, to methods for reclaiming useful carbonaceous materials from scrap rubber materials, such as, for example, scrap rubber tires.
BACKGROUND OF THE INVENTION
[0003] The continuing accumulation of scrap tires is a major global environmental hazard. The industrialized world continues to amass used tires at the alarming yearly rate of one for every man, woman, and child.
[0004] According to the Rubber Association of Canada, there are 29.8 million scrap tires generated annually in Canada (equating to 37.1 million passenger tire equivalents). This generation comes from both the replacement tire market and vehicles that have been scrapped.
[0005] In the United States, the Rubber Manufacturers Association estimates that 299 million scrap tires were generated in 2005. Of this, an estimated 42 million tires were stockpiled in landfills, contributing to a total 188 million tires in total stockpiled across the US (the US EPA estimates the stockpiled amount to be 265 million).
[0006] Generally, landfill use is declining while the recycling of tires is growing. Currently, approximately 70% of scrap tires are processed in Canada with the balance being stockpiled or exported. However, these proportions can vary considerably by province. For instance, it is estimated that roughly half of all scrap tires generated in Ontario each year are sent over the US/Canada border to be burned as fuel in the US. In Quebec, somewhere between 30% and 40% of scrap tires each year are sent to privately-owned stockpiles located throughout the province.
[0007] Moreover, the demanding product specifications for safe, durable tires make scrap tires difficult and expensive to break down.
[0008] Tires, which are generally composed of approximately 65% rubber, 10% fibre and 12.5% steel by weight, can be recycled in two forms: processed and whole. Whole tire recycling involves using the old tire, as is, for other purposes (e.g., landscape borders, playground structures, dock bumpers and highway crash barriers). The recycling of processed tires, on the other hand, requires first reducing the tire to smaller pieces. This can be accomplished by chopping, shredding, or grinding at ambient or cryogenic temperature.
[0009] Punching or die cutting small sections of rubber from tire treads or sidewalls can be used to create items such as water troughs. This technique is typically done with non-road tires, such as those used on earth moving or mining equipment, or farm tractors.
[0010] The process of shredding and grinding scrap tire rubber, and the shred size, depends upon its intended end use. Possible applications include using shred as a lightweight fill for highway embankments, retaining walls and bridge abutments, and as an insulation to limit the depth of frost penetration beneath roads.
[0011] Crumb rubber is produced by either an ambient or cryogenic grinding process. Ambient processing is conducted at room temperature. Cryogenic processing uses liquid nitrogen, or other materials or methods, to freeze the rubber chips or particles prior to further size reduction. Particle sizes range from one-quarter inch to fine powder generally used for producing molded products. Uses for larger sized crumb rubber include safety and cushioning surfaces for playgrounds, horse arenas and walking and jogging paths.
[0012] Through the use of heat and pressure and a binder, crumb rubber may be molded into various products. Examples include rubber mats used in skating rinks, roof shakes, and rubber mattresses used in livestock stalls.
[0013] The production of energy from tires, although technically not a form of recycling, accounts for a significant proportion of used tire disposal. In this application, scrap tires are used as an alternative to coal for fuel in cement kilns, pulp and paper mills, and industrial and utility boilers. This is especially the case in the United States, where tire-derived fuel (TDF) accounted for approximately 155 million scrap tires in 2005, or about 52% of all scrap tires generated.
[0014] The tire recycling market faces challenges in that recycled rubber products often cannot meet the quality of products made from virgin rubber, yet they often are more expensive to make. For example, rubberized asphalt is more expensive than normal asphalt, but has not proved to be superior to it; in fact, many transportation engineers are skeptical of its merits. When it is time to repave a rubberized-asphalt road, the top layer cannot be stripped off, heated and reused, because the heat burns the rubber and releases toxic emissions. In addition, rubberized asphalt consumes 25% more petroleum.
[0015] As well, considerable research has gone into rubber devulcanization, whereby recycled tires are used in the production of molded or die cut rubber materials such as mats, tubs, and pails such as mats, tubs, and pails. However, the final renewed material has slightly different chemical properties from virgin rubber, and is more rigid and less flexible. As a result, the recycled material does not meet the stringent requirements of modern tire manufactures, nor can it be used in the manufacture of flexible products such as hoses. As these applications account for 85% of Canada's rubber market, the potential supply of devulcanized rubber tends to exceed demand. In addition, the cost of processing old tires, particularly modern radial tires with steel belts, into devulcanized rubber exceeds the cost of virgin rubber production. As a result of this quality/cost challenge, many rubber recycling enterprises either cannot sustain themselves on a commercially attractive basis, or, worse, cannot prosper without government assistance.
[0016] Meanwhile, TDF activity has increased, but this is facing more opposition each year. Firstly due to air quality concerns from the general public and civil society organizations. Burning in cement kilns or incinerators results in high NO x , dioxins, PAH, furans, PCB and heavy metals in particulates (flue dusts). Moreover, the high-tech incinerators needed for such operations are very expensive. To ensure their long-term economic stability, heavily-urbanized regions generating a huge and constant supply of scrap tires are required. A current example of public aversion to TDF is the recent ruling by Ontario Divisional Court to uphold a citizen-led appeal of Lafarge Canada's plan to burn tires and other materials in a cement kiln in Bath, Ontario. The appeal cited concerns about potential air pollution, water contamination, and human health impacts.
[0017] Pyrolysis systems refer to the thermal processing of waste in the absence (or near absence) of oxygen. Major component fractions resulting from the pyrolysis of vehicle tires are:
a) a gas stream containing primarily hydrogen, methane, carbon monoxide, carbon dioxide and various other gases. The gas after cleaning is very similar to natural gas with about the same energy content, but with a higher heat content; b) a liquid fraction of an oil stream containing simple and complex hydrocarbons similar to No. 6 fuel oil; and, c) a char consisting of almost pure carbon, plus some inert materials (e.g. steel, zinc oxide) originally present in the scrap tire.
[0021] A traditional pyrolysis process involves heating tires under substantially anaerobic conditions so that the tire material is not completely converted to gases and ash. The typical automobile tire contains approximately 4 litres of oil, about 230 g of fibre, a kilogram or more of carbon black and about a kilogram each of steel and methane.
[0022] However, despite prior art efforts to commercialize pyrolysis technology, it has not yet been achieved in an economically viable way. Although many pyrolysis projects have been proposed, patented, or built over the past decade, none have been commercially successful. Many of these processes are not truly continuous, but are, in at least some aspects or steps, limited to batch processing techniques. As such, they suffer from not being sufficiently scalable so as to be commercially viable. Others require excessive energy inputs to produce end products of sufficiently high quality to permit recycling, with the result that they are not economical. In particular, the products of batch-type tire pyrolysis have limited marketability due to the low quality of their end products as compared to virgin materials. For instance, prior art pyrolytic carbon black (CBp) typically contains too many contaminants for use in new tires. Moreover, with batch pyrolysis techniques, the consistency of the end products may vary with each run. As such, the resulting CBp cannot compete in the auto, rubber, and other industry sectors, which require consistent a carbon black product. As a result, much of the CBp arising from existing pyrolysis processes are used as high grade coal for the fuel industry, as well as for industrial hoses, mats, roofing materials and moldings.
[0023] Accordingly, none of these prior art recycling processes have received the widespread acceptance level necessary to effectively tackle the environmental problem posed by ever-increasing levels of scrap tires.
SUMMARY OF THE INVENTION
[0024] In accordance with the present invention there is disclosed an environmentally friendly, commercially viable, and substantially continuous process for recycling scrap rubber tires to produce distillate oil and gas, steel, and CBp of consistently high quality. Oil recovered from the process has been verified to be within the specifications for No. 6 fuel oil. The type of steel generated by the pyrolysis process of the present invention is classified as a No. 1 or No. 2 Heavy Melting Steel (HMS). The quality of the CBp has been verified to have characteristics comparable to virgin Prime N-600 or N-700 series of carbon black.
[0025] According to a further aspect of the present invention there is described recycled rubber when produced by a continuous process comprising the steps of:
a) shredding cleaned rubber tires into shreds less than 2″ long, and preferably 1.5″ long. b) pyrolyzing the shreds in a reaction chamber of a thermal processor in a first anaerobic environment to produce a char; c) drawing off volatile organics from the reaction chamber; d) removing the char from the reaction chamber; e) cooling the char in a second anaerobic environment; f) removing metal and textile components from the char to obtain CBp; g) milling and sizing the CBp so obtained into particles of 325 mesh size or smaller; and, h) utilizing the CBp from the previous step in a polymerization process that produces said recycled rubber.
[0034] According to another aspect of the present invention, the temperature within the reaction chamber is between about 450-550° C., and preferably at about 500° C. More specifically, a temperature profile exists, where the temperature is maintained in four zones for at least 30 minutes each. Preferably, the temperature profile is in 4 different zones: 500, 550, 550, 550° C. for at least 30 minutes.
[0035] According to yet another aspect of the present invention, the recycled rubber process further comprises, after step g), and before step h), the step of pelletizing the CBp into pellets of 60 to 100 mesh size.
[0036] According to yet another aspect of the present invention, the recycled rubber product of the above process has a minimum tensile strength ranging between 2500-3100 psi.
[0037] According to another aspect of the invention, there is produced a high quality CBp from a continuous recycling process for rubber tires comprising the steps of:
a) shredding cleaned rubber tires into shreds less than 2″ long; b) pyrolyzing the shreds in a reaction chamber of a thermal processor in a first anaerobic environment to produce a char; c) drawing off volatile organics from the reaction chamber; d) removing the char from the reaction chamber; e) cooling the char in a second anaerobic environment; f) removing metal and textile components from the char to obtain CBp; and, g) milling and sizing the CBp so obtained into particles of 325 mesh size or less.
[0045] According to another aspect of the invention, the process includes, prior to step b), a cleaning sub-process to remove any extraneous and residual materials.
[0046] According to another aspect of the invention, the process of the previous paragraph further comprises, after step g), the step of pelletizing the CBp into pellets of 60 to 100 mesh size.
[0047] According to one further aspect of the invention, there is produced, from pyrolyzed rubber, CBp having:
a) an ash content ranging between 9-15%; b) a toluene discoloration (425 mu) of 80-90% transmission; c) an iodine adsorption between 30 and 45 mg/gm; and, d) an n-dibutyl phthalate absorption number of up to 65 cc/100 gm.
[0052] According to another aspect of the invention, there is provided a method of reclaiming carbonaceous materials from scrap tires comprising the steps of:
a) shredding rubber tires into shreds less than 2″ long; b) pyrolyzing the shreds in a reaction chamber of a thermal processor in a first anaerobic environment to produce a char; c) drawing off volatile organics from the reaction chamber; d) removing the char from the reaction chamber; e) cooling the char in a second anaerobic environment; f) removing metal and textile components from the char to obtain pyrolytic carbon black; g) milling and sizing the pyrolytic carbon black so obtained into particles of 325 mesh size or smaller; and, h) utilizing the pyrolytic carbon black from the previous step in a polymerization process that produces recycled rubber.
[0061] The process according to the invention is a continuous feed, closed loop, controlled atmosphere pyrolysis process. The process uses special valves to maintain a constant production environment and to be able to consistently produce specified end-use products, including a consistently structured, high quality CBp that the market requires. The process is capable of running 24/7 non-stop for 340 days per year, creating substantially the same end products in characteristic and size throughout the operating term.
[0062] It is thus an object of this invention to obviate or mitigate at least one of the above mentioned disadvantages of the prior art, and to provide at least one or more of the above-described advantages over the prior art.
[0063] Other advantages, features and characteristics of the present invention, as well as methods of operation and functions of the related elements and structures, and the combination of steps and economies of process, will become more apparent upon consideration of the following detailed description and the appended claims, with reference to the accompanying drawings, the latter of which is briefly described hereinbelow.
BRIEF DESCRIPTION OF THE DRAWINGS
[0064] The novel features which are believed to be characteristic of the process and end products according to the present invention, as to their structure, organization, use and method of operation, together with further objectives and advantages thereof, will be better understood from the following drawings in which a presently preferred process according to the invention will now be illustrated by way of example. It is expressly understood, however, that the drawings are for the purpose of illustration and description only, and are not intended as a definition of the limits of the invention. In the accompanying drawings:
[0065] FIGS. 1-4 are different sections of a flow diagram which sections together illustrate an example of a process according to the invention; and
[0066] FIG. 5 is a detailed diagram of two vertically stacked flap valves referenced in FIG. 1 .
[0067] FIGS. 6A-6D are different sections of a flow diagram showing cleaning steps prior to the process of FIG. 1 .
[0068] FIG. 7A illustrates a representative calciner for use in the process of FIG. 1 .
[0069] FIG. 7B is a detail view of Detail A shown in FIG. 7A
DETAILED DESCRIPTION OF THE INVENTION
[0070] Described herein is a continuous recycling process involving the pyrolytic decomposition of used rubber tires to consistently produce high quality distillate gas, oil, steel, and CBp as end products that have value and use in today's market. Pyrolysis is meant and understood in this specification and the appended claims to mean the thermal decomposition of matter in the absence (or near absence) of oxygen. In particular, the disclosed process reproducibly yields a pyrolytic carbon black (CBp) that is fine, free of extraneous material, and is of consistently high quality. This high quality CBp can be used in various applications such as molded and extruded rubber, foams, sponge, wire coverings, cable, roofing material etc. It is also possible that certain tire applications such as innerliners, carcasses and side walls could utilize CBp produced by the process of the present invention in a blend with virgin carbon black.
The Pre-Treatment of Tires
[0071] As a prelude to FIG. 1 and prior to shredding, the tires to be recycled are thoroughly cleaned to remove all extraneous material adhered to the tires such as grit, earth, clay and dirt. It has been found that the removal of all extraneous material is important to ensure the reproducibility and quality of the CBp produced. Residual grit not only adds to the ash content in the carbon black product, but it also raises the energy and cost of the process due to the more arduous milling necessary to grind the grit to the desired particle size.
[0072] The water used for washing the tires is preferably recycled. Surprisingly, it has been found that this water, which now contains the grit and dirt removed from the tires, becomes increasingly acidic with each wash cycle. This is problematic, as it causes corrosion and pitting of the metallic surfaces of the equipment, such as the blades of the shredder. Therefore, to continuously reuse the water, but eliminate the costly corrosion problems induced by the acidity of the waste water, it must not only be filtered to remove the solid contaminants but must also be neutralized before reintroducing it into the washing cycle.
[0073] The cleaned tires are shredded in the presence of water not only to provide an additional cleaning step but also to reduce the wear and tear on the blades. The tires are cut into rubber pieces of 2″ (on the diagonal) or less, and preferably 1.5″ or less, and more preferably approximately 1.5″. A selection screen in the shredder (not shown) allows shreds of 1.5″ or smaller to pass through while those that are bigger are returned to the shredder for further shredding. The shreds that pass through the screen are distributed onto a conventional conveyor belt where they are dried by forced, dry and heated air to remove all moisture. Once dried, the shreds are stored in a storage silo.
[0074] Referring now to FIGS. 6A-6D , there is shown a preferred embodiment of the cleaning steps that are used to provide some of the aforementioned advantages. First, whole tires are received and weight at scale 210 before being deposited by dump truck 214 onto conveyor 216 . The whole tires are then distributed through diverter 218 , where some tires are placed in outdoor storage for future use, and those to be used are diverted to a primary feed conveyor 220 and onto a primary shredder 222 . Primary shredder 222 shreds the whole tires into relatively larger pieces. Typically, spray water is added to the primary shredder 222 for lubricating the shreds.
[0075] Next, the shredded tire pieces proceed to a vibratory discharger 224 where sprinklers 226 spray the shreds to wash off dirt and grit. The wash water is collected, and pumped via pump 228 to primary sedimentation tank 230 , with overflow draining to a secondary sedimentation tank 232 , also used as a neutralization tank for pH balancing. It has been discovered that the aforementioned lubricating and wash water becomes acidic, and thus the recycled water is pH balanced prior to being reused. Some of the water is cycled to a storage location as will be described below.
[0076] Returning now to the path of the tire shreds, and referring to FIG. 6C , the tire shreds are fed into a secondary shredder 234 where they are preferably shredded into pieces 1.5″ long on the diagonal. These smaller shreds then pass through a double deck disc classifier 236 , that sorts the shreds and directs those sized 1.5″ or smaller to chip storage 238 . The larger sized shreds proceed to a vibrating screen 240 where, any shreds sized 1.5″ or smaller that were not sorted properly by disc classifier 236 are directed to storage 238 and larger sized shreds continue to third shredder 242 . The shreds are then cycled back to the vibratory screen 240 , as shown, and the process is repeated from this point to ensure chip size consistency and provide a maximum number of operational days. Optionally, a dust collection control system may also be installed to control the dust in the surrounding areas and pollution levels, as may be required. The shreds are also preferably dried to have a moisture level of less than 1%.
[0077] FIG. 6D shows chip storage 238 , where chips are stored in a number of compartments. Preferably, each compartment includes sprinkler systems 244 using water recycled after pH balancing as discussed above.
[0078] The shreds are then moved, for example, by front loading vehicles 246 to hopper 248 , from where they are directed to the continuous and complete process according to the invention as described below.
The Process
[0079] Referring now to FIG. 1 through 4 of the drawings, there is disclosed a continuous and complete process according to the invention for the recycling of used rubber tires shreds.
[0080] From the storage silo, the rubber shreds are fed into a conveying and dispersing assembly that, for example, could consist of a vibrating feeder 2 , a belt conveyor 4 with belt scale 5 , a hopper 6 , and screw feeder 3 . The purpose of the conveying and dispersing assembly is to transport, on a continuous basis, a measured volume of shreds onto one of two serially arranged, fast acting pneumatic flap valves 7 , 7 ′ (see FIG. 5 for more detail) set up in sequence above the opening of the reaction chamber 8 c of a rotary thermal processor, or calciner 8 . A suitable type of rotary calciner 8 is a gas-fired Bartlett-Snow 72″ diameter Rotary Calciner (shown in FIG. 7A ) available from Alstom Power, Inc. of Warrenville, Ill., USA. Suitable flap valves 7 , 7 ′ are available from Alstom Power, Inc. of Warrenville, Ill., USA. The shreds are gravity fed from the screw feeder 3 onto the flap 7 a of the top flap valve 7 which opens and closes according to a predetermined frequency that is electronically controlled (preferably, about 6 dumps/min). As the flap 7 a opens, the collection of tire shreds fall by gravity onto the closed flap 7 b of the bottom flap valve 7 ′, and the top valve 7 immediately returns to its closed position. Thereafter, as the flap 7 b of the second valve 7 ′ opens, the shreds are fed through a feed chute 1 down into the opening of the rotary calciner 8 .
[0081] The fast acting pneumatic flap valves 7 , 7 ′ function as atmospheric interlocks between the open air (oxygenated) environment of the screw feeder 3 and the inert atmosphere (oxygen-free) reaction chamber 8 c of the calciner 8 . To restrict the unwanted introduction of oxygen into the calciner 8 , an inert gas such as nitrogen is introduced between the two flap valves 7 , 7 ′ so as to create a positive nitrogen pressure in both valve cavities. Nitrogen is beneficial for two purposes: (i) to create an inert atmosphere to avoid combustion and possible explosion; (ii) the right amount of nitrogen, based on test results is ideally no less than 0.007 volume/minute of the calciner internal volume. Insufficient amounts of nitrogen will affect the char quality. The purpose of the nitrogen is to ensure the calciner is in an inert atmosphere and reduce the chance of pyrolysed gases which could break down and form carbon and redeposit onto the char. Furthermore, it is preferred that the calciner 8 is kept at ¾″ to 1¼″ of negative water column, controlled by a fan at the downstream side, so as to reduce the retention of the pyrolysed gases which could break down and redeposit onto the char. When flaps 7 a , 7 b are opened in the aforesaid serial sequence, the positive nitrogen pressure gradient prevents atmospheric oxygen from entering the calciner 8 , as the nitrogen gas forces its way out from flap valves 7 , 7 ′ to the lower pressure ambient atmosphere. To further reduce the possibility of oxygen entering into the calciner 8 , the opening and closing of flaps 7 a , 7 b are electronically controlled (rather than gravity controlled) to ensure efficient and timely closing of at least one of the flaps 7 a , 7 b at all times.
[0082] The thermal processor (i.e. rotary calciner) 8 in which the pyrolysis takes place, is comprised of, inter alia, an internal rotary cylinder having a feed end 8 a and a discharge end 8 b , with the reaction chamber 8 c disposed in-between. A spiral flight is preferably located on the internal diameter of the feed end 8 a of the calciner 8 as well as being present throughout the reaction chamber 8 c . Thus, as the calciner 8 rotates about its longitudinal axis, the spiral flight smoothes out the rubber shreds dumped by the valves 7 , 7 ′, and propels the shreds forward into the heating zone of the reaction chamber 8 c . The second flight in the reaction chamber 8 c moves the solid material along the length of the calciner 8 to the discharge end 8 b.
[0083] To further assist in transporting the solid material forward, the calciner 8 is preferably positioned slightly off the horizontal such that the feed end 8 a is slightly higher than the discharge end 8 b . This angled position makes use of gravity to further assist in propelling the solid material through the calciner 8 .
[0084] The rotary calciner 8 is heated indirectly to preferably create four heating zones within the reaction chamber 8 c , each with accessible temperatures ranging between about 450-650° C. A temperature profile is generated according to the type of end products required. Preferably, the heating zones 1, 2, 3 and 4 are heated to 500° C., 550° C., 550° C. and 550° C. respectively. Preferably, the profile has a maximum pyrolysis temperature in the range of about 450-550° C., and preferably about 500° C. in not less than 30 minutes.
[0085] The pyrolysis reaction taking place inside the calciner 8 is sensitive to oxygen. Both safety (i.e., explosion risk) and quality issues arise if oxygen is allowed to penetrate in any significant amount into the reaction chamber 8 c . Prior to commencing the continuous recycling operation, the calciner 8 must therefore be filled with nitrogen gas (or other inert gas). In addition to also having positive nitrogen pressure in flap valves 7 , 7 ′, air tight seals 9 must be fitted at the interfaces between the rotating reaction chamber 8 c and the stationary framework 8 d surrounding the rotting cylinder to prevent atmospheric oxygen from seeping into the calciner 8 through these interfaces. Gas-tight bellows type seals are preferably used for this purpose. These seals are designed to retain the positive nitrogen pressure within the reaction chamber 8 c of the calciner 8 . A suitable form of bellows seals is disclosed in U.S. Pat. No. 3,462,160, issued Aug. 19, 1969 to O. J. Adams.
[0086] In the course of the pyrolysis process, the rubber shreds are heated to temperatures above 450° C., and preferably to about 500 to 550° C. The anaerobic decomposition of the rubber thus caused produces volatile organics which fill the reaction chamber 8 c as volatile organic gas. The pressure inside the calciner 8 is therefore preferably kept slightly under atmospheric pressure to prevent over pressurization of the reaction chamber 8 c . The pyrolysis gas is extracted at the discharge end 8 b of the calciner 8 through a discharge pipe 11 on the other side of which is a pressure lower than that in the calciner 8 . The gas in the reaction chamber 8 c is thus suctioned out through the discharge pipe 11 due to this pressure difference.
[0087] It has been discovered that in order to produce char of sufficient quality in the pyrolysis process, it is preferable to ensure that the char produced has no, or insignificant amounts of volatile content. Figure The breeching section, that is the end section, of the calciner 8 is maintained at temperature of no less than 500° C. to avoid gaseous condensation back onto the char prior to discharge to the cooler. FIG. 7 b shows the discharge end of the representative calciner of FIG. 7 a . The end section preferably has a continuous sleeve 700 and the area is insulated with insulation 720 and heat traced in order to keep the temperature to at least 500° C. Also shown are a representative bellows seal assembly 740 and cylinder dish end 760 . It will be understood by those skilled in the art that the calciner of FIGS. 7 a and 7 b is shown for representative purposes only and is not to be considered limiting on the present invention. Generally, any gaseous re-condensation (i.e. below 500° C.) onto the char will produce char with higher than acceptable volatile content.
[0088] The pyrolysis gas thus obtained is directed by discharge pipe 11 to an oil quench tower 10 to condense out the heavier gases as oil, and to extract the lighter gas which is drawn from the top end 10 a of the oil quench tower 10 through suction line 13 , and thence pushed by gas blower 12 through line 17 into a separator 14 (see FIG. 2 ). The separator 14 functions as another extraction stage to separate the lighter gas fraction from any residual heavier gas that can be condensed to oil and subsequently stored. The lighter gas fraction is drawn from the top 14 a of the separator 14 through line 25 to storage tank 16 . The lighter gas fraction can be drawn out of storage tank 16 through supply line 27 by blower 18 to a tank truck, train or sip, or to another holding vessel for further use. This gas may also be scrubbed and recycled as fuel for, for example, the burners (not shown) used to heat the rotary calciner 8 .
[0089] As an aside, test results have indicated that the all oils obtained from the process are characterized as No. 6 oils and accordingly, are not being separated into light and heavy oils. The oils are preferably combined and stored, and two condensers in series are used to condense and collect the oil which is stored in a holding tank and then pumped through a filter prior to the storage tank for shipment. Preferably, a hot cyclone is incorporated prior to the gas condensation phase in order to knock out particulates to prevent plugging of pipes and other elements in the condensation system. The non-condensable gas then goes through a scrubbing process, wherein a caustic solution is used to strip all the acidic components. The scrubbed gas is stored to run the calciner and dryer which is used to dry the CBp pellets.
[0090] Returning to the process itself, the oil fraction condensed in the lower end 14 b of the separator 14 exits through line 29 which, in turn, outputs into line 35 . Line 35 , in turn, delivers the oil into storage tank 26 a , or is discharged into line 37 , which optionally directs the oil into storage tank 26 b . Lines 29 , 35 , and 37 are all fitted with conventional control valves 31 to selectively control the flow of oil through interconnected lines 29 , 35 and 37 .
[0091] The oil condensed in the oil quench tower 10 is collected at the lower end 10 b of the tower 10 , exiting therefrom, through control valve 19 , into supply line 39 , which in turn, ends in a T-junction at bi-directional junction line 43 having oppositely directed branches 43 a and 43 b . Each branch 43 a and 43 b , is preferably fitted with a respective control valve 19 a and 19 b , one on either side of the T-junction with supply line 39 . Moving downstream, each branch 43 a , 43 b feeds a respective oil filter 20 a , 20 b . The oil travels downstream from each of the oil filters 20 a , 20 b into respective supply lines 20 c , and 20 d , which are further controlled by control valves 21 a and 21 b installed on supply lines 20 c and 20 d , respectively. Supply lines 20 c and 20 d join up downstream of the control valves 21 a and 21 b at a T-junction with line 35 . The oil entering line 35 is directed thereafter through a water-cooled oil cooler plate and frame 22 which cools the oil prior to being stored in storage tanks 26 a or 26 b . The water in the cooler plate and frame 22 circulates through pipe loop 45 fitted with circulation pump 23 . The pipe loop 45 passes through the central cooling water system 24 which cools the warmed water exiting the cooler plate and frame 22 and pumps cold water back into the pipe loop 45 .
[0092] The oil collected in storage tanks 26 a and 26 b can be released from the tanks into line 47 . Through the use of conventional control valves 28 , the oil can either be directed to flow from storage tanks 26 a , 26 b into line 49 and thence pumped by pump 30 a into tank trucks, trains, or ships, or, can be flowed into line 15 and thence pumped by pump 30 b back to the oil quench tower 10 for further fractionation.
[0093] Referring again to FIG. 1 , the hot solid products produced during pyrolysis, i.e. the char, are discharged from the calciner 8 by gravity, falling through the open space of the discharge breeching (not shown) and landing on the first of another two fast acting pneumatic flap valves 53 , 53 ′ at bottom of the breeching. Flap valves 53 , 53 ′ are substantially identical to the double flap valves 7 , 7 ′ positioned at the feed end 8 a of the rotary calciner 8 , and are also fitted with a gas inlet between them to create a positive nitrogen pressure inside the flap valves 53 , 53 ′. The use of nitrogen at this stage is important, not only to prevent oxygen from entering into the rotary calciner 8 , but also to prevent oxidation of the hot char. Oxidation of the char would, inter alia, reduce the quality of the CBp end product. The hot char is therefore passed through the double flap valves 53 , 53 ′ and deposited into the feed end 32 a of a nitrogen-filled rotary cooler 32 , preferably having flighting on the internal diameter to transport the char through rotary cooler 32 to the discharge end 32 b . A suitable rotary cooler 32 is a Bartlett-Snow 36″ diameter Rotary Cooler available from Alstom Power, Inc. of Warrenville, Ill., USA. The temperature in the rotary cooler 32 is preferably kept low by indirectly cooling the outside surface of the rotating cylinder with water that is continuously circulated by circulation pump 33 through pipe loop 51 and cooled by central cooling water system 24 .
[0094] The char exits the discharge end 32 b of the rotary cooler 32 at a sufficiently low temperature, preferably approximately 200° C., that it can thence be exposed to air without significant reaction therewith (i.e., oxidation). Surprisingly, it has been found that the char is not particularly agglomerated at this stage and a de-agglomeration step is not required as previously described in the prior art (see, for example U.S. Pat. No. 5,037,628, issued to John Fader on Aug. 6, 1991). This can be explained by a reduced oil content in the char produced under the stringent anaerobic operating conditions described by the inventor herein and by a pyrolysis temperature of between about 450-550° C., and preferably at about 500° C. The char is preferably discharged from the rotary cooler 32 into an enclosed screw conveyor 55 and then passed through two magnetic separators 34 and 36 : the first to remove the steel 38 from the char, and the second, usually more powerful than the first, to remove rare earth metals and other magnetic matter left behind by the first magnetic separator 34 . The char is transported between the first 34 and second 36 magnetic separators by an enclosed conveyor belt 57 . The steel 38 extracted from the char is preferably transported away to a central collection location by respective conveyors 61 a and 61 b , whereat, using the natural gas produced from the pyrolysis process, the steel 38 (compacted into) may be heated, compacted and melted into 100 lb briquettes, ready for use in producing new metal products, or for further processing.
[0095] The char, now free of steel 38 and other magnetic components, is preferably transported by an enclosed conveyor belt 63 from the second magnetic separator 36 to a vibrating screen 40 , (see FIG. 3 ), preferably of mesh size 100, to separate out any remaining textile fibers or cords 41 that remain as components of the original scrap tire pieces. These textile remnants are removed from the vibrating screen 40 via conveyor belt 65 for subsequent disposal or possible recycling.
[0096] Solid material fine enough to pass through the vibrating screen 40 and onto conveyor 67 is thence referred to as the ‘crude’ CBp. The conveyor 67 transports the crude CBp to a conventional rotary valve 42 which releases the CBp powder onto an enclosed conveyor 44 . A suitable enclosed conveyor can be, for example, a tip track elevator marketed by Unitrack Corp. of 299 Ward Street, Port Hope, Ontario, Canada. The CBp powder is transported by enclosed conveyor 44 to a vibrating bin discharger 46 fitted with a bin vent filter and top mount fan 48 for pollution control. A speed-controlled electronic feeder 50 releases the crude CBp from the vibrating bin discharger 46 into a mill feed bin 52 via enclosed chute 69 . The crude CBp exits the mill feed bin 52 by gravity, through enclosed chute 81 , into a closed hopper 54 , and thence onto an enclosed conveyor belt 56 , where it is released down chute 72 into a pulverizer 58 to reduce the particle size. Pulverizer 58 is preferably a Palla™ Vibrating Mill. Air borne particulate matter produced in closed hopper 54 is drawn through conduit 73 to a mechanical air classifier 60 fitted with a 325 mesh, and connected to bag filter 62 via conduit 75 . Air borne particles measuring 44 μm or less exit the mechanical air classifier 60 into conduit 77 and are transported therethrough to surge bin 64 , which surge bin 64 is fitted with a level indicator 66 , and with a vent filter and top mount fan 68 .
[0097] The CBp in the pulverizer 58 is pushed out by blower 59 connected to the pulverizer 58 by conduit 79 . The fine CBp is thus blown out of the pulverizer 58 into the enclosed conveyor 83 which delivers it to the mechanical air classifier 60 . Again, particles of 325 mesh size, or smaller, are directed to surge bin 64 through conduit 77 . Using a closed conveying system 70 , the fine CBp is transported from the surge bin 64 to surge bin 72 (see FIG. 4 ), also fitted with a level indicator 74 and bin vent filter with a top mount fan 76 . The CBp exits the surge bin 72 through an electronically speed-controlled feeder 78 which delivers a predetermined amount of the powder onto an enclosed conveyor 80 fitted with an impact flow meter 82 to restrict the flow to 3000 lbs/hour. A pin-mixer agglomerator 84 receives the fine CBp where it is pelletized by mixing with a binder solution (supplied from tank 86 ), and/or water. Preferably, the pelletization is achieved with water, and with a binder solution. An air line 88 is connected to the agglomerator 84 , the air being controlled by shut off valve 90 and regulator 92 .
[0098] The binder solution tank 86 , which holds up to 8000 gallons, is fitted with an agitator 94 , a water pipe 96 controlled by valve 98 and fitted with a 5 micron strainer 100 . A level indicator 102 is also present at the top of the tank 86 to prevent overflow. The flow of the binding solution from the tank 86 through pipe 103 is controlled by a circulation pump 104 . Control valves 106 a and 106 b , depending on whether opened or closed, can direct the flow of the solution either back into the tank 86 , or into the agglomerator 84 . Water can be introduced directly into the pin-mixer agglomerator 84 through the water line 108 , also fitted with a 5 micron strainer 110 , and controlled by shut off valve 112 and control valve 114 .
[0099] The CBp exits the agglomerator 84 as pellets, preferably of 60 to 100 mesh size, that are transported by an enclosed conveyor belt 116 to a dryer 118 , ideally fuelled by the gas produced and collected from the pyrolysis process. The pellets, dried to less than 1% humidity, preferably with an indirect rotary dryer, exit the dryer 118 and fall by gravity down an enclosed chute 119 to enclosed conveyor 120 which brings the pellets to a 100 mesh screen separator 122 . Any undersized pellets (i.e., those <149 μm) may passed through a conventional rotary valve 124 and a blower 126 pushes the pellets through conduit 127 , which directs same back to surge bin 72 to be re-agglomerated. The oversize pellets, (i.e. those ≧149 μm), are transported by enclosed conveyor 129 to a vibrating bin 128 , fitted with a butterfly valve 130 , and are ready to be bagged. Any overflow is collected in surge bin 132 fitted with a bin vent filter 134 and level indicator 136 . A rotary valve 138 allows the pellets to exit the surge bin 132 onto enclosed conveyor 140 , ready for bagging.
Carbon Black (CBp)—Characteristics and Definitions
[0100] CBp is not the same as normal cure furnace N series virgin carbon black. Tire composition analysis indicates that there is a fair amount of inorganic compounds, most of these compounds remain with the char after pyrolysis, thus it is possible that the ash content of CBp could be as high as 15% in weight where as virgin carbon black typically has an ash content of below 1%. Small amount of surface deposits of pyrolytic carbon could also be formed and adsorbed on the CBp. However, the amount of insulation on the calciner, the amount of nitrogen and maintaining the calciner system pressure can serve to limit this carbon deposition.
[0101] It is not unusual to have N100, N200, N300 N600 and N700 series of virgin carbon black in a tire. Thus the recovered CBp will have a mixture of carbon blacks. However, the modified characteristics of the CBp can also be a plus for some specific applications in the plastic and rubber industries.
[0102] Carbon black is the predominant reinforcing filler used in rubber compounds, and the improvement in rubber properties is a function of the physical and chemical characteristics of carbon black. The most important fundamental physical and chemical properties are aggregate size and shape (structure), particle size, surface activities, and porosity. These properties are distributional in nature and this distribution in properties has an impact on rubber performance. Other non-fundamental properties include the physical form and residue. The physical form of carbon black (beads/pellets or powder) can affect the handling and mixing characteristics of carbon black and hence, rubber properties. The ultimate degree of dispersion is also a function of the mixing procedures and equipment used.
[0103] Structure/Aggregate Size: Carbon blacks do not exist as primary particles. Primary particles fuse to from aggregates, which may contain large number of particles. The shape and degree of branching of the aggregates is referred to as structure. The structure level of a carbon black ultimately determines its effects on several important in rubber properties. Increasing carbon black structure increases modules, hardness, electrical conductivity, and improves dispersibility of carbon black, but increases compound viscosity.
[0104] Particle Size is the fundamental property that has a significant effect on rubber properties. Finer particles lead to increased reinforcement, increased abrasion resistance, and improved tensile strength. However, to disperse finer particles requires increased mixing time and energy. Typical particle sizes range around 8 nanometers to 100 nanometers for furnace black. Surface area is used in the industry as an indicator of the fineness level of the carbon black.
[0105] Surface Activity, or Surface Chemistry is a function of the manufacturing process and the heat history of a carbon black. It is difficult to measure directly, surface activity manifests itself through its effect on rubber properties such as abrasion resistance, tensile strength, hysteresis, and modulus. The effect of surface activity on cure characteristics will depend strongly on the cure system in use.
[0106] Porosity is a fundamental property of carbon black that can be controlled during the production process. It can affect the measurement of surface area providing a total surface area larger than the external value. Increasing the porosity reduces the density of the aggregates. This allows a rubber compounder to increase carbon loading while maintaining compound specific gravity. This leads to an increase in compound modulus and electrical conductivity for a fixed loading.
[0107] Physical Form of carbon black has an impact on the handling and mixing characteristics of the carbon black. The most common form of rubber carbon black is beads (pellets).
The Pyrolytic Carbon Black (CBp) Product
[0108] Using their disclosed recycling process, the inventors have demonstrated that the pyrolysis of used rubber tires can generate a CBp that meets the consistently high quality levels demanded by the market. This implies that the CBp produced by the invention has a consistent composition falling within well defined limits following the ASTM (American Society for Testing and Materials) standards testing. To this end, the inventors have carried out extensive research to identify the operating conditions that would result in a CBp that demonstrates acceptable reinforcing levels when used as a filler in rubber. Their findings have shown that the morphology and characteristic of the CBp can be controlled in part by varying the process temperature and residence time. Utilizing the process herein disclosed which allows for strict control of temperature and other parameters such as pressure and the inertness of the gases within the reaction chamber and the cooler, CBp production can be optimized by consistently striking a balance between oil and gas production, and the associated sulphur content in the CBp.
[0109] These aspects of the invention will be more fully understood by reference to the following examples which are to be considered as merely illustrative thereof.
Example 1
[0110] Cleaned rubber tire shreds of 2″ (on the diagonal) were pyrolyzed in an anaerobic environment at four different temperatures: 450° C., 500° C., 600° C. and 700° C. Table 1 shows the process mass balance at the various pyrolysis temperatures. It can been seen that pyrolysis carried out at the higher temperatures favour oil production and while the lower operating temperatures favour char production.
[0000]
TABLE 1
Temp
Temp
Composition % Wt
(° C.)
(° F.)
Gases
Oil
Char
Total
450
842
5.8
40.2
46.2
92.2
500
932
3.1
42.3
43.7
89.1
600
1112
6.2
44.3
40.5
91
700
1292
5.7
45.5
38.6
89.8
[0111] Table 2 shows the gross calorific value and sulphur content of the oil and char generated at the four experimental pyrolysis temperatures. The results indicate that the oil sulphur content is greater at the higher pyrolysis temperatures and that contrarily, the char's sulphur content increases as the pyrolysis temperature is lowered.
[0000]
TABLE 2
Corrected
Corrected
Temp
Temp
GCV MJ/KG
CV MJ/KG
Sulphur Content %
(° C.)
(° F.)
Oil
Char
Oil
Char
450
842
42.3 +/− 0.3
31.1 +/− 0.6
1.11 +/− 0.09
2.17 +/− 0.13
500
932
42.4 +/− 0.3
30.2 +/− 0.2
1.11 +/− 0.19
2.21 +/− 0.35
600
1112
41.9 +/− 0.4
30.7 +/− 0.3
1.27 +/− 0.19
2.04 +/− 0.01
700
1292
41.2 +/− 0.4
30.6 +/− 0.3
1.27 +/− 0.11
2.10 +/− 0.03
[0112] It was also of interest to analyze the surface area of the char as a function of temperature. Table 3 presents the Brunaer, Emmett, and Teller (BET) surface area of the char at the four temperatures investigated. As can be seen, the data suggests that the surface area of the char increases with increasing pyrolysis temperature.
[0000]
TABLE 3
Temp (° C.)
Temp (° F.)
BET (m 2 /g)
450
842
38
500
932
55.5
600
1112
65.7
700
1292
62.4
[0113] The thermal decomposition of rubber in anaerobic conditions generates gaseous products and the rates of emission of these gases were also found to be correlated to the pyrolysis temperature. Tables 4-7 show the evolution rate of hydrogen, carbon monoxide, carbon dioxide, methane and other hydrocarbon (HC) gases at pyrolysis temperatures of 450° C., 500° C., 600° C. and 700° C. respectively. Table 4 shows that at 450° C., gas evolution climbs up and peaks at about 110 minutes into the pyrolysis process and levels off at around 125 minutes.
[0000]
TABLE 4
Time
Other HC
Cumulative
Temp.
H 2 (g)
CO (g)
CO 2 (g)
CH 4 (g)
Gases
(min)
(° C.)
Output (Mol)
20
110
0.001
0.001
0
0
0.001
25
200
0.002
0.002
0.001
0
0.006
35
300
0.003
0.003
0.01
0.013
40
320
0.004
0.002
0.012
0.007
0.014
45
325
0.005
0.005
0.012
0.022
55
400
0.01
0.001
0.003
0.017
0.034
65
430
0.011
0
0.003
0.02
0.032
85
450
0.015
0
0.004
0.015
0.02
105
425
0.065
0.002
0.006
0.036
0.05
125
405
0.003
0
0
0.002
0.002
155
400
0.001
0
0
[0114] At 500° C., the rate of gas evolution increases significantly and peaks in almost half the time when compared to 450° C., that is around 50 minutes into the pyrolysis process. Gas emission is found to level off around 100 minutes (Table 5).
[0000]
TABLE 5
Time
Other HC
Cumulative
Temp.
H 2 (g)
CO (g)
CO 2 (g)
CH 4 (g)
Gases
(min)
(° C.)
Output (Mol)
20
250
0.002
0
25
360
0.005
0.004
0.006
0.008
35
400
0.006
0.006
0.007
0.011
0.022
40
430
0.007
0.004
0.005
0.016
0.03
45
440
0.01
0.002
0.004
0.018
0.031
50
460
0.012
0.001
0.014
0.018
60
480
0.013
0
0.002
0.015
0.02
70
490
0.011
0.002
0.015
0.012
100
490
0.01
0.001
0.001
0.006
0.007
130
500
0.008
0
0
0.003
0.005
160
500
0.005
0
0
0.002
0.002
[0115] As the pyrolysis temperature is increased to 600° C., Table 6 shows that gas evolution peaks earlier, at 40 minutes, and levels off at around 140 minutes.
[0000]
TABLE 6
Time
Other HC
Cumulative
Temp.
H 2 (g)
CO (g)
CO 2 (g)
CH 4 (g)
Gases
(min)
(° C.)
Output (Mol)
20
250
0.001
0.002
0
0.001
25
330
0.01
0.001
0.007
0.015
0.023
35
370
0.015
0.007
0.006
0.011
0.028
40
410
0.025
0.007
0.001
0.022
0.048
45
465
0.024
0.004
0.004
0.025
0.072
50
460
0.022
0.004
0.005
0.025
0.062
60
500
0.032
0.003
0.002
0.023
0.045
80
550
0.03
0.002
0.002
0.022
0.022
110
560
0.02
0.001
0.002
0.01
0.002
140
565
0.008
0.001
0.001
0.003
0.001
170
570
0.002
0
0
0
[0116] Lastly, Table 7 presents data collected for evolution of the gases when pyrolyzing the rubber shreds at 700° C. It can be seen that gas production peaks at about 38 minutes and levels off around 140 minutes.
[0000]
TABLE 7
Time
Other HC
Cumulative
Temp.
H 2 (g)
C) (g)
CO 2 (g)
CH 4 (g)
Gases
(min)
(° C.)
Output (Mol)
20
275
0.002
0.002
0.001
25
410
0.0011
0.005
0.003
0.018
0.028
35
500
0.047
0.003
0.021
0.093
40
515
0.04
0.002
0.005
0.054
45
525
0.054
0.002
0.002
0.043
0.055
55
590
0.043
0.001
0.002
0.038
0.033
70
620
0.022
0.003
0.003
0.032
0.022
85
660
0.028
0.003
0.002
0.015
0.013
115
650
0.01
0.005
0.005
0.01
0.002
145
670
0.002
0.002
0.001
0
0
155
685
0.002
0.001
0
0
[0117] In summary, the research shows the critical importance of understanding how the pyrolysis temperature affects the quantity and quality of the oil, char and gas produced. The findings can be summarized as follows:
For the complete pyrolysis of tires, the operating temperature should not go below about 450° C. High pyrolysis temperatures favour oil yield and consequently, a lower yield of CBp. Lower pyrolysis temperatures favour char production and consequently, a lower yield of oil. The rate of gas evolution increases with increasing pyrolysis temperature. The CBp product contains a higher sulphur content when produced at lower pyrolysis temperatures. The oil has a higher sulphur content at higher pyrolysis temperatures. Higher pyrolysis temperatures favour the formation of a CBp having a greater surface area.
Example 2
[0125] Used rubber tire shreds of 1½ or less were pyrolyzed at 450° C. in an inert nitrogen atmosphere. Following a cooling period, the char was collected and the steel removed with the use of a magnet. The crude CBp was milled to pass a 325-mesh sieve. The milled CBp (bulk density of 25 lb/ft 3 ) was mixed with 1% Norlig G (calcium lignosulphonate binder) then pelletized using an agglomerator. The product was subsequently dried at a temperature of 120° C. and the product screened at 2.0×150 microns (10×100 mesh). The bulk density of the pellets produced was approximately 35 lb/ft 3 .
Example 2a
[0126] The pelletized CBp was subsequently tested in two natural rubber formulations (ASTM D3192). Rubber compound A was formulated with conventional N-762 and rubber compound B with the CBp. The results are presented in Tables 8, 9 and 10.
[0000]
TABLE 8
Compund A
Compound B
Natural Rubber
100
100
N-762
50
0
CBp
0
50
Zinc Oxide
5
5
Stearic Acid
3
3
Sulphur
2.5
2.5
TBBS
0.6
0.6
[0000]
TABLE 9
Reometer Cure Data at 145° C.
Compound A
Compound B
Min. Torque,
14.25
11.25
lb-in
Max. Torque,
75.5
53.5
lb-in
Time to 2-pt
7.5
3.65
rise, min
Time to 90%
21.25
14.5
cure, min
Cure rate
13.75
10.85
(t 90 − t 2 ), min
[0000]
TABLE 10
Vulcanize Normal Properties
Compound A
Compound B
Cure Time at 145° C.,
20
14
min
Hardness Shore A
59
53
Modulus psi 100%
370
225
Modulus psi, 300%
1770
615
Tensile Strength psi
3410
2250
Elongation @ Break %
485
570
Tear Strength Die C
314
220
Compression Set %
16.5
19
Example 2b
[0127] The utility and reliability of the styrene butadiene rubber (SBR) have made this copolymer the most important and widely used rubber in the world. The following results show the reinforcement character of the CBp in a blend formula with a higher structure carbon black, N339. The same blend with conventional N-762 is also compared (Tables 11-13).
[0000]
TABLE 11
Compound A
Compound B
Compound C
SBR-1712
137.5
137.5
137.5
N-339
82.5
41.5
41.5
N-762
0
0
41.5
CBp
0
41.5
0
Sundex 790
25
25
25
Zinc Oxide
3
3
3
Sulphur
1.75
1.75
1.75
Stearic Acid
1.5
1.5
1.5
TBBS
1.25
1.25
1.25
[0000]
TABLE 12
Reometer Cure Data at 145° C.
Compound A
Compound B
Compound C
Min. Torque,
14
14
14
lb-in
Max. Torque,
41
36
36
lb-in
Time to 2-pt
2.7
3.1
3.1
rise, min
Time to 90%
6.2
6.9
6.2
cure, min
Cure rate
96
80
83
(t 90 − t 2 ), min
[0000]
TABLE 13
Vulcanize Normal Properties
Compound A
Compound B
Compound C
Durometer Hardness
65
58
58
Modulus psi 100%
318
198
253
Modulus psi, 300%
1258
640
893
Tensile Strength psi
1986
1139
1430
Elongation @ Break %
465
547
500
Specific Gravity
1.15
1.15
1.15
Example 3
[0128] Used rubber tire shreds of 1½ or less were pyrolyzed at 500° C. in an inert nitrogen atmosphere. Following a cooling period, the char was collected and the steel removed with the use of a magnet. The crude CBp was milled to pass a 325-mesh sieve. The milled CBp (bulk density of 25 lb/ft 3 ) was mixed with 1% Norlig G (calcium lignosulphonate binder) then pelletized using an agglomerator. The product was subsequently dried at a temperature of 120° C. and the product screened at 2.0×150 microns (10×100 mesh). The bulk density of the pellets produced was approximately 35 lb/ft 3 .
Example 3a The CBp was tested by using it in a natural rubber formulation according to ASTM 3192. The results are set out in Tables 14-16.
[0129]
[0000]
TABLE 14
Compound A
Compound B
Compound C
Natural
100
100
100
Rubber
CBp
50
0
35
N-762
0
50
0
N-330
0
0
15
Zinc Oxide
5
5
5
Stearic Acid
3
3
3
Sulphur
2.5
2.5
2.5
TBBS
0.6
0.6
0.6
[0000]
TABLE 15
Reometer Cure Data at 145° C.
Compound A
Compound B
Compound C
Min. Torque,
16.5
16.75
19.25
lb-in
Max. Torque,
80.7
81.5
81.5
lb-in
Time to 2-pt
3.5
4.5
4
rise, min
Time to 90%
18
17
17
cure, min
Cure rate
14.5
12.5
13
(t 90 − t 2 ), min
[0000]
TABLE 16
Vulcanize Normal Properties
Compound A
Compound B
Compound C
Hardness Shore A
60
61
63
Modulus psi 100%
345
355
415
Modulus psi, 300%
1390
1570
1695
Tensile Strength psi
3640
3280
3645
Elongation @ Break %
530
490
505
Tear Strength Die C
357
347
395
[0130] Based on the described pyrolysis conditions and follow up controlled operating conditions as described in Examples 1, 2 and 3, the inventors have discovered that the pyrolysis of rubber tire shreds at temperatures between about 450 and 500° C., but preferably at about 500° C., can generate a high grade marketable CBp product. Properties of the CBp produced include a toluene discoloration transmission of 90%. Other characteristic of the CBp are summarized in Table 17 and were measured on a sample free of steel and milled with undersize below 325 mesh prior to pelletization.
[0000]
TABLE 17
Properties
UNITS
N762
N550
CBp
ASTM
Ash content
%
0.26
0.34
9-15
D1516
Pour density
lb/ft 3
31.2
22.6
24-26
D1513
Heat loss, as packaged
%
0.1
0.1
1.0 max
D1509
35 mesh sieve residue
%
0
0
0
D1514
325 mesh sieve residue
%
0.003
0.002
0.2 max
D1514
Toluene discoloration,
%
83
95
90
D1613
425 mu
Pellet crush strength,
gm
14
8
20
D1937
min
Pellet crush strength,
gm
41
32
50
D1937
max
Fine 5′ rotap (pelleted
%
4.4
3.6
8
D1508
fines content) max
Iodine adsorption
mg/gm
28.3
43.3
30
D1510
DBP 1
cc/100 gm
64.4
119.9
65
D2414
Min. tensile-SBR 2
psi
3110
2070
2500
D3191
Min. tensile-NR 3
psi
3627
3740
3100
D3192
1 n-dibutyl phthalate absorption number
2 styrene-butadiene rubber
3 natural rubber
[0131] Other modifications and alterations may be used in the design and manufacture of other embodiments according to the present invention without departing from the spirit and scope of the invention, which is limited only by the accompanying claims. | The invention relates a pyrolytic carbon black produced from pyrolyzed rubber, the pyrolytic carbon black having an ash content ranging between 9-15%, a toluene discoloration at 425 mu of between 80-90% transmission, an iodine adsorption between 30 and 45 mg/g; and, an n-dibutyl phthalate absorption number of or to 65 cc/100 gm. | 93,581 |
CROSS REFERENCE TO RELATED APPLICATION
Not Applicable
STATEMENT REGARDING FEDERALLY SPONSORED RESEARCH OR DEVELOPMENT
Not Applicable
THE NAMES OF THE PARTIES TO A JOINT RESEARCH AGREEMENT
Not Applicable
INCORPORATION-BY-REFERENCE OF MATERIAL SUBMITTED ON A COMPACT DISC
Not Applicable
BACKGROUND OF THE INVENTION
Field of the Invention
This invention relates to improvements in a locating pin. More particularly, the present Safety Key That Identifies Improper Insertion notifies that the pin is not properly inserted to prevent injury when the pin is not completely and properly inserted.
Description of Related Art Including Information Disclosed Under 37 CFR 1.97 and 1.98:
There are several different pieces of equipment that utilize a pole with one or multiple holes and use a pin that fits through one or more holes to retain a position of the pin in the pole. Equipment that uses this type of design is height lifting equipment, seat positioning and inversion equipment. Proper insertion of the pin is often difficult for inexperience people. Even for experienced users with poor vision, proper insertion that makes sure the pin completely and safely inserted is difficult to determine. The most common pin is an elongated shank with an enlarged end that is gripped by the user. Where the pin is not visible on both sides of the hole, proper insertion is difficult to determine. A number of patents and or publications have been made to address these issues. Exemplary examples of patents and or publication that try to address this/these problem(s) are identified and discussed below.
U.S. Pat. No. 5,556,362 issued on Sep. 17, 1996 to Allen M. Whipps discloses an Automatic Weight Stack pin Selector. The pin is a self-releasing pin for a weight training machine of the type having a vertical stack of weights. The self-releasing pin automatically releases a selected number of weights from engagement with a lifting bar when the selected number of weights is returned to a resting position. The pin does not have a visual indicator that the pin has been properly inserted.
U.S. Pat. No. 6,786,669 issued on Sep. 7, 2004 to Walter Tsui et al., discloses a Positive Lock Quick Release Pin. The positive lock quick release pin is for locking a plurality of objects together includes an internal shaft connected to an external shaft with a handle portion. The internal pin slides within the outer shaft that elevates to show that the pin is engages. While this provides a visual indicated, a person looking directly at the pin can't determine that the pin has been properly inserted.
U.S. Pat. No. 6,869,243 issued on Mar. 22, 2005 to Roger C. Teeter discloses a Cotter Having Indicator [A] Device used in an inversion bench. The cotter is used for locking or latching tubes or extensions together, and includes a shank having a lower end, a handle attached to top of the shank, a ferrule slidably attached onto the shank and arranged between the handle and the lower end of the shank and having a portion applied with an indicating layer. The indicator is visible from the side, but from the perspective of a user, correct insertion of the cotter is not visible.
U.S. Pat. No. 8,454,260 issued on Jun. 4, 2013 to Ken Wilcoxson discloses a Weight Selecting Pop-pin. The pop-pin has a spring loaded into an unstable equilibrium position can be inserted into a weight stack to select a weight and vertical guide bar. While this pin uses a spring, the pin does not provide an indicator that the pin has been properly installed.
What is needed is a single-sided insertion pin that provides a visual indicator from all sides of the insertion pin that the pin has been properly inserted. The safety key that identifies improper insertion described in this document provides the solution.
BRIEF SUMMARY OF THE INVENTION
It is an object of the safety key that identifies improper insertion for use with an inversion bench or other product that requires confirmation that a pin has been properly inserted into one or a plurality of concentric holes. The use of inversion benches allows a person to relieve pressure on a back and help align the spine. For many of the inversion benches, a user must temporarily lock their ankles into the bench prior to inversion. If the ankles are not properly locked into the bench, the user can slide or fall out of the bench and cause injury. Many users use the inversion bench without glasses or are older and have poor eyesight. The safety key must provide a clear visual indication that the key has been properly inserted regardless of the viewing angle of the user, or care giver before inversion of the bench begins.
It is another object of the safety key that identifies improper insertion to include a spring loaded pin and inner shaft that engages into locating hole in the inversions bench. When the pin is inserted into the bench, the pin must pass through several holes. The final hole enters the structural frame and secures the ankle clamp to the bench. While the pin may appear to be inserted into the bench, it is simple for a new, unskilled or unfamiliar user or care giver to insert the pin without knowing if the pin has been correctly inserted completely through all of the openings to ensure that the pin is extended into the structural member. The pin slides in and through central shaft.
It is still another object of the safety key that identifies improper insertion for the key to have wings that extend from the key. There are two wings that fold, extend or tip from the body of key. Because the wings extend outwardly from the key they are visible from all sides of the key. In addition to the visual appearance, a user who is completely blind can also feel the sides to the key to determine if the key has been properly inserted into the inversion bench.
Various objects, features, aspects, and advantages of the present invention will become more apparent from the following detailed description of preferred embodiments of the invention, along with the accompanying drawings in which like numerals represent like components.
BRIEF DESCRIPTION OF THE SEVERAL VIEWS OF THE DRAWING(S)
FIG. 1 shows an inversion bench with a properly inserted safety key.
FIG. 2 shows an improperly inserted safety key in an inversion bench.
FIG. 3 shows a safety key as it would appear in a properly inserted condition.
FIG. 4 shows a safety key as it would appear when improperly inserted.
FIG. 5 shows a perspective cross-sectional view from FIG. 3 of the safety key with the wings retracted.
FIG. 6 shows a cross-sectional view of the safety key from FIG. 3 with the wings retracted.
FIG. 7 shows a cross-sectional view of the safety key from FIG. 4 with the wings extended.
DETAILED DESCRIPTION OF THE INVENTION
FIG. 1 shows an inversion bench 10 with a properly inserted safety key 20 . The inversion bench 10 allows a user to enter the inversion bench in an approximately vertical orientation. The user stands on the foot peg 15 . The user steps into the inversion bench and places the back of their ankles in the bottom of the bench. The front of their ankles are held under front cushions 16 . The safety key 20 locks the legs of the user in the inversion bench prior to inversion. If the ankles are not properly locked in the inversion bench, as the bench begins to invert a user can slide out the end of the bench 10 . In this figure the safety key 20 is shown properly inserted.
When the person is properly secured in the inversion bench 10 , the inversion bench pivots through axle 18 to allow the feet of a person to be elevated over the head of the user. The inversion bench has an elongated telescoping tube 17 that allows the person to adjust their center-of-gravity relative to the pivoting axis 18 of the inversion bench. If the key was not properly inserted into the safety key 20 , the wings of the safety key 20 will extend out the sides of the key where the wings are visible from any top or side viewing angle as shown in FIG. 2 .
FIG. 2 shows an improperly inserted safety key 20 in an inversion bench 10 . This view is focused in the area of the inversion bench 10 surrounding the safety key 20 . The rear ankle pads 15 and the front ankle pads 16 are visible. The safety key 20 is placed through the horizontal tube into the holes 14 where the ankles of the person are sandwiched between front 16 and rear 15 ankle supports. The physical geometry of each person is different and the dimension between the front 16 and rear ankles 15 can be different. The multiple holes 14 allow for adjustment of the different physical size of each user to ensure that the ankles are securely retained to support a person in the inverted orientation of the inversion bench.
From this view the safety key 20 is shown improperly inserted. A user can easily determine that the key is improperly inserted because the wings 30 and 31 are shown extended from the body 21 of the safety key 20 . To insert the safety key 20 , a user or care giver pulls out the handle 45 and pushes the end of the safety key 20 into the ankle retainer of the inversion table. When the safety key 20 is properly inserted the wings 30 and 31 are retracted into the safety key 20 whereby a user can easily see that the safety key 20 is properly installed before the user begins inversion of the bench.
While these figures show and describe the safety key 20 being used with an inversion bench, it should be understood that the safety key 20 can be used in all other pieces of equipment that identifies when alignment of two or more holes is achieved. Other pieces of equipment include, but are not limited to strength machines, exercise equipment and benches with multiple angle adjustments.
FIG. 3 shows a safety key 20 as it would appear in a properly inserted condition and FIG. 4 shows a safety key 20 as it would appear when improperly inserted. The safety key 20 has a cylindrical body with a larger outer diameter 21 and a smaller diameter 23 . A handle 45 connects to internal rod components that extend from the handle 45 through the cylindrical body to the tip 40 . The tip 40 has a shoulder 41 that restrains a compression spring 50 . The compression spring 50 pushes against an interior surface of the safety key 20 and against the shoulder of the enlarged portion 41 of the tip 40 to help maintain the internal shaft in the position shown in FIG. 3 .
When the safety key 20 is properly inserted into the inversion bench the tip 40 is extended through the locating holes in the ankle retainer in the inversion bench. If the tip 40 of the safety key 20 does not extend into a hole in the inversions bench the tip 40 is pushed into the body 23 and 21 of the safety key 20 . When the tip 40 is pushed into the body of the safety key 20 internal features of the safety key 20 extend the wings 30 and 31 from the cylindrical body sides of the safety key 20 as shown in FIG. 4 to provide an obvious visual indicator that the safety key 20 is not properly inserted in the holes in the inversions bench. The wings 30 and 31 pivot from the body 21 through pivot axles 61 and 60 (not shown in this figure). Recess(es) 22 allow the wings 30 and 31 to lay flat against the sides of the safety key 20 to provide a cylindrical appearance when the key is properly positioned to notify a user that the inversion bench is safe to rotate.
The user can also pull on handle 45 to pull shaft 46 out of the body of the safety key 20 . Pulling the handle 45 will also extend the wings 30 and 31 from the body of the safety key 20 . If the handle 45 is released the compression spring 50 will return the wings 30 and 31 to the normal retracted position as shown in FIG. 3 .
FIG. 5 shows a perspective cross-sectional view from FIG. 3 of the safety key 10 with the wings retracted, FIG. 6 shows a cross-sectional view of the safety key 10 from FIG. 3 with the wings retracted and FIG. 7 shows a cross-sectional view of the safety key 10 from FIG. 4 with the wings extended. The cylindrical body 21 of the safety key 10 has a larger diameter 21 and a stepped smaller diameter 23 . The smaller stepped diameter 23 approximates the mounting surface in the inversion table.
The cylindrical body 21 has a central pin that slides within the cylindrical body 21 . The central pin 40 is biased with a compression spring 50 in the cylindrical body. The shoulder 41 on the central pin 40 provides a surface for the compression spring 50 to push against on one side and the inside of the cylindrical body 23 has a shoulder to push against the opposing side of the compression spring 50 . The central pin further has at least one guide pin 63 and 64 for guiding the deployable wings 30 and 31 .
At least one wing 30 and or 31 is pivotally secured to the cylindrical body through pivoting axis 60 and 61 respectively. Each wing 30 and 31 has at least one arm 32 and 33 respectively that slidably are connected to the at least one guide pin 64 and 63 respectively whereby the guide pin(s) 64 and 63 moves the wing 30 and 31 into alignment with the cylindrical body 21 and the wing 30 and 31 extend from the body 21 based upon a position of the central pin. A conical bushing 52 also pushes against the arms 32 and 33 to rotate the wings 30 and 32 from the body 21 of the safety key 20 . A handle 45 is connected to a shaft 46 through the body of the safety key 10 to compress spring 50 and extend the wings 30 and 31 .
The safety key 20 has at least one wing 30 that opens out of the cylindrical body 21 when the central pin 40 is not engaged 12 in an inversion table 17 , inversion bench or exercise equipment as shown in FIG. 7 . The safety key 20 includes a receiver 17 configured to accept said smaller body diameter 23 and said two different cylindrical diameters 40 and 41 of the central pin. The receiver has a fixed tube 17 with at least one hole 13 and a movable tube with at least one hole 14 where the holes 13 and 14 can be concentric and have different diameters. When the central pin 40 is inserted into the at least two concentric holes 13 and 14 (as shown in FIG. 6 ) at least one wing 31 is recessed in the cylindrical body 21 . The extended wing 31 is a visual indicator that the at least two different 13 and 14 in the two different surfaces are not aligned or concentric (as shown in FIG. 7 ) and the inversion table 17 or said inversion bench is not safe to invert or exercise equipment is not safe to operate.
Thus, specific embodiments of a safety key that identifies improper insertion have been disclosed. It should be apparent, however, to those skilled in the art that many more modifications besides those described are possible without departing from the inventive concepts herein. The inventive subject matter, therefore, is not to be restricted except in the spirit of the appended claims.
SEQUENCE LISTING
Not Applicable. | A key with extending wings. The with at least one wing that open when the key is not properly installed and the at least one wing retract into the body of the key when the key has been properly inserted regardless of the viewing angle of the key. The key identifies improper insertion and include a spring-loaded pin and inner shaft that engages into aligned locating holes in an inversion bench. In addition to the visual appearance, a blind user can feel the sides to the key to determine if the key has been properly inserted into the inversion bench. | 15,551 |
CROSS-REFERENCE TO RELATED APPLICATIONS
[0001] This application claims the benefit of U.S. Provisional Application Nos. 61/106,173, filed Oct. 17, 2008, the disclosure of which is incorporated herein by reference in its entirety.
STATEMENT REGARDING FEDERALLY SPONSORED RESEARCH
[0002] This invention was made in part with United States Government support under National Institutes of Health Grant Nos. R21 HL72141. The United States Government has certain rights in the invention.
BACKGROUND
[0003] Human Adipose-derived cells can be formulated into 3-dimensional multicellular aggregates (MAs) and maintained for prolonged periods in suspension culture. These MAs produce self-generated extracellular matrix including collagen and other ECM components, without the addition of exogenous matrix factors and without the need for animal derived products. The ECM can be generated using a patients own cells (i.e. autologous), or can be generated using other's cells (i.e., allogeneic). The resulting ECM aggregates can be further processed to devitalize the cellular components, to yield an acellular 3-D matrix or scaffold—producing what would be considered an acellular device by the FDA, and avoiding transplantation/transmission of cells and/or other potential organisms. The cells can be devitalized in any number of ways known in the art, such as by temperature (ex. heat shock, freeze-thaw), osmotic shock (ex. exposure to hypotonic or hypertonic solutions), ultraviolet light exposure, gamma irradiation, mechanical, chemical (ex. fixatives such as formaldehyde) or other similar methods, or combination of methods. In addition, the ECM components, such as collagen can be further extracted and/or purified, and/or further processed/stabilized (such as by cross-linking) prior to use.
BACKGROUND
[0004] As disclosed herein the extracellular matrix produced form the adipose-derived 3-dimensional multicellular aggregates can be modified and/or isolated and used for various therapeutic purposes.
SUMMARY OF THE INVENTION
[0005] The present invention provides compositions and methods useful for regulating production of extracellular matrix (ECM) molecules in adipose-derived stromal cells. The present invention further provides methods for isolating and using the ECM molecules.
[0006] ECM molecules produced according to the methods of the invention include, but are not limited to, collagen type I, collagen type III, collagen type VI, fibronectin, tenascin, decorin, biglycan, and MMPs. In one aspect, the ECM molecules are autologous. In another aspect, they are allogeneic. In one aspect, the invention provides complex mixtures of ECM molecules.
[0007] In one embodiment, the invention provides methods for removing cells from the ECM or for devitalizing the cellular components.
[0008] The compositions and methods of the invention useful for diagnostic and therapeutic purposes.
[0009] In one embodiment, adipose-derived stromal cells can be stimulated to produce ECM molecules in vitro in the absence of animal-derived products. In another embodiment, adipose-derived stromal cells can be stimulated to produce ECM molecules in vitro in the absence of serum.
[0010] In one embodiment, the ECM components can be generated in a three-dimensional complex or scaffold type structure. In one aspect, the three-dimensional complex comprises multicellular aggregates (MA). In one aspect, ECM and growth factors and cytokines are induced in adipose-derived stromal cells when induced to form MAs. The modular adipogenic construct includes cellular components with adipogenic potential (including adipose stem cells) and has a self-generated extracellular matrix. Furthermore, the modular adipogenic construct is serum-free, free of exogenous materials, xenogenic-free, and free of other synthetic components. This basic modular construct is prepared by harvesting adipose tissue from a mammalian subject, isolating adipose tissue-derived stromal cells from the harvested adipose tissue, and culturing the isolated cells in 3-dimensional multicellular aggregates in a controlled, reproducible fashion. Culturing of isolated cells means the in vitro culturing of the isolated adipose tissue-derived stromal cells using appropriate means and methods. In one embodiment the adipose tissue is isolated from a human and in one embodiment the adipose tissue is harvested from the same individual that will receive a subsequently formed 3-dimensional multicellular aggregate implant derived from the harvested adipose tissue.
[0011] The preparation of multicellular aggregate can be prepared as described herein and in previous patent applications: US Provisional Application Nos. 61/221,577, filed Jun. 30, 2009; 61/118,055, filed Nov. 26, 2008; 61/107,398, filed Oct. 22, 2008; 61/106,758, filed Oct. 20, 2008; U.S. patent application Ser. No. 12/444,412, filed Apr. 6, 2009 and International application no. PCT/US2009/033220, filed Feb. 5, 2009 (published on Aug. 13, 2009 as WO 2009/100219), the disclosures of which are incorporated herein by reference in their entirety. In accordance with one embodiment, harvesting adipose tissue means the surgical removal of adipose tissue from other tissues naturally associated tissues resulting in a substantial enrichment of adipose tissue. In one embodiment harvesting adipose tissue is conducted either by excision, or more commonly, by liposuction. Isolation of adipose tissue-derived stromal cells from adipose tissues includes enriching for stromal cells relative to the harvested adipose tissue. Isolation of stromal cells can be conducted using mechanical and/or chemical processes by which the adipose tissue-derived stromal cells are separated (isolated) from the harvested adipose tissue. Typically the isolated stromal cells are cultured prior to formation of the 3-dimensional modular adipogenic constructs disclosed herein and such culturing steps include the in vitro culturing of the isolated adipose tissue-derived stromal cells using appropriate means and methods.
[0012] In accordance with one embodiment a method of regulating ECM production in adipose-derived stromal cells is provided. This method can be used to produce multiple ECM components, including collagens which are core component of tissue repair (especially skin and bone), which can be isolated from the underlying cells using standard techniques known to those skilled in the art. The method for preparing the adipose-derived stromal cell ECMs comprises the steps of
[0013] a. harvesting adipose tissue from a mammalian subject;
[0014] b. isolating adipose tissue-derived stromal cells from the harvested adipose tissue; and
[0015] c. culturing the isolated cells in 3-dimensional multicellular aggregates in a media selected to produce a desired extracellular matrix content. In one embodiment the isolated cells in 3-dimensional multicellular aggregates are cultured in the absence of non-human animal derived components. In one embodiment the isolated cells in 3-dimensional multicellular aggregates are cultured in serum free media. The content of the produced extracellular matrix (including the total concentration of collagen and other ECM components as well as their relative percent concentrations) can be further manipulated by selecting the composition of the media the isolated cells in 3-dimensional multicellular aggregates are cultured. For example, the isolated cells in 3-dimensional multicellular aggregates can be culture in the presence or absence of serum, in the presence of various vitamins, growth factors or other know bioactive factors to alter the composition of the resulting extracellular matrix secreted by the isolated cells in 3-dimensional multicellular aggregates. After preparation of the extracellular matrix, the isolated cells in 3-dimensional multicellular aggregates can optionally be removed using standard techniques to yield an acellular ECM product.
[0016] The 3-dimensional multicellular aggregate produced ECM can be prepared using autologous or off-the-shelf allogeneic paradigms and used to assist in the repair of damaged or diseased tissues in vivo. In accordance with one embodiment a method for inducing or enhancing the repair of damaged or diseased tissues is provided wherein 3-dimensional multicellular aggregate produced ECM is implanted into a patient. In one embodiment the 3-dimensional multicellular aggregate produced ECM is an acellular ECM product. Various therapeutic applications of the ECM components of the invention are described herein or would be understood by those of ordinary skill in the art.
[0017] Various aspects and embodiments of the invention are described in further detail below.
BRIEF DESCRIPTION OF THE DRAWINGS
[0018] FIG. 1A-C : represent a series of bar graphs depicting the respective concentration of FN1 Isoform 1 of fibronectin precursor ( FIG. 1A ), TNC Isoform 1 of Tenascin precursor ( FIG. 1B ) and THBS1 Thrombospondin-1 precursor ( FIG. 1C ) in adipose-derived cells relative to multicellular aggregates of adipose-derived cells.
[0019] FIG. 2 : is a bar graph showing the collagen content of the macrocellular aggregates (MAs) of Adipose Stem/Stromal Cells with and without vitamin C-induced collagen synthesis and without P-ascorbate. H8-08L FT denotes a human adipose stromal cell sample obtained from liposuction.
[0020] FIG. 3A-3D : provides standard curve analysis of sonicated MAs sample solutions.
DETAILED DESCRIPTION
Abbreviations and Acronyms
[0021] ASC—adipose-derived stromal cell
[0022] ECM—extracellular matrix
[0023] MA—multicellular aggregate
DEFINITIONS
[0024] In describing and claiming the invention, the following terminology will be used in accordance with the definitions set forth below.
[0025] The articles “a” and “an” are used herein to refer to one or to more than one (i.e., to at least one) of the grammatical object of the article. By way of example, “an element” means one element or more than one element.
[0026] The term “about,” as used herein, means approximately, in the region of, roughly, or around. When the term “about” is used in conjunction with a numerical range, it modifies that range by extending the boundaries above and below the numerical values set forth. In general, the term “about” is used herein to modify a numerical value above and below the stated value by a variance of 10%. Therefore, about 50% means in the range of 45%-55%. Numerical ranges recited herein by endpoints include all numbers and fractions subsumed within that range (e.g. 1 to 5 includes 1, 1.5, 2, 2.75, 3, 3.90, 4, and 5). It is also to be understood that all numbers and fractions thereof are presumed to be modified by the term “about.”
[0027] The terms “additional therapeutically active compound” or “additional therapeutic agent”, as used in the context of the present invention, refers to the use or administration of a compound for an additional therapeutic use for a particular injury, disease, or disorder being treated. Such a compound, for example, could include one being used to treat an unrelated disease or disorder, or a disease or disorder which may not be responsive to the primary treatment for the injury, disease or disorder being treated. Disease and disorders being treated by the additional therapeutically active agent include, for example, hypertension and diabetes. The additional compounds may also be used to treat symptoms associated with the injury, disease or disorder, including, but not limited to, pain and inflammation.
[0028] “Adipose-derived stem cells”, also referred to as “adipose-derived stromal cells” herein, refer to cells that originate from adipose tissue. By “adipose” is meant any fat tissue. The adipose tissue may be brown or white adipose tissue, derived from subcutaneous, omental/visceral, mammary, gonadal, or other adipose tissue site. Preferably, the adipose is subcutaneous white adipose tissue. Such cells may comprise a primary cell culture or an immortalized cell line. The adipose tissue may be from any organism having fat tissue. Preferably, the adipose tissue is mammalian, more preferably, the adipose tissue is human. A convenient source of adipose tissue is from liposuction surgery, however, the source of adipose tissue or the method of isolation of adipose tissue is not critical to the invention.
[0029] The term “adult” as used herein, is meant to refer to any non-embryonic or non-juvenile subject. For example the term “adult adipose tissue stem cell,” refers to an adipose stem cell, other than that obtained from an embryo or juvenile subject.
[0030] A disease or disorder is “alleviated” if the severity of a symptom of the disease, condition, or disorder, or the frequency with which such a symptom is experienced by a subject, or both, are reduced.
[0031] As used herein, an “analog” of a chemical compound is a compound that, by way of example, resembles another in structure but is not necessarily an isomer (e.g., 5-fluorouracil is an analog of thymine).
[0032] As used herein, amino acids are represented by the full name thereof, by the three letter code corresponding thereto, or by the one-letter code corresponding thereto, as indicated in the following table:
[0000]
Full Name
Three-Letter Code
One-Letter Code
Aspartic Acid
Asp
D
Glutamic Acid
Glu
E
Lysine
Lys
K
Arginine
Arg
R
Histidine
His
H
Tyrosine
Tyr
Y
Cysteine
Cys
C
Asparagine
Asn
N
Glutamine
Gln
Q
Serine
Ser
S
Threonine
Thr
T
Glycine
Gly
G
Alanine
Ala
A
Valine
Val
V
Leucine
Leu
L
Isoleucine
Ile
I
Methionine
Met
M
Proline
Pro
P
Phenylalanine
Phe
F
Tryptophan
Trp
W
[0033] The expression “amino acid” as used herein is meant to include both natural and synthetic amino acids, and both D and L amino acids. “Standard amino acid” means any of the twenty standard L-amino acids commonly found in naturally occurring peptides. “Nonstandard amino acid residue” means any amino acid, other than the standard amino acids, regardless of whether it is prepared synthetically or derived from a natural source. As used herein, “synthetic amino acid” also encompasses chemically modified amino acids, including but not limited to salts, amino acid derivatives (such as amides), and substitutions Amino acids contained within the peptides of the present invention, and particularly at the carboxy- or amino-terminus, can be modified by methylation, amidation, acetylation or substitution with other chemical groups which can change the peptide's circulating half-life without adversely affecting their activity. Additionally, a disulfide linkage may be present or absent in the peptides of the invention.
[0034] The term “amino acid” is used interchangeably with “amino acid residue,” and may refer to a free amino acid and to an amino acid residue of a peptide. It will be apparent from the context in which the term is used whether it refers to a free amino acid or a residue of a peptide.
[0035] Amino acids have the following general structure:
[0000]
[0036] Amino acids may be classified into seven groups on the basis of the side chain R: (1) aliphatic side chains, (2) side chains containing a hydroxylic (OH) group, (3) side chains containing sulfur atoms, (4) side chains containing an acidic or amide group, (5) side chains containing a basic group, (6) side chains containing an aromatic ring, and (7) proline, an imino acid in which the side chain is fused to the amino group.
[0037] The nomenclature used to describe the peptide compounds of the present invention follows the conventional practice wherein the amino group is presented to the left and the carboxy group to the right of each amino acid residue. In the formulae representing selected specific embodiments of the present invention, the amino- and carboxy-terminal groups, although not specifically shown, will be understood to be in the form they would assume at physiologic pH values, unless otherwise specified.
[0038] The term “basic” or “positively charged” amino acid as used herein, refers to amino acids in which the R groups have a net positive charge at pH 7.0, and include, but are not limited to, the standard amino acids lysine, arginine, and histidine.
[0039] The term “antibody,” as used herein, refers to an immunoglobulin molecule which is able to specifically bind to a specific epitope on an antigen. Antibodies can be intact immunoglobulins derived from natural sources or from recombinant sources and can be immunoreactive portions of intact immunoglobulins. Antibodies are typically tetramers of immunoglobulin molecules. The antibodies in the present invention may exist in a variety of forms including, for example, polyclonal antibodies, monoclonal antibodies, Fv, Fab and F(ab) 2 , as well as single chain antibodies and humanized antibodies.
[0040] As used herein, the term “antisense oligonucleotide” or antisense nucleic acid means a nucleic acid polymer, at least a portion of which is complementary to a nucleic acid which is present in a normal cell or in an affected cell. “Antisense” refers particularly to the nucleic acid sequence of the non-coding strand of a double stranded DNA molecule encoding a protein, or to a sequence which is substantially homologous to the non-coding strand. As defined herein, an antisense sequence is complementary to the sequence of a double stranded DNA molecule encoding a protein. It is not necessary that the antisense sequence be complementary solely to the coding portion of the coding strand of the DNA molecule. The antisense sequence may be complementary to regulatory sequences specified on the coding strand of a DNA molecule encoding a protein, which regulatory sequences control expression of the coding sequences. The antisense oligonucleotides of the invention include, but are not limited to, phosphorothioate oligonucleotides and other modifications of oligonucleotides.
[0041] The term “autologous”, as used herein, refers to something that occurs naturally and normally in a certain type of tissue or in a specific structure of the body. In transplantation, it refers to a graft in which the donor and recipient areas are in the same individual, or to blood that the donor has previously donated and then receives back, usually during surgery.
[0042] The term “basal medium”, as used herein, refers to a minimum essential type of medium, such as Dulbecco's Modified Eagle's Medium, Ham's F12, Eagle's Medium, RPMI, AR8, etc., to which other ingredients may be added. The term does not exclude media which have been prepared or are intended for specific uses, but which upon modification can be used for other cell types, etc.
[0043] The term “blastema”, as used herein, encompasses inter alia, the primordial cellular mass from which an organ, tissue or part is formed as well as a cluster of cells competent to initiate and/or facilitate the regeneration of a damaged or ablated structure.
[0044] The term “biocompatible,” as used herein, refers to a material that does not elicit a substantial detrimental response in the host.
[0045] The terms “cell” and “cell line,” as used herein, may be used interchangeably. All of these terms also include their progeny, which are any and all subsequent generations. It is understood that all progeny may not be identical due to deliberate or inadvertent mutations.
[0046] The terms “cell culture” and “culture,” as used herein, refer to the maintenance of cells in an artificial, in vitro environment. It is to be understood, however, that the term “cell culture” is a generic term and may be used to encompass the cultivation not only of individual cells, but also of tissues, organs, organ systems or whole organisms, for which the terms “tissue culture,” “organ culture,” “organ system culture” or “organotypic culture” may occasionally be used interchangeably with the term “cell culture.”
[0047] The phrases “cell culture medium,” “culture medium” (plural “media” in each case) and “medium formulation” refer to a nutritive solution for cultivating cells and may be used interchangeably.
[0048] A “compound,” as used herein, refers to any type of substance or agent that is commonly considered a drug, or a candidate for use as a drug, combinations, and mixtures of the above, as well as polypeptides and antibodies of the invention.
[0049] A “conditioned medium” is one prepared by culturing a first population of cells or tissue in a medium, and then harvesting the medium. The conditioned medium (along with anything secreted into the medium by the cells) may then be used to support the growth or differentiation of a second population of cells.
[0050] A “control” cell, tissue, sample, or subject is a cell, tissue, sample, or subject of the same type as a test cell, tissue, sample, or subject. The control may, for example, be examined at precisely or nearly the same time the test cell, tissue, sample, or subject is examined. The control may also, for example, be examined at a time distant from the time at which the test cell, tissue, sample, or subject is examined, and the results of the examination of the control may be recorded so that the recorded results may be compared with results obtained by examination of a test cell, tissue, sample, or subject. The control may also be obtained from another source or similar source other than the test group or a test subject, where the test sample is obtained from a subject suspected of having a disease or disorder for which the test is being performed.
[0051] A “test” cell, tissue, sample, or subject is one being examined or treated.
[0052] A “pathoindicative” cell, tissue, or sample is one which, when present, is an indication that the animal in which the cell, tissue, or sample is located (or from which the tissue was obtained) is afflicted with a disease or disorder. By way of example, the presence of one or more breast cells in a lung tissue of an animal is an indication that the animal is afflicted with metastatic breast cancer.
[0053] A tissue “normally comprises” a cell if one or more of the cell are present in the tissue in an animal not afflicted with a disease or disorder.
[0054] The term “delivery vehicle” refers to any kind of device or material which can be used to deliver cells in vivo or can be added to a composition comprising cells administered to an animal. This includes, but is not limited to, implantable devices, aggregates of cells, matrix materials, gels, etc.
[0055] As used herein, a “derivative” of a compound refers to a chemical compound that may be produced from another compound of similar structure in one or more steps, as in replacement of H by an alkyl, acyl, or amino group.
[0056] The use of the word “detect” and its grammatical variants is meant to refer to measurement of the species without quantification, whereas use of the word “determine” or “measure” with their grammatical variants are meant to refer to measurement of the species with quantification. The terms “detect” and “identify” are used interchangeably herein.
[0057] A “disease” is a state of health of an animal wherein the animal cannot maintain homeostasis, and wherein if the disease is not ameliorated then the animal's health continues to deteriorate.
[0058] In contrast, a “disorder” in an animal is a state of health in which the animal is able to maintain homeostasis, but in which the animal's state of health is less favorable than it would be in the absence of the disorder. Left untreated, a disorder does not necessarily cause a further decrease in the animal's state of health.
[0059] As used herein, an “effective amount” means an amount sufficient to produce a selected effect.
[0060] The term “feeder cells” as used herein refers to cells of one type that are co-cultured with cells of a second type, to provide an environment in which the cells of the second type can be maintained, and perhaps proliferate. The feeder cells can be from a different species than the cells they are supporting. Feeder cells can be non-lethally irradiated or treated to prevent their proliferation prior to being co-cultured to ensure to that they do not proliferate and mingle with the cells which they are feeding. The terms, “feeder cells”, “feeders,” and “feeder layers” are used interchangeably herein.
[0061] As used herein, a “functional” molecule is a molecule in a form in which it exhibits a property or activity by which it is characterized.
[0062] A “fragment” or “segment” is a portion of an amino acid sequence, comprising at least one amino acid, or a portion of a nucleic acid sequence comprising at least one nucleotide. The terms “fragment” and “segment” are used interchangeably herein.
[0063] “Graft” refers to any free (unattached) cell, tissue, or organ for transplantation.
[0064] “Allograft” or “allogeneic” refers to a transplanted cell, tissue, or organ derived from a different animal of the same species.
[0065] “Xenograft” or “xenogeneic” refers to a transplanted cell, tissue, or organ derived from an animal of a different species.
[0066] “Homologous” as used herein, refers to the subunit sequence similarity between two polymeric molecules, e.g., between two nucleic acid molecules, e.g., two DNA molecules or two RNA molecules, or between two polypeptide molecules. When a subunit position in both of the two molecules is occupied by the same monomeric subunit, e.g., if a position in each of two DNA molecules is occupied by adenine, then they are homologous at that position. The homology between two sequences is a direct function of the number of matching or homologous positions, e.g., if half (e.g., five positions in a polymer ten subunits in length) of the positions in two compound sequences are homologous then the two sequences are 50% homologous, if 90% of the positions, e.g., 9 of 10, are matched or homologous, the two sequences share 90% homology. By way of example, the DNA sequences 3′ATTGCC5′ and 3′TATGGC share 50% homology.
[0067] As used herein, “homology” is used synonymously with “identity.”
[0068] The determination of percent identity between two nucleotide or amino acid sequences can be accomplished using a mathematical algorithm. For example, a mathematical algorithm useful for comparing two sequences is the algorithm of Karlin and Altschul (1990, Proc. Natl. Acad. Sci. USA 87:2264-2268), modified as in Karlin and Altschul (1993, Proc. Natl. Acad. Sci. USA 90:5873-5877). This algorithm is incorporated into the NBLAST and XBLAST programs of Altschul, et al. (1990, J. Mol. Biol. 215:403-410), and can be accessed, for example at the National Center for Biotechnology Information (NCBI) world wide web site. BLAST nucleotide searches can be performed with the NBLAST program (designated “blastn” at the NCBI web site), using the following parameters: gap penalty=5; gap extension penalty=2; mismatch penalty=3; match reward=1; expectation value 10.0; and word size=11 to obtain nucleotide sequences homologous to a nucleic acid described herein. BLAST protein searches can be performed with the XBLAST program (designated “blastn” at the NCBI web site) or the NCBI “blastp” program, using the following parameters: expectation value 10.0, BLOSUM62 scoring matrix to obtain amino acid sequences homologous to a protein molecule described herein. To obtain gapped alignments for comparison purposes, Gapped BLAST can be utilized as described in Altschul et al. (1997, Nucleic Acids Res. 25:3389-3402). Alternatively, PSI-Blast or PHI-Blast can be used to perform an iterated search which detects distant relationships between molecules (Id.) and relationships between molecules which share a common pattern. When utilizing BLAST, Gapped BLAST, PSI-Blast, and PHI-Blast programs, the default parameters of the respective programs (e.g., XBLAST and NBLAST) can be used.
[0069] The percent identity between two sequences can be determined using techniques similar to those described above, with or without allowing gaps. In calculating percent identity, typically exact matches are counted.
[0070] The term “ingredient” refers to any compound, whether of chemical or biological origin, that can be used in cell culture media to maintain or promote the proliferation, survival, or differentiation of cells. The terms “component,” “nutrient”, “supplement”, and ingredient” can be used interchangeably and are all meant to refer to such compounds. Typical non-limiting ingredients that are used in cell culture media include amino acids, salts, metals, sugars, lipids, nucleic acids, hormones, vitamins, fatty acids, proteins and the like. Other ingredients that promote or maintain cultivation of cells ex vivo can be selected by those of skill in the art, in accordance with the particular need.
[0071] The term “inhibit,” as used herein, means to suppress or block an activity or function such that it is lower relative to a control value. The inhibition can be via direct or indirect mechanisms. In one aspect, the activity is suppressed or blocked by at least 10% compared to a control value, more preferably by at least 25%, and even more preferably by at least 50%.
[0072] The term “inhibitor” as used herein, refers to any compound or agent, the application of which results in the inhibition of a process or function of interest, including, but not limited to, differentiation and activity. Inhibition can be inferred if there is a reduction in the activity or function of interest.
[0073] The term “injury” refers to any physical damage to the body caused by violence, accident, trauma, or fracture, etc.
[0074] As used herein, an “instructional material” includes a publication, a recording, a diagram, or any other medium of expression which can be used to communicate the usefulness of the peptide of the invention in the kit for effecting alleviation of the various diseases or disorders recited herein. Optionally, or alternately, the instructional material may describe one or more methods of alleviating the diseases or disorders in a cell or a tissue of a mammal. The instructional material of the kit of the invention may, for example, be affixed to a container which contains the identified compound invention or be shipped together with a container which contains the identified compound. Alternatively, the instructional material may be shipped separately from the container with the intention that the instructional material and the compound be used cooperatively by the recipient.
[0075] Used interchangeably herein are the terms: 1) “isolate” and “select”; and 2) “detect” and “identify”.
[0076] The term “isolated,” when used in reference to cells, refers to a single cell of interest, or population of cells of interest, at least partially isolated from other cell types or other cellular material with which it naturally occurs in the tissue of origin (e.g., adipose tissue). A sample of stem cells is “substantially pure” when it is at least 60%, or at least 75%, or at least 90%, and, in certain cases, at least 99% free of cells other than cells of interest. Purity can be measured by any appropriate method, for example, by fluorescence-activated cell sorting (FACS), or other assays which distinguish cell types.
[0077] An “isolated nucleic acid” refers to a nucleic acid segment or fragment which has been separated from sequences which flank it in a naturally occurring state, e.g., a DNA fragment which has been removed from the sequences which are normally adjacent to the fragment, e.g., the sequences adjacent to the fragment in a genome in which it naturally occurs. The term also applies to nucleic acids which have been substantially purified from other components which naturally accompany the nucleic acid, e.g., RNA or DNA or proteins, which naturally accompany it in the cell. The term therefore includes, for example, a recombinant DNA which is incorporated into a vector, into an autonomously replicating plasmid or virus, or into the genomic DNA of a prokaryote or eukaryote, or which exists as a separate molecule (e.g., as a cDNA or a genomic or cDNA fragment produced by PCR or restriction enzyme digestion) independent of other sequences. It also includes a recombinant DNA which is part of a hybrid gene encoding additional polypeptide sequence.
[0078] Unless otherwise specified, a “nucleotide sequence encoding an amino acid sequence” includes all nucleotide sequences that are degenerate versions of each other and that encode the same amino acid sequence. Nucleotide sequences that encode proteins and RNA may include introns.
[0079] As used herein, a “detectable marker” or a “reporter molecule” is an atom or a molecule that permits the specific detection of a compound comprising the marker in the presence of similar compounds without a marker. Detectable markers or reporter molecules include, e.g., radioactive isotopes, antigenic determinants, enzymes, nucleic acids available for hybridization, chromophores, fluorophores, chemiluminescent molecules, electrochemically detectable molecules, and molecules that provide for altered fluorescence-polarization or altered light-scattering.
[0080] As used herein, a “ligand” is a compound that specifically binds to a target compound. A ligand (e.g., an antibody) “specifically binds to” or “is specifically immunoreactive with” a compound when the ligand functions in a binding reaction which is determinative of the presence of the compound in a sample of heterogeneous compounds. Thus, under designated assay (e.g., immunoassay) conditions, the ligand binds preferentially to a particular compound and does not bind to a significant extent to other compounds present in the sample. For example, an antibody specifically binds under immunoassay conditions to an antigen bearing an epitope against which the antibody was raised. A variety of immunoassay formats may be used to select antibodies specifically immunoreactive with a particular antigen. For example, solid-phase ELISA immunoassays are routinely used to select monoclonal antibodies specifically immunoreactive with an antigen. See Harlow and Lane, 1988, Antibodies, A Laboratory Manual , Cold Spring Harbor Publications, New York, for a description of immunoassay formats and conditions that can be used to determine specific immunoreactivity.
[0081] As used herein, the term “linkage” refers to a connection between two groups. The connection can be either covalent or non-covalent, including but not limited to ionic bonds, hydrogen bonding, and hydrophobic/hydrophilic interactions.
[0082] As used herein, the term “linker” refers to a molecule that joins two other molecules either covalently or noncovalently, e.g., through ionic or hydrogen bonds or van der Waals interactions.
[0083] The term “low adherence, ultra low adherence, or non-adherence surface for cell attachment” refers to the ability of a surface to support attachment of cells. The term “non-adherence surface for cell attachment” means that the surface supports little if any cell attachment.
[0084] The term “modulate”, as used herein, refers to changing the level of an activity, function, or process. The term “modulate” encompasses both inhibiting and stimulating an activity, function, or process.
[0085] The terms “multicellular aggregate”, “multicellular sphere”, “blastema”, and “multicellular structure” are used interchangeably herein.
[0086] As used herein, the term “pharmaceutically acceptable carrier” includes any of the standard pharmaceutical carriers, such as a phosphate buffered saline solution, water, emulsions such as an oil/water or water/oil emulsion, and various types of wetting agents. The term also encompasses any of the agents approved by a regulatory agency of the US Federal government or listed in the US Pharmacopeia for use in animals, including humans.
[0087] “Plurality” means at least two.
[0088] The term “progeny” of a stem cell as used herein refers to a cell which is derived from a stem cell and may still have all of the differentiation abilities of the parental stem cell, i.e., multipotency, or one that may no longer be multipotent, but is now committed to being able to differentiate into only one cell type, i.e., a committed cell type. The term may also refer to a differentiated cell.
[0089] The term “propagate” means to reproduce or to generate.
[0090] As used herein, “protecting group” with respect to a terminal amino group refers to a terminal amino group of a peptide, which terminal amino group is coupled with any of various amino-terminal protecting groups traditionally employed in peptide synthesis. Such protecting groups include, for example, acyl protecting groups such as formyl, acetyl, benzoyl, trifluoroacetyl, succinyl, and methoxysuccinyl; aromatic urethane protecting groups such as benzyloxycarbonyl; and aliphatic urethane protecting groups, for example, tert-butoxycarbonyl or adamantyloxycarbonyl. See Gross and Mienhofer, eds., The Peptides, vol. 3, pp. 3-88 (Academic Press, New York, 1981) for suitable protecting groups.
[0091] As used herein, “protecting group” with respect to a terminal carboxy group refers to a terminal carboxyl group of a peptide, which terminal carboxyl group is coupled with any of various carboxyl-terminal protecting groups. Such protecting groups include, for example, tert-butyl, benzyl or other acceptable groups linked to the terminal carboxyl group through an ester or ether bond.
[0092] As used herein, the term “purified” and like terms relate to an enrichment of a molecule or compound relative to other components normally associated with the molecule or compound in a native environment. The term “purified” does not necessarily indicate that complete purity of the particular molecule has been achieved during the process. A “highly purified” compound as used herein refers to a compound that is greater than 90% pure.
[0093] A “sample,” as used herein, refers preferably to a biological sample from a subject, including, but not limited to, normal tissue samples, diseased tissue samples, biopsies, blood, saliva, feces, semen, tears, and urine. A sample can also be any other source of material obtained from a subject which contains cells, tissues, or fluid of interest. A sample can also be obtained from cell or tissue culture.
[0094] As used herein, the term “secondary antibody” refers to an antibody that binds to the constant region of another antibody (the primary antibody).
[0095] As used herein, the term “solid support” when used in reference to a substrate forming a linkage with a compound, relates to a solvent insoluble substrate that is capable of forming linkages (preferably covalent bonds) with various compounds. The support can be either biological in nature, such as, without limitation, a cell or bacteriophage particle, or synthetic, such as, without limitation, an acrylamide derivative, agarose, cellulose, nylon, silica, or magnetized particles.
[0096] By the term “solid support suitable for maintaining cells in a tissue culture environment” is meant any surface such as a tissue culture dish or plate, or even a cover, where medium containing cells can be added, and that support can be placed into a suitable environment such as a tissue culture incubator for maintaining or growing the cells. This should of course be a solid support that is either sterile or capable of being sterilized. The support does not need to be one suitable for cell attachment.
[0097] The term “solid support is a low adherence, ultralow adherence, or non-adherence support for cell culture purposes” refers to a vehicle such as a bacteriological plate or a tissue culture dish or plate which has not been treated or prepared to enhance the ability of mammalian cells to adhere to the surface. It could include, for example, a dish where a layer of agar has been added to prevent cells from attaching. It is known to those of ordinary skill in the art that bacteriological plates are not treated to enhance attachment of mammalian cells because bacteriological plates are generally used with agar, where bacteria are suspended in the agar and grow in the agar.
[0098] The term “spawn”, as used herein, refers to the ability of the multicellular spheres of cells disclosed herein (SOMBs) to generate adherent cells (i.e., progeny) with the ability, inter alia, to grow to confluence.
[0099] The term “standard,” as used herein, refers to something used for comparison. For example, a standard can be a known standard agent or compound which is administered or added to a control sample and used for comparing results when measuring said compound in a test sample. Standard can also refer to an “internal standard,” such as an agent or compound which is added at known amounts to a sample and is useful in determining such things as purification or recovery rates when a sample is processed or subjected to purification or extraction procedures before a marker of interest is measured.
[0100] The term “stimulate” as used herein, means to induce or increase an activity or function level such that it is higher relative to a control value. The stimulation can be via direct or indirect mechanisms. In one aspect, the activity or differentiation is stimulated by at least 10% compared to a control value, more preferably by at least 25%, and even more preferably by at least 50%. The term “stimulator” as used herein, refers to any compound or agent, the application of which results in the stimulation of a process or function of interest, including, but not limited to, ASC cell production, differentiation, and activity, as well as that of ASC progeny.
[0101] A “subject” of analysis, diagnosis, or treatment is an animal. Such animals include mammals, preferably a human.
[0102] The term “substantially pure” describes a compound, e.g., a protein or polypeptide which has been separated from components which naturally accompany it. Typically, a compound is substantially pure when at least 10%, more preferably at least 20%, more preferably at least 50%, more preferably at least 60%, more preferably at least 75%, more preferably at least 90%, and most preferably at least 99% of the total material (by volume, by wet or dry weight, or by mole percent or mole fraction) in a sample is the compound of interest. Purity can be measured by any appropriate method, e.g., in the case of polypeptides by column chromatography, gel electrophoresis, or HPLC analysis. A compound, e.g., a protein, is also substantially purified when it is essentially free of naturally associated components or when it is separated from the native contaminants which accompany it in its natural state.
[0103] The term “substituent” as used in the phrase “other cells which are not substituents of the at least one self-organizing blastema” refers to substituent cells of the blastema. Therefore, a cell which is not a substituent of a self-organizing blastema can be a cell that is adjacent to the blastema and need not be a cell derived from a self-organizing blastema.
[0104] A “therapeutic” treatment is a treatment administered to a subject who exhibits signs of pathology for the purpose of diminishing or eliminating those signs.
[0105] A “therapeutically effective amount” of a compound is that amount of compound which is sufficient to provide a beneficial effect to the subject to which the compound is administered.
[0106] The use of the phrase “tissue culture dish or plate” refers to any type of vessel which can be used to plate cells for growth or differentiation.
[0107] As used herein, the term “treating” includes prophylaxis of the specific disorder or condition, or alleviation of the symptoms associated with a specific disorder or condition and/or preventing or eliminating said symptoms. A “prophylactic” treatment is a treatment administered to a subject who does not exhibit signs of a disease or exhibits only early signs of the disease for the purpose of decreasing the risk of developing pathology associated with the disease.
Embodiments
[0108] Methods useful for the practice of the invention which are not described herein are also known in the art. Useful methods include those described in WO 2007/030652 (PCT/US2006/034915), WO 2007/019107 (PCT/US2006/029686), WO 2007/089798 (PCT/US2007/002572), and WO 2008/060374 (PCT US2007/021432), the methods of which are hereby incorporated by reference.
EXAMPLES
Example 1
[0109] We have characterized the production of ECM components within human ASC MAs under a variety of growth conditions using histochemical, molecular and protein techniques. For instance, we have confirmed the presence of multiple types of collagen, including types I and III. Additional ECM components detected include fibronectin, tenascin, collagen VI, decorin, biglycan, and MMPs to name a few (see data included).
[0110] The ECM aggregates or ECM components produced as described have several potential commercial uses:
[0111] for research purposes (ex. as research reagents);
[0112] for therapeutic purposes including tissue augmentation/filling (such as the use of collagen to fill wrinkles in aged skin), or ECM to enhance/accelerate wound healing or tissue repair, etc.;
[0113] possibly for diagnostic purposes.
[0114] ECM components are known to be critical to normal biological process and tissue repair mechanisms. For example, many are known to potentiate or reduce the biological effect of important soluble growth factors (Marci et al., Clark et al.)
[0115] Some novel aspects of this invention:
[0116] generation of ECM from human adipose-derived cells
[0117] generation of ECM without the use/addition/need of animal derived products (such as FBS or bovine collagen, etc.)
[0118] multiple ECM components generated, including collagens which are core component of tissue repair (especially skin and bone)
[0119] ECM can be produced under a variety of conditions, including serum-free conditions
[0120] Cells that generate the ECM can subsequently be devitalized, to yield an acellular ECM product;
[0121] ECM can be prepared using autologous or off-the-shelf allogeneic paradigms
[0122] The type and amount of ECM generated can be varied depending on the culture media and growth conditions used.
Example 1
[0123] Adipose-derived stem cells (ASCs) have the ability to form a spheroid body of macrocellular aggregates in a hanging drop suspension, which enables easy transfer/transplant of the cells in aggregates in contrast to the cells in monolayer. Thus, the possibility to induce collagen synthesis in ASCs in a three dimensional structure and a subsequent auto-transplant in a patient may provide a good alternative method for future skin reconstructive therapy. In this paper, the vitamin C-phosphate induced-collagen synthesis of ASCs was assessed by quantification of the collagen by the sirius red F3B dye binding assay and by the evaluation of the picro-sirius red staining of the cryosection. The results showed an increase of collagen production in VitC induced ASCs in 1% human serum media with approximately 29.4 μg of collagen per 200 k cells whereas about 13.4 μg of collagen per 200 k cells was measured in ASCs with no serum media and no VitC induction. Furthermore, the evaluation of the picro-sirius red staining under crossed-polarized bright field microscope showed increased production of Type I collagen fibers in VitC induced ASCs with serum media. Therefore, this study demonstrated that serum and VitC are two significant factors in order to induce increase in the collagen synthesis of the ASCs in a three dimensional structure.
[0124] Multicellular Aggregates
[0125] Our lab has developed techniques to culture human ASCs in suspension as 3-dimensional multicellular aggregates (MAs). Our previous studies have demonstrated the fabrication of a self-generated extracellular matrix (ECM) by ASCs formulated as MAs, such that a defined, manipulatable structure (‘organoid’) is generated. In contrast to cells grown as adherent monolayers, MAs enable the easy transfer/transplant of cells and ECM without disruption of cell-cell and cell-matrix interactions. The goal of this study was to confirm the presence of collagen in the extracellular matrix of ASC MAs and to quantify the relative amount of collagen production under varying culture conditions.
[0126] To reproducibly form cell aggregates, ASCs (500-50,000) were suspended in the appropriate medium to achieve desired concentrations. Small volumes (15-30 μl) of the concentrated cell suspensions were then pipetted onto culture plate covers in discrete droplets. The culture plate covers were then inverted, creating “hanging droplets”. After 24-72 hours in hanging drop culture, the MAs were then transferred to a range of media in either Ultra Low Attachment (ULA) wells/plates (Corning) for suspension culture, or into standard culture ware for adherent culture. In some experiments, ASC-MAs were labeled with Hoechst 33342 (Molecular Probes Cat#H1399) to reveal distribution of cell nuclei.
[0127] Results: Using a gravity-mediated technique, we demonstrate the successful and reproducible formation of 3-D ASC aggregates (MAs) using varied numbers of early passage ASCs (ranging from 500 to 50,000) isolated and cultured from individual donors (N>40). ASC MAs form, survive and grow in a variety of media types, including DMEM/F12 with 10% FBS (D-10), DMEM/F12 without serum or additives (D-0), serum-free ASC medium (AR8 and AR9), and low serum ASC medium (AR-1% HS and AR9-1% HS). FIG. 1 a demonstrates the initial clustering and appearance of a typical ASC-MA soon after formation using a hanging drop technique. FIG. 1 b demonstrates a photomicrograph of multiple well-defined, uniform sized MAs composed of fluorescently labeled (DiI) ASCs soon after their transfer to suspension culture.
[0128] Sirius Red F3B Dye Assay
[0129] Sirius Red F3B has been widely used in histological staining in order to identify collagen. The dye's ability to specifically bind to the collagen, however, can also be exploited to assess the amount of the collagen present in a given sample. The specificity of the dye is derived from the dye's ability to recognize and bind to the [gly-x-y] pattern of the triple helical structure of the collagen fiber. In addition, the elongated molecular structure of the dye interacts with the linear collagen fibers in a parallel fashion, and will not interact with other conformations of the collagen, i.e. denatured collagen [2]. Moreover, the anionic side chain groups of the dye and the basic amino acids in the collagen offer ionic interactions that enable stable dye-bindings throughout the assay.
[0130] Crossed Polarization Microscopy of Picrosirius Red Staining for Collagen Type I and III
[0131] The cross polarization microscopy utilizes the anisotropic property of the Sirius red dye bound-collagen fibers to identify the type I and III collagens. In contrast to the poor and variable staining of the thin collagen fibers of the van Gieson's stain, Puchtler et al. found that the Sirius Red stain with the yellow picric acid background can consistently stain the thin collagen fibers to give green color and the thicker type I collagen fibers to give red to orange color [3, 4].
[0132] Methods
[0133] Cell Culture
[0134] Cryopreserved human ASCs (obtained from liposuction) were thawed and plated using established protocols. Cells were cultured as adherent monolayers in LADP medium with 1% human serum until confluency. When the cell plates were confluent, the media were switched to LADP medium with no serum and incubated for two additional days. ASC MAs of 10 5 cells were then fabricated in LADP medium with no serum and maintained in suspension culture in one of three different media (LADPM with 1% human serum (LADPM-1%), LADPM with no serum (LADMP-SF), and DMEM/F12 with antibiotics only (D0)). Each of these study arms was further divided into parallel cultures with or without 1 mM Ascorbic Acid-phosphate [1]. Media was changed on culture day 3, and MAs were harvested and analyzed on culture day 5 using two methods: Sirius Red F3B dye binding assay (detects all/most types of collagen) and picro-sirius red staining of cryosections (specific for Type I and 3 collagen fibers).
[0135] Collagen Sample Extraction
[0136] In preparation of the ASC MAs for Sirius Red F3B dye binding assay, the samples were first washed with PBS buffer three times. Three of ASC MAs of 10 5 cells were then placed in 300 μl of extraction buffer: 0.5M Acetic Acid with 1:100 Protein Inhibitor Cocktail (Sigma Aldrich, St Louis, Mo., USA). The ASC MAs in the buffer solution was then sonicated three times, each for 5 seconds. If the extracellular matrix of the MAs were still visible, additional sonication was applied to disintegrate the structure. 200 μl of the sonicated sample solutions to yield approximately 200 k cells were used for the binding assay.
[0137] Sirius Red F3B Dye Binding Assay
[0138] Sterile bovine acid-soluble Type I Collagen of 1 mg/ml in 0.5M acetic acid solution (Biocolor Ltd, Belfast, Northern Ireland) was used to establish the standard curve. The known mass of the reference collagen (0, 19.5, 37.5, 75 μg) were mixed in 300 μl of the extraction buffer and sonicated accordingly. 200 μl of the standard collagen and the sample solutions were then mixed with 1 ml of Sirius Red Dye solution (1 mg/ml Direct Red 80, Sigma Aldrich, in 0.5 M acetic acid with 0.1% TWEEN 20) for 30 minutes. The samples were then centrifuged down at 13.2 k g for 10 minutes. Supernatants were removed without disrupting the pellet by decanting and tapping the tube on soft tissue paper, and the dye-bound sample pellets were resuspended in 1 ml of 0.5 M Sodium Hydroxide solution. After 5 minutes, 200 μl of the sample solutions were transferred to a 96 well plate and their absorbance was read at 540 nm
[0139] Cross Polarization Microscopy
[0140] The MAs were embedded and cryosectioned to 5 μm thickness. The cryosections were washed with deionized water and stained with the picrosirius red solution (0.1% Sirius red in saturated picric acid) for 1 hr [4]. The stained sample was then washed in two different 0.5 M acetic acid solutions, cleared in xylene, and mounted in synthetic resin. The pictures were captured with an Olympus BH-2 digital microscope camera with and without linear cross polarization.
RESULTS AND DISCUSSION
[0141] In this study, the collagen content of the macrocellular aggregates (MAs) of Adipose Stem/Stromal Cells with and without vitamin C-induced collagen synthesis was investigated, and the result showed that serum as well as vitamin C, were two important factors in increasing the collagen content of the extracellular matrix (ECM) of the MAs. More specifically serum, or an unknown agent within serum, was important in increasing the total collagen (regardless of the type) measured by the Sirius Red F3B dye binding assay, and Vitamin C, in conjunction with the serum, was important in increasing the proportion of the Type I collagen in the increased total collagen content in the MAs.
[0142] One of the challenges of this study was to develop an effective extrication method to prepare the MAs for the dye-binding assay. Unless the dye can penetrate the ECM freely to bind to the collagen, the assay would be unfeasible without disrupting the ECM first. Preliminary tests have shown that the assay without sample extraction only yields the dye binding with the surface of the MAs and absorbance results that correlates the surface area, or the size of the MAs (result is not included in this paper). The conventional way of collagen extraction is to use pepsin digestion in 0.5 M acetic acid solution. The enzymatic approach to collagen extraction, however, did not disrupt ECM successfully even after 24 hr incubation of the sample with the pepsin solution while applying vigorous mix. Instead, a mechanical approach with probe sonication yielded positive results. Although a small amount of sample solution was vaporized, or expelled out of the tube, this loss was accounted with sampling 200 μl of 300 μl of the solutions. Furthermore, although the MAs in developmental period were maintained in a sterile environment, the MAs were then analyzed in non-sterile environment after harvesting the samples on day 5. Therefore, the empiric use of the proteinase inhibitor cocktail warranted significant sample yield without any sample loss from the opportunistic bacterial protease exposure. In addition, the possibility of mechanically, or thermally denaturing the collagen was accounted with the standard curve. The R value of the standard curve varied from 0.96 to 0.99.
[0143] Sonication of the MAs yielded sample solutions suitable for the Sirius Red F3B dye-binding assay; however, such a process also resulted in possible degradation of the collagen in the solutions. This possible degradation of collagen fibers in the sample is reflected in the standard curve of the H8-04L FT and H8-08L Fresh ( FIGS. 3A-3D ). These two patient samples still had few MAs intact after initial sonication procedure; therefore, the second round of sonication procedure was applied. Thus, the R value of the standard curve decreased from 0.99 of samples (H8-08L FT, H8-05L FT) which only had one round of sonication procedure to completely disrupt the MAs to 0.96 of R value from undergoing two rounds of sonication procedure. This, however, does not seem to affect the result of the data significantly, as shown in FIG. 2 and Table 1. All four patient samples showed similar data within standard deviation.
[0144] The four patient data showed ASC MAs generated detectable collagen under all culture conditions, but more collagen was generated in LADP medium than DMEM medium. Under serum free conditions in DMEM medium, the addition of vitamin C did not significantly increase collagen levels. In the presence of serum, however, vitamin C increased collagen production by ˜20% (Table 2). It is interesting to note that LADP medium with no serum and LADP medium with 1% human serum showed similar results although LADP medium with serum showed higher collagen content. LADP medium is a highly defined medium in that every agent/molecular content is predetermined. It is speculated whether one of the LADP agents is responsible for the increased production of collagen synthesis, just as an agent in serum would encourage collagen synthesis.
[0145] In addition, the growth kinetic of the MAs cannot be ignored. It is known that medium with serum promotes more cell proliferation, which may correlate with increased production of ECM. Perhaps, the larger proportion of increased total collagen content in MAs incubated with LADP medium with serum and P-ascorbic acid can be attributed to increased cellular proliferation.
[0146] The significance of the vitamin C induction is not quite apparent until the content of the ECM of the MAs can be observed. The visualization of picro-sirius red stained MA sections under crossed-polarized bright field microscope showed the increased production of Type I collagen in conditions with vitamin C and serum. Significant amounts of type I collagen (red and orange) and type III collagen (green) can be visualized in MAs with vitamin C induction [3]. Picrosirius stained collagen fibers are more pronounced as it glows from the dark background in crossed polarized microscopy.
[0147] Conclusions:
[0148] This study demonstrates that ASCs produce self-generated collagen when formulated as defined multicellular aggregates in suspension. Even more, ASC MAs support collagen production in defined, serum-free conditions. Based on these findings, ASC MAs may prove useful for therapeutic applications that would benefit from collagen supplementation/replacement.
Example 1
Bibliography
[0000]
1. Boyera N, Galey I, Bernard BA. (1998) Effect of vitamin C and its derivatives on collagen synthesis and cross-linking by normal human fibroblasts. Intern. Journ. Of Cosmetic Sci. 20, 151-158
2. Lee D. A., Assoku E, Doyle V (1998) A specific quantitative assay for collagen synthesis by cells seeded in collagen based biomaterials using Sirius red F3B precipitation J. of Materials Sci.: Materials in Medicine 9, 47-51
3. Otto J, Kammer D, Jansen P L, Anurov M, Titkova S, Ottinger A, Rosch R, Schumpelick V, Jansen M (2008) Different Tissue reaction of oesophagus and diaphragm after mesh hiatoplasty. Results of an animal study. BMC surgery 2008, 8:7
4. Whittaker P, Rich L (2005) Collagen and picrosirius red staining: a polarized light assessment of fibrillar hue and spatial distribution. Braz. J. Morphol. Sci 22(2), 97-104
Example 1
Appendix
Example 1
[0153] FIG. 2 : H8-08L FT denotes Human Adipose Stromal Cell sample obtained from liposuction and was frozen in single cell suspension with cryoprotectant. The cryopreserved cells were thawed and plated in LADP medium with 1% human serum.
[0000]
TABLE 1
H8-08L FT,
H8-05L FT,
H8-04L FT,
H8-08L Fresh
n = 3
n = 3
n = 3
Cell line, n = 1
Media
Mass [μg]
Std
Mass [μg]
Std
Mass [μg]
Std
Mass [μg]
Std
Control
D0
11.99
1.04
14.47
1.76
10.25
1.7
16.82
0.84
L0
22.22
0.65
21.67
4.3
24.1
2.52
24.3
0.61
L1
20.25
2
30.55
2.78
24.83
3.93
25.43
1.67
Vit C
D0 + VitC
13.14
2.43
14.86
0.21
13.98
1.91
17.07
2.09
L0 + VitC
23.12
2.1
34.77
6.4
25.63
6.36
28.33
1.32
L1 + VitC
24.76
2.65
32.37
1.02
30.55
2.17
29.9
6.56
[0000]
TABLE 2
Serum
Vitamin
Collagen
Standard
Medium
(1% HS)
C
(μg/200k MA)
Deviation
LADPM
+
+
29.4
4.34
LADPM
+
−
25.27
4.47
LADPM
−
+
27.96
6.04
LADPM
−
−
23.07
2.47
DMEM/F12
−
+
14.76
2.21
DMEM/F12
−
−
13.38
2.86
Example 2
[0154] Introduction: Emerging evidence supports the therapeutic potential of Adipose-Derived Stem Cells (ASCs) in the healing of cutaneous wounds. Using a murine model of delayed diabetic wound healing, our team has demonstrated enhanced in vivo potency of ASCs formulated as 3-dimensional multicellular aggregates (MAs), as compared to ASCs grown as adherent monolayers and delivered as single cell suspensions. The purpose of this study was to elucidate transcriptional and translational differences between the two cell formulation strategies that may provide mechanistic insights into the basis for our in vivo findings.
[0155] Background
[0156] It is estimated that 1% of the world's population will develop a chronic wound at some point in their lifetime. 12% of hospital admissions are related to the treatment of these wounds and these account for 21% of total inpatient hospital days.
[0157] Most chronic wounds such has diabetic ulcers have been found to have altered cell milieu which in turn leads to impaired cell migration, proliferation, adhesion, growth factor production and signaling.
[0158] Adipose derived stem cells have been shown to not only be induced in to multiple cell types but have also been shown to secrete multiple growth factors, and cytokines such as hepatocyte growth factor (HGF), vascular endothelial growth factor (VEGF), fibroblast growth factor (FGF), and interleukins. Many of these proteins have been shown to improve wound healing rates in both in vitro and in vivo models.
[0159] In recent in vivo experiments using rat wound healing models, we have compared the effects of ASCs delivered as multicellular aggregates versus ASCs delivered as cell suspension. Equal numbers of ASCs were delivered using the two dosing systems. MA delivery models showed improved wound healing rates when compared to cell suspension delivery models.
[0160] Materials and Methods
[0161] Human ASCs were isolated and plated using established techniques. Cells were expanded in adherent monolayer culture in growth factor enriched medium with 1% human serum (AR8-1%). After sufficient expansion, half of the cells were formed into 3-D MAs and maintained in suspension culture, and half were maintained in adherent monolayer culture. On day 6, cells or culture medium from each group were harvested and analyzed by one of three techniques depending on the specific experiment: 1) microarray analysis (3 donors); 2) ELISA analysis (1 donor); and 3) mass spectrometry (1 donor).
[0162] Microarray Analysis
[0163] Human ASCs were harvested from 3 different donors (Donor 1: 34 y/o F, BMI:25.1; Donor 2: 45 y/o F, BMI:28.2; Donor 3:31 y/o F, BMI:35.4)
[0164] The cells were expanded as adherent monolayers in AR 8/9-1% HS medium until sufficient numbers were obtained.
[0165] One half of the cells were lifted and placed back into monolayer culture at 2,000 cells/cm 2 , while the remainder were used to prepare Multicellular Aggregates (MA)@25 k ASCs/MA.
[0166] On days 2-3 fresh medium was provided for all cultures. Between days 5-7, cells were harvested from both groups and RNA was isolated using a commercially available kit.
[0167] Monolayers and MAs from the 3 donors were analyzed in triplicate (N=9/group) using separate/individual Affymetrix human gene chips (HgU133 plus 2.0).
[0168] An agilent BioAnalyzer was used to analyze the quality of each total RNA sample. 260/280 spectrophotometer absorbance readings were measured for both total RNA and biotinylated cRNA to rule out protein contamination, presence of degraded RNA, truncated cRNA transcripts and or excess free nucleotides.
[0169] Background intensity was derived from the intensity values of the lowest 2% of cells on the chip and was subtracted from all cells before gene expression levels were calculated.
[0170] Mass Spectrometry Analysis
[0171] Analysis using liquid chromatography mass spectrometry with a Finnigan LTQ-FT system and Protana nanospray ion source was carried out on the monolayer and 3D ASC populations.
[0172] Samples analyzed were ASCs grown as monolayer and 3D MAs in A1 medium. 10 μL volumes of prepared protein-gel extract were injected and peptides eluted from the column by an acetonitrile/acetic acid gradient at a flow rate of 0.25 μL/min over 2 hours. No exogenous ECM proteins were added to the samples and the proteins expressed by the cell and MA populations on days 3 and 6 were compared. The data was analyzed using the Sequest search algorithm against Human International Protein Index
[0173] Results
[0174] Microarray analysis revealed the statistically significant upregulation of at least 85 genes by a factor of 2 fold or greater (p<0.05). Upregulated genes included IGF-1 (57×), BGN (21×), IGFBP (31×), PDGF (16×) VCAM1 (14×) MMP-1 (14×), TNC(12×); HGF (11×) among others. On categorizing these genes, we found gene expression patterns demonstrating a profile reflective of tissue repair, ECM remodeling, wound healing, keratinocyte migration and angiogenesis (5) We also observed an upregulation in skin/hair follicle stem cell markers which included Sox9 (8×), TCF 3 (2×), NFATc (1.5×) (4). Upregulated genes that are specifically pertinent to diabetic wound healing include, VEGF, TIMP-1 TIMP-2, MMP-1, PDGF, TGFB1, IGF-1,1,2,3 ELISA and mass spectrometry analysis confirmed the translational upregulation of most of these genes.
[0175] In order to explain these improved wound healing rates in MA architecture, microarray analysis was used to compare the gene expression profiles of the ASC-MAs to the ASC monolayers. We decided to use the following categories in order to classify and compare the gene expression:
[0176] Synergistic Signalling
[0177] One of the reasons we see enhanced wound healing with our multicellular aggregates is due to the presence of growth factors as well as extracellular matrix molecules in their niche environments. Growth factors and ECM matrix proteins have been shown to interact with each other to either amplify or retard healing of wounds. These observations have lead to the proposition that when used in synergistic combinations with ECM molecules, the amount of growth factors needed to display a given effect on wound healing would be much lower than if they are used in non-synergistic combinations (Clark, 2008).
[0178] Synergistic Combinations
[0179] Decorin—IGF-1→Repository, ↑ local concentration of IGF-1→↑ chemotactic activity in endothelial cell lines, ↑ keratinocyte and fibroblast proliferation and re-epithelialization
[0180] Decorin—TGFB1→↑ angiogenesis, stimulation of PDGFA 4→↑ chemotaxis (neutrophils, monocytes, fibroblasts), ↑ proliferation (fibroblasts), induction of myofibroblast phenotype.
[0000] ↑
[0181] Biglycan—TGF beta→Repository, ↑ local concentration
[0182] Fibronectin—VEGF, TGF beta→Repository and longer activation period→↑ angiogenesis, chemotaxis, proliferation.
[0183] Fibronectin—HGF→Repository and longer activation period→↑ endothelial migration.
[0184] Tenascin—EGF receptors→improved mitogenic and migratory activity
[0185] Thrombospondin—VEGF→internalization of VEGF→delayed granulation tissue formation and diminished angiogenesis→delayed wound healing.
[0000]
Gene Symbol
Fold Change
Description
IGF1
57.2816
Insulin-like growth factor 1
BGN
21.11213
Biglycan
TNC
12.99604
Tenascin C
HGF
11.31371
Hepatocyte growth factor
VEGF
1.866066
Vascular endothelial growth factor
TGFB1
1.283426
Transforming growth factor, beta 1
DCN
1.239708
Decorin
FN1
1.079228
Fibronectin 1
[0186] Keratinocyte Migration
[0187] Keratinocyte motility depends on two major extracellular cues. ECM, which promotes haptotaxis and essential for initiation of motility and GFs that are essential for chemotaxis and augmenting the action of ECM molecules. Studies have shown upregulation of certain promotility genes in response to growth factor stimulation. When compared to our data, the following promotility genes are upregulated by at least a factor of two.
[0000]
Gene Symbol
Fold Change
Description
ID1
5.133704
Inhibitor of DNA binding 1
ARL4C
4.257481
ADP-ribosylation factor-like 4C
LIF
4.198867
Leukemia inhibitory factor
ZFP36L2
3.340352
Zinc finger protein 36, C3H type-like 2
JUN
3.09513
v-jun sarcoma virus 17 oncogene homolog
SLC20A1
2.479415
Solute carrier family 20 member 1
IL11
2.462289
Interleukin 11
IER2
2.297397
Immediate early response 3
NALP1
2.114036
NACHT, leucine rich repeat and PYD
(pyrin domain) containing 1
[0188] Epithelial-Mesenchymal Interaction
[0189] In addition to activation of promotility genes in keratinocytes, wound healing process involves epithelial-mesenchymal interaction between keratinocytes and fibroblasts. Keratinocyte proliferation and migration of fibroblasts to the wound site begins at the end of the inflammatory phase. Keratinocytes at the wound site mediate gene expression changes in fibroblasts and thereby affect leukocyte attraction and adhesion, fibroblast and keratinocyte proliferation, angiogenesis and ECM remodeling. Corresponding genes that are upregulated in our microarray data are as follows
[0000]
Gene Symbol
Fold Change
Description
IGF1
57.2816
insulin-like growth factor 1
MMP1
13.92881
matrix metallopeptidase 1
SPON1
8.224911
spondin 1, extracellular matrix protein
PTGS2
7.061624
prostaglandin-endoperoxide synthase 2
NR4A2
5.656854
nuclear receptor subfamily 4, group A,
member 2
PTGES
5.133704
prostaglandin E synthase
IER3
5.063026
immediate early response 3
ENO2
4.287094
enolase 2
JUNB
4.228072
jun B proto-oncogene
KYNU
3.506423
kynureninase
NR4A3
3.317278
nuclear receptor subfamily 4, group A,
member 3
PDE4D
3.138336
phosphodiesterase 4D
FMOD
3.010493
fibromodulin
PDXK
2.732081
pyridoxal kinase
CA12
2.713209
carbonic anhydrase XII
TGFBR1
2.584706
transforming growth factor, beta receptor I
TNFAIP6
2.479415
tumor necrosis factor, alpha-induced
protein 6
IL11
2.462289
interleukin 11
CA12
2.281527
carbonic anhydrase XII
GK
2.084932
glycerol kinase
NDRG1
2.056228
N-myc downstream regulated gene 1
[0190] Stem Cell Niche Contributions
[0191] Stem cell niches in adult mammalian skin are found to be present in the intrafollicular dermis, in sebaceous glands and in the bulge region of the outer root sheath of the hair follicle. Studies have shown that this bulge region contributes multipotent cells that are preferentially tapped in cases of cutaneous damage. Not much is known about the manner in which the stem cells reach the bulge in the embryonic stage, but the gene Sox9 is known to play a critical role in stem cell specification. Progeny of Sox9 producing cells contribute to all skin layers. Other transcription factors that are upregulated in bulge stem cells include Lhx2, Tcf3, and Nfatc1. The ones that are expressed in our data are:
[0000]
Gene Symbol
Fold Change
Description
SOX9
7.94474
SRY (sex determining region Y)-box 9
TCF3
2.07053
Transcription factor 3
NFATC1
1.453973
Nuclear factor of activated T-cells
[0192] Conclusions: ASCs prepared as 3-D MAs statistically up-regulate the expression of many important factors involved in wound healing and tissue repair, including soluble growth factors and extracellular matrix proteins. Given the emerging evidence for the synergistic bio-activity of ECM-growth factor complexes, these findings may help explain the enhanced potency of 3-D MAs that we have observed related in vivo studies.
Example 2
Bibliography
[0000]
1. S. Rahman, et al., Novel hepatocyte growth factor (HGF) binding domains on fibronectin and vitronectin coordinate a distinct and amplified Met-integrin induced signalling pathway in endothelial cells, BMC Cell Biol. 6 (1) (2005) 8.
2. C. Cabello-Verrugio, E. Brandan, A novel modulatory mechanism of TGF-beta signaling through decorin and LRP-1, J. Biol. Chem. (2007).
3. R. Blakytny, et al., Lack of insulin-like growth factor 1 (IGF1) in the basal keratinocyte layer of diabetic skin and diabetic foot ulcers, J. Pathol. 190 (5) (2000) 589-594.
4. C. S. Swindle, et al., Epidermal growth factor (EGF)-like repeats of human tenascin-C as ligands for EGF receptor, J. Cell Biol. 154 (2) (2001) 459-468.
5. M. Streit et. al., Thrombospondin-1 suppresses wound healing and granulation tissue formation in the skin of transgenic mice. EMBO 19 (2000) 3272-82.
6. R. A. F. Clark, Synergistic Signalling from Extracellular Matrix-Growth Factor Complexes, J. Inv. Dermatology. 128 (2008) 1354-1355.
7. Marci, Lauren et. al. “Growth factor binding to the pericellular matrix and its importance in tissue engineering”, Advanced Drug Delivery Reviews 59 (2007) 1366-1381.
8. Nowinski, D. et. al. “Analysis of Gene Expression in Fibroblasts in Response to Keratinocyte-Derived Factors In Vitro: Potential Implications for the Wound Healing Process”, J Invest Dermatol 122 (2004) 216-221.
9. Chen et. al. “Profiling Motility Signal-Specific Genes in Primary Human Keratinocytes”, J Invest Dermatol 128 (2008) 1981-1990.
Example 3
Methods
[0202] Cryopreserved human ASCs were thawed and plated using established protocols. Cells were cultured as adherent monolayers in LADP medium with 1% human serum until confluency. ASC MAs of 10 5 cells were then fabricated and maintained in suspension culture in one of three different media (LADPM with 1% human serum (LADPM-1%), LADPM with no serum (LADMP-SF), and DMEM/F12 with antibiotics only (D0)). Each of these study arms was further divided into parallel cultures with or without Ascorbic Acid-phosphate. Medium was changed on culture day 3, and MAs were harvested and analyzed on culture day 5 using two methods: Sirius Red F3B dye binding assay (detects all/most types of collagen) and picro-sirius red staining of cryosections.
[0203] Results: ASC MAs generated detectable collagen under all culture conditions, but more collagen was generated in LADP medium than DMEM medium. Under serum free conditions, the addition of vitamin C did not significantly increase collagen levels. In the presence of serum, however, vitamin C increased collagen production by ˜20% (Table). Visualization of picro-sirius red stained MA sections under crossed-polarized bright field microscope showed the presence of Type I and III collagen fibers.
[0000]
Serum
Vitamin
Collagen
Medium
(1% HS)
C
(μg/100k MA)
LADPM
+
+
20
LADPM
+
−
16.5
LADPM
−
+
15.5
LADPM
−
−
17.5
DMEM/F12
−
+
14
DMEM/F12
−
−
12.5
[0204] Conclusions:
[0205] This study demonstrates that ASCs produce self-generated collagen when formulated as defined multicellular aggregates in suspension. Even more, ASC MAs support collagen production in defined, serum-free conditions. Based on these findings, ASC MAs may prove useful for therapeutic applications that would benefit from collagen supplementation/replacement.
[0206] The disclosures of each and every patent, patent application, and publication cited herein are hereby incorporated by reference herein in their entirety.
[0207] Headings are included herein for reference and to aid in locating certain sections. These headings are not intended to limit the scope of the concepts described therein under, and these concepts may have applicability in other sections throughout the entire specification.
[0208] While this invention has been disclosed with reference to specific embodiments, it is apparent that other embodiments and variations of this invention may be devised by others skilled in the art without departing from the true spirit and scope of the invention. | The present application provides compositions and methods for regulating ECM production in ASCs and for isolating and using the various ECM molecules. The present application further provides methods for inducing various growth factors, cytokines and stem cell markers. | 94,619 |
This application is a continuation application of Ser. No. 08/268,299 filed Jun. 30, 1994, abandoned, which is a continuation application of Ser. No. 08/132,055 filed Oct. 5, 1993, abandoned, which is a continuation application of Ser. No. 07/798,638, filed Nov. 26, 1991, abandoned.
FIELD OF THE INVENTION
The present invention relates to the detection of Islet Cell Autoantibodies. The presence of islet cell autoantibodies (ICA) has been found to be an indication of the susceptibility of a non-diabetic patient to developing insulin dependent diabetes mellitus (IDDM). It has been found that the prevalence of islet cell antibodies (ICA) in insulin dependent diabetes if tested about the time of the onset of diabetes is very high. For example, if the test is done within the first one or two weeks of the onset of symptoms, up to 85% of diabetic children will have detectable islet cell antibodies (ICA). Clinical Immunology, Parker, P. 836 (1980). The present invention relates to a simple in vitro serodiagnostic method of detecting islet cell antibodies.
DESCRIPTION OF THE PRIOR ART
The presence of autoantibodies against islet cell antigens is considered an indication of autoimmune reaction and subsequently to a later development of IDDM. (Eisenbarth et al., Diabet/Metab Rev., 3:873, (1987); Srikanta etal., Diabetes, 35:139, 1986; Kamalesh and associates, Pract. Cardiol., 12:79, 1986; Riley et al., Adv. Pedtiatr., 35:167, (1988). In the prior art, serum ICA has been determined by indirect immunofluorescence and histochemical methods employing frozen unfixed human/primate or rat pancreatic sections as substrates. Despite various attempts to improve the sensitivity and specificity by modifying this procedure since its original description in 1974, the indirect immunofluorescence/histochemical technique suffers from inherent methodological problems. See: Bottazo, F. G., A. Florin-Christense, and D. Doniach (1974), Islet Cell Antibodies in Diabetes Mellitus with Polyendocrine Deficiencies, Lancet, II:1279-1283; Srikanta, S., A. Rabizadeh, M. A. K. Omar, and G. S. Eisenbarth (1980), Assay for Islet Cell Antibodies: Protein A-Monoclonal Antibody Method, Diabetes, 34:300-305. Standardization of the technique has proven to be very difficult. The reliability of this "frozen-section" technique is limited by factors such as the variation from one pancreas to another, the inevitable need for unfixed pancreatic tissue and the infrequent availability of the suitable tissue. Consequently, there is a need in the prior art for a simple reproducible test for ICA that can be performed without access to fresh human pancreas.
It has been shown in the prior art that a 64,000 (64 KD) molecular weight (MW) protein is consistently recognized by IDDM autoantibodies. It has been suggested that a convenient clinical assay awaits its isolation, purification and primary structure determined by microsequencing Kiechle, F. L., Malinski, T., Moore, K., Insulin Action: Implications for the Clinical Laboratory, Laboratory Medicine, 21:9, 565-73 (1990). Recently the nature of the 64 KD protein has been suggested. See, Baekkeskov, S., Aanstoot, H. K., et al., Identification of the 64K Autontigen in Insulin-Dependent Diabetes, Nature 347, 151-55 (1990).
Sandwich type diagnostic tests are well known in the prior art, e.g., the RAST test for IgE, see U.S. Pat. No. 3,720,760. Sandwich tests typically employ a marked reagent such as anti-IgE in the RAST test. The marker can be a radioactive isotope, an enzyme, fluorescein or other suitable detectable label.
Lectins are divalent or multivalent carbohydrate binding proteins grouped together because of their ability to agglutinate erythroctyes and malignant cells. The lectin receptor on the cell membrane is usually the terminal or the adjacent sugar bound to proteins or/and lipids.
Naturally occurring lectins have been isolated from a wide range of plants and animals (Gold and Balding, Receptor Specific Proteins: Plant and Animal Lectins, Excerpta Medica Amesterdam, 1975; Cohen and Vista, In Developmental Immunology, Clinical Problems and Aging, Cooper and Brazier, eds, Acad. Press, N.Y., 1982). Concanavalin A (Con A) is a lectin which can be isolated from the Jack bean, see, Sumner and Howell (J. Bacteriol, 32:227 1936).
Lectins have been used in affinity purification of proteins. For example, proteins from various sources have been purified using lectin affinity chromatography. Lectin have been used in purifying both the cell wall and cytoplasmic microbial antigens. Nghiem, Eur. J. Biochemistry, 75:613 (1977) purified the two cell wall antigens from Salmonella Zuerich using Con A. Cytoplasmic antigens for serodiagnosis of Paracoccidioidomycosis were prepared using Con A affinity chromatography by Mcgowan and Buckley (J. Clin. Microbiology, 22:39, 1985). In this study, the fraction of the cytoplasmic extract of Paracoccidioides brasiliensis that binds Con A was found to be the antigen recognized by antibodies in patients' sera.
Concanavalin (Con A) is a lectin which has been found useful as a purification tool for proteins. Con A generally binds to saccharides containing ..D-mannose or ..D-glucose residues So and Goldstein, J. Immunol., 99:158, 1967; J. Biol. Chem., 242: 1617 (1967). It recognizes both the terminal and internal protein saccharide residues Goldstein et al, Biochemistry, Biochem. Biophys. Acta., 317:500, 1973).
Con A has been used for the removal of nonspecific antigens from microbial extracts. Greenfield and Jones, Infection and Immunity, 34:469 (1981) purified the cytoplasmic antigens of Candida albicans by selectively adsorbing the nonspecific cell wall mannan on to the lectin column. The portion of the yeast extract that did not bind to Con A was found to be the mixture of antigens--specific for C. albicans. Similarly a platelet antigen specific for antibodies from quinidine purpura was purified using a wheat Germ Agglutin column.
Antigens/allergens of plant origin have also been purified using the lectin affinity chromatography technology. Allergenic glycoproteins from peanut have been purified using a combination of ion-exchange, gel permeation and affinity chromatography. Barnet and Howden (Biochem. Biophys. Acta, 882:97, 1986) purified a Con A reactive 65KD peanut protein that was found to be potent allergen for peanut-sensitive patients.
Purification of antibodies also has been assisted by the use of lectin. The carbohydrate residues on the Fc portion of the antibody molecule bind the lectin. Biewenja etal. Molecular Immunology, 256:C865, (1989), purified IgA and its fragments using a Jacalin-sepharose. Jacalin is an N-terminal galactose specific lectin. IgA and its fragments were precipitated by Jacalin bound sepharose.
SUMMARY OF THE INVENTION
It has been found that islet cell autoantibodies (ICA) can be found in over seventy (70%) percent of recently diagnosed IDDM patients. The susceptibility to the development of IDDM has been linked to the presence of such antibodies in the blood. Thus, according to the invention a simple diagnostic test has been developed which is based on a solid phase having immobilized pancreatic antigens which will be recognized by islet cell autoantibodies of sera from clinical and/or preclinical IDDM patients but do not contain antigens that is recognized in healthy patient sera.
In another aspect of the invention, it has been found that there are at least four pancreatic antigens to which islet cell autoantibodies are directed. Thus, it is desirable to have a diagnostic test for ICA which responds to at least one of these pancreatic antigens. To minimize false negatives in a diagnostic test, it is desirable that the test recognize the presence of two or more of those antibodies and preferably three or four.
Another aspect of the invention is a simple method to manufacture reagents used in such a diagnostic test and to provide a storage stable pancreatic antigen solid phase. Because antigen isolation and purification can be an expensive and time consuming process, it is most desirable to avoid complicated isolation and purification procedures for the four pancreatic antigens which are reactive to ICA and directly fix the pancreatic antigens onto an insoluble carrier without first isolating and purifying the proteins.
It is an object of the invention to provide a diagnostic test for ICA.
It is an object of the invention to provide a diagnostic test that gives an indication of the susceptibility of a patient to develop IDDM.
It is an object of the invention to provide a diagnostic test that can detect more than one autoantibody to islet cell antigens.
It is an object of the invention to provide a storage stable solid phase containing pancreatic antigens which can be used to determine the presence of ICA in a human body fluid such as blood or serum.
It is an object of the invention to provide a method of fixing pancreatic antigens which react to ICA, to a water insoluble carrier without prior isolating and/or purifying individual pancreatic antigens.
Other additional and further objects will become apparent from reading the following specification of the invention.
According to the invention, a diagnostic test has been developed for a determination of ICA in a body fluid. In particular a test has been developed which gives ax positive response to serum from patients who have been confirmed as recently developing IDDM and a negative response to healthy patient sera. In another aspect of the invention a test which responds to the presence of two or more of the antibodies to pancreatic antigens which have been identified as present in newly diagnosed IDDM patients and hence, give an indication of susceptibility to later development of IDDM is provided. In addition, a simple method of preparing reagents for use in the test has been developed. The resulting diagnostic test is fast, direct, reliable, reproducible and highly sensitive. Moreover, with proper controls the test can be used to give a quantitative readout of the amount of ICA antibodies present in a given sample.
According to the invention a sandwich type immunosorbent diagnostic test is provided. First, pancreatic antigens are immobilized to a water insoluble polymer carrier. The preparation of the polymer carrier is accomplished by attaching a lectin, preferably Concanavalin (Con A) to the water insoluble polymer with bonds that are capable of withstanding normal washing procedures, e.g., the Con A can be absorbed to the carrier or covalently bound thereto. Mammal pancreatic antigens are then attached to the immobilized Con A by bonds capable of withstanding normal washing procedures.
The mammal pancreatic antigens are preferably derived from rodent or human pancreas. Desirably, the pancreatic antigens include at least two and preferably four or more pancreatic antigens that react to antibodies routinely detected in the blood of patients who have been recently diagnosed as IDDM. Desirably the polymer carrier is a plastic polymer microtiter plate. However, many water insoluble polymers will suffice. Such carrier may be in the form of paper or plastic disks or strips, or plastic beads, plastic microtiter plates, microwells, or plastic and nitrocellulose membranes or membranes coated with charged resins. The lectin may be absorbed to the polymer carrier or linked thereto by covalent bonds.
Desirably after the pancreatic antigens have been attached to the lectin (preferably Con A) carrier conjugate, a blocking protein is added to block off any unbound lectin protein binding sites remaining after incubation with the pancreatic antigens. This blocking protein should be non-reactive to human immunoglobulins.
The polymer carrier--lectin--pancreatic antigen conjugate is then used as the solid phase in an immunoassay. A sample typically a body fluid from a patient such as blood most desirably serum is incubated with the pancreatic antigen conjugated carrier for a sufficient time for the antibodies in the sample to attach to the pancreatic antigens attached to the carrier phase.
The sample is then washed to remove any unbound sample proteins. Antibodies to human IgG which have been labelled are added to the solid phase and incubated for sufficient period of time for the labelled antibodies to react with the antibodies immunologically bound to the pancreatic antigens. The resulting solid phase is then washed and the amount of labelled antibodies that have been attached is measured. As a result an indication of the presence of ICA is obtained and a determination of the patient's susceptability to IDDM can be predicted.
The preferred embodiment of the present invention is illustrated in appended detailed description of the invention and in the Examples. However, it should be expressly understood that the present invention should not be limited solely to the illustrative embodiment.
DETAILED DESCRIPTION OF THE INVENTION
In accordance with the present invention it has been found that an effective solid phase for use in the diagnostic testing for the susceptibility of patients to developing to IDDM is provided by binding a lectin preferably Con A to a water insoluble polymer then binding thereto a mammal preferably rodent or human pancreatic antigen desirably rat pancreatic antigens to form a water insoluble polymer-lectin-antigen conjugate.
In another aspect of the invention, a reproducible direct fast, reliable and highly sensitive diagnostic test is provided using the water insoluble polymer-lectin, (preferably Con A), mammal and/or rodent pancreatic antigen conjugate in a sandwich type immunosorbent test.
According to the invention the mammal preferably rodent or human pancreatic antigens which respond to ICA found in recently diagnosed insulin dependent patients and which do not respond to antibodies in healthy patient serum are conjugated to a polymer carrier-lectin conjugate to form a solid phase for the diagnostic test. The resulting diagnostic test gives a positive indication when tested against recently diagnosed IDDM positive patients and a negative indication to healthy patient serum. Preferably the test according to the invention responds to two or more of the antibodies which react to islet cell antigens and which are present in newly diagnosed IDDM patients. Thus, the diagnostic test according to the invention gives a good indication of the susceptibility of the patient to later development of IDDM. According to the invention some of the pancreatic antigens to which islet cell autoantibodies are directed have been identified. A type-O human pancreatic extract was subjected to SDS-PAGE. Western Blot using a panel of clinically confirmed recently diagnosed IDDM patient sera was performed. A Western Blot using a panel of clinically confirmed negative IDDM sera was also performed. A positive and negative IDDM sera pool was made from these panels. A total of 4 islet cell antigens having molecular weight of about 90 KD, 67 KD, 59 KD and 34 KD can be routinely identified as reactive to the islet cell autoantibodies from such pool. Two major protein bands (67 KD and 59 KD) are identified by about 70% of the sera panel. The third major band (90 KD) is identified by 50% of the sera panel. One minor band (34 KD) was recognized by 80% of the panel.
According to the invention an easy to prepare, storage stable, water insoluble carrier is provided for use in a diagnostic test to determine islet cell autoantibodies (ICA) and hence, obtain an indication of the susceptibility of a patient's later development of IDDM. This solid phase reactant includes a water insoluble polymer such as paper, plastic, e.g., polystyrene, polypropylene or the like. The water insoluble polymer can be in the form of paper disk or paper strips, microtiter beads composed of polystyrene or the like or preferably microtiter wells composed of polystyrene such as microtiter plates supplied by Costar Corp., Kennebunkport, Me. Such plates typically have a number of wells supplied in plate and in strip fashion.
To the microtiter wells, a lectin preferably Con A is attached by bonds capable of withstanding normal washing procedure. The lectin may be attached to the water insoluble polymer by covalent bonds through methods well known in the art such as CNBr linkage to paper disks and other methods of conjugating proteins to water insoluble polymers. Preferably lectin is adsorbed to microtiter plates which are desirably composed of polystyrene. The lectin is attached to the microtiter plates for example by incubating a solution of Con A at a low temperature preferably from 2° C. to 8° C. in the microtiter plate wells for a sufficient time to bind the Con A to the microtiter plate. Typically an incubation time of 8 to 15 hours is used and preferably overnight.
The Con A can be obtained from numerous commercial sources such as Cal Biochem and is readily available on the market. The Con A solution is obtained by dissolving commercial Con A, for example, Cal Biochem No. 234567 in a buffered saline preferably a phosphate buffered saline (PBS) having a pH of from 5 to 8 desirably a pH of 6.5. The final solution is from about 1 ug/ml to 1.5 mg/ml, preferably about 0.5 mg/ml (500 ug/ml).
A sufficient amount of the Con A solution is then dispensed into the microtiter plates and incubated preferably overnight at a temperature of from 2° C. to 8° C. preferably at about 4° C. Preferably 100 ul/well of Con A solution is used when for example Costar microtiter plates are used. The lectin containing microtiter wells are then incubated for a sufficient period for the lectin to be absorbed by the polystyrene micro wells. Unbound lectin solution is then decanted from the microtiter plate. The plates are preferably blotted dry. The resulting microtiter well Con A conjugate is then ready for attachment of pancreatic antigens.
According to the invention, pancreatic antigens are attached onto the microtiter wells Con A conjugate. Preferably mammal pancreatic antigens are used. The pancreatic antigens may be derived from human pancreas particularly human pancreas of the type-o blood type. Since human pancreas are in short supply, it is preferable to use mixed and/or other sources of pancreas which are more readily available for example, rodents. Preferably rat pancreas are used. Desirably rat pancreas from immune deficient rat strains are used. For example, the BB strain of rat maintained by the University of Massachusetts. optionally pancreas from the non obese diabetic mouse (ND rat) and Wistar Albino rat strain have also been found as a useful pancreas antigen source for use in the invention. It has been found that these rat pancreas include pancreatic antigens that are reactive to ICA. In addition, such pancreatic antigens have been found non-reactive to other immunoglobulins found in human blood serum e.g., healthy normal serum, with high titer of thyroid autoantibodies and even rheumatoid factors.
In selecting a mammal preferably rodent, most preferably rat strain for use in accordance with the invention, one needs to screen a typical pancreas from the strain or species. The pancreas of each suspected strain and/or species is carefully dissected out, washed in cold PBS and cut into small pieces. An extract is prepared by suspending one gland in 2-5 ml of cold PBS, homogenized briefly in ice bath and sonicated briefly in ice bath. A detergent (octyl-B-D-glucopyranoside) is then added. After removing debris by centrifugation, protein concentration of extract is determined. The extract is subjected to standard SDA-PAGE with the appropriate molecular weight (MW) marker proteins. A standard pancreatic extract is used as positive control standard. The standard IDDM positive sera pool is used in Western Blot. The SDS-PAGE and Western Blot of the suspected species and the standard are compared carefully. Extracts that produce one or more bands with clinically confirmed IDDM positive sera pool but not with the IDDM negative sera pool will be selected. Desirably, the extract should produce two or more confirmatory bands, preferably at least a 59 KD and 67 KD bands and most preferably a pancreas that includes 90 KD, 59 KD, 67 KD and 34 KD proteins. Such pancreas can then be used as a source of pancreatic antigens for binding to a water insoluble carrier-lectin conjugate. The solid phase for use in the diagnostic test according to the invention is prepared by binding suitable pancreatic antigens, screened as described above, to a water insoluble polymer lectin conjugate.
Preferably a rat pancreas from a suitable rat strain is prepared for a fixation to the lectin preferably Con A, water insoluble polymer conjugate. Suitable rat pancreas preferably pre-frozen are washed in a cold saline solution preferably PBS having a pH of about 7. The tail end portion of clean glands are cut into small pieces and suspended in a cold saline solution preferably PBS in an amount of 1 gland per 10 ml of suspension solution. The glands are then homogenized preferably in an ice bath for a sufficient period until complete homogenation is obtained. Typically, the homogenization will take from 1 to 2 minutes. The homogenized preparation is then sonicated in an ice bath for a sufficient time to insure that there are no tissue lumps remaining. Desirably sonication should be performed for 15 to 60 seconds, preferably about 30 seconds.
Desirably a non ionic detergent is added to the pancreatic homogenate. Preferably a detergent such as octyl-B-D glucopyranoside for example, supplied by Cal Biochem is added to the pancreatic homogenate. Desirably a final detergent concentration of 0.5 to 5% is obtained and preferably about 2%. Desirably the detergent solution is prepared with a detergent concentration of 10 to 30% and preferably about a 20%. Preferably the resulting detergent solution is then added to the homogenate and the mixture stirred to assure complete mixing preferably for from 30 to 90 minutes, desirably for about 60 minutes at low temperature preferably at 2° to 8° C. The resulting mixture is then centrifuged at high speed (preferably at about 10,000×G for 10 to 30 minutes most preferably 20 minutes). The supernate is collected and the protein concentration of the supernate is then measured using a protein assay for example, the BioRad protein assay. The resulting extract can be frozen at a temperature of from -10° to -30° C. preferably -20° C. for later use.
The lectin insoluble polymer preferably polystyrene microtiter well Con-A conjugate is incubated with a sufficient amount of a suitable pancreatic extract for a sufficient period of time so that substantial amounts of pancreatic antigens are linked to the lectin water insoluble polymer carrier. For example, frozen pancreatic extract as described above is thawed and centrifuged at high speed to remove any insoluble material. Based on the prior assay of protein concentration, the extract is diluted, preferably with saline, desirably a buffered saline such as PBS at a pH of about 7 to a final protein concentration of from 10 to 1,000 ug/ml, preferably 200 to 400 ug/ml and desirably 300 ug/ml. Preferably polystyrene wells to which Con A has been conjugated are incubated with a sufficient amount of rat pancreatic extract preferably immune deficient rat pancreatic extract most desirably BB rat strain pancreatic extract in an amount of about 100 ul/well of diluted pancreatic extract. This amount of course can be varied depending on the size of the well and binding capability of the particular microtiter plate.
The pancreatic extract is then incubated in the microtiter well for sufficient time for the pancreatic antigens to conjugate with the available lectin preferably Con A binding sites. Desirably this incubation is continued overnight at low temperatures preferably at about 4° C. Subsequently, the next morning any unbound pancreatic extract is drained from the plates.
Preferably unbound lectin sites are then blocked preferably by adding a protein blocking agent which is non-reactive to human IgG. Preferably where Con A is the lectin, a 10% dialysed goat serum (delipidized) is added to the microtiter wells that have been previously conjugated with the pancreatic antigens and incubated at low temperature preferably 2° C. to 8° C. for a sufficient time, desirably 12 to 24 hours preferably overnight so that blocking proteins preferably the goat serum proteins bind with the unbound lectin (Con A) sites. The blocked microtiter plates are then washed to remove any unbound goat serum. Desirably the blocked microtiter plates are washed three times with PBS preferably PBS containing tween 20 (PBST) and stored at low temperature. The resulting conjugate is storage stable and ready for use as the solid phase in a diagnostic test.
Any sample suspected of containing ICA may be tested according with the methods set forth herein. Most particularly body fluids such as blood or serum may be used for test samples. According to the invention, a sample is incubated along with the prior prepared solid phase reactant as heretofore described. Desirably the solid phase is the polystyrene microtiter well having a Con A rat pancreas antigen conjugated thereto. Desirably serum is used in the sample, preferably the serum sample is diluted in PBS or PBST or other suitable diluents. Desirably a 1 to 100 dilution is performed of serum sample, thus, for example 25 ul (0.25 ml) of serum sample are added to a 2.5 ml of diluent buffer. Preferred diluents and dilution ratios may vary from sample to sample. Simultaneously with the running of any sample, it is preferable that both negative and positive controls be also run.
The sample is added to the microtiter wells and incubated for a sufficient period to allow conjugation of any islet cell autoantibodies in the sample with the pancreatic antigens attached to the solid phase. Typically such incubation should be performed from one half to two hours at room temperature most desirably for one hour. After incubation, unconjugated blood serum is washed from the solid phase. Desirably if a microtiter well is used, the wells are filled with a wash solution and blotted dry. Preferably the wash procedure is repeated several times to insure complete removal of any unconjugated serum.
In accordance with the invention the islet cell autoantibodies (ICA) are detected by contacting the ICA which have been immobilized to a solid phase with a detectably marked or labelled antibody specific for human IgG or other human IgG binding proteins. The marker or label for such protein can be selected from radioactive isotype, enzyme label, a fluorescent label or other detectable labels. Preferably an enzyme label is used. When an enzyme label is used, an appropriate substrate is added after incubation with the enzyme labelled antibodies. Typically enzymes are horse radish peroxidase or alkaline phosphatase enzyme. The enzyme substrates can be tetramethyl benzidine and p-nitrophenyl phosphate respectively.
After the solid phase has been incubated with the sample and washed, a detectably labelled anti-human immunoglobulin is added. Preferably an anti-human IgG enzyme conjugate is added to the solid phase immune complex, preferably to a microtiter well and incubated at room temperature for a sufficient time for the immune reaction of the anti-human immunoglobulins with the immobilized ICA that have attached to the solid phase. Desirably such incubation is performed for from one half hour to two hours and preferably for about one hour at room temperature. After incubation, each plate is blotted dry and washed preferably with a buffer solution. Desirably the washing procedure is repeated at least three times. Preferably, the plates are then further blotted dry. In the case where an enzyme label is used, an enzyme substrate reagent is added to the microtiter wells. The plates are incubated for 10-30 minutes depending on the nature of the enzyme and substrates used. The absorbance of the various samples is measured and compared with both negative and positive controls.
EXAMPLES
Example 1
Preparation of the Pancreatic Extract
According to the invention a pancreatic extract is prepared from a suitable rat species such as BB rats. First, ice cold phosphate buffered saline (PBS) having a PH of 7 is prepared. Prefrozen BB rat pancreas are then washed in the ice cold PBS. The washed glands are then cut into small pieces and the small pieces are suspended in ice cold PBS in an amount of 1 gland per 10 milliliter liters of PBS. The glands are then homogenized in an ice bath for 1 to 2 minutes until a homogeneous preparation is made. This homogeneous preparation is then sonicated for 30 seconds. Care should be taken that there not be any tissue lumps remaining.
A fresh 20% solution of detergent octyl-B-D-glucopyranoside, e.g., Cal Biochem, 49445, is added to the pancreatic homogenate so that a final detergent concentration of 2% is obtained. The mixture is then stirred for 20 minutes at 2 to 8 degrees C. The resulting mixture is then centrifuged at 10,000×G for 20 minutes. The supernatant is then taken and the protein concentration is measured using the BIO-RAD Assay. The extract is then frozen at minus 20° C.
Example 2
Preparation of ICA Plates
Concanavalin A (Con A) is attached to a microtiter plate having microtiter wells composed of a polystyrene plastic supplied by Costar Corp., Kennebunkport, Me. A solution of Concanavalin A is added to the microtiter plates and incubated overnight at 4° C.
The Con A solution is prepared by dissolving Con A obtained from Cal. Biochem. (No. 234567) in PBS pH 6.5 to obtain a final concentration of Con A of about 0.5 mg. (500 ug) per ml. 100 ul/well of the Con A solution is dispensed in the microtiter plates and incubated overnight at 4° C. The next morning the rat pancreatic extract from Example 1 above is thawed and centrifuged at high speed to remove any insoluble material. The extract is then diluted in PBS (pH 7.0) to a final protein concentration of 300 ug/ml. Unbound Con A is then decanted from the microtiter plates which have sat overnight in contact with the Con A solution to form a conjugate between the Con A and the microtiter plates. The plates are blotted dry using paper towels. These blot dried plates are then immediately used.
A 100 ul per well of the diluted pancreatic extract is dispensed into Con A conjugated plates and incubated overnight at 4° C. The next morning any unbound pancreatic extract is removed from the plates.
Unbound Con A sites are then blocked with a 10% dialysed goat serum (delipidized) and incubated overnight at 2°-8° C. The blocked microtiter plates are then washed three times with PBS containing tween 20 (PBST). The resulting plates are then kept in airtight plastic zip-lock bags then assigned a lot number and kept at 2°-8° C. until used. The prepared solid phase islet cell antigen plates are stable when stored 2°-8° C. for 6 month for later use in the diagnostic test.
Example 3
Test Procedure
Microtiter wells prepared in accordance with the invention are assembled. A positive and negative control are run simultaneously with the test sample. The wells are assigned an indexing system for example: A1 to H1, A1 and B1 can be used for blanks for microtiter reader plate blanking, C1 and D1 can be used for negative control, and E1 and F1 for positive control and G1 and H1 for a single test sample. Additional wells can be used if more than one sample is tested.
Samples are added to the microtiter plates. For example, 100 ul of a negative control is dispensed into microwells C1 and D1. 100 ul of a positive control is dispensed into microwells E1 and F1. 100 ul of diluted patient serum is added to microwells G1 and H1. For more patient samples, additional microtiter wells are used in duplicate. There should be 100 ul of solution in each microwell to be assayed except A1 and B1 which are empty at this point and will be used later.
Each plate is covered with a parafilm/plastic wrap (to prevent contamination) and held for 1 hour at room temperature. After incubation, each plate is blotted dry by tapping gently onto a paper towel a few times to discard the solution from all wells. Washing can be done manually or by an automatic plate washer. In such instance each well is washed with 300 ul (0.3 ml) of wash. When a squeeze bottle is used the wells are filled with the wash solution and then the buffer is drained from the microwells. This washing procedure is repeated three more times. The plates are then blotted dry with a paper towel. Thereafter, 2 drops of anti-human IgG Alkaline Phosphatase Conjugate reagent is added to all microwells except wells A1 and B1. Each plate is then covered with a parafilm/plastic wrap incubated at room temperature for one hour. The wells are further washed three times and two (2) drops of a freshly prepared enzyme Substrate Reagent (p-nitrophenyl phosphate) are added to all microwells including wells A1 and B1. The plates are incubated in the dark for 30 minutes at room temperature.
A microtiter plate reader is then set up to read at 405 nm absorbance, according to manufacturer's instructions. Thirty (30) minutes after substrate addition, one drop of the stopping solution is added into each well as quickly as possible. The plate reader is blanked using A1 or B1 wells and the absorbence of the plates is read at 405 nm. The results of the test are calculated as follows:
Calculation of Data
The spectrophotometric readings optical density (OD) in absorbance units! is recorded. The average reading of a sample or control done in duplicate is calculated as follows:
Average reading of the sample (Av)=(1st OD+OD)/2. The average reading of the negative control data is N Avg. positive control data is P Avg. and sample data is S Avg. The cut-off point (X) of each run is calculated as follows:
Cutoff Point (X)=.sup.N Avg.×2.5
The specification (Y) of each run is calculated as follows:
Specification (Y)=.sup.N Avg.×3
A (+) and (-) is entered by comparing the average sample (S) OD value with the calculated cut-off point value. The weak positive patients or borderline cases (5% above the cut-off point) should be tested again after 6 months along with the previous serum sample as a reference.
Positive and negative controls should be run along with unknown samples each time for results to be valid.
A negative control O.D. reading greater than 0.3 of positive control reading or less than 3 times the negative O.D. signifies invalid results. Such results should not be reported. The test should be repeated.
______________________________________Data from a Typical Test Run is Reported Below______________________________________Section A: Control Results Data Cut-off Value XControls O.D. Ave. O.D. X = (2.5 × .sup.N Avg.)______________________________________Negative 0.245 .sup.N Avg. = 0.239 X = 0.597 0.233Interpretation:1. For a valid test, .sup.N Avg. < 0.5. Repeat the test if results are not valid.2. ICA-Positive Result: Average Sample O.D. (.sup.S) Avg. > X.3. ICA-Negative Result: Average Sample O.D. (.sup.S) Avg.______________________________________ < X.Section B: Patient Sample Results Results (Cut-off Point: X = 0.597 Data Positive (+) Negative (-)Patient O.D. Ave. O.D. (Ave. O.D. > X) (Ave. O.D. < X)______________________________________1 0.225 .sup.S.sub.1 Avg. = 0.227 - 0.2292 0.435 .sup.S.sub.2 Avg. = 0.415 - 0.3953. 0.788 .sup.S.sub.3 Avg. = 0.810 + 0.8324. 0.662 .sup.S.sub.4 Avg. = 0.665 + 0.668 0.832______________________________________
Example 4
Performance Characteristics and Correlation with Tissue Staining Technique
The specificity of BB rat pancreatic antigen coated microwell strips according to the invention was established by Western Blot analysis using confirmed IDDM patients' sera. Patients with thyroid autoantibodies and rheumatoid factors read negative.
50 serum samples were tested and found to be ICA-positive by the immunofluorescent tissue staining technique. The ICA test method according to the invention showed 90% correlation with the tissue staining technique for ICA-positivity. In addition, of the fresh onset IDDM patients, about 80% were found to be ICA-positive by the method according to the invention.
Example 5
Rat Pancreas Selection
Rat pancreas are screened for suitability as follows:
A fresh pancreas is washed after dissection of a BB rat. The tail portion is cut into small pieces, mixed with 10 milliliter of cold PBS, the mixture is homogenized in an ice bath for one minute and then sonicated for 30 seconds. Octyl-B-D-glycopyranoside is added to a final concentration of 2%. The resulting mixture is centrifuged at 10,000×G for 20 minutes. The protein concentrate is determined by Bio-Rad assay. 10 ug of the sample pancreatic extract and 10ug of a type-O human pancreatic extract with suitable molecular weight markers are subjected to SDS-PAGE. The resulting gels are subjected to Western Blot using 1:100 dilution of clinically confirmed IDDM positive sera pool and negative sera pool. The bands are visualized by anti-human IgG alkaline phosphatase labelled using nitro blue tetrazolium salt and 5-bromo-4-chloro-3 indoyl phosphate as substrate. The pancreatic extract that showed protein bands by Western Blot techniques using IDDM positive sera but not using IDDM negative sera are chosen. The Western Blot profile of the pancreatic extract is compared with positive control standard. The pancreatic extract had 90 KD, 67 KD, 59 KD and 34 KD protein bands and thus is suitable for use according to the invention.
It should be understood by those skilled in the art that various modifications may be made in the present invention without departing from the spirit and scope thereof, as described in the specification and defined in the appended claims. | An in vitro diagnostic test for analyzing body fluid so as to obtain an indication of the risk of developing insulin dependent diabetes-mellitus (IDDM) is provided. A solid phase containing immobilized pancreatic antigens is contacted with a test sample. The solid phase includes a water insoluble polymer carrier, a lectin attached to the water insoluble polymer, and mammal derived pancreatic proteins. The pancreatic proteins include pancreatic antigens which are reactive to islet cell autoantibodies which are routinely detected in the blood of patients who have recently been diagnosed as having insulin dependent diabetes mellitus (IDDM). A test sample is incubated with the solid phase containing immobilized pancreatic antigens for a sufficient time to allow a reaction between the immobilized pancreatic antigens and autoantibodies to the pancreatic antigens in the sample to bind the autoantibodies to the solid phase. Detectably labelled molecules which are selectively reactive to human IgG are then added and incubated with the solid phase for a sufficient time to allow the reaction of the labelled molecules with the bound antibodies to the pancreatic antigens to thereby attach the labelled molecules solid phase. | 38,808 |
RELATED APPLICATIONS
This Application is a continuation of and claims priority from application Ser. No. 14/710,252, filed May 12, 2015, which is a divisional of and claims priority from application Ser. No. 13/299,752, filed Nov. 18, 2011.
BACKGROUND
1. Field of the Invention
The subject invention relates to solar photovoltaic cells and, more specifically, to method for manufacturing low cost metallization layers for such cells and the resulting cell device structure.
2. Related Art
The silkscreen, silver-paste metallization technology has been developed mainly by the “traditional” diffused junction solar cell manufacturers. In such cells, a top layer of silicon nitride is used and then the metallization is formed on top of the silicon nitride. However, electrical contact must be made between the metallization and the emitter—through the silicon nitride layer. Therefore, silkscreen is used to deposit the silver paste and then the cell is annealed at high temperature (e.g., 950° C.) so that the silver paste diffuses through the silicon nitride layer and makes contact to the emitter. Since diffused-junction solar cells make the bulk of the solar market (by a very large margin), silver-paste technology became a de facto standard in the solar cell industry and much of the manufacturing and development efforts are directed at improving the conductivity of the resulting metallization using silver paste.
A specific metallization layer that is particularly relevant to the subject invention is busbar and fingers over a transparent conductive oxide (TCO). One solar cell architecture that incorporates a silver busbar and fingers over TCO is known as the HIT cell, available from Sanyo® of Japan. FIG. 1 illustrates the general structure of the HIT module. A high quality (Czochralski grown) single crystal silicon wafer of n-type is used as the substrate 100 . The substrate 100 is about 200 micron thick and a square of about 125 mm by 125 mm. The substrate surfaces are texturized to form pyramid shapes throughout the surface, but this is not shown in FIG. 1 due to the minute size of the pyramids. The top surface is coated with a thin layer of an amorphous intrinsic silicon layer 105 . A thin layer 110 of amorphous p-type silicon is deposited over the intrinsic layer 105 . A layer of TCO 115 , e.g., ZnO 2 , ITO (Indium Tin Oxide), or InSnO, is deposited over the p-type layer. Then, busbar 120 and fingers 125 are fabricated over the TCO, generally by silk screen followed with anneal. The same is done on the bottom surface, wherein an i-layer 130 , p-layer 135 , and TCO layer 140 are deposited on the bottom surface, followed by busbar 145 and fingers (not visible in FIG. 1 ). The HIT cell, while being of relatively high efficiency (currently available at about 20% efficiency) is very expensive to manufacture. While part of the cost being the high grade silicon substrate used, other part of the cost is the high cost of the silver paste-based busbar and fingers. Additionally, the silver paste-based busbar and fingers pose a reliability problem in that they tend to delaminate with time.
FIG. 2 illustrate another structure, known as SmartSilicon®, and available from Sunpreme of Sunnyvale, Calif. A rather “dirty” metallurgical grade silicon (MG silicon) is used for fabricating substrate 200 , using casting and solidification technique. Metallurgical grade silicon is generally of 3-5 “nines” purity, meaning 99.9%-99.999% pure, compared to Czochralski grown substrates, which are of nine-nines purity and even higher. Metallurgical grade silicon is generally used in the manufacture of aluminium-silicon alloys to produce cast parts, mainly for the automotive industry. It is also added to molten cast iron as ferrosilicon or silicocalcium alloys to improve its performance in casting thin sections, and to prevent the formation of cementite at the surface. MG silicon has been thought to be useless for semiconductor and solar applications. See, e.g., Towards Solar Grade Silicon: Challenges and Benefits for Low Cost Photovoltaics, Sergio Pazzini, Solar Energy Materials & Solar Cells, 94 (2010) 1528-1533 (“As shown before, MG grade silicon is much too dirty to be employed for EG and PV applications.”), and Solar Energy website of the U.S. Department of Energy: “to be useful as a semiconductor material in solar cells, silicon must be refined to a purity of 99.9999%.” (Available at http://www1.eere.energy.gov/solar/silicon.html.) This is generally referred to as 6N, or solar grade silicon, SoG Si. Therefore, efforts have been made to produce what is referred to as “upgraded” metallurgical silicon (UMG silicon). However, to date, these efforts have not shown great success and come at high cost, especially for the high energy required for the “upgrade” process. Conversely, Sunpreme has shown that by using p-type doped MG silicon substrate and forming specific layers of amorphous silicon, a relatively cheap solar cell can be formed that has conversion efficiency higher than that of conventional thin-film solar cells.
The SmartSilicon solar cell is formed using a p-type MG silicon substrate 200 , forming an amorphous intrinsic layer 205 on the top surface, forming an amorphous n-type layer 210 over the intrinsic layer 205 , forming a TCO 215 over the n-layer. A back metallization layer is formed by depositing a titanium layer 230 over the entire back surface of the substrate 200 , and depositing a layer of aluminum 235 over the titanium layer 230 . The busbar 220 and fingers 225 are formed of silver, using the silk screen method. The SmartSilicon cell's attractiveness is in its conversion efficiency being competitive with that of pure silicon solar cells, while using an extremely cheap MG silicon substrate. Consequently, the relative cost contribution of the silver metallization process to the cost of the entire cell increases.
While the solar industry embraces the silkscreen silver paste metallization process, the subject inventors have determined that there is a need to provide a cost-effective solution for busbar and finger metallization over a TCO, that is cheaper and more reliable than silkscreen silver paste, and that has lower resistivity than silver paste.
SUMMARY
The following summary of the invention is included in order to provide a basic understanding of some aspects and features of the invention. This summary is not an extensive overview of the invention and as such it is not intended to particularly identify key or critical elements of the invention or to delineate the scope of the invention. Its sole purpose is to present some concepts of the invention in a simplified form as a prelude to the more detailed description that is presented below.
Various embodiments of the subject invention provide methods for fabricating busbar and finger metallization over or together with a TCO. Rather than using expensive and relatively resistive silver paste, consisting of pure silver and glass frit with binders, with a resistivity of many times more than that for bulk Silver, embodiments of the invention utilize the high conductivity and relatively low cost copper (or alloys containing copper) deposited at room temperature, with a resistivity of around 2 μ Ohm cm. Various embodiments provide methods for enabling the use of copper as busbar and fingers over a TCO, providing good adhesion while preventing migration of the copper into the TCO. Also, provisions are made for easy soldering contacts to the copper busbars. The various embodiments of the invention can be applied to any solar cell structure that utilizes TCO, such as the HIT or the SmartSilicon. While embodiments of the invention are particularly beneficial for solar cells made of MG silicon, they can be applied to solar cells made on any substrate.
According to a further aspect of the invention, a solar cell is provided, comprising: a substrate having a back surface and a front surface, the front surface designed for facing the sun; a photovoltaic structure formed on the front surface; an ITO formed over the photovoltaic structure; and, front contacts formed over the ITO, the front contacts comprising busbars and fingers comprising copper. Instead of copper, an alloy comprising copper and other materials, such as, e.g., nickel and/or tin can be substituted.
BRIEF DESCRIPTION OF THE DRAWINGS
Other aspects and features of the invention would be apparent from the detailed description, which is made with reference to the following drawings. It should be appreciated that the detailed description and the drawings provides various non-limiting examples of various embodiments of the invention, which is defined by the appended claims.
The accompanying drawings, which are incorporated in and constitute a part of this specification, exemplify the embodiments of the present invention and, together with the description, serve to explain and illustrate principles of the invention. The drawings are intended to illustrate features of the exemplary embodiments in a diagrammatic manner. The drawings are not intended to depict every feature of actual embodiments nor relative dimensions of the depicted elements, and are not drawn to scale.
FIG. 1 illustrates a HIT solar cell according to the prior art.
FIG. 2 illustrates a SmartSilicon® solar cell according to the prior art.
FIG. 3 illustrates a process according to an embodiment of the invention.
FIG. 4 illustrates the resulting structure of the process of FIG. 3 .
FIG. 5 illustrates another process according to an embodiment of the invention.
FIG. 6 is a flow chart of another process according to an embodiment of the invention, while FIG. 7 illustrates a cross section of the progression of the resulting structure.
FIG. 8 is a flow chart of another process according to an embodiment of the invention, while FIG. 9 illustrates a cross section of the progression of the resulting structure.
FIG. 10 illustrates another embodiment of the invention, while FIG. 11 illustrates a cross section of the progression of the resulting structure.
FIG. 12 illustrates an embodiment of the invention with metallization before TCO process, while FIG. 13 illustrates a cross section of the progression of the resulting structure.
FIG. 14 illustrates another embodiment of the invention with metallization before TCO process, while FIG. 15 illustrates a cross section of the progression of the resulting structure.
FIG. 16 illustrates yet another embodiment of the invention with metallization before TCO process, while FIG. 17 illustrates a cross section of the progression of the resulting structure.
DETAILED DESCRIPTION
Embodiments of the subject invention provide methods for manufacturing solar cells at reduced costs. Embodiments of the invention provide a lower cost alternative to silver metallization, which provide low resistivity—nearly ten times lower resistivity than silver paste based metallization—thereby enhancing current collection from the photovoltaic cell. Also, lower deposition temperatures of essentially room temperature in order to achieve the lower resistivities. Various methods are provided to increase adhesion and enable soldering to the busbars.
FIG. 3 is a flowchart illustrating a process according to an embodiment of the invention, while FIG. 4 illustrates a cross-section of the resulting structure, exemplified by the broken-line arrow in FIGS. 1 and 2 . In FIG. 3 , the process starts after the photovoltaic (PV) cell 400 has been fabricated on a substrate and a TCO layer 405 , e.g., an ITO has been deposited over the PV cell 400 . The PV cell 400 may be any PV cell requiring a TCO as its top layer, for example, the HIT structure from Sanyo or the SmartSilicon structure from Sunpreme. In step 300 , a mask 410 is formed over the TCO to delineate the design of the metallization. The mask may be, for example, a hot wax deposited using technique such as inkjet printing, or a resist material that can be cured via exposure to heat or certain illumination, e.g., UV curing, and being deposited using, e.g., the silkscreen technique. According to one embodiment, an inkjet system is used to deposit hot wax mask. Thereafter, the wax mask is reflowed by annealing the wafer, so as to provide enhanced coverage, especially when the surface of the wafer is textured.
Then, in step 305 a barrier/adhesion layer 415 is deposited. This layer is needed for two reasons. First, it is difficult to have copper adhere to TCO, especially to ITO. Second, copper tends to migrate and a study already showed that ITO is not a very good diffusion barrier to copper. The adhesion/barrier layer may be of a transition metal such as, e.g., chromium, nickel, titanium, etc. It may be deposited by, e.g., electroplating, electroless plating, PVD sputtering, etc. In step 310 copper layer 420 is plated over the barrier/adhesion layer 415 . In this example the copper is plated using electroplating. In step 315 a cap layer 425 is formed over the copper 420 . The cap layer 425 may be electroplated tin layer, which enables easy soldering onto the metallization layer, so as to connect a plurality of solar cells together, normally in a series connection. Alternatively, the barrier layer 415 may be sensitized by dipping in a liquid solution containing Pd++ (e.g. PdCl2) and then electrolessly plated with Copper. The final Ni layer is also electroless plated on top of the electroless Copper. Both electroless plating steps do not require an external field to be applied during the plating process.
FIG. 5 illustrates another process according to an embodiment of the invention. The process of FIG. 5 is similar to that of FIG. 3 , except that a plasma treatment step has been added to the process flow. According to one embodiment, as shown in FIG. 5 , the plasma treatment is performed after forming the mask 410 . On the other hand, the plasma treatment may also be performed prior to forming the mask 410 . In one embodiment the plasma treatment comprises a CH4 plasma formed in situ or using remote plasma source. The plasma treatment may be performed at elevated temperature, e.g. 100° C.-200° C. for, say, 5-20 minutes. The plasma treatment helps forming good adhesion to the TCO, especially when using electroplating to form the barrier/adhesion layer 415 . The plasma treatment is used to reduce the TCO to enable better electroplating. In other embodiments, CH4/Ar or Ar/H2 plasma is used. According to yet another embodiment, an H2 plasma treatment is performed before the mask is formed.
FIG. 6 is a flow chart of another process according to an embodiment of the invention, while FIG. 7 illustrates a cross section of the progression of the resulting structure. As before, a PV solar cell 700 having a top TCO layer 705 is prepared for front surface metallization, i.e., fingers and busbars. The PV cell 700 is placed inside a PVD chamber having a target for a barrier/adhesion layer, e.g., nickel or titanium. For an improved adhesion, it is suggested that for this step a PVD chamber having a sputtering shutter be used. In step 600 , the shutter is closed and plasma is ignited so as to treat the target by sputtering the target with plasma while the shutter is closed, so that no sputtered material reaches the PV cell. This can be a very short process, e.g., 2-10 minutes. At step 605 the shutter is opened and the plasma is maintained, so that an adhesion/barrier layer 710 is deposited on the TCO layer 705 . The barrier layer can be 250-750 Å thick.
Step 610 is optional, but is shown in FIG. 6 in broken-line box and in FIG. 7 as part of the device for the completeness of illustration. In step 610 a seed copper layer 715 is deposited over the barrier/adhesion layer 605 . In this embodiment the seed layer 715 is also PVD sputtered and can be very thin, e.g., 100-500 Å.
In step 615 a mask 720 is formed, e.g., using wax inkjet printing or photoresist silkscreen, so as to delineate the metallization design. The PV cell is then transferred to an electroplating system to electroplate copper layer 725 . In step 625 a cap layer 730 is also electroplated over the copper layer 725 . Here, the thickness of the cap layer is deposited thicker than the final desired thickness since, as will be shown later, part of this cap layer 730 will be removed during further processing. As before, the cap layer may be nickel, chromium, tin, etc. In step 630 the mask 720 is removed using proper solvent, depending on the type of mask material used. For example, a diluted mixture of KOH (less than 10%) can be used to remove wax or resist mask at room or elevated temperature (e.g., 50° C.). Then, a mixture of sodium persulfate or ammonium persulfate is used to remove the copper that was exposed when the mask was removed. Thereafter, a mixture of potassium permanganate is used to remove the part of the barrier/adhesion layer that was exposed by the removal of the copper. In this step, part of the cap layer may also be removed, which is why it is suggested to make the cap layer thicker than the desired final thickness. Also, in this step the potassium permanganate does not etch the TCO, so that in effect there is a natural etch stop when the barrier/adhesion layer is fully removed. In order to prevent any lateral etching of the barrier and seed layers, especially undercutting of the barrier layer underneath the copper fingers, the permanganate etching may be done with a jet spray to impart directionality to the etch, minimize isotropic etching resulting from immersing the wafer in a stationary liquid bath.
FIG. 8 is a flow chart of another process according to an embodiment of the invention, while FIG. 9 illustrates a cross section of the progression of the resulting structure. This embodiment utilizes conventional silkscreen technology together with plating technology. In step 800 , a silkscreen system is used to deposit a barrier/adhesion layer 910 using, e.g., chromium paste, titanium paste, or standard silver paste. The deposited barrier/adhesion layer 910 is annealed at relatively low temperatures, such as 150°-250° C. In optional step 805 a seed layer 915 made of copper paste is deposited, also using silkscreen technique. Then, a mask 920 is formed in step 810 , to delineate the design of the busbar and fingers. In this example, since the barrier/adhesion and seed layers were formed using silkscreen technology, it may be simpler to use silkscreen to also deposit a photoresist mask. At step 815 the wafer is taken to an electroplating system and electroplated with copper so as to form copper metallization layer 925 . Thereafter in step 820 a cap layer 930 is deposited, also using electroplating. The mask 920 is then removed in step 825 , so as to leave the metallization stack according to the mask design.
FIG. 10 illustrates another embodiment of the invention, while FIG. 11 illustrates a cross section of the progression of the resulting structure. In the embodiment of FIGS. 10 and 11 , the process begins before the deposition of the TCO. As shown in FIGS. 10 and 11 , in step 1000 a barrier/adhesion layer is first deposited over the top layer of the PV device. For example, in the HIT structure it will be deposited over the top p-type amorphous silicon layer 110 , while in the SmartSilicon device it will be deposited over the top p-type amorphous silicon layer 210 . This is illustrated in FIG. 11 as adhesion layer 1110 deposited over device layer 1100 . In this embodiment, the adhesion layer is PVD sputtered metal, such as, e.g., titanium, tantalum, etc. In optional step 1005 a copper seed layer 1115 is PVD sputtered over the adhesion layer 1110 . In step 1010 a mask 1120 is formed to delineate the design of the metallization. The mask may be inkjet wax, silkscreen photoresist, etc. In step 1015 the wafer is electroplated with copper, to form copper metallization 1125 . In optional step 1020 a cap layer 1130 is electroplated over the copper layer 1125 . In step 1025 the mask is removed and in step 1030 the seed and adhesion layers are removed as well. Note that in this step since the adhesion and seed layers are much thinner than the copper metallization layer 1125 , it is very easy to etch them without harming the metallization layer 1125 . Thus, the seed and adhesion layer can be removed in a diluted HF solution. Again, the use of directional wet etching using a jet spray will help prevent any undercutting. In step 1135 TCO is deposited over the entire substrate, thereby providing TCO over the top device layer 110 , and also covering, and thereby protecting, the sidewall and the top of metallization 1125 . Since the TCO provides protection over the metallization layer, step 1020 of depositing a cap layer may be dispensed with. Still, it is recommended to deposit a cap layer of easily solderable material, such as tin. This will enable easy soldering of the PV cell array. In this respect, it is noted that the TCO will need to be partially removed from the top of the busbars for soldering. This can be easily done with diluted HF.
For all of the above embodiments, when using electroplating, it is beneficial to prepare the surface of the TCO so that it is hydrophilic. This can be done by any of the following exemplary methods, or any combination thereof. According to one embodiment, the wafer with the ITO is rinsed in a “soap-like” solution to clean the surface of the TCO from any organic material. An example of such a solution may be the Micro-90, commercially available from Cole-Parmer of Vernon Hills, Ill. According to another embodiment, the surface of the TCO is treated with a surfactant. The surfactant treatment may be instead or in addition to the cleaning step. An example of surfactant may be a solution of sodium alkyl sulfates, mainly the lauryl, such as sodium dodecyl sulfate. According to another embodiment, the TCO is treated with UV light in an ozone atmosphere. This can be done at room or elevated temperature, e.g., 100°-200° C.
FIG. 12 illustrates an embodiment of the invention with metallization before TCO process, while FIG. 13 illustrates a cross section of the progression of the resulting structure. According to this embodiment, the metallization is fabricated first directly on the top layer 1300 of the photovoltaic device, and the TCO is fabricated later. In step 1200 a mask 1320 ( FIG. 13 ) is formed over the top layer of the photovoltaic device to delineate the fingers and busbars. The top layer may be, e.g., the amorphous n-type or p-type silicon layer of the photovoltaic device junction. In step 1205 a barrier/adhesion layer 1310 is fabricated directly over the top device layer 1300 , also somewhat covering the mask 1320 . Optionally, in step 1210 a seed layer 1315 is fabricated over the barrier/adhesion layer. Then, in step 1215 the mask is replaced by first removing the mask 1320 so as to leave only metallization trace 1325 , and then forming a new mask 1322 . Then is step 1220 copper layer 1330 is formed by, e.g., electroplating. It should be noted that if electroplating is used, copper will be formed only where electrical potential is exposed, such that no copper will be formed over the mask. In step 1225 a cap layer 1335 is formed over the copper. Again, if electroplating is used, the cap layer will be formed only over the copper and not over the mask. Then is step 1230 the mask is removed, so as to leave only the metallization structure 1345 . In step 1235 TCO is deposited over the entire wafer, thereby forming somewhat of an interdigit structure of the metallization a TCO over the top layer of the photovoltaic device. In this respect, it is possible to select the material of the cap layer such that TCO will not adhere to it. Regardless, the coverage of the stack 1345 by TCO is not detrimental and, in fact can be used as a good protection layer against oxidation of the stack.
FIG. 14 illustrates another embodiment of the invention with metallization before TCO process, while FIG. 15 illustrates a cross section of the progression of the resulting structure. According to this embodiment, the metallization is fabricated first directly on the top layer 1500 of the photovoltaic device, and the TCO is fabricated later. In step 1400 a mask 1520 ( FIG. 15 ) is formed over the top layer 1500 of the photovoltaic device to delineate the fingers and busbars. The top layer 1500 may be, e.g., the amorphous n-type or p-type silicon layer of the photovoltaic device junction. In step 1405 a barrier/adhesion layer 1505 is fabricated directly over the top device layer 1500 , also somewhat covering the mask 1520 . Optionally, in step 1410 a seed layer 1510 is fabricated over the barrier/adhesion layer. Then, in step 1420 copper layer 1515 is formed by, e.g., electroplating. In step 1425 a cap layer 1520 is formed over the copper. Then is step 1430 the mask is removed, so as to leave only the metallization structure 1525 . In step 1435 TCO is deposited over the entire device. In this respect, it is possible to select the material of the cap layer such that TCO will not adhere to it. Regardless, the coverage of the stack 1525 by TCO is not detrimental and, in fact can be used as a good protection layer against oxidation of the stack.
FIG. 16 illustrates yet another embodiment of the invention with metallization before TCO process, while FIG. 17 illustrates a cross section of the progression of the resulting structure. This embodiment utilizes conventional silkscreen technology together with plating technology, whereby the metallization is fabricated first directly on the top layer 1700 of the photovoltaic device, and the TCO is fabricated later. In step 1700 , a silkscreen system is used to deposit a barrier/adhesion layer 1705 directly on the top device layer 1700 , using, e.g., chromium paste, titanium paste, or standard silver paste. The deposited barrier/adhesion layer 1705 is annealed at relatively low temperatures, such as 150°-250° C. In optional step 1605 a seed layer 1710 made of copper paste is deposited, also using silkscreen technique. Then, a mask 1720 is formed in step 1610 , to delineate the design of the busbar and fingers. In this example, since the barrier/adhesion and seed layers were formed using silkscreen technology, it may be simpler to use silkscreen to also deposit a photoresist mask. At step 1615 the wafer is taken to an electroplating system and electroplated with copper so as to form copper metallization layer 1725 . Thereafter in step 1620 a cap layer 1730 is deposited, also using electroplating. The mask 1720 is then removed in step 1625 , so as to leave the metallization stack 1745 according to the mask design. Then, in step 1630 a TCO layer 1705 is deposited over the entire device.
It should be understood that processes and techniques described herein are not inherently related to any particular apparatus and may be implemented by any suitable combination of components. Further, various types of general purpose devices may be used in accordance with the teachings described herein. It may also prove advantageous to construct specialized apparatus to perform the method steps described herein.
The present invention has been described in relation to particular examples, which are intended in all respects to be illustrative rather than restrictive. Those skilled in the art will appreciate that many different combinations of hardware, software, and firmware will be suitable for practicing the present invention. Moreover, other implementations of the invention will be apparent to those skilled in the art from consideration of the specification and practice of the invention disclosed herein. It is intended that the specification and examples be considered as exemplary only, with a true scope and spirit of the invention being indicated by the following claims. For example, the disclosure relates to using copper; however, it should be appreciated that an alloy comprising copper and other materials, such as, e.g., nickel and/or tin can be substituted. | Methods for fabricating busbar and finger metallization over TCO are disclosed. Rather than using expensive and relatively resistive silver paste, a high conductivity and relatively low cost copper is used. Methods for enabling the use of copper as busbar and fingers over a TCO are disclosed, providing good adhesion while preventing migration of the copper into the TCO. Also, provisions are made for easy soldering contacts to the copper busbars. | 28,773 |
This application is a continuation-in-part of application Ser. No. 07/933,030 filed August 20, 1992now abandoned.
BACKGROUND OF THE INVENTION
In the past there has been both a problem and inconvenience for disposal of garbage and other waste that is generated around a kitchen sink or the like. Major amounts of waste are usually removed to a separate waste container, usually an upright container supported on the kitchen floor.
However, in the case of small amounts of waste, it has been troublesome and an interruption of time to carry such waste to the separate area where the floor supported waste container is located. Such containers may have a foot treadle or other means for opening the top for disposal of waste which requires a significant amount of time for operation.
Small foramens trays of triangular or other shape that are supported upon the sink floor, have been conventionally employed in the past but such trays are unsightly and messy to employ in handling and emptying. Cleaning for reuse after disposal is a further inconvenience.
There is in the market also a small wire holder device in the shape of a triangular cage prism-like construction having high side walls made of bent wire, including sides and base, to support an open trash bag in the corner of a sink.
This device needs a lot of space. Even when the bag is empty, it slides in the sink, needs to be cleaned and has no lid. Moreover, it has no clamping for holding the bag, is inconvenient to load and unload the bag and needs relatively more material which increases the price.
This prism shaped device is better than the old tray of triangular shape, but still has significant disadvantages which are solved by this invention.
It has remained a problem to provide a simple and convenient device for disposing of small amounts of waste generated around a kitchen sink.
SUMMARY OF THE INVENTION
By means of this invention, there has been provided a device for supporting a bag upon a floor of the sink. The top of the bag is presented with an open mouth in order that garbage or other waste material may be easily placed in the bag. The weight of the waste material within the bag is supported upon the kitchen sink floor in order that no stress or strain is borne by the bag.
The support device for the bag in its simplest form is a frame with an open center through which the empty bag is emplaced with the bottom of the bag resting upon the sink floor. The frame has a form that enables it to be positioned upon the top of the sink or an elevated portion of the side wall. The top edges of the bag are then folded over the open frame and retained between the frame and the top or side wall of the sink.
The support frame may be configured in various shapes, such as generally triangular for fitting in the corner of a sink, elliptical, or D-shaped, for use in a corner or side wall of other shapes having an opening through which the waste bag may be interfitted with the bottom resting upon the sink floor and the top edges folded over the waste bag between the frame and the sink in a clamped or retained position. The hinges may be supported on the sink by suction cups, adhesive or the like.
The bag support device may also be provided with a hinged lid in order to cover the waste in the waste bag. The lid is generally contoured with the support frame and may be designed to aid in the retaining of the folded over top edges of the waste bag.
The above features are objects of this invention. Further objects will appear in the detailed description which follows and will be otherwise apparent to those skilled in the art.
For purpose of illustration of this invention a preferred embodiment is shown and described hereinbelow in the accompanying drawing. It is to be understood that this is for the purpose of example only and that the invention is not limited thereto.
IN THE DRAWINGS.,
FIG. 1 is a pictorial view of the front and top portion of the waste bag support installed in the corner of a sink;
FIG. 1A is a top plan view of the waste bag support base;
FIG. 1B is a view in front elevation of the support base;
FIG. 1C is a top plan view of the hinged frame;
FIG. 1D is a top plan view of the hinged cover;
FIG. 2 is a pictorial view of the front and top portion of a modified waste bag support installed in the corner of a sink;
FIG. 2A is a view in right side elevation of the support base;
FIG. 2B is a top plan view of the support base;
FIG. 2C is a top plan view of the hinged bag support frame;
FIG. 3 is a pictorial view of a further modified waste bag support in a sink corner;
FIG. 3A is a top plan view of the support frame;
FIG. 3B is a view in section taken on line 3B--3B of FIG. 3A;
FIG. 4 is a pictorial view of a further modified waste bag support;
FIG. 4A is pictorial view of the support frame;
FIG. 4B is a view in section taken on line 4B--4B of FIG. 4A;
FIG. 5 is a pictorial view of a further modified waste bag support;
FIG. 5A is a plan view of the support frame;
FIG. 5B is a view in section taken on line 5B--5B of FIG. 5A;
FIG. 5C is a pictorial view of a support pin for the support frame;
FIG. 6 is a pictorial view of a further modified waste bag support;
FIG. 6A is a view in section taken on line 6A--6A of FIG. 6;
FIG. 7 is a top plan view of a further modified waste bag support;
FIG. 7A is a top plan view of the support lid;
FIG. 7B is a view in section taken on line 7B--7B of FIG. 7A;
FIG. 7C is a top plan view of the support frame;
FIG. 7D is a pictorial view of a hinged support block;
FIG. 7E is a top plan view of the support block;
FIG. 7F is a view in section taken on line 7F--7F of FIG. 7E;
FIG. 8 is a pictorial view of a further modified waste bag support on a side rim of the sink;
FIG. 8A is a pictorial view showing the support frame connection to a support hinge;
FIG. 8B is a view in front elevation of the support hinge;
FIG. 8C is a view in section taken on line 8C--8C of FIG. 8B;
FIG. 9 is a pictorial view of a further modified waste bag support;
FIG. 9A is a view in section taken on line 9A--9A of FIG. 9;
FIG. 9B is a top plan view of the support frame;
FIG. 10 is a pictorial view of a further modified waste bag support;
FIG. 10A is a view in section taken on line 10A--10A of FIG. 10;
FIG. 11 is a pictorial view of a further modified waste bag support on a side wall of the sink; and
FIG. 11A is a view in section taken on line 11A--11A of FIG. 11;
FIG. 12 is a pictorial view of a further modified waste bag support on a side wall of the sink;
FIG. 12A is a view in section taken on line 12A--12A of FIG. 12; and
FIG. 13 is a pictorial view of a further modified waste bag support;
FIG. 13A is an enlarged pictorial view showing a portion of the frame support;
FIG. 13B is an enlarged pictorial view showing the frame hinge;
FIG. 13C is a fragmentary view in side elevation showing the suction cup support;
FIG. 13D is a top plan view; and
FIG. 13E is a view in section taken on line 13E--13E of FIG. 13D.
DESCRIPTION OF THE INVENTION
The sink waste bag support device of this invention is generally indicated by the reference numeral 20 in FIG. 1. It is comprised of a support base 22 supported on a corner rim of sink 24. A support frame having a large central opening 27, is hingedly mounted upon the support base to receive folded over top edges 28 of a waste or garbage bag 30 shown in dotted line over the top of the sink and support base and under the support frame in clamping relation. A hinged lid 32, generally congruent with the support frame is employed to cover the support frame and bag.
The sink 24 is of conventional construction and is comprised of a floor 34, vertical side walls 36 and 38, and horizontal top rims 40 and 42 merging at right angles to a sink corner 44. In most sinks, corners are at right angles. In some sinks the angles are 100° or even up to 120°.
The support base, as shown in FIGS. 1, 1A and 1B, has legs 46 and 48 adapted to rest flat on the corner rims of the sink and a vertical shank 50 nesting in the sink corner. Openings 52 are provided to receive suction cups 54 to secure the shank to the sink.
In order to mount the support frame 26 for raising and lowering it, a pair of hinge blocks 56 and 58 are mounted on the support base, have holes receiving legs 60 and 62 of the support frame as shown in FIGS. 1 and 1C.
A similar mounting for hinging the lid 32 is provided by hinge blocks 64 and 66 which receive legs 68 and 70 of the lid as shown in FIG. 1 and 1D.
The support device is readily employed by raising the support frame 26 and lid 32 (the latter being raised to a greater degree) and inserting in the opening 27, a waste bag, which may be of conventional plastic or the like. The bag is of a proper size to rest the bag bottom 31 on the floor 34 of the sink. The top edges 28 of the bag are then folded over the support frame and tucked under it and over the support base and corner rims of the sink with the support frame being lowered to provide a clamping action. The lid may then be lowered to cover the support frame and the top bag opening. Removal of the waste bag may be effected in reverse order. The separate hinging of the support frame and lid provides a convenience and efficiency in both the loading and removal of the waste bag.
A modified sink waste bag support device 74 is shown in FIGS. 2-2C employing a sink and waste bag of the same type as shown in FIG. 1 as will be the case for all the modifications of this invention. A support base 76 is employed resting on the corner rims 40 and 42 of the sink. A support frame 78 is hingedly mounted to holes in a hinge block 80 by inturned legs 82 and 84 as best shown in FIGS. 2 and 2C. The support frame is generally in the form of a right triangle with the legs of the triangle resting on the sink corner and the hypotenuse being in the form of an arc to receive the waste bag.
The support base 76 has vertical legs 86 and 88 which receive suction cups 90. The suction cups are affixed to the side walls 36 and 38 of the sink with the support base resting flat on the corner rims of the sink. As in the case of the embodiment 20 in FIG. 1, the suction cups enable the support device to be easily affixed to the sink and removed as desired. The waste bag is installed and removed by raising and lowering the support frame in the same manner as previously described.
A further modified sink waste bag support device 92 is shown in FIGS. 3, 3A and 3B. A support frame 94 is provided with a pair of suction cups 96 which are adapted to be emplaced on the sink corner. Flexibility provided by the rubber suction cup and plastic construction of the support frame permit the support frame to be raised and lowered to tuck in the folded over top edges of the waste bag between the rims of the sink and the support frame.
A further modified waste bag support device 100 is shown in FIGS. 4, 4A and 4B. A sink having a rounded rather than a sharp corner is employed. A hinged support block 102 is used for the support frame 104. Side holes 106 receive legs 108 and 110 of the support frame, while vertical holes 112 receive suction cups 114 with tapped holes. Screws 116 are employed to anchor the suction cups in the support block. The hinged support frame is then employed as previously described.
A further modified waste bag support device 118 is shown in FIGS. 5C. A vertical pin 120 having a base 122 is adhesively secured to the corner 44 of the sink. Cement or double faced adhesive tape may be employed as desired. A support frame 124 having an opening 126 registering with the pin 120 is used to clamp folded top edges of the waste bag to the top of the sink as previously described. The support frame 124 has substantially right angled legs 128 and 130 which by their weight and geometry of the frame, support the entire frame upon the sink corner. The hypotenuse 132 is rounded as in the previous modifications of FIG. 3 and 28 to present a partially rounded bag opening. Where desired, the legs 128 and 130 may be made wider or weighted to increase the stability of the support on the sink corner. A round projection 129, on pin 120 ensures or keeps the support frame on the pin.
A further modified waste bag support device 134 is shown in FIGS. 6 and 6A. This modification is similar to that of support device 92 in FIG. 3, except that a lid 136 connected to a hinge block 138 by a flexible hinge 140 is employed. For additional ease in hinging of the support frame 142, an additional strap-like flexible hinge 144 is also employed.
A further modified waste bag support device 146 is shown in FIGS. 7-7F. This device is shown connected to the top of side wall 42, but may also (not shown) be connected at the corner 44 of the sink. A hinge block 148 is connected by suction cups 150 to the horizontal rim 42 a distance away from the edge to clamp a portion of the folded over top edge of the waste bag between the rim and the hinged support frame 152.
The support block, through openings 154 receives turned in legs 155 and 156 of the support frame. Set screws 160 retain the suction cups 150 through tapered openings in the suction cups. A lid 162 having "over the center grooves" 164 is snapped over a support rod 166 in order that the lid may be raised and lowered.
A further modified waste bag support device 166 is shown in FIGS. 8-8C. A substantially "D"-shaped support frame 168 partially rectangular with a rounded outside portions is shown at the corner 44 of the sink but may also be employed at a straight portion of the sink rim (not shown). An "L" shaped hinge support block 170 is employed with a vertical leg 172 receiving through "snap-in" opening 174 suction cups 176 for affixation to a side wall 38 of the sink. A horizontal leg 178 overlies the sink and has openings 179 receiving inturned legs 180 and 182 of the support frame. The folded over top edges of the waste bag are clamped between the sink and the straight leg portions 184 and 188 and a side leg portion 190 of the support frame.
A further modified waste bag support device 192 is shown in FIGS. 9-9B. In this modification, a support frame 194 generally triangular configuration having legs 196 and 198 and a rounded hypotenuse 200 is supported at an elevated portion of the corner of side walls 36 and 38 of the sink. Support blocks 202 and 204 are connected by suction cups 206 as in prior examples. The legs 196 and 198 are connected to the top of the support blocks by screws 208.
Each of the support blocks is provided with a groove or gutter 210 into which the folded over top edges of the waste bag may be tamped for positioning and retaining the waste bag. Spacing of the support frame from the interior surface of the sink wall provides a further area for clamping reception of the folded over top edges of the waste bag.
A further modified waste bag support device 212 is shown in FIGS. 10 and 10A. This device is similar to that of FIG. 9, but a somewhat "D" shaped support frame 214 is employed. It is supported at an elevated portion of the side wall adjacent the corner 44 of the sink, but may also be employed away from the corner. A support block 216 is connected to the side wall by suction cups 218. The support frame is connected by screws 220 to the support block. The plastic construction or metallic wire, should that be employed, enables the folded over top edges of the waste bag to be tucked between the support frame and the sink side wall with a biased action due to the flexibility of the support frame.
A further modified waste bag support device 222 is shown in FIGS. 11 and 11A. In this modification a "D" support frame 224 is hingedly connected to a support block 226 connected by suction cups 227 to the side wall 38 of the sink adjacent the corner 44 and side wall 36. A wide "U" shaped support base 228 is affixed to the support block by screws 230.
The support frame is hingedly supported on the support block by inturned legs fitted into holes in the support block as in previous modifications. The support base provides further clamping support when the folded over edges of the waste bag are fitted between it and the support frame.
A further modified waste bag support device 232 is shown in FIGS. 12 and 12A. This device is similar to FIG. 11, except that a "D" shaped support base 234 is employed that is congruent with the support frame 224 and completely underlies it for complete support and clamping action.
A further modified waste bag support 240 is shown in FIGS. 13 through 13E. A foldable support frame 242 is comprised of a first frame portion 244 and second portion 246 pivotally connected together by a hinge 248. The two portions are generally congruent with one another and are adapted to be opened to the position shown in FIG. 13 to provide an opening to receive a bag therein with edges folded over the frame and the bag bottom supported on the floor of the sink as previously described.
The top edges of the bag are folded over with a portion being stuffed into a gag or throat 250 comprised of a pair of studs separated by a narrow channel shown in FIG. 13 and FIG. 13D. The throat receives a top edge of a bag, such as a plastic bag which is anchored therein.
The first portion 242 of the frame in the frame open position may be raised at the intermediate portion to receive folded over edges of the bag which is secured between this portion of the frame and the corner of the sink.
The second portion 246 of the frame with the bag top edge folded over is adapted to be turned or pivoted to the position shown in dotted lines in FIG. 13 to close the top of the bag. This effectively closes the top of the bag to seal the waste content of the bag until the frame is reopened for further use or the waste bag is discarded.
The frame 242 is supported upon an elevated side wall portion of the sink corner by a base 252 provided with suction cups 254 for ready attachment to the sink walls. The base is provided with a sleeve 256 which rotatably receives a leg 258 of the inner portion of the frame. A similar construction is provided for the other side wall of the sink corner to receive the other leg 260 of the inner portion of the frame. The provision for relative rotation between the frame legs and the base permits the base and frame to be folded in a flat configuration for storage, packaging and shipment.
The hinge 248 as shown in FIG. 13B and FIG. 13E is provided by a stub shaft 262 on leg 264 of the second portion 246 of the frame which is rotatably received in opening 266 of leg 260 of the first portion of the frame. A lip 268 underlies the leg 264 in the frame open position to hold the frame open with the second portion and first portion of the frame in a planar configuration.
In the aforementioned description, plastic, because of its rigidity and slight flexibility, is generally employed for the support base, support frame and support block. Metal may employed or plastic coated or rubber coated metal and other suitable materials of construction may also be utilized where appropriate as will be well understood.
Various changes and modifications may be made within this invention as will be apparent to those skilled in the art. Such changes and modifications are within the scope and teaching of this invention as defined in the claims appended hereto. | A device is provided for holding a disposal waste bag in a kitchen sink. The device comprises an open frame through which the waste bag may be inserted with the bottom of the bag supported upon the floor of the sink in order that the load of the waste is not placed on the support frame. The top portion of the bag is folded over the frame with provisions for clamping the folded over portion to retain the bag. The clamping may be effected between the frame, which may be hinged to receive the bag, and a support base, the corner, rims or at an elevated portion of side walls of the sink or clamping at a slot or a clip on the frame. The hinge may include a hinged lid or the like. The frame may be folded in half to close the top of the bag. The support frame or a hinge for the frame is conveniently affixed by suction cups, glue or the like, to the sink either at an elevated part of the side wall or upon the top rim at the corner or a side of the sink. | 19,973 |
CROSS-REFERENCE TO RELATED APPLICATIONS
The present application is a continuation of U.S. patent application Ser. No. 11/607,552, filed Dec. 1, 2006 now abandoned.
BACKGROUND
The present invention is related generally to systems and methods for selling employee stock options or other instruments provided as part of a compensation program.
Many corporations issue stock options to some of their employees as part of their compensation plans. Employee stock options (“ESOs”) are option contracts that give the employee the right, but not the obligation, to buy a certain amount of shares in their employer (the stock issuer) at a predetermined price (“the strike price”). In most circumstances, an employee must wait a specified period (the “vesting period”) before being allowed to exercise the options. Also, ESOs are generally not transferable.
An ESO is considered to be “underwater” or “out-of-the-money” when the strike price is greater than the price at which the stock is trading. When an ESO is underwater, it typically has little or no value to the employee, although it may have a higher theoretical option value.
Published U.S. patent application Pub. No. 2005/0114242 discloses a system and method for the transfer of ESOs. In the process described in this published patent application, the issuer (e.g., the employer) issues a transferable ESO to an employee. A holding entity, through its broker-dealer, creates a bid for the ESO, which is submitted to the employee, who can decide whether or not to sell the ESO at the bid price. If the employee decides to sell the ESO, the broker-dealer buys the ESO from the employee for the bid amount with either cash or stock.
In another embodiment disclosed in the above-mentioned published patent application, the issuer issues ESOs to an employee having the conventional restrictions on transferability. At some point in time, the issuer determines that some of the employee's ESO should be transferable. The issuer, working with the broker-dealer, determines which of the employee's ESOs should be transferable. The broker-dealer then develops an option-price grid for those ESOs. The option-price grid is a grid that indicates the price for the ESOs based on the strike price for the ESOs and the trading price of the issuer's stock. After receiving the option-price grid, the employee has a period of time to decide whether to sell the ESOs at the price indicated by the option-price grid. If the employee decides to transfer the ESOs, the employee transfers the ESOs to the issuer. The issuer receives the payment for the ESOs from the broker-dealer and, in exchange, the issuer transfers amended ESOs to the broker-dealer. The employee also receives the payment for the options transferred to the issuer.
SUMMARY
In one general aspect, the present invention is directed to systems and methods for selling employee stock options (ESOs) or other instruments provided as part of a compensation program. According to various embodiments, the method may comprise the step of receiving bids from at least two bidders. The bids may each indicate a quantity of the ESOs to be bought at an offer price. The method may also comprise the step of receiving a sell order from a seller (e.g., an employee having ESOs) where the sell order indicates the number of ESOs to be sold. The sell order may also indicate the price and/or the strike date for the ESOs. A winning bid may be selected in an auction-type format, where the winning bid has the highest offer price and a bid size quantity that is at least the number of ESOs to be sold.
After a winning bid is selected, the issuer of the stock underlying the ESOs may then issue a derivative (e.g., a warrant, an over-the-counter (OTC) option, etc.) to replace the ESOs, which derivative is eventually transferred to the winning bidder. There may be more than one winning bidder if more than one winning bidder submits the highest offer price. In such circumstances, the ESOs may be awarded pro rata to the winning bidders. Also, the net proceeds from the sale of the employee stock options are transferred to an account of the seller. The derivative issued to replace the ESOs may entitle the holder thereof (e.g., the winning bidder unless subsequently transferred) to purchase a specified quantity of shares of stock (or other securities as the case may be) issued by the issuer, the quantity corresponding to the quantity of options (or other instruments as the case may be) sold pursuant to the sale order.
Further, the auction may be suspended until such time as there are at least two bidders with qualifying bids, e.g., non-zero price bids with quantities equal to or greater than the quantity to be sold in the auction. Also, various bidder protection and bidder anonymity safeguards may be used. The anonymity safeguards may include that the identity of the winning bidder and/or the winning offer price is not revealed to the nonwinning bidders. Also, the sale orders and the bids of other bidders may not be revealed to the other bidders.
In another general aspect, the present invention is directed to an ESO transaction system. According to various embodiments, the system may comprise at least one transaction engine for executing ESO transactions. In various implementations, the transaction engine may be programmed to suspend execution of a transaction (e.g., an auction) when there is less than two bidders with qualifying bids.
In various embodiments, the system may also comprise an analytics engine in communication with the transaction engine. The analytics engine may be configured to compute statistics associated with transactions performed through the ESO transaction system. For example, the analytics engine may be configured to provide the seller with various data, including an ESO price from the highest pending bid, an estimated fair price of the ESOs, a premium value over the intrinsic value of the ESOs, etc. The analytics engine may also be configured to provide the various bidders with their success rate in transactions handled by the system over a given amount of time. Various other analytics regarding transactions performed by the system may be provided to the issuer of the ESOs.
These and other features of the present invention will be apparent from the description below.
FIGURES
Various embodiments of the present invention are described herein by way of example in conjunction with the following figures, wherein:
FIG. 1 is a diagram of an employee stock option transaction system according to various embodiments of the present invention;
FIG. 2 is a flow chart of a process by which an AMM system may communicate bids to the transaction system according to various embodiments of the present invention;
FIG. 3 is a chart illustrating the transaction process according to various embodiments of the present invention;
FIGS. 4 and 5 are diagrams illustrating a settlement process for the sale of employee stock options according to various embodiments of the present invention;
FIGS. 6-10 and 12 are screen shots of user interfaces that an employee may access according to various embodiments of the present invention;
FIG. 11 is a diagram of a process flow of a method for determining a fair value of an employee stock option according to various embodiments of the present invention; and
FIGS. 12-21 are screen shots of user interfaces the issuer (or somebody acting on behalf of the issuer) may access according to various embodiments of the present invention.
DETAILED DESCRIPTION
The present invention is directed generally to systems and methods for transacting sales of employee stock options (ESOs) or other instruments provided as part of a compensation program (such as restricted stock). Various embodiments of the present invention will be described below in connection with ESOs, but it should be recognized that the embodiments are generally applicable to these other instruments as well. The term “compensation instruments” is used herein to refer to both ESOs and such other instruments provided as part of compensation program (including restricted stock or other types of equity or debt securities or derivatives) unless otherwise noted.
FIG. 1 is a diagram of an ESO transaction system 10 according to various embodiments of the present invention. An ESO typically specifies an exercise (or strike) price and an exercise (or strike) date. The ESO entitles the employee (assuming the ESOs have vested) to purchase stock of the issuer (e.g., the employee's employer) at the strike price on or before the strike date. The transaction system 10 may permit one or more sellers 12 holding ESOs issued by an issuer 14 to sell their ESOs to one or more bidders 16 . In various embodiments, the bidders 16 may be chosen by invitation. For example, the bidders 16 may be invited to participate by an administrator of the transaction system 10 , by the issuer 14 of the ESOs, etc. In FIG. 1 , only three sellers 12 and three bidders 16 are shown for the sake of simplicity. There may, of course, be more or fewer sellers and bidders.
The sellers 12 (e.g., employees of the issuer 14 having ESOs) may submit sell orders for some or all of their ESOs to the transaction system 10 via a communications network, such as a secure TCP/IP network 18 . Because corporate employers typically issue numerous ESOs to their employees having different strike prices and/or different strike dates, the sellers 12 may specify the option grant from which the seller 12 wishes to sell ESOs as well as the number of options they wish to sell in their sell order using a web-based interface, as described in more detail below. By specifying the option grant, the strike date and strike will be known. Typically, all ESOs in an option grant awarded to an employee will have the same strike price, although an employee may be awarded numerous option grants, some or all having different strike prices. The sell order may be received by one or more host computer systems (referred to hereinafter as “host”) 19 associated with the transaction system 10 and routed to a transaction engine system 24 by a router 26 .
A product may be considered an ESO having a certain strike price and/or strike date. For ESOs having a strike date more than two years away, the strike date may be truncated to two years for ESOs sold through the transaction system 10 . Because companies typically award option grants to different employees and at different times, there may be numerous options with different strike prices (e.g., different products issued by the issuer 14 over time). To efficiently handle the numerous possible products, the transaction engine system 24 may include a number of parallelized transaction engines 28 . Each transaction engine 28 may be provisioned to handle the transactions for different groupings of products. That is, for example, a first transaction engine may be provisioned to execute the transactions for products having a strike price between $0 and $150, a second transaction engine may be provisioned to execute the transactions for products having a strike price between $150 and $300, a third transaction engine may be provisioned to execute the transactions for products having a strike price greater than $300, and so on. In various embodiments, the different transaction engines 28 may conduct transactions for different products (e.g., different strike prices) in parallel. Data regarding the products may be stored in a products database 33 . The router 26 may route messages pertaining to a seller's sell order to the appropriate transaction engine 28 based on the product specified in the seller's sell order. Three transaction engines 28 are shown in the example of FIG. 1 , although it should be recognized that the number of transaction engines 28 may be scaled accordingly, based on the number of products, for example.
As shown in FIG. 1 , the transaction system 10 may also include an analytics engine 36 . The analytics engine 36 may analyze the transactions executed by the transaction system 10 , and various outputs of the analysis, in the form of charts and tables, for example, may be served to the sellers 12 , the issuer 14 , and the bidders 16 via the TCP/IP network 18 , as described in more detail below. The charts and tables may be contained in web pages that are served to the sellers 12 , the issuer 14 , and the bidders 16 by a server 20 of the host 19 .
The bidders 16 may place bids using automated market-maker (AMM) systems 30 . The bidder AMM systems 30 may communicate with the transaction system 10 via a two-way communication link 32 , such as a leased communication link. FIG. 2 is a simplified diagram of the process flow by which one of the AMM systems 30 may communicate bids to the transaction system 10 according to various embodiments of the present invention. At block 40 , the transaction system 10 may authenticate the AMM system 30 . This may be done by a bidder authentication server (not shown) associated with the transaction system 10 . Once the AMM system 30 is authenticated, at block 42 , the transaction system 10 may serve a file to the AMM system 30 containing a listing of the products. The product listing may correspond to the options granted by the issuer 14 and may specify, for example, the strike price and/or strike date for each ESO. For ESOs where the strike date is more than two years away, the strike date may be truncated to two years. At block 44 , the AMM system 30 may transmit a file to the transaction system 10 containing its bids for the various products. The bids may specify a price and quantity for each product. At step 46 , a router 34 (see FIG. 1 ) may route messages to the appropriate transaction engines 28 based on the bids from the AMM system 30 . That is, the router 34 may route bid information for certain products to the transaction engine 28 that is handling the transactions for that product. The transaction engines 28 may add the bid information to their book in order to execute the transactions, as described in more detail below.
During the time the system 10 is active (e.g., market hours), each bidder may be required to continuously maintain a qualifying bid for each product handled by the transaction system 10 , unless the bidder 15 or its corresponding AMM 30 is disabled by technical difficulties. The qualifying bids for each product may also have a required minimum number of options (e.g., 1,000 options). For example, each bidder may be required to maintain a bid on 1,000 options of each product handled by the transaction system 10 . In various embodiments, a zero dollar bid, (e.g., a bid offering nothing for the minimum number of options) may be acceptable. That is a zero dollar bid may be considered to be a qualifying bid. A bidder may be motivated to submit a zero dollar bid, for example, for a product that is far “out of the money.”
According to various embodiments, the transaction system 10 may require that the price bids from the bidder 16 be in certain size increments, such as five-cent increments, for example. In such embodiments, to accommodate various AMM systems 30 , the transaction system 10 may also interpret certain bids, such as one cent bids, as qualifying zero dollar bids. Zero dollar bids and bids treated as zero dollar bids may be qualifying bids as far as the above-described requirement that all invited must continuously maintain qualifying bids, but such bids may be treated as being incapable of winning the auction by the transaction system 10 . If all of the bidders make zero dollar bids, the auction may be suspended until such time as there is at least one valid non-zero dollar bid.
Preferably, as described further below, the various bidders 16 are not aware of any other bidder's bids. In various embodiments, the bidders 16 also may not be aware of how many other bidders, if any, are active, or even if any sell orders are pending.
In various embodiments, sellers may be permitted to submit a sell order at any time. During market hours, the sellers may be provided with an indication of the highest pending bid for a given product before making a sell order for that product. Orders submitted aftermarket hours may be queued for execution during market hours on the next trading day. In order to promote fairness, there may be a limit on the number of options a seller may sell in one transaction. That limit may match the minimum bid number and may be 1,000 options, for example. That is, in any one transaction, a seller may be prohibited from offering more than 1,000 options at a particular strike price/strike date. A seller may be permitted, however, to place several orders to sell options having the same strike price and/or strike date such that, in the aggregate, more than 1,000 options are offered.
According to various embodiments, sellers may be permitted to place market orders, limit orders, or both. A market order is an order to sell the ESOs at the highest bid price available when the order is considered. A limit order is an order in which the seller specifies the price (e.g., a “limit” or “reserve” price) for the ESOs. When the specified price is reached or exceeded, the options are sold at the bid price. In various embodiments, the limit order may also set forth a time period. If the specified price is not reached within the time period, then the order may be cancelled. Also, in some embodiments, a seller may be prohibited from placing sell orders (either limit or market orders) for ESOs that are close to expiration, such as within six months of expiration.
Sell orders may be processed by the transaction system 10 on a first-in, first-out basis (or queue). Such a first-in, first-out time order may also apply in embodiments where sellers are allowed to submit both market and limit orders. According to various embodiments, there must be a required minimum number of active bidders (e.g., two bidders who have made the required minimum bid) for a transaction to occur; otherwise, the transaction is suspended. That is, for example, the transaction engines 28 may be programmed to handle a queued order only if there are at least two bidders whose bid size is greater than the number of options in the queued order. As described in more detail below, the transactions may be suspended until such time that one or more of the AMM systems 30 can refresh their bids so that there are at least two participating bidders. It will also be appreciated that the minimum number of bidders may be greater than two as well.
According to various embodiments, the sale of the ESOs may be conducted according to an auction. For example, the highest bid pending when a sell order is considered wins the auction. If a tie occurs, the order may be split pro rata among the winning bidders. Any remaining odd share may be awarded randomly to one of the winners.
Preferably, the auctions follow certain bidder anonymity safeguards. For example, only the winning bidder may be notified that it has won the order. The other bidders may not be notified that they lost the order and, in various embodiments, the nonwinning bidders may not even be aware that an order has been considered. That is, in various embodiments, the bidders are not made aware of the sale orders in the execution queue (whether market or limit orders), and the nonwinning bidder may not even know that an auction has occurred. The winning bidder(s), of course, receive notification of their winning bids. Also, the bidders preferably are not made aware of the bids by the other bidders. Further, the identity of the winning bidder(s) is preferably not revealed to the nonwinning bidders. In various embodiments, however, each of the bidders may be provided with a success rate, or “batting average,” information regarding their bidding that discloses to each of the bidders individually and privately the percentage of sell orders won by the bidder in each product category, as described in more detail below. In such an embodiment, the transaction engines 28 may be programmed to: (i) not notify the bidders of bids from other bidders; (ii) not notify the bidders of the sale orders in the queue prior to the auction; (iii) not notify the nonwinning bidders that the at least one winning bidder has been determined for the auction; and/or (iv) not notify the nonwinning bidders of the identity of the at least one winning bidder.
Although most of the embodiments described herein require at least two bidders, in other embodiments of the present invention, there may be no requirement regarding the minimum number of bidders. For example, in such embodiments, only one bidder may participate. Some or all of the above-described anonymity safeguards may apply in such auctions.
According to various embodiments, after a bidder wins an order for a given product, the bidder's current size bid for the product may be decremented accordingly. If, as a result, the bidder's current bid for the product is for fewer shares than the next sell order for that product in the queue, the transactions may be suspended until the bidder (e.g., its associated AMM system 30 ) has refreshed its bid to the minimum amount (e.g., 1,000 shares). For systems supporting limit orders, the sale of limit orders may not be guaranteed if a limit price is reached and bids at the limit are exhausted before all limit orders at that price are filled.
Because ESOs are typically not transferable, upon the successful completion of transactions (preferably at the end of the day) the issuer 14 may be notified of the ESOs sold through the transaction system 10 . The issuer 14 may then rescind the ESOs and in their stead issue replacement derivations (e.g., warrants, over-the-counter (OTC) options, etc.) to purchase stock of the issuer at the strike price. According to various embodiments, the derivations issued by the issuer 14 in place of the sold ESOs may have an expiry that is equal to the lesser of the current term on the sold ESOs or some predetermined time period, such as two years. The issued derivations may then be delivered to the winning bidder, and an account of the seller may be credited with the sale proceeds (less tax withholdings). In various embodiments, the issued derivations may be delivered to the winning bidder through an intermediary, for example, as described in more detail below.
FIG. 3 is a chart showing an example of how a number of bids and sell orders for a particular product may be executed. In this example, the products are ESOs with a strike price of $350, and the minimum number of bidders is three. It will be appreciated that other various embodiments may have a minimum number of bidders higher or lower than three. The transaction for the first order in the queue may commence at 9:30 a.m. EST. At this time, bids from three bidders are present:
Bidder Quantity Price Bidder 1: 1,000 Options $100 Bidder 2: 1,000 Options $90 Bidder 3: 1,000 Options $99
The first sell order, considered at 9:30:01 am EST is for 800 options. Based on the pending bids, Bidder 1 wins, and 800 options (i.e., the winning allotment) are decremented from Bidder 1's bid size quota offer. Accordingly, Bidder 1's pending bid is now for 200 options. At 9:30:02, Bidder 3 updates his bid to $102, and the system 10 attempts to consider a second sell order for 500 options. It can be seen, however, that the pending bid of Bidder 1 is still less than the minimum requirement and also less than the amount of the second sell order. Accordingly, there are only two bidders with qualifying bids. Because the minimum number of bidders in this example embodiment is three, consideration of the second sell order may be suspended until the AMM system for Bidder 1 can refresh its bid.
Bidder 1 refreshes its bid to 1,000 options at $99 by time 9:30:06. Accordingly, all three bidders now have qualifying bids. Based on the pending bids, Bidder 3 wins the second sell order, and 500 options (the winning allotment for the second transaction) are decremented from Bidder 3's option bid size. By 9:30:08, Bidder 2 has refreshed its bid to $103, and a third sell order for 400 options is considered. Although Bidder 3's bid is now for 500 options at $102, it may still be a qualifying bid because it recites a number of options (e.g., 500) greater than the number recited by the third sell order (e.g., 400). Accordingly, because there are three qualifying bids pending, the third sell order is won by Bidder 2, and Bidder 2's pending bid is decremented accordingly.
Because there are no more sell orders in the queue, no transactions are executed at time 9:30:09. Bidder 2 and Bidder 3 are still in the process of refreshing their bids at this point, but because both Bidders 2 and 3 have a pending bid for at least 500 options, a sell order of 500 options or less (including either a limit or market order) could have executed at this time had it been in the queue. By time 9:30:10, the bids for both Bidder 2 and Bidder 3 have been refreshed, but there are still no sale orders in the queue, so the bidders will have to wait for the next transaction.
If a bidder does not refresh its bids within a certain time period (e.g., two minutes), the transaction system 10 may consider that bidder to be out of the auction. If the minimum number of required bidders is still satisfied without the lost bidder, the transactions may proceed without that bidder. However, if the minimum number of required bidders is not satisfied without the lost bidder, the ESO transactions may be suspended until such time as there is a sufficient number of bidders.
Limit orders may be executed in a time sequence, too. For example, if a limit order for a particular product is placed prior to a market order for the same product, if a bid meeting or exceeding the limit price specified in the limit order is received and that meets or exceeds the number of options being sold in the limit order, the limit order will be filled before the market order. In such a circumstance, the bid from the winning bidder may have to be refreshed before the next order in the queue is executed.
According to various embodiments, the transaction system 10 may also implement bidder protections. For example, the bidder protections may protect a bidder from winning too many transactions in a certain time period. For example, if a particular bidder wins bids for ESOs within a certain time frame (e.g., five seconds) or number of auctions that exceed a predetermined threshold quantity (e.g., ten thousand ESOs across all products), the transaction system 10 may suspend auctions involving that bidder and send a communication to the bidder (e.g., an email) querying whether it intended to win all of those auctions. Such a bidder may be suspended from all auctions until it confirms that it intended to win the auctions. Such bidder protection mechanisms may be provided by a bidder protection engine (not shown) of the transaction system 10 . The bidder protection engine may aggregate and analyze the auction data from across all of the transaction engines 28 to implement such bidder protections. The bidder protection engine may also initiate the communication to a bidder who wins too many auctions in the defined time period.
According to various embodiments of the present invention, employees with ESOs may sign or otherwise assent agreement to a new covenant that makes the ESOs transferable to a particular party, such as the entity operating the transaction system 10 (e.g., an “auction agent”), if sold through the program associated with the transaction system 10 . For ESOs that are sold through the program, the sellers 12 may sell their ESO to the auction agent. The issuer 14 may then rescind the ESOs and, as described further below, issue in their stead the replacement derivatives (e.g., warrants, options (e.g., OTC options, etc.) that the auction agent may sell to the winning bidder. The proceeds from the sale may then be transferred to the seller 12 (less tax withholdings, etc.). The replacement derivatives sold to the winning bidder may or may not have restrictions on transferability. If they do not have such restrictions, the replacement derivatives may be sold/bought in an aftermarket.
FIGS. 4 and 5 illustrate a process by which the sale of the ESOs may be settled. For purposes of the illustrated embodiment, settlement may occur through the Depository Trust Company (“DTC”) 62 . The DTC is a central securities certificate depository owned by brokerage houses through which members effect security deliveries between each other via computerized bookkeeping entries, although it should be recognized that in other embodiments a different repository may be used.
According to the illustrated embodiment, at the end of the day (e.g., after the time period for the transactions has ended), starting at step 50 , the transaction system 10 may notify the plan administrator 64 of all the executed orders (e.g., market and limit orders) that occurred during the day. The plan administrator 64 may be the entity which administers the employee stock option plan of the issuer 14 . As part of this step, the transaction system 10 may deliver a file to the plan administrator 62 that, for each transaction executed during the day, identifies: the seller ID, the grant ID, the trade ID, the grant price, the quantity, the trade price, etc. Similarly, at step 51 , the transaction system 10 may notify the issuer 14 (and/or its transfer agent (not shown)) of the transactions executed during the day. The data delivered to the issuer 14 (and/or its transfer agent) may be similar to the data delivered to the plan administrator 64 .
According to various embodiments, step 51 may be performed before step 50 , or the steps could be performed simultaneously. Also, either or both of the notifications of steps 50 and 51 may occur in real time or near real time. That is, for example, according to various embodiments, the issuer 14 (and/or its transfer agent) may be notified of each executed transaction shortly after the transactions are completed throughout the day, whereas the plan administrator 64 may be notified at the end of the day of all transactions that occurred during the day.
At step 52 , the transaction system 10 may establish two missions with the DTC 62 . One mission may be the establishment of a receivable to accept the derivatives issued by the issuer 14 to replace the sold ESO. This receivable account may be associated with the system 10 and/or an administrator or provider of the system 10 (e.g., the plan administrator, a third-party financial institution, etc.). The second mission may be a DVP (delivery versus payment) order to deliver the derivatives (when received) to an account of the winning bidder 16 in exchange for payment of the sale proceeds from the winning bidder 16 . As indicated in FIG. 4 , steps 50 - 52 may occur the day (denoted as “Day T”) of the executed transaction.
At step 53 , the issuer 14 (and/or its transfer agent on behalf of the issuer 14 ) may rescind the seller's ESOs and, in their place, write the corresponding replacement derivatives, and deliver the derivatives to the DTC account associated with the transaction system 10 created in step 52 .
Upon receipt of the replacement derivatives at the DTC account associated with the transaction system 10 , the DVP order may be triggered. As such, at step 54 , the winning bidder 16 may accept the issued derivatives into its DTC account from the DTC account associated with the system 10 . A simultaneous transfer of funds covering the sale price may be made to the DTC account associated with the transaction system 10 . Accordingly, in various embodiments, the replacement derivatives may be issued to the transaction system administrator, who in turn sells them to the winning bidder.
At step 55 , the funds may be transferred from the DTC account associated with the transaction system 10 to the plan administrator 64 (e.g., minus any commission due to the system administrator 10 ). According to various embodiments, the transfer may use the Fedwire electronic transfer system. This transfer may also be a nightly feed for all proceeds for Day T. At step 56 , the transaction system 10 may receive from the DTC 62 a report detailing all activity in its DTC account and all pending DVP missions. At step 57 , the transaction system 10 may transfer to the plan administrator 64 a file detailing all settlements for the day as well as any outstanding transactions awaiting payment from bidders 16 .
At step 58 , the plan administrator 64 may deposit the net proceeds from the ESO transactions in the employees' accounts 65 (less tax withholding, for example). At step 59 , the plan administrator 64 may deliver the tax withholding to the issuer 14 (and/or its transfer agent) via Fedwire, for example. At step 60 , the plan administrator 64 may report the sellers'supplemental income from the sale of the ESOs to the payroll administrator 66 for the issuer 14 . And at step 61 , the plan administrator 64 may send a batch file to the transaction system 10 with confirmation of all settlements on day T.
According to various embodiments, as indicated in FIG. 4 , steps 53 - 54 may occur the following business day after the sale of the ESOs (Day T+1), steps 55 - 57 may occur within two business days following the transaction (Day T+2), and steps 58 - 61 may occur within three business days following the transaction (Day T+3). That way, settlement may occur within three business days following the transaction. In other embodiments, settlement may occur in fewer or more than three business days. According to various embodiments, however, the entity associated with the transaction system 10 may be responsible for paying the seller on day T+3. That way, if for some reason the winning bidder fails to pay in time, the seller may still get paid on day T+3, and it is up to the entity associated with the transaction system 10 to recover the sale proceeds from the winning bidder.
Additionally, according to various embodiments, a single entity may play one or more of the roles illustrated in FIG. 5 . For example, the entity employing the transaction system 10 may also be the plan administrator 64 . That entity, for example, could also be a bidder 16 in the transactions.
As described above, the auctions may be executed using a first-in, first-out time order based on the received sale orders. In another embodiment, the sale orders may be aggregated. For example, the ESOs from a number of sale orders received in a defined time period may be aggregated and auctioned one or more lots (e.g., lots of 1000 options). The defined time period may be a number of minutes, a number of hours, or a trading day, for example. Thus, for example, all the sale orders received in a trading day for each product may be aggregated at the end of the day, with the options divided into lots and auctioned at the end of the day (or other defined time period).
According to various embodiments, if the transaction system 10 detects that a seller has placed a sell order for ESOs that it has also exercised, the transaction system 10 may cancel (or bust) the sale order. The transaction system 10 may perform this operation based on data received from the plan administrator 64 regarding ESOs exercised by employees.
Referring back to FIG. 1 , a seller 12 may access the transaction system 10 via the network 18 to sell his/her ESOs. First, the seller 12 may go through a registration and authentication routine to verify the identity of the seller 12 . Data regarding the sellers, including their option grants, may be stored in the seller database 31 . Once access to the system is gained, the server 20 may serve an interactive web-based user interface to the seller 12 through which the seller 12 can view his/her options, submit orders to sell ESOs, and analyze the transactions in order to evaluate whether he/she should hold the ESOs or sell them. FIGS. 6-10 and 12 are examples of screen shots of the web-based user interface according to various embodiments of the present invention.
FIG. 6 is an example of a screen shot of a web page that displays an overview of the seller's ESOs. The overview display may be obtained by activating the “Overview” link in the menu field 98 . As seen in the illustrated example, in the upper right portion, the screen shot may include a field 99 that lists the current trading price of the stock of the issuer 14 , its change relative to the previous trading day, and the present date/time. The screen shot may also include a table 100 listing in tabular form the number of the option grants, the dates the option grants were awarded to the seller by the issuer, the dates the options expire, the dates the options become fully vested, and the strike price of the options. This data may be stored in the seller database 31 (see FIG. 1 ). Also as seen in FIG. 6 , the table 100 may also include the number of available options for each grant. The number of available options may be broken down by the number that are vested, the number that are unvested, and the number that are held. The number of options that are held may be the sum of the vested and unvested options.
The table 100 may also include a column 102 listing the approximate intrinsic value of the vested options for each option grant based on the current trading price for the stock. The available vested intrinsic value may be determined based on the difference between the trading price for the stock underlying the ESOs (e.g., the stock issued) and the strike price for the ESOs. The available vested intrinsic value may be computed by the analytics engine 36 (see FIG. 1 ) based on, for example, one or more data feeds 39 from market exchanges regarding the current trading prices of options for stock issued by the issuer 14 .
The table 100 may also include a portion 104 that lists the approximate proceeds the seller could realize by selling his/her ESOs using the transaction system 10 . The analytics engine 36 may compute the estimated proceeds based on transaction data regarding similar ESOs. The transaction data may be stored in the database 35 (see FIG. 1 ). When the estimated proceeds are greater than the estimated intrinsic value (see column 102 ), there may be an incentive for the seller to sell his/her ESOs rather than to hold them.
FIG. 7 is an example of a screen shot through which the seller 14 may place sell orders for his/her ESOs. This screen shot may be obtained by activating the “Sell Options” in the menu field 98 . This screen shot may include a table 110 that provides an overview of the options the seller has available to sell. In such a transaction system, it may be preferable that the seller can only sell vested options. Thus, only the option grants where at least some of the options have vested may be shown in the table 110 . As shown in the illustrated example, the table 110 may include a portion 112 that lists data regarding the numbers of the option grants granted to the seller, the award date of the option grants, the date the options will expire if sold through the transaction system 10 , the strike price for the options, and the number of shares of each option grant that have vested. In the illustrated embodiment, the options issued by the issuer 14 expire on the earlier of the two years from the transaction date and the actual expiration date. Thus, in the illustrated embodiment, the option expiration is listed as 15 May 2008, which is two years from the current date (see field 99 ).
The table 110 may also include a column 114 that lists the estimated available proceeds from selling the vested ESOs through the transaction system 10 . Again, the analytics engine 36 may compute this value based on past transaction data stored in the database 39 .
As mentioned before, there may be a limit on the number of shares/options a seller can sell via the transaction system 10 in one transaction. In one embodiment, the limit may be one thousand shares/options. Accordingly, the table 110 may also include a field 116 that lists the current price for one thousand options at the specified strike price for each available option grant. The field 116 may also indicate whether that price is rising or falling, as well as the change in price over the previous trading day. The change may be displayed in absolute terms (as shown in FIG. 7 ), by percentages, or both.
In addition, the table 110 may include a field 118 where the seller may place the sell orders. Using a drop-down window 120 , for example, the seller may specify a market or limit order type. In field 122 , the seller may specify the number of options to be sold. Again, the ESO transaction rules may place a limit on the maximum number of options that can be sold in a transaction (e.g., 1,000 options). If the seller specifies a limit order, the seller can specify the limit price and the limit expiration in the fields 124 and 126 , respectively. The seller can place the order by activating the “Place Order” icon 128 . The orders may then be received by the transaction system 10 via the network 18 , with the router 26 routing messages to the appropriate transaction engines 28 based on, for example, strike price. The transaction engines 28 may then add the order to their transaction queue, as described above.
FIG. 8 is an example of a screen shot the seller may view to view his/her pending sale orders. The screen shot of FIG. 8 may be obtained by activating the “Pending Orders” link in the menu field 98 . This screen shot may include a table 130 listing the pending sale orders of the seller. The table 130 may include, for example, an alphanumeric order ID assigned to each pending order, the date the order was submitted, the order type, the date the order is good until (for limit orders), the strike price, the number of options to be sold, the limit price (for limit orders), and the status of the sale. According to various embodiments, the table 130 may also include an icon 132 , the activation of which may allow the seller to cancel the order. For example, some types of sell orders (e.g., various limit sell orders) may be cancelable by the seller 12 .
FIG. 9 is an example of a screen shot the seller may view to view his/her order history. The screen shot of FIG. 9 may be obtained by activating the “Order History” link of the menu field 98 . According to various embodiments, this screen shot may include a drop-down window 140 where the user may select the type of order status for the orders to be viewed. Using the drop-down window 140 , the seller may select, for example, all orders (as shown in the example of FIG. 9 ), filled orders, cancelled orders, or pending orders.
The user interface of FIG. 9 may also include a table 142 that includes data regarding the order that satisfies the order status filter setting set in the drop-down window 140 . For each order that satisfies the order status filter setting, the table 142 may list in tabular form the order ID, the date the order was submitted, the order type, the strike price, the number of options sold (or to be sold), the limit price (for limit orders), the status of the sale order (e.g., filled, cancelled, pending, etc.), the date/time the order was executed or cancelled, the sell price, and the estimated gross proceeds. The estimated gross proceeds may be computed by multiplying the sale price by the number of options sold.
As seen in the lower left portion of the screen shot of FIG. 9 , the “Order History” user interface may also provide a command field 144 by which the seller can order a file (such as a PDF or Excel file) for exporting via the network 18 that contains the data of the table 142 .
The seller may be able to view additional seller-oriented analytics regarding the transactions by clicking on the “Analytics” tab in the menu field 97 . The analytics may be determined by the analytics engine 36 and served to the seller 12 via the host 19 . FIG. 10 is a screen shot of an exemplary seller analytics user interface according to various embodiments of the present invention. According to the illustrated embodiment, the employee may select between analytics regarding the ESO by selecting the “Options Research” link in menu field 148 or analytics regarding the stock underlying the ESOs (e.g., the stock issued by the issuer) by selecting the “Market View” link in the menu field 148 .
In the example of FIG. 10 , the “Options Research” link is selected. As a result, the chart shown in the user interface of FIG. 10 conveys information about the selling of ESOs using the transaction system 10 . As shown in the illustrated embodiment, the interface may include a time frame field 150 where the user may select the time frame over which the transaction data is to be analyzed. In this example, the possible time frame selections include the current week, the prior (or last) week, the current period (e.g., the current yearly quarter), past yearly quarters, the year to date, or past years. In this example, the current period is selected.
The user interface may also include a strike price selection field 152 . This field may be populated with the strike prices of the option grants issued to the employee. In this example, the employee has option grants with four different strike prices: $300, $257, $232, and $215. Each strike price may be associated with a unique identifier for the charts 154 - 160 . The identifier may be a unique color or hatching symbol for each strike price. The employee may select which strike prices he/she wishes to analyze by selecting the corresponding check boxes in the field 152 .
Based on the employee's time period selection in the field 150 and the strike price selections in the field 152 , the analytics engine 36 may compute various metrics related to the ESOs, which may be displayed in the charts 154 - 160 in the user interface. The chart may include a first chart 154 which shows the number of transactions per day for the specified strike prices over the specified time period. A second chart 156 may depict the sales history for the specified strike prices over the specified time period. The sales history chart 156 may indicate the daily high and low sale price for the specified strike prices. In this example, it can be seen that the $300 ESOs sold for between about $60 and $70 over the specified time period, and that the $257 ESOs sold for between about $30 and $40.
A third chart 158 may show the premium over the intrinsic value of the ESOs that may be realized through selling the ESOs through the transaction system 10 . The intrinsic value may be computed by the analytics engine 36 , as described above, by subtracting the strike price of the ESOs from the trading price for the stock. The premium over the intrinsic value may be determined by the analytics engine 36 , according to one embodiment, by subtracting the intrinsic value from the best price on the previous transaction day for options having the same (or a substantially similar) strike price. Using radio buttons 162 , 164 , the employee may select whether to have the chart 158 show the premium in terms of actual dollars or by a percentage of the intrinsic value.
A fourth chart 160 may depict the indicative sale price of the ESOs versus an estimated fair value price for the ESOs for the specified strike prices. The indicative price may be determined by the analytics engine 36 based on the transaction data for ESOs sold through the transaction system 10 with the same or similar strike prices. The estimated fair value price may be a price designed to indicate what the options would trade for in an over-the-counter options market.
FIG. 11 is a flow chart of a process the analytics engine 36 may use to compute the estimated fair value price for the ESOs. Starting at step 170 , the analytics engine 36 may determine the closest nonemployee options for the issuer's stock that are similar to the employee's ESO in terms of strike price and expiration date. According to various embodiments, the analytics engine 36 may employ a nearest-neighbor algorithm to determine the closest nonemployee options, preferably giving priority to expiration date over strike price. The data for the nonemployee options may be stored in a database or obtained from the data feed 39 . At step 172 , the analytics engine 36 may use a reverse Black-Scholes model to compute the implied volatility of the nonemployee options. Then, at step 174 , the analytics engine 36 may use a forward Black-Scholes model to compute the fair value of the ESOs using the implied volatility determined at step 172 .
According to various embodiments, the analytics engine 36 could also be customizable for different issuers. For example, the interpolation functions used in the Black-Scholes models may be how deep into the money or how out of the money the ESOs of the issuer are.
Referring back to FIG. 10 , each of the charts 154 - 160 may include an “Enlarge View” button 166 , which, when activated by the user, may bring up an enlarged view of the selected graph 154 - 160 .
FIG. 12 is an example screen shot of a user interface that may be displayed to the employee when the “Market View” link in the field 148 is selected. This user interface may include a number of charts 180 - 186 that convey information about the issuer's stock. The first chart 180 may be a table that lists information about the present trading of the issuer's stock. The information may include the last trade price, the time of the last trade, the change in price, the previous closing price, price ranges over various time periods, trading volume, market capitalization, etc. The analytics engine 36 may obtain this information from the data feed 39 and/or a database.
A second chart 182 may chart the stock price and the volume traded for the issuer's stock over the selected time frame. A third chart 184 may show the price for long dated (e.g., expiration at least two years away) listed options for the issuer's stock versus the strike price for the options. A fourth chart 186 may depict the volatility in the stock price. In a chart timeline selection field 188 , the employee can select the time period over which the market view metrics are to be shown in the graphs 182 and 186 . In addition, like the “Options Research” interface of FIG. 10 , some of the charts 180 - 186 may include an “Enlarge View” button 166 , which, when activated by the user, may bring up an enlarged view of the selected graph.
According to various embodiments, the issuer 14 and/or entities acting on behalf of the issuer may also log into the transaction system 10 via the network 18 to view issuer-related analytics pertaining to the sales of the ESOs. The analytics may be determined by the analytics engine 36 based on, among other things, data stored in the databases 31 - 35 as well as data from the data feeds 39 . FIGS. 13-21 are examples screen shots of user interfaces that the issuer 14 may access to view such issuer-related analytics pertaining to the sales of the ESOs.
As shown in the example of FIG. 13 , the issuer 14 may select which types of analytics to view from a menu field 200 . According to various embodiments, possible options include an executive overview, analytics pertaining to the value of the ESOs, employee metrics, transaction metrics, external metrics, bidder analytics, and site usage. Of course, in other embodiments, different and/or additional types of analytics may be used.
FIG. 13 is an embodiment of an interface conveying executive overview information. In a time frame selection menu field 202 , the user may select the desired time frame over which the transaction data is to be analyzed. The illustrated interface includes three charts (although in other embodiments, a different number of charts could be displayed). A first chart 204 may graph the number of ESOs available to be sold via the transaction system 10 (which is a function of the number of ESOs granted to employees that have vested) versus the number of options sold using the transaction system 10 over the selected time frame.
A second chart 206 may be a bar chart that shows the cumulative total value realized by employees through the ESO sale program. A third chart 208 may convey information to compare the cumulative percentage of options sold through the ESO sale program over the selected time period versus the cumulative percentage of options exercised by employees (that is, exercised' outside of the ESO sale program). In the illustrated embodiment, the chart 208 is a bar chart where the cumulative percentage of options exercised is at the bottom portion of the bars, and the cumulative percentage of options sold via the ESO sale program is on the upper portion of the bars. The two conditions may be demarcated by different colors or shading (as in the illustrated embodiment of FIG. 13 ) or by different hatching patterns. In other embodiments, different types of charts may be used to graphically convey this or similar information.
FIG. 14 is an example of an interface the issuer 14 may use to view information about the value of the ESOs. The issuer 14 may access the interface by selecting the “Option Value” link in the menu field 200 . As shown in the illustrated embodiment, the interface may include two charts. The first chart 210 may be a table that displays information about the ESOs sold via the transaction system and those exercised outside of the ESO sale program. In a time period selection field 202 the user may select the desired time period, and in a strike price selection field 214 the user may select the range of strike prices for which the user wishes to review the data. According to various embodiments, per the selected time frame from selection field 202 , the table may list the following data pertaining to the ESOs: the number of ESOs sold in the ESO sale program; the number of ESOs exercised outside of the ESO sale program; the total value of the ESO sales using the transaction system 10 ; the total value of the ESO exercised outside of the ESO sale program; the total value of the ESOs sold in the transaction system above their intrinsic value; the number of employees newly registered with the transaction system; the percentage of registered employees using the transaction system; and the average number of bids per transaction (e.g., per auction). Using a scroll bar 216 , the user may scroll horizontally through the range of time periods.
The option value interface may also include, as shown in the illustrated embodiment of FIG. 14 , a second chart 218 which conveys information to compare the cumulative percentage of options sold through the ESO sales program over the selected time period versus the cumulative percentage of options exercised by employees (that is, exercised outside of the ESO sales program). This chart may be similar to the chart 208 of FIG. 13 , for example.
FIG. 15 is an example of an interface the issuer 14 may use to view employee metrics. The issuer 14 may access the interface by selecting the “Employee Metrics” link in the menu field 200 . As shown in the illustrated embodiment, the interface may include three charts. The first chart 220 may be a table that displays information about employee usage of the ESO sales program. In a time period selection field 222 the user may select the desired time period, and in a strike price selection field 224 the user may select the range of strike prices for which the user wishes to review the data. According to various embodiments, per the selected time frame from selection field 222 , the table may list the following data pertaining to employee usage of the ESO sales program: average number of transactions (e.g., sales through the ESO sales program) per employee; average option value per employee; average number of limit orders per employee; percentage of registered users using the ESO sales program; and percentage of total employees that are registered.
Charts 226 and 228 may convey demographic information about employee usage of the ESO sales program for the selected time period. The chart 216 , for example, may be a bar chart that charts the total proceeds of the ESOs by employee, where the total proceeds include the intrinsic value of the ESOs and the premium gained through selling the ESOs through the ESO sales program. The intrinsic value may be shown at the bottom portion of the bars, and the premium may be shown on the upper portion of the bars. The two conditions may be demarcated by different colors, shading or hatching patterns, for example.
The chart 228 may be a bar chart that charts the average value of sales by employee. The employees may be segmented by usage of the transaction system (e.g., frequent, average, occasional) and/or by location.
FIG. 16 is an example of an interface the issuer 14 may use to view transaction metrics. The issuer 14 may access the interface by selecting the “Transaction Metrics” link in the menu field 200 . As shown in the illustrated embodiment, the interface may include a table 230 listing transaction-related information. According to various embodiments, per the selected time frame from selection field 222 , the table 230 may list the following data pertaining to the ESO sales program: number of employees active in the transaction system; number of open orders; number of filled orders; number of cancelled orders; and number of busted orders. An order may be considered busted, for example, if it is detected that the employee also submitted an order to exercise the ESOs outside the ESO sales program.
FIG. 17 is an example of an interface the issuer 14 may use to view metrics relating the external markets. The issuer 14 may access the interface by selecting the “External Metrics” link in the menu field 200 . As shown in the illustrated embodiment, the interface may include tables 240 , 242 . Table 240 may list data regarding sales of the ESOs through the transaction system 10 and data regarding sales of ESOs by the plan administrator. According to various embodiments, the table 240 may include first and second portions 248 , 249 that, per the time periods selected in the menu field 244 , list the following data regarding sales of ESOs through the transaction system and sales by the plan administrator, respectively: sale volume (e.g., number of options); range of strike prices; minimum sales price; and maximum sales price.
The table 242 may list data regarding sales of nonemployee options for the issuer's stock. The sales data may be from an options exchange, such as the CBOE. The analytics engine 36 may receive the sales data for such nonemployee options from the data feed 39 . According to various embodiments, the table 242 may list the same data for the nonemployee options sold on the options exchange as in the table 240 .
FIGS. 18 and 19 illustrate an example of an interface the issuer 14 may use to view bidder analytics. The issuer 14 may access the interface by selecting the “Bidder Analytics” link in the menu field 200 . As shown in the illustrated embodiment, the interface may include a chart 250 showing the success ratio of various bidders (or “Batting Average”). In the illustrated example, the chart 250 shows that Bidder 1 won between about 33% and 39% of the transactions over the selected time frame, Bidder 2 won between about 28% and 36% of the transactions, and Bidder 3 won between about 29% and 40% of the transactions.
The bidder analytics interface may include a second chart 252 (shown better in FIG. 19 ) that may be a table that, according to various embodiments, may list, per the selected time periods and per bidder, the following data: number of winning bids; number of tied bids; number of bids won by $0.05 to $0.10, the number won by $0.15 to $0.50, the number won by $0.55 to $1.00, and the number won by more than $1.00; number of bids lost by $0.05 to $0.10, the number lost by $0.15 to $0.50, the number lost by $0.55 to $1.00, and the number lost by more than $1.00; when losing, the average percentage off from the winning bid; the cumulative position of each bidder (in dollars); the lowest daily quoted price over the intrinsic value; the highest daily quoted price over the intrinsic value; and the end of day daily quoted price.
FIG. 20 is an example of an interface the issuer 14 may use to view an overview of the transactions. The issuer 14 may access the interface by selecting the “Big Board” link in the menu field 200 . As shown in the illustrated embodiment, the interface may include a chart 260 that lists various transaction-related data for ESOs at different strike prices. The transaction-related data may include: the option expiration; the indicative price (e.g., the current highest bid, as of the time when the auction data was last compiled); the relative change (e.g., the change in price from a prior auction, such as the last auction on the previous day or the immediately preceding auction); the winning bidder; and ranges of bids.
FIG. 21 is an example of an interface the issuer 14 may use to view statistics related to usage of the transaction system. The issuer 14 may access the interface by selecting the “Site Usage” link in the menu field 200 . As shown in the illustrated embodiment, the interface may include a chart 270 . The chart 270 may be a table that, per the selected time periods, lists various data regarding usage of the transaction system, including, for example: number of registered users; users who have partially completed registration; users who looked at the help page; users who visited certain pages; total hits; new users; unique users; users who placed market orders; users who placed limit orders; users who cancelled an order, etc.
According to various embodiments, the bidders 16 may also log into the transaction system 10 via the network 18 to view bidder-related analytics pertaining to the transactions for the ESOs. For example, according to various embodiments, a bidder 16 may access charts like the charts 250 , 252 of FIG. 18 , although the charts served to the bidders may, for example, only contain data with respect to the particular bidder accessing the analytics, and not the data for other bidders.
As used herein, the term “engine” refers to one or more processors that execute computer software code which, when executed by the processor(s), cause the processor(s) to perform the particular function of the engine. The code may be stored on a computer readable medium.
While several embodiments of the present invention have been described herein, it should be apparent that various modifications, alterations and adaptations to those embodiments may occur to persons skilled in, the art. For example, certain steps of the processes described above may be performed in different orders and/or simultaneously. Also, the illustrated screen shots are merely exemplary of types of information and how information may be displayed to different end users. It is therefore intended to cover all such modifications, alterations and adaptations without departing from the scope and spirit of the present invention as defined by the appended claims. | Systems and methods of selling employee stock options (ESOs) and other compensation instruments. The method may comprise receiving a sale order for the employee stock options from a seller. The method may also comprise the step of determining a winning bidder based on bids submitted by at least two bidders that specify a price for the employee stock options. The method may further comprise suspending the auction until there are qualifying bids from at least two bidders. The method may also comprise transferring a derivative in place of the employee stock options to the winning bidder, wherein the derivative entities the holder thereof to buy a quantity of securities of an issuer at the price. | 65,021 |
RELATED APPLICATIONS
This is a reissue of application Ser. No. 07 / 210 , 520 , filed Jun. 23 , 1988 , now U.S. Pat. No. 5 , 091 , 576 , which is a continuation-in-part of application Ser. No. 066,227, filed Jun. 25, 1987, now abandoned, which is a continuation-in-part application of application Ser. No. 936,835, filed Dec. 2, 1986, now abandoned.
BACKGROUND OF THE INVENTION
This invention was made with U.S. Government support under Grant NCDDG-CA37606, awarded by the National Cancer Institute. The U.S. Government has certain rights in this invention.
FIELD OF THE INVENTION
The present invention relates to anti-neoplastic and anti-psoriasis pharmaceutical compositions and methods of treatment and to insecticidal compositions and methods of controlling the growth of insects.
In recent years a great deal of attention has been focused on the polyamines, e.g., spermidine, norspermidine, homospermidine, 1,4-diaminobutane (putrescine), and spermine. These studies have been directed largely at the biological properties of the polyamines probably because of the role they play in proliferative processes. It was shown early on that the polyamine levels in dividing cells, e.g., cancer cells, are much higher than in resting cells. See Janne et al, A. Biochim. Biophys. Acta. 473, 241 (1978); Fillingame et al, Proc. Natl. Acad. Sci. U.S.A. 72: 4042 (1975); Metcalf et al, J. Am. Chem. Soc. 100:2551 (1978); Flink et al, Nature (London) 253:62 (1975); and Pegg et al, Polyamine Metabolism and Function, Am. J. Cell. Physiol. 243:212-221 (1982).
Several lines of evidence indicate that polyamines, particularly spermidine, are required for cell proliferation: (i) they are found in greater amounts in growing than in non-growing tissues; (ii) prokaryotic and eukaryotic mutants deficient in polyamine biosynthesis are auxotrophic for polyamines; and (iii) inhibitors specific for polyamine biosynthesis also inhibit cell growth. Despite this evidence, the precise biological role of polyamines in cell proliferation is uncertain. It has been suggested that polyamines, by virtue of their charged nature under physiological conditions and their conformational flexibility, might serve to stabilize macromolecules such as nucleic acids by anion neutralization. See Dkystra et al, Science, 149:48 (1965); Russell et al, Polyamines as Biochemical Markers of Normal and Malignant Growth (Raven, New York, 1978); Hirschfield et al, J. Bacteriol., 101:725 (1970); Morris et al, ibid, p. 731; Whitney et al, ibid, 134:214 (1978); Hafner et al, J. Biol. Chem., 254:12419 (1979); Cohn et al, J. Bacteriol. 134:208 (1978); Pohjatipelto et al, Nature (London), 293:475 (1981); Mamont et al, Biochem. Biophys. Res. Commun. 81:58 (1978); Bloomfield et al, Polyamines in Biology and Medicine (D. R. Morris and L. J. Morton, Eds.—Dekker, New York, 1981) pp. 183-205; Gosule et al, Nature, 259:333 (1976); Gabbay et al, Ann. N.Y. Acad. Sci., 171:810 (1970); Suwalsky et al, J. Mol. Biol., 42:363 (1969) and Liquori et al, J. Mol. Biol., 24:113 (1968).
However, regardless of the reason for increased polyamine levels the phenomenon can be and has been exploited in chemotherapy. See Sjoerdsma et al, Butterworths Int. Med. Rev.: Clin. Pharmacol. Ther. 35:287 (1984); Israel et al, J. Med. Chem., 16:1 (1973); Morris et al, Polyamines in Biology and Medicine; Dekker, New York, p. 223 (1981) and Wang et al, Biochem. Biophys. Res. Commun., 94:85 (1980).
It is an object of the present invention to provide novel anti-neoplastic, -viral and -retroviral compounds, pharmaceutical compositions and methods of treatment.
SUMMARY OF THE INVENTION
The foregoing and other objects are realized by the present invention, one embodiment of which is a pharmaceutical composition comprising an anti-neoplastic, anti-viral, anti-retroviral or anti-psoriasis effective amount of a compound, having one of the formulae:
Wherein:
R 1 and R 6 may be the same or different and are H, alkyl or aralkyl having from 1 to 12 carbon atoms,
R 2 -R 5 may be the same or different and are H, R 1 or R 6 ;
R 7 is H, alkyl, aryl or aralkyl having from 1 to 12 carbon atoms;
m is an integer from 3 to 6, inclusive,
n is an integer from 3 to 6, inclusive; and
a pharmaceutically acceptable carrier therefor.
An additional embodiment of the invention comprises a method of treating a human or non-human animal in need of anti-neoplastic, anti-viral, anti-retroviral or anti-psoriasis therapy comprising administering to the animal an anti-neoplastic, anti-viral, anti-retroviral or anti-psoriasis effective amount of a compound having one of the above formulae.
A further embodiment of the invention comprises a compound having the formula:
Wherein:
R 1 -R 6 may be the same or different and are methyl, propyl, butyl, pentyl, benzyl or β,β,β-trifluoroethyl;
m is an integer from 3 to 6, inclusive;
n is an integer from 3 to 6, inclusive.
A further embodiment of the invention comprises a compound having the formula:
R 1 —N 1 H—(CH 2 ) 3 —N 2 H—(CH 2 ) 3 —N 3 H—(CH 2 ) 4 —N 4 H—(CH 2 ) 3 —N 5 H—(CH 2 ) 3 —N 6 H—R 6 (II)
Wherein:
R 1 and R 6 may be the same or different and are alkyl or aralkyl having from 1 to 12 carbon atoms.
A final embodiment of the invention comprises a compound having the formula:
Wherein:
R 1 and R 6 may be the same or different and are alkyl or aralkyl having from 1 to 12 carbon atoms;
R 7 is H, alkyl, aralkyl or aryl having from 1 to 12 carbon atoms;
n is an integer from 3 to 6, inclusive.
DETAILED DESCRIPTION OF THE INVENTION
In compounds of the invention, R 1 and R 6 are preferably methyl, ethyl, propyl, benzyl, etc., it being understood that the term “aralkyl” is intended to embrace any aromatic group the chemical and physical properties of which do not adversely affect the efficacy and safety of the compound for therapeutic applications. Preferred, however, are the hydrocarbyl aralkyl groups, i.e., comprised only of C and H atoms.
R 2 -R 5 preferably are H, methyl, ethyl, propyl or benzyl.
Compounds of formula (I) are preferably synthesized by first forming a sulfonamide of the polyamine at all of the amino nitrogens (1) to activate the primary amines for monoalkylation, and (2) to protect any secondary nitrogens from alkylation. Suitable sulfonating agents include alkyl, aryl and arylalkyl sulfonating agents of the general structure RSO 2 X wherein R is alkyl, aryl or arylalkyl and X is a leaving group, e.g., Cl − , Br − , etc. The sulfonation is accomplished by reacting the polyamine with 1.0 equivalent of sulfonating agent per nitrogen in the presence of a base, e.g., tertiary amine or a hydroxide. The reaction is best accomplished using aqueous sodium hydroxide as the base and p-toluenesulfonyl chloride (TsCl) a the sulfonating agent in a biphasic solvent systems consisting of an organic solvent, e.g., methylene chloride and water. The sulfonating agent is added in methylene chloride to an aqueous solution of the amine and sodium hydroxide and the reaction proceeds according to the following equation, using spermine as the base compound:
Where: Ts=p-toluenesulfonyl.
After purification the sulfonamide is next alkylated. The alkylations involve formation of N-anions on the primary amino sulfonamides with a base such as NaH followed by reaction of the N-anion with an alkylating agent RX wherein R is as defined above and X is a leaving group such as I − , CI − , Br − , p-CH 3 C 6 H 4 SO 3 − , CH 3 SO 3 − .
The alkylation can be carried out in a variety of dipolar aprotic solvents, preferably, N, N-dimethylformamide (DMF). The reaction proceeds according to the following equation:
After alkylation of the sulfonamide, the sulfonyl protecting groups are next removed under reducing conditions. Although a variety of standard reducing conditions can be utilized (LiAlH 4 , Li/NH 3 , catalytic reduction), Na and NH 3 function optimally. The reduction proceeds according to the following equation:
The compounds are isolated as the free amines and then may be converted to and utilized as the corresponding hydrochloride salts by treatment with concentrated HCl. However, they may also be used as salts with any pharmaceutically acceptable acid, e.g., HBr, CH 3 CO 2 H, CH 3 SO 3 H, etc.
Compounds of formula (II) are preferably prepared by the mono-alkylation of tetratosyl spermine at each of the primary nitrogens by reagents such as N-alkyl-N-(3-chloropropyl)-p-toluenesulfonamide. Terminal alkylation of spermine is carried out using the conditions employed for preparing compound (I) according to the following scheme:
The alkylating agent is formed by treatment of N-alkyl-p-toluenesulfonamide with excess 1,3 dichloropropane under the aforementioned conditions according to the following scheme:
After purification of the dialkylated hexatosylated hexaamine, the sulfonyl protecting groups are removed reductively with sodium in liquid ammonia and THF as follows:
The final product is isolated as the free amine and may be converted to the hydrochloride salt.
Compounds of formula (III) may be prepared by reacting a tetraamine of formula (I) in which R 2 —R 5 ═H and R 1 ,R 6 ═alkyl or aralkyl with two equivalents of an aldehyde R 7 CHO, wherein R 7 ═H, alkyl or aralkyl.
Specifically, to N 1 ,N 4 -diethylspermine tetrahydrochloride is added aqueous NaOH and formalin (two equivalents) to generate the bis-hexahydropyrimidine as follows:
The invention is illustrated by the following non-limiting examples.
EXAMPLE 1
Preparation of N 1 ,N 4 -diethylspermine
N 1 ,N 2 ,N 3 ,N 4 -Tetra-p-tosylspermine. To spermine tetrahydrochloride (4.53 g, 13.0 mmol) and 10% aqueous NaOH (200 mL, 132 mmol) at 0° is added dropwise p-toluene-sulfonyl chloride (9.98 g, 52.3 mmol) in CH 2 Cl 2 with rapid stirring. After 1 hr the mixture is allowed to warm to room temperature and to stir for 2 days. The organic phase is separated and washed with 0.5N HCl, H 2 O, and brine, dried over Na 2 SO 4 and purified on silica gel (450 g, 3% MeOH/CHCl 3 ) to give 9.69 g, 91% yield of tetratosylspermine.
NMR (CDCl 3 )δ7.2-7.9 (m, 16H), 5.34 (t, 2H, J=7), 2.9-3.3 (m, 12H), 2.43 (s, 12H), 1.5-2.0 (m, 8H).
N 1 ,N 4 -Diethyl-N 1 ,N 2 ,N 3 ,N 4 -Tetra-p-tosylspermine. To the tetratosylspermine prepared above (1.75 g, 2.14 mmol) in dry DMF (12 mL) was cautiously added 80% sodium hydride (0.25 g, 8.33 mmol) and then ethyl iodide (1.0 mL, 12.5 mmol). After heating under nitrogen (10 h, 55°), the mixture was quenched with ice water and extracted with chloroform (3 x). The organic phase was washed with 5% Na 2 SO 3 , 5% NaOH, 1N HCl, and water, then dried with Na 2 SO 4 . Removal of DMF by flash distillation and purification of the crude product on silica gel (4% EtOH/CHCl 3 ) product 1.63 g (87%) of the desired product. NMR (CDCl 3 )δ7.2-7.8 (m, 16H), 3.03-3.3 (m, 16H), 2.43 (s, 12H),1.5-2.1 (m, 8H), 1.08 (t, 6H, J=7). Anal. Calcd. for C 24 H 58 N 4 O 8 S 4 ; C, 57.64; H, 6.68; N, 6.40. Found: C, 57.69; H, 6.74; N, 6.20.
N 1 ,N 4 -diethylspermine (DES). Into a solution of the N 1 ,N 4 -diethyl-N 1 ,N 2 ,N 3 ,N 4 -tetratosylspermine prepared above (2.78 g, 3.18 mmoles) in dry, distilled THF (200 mL) at −78° C. was condensed 300 mL NH 3 , using a dry ice condenser. Sodium spheres (3.0 g, 0.13 mol) were then added in small portions and the reaction mixture was stirred at −78° C. for 4 h. The reaction mixture was allowed to warm to room temperature overnight and the NH 3 boiled off. Diethyl ether was added to the mixture. Ethanol was then cautiously added, then H 2 O was added to finally quench the reaction. The solvents were evaporated and the product extracted with diethyl ether and then chloroform. The extracts were dried over Na 2 SO 4 , filtered and the extracts concentrated. The resultant liquid was distilled in a Kugelrohr apparatus (150° C., 0.1 mm). Concentrated hydrochloric acid was added to an ether/ethanol (1:1) solution of the distillate to form the hydrochloride salt, which was recrystallized from hot aqueous ethanol to give 790 mg (63%) DES. NMR (D 2 O)δ1.4 (t, 6H); 1.9 (m, 4H); 2.25 (m, 4H); 3.25 (m, 16H); 4.80 (s, HOD, reference).
The following protocols were followed to determine the IC 50 values for DES against cultured L1210 cells, Daudi cells and HL-60 cells.
Cell Culture.
Murine L1210 leukemia cells, human Burkitt lymphoma cells (Daudi) and human promyelocytic leukemia cells (HL-60) were maintained in logarithmic growth as suspension cultures in RPMI-1640 medium containing 2% 4-(1-hydroxyethyl)-1-piperazineethanesulfonic acid/ 3-(N-morpholino)propanesulfonic acid, 100 μM aminoguanidine, and 10% fetal bovine serum. Cells were grown in 25 sq cm tissue culture flasks in a total volume of 10 mL under a humidified 5% CO 2 atmosphere at 37° C.
The cells were treated while in logarithmic growth (L1210 cells 0.3×10 5 cells/mL; Daudi and HL-60 1×10 5 cells/mL) with the polyamine derivatives diluted in sterile water and filtered through a 0.2 micron filter immediately prior to use. Following a 48 h incubation with L1210 cells and a 72 h incubation with Daudi or HL-60 cells, L1210 cells were reseeded at 0.3×10 5 cells/mL, Daudi and HL-60 cells were reseeded at 1×10 5 cells/mL and all cells were incubated in the presence of the polyamine derivative for an additional 48 h or 72 h.
Cell samples at the indicated time periods were removed for counting. Cell number was determined by electronic particle counting and confirmed periodically with hemocytometer measurements. Cell viability was assessed by trypan blue dye exclusion.
The percentage of control growth was determined as follows: % of control growth = Final treated cell no . - initial inoculum Final untreated cell no . - initial inoculum × 100
The IC 50 is defined as the concentration of compound necessary to reduce cell growth to 50% of control growth.
The results are set forth in Tables 1 and 2.
TABLE 1
L1210 Cells
48 H
96 H
IC 50
IC 50
DES
10 μM
0.10 μM
TABLE 2
Daudi Cells
HL-60 Cells
72 H
144 H
72 H
144 H
IC 50
IC 50
IC 50
IC 50
DES
>40 μM
0.5 μM
10 μM
0.3 μM
Animal Studies.
The murine L1210 leukemia cells were maintained in DBA/2J mice. L1210 cells, from a single mouse which was injected i.p. with 10 6 cells 5 days earlier, were harvested and diluted with cold saline so that there were 10 5 or 10 6 cells in 0.25 cc. For each study, mice were injected i.p. with 10 6 L1210 cells or 10 5 L1210 cells (See Table 3) on day 0. The polyamine analogues were diluted in sterile saline within 24 h of use and the unused portions stored at 5° C.
DES was administered by i.p. injection 15 mg/kg or 20 mg/kg every 8 h for 3 days (days 1-3), 4 days (days 1-4), or 6 days (days 1-6) (See Table 3).
Mice which were treated with saline injections served as controls.
The parameter used for treatment evaluation was mean survival time.
(Percent increased life span, % ILS). % ILS = mean survival time treated animals - mean survival time controls mean survival controls × 100
The murine Lewis lung carcinoma was maintained as s.c. tumor in C57B1/6 mice. The line was propagated every 14 days. A 2-4 mm fragment of s.c. donor tumor was implanted s.c. in the auxiliary region with a puncture in the inguinal region on day 0.
DES was administered by i.p. injection 20 mg/kg every 8 h for 5 days beginning on day 5 (days 5-9). Equal numbers of mice treated with saline injections served as controls. The parameter used for treatment evaluation was mean survival time (% ILS).
The parameters of the animal tests and results are set forth below in Tables 3 and 4.
TABLE 3
Evaluation of DES in DBA/2J
Male Mice with L1210 Leukemia (i.p.)
DES
Dosing Schedule
No. Animals
Day of Death
Mean Survival SD
% ILS
(1) a
15 mg/kg q12 hr
6
14, 14, 14.5, 15,
14.9 ± 1.3
55
days 1-6
15, 17
Control
7
8.5, 9.5, 9.5, 9.5,
9.6 ± 0.5
0
10, 10, 10
(2) b
20 mg/kg q8 hr
4
13.5, 14, 14, 14.5
14.1 ± 0.5
57
days 1-3
Control
4
8.5, 8.5, 9, 10
9.0 ± 0.5
0
(3) b
20 mg/kg q8 hr
10
14, 14, 15, 15, 16,
16.7 ± 2.6
90
days 1-4
17, 18, 20, 21, 31
Control
9
8, 8, 9, 9, 9, 9, 9,
8.8 ± 0.4
0
9, 10
(4) a
15 mg/kg q8 hr
8
8, 20, 22.5, 24.5,
27.8 ± 19.5
302
days 1-6
28.5, 60 d , 60 d , 60 d
Control
6
8.5, 9.5, 10, 10, 10.5, 10.5
9.8 ± 0.7
0
a Mice injected with 10 5 L1210 cells i.p. on day 0.
b Mice injected with 10 6 L1210 cells i.p. on day 0.
c Death of animal not included in statistics . . . greater or less than Mean Survival 2 × (S.D.).
d Experiment ended at 60 days. Animal survival evaluated on the day, however, these animals were alive with no sign of tumor.
TABLE 4
Evaluation of N 1 , N 4 -Di-ethylspermine (DES) in
C57B1/6J Male Mice with Lewis Lung Carcinoma (s.c.)
Dose
Survival Values (Days)
Drug
(mg/kg)
Schedule
Mean ± S.D.
% ILS
DES
20 (i.p.)
Every 8 hr,
43.7 ± 7.1
24
days 5-9
Control
—
—
35.2 ± 2.6
0
(Saline)
The foregoing test results unequivocally establish the effectiveness of the composition of the invention as an anti-neoplastic agent.
EXAMPLE 2
N-Ethyl-N-(3-chloropropyl)-p-toluenesulfonamide. To N-ethyl-p-toluenesulfonamide (5.01 g, 0.0251 mol) in DMF (50 mL) in a dry flask is added sodium hydride (80% in oil, 0.93 g, 0.031 mol). After gas evolution subsides, 1,3-dichloropropane (22.48 g, 0.199 mol) is added. The mixture is heated at 53° C. for 10 h then cooled and poured into ice water (300 mL), which is extracted twice with ether. The combined extracts are washed with 1% sodium bisulfite, water (3×), and brine. Removal of solvent by rotary evaporation then Kugelrohr distillation gives crude product, which is chromatographed on silica gel (30% hexane/CHCl 3 ) to furnish 2.91 g product (42%) NMR (CDCl 3 )δ1.15 (t, 3H), 1.9-2.2 (m, 2H), 2.44 (s, 3H), 3.11-3.35 (m, 4H), 3.6 (t, 2H), 7.3 (d, 2H). 3,7,11,16,20,24-Hexa(p-toluenesulfonyl)3,7,11,16,20,24-hexaazahexacosane. To tetra(p-toluenesulfonyl) spermine (1.82 g, 2.22 mmol) in dry DMF (10 mL) is added sodium hydride (80% in oil, 0.21 g, 7.0 mmol) and potassium iodide (53 g, 0.32 mmol). After 30 minutes, N-ethyl-N-(3-chloropropyl)-p-toluenesulfonamide (2.9 g, 10.5 mmol) in DMF (10 mL) is introduced and the mixture is stirred for 20 h at room temperature then heated at 40°-50° C. for 2 h. The cooled reaction mixture is poured into ice-cold 5% NaOH (100 mL), which is extracted with CHCl 3 (3×). A water wash, then solvent removal (rotovap then Kugelrohr distillation) yields crude hexatosylamide. Silica gel chromatography (1% EtOH/CHCl 3 ) affords 1.73 g of product (60%). NMRδ1.08 (t, 6H), 1.45-2.10 (m, 12H), 2.34 (s, 18H), 2.96-3.37 (m, 24H), 7.2-7.8 (m, 24H).
1,20-Bis(N-ethylamino)-4,8,13,17-tetraazaeicosane. A solution of the preceding compound (0.79 g, 0.61 mmol) in distilled THF (45 mL) is added to a dry 500 mL 3-necked flask, equipped with a dry ice condenser and 2 stoppers. The solution is cooled to about −40° C., and ammonia gas (200 mL), after passing through NaOH, is condensed. Sodium spheres (0.99, 43 mmol), which are rinsed in hexane (2×) and cut in half, are added cautiously. After maintaining the cold temperature for 4-5 h, ammonia gas is allowed to evaporate under a stream of nitrogen. To the residue at 0° C. is carefully added excess, absolute ethanol, and the mixture is concentrated. Sodium hydroxide (10%, 15 mL) is then added, and extraction with chloroform (10×20 mL), while saturating the aqueous layer with salt, gives crude free amine. Bulb-to-bulb distillation, up to 160° C./0.005 mm, furnishes 0.216 g free hexaamine, which is dissolved in ethanol and treated with 0.5 mL concentrated HCl. After solvent removal, the solid is recrystallized from 17% aqueous ethanol (120 mL) and washed with cold, absolute EtOH (2×3 mL) to afford 0.131 g of crystalline product (35%). 300 MHz NMR (D 2 O) δ1.31 (t, 6H), 1.74-1.84 (m, 4H), 2.05-2.19 (m, 8H), 3.07-3.25 (m, 24H). Anal. calcd. for C 20 H 54 Cl 6 N 6 : C, 40.62; H, 9.20; N 14.21. Found: C, 40.73; H, 9.22; N, 14.22.
EXAMPLE 3
Bis(3-ethyl-1-hexahydropyrimidyl)-1,4-butane. To N 1 ,N 4 -diethylspermine.4HCl (36.1 mg, 0.0893 mmol) in 0.17M NaOH (2.0 mL, 0.34 mmol) at 0° is added formalin (15 μL, 0.20 mmol). The solution is stirred at room temperature for 3 h, then 10% NaOH (4 mL) and brine (4 mL) are added. Extraction with CH 2 Cl 2 (4×25 mL) and drying the extracts with Na 2 SO 4 gives crude product. Column chromatography (silica gel, 2% concentrated NH 4 OH/CH 3 OH) furnishes 22 mg (88% yield) of the bis-hexahydropyrimidine. NMR (CDCl 3 )δ1.10 (t, 6H), 1.4-1.9 (m, 8H), 2.32-2.65 (m, 16H), 3.15 (s, 4H).
EXAMPLE 4
The IC 50 values for several compounds according to the invention were determines as in Examples 1 and 2. The results are set forth in Table 5.
TABLE 5
L-1210 Cells [IC 50 ]
Compound
48 hrs.
96 hrs.
Formula I
R 1 = R 6 = methyl
60% CG
0.75 μM
m = 3
100 μM
n = 4
R 2 = R 3 = R 4 = R 5 = H
Formula I
R 1 = R 6 = propyl
3 μM
0.2 μM
m = 3
n = 4
R 2 = R 3 = R 4 = R 5 = H
Formula I
R 1 = R 2 = R 5 = R 6 = ethyl
80% CG
5 μM
R 3 = R 4 = H
25 μM
m = 3
n = 4
Formula I
R 2 = R 3 = R 4 = R 6 = ethyl
100 μM
3 μM
R 2 = R 5 = H
m = 3
n = 4
Formula II
R 1 = R 6 = ethyl
50 μM
0.5 μM
EXAMPLE 5
The % ILS value for various dosages of N 1 , N 4 -diethylhomospermine were determined according to the procedure of Examples 1 and 2. The results are set forth in Table 6.
TABLE 6
L1210 i.p. Leukemia in DBA/2J female mice
given 10 5 cells on day 0.
Dosing
# An-
Day of
Mean Survival ILS
No.
Schedule
imals
Death
+ S.D. (days)
(%)
1.
2.5 mg/kg q8 hr
5
20.5, 32
31.5 ± 16.6
242
days 1-6 (i.p.)
23, 22, 60 d
Control
9.2 ± 0.3
2.
5 mg/kg q8 hr
10
25.9 × 60 d
56.5 ± 11.1
524
days 1-6 (i.p.)
Control
9.1 ± 0.6
3.
10 mg/kg q12 hr
6
31.5 × 60 d
55.2 ± 11.8
441
days 1-6 (i.p.)
Control
10.2 + 1.1
4.
10 mg/kg once
5
12, 17,
20.8 ± 6.1
115
daily days
24, 24, 27
(1-6 (i.p.)
Control
9.3 ± 0.4
5.
15 mg/kg once
5
21, 27,
45.6 ± 19.8
390
daily days
(i.p.)
Control
9.3 ± 0.3
a Experiment ended at 60 days. Animal survival evaluated on this day, however, these animals were alive with no size of tumor.
Unexpectedly, and for reasons as not yet understood, the compounds of the invention have been found to be effective anti-viral, and most surprisingly, anti-retroviral agents.
The development of compounds useful for the prophylaxis and therapy of viral disease has presented more difficult problems than those encountered in the search for drugs effective in disorders produced by other microorganisms. This is primarily because, in contrast to most other infectious agents, viruses are obligate intracellular parasites that require the active participation of the metabolic processes of the invaded cell. Thus, agents that may inhibit or cause the death of viruses are also very likely to injure the host cells that harbor them. Although the search for substances that might be of use in the management of viral infections has been long and intensive, very few agents have been found to have clinical applicability. Indeed, even these have exhibited very narrow activity, limited to one or only a few specific viruses.
The retroviruses have presented an even greater challenge due to their even more complex intracellular metabolic activity.
The following examples illustrate the utilization of the compounds of the present invention as anti-retrovirus agents.
EXAMPLE 6
Embryonic chicken fibroblasts were grown to near confluence in cell culture media. The fibroblasts were next exposed to avian sarcoma virus for five hours. The cells were next washed with buffer to remove excess virus. The virus infected cells were then treated with 10 μM or 100 μM, N 1 ,N 4 -diethylspermine, (DES), culture media for 18 hours. The cell culture media was next removed and the cells were overlaid with soft agar growth media. The cells were then allowed to grow at 37° C. for 6-8 days. The culture plates were evaluated for foci (transformed cells) utilizing an inverted microscope. The results of these measurements are indicated below.
TABLE 7
NUMBER OF FOCI AT
6-DAYS
8-DAYS
CONTROL (ASV + FIBROBLASTS)
300
300
ASV + FIBROBLASTS + 10 μM DES
20
300
ASV + FIBROBLASTS + 100 μM DES
0
110
In a second experiment the virus was first treated with DES at 10 μM or 100 μM for three hours and then added to the fibroblast monolayer for 18 hours at 37° C. The excess virus was then removed by washing and the monolayer overlaid with soft agar culture media. The plates were allowed to incubate at 37° C. for 8 days and the plates were examined for foci. The results are indicated as follows.
TABLE 8
NUMBER OF
FOCI AT 8 DAYS
ASV + FIBROBLASTS (CONTROL)
300
ASV + FIBROBLASTS + 10 μM DES
200
ASV + FIBROBLASTS + 100 μM DES
16
Inasmuch as the compounds described herein are anti-proliferation agents, they are also useful as anti-psoriasis agents. The following example illustrates the transdermal penetration characteristics of the compounds of the invention.
EXAMPLE 7
Hairless mice were sacrificed by cervical dislocation and their skin removed. The skin was denuded of fatty tissue and stretched over a drug diffusion cell. The diffusion cell contained a phosphate receptor phase at pH 7.4. The donor phase contained the drug DES dissolved in glycine buffer at pH 8.0 at a concentration of 10 mg/mL. Samples of the receptor phase (3 mL) were taken at 48 hours. After each sample was withdrawn, an equal volume of fresh receptor phase was added back. The samples removed from the diffusion cell were assayed for polyamine utilizing a liquid chromatography-C-18 reverse system. The samples were first acidified with perchloric acid and then reacted with dansyl chloride to produce the corresponding dansylated polyamines. The experiment revealed that DES did indeed cross the skin at the dermal barrier.
For each of the utilities mentioned herein, the amount required of active agent and the frequency of its administration will vary with the identity of the agent concerned and with the nature and severity of the condition being treated and is of course ultimately at the discretion of the physician or veterinarian. In general, however, a suitable dose of agent will lie in the range of about 1 mg to about 200 mg per kilogram mammal body weight being treated. Administration by the parenteral route (intravenously, intradermally, intraperitoneally, intramuscularly or subcutaneously is preferred for a period of time of from 1 to 20 days.
While it is possible for the agents to be administered as the raw substances it is preferable, in view of their potency, to present them as a pharmaceutical formulation. The formulations, both veterinary and for human use, of the present invention comprise the agent, together with one or more acceptable carriers therefor and optionally other therapeutic ingredients. The carrier(s) must be “acceptable” in the sense of being compatible with the other ingredients of the formulation and not deleterious to the recipient thereof. Desirably, the formulations should not include oxidizing agents and other substances with which the agents are known to be incompatible. The formulations may conveniently be presented in unit dosage form and may be prepared by any of the methods well known in the art of pharmacy. All methods include the step of bringing into association the agent with the carrier which constitutes one or more accessory ingredients. In general, the formulations are prepared by uniformly and intimately bringing into association the agent with the carrier(s) and then, if necessary, dividing the product into unit dosages thereof.
Formulations suitable for parenteral administration conveniently comprise sterile aqueous preparations of the agents which are preferably isotonic with the blood of the recipient. Suitable such carrier solutions include phosphate buffered saline, saline, water, lactated ringers or dextrose (5% in water). Such formulations may be conveniently prepared by admixing the agent with water to produce a solution or suspension which is filled into a sterile container and sealed against bacterial contamination. Preferably sterile materials are used under aseptic manufacturing conditions to avoid the need for terminal sterilization.
Such formulations may optionally contain one or more additional ingredients among which may be mentioned preservatives, such as methyl hydroxybenzoate, chlorocresol, metracresol, phenol and benzalkonium chloride. Such materials are of especial value when the formulations are presented in multi-dose containers.
Buffers may also be included to provide a suitable pH value for the formulation and suitable materials include sodium phosphate and acetate. Sodium chloride or glycerin may be used to render a formulation isotonic with the blood. If desired, the formulation may be filled into the containers under an inert atmosphere such as nitrogen or may contain an antioxidant, and are conveniently presented in unit dose or multidose form, for example, in a sealed ampoule.
It will be appreciated that while the agents described herein form acid addition salts and carboxy acid salts the biological activity thereof will reside in the agent itself. These salts may be used in humans and in veterinary medicine and presented as pharmaceutical formulations in the manner and in the amounts (calculated as the base) described hereinabove, and it is then preferable that the acid moiety be pharmacologically and pharmaceutically acceptable to the recipient. Examples of such suitable acids include (a) mineral acids: hydrochloric, hydrobromic, phosphoric, metaphosphoric, and sulphuric acids; (b) organic acids: tartaric, acetic, citric, malic, lactic, fumaric, benzoic, glycollic, gluconic, gulonic, succinic and aryl-sulphonic, for example, p-toluenesulphonic acids.
Surprisingly, the compounds of the invention have also demonstrated insecticidal properties. The compounds have been found to be particularly effective against mosquitoes.
EXAMPLE 8
Mosquito eggs (1,000) were hatched at 25° C. in a cultured media consisting of well water (500 mL), baker's yeast (200 mg) and liver extract (300 mg). The eggs were maintained under these conditions for 4 to 5 days. The larvae were next transferred to test tubes containing 3 mL of culture media. Each test tube contained 10 mosquito larvae. In each experiment, 23 test tubes, each with 10 mosquitos in it, served as controls. The cidal activity of each of the polyamine analogues against the mosquito larvae was tested at, 1, 3, 10, and 30 ppm. Each compound was tested at each concentration in triplicate again in test tubes containing 10 mosquito larvae in 3 mL of culture media, maintained at 25° C. The control and test larvae were examined for insect death at 24 and 48 hour intervals. Table 9 includes representative examples of the cidal activity of the polyamine analogues against mosquito larvae. The data is reported as the LD 50 values for each compound, i.e., the concentration of polyamine required to kill 50% of the larvae. Furthermore, the data is reported at 48 and 96 hours.
TABLE 9
Compound
48 Hr. LD 50
96 Hr. LD 50
N 1 ,N 4 -Diethyl spermine
2 ppm
—
N 1 ,N 4 -Diethyl homospermine
7 ppm
5 ppm
The insecticidal compounds of the invention may be dissolved or dispersed in any suitable carrier medium adapted for spraying insecticides, e.g., water or other aqueous media and sprayed on an insect infested area or areas subject to potential infestation. The concentration of polyamines applied to an area would depend on the species of insect and its accessibility, however, solutions containing from 10 to 10,000 ppm per gallon broadcast over 100 ft 2 . | The present invention relates to anti-neoplastic and anti-psoriasis pharmaceutical compositions and methods of treatment and to insecticidal compositions and methods of controlling the growth of insects. | 47,649 |
CROSS REFERENCE TO RELATED APPLICATION
This application is a divisional application of Ser. No. 291,515 filed Aug. 10, 1981 now U.S. Pat. No. 4,478,216 published Oct. 23, 1984.
BACKGROUND AND/OR ENVIRONMENT OF THE INVENTION
1. Field of the Invention
The present invention relates to fluid proportioning systems, and more particularly to a method and apparatus for apportioning gas usage by a gas fueled apparatus among several individually metered gas supplies.
2. Description of the Prior and/or Contemporaneous Art
Many multiunit dwellings employ a single heating system which supplies heat to each dwelling unit. This is especially the case in large single family dwellings which have been converted to multifamily dwellings. Heretofore, in most cases, the landlord must underwrite the cost of heating each of the units since the heating units are usually supplied from a single fuel supply, the cost of which is billed directly to the landlord. This results in a situation where the landlord's expenses are disproportionately high in the months that heat is needed. Additionally, since tenants customarily pay a flat amount of rent regardless of the amount of heat used, they do not have an interest in conserving heat and, in many instances, this leads to excessive heat consumption.
One method of limiting the expense to the landlord is by installation of a locked thermostat so that tenants cannot cause a furnace to supply an unreasonable amount of heat. Unfortunately, this does not do anything to reallocate the cost of heating to each individual tenant. Another more radical approach is to install individual heating units or furnaces in each dwelling unit. While this solves the problem, the cost in many instances is prohibitive. Additionally, because of the inherent heat losses through furnace chimneys and combustion chambers, a plurality of furnaces having the same heating capacity as one large furnace will have greater heat losses and therefore will be less efficient.
In many of these multiunit dwellings, each individual tenant has a metered supply of gas provided to the gas range and other similar appliances disposed in the dwelling unit. However, these are entirely isolated from the metered supply of gas which is supplied to the common heating furnace. The present invention provides an apparatus and method for equitably apportioning the fuel needed to supply a common furnace among a plurality of metered fuel supplies, each which is billed individually to the tenants of a multiunit dwelling.
U.S. Pat. Nos. 1,892,775 and 1,892,776, both issued to Mix et al on Jan. 3, 1933, each teach fluid control apparatuses wherein a plurality of tenants' metered gas lines are employed to run a laundry stove. This apparatus permits selective individual channeling of the tenants' metered gas to the stove for use at any particular time by a single tenant. No means are shown or suggested for the joint use of the laundry stove by all the tenants through simultaneous supply of gas from each tenant's metered gas line. The Mix patents are the sole references uncovered which seek to equitably attribute gas usage to the tenant deriving benefit from such usage.
Other fluid and fuel mixing and proportioning apparatuses are known in the art for application for diverse purposes. U.S. Pat. No. 3,280,841 issued to Deutsch on Oct. 25, 1966 discloses a fluid mixing and proportioning apparatus wherein two fluid inputs are fed through separate valve and pressure meter arrangements. These two arrangements are manifolded together to provide a single output.
U.S. Pat. No. 3,331,392 issued to Davidson et al on July 18, 1967 teaches a gasoline supply manifold wherein a plurality of gasoline lines are individually hooked to a manifold by a plurality of discrete valves, the output of the manifold being supplied to a gasoline engine.
U.S. Pat. No. 3,392,752 issued to Iozzi et al on July 16, 1968 shows a device for mixing a plurality of gases wherein the relative proportion of the gases can be adjusted. Individual gas lines are fed through rate of flow gauges to a manifold housing by a plurality of regulating valves. After the gas flows through the regulating valves, it is mixed into a single flow. This invention finds use in mixing gases from welding and in medical applications, such applications being nonanalogous to the purpose and use of the present invention. Additionally, no means are shown or suggested to isolate the various gas supplies from each other when the gas is not being used. While this is not necessary in a device such as taught by Iozzi, it is necessary in an application where the individual gas lines are used for purposes other than to supply a manifold and the apparatus connected thereto.
U.S. Pat. No. 3,667,296 issued to Berger on July 18, 1972 shows a fluid proprtioning system wherein gas is supplied through two fluid regulators having input gauges, then to a pair of independent flow meters, and then to a pair of independent valves. The gas is then channeled through a manifold to a single output. No means are shown or suggested to avoid interaction between the two gas supplies.
Even considering the diverse and mostly nonanalogous art discussed above, no fluid proportioning system for use with a fluid fueled apparatus and a plurality of discrete fluid supplies wherein the discrete fluid supplies are isolated from each other so that they may be used to fuel other apparatuses in addition to the common fluid fueled apparatus is shown or suggested.
The present invention overcomes the shortcomings presently manifested in supplying a plurality of dwelling units from a single fluid fueled apparatus by providing a fluid proportioning system which apportions fuel usage among a plurality of metered fluid fuel supplies, the fluid fuel supplies being isolated from each other when the fluid fueled apparatus is not in use.
SUMMARY OF THE INVENTION
Therefore, a primary object of the present invention is to provide a fluid proportioning system for use with a fluid fueled apparatus and a plurality of discrete fluid supplies wherein fluid fuel use can be apportioned between the fluid supplies.
A further object of the present invention is to provide a fluid proportioning system which can be used in conjunction with a gas furnace.
A still additional object of the present invention is to provide a fluid proportioning system wherein the proportioned fuel supplies are isolated from each other when not employed for common usage.
A still further object of the present invention is to provide a fluid proportioning system suitable for use in multidwelling units wherein each unit of the dwelling shares usage of a common fluid fueled apparatus.
Still another object of the present invention is to provide a gas proportioning system for use with a gas fueled furnace, the common usage of which is shared by a plurality of separate dwelling units, each of the dwelling units having an individually metered gas supply, each of the metered gas supplies being used to fuel other appliances located in the dwelling units.
Still another further object of the present invention is to provide a method of proportioning fuel usage between a plurality of separate dwelling units each supplied by a single fuel consumptive apparatus.
Another further object of the present invention is to provide a fluid fuel proportioning system which is readily adaptable to currently existing gas fueled furnaces.
Another still further object of the present invention is to provide a fluid proportioning system which can be installed for use without major modification to existing heating systems.
Another still additional and further object of the present invention is to provide a fluid proportioning system which can be assembled from generally available components.
Another object is to avoid the need to replace a single furnace in a multidwelling unit with a plurality of furnaces thereby avoiding the attendant increased energy usage.
Another still further additional object of the present invention is to provide a fluid proportioning system which is simple in design, relatively inexpensive to manufacture, rugged in construction, easy to employ, and efficient in operation.
These objects, as well as further objects and advantages of the present invention, will become readily apparent after reading the ensuing description of the nonlimiting illustrative embodiments and viewing of the accompanying drawing.
A fluid proportioning system for use with a fluid fueled apparatus and a plurality of discrete fluid supplies according to the principles of the present invention comprises a manifold having a plurality of inputs and an output adapted to be in communication with the fluid input of the fluid fueled apparatus; a plurality of fluid pressure measuring and fluid pressure varying means each having an input and an output, the outputs of each of the plurality of fluid pressure measuring and fluid pressure varying means being in communication with one of the inputs of the manifold, each of the fluid pressure measuring and fluid pressure varying means inputs being in communication with one of the discrete fluid supplies; and a plurality of simultaneously operable valve means, each of the valve means being operably connected to and in communication with one of the fluid supplies, the plurality of valve means selectively isolating the fluid supplies from each other.
BRIEF DESCRIPTION OF THE DRAWING
In order that the present invention may be more fully understood, it will now be described, by way of example, with reference to the accompanying Figure which is a pictorial and schematic representation of one embodiment of the present invention.
DESCRIPTION OF THE PREFERRED EMBODIMENTS
Referring now to the Figure, there is illustrated therein a fluid proportioning system 10 which incorporates the principles of the present invention. The fluid proportioning system 10 is configured for use in supplying a gas furnace, not illustrated, from a main gas supply 12. Although the invention is shown in this particular environment, it is done merely for purposes of illustration and it is to be understood that the present invention may be used in other environments, in conjunction with fuels other than gas, and with fuel consumptive apparatuses other than gas furnaces. For instance, the teachings of the present invention are equally applicable to a hot water supply which is provided to multiple locations from a single hot water heater.
The gas supply 12, which may be from a public utility or a common storage tank, is fed to a plurality of gas meters 14, 16, 18, and 20 through a pipe or conduit 21. Pipe 21, as well as other pipes hereinafter mentioned, is shown and described as comprising a plurality of different length sections and a plurality of couplings or fittings. However, this is merely meant to be illustrative and any piping configuration or other means for permitting the communication of the elements of the present invention and specifically for permitting the inputs of the meters 14, 16, 18, and 20 to be in direct communication with the gas supply 12 can be employed by one skilled in the art within the scope of the invention.
The outputs of the gas meters 14, 16, 18, and 20 are coupled, respectively, to T connectors 22, 24, 26, and 28. These T connectors provide first outputs 30, 32, 34, and 36 which are in communication, through pipes 38, 40, 42, and 44, respectively, to whatever appliances individual tenants may have in their dwelling unit for their own exclusive use. For instance, pipe 38 can be connected to a tenant's gas stove and range. Similarly, pipe 40 may be connected to another tenant's gas stove, gas range, and gas clothes dryer. In a likewise manner, pipes 42 and 44 are also connected to appliances which are used solely by a single dwelling unit. T connectors 22, 24, 26, and 28 each also have second outputs 46, 48, 50, and 52, respectively, which are coupled through pipes, respectively, 54, 56, 58, and 60 to the inputs of valves, respectively, 62, 64, 66, and 68. The valves 62, 64, 66, and 68 in conjunction with pressure gauges 70, 72, 74, and 76, respectively, are in communication therewith through, respectively, pipes 78, 80, 82, and 84, thereby forming, respectively, fluid pressure measuring and fluid pressure varying apparatuses 86, 88, 90, and 92. The valves 62, 64, 66, and 68 are variable between a closed position and a fully openable position and are preferably of the precision type which are fully calibrated. The pressure gauges 70, 72, 74, and 76 each measure the pressure, respectively, between pipes 78, 80, 82, and 84 and, respectively, pipes 94, 96, 98, and 100 which are hooked between the outputs of the pressure gauges 70, 72, 74, and 76, respectively, and a plurality of electrically operated valves 102, 104, 106, and 108.
The outputs of the electrically operated valves 102, 104, 106, and 108, are coupled to a manifold 110, respectively, by pipes 112, 114, 116, and 118. The output 120 of the manifold 110 is connected by a pipe 122 to a master shut off valve 124, the master shut off valve being connected by a pipe 126 to a master pressure gauge 128. The output of the master pressure gauge 128 is connected through a pipe 130 to a gas fueled furnace, not illustrated.
The electrically operated valves 102, 104, 106, and 108 are of the solenoid type and are simultaneously activated by a relay 132 which is operably coupled to the electrically operated valves 102, 104, 106, and 108 and to the control system of the furnace, not illustrated, in the same manner as a conventional furnace relay is connected to the control system thereof. When a furnace control system of a conventional type senses, by the thermostat thereof, that the furnace system should be activated, voltage is applied to a relay which opens a gas valve. When the relay 132 is hooked to the furnace control system, it also will be activated and will place a selected voltage on the solenoid valves 102, 104, 106, and 108 to open these devices thereby permitting the passage of gas therethrough. When the solenoid valves 102, 104, 106, and 108 are deactivated, they preclude the passage of gas therethrough. The solenoid valves 102, 104, 106, and 108, as well as the relay 132, may be activated by readily available 110 V AC house current or they can be activated by a 24 V or other low voltage current if such is used in the furnace control system or if such low voltage is otherwise desirable.
In employing the system 10, the square footage of each of the individual dwelling units associated with gas meters 14, 16, 18, and 20 would be calculated to determine the number of BTU's of heat needed to heat these units. The method of calculating such quantities of heat are well known in the art and factors such as insulation, exposure, outside walls, and windows can be taken into consideration. However, all these factors except for square footage are assumed to be equal for purposes of simplicity of illustration. The manner in which the valves 62, 64, 66, and 68 are adjusted to apportion gas usage can be illustrated by assuming that the dwelling units associated with meters 14 and 16 are of equal size and the dwelling units associated with meters 18 and 20 are equal in size to each other, the dwelling units associated with meters 14 and 16 being one half the size of the dwelling units associated with meters 18 and 20. In a conventional installation, gas pressure is approximately twenty-five to thirty pounds per square inch. For purposes of illustration, it is assumed that the pressure is thirty pounds per square inch. Using the example above, valves 62 and 64 would be adjusted so that pressure gauges 70 and 72 had a pressure reading of five pounds per square inch with valves 66 and 68 being adjusted so that gauges 74 and 76 show a pressure of ten pounds per square inch. The total pressure therefore would be thirty pounds per square inch at manifold output 120, as read by gauge 128, but the gas meters 14, 16, 18, and 20 would only be metering gas usage in proportion to gas consumption in the associated dwelling unit.
As another example, if the dwellings associated with meters 14, 16, and 18 were of equal size and if the dwelling unit associated with meter 20 was twice as large as dwellings associated with meters 14, 16, and 18, the valves 62, 64, and 66 would be adjusted so that the pressure gauges 70, 72, and 74 would read a pressure of six pounds per square inch, valve 68 being adjusted to indicate a pressure of twelve pounds per square inch at pressure gauge 76. Similarly, if each dwelling unit was equal in size and if there were four dwelling units, each valve 62, 64, 66, and 68 would be adjusted to permit a pressure of seven and one half psi at pressure gauges 70, 72, 74, and 76. Thusly, it can be seen that the individual owners of the dwelling units are contributing gas for the running of the common furnace in proportion to the amount of heat necessary to heat their dwelling unit. As a result, an equitable system is provided with each tenant paying their proportional share of the cost of purchasing gas thereby alleviating the landlord of this oppressive responsibility.
Of course, the more precisely the calculation is made to determine the quantity of heat necessary to heat a dwelling unit, the more equitable such proportioning will be.
The electrically operated valves 102, 104, 106, and 108 are provided to preclude interaction of the metered gas supplies of each separate dwelling unit when the furnace is not in use. If the valves 102, 104, 106, and 108 were not provided, and the furnace was not in use, if one of the tenants was to use gas from gas supplies 38, 40, 42, or 44, he could draw gas through the manifold 110 from the other tenants' metered gas supplies. However, since the electrically operated valves 102, 104, 106, and 108 are provided, and are in a closed position unless the furnace is operating, if the individual dwelling units use gas from the gas supplies 38, 40, 42, and 44, they will only draw gas through their own gas meters.
It should be apparent that the proportioning valves 62, 64, 66, and 68; the pressure gauges 70, 72, 74, and 76; and the electrically operated valves 102, 104, 106, and 108 can be variously interchanged in position, respectively, between the gas meters 14, 16, 18, and 20 and the manifold inputs 112, 114, 116, and 118. Such juxtaposition is considered to be well within the skill of one of ordinary skill in the art within the scope of the present invention. Similarly, the valves 62, 64, 66, and 68 can be provided as discrete components relative to the pressure gauges 70, 72, 74, and 76 or, as illustrated, can be embodied by a single unit which performs both pressure varying and pressure measuring functions. As an alternative within the scope of the present invention, fluid pressure measuring and fluid pressure varying apparatuses 86, 88, 90, and 92 can comprise calibrated mechanical gas control valves of the type used in gas ranges and ovens.
The master valve 124 is provided to permit shutoff of the output 120 of the manifold 110 as desired for servicing of the furnace or in other situations where such a condition is desirable. The master pressure gauge 128 is provided to make sure that the maximum pressure supplied to the furnace does not exceed the amount which it may accept. As in the examples above, such a pressure would be thirty pounds per square inch.
In order to preclude tenant tampering, the valves 62, 64, 66, and 68 should be lockable and, along with the pressure gauges 70, 72, 74, and 76 may be disposed in a single locked box to which the tenants are not permitted access.
Alternately, the valves and pressure gauges used to proportion the gas from each individual tenant's metered gas supply may be remotely variable. For instance, an electrically operated remotely calibrated valve means with a remote readout and adjustment located in each dwelling unit may be employed. The remote valve controls also necessarily would be locked, if desired, and the adjustments of the proportioning could be remotely accomplished. This might be of particular convenience where a single dwelling unit is frequently empty and, when the heat supply is turned off to such a vacant unit, the gas supply which is associated with the unit can also be turned off.
Although the system 10 hereinbefore described has been described as accommodating four dwelling units, of course, more or less dwelling units can be accommodated by the provision of additional manifold inputs, electrically operated valves, proportional valves, and pressure gauges. It also should be realized that although conventional pipe and pipe connections are shown, other specially manufactured or conventional devices or apparatuses for coupling the components of the present invention together may be employed using the skill of one of ordinary skill in the art placing such modifications within the scope of the present invention.
The teachings of the present invention are also applicable to installations wherein more than one commonly shared appliance is employed. For instance, if all the dwelling units involved use a single gas furnace and a single gas hot water heater, the output of the manifold can be connected to both of these appliances, consumption of the furnace being determined as hereinbefore described and a correctional factor being introduced as to estimated hot water use by each dwelling unit. Although this is a less precise calculation than the quantity of heat needed to heat a dwelling unit, reasonable proportioning of hot water usage can be determined based on the number of people occupying each dwelling unit.
It should be understood that various changes in the details, materials, arrangements of parts, and operational conditions which have been herein described and illustrated in order to explain the nature of the invention may be made by those skilled in the art within the principles and scope of the invention. | A fluid proportioning system for apportioning fuel usage among several discrete fluid fuel supplies which are used to supply fluid fuel to a single commonly used apparatus. An application for the invention is in a multidwelling unit wherein each unit is heated from a common furnace. Each tenant's metered gas line is tapped in proportion to the amount of heat necessary to heat their dwelling unit by the adjustment of precision valves, the gas from each line being combined in a manifold. Means are provided to preclude interaction of the individually metered gas lines when the furnace is not consuming gas. | 22,416 |
CROSS-REFERENCES TO RELATED APPLICATIONS
[0001] This application claims the priority of German Patent Application, Serial No. 10 2012 104 537.2, filed May 25, 2012, pursuant to 35 U.S.C. 119(a)-(d), the content of which is incorporated herein by reference in its entirety as if fully set forth herein.
BACKGROUND OF THE INVENTION
[0002] The present invention relates to a furnace for the thermal treatment of light metal component, and to a method for the thermal treatment of light metal components.
[0003] The following discussion of related art is provided to assist the reader in understanding the advantages of the invention, and is not to be construed as an admission that this related art is prior art to this invention.
[0004] The use of sheet metal components for the production of automotive components has been known for many decades. The sheet metal components are first formed and then combined to single modules or to an entire body. Motor vehicle bodies are nowadays mostly formed as self-supporting bodies, so that the sheet metal components not only perform aesthetic or shaping tasks, but must also have stiffness properties to impart to the vehicle body sufficient rigidity during use.
[0005] Demands on the crash behavior are also placed on the structural vehicle components, which must dissipate impact energy into deformation energy through targeted deformation in the event of a collision.
[0006] Steel represents a preferred material due to its advantageous manufacturability accompanied by high rigidity. In particular, the hot-forming and press hardening technology gives the steel high-strength or even ultra-high-strength properties, so that the specific weight of the components could be further reduced, while simultaneously increasing the strength values.
[0007] Today, however, not only aesthetic and safety expectations are imposed on motor vehicles, but also ecological and economic aspects for operating the motor vehicle have become rather important. So it is especially important that the vehicle has low fuel consumption with simultaneously low CO 2 emissions. For this purpose, there are various approaches, for example the use of new drive techniques such as the hybrid drive, or a particular shape giving the motor vehicle a low air resistance.
[0008] Another approach is the use of light metal components to reduce the specific weight of the vehicle body and thus of the entire vehicle. In particular, light metal components made from aluminum alloys are used.
[0009] For certain applications, for example with high degrees of deformation or when setting specific strength values in aluminum components, the plates must be thermally treated prior to forming and/or at intermediate steps during forming and/or after forming.
[0010] Continuous furnaces known in the art include a transport system on which sheet metal components or sheet metal plates are continuously transported through a furnace and heated inside the furnace. Several approaches exist, for example infrared heating or induction heating of the component or the plate inside the furnace.
[0011] However, when such furnaces are used for light metal alloys, some methods are inefficient because the aluminum reflects, for example, the heat radiation or the methods are technically impractical, since e.g. the shaped plates or components can only be heated unevenly and thus severely distort; more often, however, the methods are inefficient, because a large part of the input energy is not used. Another disadvantage is the high space requirements of most facilities.
[0012] The furnaces can thus only be operated inefficiently, which further increases the production costs of the alloy material which is anyway more expensive compared with steel.
[0013] It would therefore be desirable and advantageous to obviate prior art shortcomings and to provide an improved furnace for thermal treatment of light metal components, and an improved method of operating the furnace capable of cost-effective and efficient mass production of light metal components.
SUMMARY OF THE INVENTION
[0014] According to one aspect of the present invention, a furnace for thermal treatment of light metal components which are continuously transported through the furnace, includes a heat source, a conveyor transporting the light metal components through the furnace in a transport direction, and a blower producing an airflow circulating inside the furnace. The airflow heats the light metal components inside the furnace by convection, and a light metal component entering the furnace and a light metal component exiting from the furnace are constructed as a barrier so as to hinder the airflow from escaping from the furnace.
[0015] According to another aspect of the invention, a furnace for thermal treatment of light metal components which are continuously transported through the furnace, includes a heat source, a conveyor transporting the light metal components through the furnace in a transport direction, a blower producing an airflow circulating inside the furnace, wherein the airflow heats the light metal components inside the furnace by convection, and partition walls arranged on the conveyor at mutual distances between the partition walls. At least one light metal component is arranged between two partition walls.
[0016] According to another aspect of the present invention, a method for thermal treatment of light metal components in a furnace, wherein the light metal components are continuously transported through the furnace, includes placing a plurality of consecutively arranged light metal components on a conveyor belt, transporting the light-metal components through the furnace, wherein an entrance opening at an entrance region of the furnace is sealed by a light-metal component passing through the entrance opening, generating a continuously circulating warm airflow and overflowing the light metal components in at least one temperature zone inside the furnace with the airflow to thermally treat the light-metal components, while the light metal components are continuously transported through the furnace, and discharging the heat-treated light metal components from the furnace at an exit of the furnace, wherein an exit opening at an exit region of the furnace is sealed by light metal component passing through the exit opening.
[0017] According to yet another aspect of the present invention, a method of operating a furnace for thermal treatment of light metal components, wherein the light metal components are continuously transported through the furnace on a conveyor belt, includes arranging on the conveyor belt partition walls separating mutually different temperature zones, placing at least one light-metal component on the conveyor belt between two partition walls, and transporting the at least one light-metal component through the furnace.
[0018] With the airflow circulating in the furnace, only the energy dissipated on the plate or the component or energy occurring as lost flows needs to be replenished, wherein the alloy components can be heated in the furnace by convection by the airflow and a respective light metal component entering the furnace and a respective light metal component exiting the furnace can act as a barrier and prevent the airflow from escaping from the furnace.
[0019] The furnace according to the invention uses convection for the thermal treatment, especially for heating the light metal alloy components. A light metal component within the context of the invention may be an already formed component, but also a component and an intermediate stage, or even a plate, which is transformed subsequent to the thermal treatment.
[0020] Advantageously, light metal components made of an aluminum alloy, in particular made of a wrought aluminum alloy, may be treated with the furnace according to the invention. The respective components may be placed on a clocked or continuously operating conveyor, and may then enter the furnace evenly spaced in single file, and preferably at regular intervals separated by additional pressure-seal baffles. The furnace is thus constructed at an entrance so that a light metal component entering the furnace and a light metal component exiting the furnace operate as a barrier, so that the airflow circulating within the furnace does not escape from the furnace. At each transition from a component located in the entrance region to the next component entering the entrance region, and likewise at the exit of the furnace, losses occur due to the separation between the individual components. In addition, overflow losses also occur at a gap between the component or barrier and the adjacent terminations. Because a number of components can be transported over a short distance through the furnace either in a clocked or continuous fashion, particularly short cycle times of a few seconds can be realized so that the furnace can effectively handle large quantities of light metal alloys for thermal treatment.
[0021] According to an advantageous feature of the present invention, the components to be heated may be transported continuously, without any interruption. Accordingly, components may be continuously placed onto the conveyor belt at the entrance of the furnace, transported through the furnace and again removed from the transporters at the exit of the furnace.
[0022] According to another advantageous feature of the present invention, the continuous transport may also cooperate with upstream and downstream production systems commensurate with the production cycle. For example, the conveyor belt may be briefly stopped each time a new component is added and then possibly also when at the same time a heated component is removed at the exit of the furnace and then restarted, until the next component.
[0023] According to another advantageous feature of the present invention, the transport speed of the components through the furnace may not only be selected as a function of the residence time of the components inside the furnace itself, but may also be adapted to the production process such that a sufficient quantity of heat-treated components is always provided for further processing.
[0024] Inside the furnace according to the invention, one or more heat sources may be arranged to generate at least a predetermined temperature. This temperature is advantageously a temperature between 100° C. and 600° C., which then produces with a circulation system, in particular an air circulation system arranged inside the furnace, in conjunction with a duct system formed in the furnace, an airflow passing over the light metal components transported through the furnace. The heated airflow then exchanges heat with the surface of the light metal components due to the forced convection, thus causing heat transfer from the airflow to light metal component. The furnace according to the invention uses hereby the high thermal conductivity of aluminum in conjunction with the large surface area relative to the mass of the light metal component, so that the lightweight metal component can be thermally treated, in particular heated, within a very short time.
[0025] An exit region is then formed at the exit of the furnace, wherein the light metal components exiting the furnace prevent the airflow from escaping from the furnace.
[0026] Both externally heated air as well as hot gas flows may be used for convection heating. Within the context of the present invention, the airflow may be any type of gas flow, for example also the flow of a reaction gas.
[0027] Overall, the furnace according to the invention offers the advantage that the entire system need not initially be heated at the startup of production, but only the air circulated in the furnace must be tempered accordingly. The furnace according to the invention can thus operate with an effective efficiency and with significantly lower energy costs compared to a heating system operating using radiation or induction. In particular, by circulating the airflow and by preventing the airflow from escaping, it is possible in conjunction with a thermal encapsulation of the furnace, to only slightly reheat the heated airflow with the heat source during circulation, thus significantly reducing the energy cost during the operation of the furnace according to the invention.
[0028] According to another advantageous feature of the present invention, the heat source may be designed as an electric heater and/or as a fuel-fired heater. The heat source may be arranged inside the furnace after and/or before the circulation system. The heated airflow or gas flow advantageously passes directly to the light metal components, so that no flow losses occur between the airflow heated directly by the heat source and a long duct system. After the airflow has passed over the light metal components, it may enter a duct system and be once more supplied to the circulating system, wherein it may then be reheated again to the desired temperature shortly before or after the circulating system by a heat source disposed therein.
[0029] The choice of heat source, i.e. whether electric heater or fuel-fired heater, depends in particular on the availability of energy, the energy costs and the size of the furnace according to the invention. For smaller lot sizes, it may be beneficial to use an electric heater. Within the context of the present invention, however, both types of heating systems may also be combined so that the furnace is modular and can be used for various purposes.
[0030] According to another advantageous feature of the present invention, the circulation systems may be arranged as a blower inside the furnace. Depending on the temperature to be generated, the blower may be arranged, for example, inside the duct system, or after the airflow has passed over the light metal components, so that the airflow or gas flow having an initial temperature reaching occasionally 600° C. has cooled down on the alloy components before passing the blowers. The blowers are thus not exposed to the maximum temperature of more than 400° C. or even of more than 500° C., but can be operated in a flow of warm air at about 100° C. to 400 C.
[0031] According to another advantageous feature of the present invention, the blowers may be used with different air blower settings, so that the airflow velocity or gas flow velocity, with which the air flows over the light metal components, is adjustable. This allows two adjustment parameters in conjunction with a temperature control, so that heating of the light metal components can be adjusted via the flow rate and/or the temperature of the air flow.
[0032] According to another advantageous feature of the present invention, the furnace may be thermally encapsulated, wherein sealing elements may advantageously be arranged at the entrance and/or exit of the furnace; the sealing elements may advantageously be formed as replaceable baffles. The thermal encapsulation is, for example, constructed as a thermally insulated jacket of the furnace, so that residual heat does not escape after passing the light metal components, or when passing through the duct system of the furnace.
[0033] Furthermore, particularly in the pulsed or continuous bulk transport of light metal components into the furnace and out of the furnace, the entrance and the exit region, i.e. the entrance and the exit, are therefore critical, since heat, but also the air flow, may be able to escape due to the convection principle of the furnace according to the invention. For this purpose, the entrance and the exit may each be formed such that successive light metal components which continuously enter and exit the furnace seal the entrance and/or exit such that a negligible quantity of the airflow circulating within the furnace escapes. Inevitably, hot air/gas exiting to the outside through gaps at the entrance and exit can be collected by way of overlapping hoods and returned to the circulation, thereby further increasing the efficiency.
[0034] By using the geometry of the components for the purpose of sealing to enhance the leak-tightness, sealing elements are formed on the entrance and/or the exit, wherein the sealing elements may advantageously be formed as a shaped baffle. When using different light metal components, especially different sized plates, the shaped baffles may be exchanged so that the cross-sectional area or the cross-frame area of the light metal components perpendicular to the transport direction spanning the shaped baffles may be constructed such that only a small gap is formed in a peripheral edge region. The furnace according to the invention can thus be optionally used for light metal components with different geometric dimensions.
[0035] According to another advantageous feature of the present invention, the furnace may advantageously have at least two temperature zones, wherein the light metal components may be used as a barrier between the zones, and more particularly, interchangeable shaped baffles may be located at a transition between the zones. According to another advantageous feature of the present invention, a first temperature zone and second temperature zone may thus be formed in a furnace having two different temperature zones, so that the light metal component crossing from one zone into another zone operates as a barrier of a transition, similar as at the entrance or the exit of the furnace. Again, changeable shaped baffles may be arranged here, so that an efficient air seal is formed between the zones even when the light metal components have different geometrical dimensions.
[0036] A mutually different thermal heat treatment may also be performed in the respective temperature zones by selecting the airflow speed and/or the air temperature. According to another advantageous feature of the present invention, two blowers may be arranged which generate, for example, mutually different flow velocities in the respective zone. Moreover, two heat sources for generating different temperatures may also be arranged inside the furnace. Within the context of the invention, the flow velocity within a respective zone may also be individually adjusted on the air nozzles associated with the zones via nozzles having an adjustable cross-section, so that only one blower is used. In the context of the invention, a temperature zone may also be configured as a cooling zone, so that in this case an airflow which is cold compared with the airflow into heat treatment zone having a temperature of, for example, 50° C. or even only 10° C. may flow around the light metal components.
[0037] Advantageously, the shaped baffles may have an opening corresponding substantially to a transverse frame area of the light metal components orthogonal to the transport direction. This ensures that even when a light metal plate is slightly slanted only small gaps are present when the plate passes through the shaped baffle, thereby preventing leakage of the air flow.
[0038] According to another advantageous feature of the present invention, the furnace may have a drying zone in the region of the entrance and/or a cooling zone in the region of the exit. In this way, a lubricant or other coating disposed on the light metal components can first dry in the drying zone or be removed from the light metal components. The light metal components may thereafter be thermally treated in the at least one temperature zone and then optionally cooled down again in a cooling option located at the exit of the furnace. The components may be cooled down to a component temperature of 100° C. or even 50° C., or also to room temperature. In this way, for example, thermal treatment, solution annealing, aging, or reverse annealing may be completed in a controlled manner.
[0039] According to another advantageous feature of the present invention, the circulating airflow inside the furnace may be passed across a surface of the light metal components, so that the airflow flows over the entire surface area of the light metal components. When the air flows over the components, heat is exchanged between the heated/cold air or hot gas and the comparatively colder or warmer light metal component. Advantageously, the airflow may pass continuously across the front side, but also across the rear side of the light metal component, so that both sides are evenly heated. The respective temperature set in the light metal component can then in turn be adjusted by selecting mutually different air temperatures or mutually different flow rates. For example, the parameters temperature and flow rate may be adjusted in only one temperature zone, so that different components can be thermally treated in the same furnace. When two or more temperature zones are present, the flow velocity and the temperature may also be adjusted individually in each zone.
[0040] Advantageously, the light metal components may be transported through the furnace on a conveyor belt, in particular a chain conveyor. In the context of the invention, the conveyor belt, in particular the chain conveyor, includes receptacles or seats with attachments in which the light metal components, which may be shaped as plates, can be stored with a substantial vertical orientation. In addition, the system then becomes more compact, so that the airflow passes across the components essentially in the vertical direction from the bottom to the top or from the top to the bottom. The transport direction then corresponds to a substantially horizontal direction, so that the vertically oriented components assume the respective flow guiding and sealing function between the zones and at the entrance and at the exit. The components may be arranged at an angle.
[0041] Advantageously, the light metal components themselves may be heated inside the furnace to a temperature between 200° C. and 450° C. Metallurgical processes then occur in the aluminum alloy used in each case, in particular wrought aluminum, which later produces good formability or a corresponding homogeneous microstructure with the desired strength properties.
[0042] The present invention also relates to a method for the thermal treatment of light metal components in a furnace, wherein the furnace has at least one of the aforementioned features and the method includes the following steps:
supplying a conveyor belt with a plurality of consecutively arranged light metal components, in particular light metal plates, transporting the light metal components through the furnace, wherein the entrance opening at an entrance of the furnace is sealed by the respective light metal component passing through the entrance opening, producing a continuously circulating warm airflow and passing the warm airflow across the light metal components in at least one temperature zone inside the furnace, while the light metal component is transported through the furnace in either a clocked or a continuous fashion, removing the heat-treated light metal components from the furnace, wherein an exit opening in an exit region of the furnace is sealed by the respective light metal component passing through the exit opening.
[0047] With the method according to the invention, consecutively arranged light metal components, such as also light metal plates, may be provided on a conveyor belt and continuously moved through a furnace. A hot air or gas flow may then be generated inside the furnace using a heat source and circulated with a blower, so that the hot air or gas flow flows across the light metal components. The light metal component itself is then heated by the forced convection on the surface of the light metal component, in particular on an upper surface as well as a lower surface of the light metal component, whereby the light metal component, in particular when using an aluminum alloy, can be heated in a very short time of sometimes only a few seconds due to its excellent thermal conductivity.
[0048] According to an advantageous feature of the present invention, the respective entrance or exit opening may be sealed by the respective light metal component passing through when the light metal component enters or exits the furnace, so that the air or gas flow generated inside the furnace barely escapes to the air surrounding the furnace. According to another advantageous feature of the present invention, two or three light metal components successively passing through the entrance opening may also assume a sealing function. The same applies to the exit opening.
[0049] Inside the furnace itself, the heating of the light metal component may be adjusted by selecting the flow rate of the air or gas flow and/or the air or gas temperature of the air or gas flow. Two, three or more temperature zones may be separated inside the furnace, wherein different heating effects can be performed on the light metal component via the parameters flow rate of the airflow or temperature of the air flow.
[0050] The heat-treated light metal components may be supplied within the context of the present invention to further processing, most advantageously with a cycle time of less than 15 seconds for each component.
[0051] According to another advantageous feature of the present invention, the furnace may include a drying zone and a cooling zone, wherein the light metal components passing the drying zone are dried in the drying zone; in particular a lubricant present on the light metal components is dried. Moreover, the light metal component may be cooled in a cooling zone to a cold-hardening temperature. Advantageously, a cooling zone may be arranged at the end of the furnace; however, one or more cooling zones may also be arranged between the individual temperature zones, allowing a heated component to be cooled and then reheated.
[0052] According to another advantageous feature of the present invention, the shaped baffles arranged in the furnace, in particular at the entrance and in the exit, but also at a transition between the zones, may be exchanged in a multi-zone furnace depending on the light metal components to be treated. The shaped baffles may advantageously be selected such that a cross-sectional frame area disposed transversely to the transport direction, in conjunction with the respective light metal component passing the shaped baffle or also with two or three passing light metal components, seals in an optimal manner, so that the airflow cannot escape.
[0053] The above-mentioned features may be combined with one another within the context of the invention in any manner with the associated features, without departing from the scope of the invention. The afore-described parameters can also be applied in any way to the embodiments described below.
[0054] In another embodiment, in a furnace for the thermal treatment of light metal components, wherein the light metal components can be transported continuously through the furnace and the furnace includes a heat source, an airflow may be circulated inside the furnace, wherein the light metal components can be heated inside the furnace by the airflow through convection and light metal components can be transported on a conveyor through the furnace, wherein spaced-apart partition walls are arranged on the conveyor and at least one light metal component may be arranged between two partition walls.
[0055] The aforementioned features relating, for example, to different temperature zones, the heat source itself, the flow velocity or the airflow temperature, but also the sealing elements in the form of shaped baffles can be combined with this embodiment without departing from the scope of the invention. A hybrid structure, wherein the light metal components are themselves arranged as a barrier in combination with partition walls placed on the conveyor, may be constructed, whereby the partition walls representing the larger light metal component are each heated in the furnace, while smaller light metal components or even complex shaped light metal components may be arranged between the partition walls, i.e. between the larger light metal components.
[0056] With this approach, light metal components having different dimensions may be placed between the two partition walls, wherein the outer geometry of the light metal components must be smaller than the outer dimensions of the partition walls, so that the partition walls assume a sealing function in a continuous transport process and the light metal components do not protrude over the partition walls.
[0057] Furthermore, two, three or four or more light metal components may be simultaneously arranged between two partition walls and heat-treated at the same time, wherein the light metal components may also have complex three-dimensional shapes.
[0058] When employing partition walls and placing at least one light metal component between two respective partition walls, the furnace may be used for different production runs, without requiring retrofitting. For example, light metal components having mutually different outside dimensions, particularly light metal plates, may be transported in direct succession through the furnace according to the invention, wherein in the sealing function is assumed by the partition walls and the plates can be simply inserted in receptacles arranged between the partition walls. In this way, the furnace according to the invention can be flexibly utilized, without requiring set-up times for the conversion of the furnace for a new production run. This saves acquisition and maintenance costs of the furnace according to the invention.
[0059] Furthermore, the furnace with partition walls has optionally at least two mutually different temperature zones, in which the components are heated to mutually different temperatures. For example, the component may initially be heated step-wise and/or cooled step-wise.
[0060] According to another advantageous feature of the present invention, the partition walls may be constructed to serve as a barrier, wherein a sealing function is achieved upon passing a partition wall of an entrance and/or an exit and/or a transition, so that the airflow is prevented from escaping from the furnace; in particular, two successive partition walls may form a continuous seal at the entrance and/or exit and/or the transition. Within the context of the invention, the transition is located between two temperature zones, so that the component transitions from one temperature zone to the other temperature zone.
[0061] Advantageously, a seal may be formed by two consecutive partition walls which are arranged substantially at an angle between preferably 10° and 85° with respect to the transport direction. The partition walls may advantageously be arranged such that, due to their angular position, the entrance and/or exit and/or the transition are substantially sealed by two partition walls, so that a respective airflow is prevented from escaping from the furnace, or from passing from one temperature zone into the other temperature zone.
[0062] According to another advantageous feature of the present invention, the partition walls may be arranged on the conveyor so that they can be exchanged. Within the context of the present invention, large partition walls of mutually different sizes may be arranged on the conveyer itself, or the distance between two partition walls may be varied. For example, the partition walls may be arranged on the conveyor with a greater spacing when heating two, three, four or more light metal components simultaneously, whereas when heating only a single light-metal component disposed between the two partition walls, the partition walls may be arranged with a mutual spacing that leaves only a small gap between the partition wall, the component and the next partition wall, thus allowing the airflow to flow across the light-metal component.
[0063] Within the context of the invention, the conveyor may be designed in particular as a chain conveyor or a conveyor belt. The conveyor can then be operated continuously, wherein in another preferred embodiment, the partition walls may be arranged on the chain conveyor before the entrance and be removed after the exit of the chain conveyor. In this way, a return of the chain conveyor requires only a small footprint, which would otherwise be significantly larger due to the partition walls protruding from the chain conveyor. Accordingly, a much smaller return cross-sectional area is required in relation to the cross-sectional area of the conveyor through the furnace, wherein respective partition walls are placed on the conveyor.
[0064] Furthermore, the airflow in the furnace may advantageously be guided by the partition walls themselves and, more particularly, two mutually different air flows in two mutually different temperature zones may be separated by a partition wall, wherein the air flows across the surface of the light metal components. Within the context of the invention, a respective airflow may thus be selectively utilized in a separate temperature zone due to the excellent thermal properties of the aluminum material, so that that the desired temperature of the light metal component can be specifically adjusted in the temperature zone by the airflow flowing across a light metal component.
[0065] Different temperature zones may be separated from one another by the partition walls, wherein the individual air flows are guided by the partition walls such that they substantially do not cross over into a different temperature zone. Within the context of the invention, the partition walls may advantageously be insulated, so that heat conduction from one temperature zone into the second temperature zone by the partition wall itself is minimized. Furthermore, within the context of the invention, the partition walls may advantageously be coated, so that the partition walls dissipate only a small amount of thermal energy from the air flowing across the partition walls. Advantageously, a thermally insulating coating may be employed.
[0066] According to another advantageous feature of the present invention, the partition walls may be arranged at an angle to the transport direction, for example at an angle between 10° and 80°, or between 20° and 70°, or at an angle between 30° and 60° and advantageously at an angle between 40° and 50°. Arranging two successive partition walls at an angle at an entrance and/or exit and/or, a transition advantageously ensures a continuous seal. As a second advantage, the angular arrangement also separates the air flows of mutually different temperature zones from each other.
[0067] Another aspect of the invention relates to a method of operating a furnace, wherein the furnace has a continuous conveyor for light metal components and at least two partition walls are arranged on the conveyor, wherein a respective light-metal component is positioned between the two partition walls and thereafter passes through the furnace, wherein furthermore mutually different temperature zones are separated by the partition walls. Within the context of the present invention, the interior of the furnace is thus sealed by the partition walls that continuously travel on the conveyor, wherein the light metal components arranged between the partition walls are thermally treated by an airflow circulating within the furnace.
[0068] For this purpose, two consecutively arranged partition walls seal the entrance region and/or the exit region and/or a transition region, wherein the airflow circulating in the furnace, in particular the airflow circulating in the respective temperature zone of the furnace, is hindered from escaping from the furnace or from crossing into a different temperature zone.
[0069] According to another aspect of the present invention, the light metal components can be transported continuously through the furnace and the furnace includes a heat source, is characterized in that an airflow can be circulated in the furnace, wherein the light metal components in the furnace can be heated by the airflow through convection and the light metal components can be transported through the furnace on a conveyor, wherein an entrance and/or an exit of the furnace is sealed by relatively movable barriers.
[0070] The relatively movable barriers are designed in particular as fast-opening and fast-closing barriers, wherein a relative movement of the barriers is preferably a translational movement. Consequently, a light metal component placed on the conveyor is transported toward the furnace, with the barrier opening just before the light metal component enters the furnace, whereafter the light metal component enters the furnace and the barrier closes again immediately after the light metal component has entered the furnace. With this embodiment, light metal components of different sizes can be transported through the furnace, regardless of their external dimensions.
[0071] The aforementioned features regarding the heat source, the blower and the adjustable temperatures and the mutually different temperature zones also apply to the third embodiment.
[0072] According to another advantageous feature of the present invention, a relatively movable barrier may be arranged between two different temperature zones. It is then conceivable within the context of the invention that three relatively movable barriers may be arranged at an entrance, in at least one transition between two different temperature zones and at an exit of the furnace according to the present invention, which briefly open and immediately close each time a light metal component passes. The barriers within the context of the present invention can be simultaneously controlled, wherein this embodiment is particularly advantageous for light metal components which are arranged on the conveyor at continuous intervals. All barriers then open simultaneously, so that in the embodiment with three barriers, three light metal components then enter a respective next space of the furnace, whereafter the barriers close again. This embodiment is advantageous, in particular, when the circulating airflow is turned off or decreased. Within the context of the invention, however, each barrier can also be operated individually, i.e. separately opened and closed. Separately opening and closing each barrier is particularly advantageous when light metal components are arranged discontinuously on the conveyor.
[0073] In the present invention, a relatively movable, in particular fast-opening barrier is advantageously formed as a sliding gate, wherein the barrier may be moved up or to one side in relation to the transport direction of the light metal components, wherein the barrier is moreover preferable constructed in two parts, so that each part of the barrier can be displaced to one side of the furnace. In particular, a long excursion when opening the barrier is eliminated with a two-part embodiment of the relatively movable barrier compared to a one-part barrier.
[0074] Even with aperture sizes of 1 m or more, by constructing the barrier in two parts, each barrier needs to be opened and then closed again in this case by only 0.5 m. This shortens the opening and closing times of the barrier especially with the two-part design.
[0075] Advantageously, an actuator is connected to the barrier for opening and closing the barrier wherein the actuator preferably performs a linear movement and can be driven pneumatically, hydraulically or electrically. An electromechanical actuator is also contemplated in the present invention. The actuator itself should be mechanically robust and have a simple design so as to be unaffected by thermal expansion caused by the thermal loads of the furnace, and an electronic control unit may optionally be arranged if possible in the marginal region or outside the furnace itself, so as to prevent defects due to the thermal loads.
[0076] According to another advantageous feature of the present invention, the furnace may be surrounded by a shell, wherein the barriers themselves are positioned in particular inside the shell or the barriers penetrate the shell and are movable in a slot extending through the shell for opening and closing. In the first embodiment, thermal energy is hindered from escaping through the slots for opening and closing the barrier in particular with barriers arranged in a transition region from one temperature zone into a second temperature zone located within the shell. However, this is only practical for smaller opening widths of the barriers in order to keep the outer dimensions of the shell also small. However, when an opening of the barrier of 1 m or more is necessary, it is advantageous within the context of the present invention, when the barriers can be moved through a respective slot of the shell. The barriers then leave at least partially the interior of the furnace upon opening and return into the furnace upon closing.
[0077] According to another advantageous feature of the present invention, heat loss through the slot may be reduced by providing thermal insulation measures in the slot region. For example, this may be a thermal seal. In another advantageous embodiment, the partition walls may themselves be coated and/or thermally insulated. In this way, the barrier itself can, on one hand, keep the heat input caused by the airflow flowing across the barrier small and, on the other hand, prevent the heat from exiting through the barrier by way of heat conduction at the entrance and/or exit, as well as prevent—by way of a thermally insulated barrier—heat transfer by thermal conduction from one temperature zone to the next temperature zone having a different temperature.
[0078] The invention also relates to a method for operating the furnace with relatively movable barriers, wherein a light metal component is placed on the conveyor and the light metal component is transported into the furnace, wherein the barrier is opened at the entrance of the furnace just before the light metal component enters the furnace and is closed again immediately after the lightweight metal component has entered the furnace and/or wherein the barrier at the exit of the furnace is opened just before the light metal component exits from the furnace and is closed again immediately after the light metal component has exited from the furnace.
[0079] Airflow recirculated within the furnace may advantageous be stopped or reduced when a barrier is opened, and may be restarted or increased after the barrier is closed. This ensures that the amount of heat escaping the furnace or the heat transfer between the mutually different temperature zones is reduced to a minimum when the barrier is opened or closed. The energy costs of operating the system are thereby reduced.
[0080] Moreover, within the context of the present invention two or more light metal components may pass the barrier when a barrier is opened, and when the barrier is closed again after the light metal components have passed the barrier. In this way, the furnace according to the invention and the method of operating the furnace can be flexibly used so that different production lines of metal components to be heated can be thermally treated with the furnace without long setup times. For example, light metal components having different external geometric dimensions, in the form of plates or even complex-shaped three-dimensional metal components may be simultaneously thermally treated in the same furnace without requiring a reconfiguration or modification of the furnace.
[0081] Within the context of the invention, the relatively movable barriers may advantageously be opened by a control system only as wide as necessary to create a sufficiently large unobstructed opening sufficiently for passage of the component according to its external geometric dimensions. The barrier(s) is/are then closed again after the component has passed. Thus, for example, an opening slightly larger than that 1 m 2 may be provided for a large plate of 1 m 2 . For a plate having an area of only ¼ m 2 , the barrier may be opened only so far as to provide an opening slightly larger than ¼ m 2 , so that the plate can pass through the opening, whereafter the barrier is again closed.
[0082] Within the context of the invention, a barrier that opens in three directions may be selected, wherein the barrier is formed by two barriers moving toward each side of the conveyor and a barrier that is movable vertically upward relative to the conveyor, so that the respective unobstructed areas can be individually adjusted. This minimizes the energy exiting via the slots when the components pass into the furnace.
[0083] According to another advantageous feature of the present invention, the light metal components may be arranged an angle to the transport direction, in particular at an angle between 30° and 90°, allowing many components are to be transported successively and continuously through the furnace, wherein the furnace has longitudinal outside dimensions of maximally several meters, instead of several dozen or even several hundred meters which would otherwise be required when plates are placed on the conveyor horizontally, i.e. plates or light metal components having a lengthwise extension in the transport direction. The airflow can then be circulated within the furnace according to the invention from the bottom to the top or from the top to the bottom and flows across the plates arranged on the conveyor at an angle to the transport direction and optionally across the partition walls arranged in between. In summary, a universally usable furnace having compact overall dimensions for the heat treatment of light metal components with various geometrical dimensions can hereby be provided.
BRIEF DESCRIPTION OF THE DRAWING
[0084] Other features and advantages of the present invention will be more readily apparent upon reading the following description of currently preferred exemplified embodiments of the invention with reference to the accompanying drawing, in which:
[0085] FIG. 1 shows the furnace according to the present invention in a side view;
[0086] FIG. 2 shows a shaped baffle according to the invention in a plan view;
[0087] FIG. 3 shows an end view of the entrance region of a furnace;
[0088] FIG. 4 shows an end view with different sized plates;
[0089] FIG. 5 shows a cross-sectional view through the furnace system with chain conveyor and heat source;
[0090] FIG. 6 shows a furnace according to the invention in a side view with revolving partition walls;
[0091] FIG. 7 shows a furnace according to the invention with revolving partition walls;
[0092] FIG. 8 shows a furnace according to the invention with relatively movable barriers;
[0093] FIG. 9 shows a furnace according to the invention in a plan view with relatively movable barriers, and
[0094] FIGS. 10 a and b shows relatively movable barriers in a furnace according to the invention.
DETAILED DESCRIPTION OF PREFERRED EMBODIMENTS
[0095] Throughout all the figures, same or corresponding elements may generally be indicated by same reference numerals. These depicted embodiments are to be understood as illustrative of the invention and not as limiting in any way. It should also be understood that the figures are not necessarily to scale and that the embodiments are sometimes illustrated by graphic symbols, phantom lines, diagrammatic representations and fragmentary views. In certain instances, details which are not necessary for an understanding of the present invention or which render other details difficult to perceive may have been omitted.
[0096] Turning now to the drawing, and in particular to FIG. 1 , there is shown a furnace 1 according to the invention for thermal treatment of light metal components 2 in the form of plates. Light metal components 2 are placed on a conveyor belt 3 and transported in the transport direction 4 into the furnace 1 . For this purpose, the furnace 1 has an entrance E, through which the light metal components 2 enter the furnace 1 . The same applies for the exit A, wherein the furnace 1 has an exit A.
[0097] Within the furnace 1 , the light metal component 2 first comes into contact with a drying zone T in which the light metal component 2 is dried to remove a possible lubricant. An airflow L circulates within the drying zone T, which flows around both a front side 5 and a back side 6 of the light metal component 2 . The light metal component 2 transitions from the drying zone T into a first temperature zone Z 1 , in which again an airflow L 1 flows around the front side 5 and the back side 6 of the light metal component 2 . The airflow L 1 flowing around the light metal component 2 in the first temperature zone Z 1 has hereby a flow velocity v 1 and a temperature T 1 , thus subjecting the light metal component 2 to a predetermined component temperature within the temperature zone Z 1 .
[0098] Subsequently, the light-metal component 2 enters a second temperature zone Z 2 , in which again an airflow L 2 flows across a front side 5 and a back side 6 , wherein the airflow L 2 of the second temperature zone Z 2 has a second flow velocity v 2 and a second temperature T 2 . In this way, a component temperature of the light metal component 2 is adjusted when passing through the second temperature zone T 2 .
[0099] After the second temperature zone T 2 , the light metal component 2 enters a cooling zone Z 3 , wherein in the cooling zone Z 3 an airflow L 3 again flows across the front side 5 and the rear side 6 of the light-metal component 2 , which has a third flow velocity v 3 and a third temperature T 3 , wherein in particular the temperature T 3 is lower than the temperature T 1 and T 2 , and the flow velocity v 3 is higher than the flow velocities v 1 and v 2 . The component is thereby cooled in the illustrated embodiment in the cooling zone Z 3 to a cooling temperature. The component then exits from the furnace 1 at an exit A and is removed, and then supplied as heat-treated component 7 to additional unillustrated treatment processes.
[0100] The individual air flows L can be produced with an unillustrated blower, and the flow speed v 1 , v 2 , v 3 can then be adapted to the respective zone by varying a cross-section or by using a valve. Within the context of the present invention, however, each zone may have a separate blower. The same applies to the temperature. The air may be heated by one or more heat sources, for example, a separate heat source may be associated with each temperature zone Z 1 , Z 2 .
[0101] In the embodiment shown in FIG. 1 , the light metal components 2 in the form of plates are arranged between insertion devices 8 so that they are transported through the furnace 1 in the transport direction 4 with an essentially vertical orientation. However, within the context of the invention, as shown in FIG. 2 , the plates may also be transported through the furnace substantially at an angle α. Shaped baffles 9 are arranged at both the entrance E and the exit A, as well as between the individual zones, wherein the shaped baffles 9 are illustrated in more detail in FIG. 3 .
[0102] FIG. 3 shows a shaped baffle 9 according to the invention in a plan view. The light metal component 2 passes the shaped baffle 9 in the transport direction 4 , i.e. towards the image plane, wherein a gap 12 remains between the outer edge 10 of the light metal component 2 and the opening 11 ; this gap 12 needs to be minimized, so as to minimize the airflow L that can escape through the gap 12 from the temperature zones Z 1 , Z 2 , or from the entrance A or exit E of the furnace 1 .
[0103] The light metal component 2 according to FIG. 3 has an asymmetric configuration; however, large and small rectangular plates can also be guided through the furnace 1 by exchanging the shaped baffles 9 . This is illustrated in FIG. 4 , in which a small light metal component 2 is captured by the shaped baffle 9 and, as indicated by the dotted line, a light metal component 2 with larger geometric dimensions can be transported through the furnace 1 by exchanging the shaped baffle 9 , wherein a small gap 12 remains between the light metal component 2 and the shaped baffle 9 .
[0104] Furthermore, FIG. 5 shows a cross-sectional view through the furnace 1 according to the invention, wherein the light metal component 2 is transported through the furnace 1 in the transport direction 4 , wherein the cross-sectional view shows a plan view on the shaped baffle 9 . An cross section through the temperature zone Z 1 is shown as an example. A blower 13 generating the air circulation within the temperature zone Z 1 is located in the lower part of the furnace 1 . The airflow L circulated by the blower 13 passes through a heat register 14 where it is heated and then flows across the light metal component 2 . The airflow L is collected in an upper region and return to the blower 13 . Also illustrated here are additional heating devices 15 , with which the airflow L can be additionally or exclusively heated, so that the heat source is located upstream, and not like the heat register 14 downstream of the blower 13 .
[0105] FIG. 6 shows a second embodiment of a furnace 1 according to the invention, wherein the furnace 1 has once more a conveyor 4 in the form of a conveyor belt 3 , which transports light metal components 2 in the form of plates 2 , 2 a , 2 b , 2 c in the transport direction 4 through the furnace 1 . For this purpose, the light metal components 2 are placed on the conveyor belt 3 and enter the furnace 1 through an entrance E in the transport direction 4 . Partition walls 16 are arranged on the conveyor belt 3 at regular intervals a, wherein two light metal components 2 are each arranged here between two respective partition walls 16 . The furnace 1 shown in FIG. 6 includes a drying zone T and a first temperature zone Z 1 and a second temperature zone Z 2 , wherein through each of the drying zone and the temperature zones Z 1 , Z 2 respectively, corresponding airflow L, L 1 , L 2 flows across the front side 5 and the back side 6 of the light metal components 2 .
[0106] A significant advantage of the present second embodiment according to FIG. 6 is that even light metal components 2 having geometries different from the plates 2 , 2 a , 2 b , 2 c can be transported through the furnace 1 . For example, plates 2 a longer than the light metal components 2 can be transported through the furnace 1 . Moreover, corrugated or grooved plates 2 b as well as three-dimensionally shaped components 2 c can be transported through the furnace. The partition walls 16 each provide a seal at an entrance E and exit A, as well as between the temperature zones T, Z 1 , Z 2 .
[0107] FIG. 7 shows a similar embodiment as FIG. 6 , wherein only one light metal component 2 , 2 b , 2 c is located here between the partition walls 16 . Within the context of the invention, the distances a, a 1 , a 2 between the individual partition walls 16 may be varied, with a≠a 1 ≠a 2 . The partition walls 16 shown in FIG. 6 and FIG. 7 can preferably be placed on the conveyor belt 3 before the entrance E into the furnace 1 and removed from the conveyor belt 3 after the exit A of the furnace 1 . The return 17 of the conveyor belt 3 then needs to have only a small installation height h.
[0108] FIG. 8 shows a third embodiment of the furnace 1 according to the invention, wherein relatively movable barrier 18 are placed at the entrance E and at the exit A and also at the transitions Ü between the individual temperature zones T, Z 1 , Z 2 . The barriers 18 can then perform a relative movement R in order to enable the light metal components 2 positioned on the conveyor belt 3 to be transported in a transport direction 4 . The relatively movable barriers 18 of the present invention also allow thermal treatment of components or plates 2 , 2 a , 2 b having different lengths, for example longer plates 2 a as well as corrugated components 2 b , in a the same furnace 1 .
[0109] In the embodiment shown in FIG. 8 , the plates 2 a , 2 b are disposed on respective insertion devices 8 substantially at a 90° angle relative to the transport direction 4 on the conveyor belt 3 . However, the plates 2 a , 2 b , may also be arranged at an angle α on the conveyor belt 3 , as shown in FIG. 2 , 6 or 7 . For this purpose, unillustrated insertion devices 8 or any other positioning means for insertion on the conveyor belt 3 , for example a chain conveyor, are arranged on the conveyor belt 3 or on the components or plates themselves. The respective relatively movable barriers 18 are, as shown in FIG. 8 , constructed for upward or relative movement with respect to the transport direction 4 and the furnace 1 .
[0110] FIG. 9 shows another embodiment of relatively movable barriers 19 a , 19 b , wherein the barriers 19 a , 19 b are here constructed in two parts and also arranged relatively movable relative in the furnace 1 . The two-part barrier 19 a , 19 b thereby performs with one part 19 a a relative movement R to one side and with the second part 19 b a relative movement R to the opposite side. The view shown in FIG. 9 on an inventive furnace 1 from above thus allows the light metal components 2 to pass in the transport direction 4 by opening the barriers 19 a , 19 b . The furnace 1 has here also two different temperature zones Z 1 , Z 2 , wherein an unillustrated airflow can be circulated in each of the zones Z 1 , Z 2 and the light metal components 2 transported through the furnace 1 can be thermally treated by convection. Furthermore, the furnace 1 shown in FIG. 9 includes a shell 20 surrounding the entire furnace 1 , wherein the barriers 19 a , 19 b are relatively movable inside the shell 20 . The end face of the split barrier 19 a , 19 b is shown in the detailed view of FIG. 9 , wherein different types of sealing labyrinths 21 can be formed which prevent the circulated airflow L 1 , L 2 , L 3 and/or the heat from crossing over between the two different temperature zones Z 1 , Z 2 , Z 3 or prevent heat from escaping from the entrance E or exit A. For example, the labyrinth seals may have a U-shaped or C-shaped cross-section.
[0111] FIGS. 10 a and 10 b show another embodiment of the relatively movable barriers 18 , wherein the barriers 18 perform hereby the relative movement R by way of a slot 22 disposed in the shell 20 . FIG. 10 b shows the barrier 18 coupled with an actuator 23 which performs the relative movement R as a linear movement, wherein only a single coupling rod 24 is guided through the slot 22 in the shell 20 , thereby preventing possible leakage of airflow L 1 , L 2 , L 3 and/or heat from the interior of the furnace space.
[0112] While the invention has been illustrated and described in connection with currently preferred embodiments shown and described in detail, it is not intended to be limited to the details shown since various modifications and structural changes may be made without departing in any way from the spirit and scope of the present invention. The embodiments were chosen and described in order to explain the principles of the invention and practical application to thereby enable a person skilled in the art to best utilize the invention and various embodiments with various modifications as are suited to the particular use contemplated. | Light metal components and/or plates are transported through a furnace in a clocked or continuous transport process and heated and optionally cooled inside the furnace by an air or gas flow. For this purpose, a continuous air-/gas circulation is generated, wherein circulating air-/gas flow flows across the light metal components and/or plates, heating and cooling them as necessary. The light metal components and/or plates entering into or exiting from the furnace perform a sealing function and prevent the air-/gas flow circulating in the furnace from escaping from the furnace. | 61,450 |
This application is a continuation of U.S. application Ser. No. 12/184,974, filed Aug. 1, 2008, which is a continuation of U.S. application Ser. No. 10/498,598, filed Dec. 12, 2002, now U.S. Pat. No. 7,419,596, which is a 35 U.S.C. §371 National Phase of International Appl. No. PCT/US2002/039930, filed Dec. 12, 2002, which claims benefit under 35 U.S.C. §119(e) to U.S. Appl. No. 60/341,180, filed Dec. 12, 2001.
FIELD OF THE INVENTION
The present invention is directed to the extraction and purification of lipids, and in particular, lipids containing long chain polyunsaturated fatty acids (LCPUFAs). In particular, processes are provided for obtaining high concentrations of desired LCPUFAs and low concentrations of undesired compounds such as trisaturated glycerides.
BACKGROUND OF THE INVENTION
In general, winterization is the name given to the process of removing sediment that appears in vegetable oils at low temperature. It originated from the early practice of allowing cottonseed oil to remain in outdoor storage during the cool winter months and filtering off the sediment-free oil. Dry fractional crystallization is a process wherein triglycerides with the highest melting temperature preferentially crystallize during cooling from a neat liquid (e.g., liquid lipid). After crystallization is complete, the solid phase is separated from the liquid phase by one of several types of physical processes. Alternatively, solvent crystallization is used to promote triglyceride crystal formation, because triglycerides at low temperature generally form more stable crystals with solvent than without solvent.
Docosahexaenoic acid (DHA)-rich lipid was extracted using conventional techniques and solvents (e.g., hexane) from Schizochytrium sp. biomass produced by fermentation, and the resulting extracted lipid was winterized by chilling it to −2 to 2° C. followed by centrifugation. The lipid was then refined, bleached and deodorized, and put into gelatin capsules for sale as nutritional supplements. A problem arose with this product in that a haze would form in the product over time.
In one process for recovering lipids from biomass, as illustrated in FIG. 1 , dried microalgae are suspended in commercial-grade n-hexane and wet milled. Hexane primarily extracts triglycerides, diglycerides, monoglycerides and esterified sterols, although other components of the total lipid fraction, such as phospholipids, free sterols and carotenoids, can also be extracted to a lesser degree. Centrifugation is employed to separate spent biomass from a lipid-rich miscella. The resultant mixture of lipid and solvent is referred to as miscella. The lipid content of the clarified miscella is adjusted to about 45 wt % using n-hexane. The miscella is winterized, in particular, the miscella is chilled to approximately −1° C., and held for 8 to 12 hours, to crystallize any saturated fats, or high melting point components. The miscella is then filtered to remove the crystallized stearine phase. Hexane is removed from the miscella, leaving behind the winterized lipid.
As illustrated in FIG. 2 , the winterized lipid is heated and treated with citric acid or phosphoric acid to hydrate any phosphatides present in the lipid. Sodium hydroxide is added to neutralize any free fatty acids present. The resulting gums (hydrated phosphatides) and soapstock (neutralized fatty acids) are removed using a centrifuge. The lipid is mixed with water and re-centrifuged to remove any residual gum/soapstock. This step can be carried out with the first centrifugation. The refined lipid is bleached with silica and bleaching clay following pre-treatment with citric acid, to remove peroxides, color compounds, and traces of soapstock, phospholipids and metals. Filter aid is added at the end of the cycle to facilitate removal of the spent bleaching compounds from the lipid via filtration.
An additional step can be performed, where the bleached lipid is chilled to from about 5° C. to about 15° C. and held for about 6 to about 8 hours to crystallize any remaining stearines or waxes, if it is apparent that a sediment layer will form upon standing. Filter aid can be used to facilitate removal of the crystals via filtration, if this step is performed.
A deodorizer, operated at elevated temperatures under high vacuum, is used to destroy peroxides, which if left intact could later decompose and initiate free radical reactions. This step also removes any remaining low molecular weight compounds that can cause off-odors and flavors. Contact times in the deodorizer are minimized to prevent the formation of trans-fatty acids. Safe and suitable food approved antioxidants are added. The stabilized lipid is packaged in a phenolic-lined metal container under a nitrogen atmosphere to prevent oxidation.
The haze that formed in the lipid-filled gelatin capsules was analyzed and found to be composed of crystals of triglycerides containing myristic (14:0) and palmitic (16:0) fatty acids, a trisaturated fatty acid glyceride. These crystals had a melting point of about 50-55° C. The trisaturated glycerides comprised 6-8% of the crude extracted lipid. The above-described winterization process lowered the concentration of these trisaturated glycerides to <1%; however, not low enough to completely eliminate haze formation in the lipid. Additionally, about 30% of the lipids, and a corresponding 30% of the DHA, is removed in this traditional hexane (55% hexane and 45% crude oil) winterization process. Another problem was that when the temperature was lowered to crystallize the remaining <1% of the trisaturated triglycerides, more of the desired LCPUFA, e.g., disaturated triglycerides containing one DHA molecule, would also crystallize out. This would cause significant losses of the target product, DHA. Losses could be an additional 8-10% of the lipids. So by trying to solve one problem, another was created. It would be desirable to have a process by which the LCPUFA level could be maintained at a desirably high level and the haze could be reduced or eliminated.
SUMMARY
The present invention includes a process for purifying a lipid composition having predominantly neutral lipid components wherein the composition contains at least one long chain polyunsaturated fatty acid (LCPUFA) and at least one other compound. The process includes contacting the lipid composition with a polar solvent and the solvent is selected such that the other compound is less soluble in the solvent than is the LCPUFA. For example, the polar solvent can be selected from acetone, isopropyl alcohol, methanol, ethanol, ethyl acetate and mixtures thereof. The process further includes maintaining the lipid composition at a temperature range effective to precipitate at least a portion of the other compound. For example, the temperature range can be from about −20° C. to about 50° C., from about −5° C. to about 20° C., from about −5° C. to about 5° C. or about 0° C. The process then includes removing at least a portion of the other compound from the lipid composition to form a lipid product. The process can be specifically for the reduction of the formation of haze in a lipid composition in which the compound being removed is a haze-forming compound.
In various embodiments, the lipid composition can include at least 50% or 85% neutral lipid, or at least 50% triglyceride. The concentration of LCPUFA, on a weight percentage basis, can be greater after the process than before, and the concentration of the other compound, on a weight percentage basis, can be less after the process than before. For example, the total concentration of any phosphorus-containing compounds present in the lipid, on a weight percentage basis, is less after the process than before. The process of the present invention can result in an acceptable product with less downstream processing required, such as with reduced degumming or no degumming required.
The LCPUFA can be arachidonic acid (ARA), omega-6 docosapentaenoic acid (DPA(n-6)), omega-3 docosapentaenoic acid (DPA(n-3)), eicosapentaenoic acid (EPA) and/or docosahexaenoic acid (DHA). The other compound can be trisaturated glycerides, phosphorus-containing materials, wax esters, saturated fatty acid containing sterol esters, sterols, squalene, and/or hydrocarbons. Alternatively, the other compound can be trisaturated glycerides, phosphatides and wax esters. Alternatively, the other compound can be trisaturated glycerides of lauric (C12:0), myristic (C14:0), palmitic (C16:0) and stearic (C18:0) fatty acids and/or mixtures thereof. In a particular embodiment, the lipid composition initially comprises at least one LCPUFA and at least one trisaturated glyceride. The LCPUFA can be obtained from a LCPUFA-containing biomaterial selected from LCPUFA-containing microbial biomass and oilseeds from plants that have been genetically modified to produce LCPUFA-containing lipid. Also, the LCPUFA can be obtained from plants that have been modified with LCPUFA-producing genes from microbes. In another embodiment, the LCPUFA can be obtained from a source selected from the group consisting of thraustochytrid biomass, dinoflagellate biomass, Mortierella biomass, and oilseeds from genetically modified plants containing genes from thraustochytrids, dinoflagellates or Mortierella . In a further embodiment, the LCPUFA is obtained from the group comprising Schizochytrium, Thraustochytrium or Crypthecodinium cohnii biomass or oilseeds from genetically modified plants containing genes from Schizochytrium or Thraustochytrium.
In various embodiments of the invention, the solvent:lipid composition ratio is from about 1:10 to about 20:1, from about 1:8 to about 10:1, from about 1:5 to about 5:1, from about 1:2 to about 2.5:1, or about 1:1. In other embodiments, the time of contact between the solvent and the lipid composition is from about 0.5 to about 12 hours, from about 2 to about 6 hours, or about 4 hours.
In another embodiment of the invention, lipid is extracted using the polar solvent at low temperatures such that triglyceride molecules containing the LCPUFA are selectively extracted and other compounds that are not soluble in the polar solvent are not extracted. In a further embodiment, the lipid composition is extracted from a biomass and cellular debris and precipitated other compounds are separated from a miscella comprising the LCPUFA and the polar solvent.
A further embodiment of the invention includes employing the polar solvent to recover lipid in an extraction process conducted at temperatures that solubilize substantially all triglyceride components; forming a miscella comprising a mixture of the lipid composition and the polar solvent; cooling the miscella to selectively precipitate the undesired compounds; and separating the precipitated other compounds from the miscella. In this embodiment, the lipid composition can be extracted from biomass and cellular debris and precipitated other compounds are separated from a miscella comprising the LCPUFA and the polar solvent.
Another embodiment of the invention includes employing the polar solvent to recover lipid from a biomass in an extraction process conducted at temperatures that solubilize substantially all triglyceride components, forming a miscella comprising a mixture of the lipid composition, the polar solvent and cellular debris. The process further includes separating the cellular debris from the miscella and cooling the miscella to selectively precipitate the undesired compounds. Finally, the precipitated other compounds are separated from the miscella.
A further embodiment of the invention includes employing a nonpolar solvent to recover lipid in an extraction process conducted at temperatures that solubilize substantially all triglyceride components, forming a miscella comprising a mixture of the lipid composition and the nonpolar solvent. The process further includes removing most of the nonpolar solvent from the miscella, adding a polar solvent to the miscella, and cooling the miscella to selectively precipitate the undesired compounds. Finally, the precipitated other compounds are separated from the miscella. A still further embodiment of the invention includes employing a nonpolar solvent to recover lipid in an extraction process conducted at temperatures that solubilize substantially all triglyceride components, forming a miscella comprising a mixture of the lipid composition and the nonpolar solvent and winterizing the miscella. Most of the nonpolar solvent is removed from the miscella, and a polar solvent is added to it. The miscella is cooled to selectively precipitate the undesired compounds which are separated from the miscella. When the nonpolar solvent is removed from the miscella, the residual nonpolar solvent after removal is from about 0 to about 4 weight percent or from about 1 to about 4 weight percent.
In the various embodiments of the invention using a nonpolar solvent, the nonpolar solvent can be hexane. In various embodiments of the invention employing a separating or removing step for the precipitated other compound, the step can be a liquid/solid separation technique, such as centrifugation, filtering or combinations thereof.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a flow diagram of a prior extraction process.
FIG. 2 is a flow diagram of a prior refining, bleaching and deodorizing process.
FIG. 3 is a flow diagram of a DHA-rich lipid extraction process of the present invention using acetone in one step.
FIG. 4 is a flow diagram of a DHA-rich lipid extraction process of the present invention using acetone in two steps.
FIG. 5 is a flow diagram of a DHA-rich lipid hexane extraction process and acetone winterization process of the present invention.
DESCRIPTION OF THE INVENTION
In accordance with the present invention, processes are provided for preferentially reducing the level of undesired components in a lipid, while maintaining high levels of desired LCPUFAs. As used herein, LCPUFAs are fatty acids with 20 or more carbon atoms and two (preferably three) or more double bonds. The LCPUFAs can be in a variety of forms, such as phospholipids, free fatty acids and esters of fatty acids, including triglycerides of fatty acids. It will be appreciated that when referring to the desired LCPUFA, what is meant is the LCPUFA in the form that exists in the lipid, most typically a triglyceride, and to a lesser extent mono- and diglycerides. Preferably, the concentration of the desired LCPUFA, as measured on a weight percent basis, is higher in the resulting lipid product than it is in the starting lipid composition. The undesired components are preferably trisaturated glycerides, such as trisaturated glycerides of lauric (C12:0), myristic (C14:0), palmitic (C16:0) and stearic (C18:0) fatty acids and mixtures thereof. Examples of other undesired components, in addition to trisaturated glycerides, include phosphorus-containing compounds (e.g., phosphatides or phospholipids), wax esters, saturated fatty acid containing sterol esters, sterols, squalene, hydrocarbons and the like. Preferably, two or more of the undesired compounds are reduced in the resulting product as compared to the starting lipid, as measured on a weight percent basis. As used herein, amounts will generally be on a weight percent basis, unless indicated otherwise.
In a preferred embodiment of the present invention the resulting product is subject to less haze or cloudiness when compared to the starting lipid. As a result of the process of the present invention, subsequent processing steps such as refining, can be reduced or eliminated. For example, subsequent processing steps such as bleaching and/or deodorizing can help reduce or eliminate the refining (or degumming) step. An example of the refining, bleaching and deodorizing process is set forth in comparative Example 2. If the refining process is not eliminated, it can be reduced by reducing the amount of caustic employed. While not wishing to bound by any theory, it is believed that a primary cause of haze or cloudiness results from trisaturated triglycerides. It does not appear to be as important to reduce the mono- and di-substituted triglycerides.
As used herein the term “lipids” will refer generally to a variety of lipids, such as phospholipids; free fatty acids; esters of fatty acids, including triglycerides of fatty acids; sterols; pigments (e.g., carotenoids and oxycarotenoids) and other lipids, and lipid associated compounds such as phytosterols, ergothionine, lipoic acid and antioxidants including beta-carotene, tocotrienols, and tocopherol. Preferred lipids and lipid associated compounds include, but are not limited to, cholesterol, phytosterols, desmosterol, tocotrienols, tocopherols, ubiquinones, carotenoids and xanthophylls such as beta-carotene, lutein, lycopene, astaxanthin, zeaxanthin, canthaxanthin, and fatty acids such as conjugated linoleic acids, and omega-3 and omega-6 highly unsaturated fatty acids such as eicosapentaenoic acid, docosapentaenoic acid, and docosahexaenoic acid, arachidonic acid, stearidonic acid, dihomogammalinolenic acid and gamma-linolenic acid or mixtures thereof. For the sake of brevity, unless otherwise stated, the term “lipid” refers to lipid and/or lipid-associated compounds.
The undesirable components share the common characteristic of being relatively insoluble in cold acetone or in an analogous polar solvent. On the other hand, desired LCPUFAs, such as arachidonic acid (ARA), omega-6 docosapentaenoic acid (DPA(n-6)), omega-3 docosapentaenoic acid (DPA(n-3)), eicosapentaenoic acid (EPA) or docosahexaenoic acid (DHA), are soluble in cold acetone or in an analogous solvent. The key characteristic of the solvent, whether it is acetone or an analogous polar solvent, is that the desirable LCPUFAs are soluble in the solvent at the desired temperatures, and the undesirable compounds are not soluble in the solvent at the same temperatures. A useful guide is to select solvents that have dielectric constants close to those of acetone or ethyl acetate. Preferred solvents for use in connection with the present invention include acetone and analogous polar solvents such as isopropyl alcohol, methanol, ethanol, ethyl acetate or mixtures of these solvents. The solvents are all polar, and the LCPUFAs, with their double bonds and long carbon chains, are also polar and therefore soluble in the polar solvents. However, if the solvents are too polar, the LCPUFAs may not dissolve. The solvent is also preferably useful in food applications.
It was unexpectedly found that acetone can be used to selectively precipitate the trisaturated glycerides from the crude lipid. When an unwinterized lot of DHA-rich lipid from Schizochytrium sp. was treated with 5 volumes of acetone and chilled, essentially all of the trisaturated glycerides were removed by crystallization followed by centrifugation. This process removed little or none of the DHA-containing triglycerides. The resulting winterized lipid contained 41% DHA as compared to 37% by the standard winterization process.
There are ways to further utilize this discovery by combining acetone or analogous solvent extraction with “in-situ” winterization concepts to better improve the recovery efficiency of long chain polyunsaturated fatty acid containing triglycerides at the expense of trisaturated glycerides or from triglycerides containing two saturated fatty acids and one mono-unsaturated fatty acid. One advantage of the process of the present invention is that less of the desired LCPUFAs are lost. For example, in prior processes about 30% of the extracted lipid, which contained the desired LCPUFAs, was lost during winterization. In contrast, the embodiment of the process of the present invention (i.e., hexane extraction followed by acetone winterization) that is most directly comparable to the prior process results in the loss of only about 7% to about 10% of the starting extracted lipid as a result of the acetone winterization. As a result, in this embodiment of the present invention, about 40% or more reduction in yield loss is realized. This is a significant improvement over the prior process (hexane extraction and winterization plus full refining, bleaching and deodorizing (RBD)). The largest loss of both DHA and lipid is incurred in the winterization step of the prior process.
First, in a preferred process, lipid is extracted using acetone or analogous polar solvent (instead of hexane) at low temperatures such that triglyceride molecules containing LCPUFA are selectively extracted from Schizochytrium sp. biomass. A flow diagram of such a process is illustrated in FIG. 3 . Due to the selectivity of acetone at low temperature (trisaturated glycerides are not soluble in cold acetone, while LCPUFA-containing triglycerides are soluble in cold acetone), it is feasible to selectively remove the LCPUFA-containing triglyceride from biomass and thus eliminate the need for a separate winterization step. The solvent extraction can be conducted in any suitable manner. For example, the dry biomass can be subjected to mechanical (e.g., in a mill or homogenizer) or chemical (e.g., using an acid, enzyme or base) lysing in the presence of a cold solvent. The cellular debris and precipitated trisaturated glycerides are separated from the miscella in one step. Post processing steps, such as purification by refining, bleaching and deodorizing, can be performed, if desired.
A second option is to utilize acetone or analogous polar solvent to quantitatively recover lipid from biomass in a conventional extraction process (including any type of solvent grinding technique). This extraction is conducted at temperatures that solubilize all triglyceride components. Prior to removing cellular debris from the miscella (lipid containing triglycerides in solvent), the miscella is chilled to selectively remove the trisaturated glycerides. The chilled miscella is then centrifuged, filtered, or separated using other techniques to remove both the cellular debris and trisaturated glyceride component. This option combines the concept of extraction and winterization into one step.
A third option is to utilize acetone or analogous polar solvent to quantitatively recover lipid from biomass in a conventional extraction process (including any type of solvent grinding technique). This extraction is conducted at temperatures that solubilize all triglyceride components. The cellular debris from the miscella (lipid containing triglycerides in solvent) is removed using conventional separation techniques. The miscella is then chilled to crystallize the trisaturated glycerides, which are removed by centrifugation, filtration, or separation using other techniques. This option utilizes extraction and winterization in two stages; however, acetone or an analogous polar solvent is utilized to accomplish both tasks. A flow diagram illustrating such a process is shown in FIG. 4 .
A fourth option is to utilize a nonpolar solvent such as hexane (e.g., n-hexane, isohexane or a combination thereof) as an extraction solvent and utilize acetone as a winterization solvent. Preferably, at least 95%, more preferably at least 96%, more preferably at least 97%, more preferably at least 98% and more preferably at least 99% of the nonpolar solvent is removed prior to winterization. The winterization step can be employed at any stage prior to deodorization. A flow diagram illustrating such a process is shown in FIG. 5 .
A fifth option is to utilize conventional hexane extraction and hexane-based winterization to remove the majority of the trisaturated glyceride component and employ a “polishing” step prior to deodorization to remove the small amounts of trisaturated glycerides contributing to the haze formation in the lipid. The polishing step employs acetone and/or an analogous solvent. This option removes the problems caused by haze, but the lipid level is also reduced.
Preferably, the lipid composition initially comprises at least one LCPUFA and at least one trisaturated glyceride. Preferably, the other or undesired compound results in the formation of haze when present in the initial concentration in the initial lipid composition. Preferably, the LCPUFA-containing biomaterial for lipid extraction is selected from the group including: LCPUFA-containing microbial biomass or oilseeds from plants that have been genetically modified to produce LCPUFA containing lipids, particularly plants that have been modified with the LCPUFA-producing genes from microbes (algae, fungi, protists, or bacteria). More preferably, the LCPUFA-containing biomaterial for lipid extraction is selected from the group including thraustochytrid biomass, dinoflagellate biomass and/or Mortierella biomass, and/or oilseeds from genetically modified plants containing genes from thraustochytrids, dinoflagellate and/or Mortierella . More preferably, the LCPUFA-containing biomaterial for lipid extraction is selected from the group including Schizochytrium, Thraustochytrium and/or Crypthecodinium (preferably, Crypthecodinium cohnii ) biomass or oilseeds from genetically modified plants containing genes from Schizochytrium or Thraustochytrium and/or Crypthecodinium (preferably, Crypthecodinium cohnii ).
Preferably, the initial lipid composition is predominantly made up of neutral lipids. Preferably, the initial lipid composition comprises at least 50% neutral lipids, preferably, at least 60% neutral lipids, preferably, at least 75% neutral lipids, preferably at least 85% neutral lipids and preferably at least 90% neutral lipids. Preferably, the neutral lipid predominantly comprises triglyceride. Preferably, the initial lipid composition comprises at least 50% triglyceride, preferably, at least 60% triglyceride, preferably, at least 75% triglyceride and preferably at least 85% triglyceride. The foregoing percentages in this paragraph refer to weight percentages. Preferably, the concentration of the desired LCPUFA is greater in the resulting product than in the initial lipid composition.
Preferred polar solvent:lipid ratios, based on weight, for the extraction or winterization process are from about 1:10 to about 20:1; more preferably from about 1:8 to about 10:1, preferably from about 1:5 to about 5:1, and preferably from about 1:2 to about 2.5:1. Preferably the contact time between the polar solvent and lipid is from about 0.5 to about 12 hours, preferably from about 2 to about 6 hours, and preferably about 4 hours. Preferably, if a nonpolar lipid is used, the residual nonpolar lipid is from about 0 to about 4 weight percent, and preferably from about 1 to about 4 weight percent.
Preferably the temperature for the: (i) cold extraction process, (ii) extraction followed by chilling and filtration/centrifugation, (iii) extraction, filtration/centrifugation of cellular debris, followed by chilling and filtration/centrifugation; and (iv) chilling conditions for solvent winterization or polishing steps is from the solidification point of the lipid to the melting point of the undesirable component (e.g. trisaturated glycerides), more preferably from about −20° C. to about 50° C., more preferably from about −5° C. to about 20° C., more preferably from about −5° C. to about 5° C., more preferably about 0° C.
Other preferred attributes of the process include the selective recovery of only LCPUFA-containing triglycerides at the expense of trisaturated glycerides and other components that are relatively insoluble in cold acetone including phosphatides, wax esters, saturated fatty acid containing sterol esters, sterols, squalene, hydrocarbons and the like. By selectively recovering only the LCPUFA-containing triglyceride at the expense of these undesirable components allow the possibility of eliminating or reducing additional downstream purification steps (such as winterization, refining, and bleaching).
EXAMPLE 1
Summary
A sample of DHA-rich lipid obtained from Schizochytrium (Sample 1, unwinterized lipid, a.k.a. “high melt”) and an isolated sediment from another DHA-rich lipid obtained from Schizochytrium (Sample 2) were analyzed to determine the nature of the solid phase (Sample 1) and the floc/sediment (Sample 2).
Unwinterized lipid Sample 1 produced at plant scale (a semi-solid at ambient temperature) was dissolved in 4 volumes of cold acetone and mixed. A solid white powder (approximately 7% by weight) was isolated by filtration through a glass fiber filter. The solid white powder had a melting temperature of 52.4-53.5° C., was shown to be triglycerides (based on a single spot by thin layer chromatography (TLC)), and contained predominantly myristic (26%) and palmitic acids (66%) when analyzed by GLC. This high melting triglyceride fraction contains saturated fatty acids with very little DHA/DPA. The isolated lipid fraction (91% by weight) was an orange-colored liquid at room temperature and contained 41.0% DHA and 16.0% DPA. DHA and DPA were enriched by approximately 8% compared to the starting fatty acid profile of Sample 1—this is a true “purification” of DHA and DPA.
Another DHA-rich reprocessed lipid from Schizochytrium contained an obvious floc-like material (haze) when stored for a period of days at ambient temperature. The floc was isolated by centrifugation. The floc/sediment (“Sample 2 sediment”) was dissolved in 10 volumes of cold acetone, mixed and filtered. Approximately 15% by weight of a solid white powder was isolated by filtration through a glass fiber filter. The solid white powder had a melting temperature of 50.1-51.4° C. and was shown to be triglycerides (based on single spot by TLC) containing predominantly myristic (29%) and palmitic acids (59%). This is a high melting triglyceride fraction containing saturated fatty acids with little DHA/DPA. The isolated lipid fraction (85% by weight) was a clear, orange-colored liquid at room temperature and contained 41.1% DHA and 16.3% DPA. The floc formation in reprocessed lipid from Schizochytrium is believed to result from a high melting triglyceride, containing myristic and palmitic fatty acids, which crystallizes from lipid upon standing.
Experimental
General—A sample of DHA-rich lipid from Sample 1 (250 g bottle) was pulled from frozen storage. This is a sample of unwinterized lipid. The sample was allowed to warm to ambient temperature and used as is.
Sediment (Sample 2) was isolated from DHA-rich lipid using a lab centrifuge. The DHA-rich lipid was a reprocessed lot of lipid that contained a visible floc when left to stand at ambient temperature. The floc was isolated by centrifuging the sample and decanting the liquid fraction from the sediment. The liquid fraction remained clear at ambient temperature; therefore the floc was believed to be present in the isolated sediment.
Acetone Winterization—Unwinterized lipid (Sample 1) and sediment isolated from reprocessed lipid (Sample 2) were fractionated using an acetone winterization procedure. The sediment and unwinterized sample were dissolved in excess cold acetone (ice/water bath temperature) and mixed to dissolve and suspend lipid components. The solution/suspension was immediately filtered through a glass fiber filter under vacuum. The filter paper and the contents remaining on the paper were washed with small amounts of cold acetone. The contents of the filter paper were air dried and weighed. The lipid/acetone fraction was concentrated under vacuum to afford neat lipid and weighed.
TLC—TLC was performed to determine lipid class composition using silica gel 60 plates. The developing solvent system consisted of a 90:10:1 mixture of petroleum ether:ethyl ether: acetic acid. The R f of the spots were compared to those listed in “Techniques in Lipidology” by Morris Kates.
Melting point determination—Melting points were determined using a lab constructed melting point apparatus.
Infrared spectrometry—Infrared spectra were obtained using a Perkin Elmer 283B Infrared Spectrometer. Liquid fractions were analyzed neat. Solid fractions from acetone winterization were analyzed in chloroform.
Fatty Acid Methyl Esters (FAMEs)—Aliquots of DHA-rich lipid Sample 1, Sample 2 (reprocessed) along with acetone winterization fractions were transesterified using anhydrous HCl in methanol following procedures for determining the free fatty acid profile, from C12 to C22:6. All FAME preparation and GLC work were completed. FAME's were identified and quantified using NuChek Prep analytical reference standard 502 using an internal standard (C19:0) to determine empirical response factors.
Gas-liquid chromatography—Gas-liquid chromatography of methyl esters was performed using a Hewlett-Packard Model 6890 Series II gas-liquid chromatograph equipped with a Hewlett-Packard autosampler, ChemStation software, a 30 m×0.32 mm SP-2380 capillary column (Supelco), and a flame-ionization detector. The oven temperature was held at 120° C. for 3 min, programmed to 190° C. at 5° C./min, held at 190° C. for 1 min, programmed to 260° C. at 20° C./min, and then held for 3 minutes at 260° C. The injector temperature was set at 295° C. and the detector temperature was set at 280° C. Helium was used as a carrier gas and a split injection technique was employed.
Results
DHA-Rich Lipid Sample 1
A sample of unwinterized DHA-rich lipid (250 g bottle) was pulled from frozen storage, Sample 1. This sample remained semi-solid at ambient temperature and can be technically referred to as a “fat”, not an “oil”. An aliquot (14.44 g) of the fat was transferred to an Erlenmeyer flask and 60 ml of cold acetone (ice/water bath) was added. The flask was swirled to dissolve/suspend the fat components and immediately filtered through a glass fiber filter under vacuum. A solid white fraction remained on the filter paper and was washed with a few milliliters of cold acetone and dried. The solid white fraction was isolated in a 6.3% yield (0.91 g starting from 14.44 g fat).
The lipid/acetone fraction resulting from filtration was concentrated by rotary evaporation to afford 13.13 g of an orange-colored liquid material (liquid at ambient temperature). This resulted in a 91% overall recovery; therefore approximately 2% of material was lost at bench scale.
The solid white fraction and the lipid fraction isolated after “acetone winterization” were analyzed by TLC to determine lipid composition. The solid white fraction was shown to be triglycerides based on TLC (one spot with an R f corresponding to a triglyceride was observed). Many spots were observed by TLC upon spotting and developing the lipid fraction. The R f of the spots was consistent with lipid components comprising squalene, steryl esters, triglycerides, and sterols (all tentative assignments). No further analysis of lipid class composition was performed.
The solid white fraction isolated after acetone winterization had a melting point range of 52.4-53.5° C.
The solid and liquid fraction isolated after acetone winterization were transesterified to methyl esters and the methyl esters were analyzed by gas-liquid chromatography. The complete profile of FAME's for both the solid and liquid fraction isolated by acetone winterization along with unwinterized DHA-rich fat (Sample 1) is shown in Table 1. As is evident, the solid fraction contained very little DHA (2.4%) and DPA (0.9%) with methyl myristate (26%) and methyl palmitate (66%) as the predominant fatty acids. The liquid fraction isolated after acetone winterization contained myristate (8.3%), palmitate (23.1%), DPA (16.0%), DHA (41.0%) along with other minor fatty acids. When this profile is compared to that of the starting unwinterized lipid, an enrichment of the DHA of approximately 8% is seen, consistent with the removal of the predominantly trisaturated glyceride component. This represents a purification step.
DHA-Rich Lipid Sediment (Sample 2)
The sediment that was produced from re-refined lipid was completely miscible in hexane and not miscible in methanol. When small quantities of acetone were added to the sediment, a white precipitate formed which separated from the liquid, yellow-colored lipid/acetone phase. Based on these dissolution tests, acetone fractionation was used to isolate the white powder.
An aliquot (1.11 g) of sediment was transferred to an Erlenmeyer flask and 10 ml of cold acetone (ice/water bath) was added. The flask was swirled to dissolve/suspend the fat components and immediately filtered through a glass fiber filter under vacuum. A solid white fraction remained on the filter paper and was washed with a few milliliters of cold acetone and dried. The solid white fraction was isolated in a 15% yield (0.17 g starting from 1.11 g sediment).
The lipid/acetone fraction resulting from filtration was concentrated by rotary evaporation to afford 0.94 g of an orange-colored liquid material (liquid at ambient temperature). This resulted in an 85% overall recovery.
The solid white fraction and the lipid fraction isolated after acetone fractionation were analyzed by TLC to determine lipid composition. The solid white fraction was shown to be triglycerides based on TLC (one spot with an R f corresponding to a triglyceride was observed). Many spots were observed by TLC upon spotting and developing the lipid fraction. The R f of the spots was consistent with lipid components comprising squalene, steryl esters, triglycerides, and sterols (all tentative assignments). No further analysis of lipid class composition was performed.
The solid white fraction isolated after acetone winterization had a melting point range of 50.1-51.4° C.
The solid and liquid fraction isolated after acetone winterization were transesterified to methyl esters and the methyl esters were analyzed by gas-liquid chromatography. The complete profile of FAME's for both the solid and liquid fraction isolated by acetone winterization along with Sample 2 sediment is shown in Table 1. As is evident, the solid fraction contains very little DHA (6.4%) and DPA (2.6%) with methyl myristate (29%) and methyl palmitate (59%) as the predominant fatty acids. The liquid fraction isolated after acetone winterization contains myristate (8.4%), palmitate (23.2%), DPA (16.3%), DHA (41.1%) along with other minor fatty acids.
TABLE 1
Fatty acid profile of unwinterized oil (Sample 1), Sample 2 sediment and fractions
isolated from Sample 1 and Sample 2 sediment by acetone fractionation
Isolated
Isolated
Isolated
Isolated
Liquid
Solid Fraction
Liquid Fraction
Unwinterized
Solid
Fraction
Sample 2
Sample 2
Lot 21A
FA Name
Sample 1
Fraction
Sample 1
Sediment
Sediment
Sediment
14:0
9.6
25.9
8.3
12.2
27.0
8.4
16:0
25.9
66.0
23.1
30.5
58.8
23.2
16:1
0.3
<0.1
0.3
0.3
0.2
0.3
18:0
0.7
1.8
0.6
0.7
1.5
0.6
18:4 n3
0.4
<0.1
0.4
0.3
<0.1
0.4
20:3 n6
0.4
0.2
0.4
0.3
0.2
0.5
20:4 n7
2.8
<0.1
2.6
1.8
<0.1
2.4
20:4 n6
0.9
<0.1
1.0
0.8
0.1
1.0
20:4 n3
0.8
<0.1
0.9
0.8
<0.1
0.9
20:5 n3
2.2
<0.1
2.3
1.9
0.3
2.3
22:4 n9
0.2
<0.1
0.1
0.2
<0.1
0.2
22:5 n6
14.7
0.9
16.0
13.6
2.6
16.3
22:6 n3
37.7
2.4
41.0
34.2
6.4
41.1
COMPARATIVE EXAMPLE
Table 2, set forth below, represents a comparative prior method as shown in Comparative FIG. 1 followed by Comparative FIG. 2 .
TABLE 2
Certificate of Analysis
( Schizochytrium Biomass)
Refined, Deodorized, Bleached (RDB) Winterized
Schizochytrium oil after antioxidants addition
Specification
Result
Method Reference
Peroxide Value,
Maximum 3.0
0.42
AOCS Cd 8-53
meq/kg
Free Fatty Acids, %
Maximum 0.25
0.06
AOCS Ca 5a-40
Moisture and
Maximum 0.05
0.03
AOCS Ca 2d-25
volatiles, %
Trace Metals, ppm
POS AS.SOP-103
Lead
Maximum 0.20
<0.20
Arsenic
Maximum 0.20
<0.20
Iron
Maximum 0.20
0.04
Copper
Maximum 0.05
<0.05
Mercury
Maximum 0.20
<0.20
DHA, % of FAME,
Minimum 32.0
43.5
POS AS.SOP-104
wt/wt
DHA, mg/g of oil
Minimum 300
397.3
POS AS.SOP-104
Residual Hexane,
Maximum 10
<1.0
AOCS Ca 3b-87
ppm
Specification
Value
Method Reference
Neutral oil, %
N/A
99.69
p-Anisidine Value
N/A
0.74
AOCS Cd 18-90
Colour, 1.0″ Lovibond
N/A
70.0Y
AutoTintometer
(PFX 990 AOCS)
7.1R
Colour
Colour, Gardner Scale,
N/A
12.3
(1 cm)
β- Carotene (PFX990),
N/A
276.41
ppm, (0.01 cm)
Note: not true β-
Carotene
Unsaponifiables, %
N/A
2.24
AOCS Ca 6b-53
Insoluble Impurities, %
N/A
0.01
AOCS Ca 3-46
AOM, hr
N/A
7.66
AOCS Cd 12-57
Rancimat (80° C.), Hr
N/A
22.7
Spin test, % solids by
N/A
~0.2*
volume, 20° C./24 hrs
after antiox addition
Spin test, % solids by
N/A
zero
Vol, before antiox
addition
Fatty Acid Composition
N/A
POS AS.SOP-104
(absolute), mg/g
C12
2.6
C14
69.4
C14:1
0.8
C15
3.1
C16
187.8
C16:1
4.4
C18
4.6
C18:1
7.2
C18:2
3.6
C18:3n6
2.3
C18:4
3.0
C20
1.2
C20:4n6
7.4
C20:4n3 AA
8.5
C20:5n3 EPA
18.2
C22
0.6
C22:5n6† DPA
151.6
C22:6n3 DHA
397.3
C24
1.8
C24:1
1.9
Others
35.1
Total, mg/g
912.4
DHA, % of FAME
43.5
Ascorbyl palmitate, ppm
224
Tocopherols, ppm
1,760
*ppte from Addition of Rosemary extract.
Table 3, set forth below, represents a process of the present invention, as set forth in FIG. 5 followed by the bleaching, deodorizing and refining of Comparative FIG. 2 .
TABLE 3
Acetone Winterized Schizo oil
RDB Schizo oil after antioxidants addition
(From Schizochytrium biomass)
Specification
Result
Method Reference
Peroxide Value,
Maximum 3.0
1.32
AOCS Cd 8-53
meq/kg
Free Fatty Acids, %
Maximum 0.25
0.06
AOCS Ca 5a-40
Moisture and
Maximum 0.05
0.03
AOCS Ca 2d-25
volatiles, %
Trace Metals, ppm
POS AS.SOP-103
Lead
Maximum 0.20
<0.20
Arsenic
Maximum 0.20
<0.20
Iron
Maximum 0.20
0.11
Copper
Maximum 0.05
<0.05
Mercury
Maximum 0.20
<0.20
DHA, % of FAME
Minimum 32.0
42.8
POS AS.SOP-104
DHA, mg/g of oil
Minimum 300
385.5
POS AS.SOP-104
Residual Hexane, ppm
Maximum 10
<1.0
AOCS Ca 3b-87
Specification
Value
Method Reference
Neutral oil, %
N/A
99.69
p-Anisidine Value
N/A
1.08
AOCS Cd 18-90
Colour, 1.0″ Lovibond
N/A
70.0Y
AutoTintometer
(PFX 990 AOCS)
6.3R
Colour
Colour, Gardner Scale,
N/A
12.0
(1 cm)
β- Carotene (PFX990),
N/A
228.0
ppm, (0.01 cm)
Note: not true β-
Carotene
Unsaponifiables, %
N/A
2.11
AOCS Ca 6b-53
Insoluble Impurities, %
N/A
0.01
AOCS Ca 3-46
AOM, hr
N/A
7.00
AOCS Cd 12-57
Rancimat (80° C.), Hr
N/A
19.9
Spin test, % solids by
N/A
≈0.2
volume, 20° C./24 hrs
Fatty Acid Composition
N/A
POS AS.SOP-104
(absolute), mg/g
C12
3.9
C14
90.1
C14:1
0.8
C15
3.4
C16
193.9
C16:1
6.5
C18
4.8
C18:1
8.1
C18:2
3.6
C18:3n6
1.7
C18:4
2.6
C20
1.5
C20:4n6
4.9
C20:4n3 AA
7.7
C20:5n3 EPA
12.5
C22
0.8
C22:5n6† DPA
129.7
C22:6n3 DHA
385.5
C24
1.9
C24:1
1.6
Others
34.5
Total, mg/g
900.0
DHA, % of FAME
42.8
Ascorbyl palmitate, ppm
222
Tocopherols, ppm
1940
EXAMPLE 3
A crude extract of Schizochytrium oil was subjected to a variety of winterization procedures in which a lipid composition was extracted from biomass with hexane. The hexane was removed to produce a crude extracted oil having a residual amount of hexane. The extracted oil was then extracted with acetone at a particular acetone/oil ratio and winterized at a particular temperature for a given amount of time. The % residual hexane, acetone/oil ratio, winterization temperature and winterization time were varied in different experiments. The processes were evaluated in terms of filtration time, oil recovery and haziness after two weeks. The details of the experiments and the results are shown below in Table 4.
TABLE 4
The levels of tested variables and observations of acetone-winterized Schizochytrium oil
Winter-
Winter-
Oil
Haziness
Experiment
Hexane
Acetone/
ization
ization
Filtration
Recovery
After 2
No.
%
Oil Ratio
Temp. (C.)
Time (H)
@ (sec)
(%)
weeks
1
1
1.5
5
3
67
87.8
Clear
2
2
1
0
2
165
86.4
PPT
3
2
1
0
4
195
87.7
Clear
4
2
1
10
2
178
88.1
PPT
5
2
1
10
4
154
89.8
PPT
6
2
2
0
2
85
84.1
PPT
7
2
2
0
4
75
86.2
Clear
8
2
2
10
2
67
88.9
PPT
9
2
2
10
4
82
86.7
PPT
10
3
0.5
5
3
264
84.3
PPT
11
3
1.5
−5
3
102
83.4
Clear
12
3
1.5
5
1
87
85.5
PPT
13
3
1.5
5
3
109
85.4
Clear
14
3
1.5
5
3
123
86.3
Clear
15
3
1.5
5
3
82
87.5
Clear
16
3
1.5
5
3
110
87.9
Clear
17
3
1.5
5
5
117
86.6
PPT
18
3
1.5
15
3
255
94.8
PPT
19
3
2.5
5
3
73
87.2
PPT
20
4
1
0
2
262
87.5
Clear
21
4
1
0
4
115
91.2
PPT
22
4
1
10
2
245
83.7
PPT
23
4
1
10
4
375
86.7
PPT
24
4
2
0
2
52
88.4
PPT
25
4
2
0
4
80
89.3
PPT
26
4
2
10
2
92
86.8
PPT
27
4
2
10
4
83
88.7
PPT
28
5
1.5
5
3
86
87.1
PPT
Control
150
90.9
PPT*
Control: Hexane winterization (45:55, Oil:Hexane) at −3 C. for 5 h
PPT - Precipitate observed after spin-test
*The hexane winterized sample showed PPT after filtration (the same day), an indication of incomplete crystallization. The recovery obtained in the lab would not be duplicated in the plant as the thorough drying of the cake may not be achievable with the enclosed filters.
Typical recovery in plant is around 70-75%.
TABLE 5
The oil recovery, filtration time and analytical data
of crude oil, hexane and acetone-winterized oils.
Plant-
Lab-
Acetone-
Acetone-
Hexane
Hexane-
winterized oil
winterized oil
Observations/
winterized
winterized
(Verification
(Verification
analysis
Crude oil
oil
oil
trail-1)
trail-2)
Oil recovery (%)
70%
90.9
86.9
85.3
Filtration @ (Sec)
—
150
158
114
Color (1″ cell)
Too dark
—
70Y
Too dark
Too dark
(1 cm cell)
70Y 11.2R
12.3R
70Y 12R
70Y 11.1R
Phosphorus (ppm)
474.3
—
474.0
271.6
144.3
Free fatty acids
0.53
—
0.49
0.52
0.43
PV (meq/kg)
0.00
—
1.82
3.32
4.27
Anisidine value
4.11
—
4.37
3.73
3.66
Fatty acid comp. (mg/g)
C12:0
2.3
—
2.1
2.2
2.1
C14:0
67.2
—
57.8
58.5
58.9
C14:1
0.7
—
0.7
0.8
0.8
C15:0
3.3
—
3.1
3.1
3.2
C16:0
204.9
—
185.2
187.0
188.1
C16:1
3.3
—
3.5
3.6
3.5
C18:0
5.1
—
4.5
4.5
4.7
C18:1
3.9
—
4.0
4.0
4.0
C18:2
2.6
—
2.7
2.7
2.7
C18:3n6
2.3
—
2.5
2.5
2.6
C18:4
3.3
—
3.5
3.6
3.6
C20:0
1.2
—
1.0
1.0
1.0
C20:4n6
9.4
—
9.7
10.2
10.3
C20:4n3
8.0
—
8.3
8.5
8.6
C20:5n3
23.6
—
24.9
25.4
25.6
C22:0
0.6
—
0.6
0.5
0.6
C22:5n6
142.9
—
149.6
152.7
154.0
C22:6n3
351.1
369.0*
369.0
378.6
382.2
C24:0
1.9
—
1.6
1.6
1.6
C24:1
4.0
—
4.1
4.3
4.2
Others
35.2
—
37.5
37.9
38.4
Recovery of DHA
73%
95.6%
93.8%
92.8%
*The estimation of DHA recovery of Pilot Plant hexane -winterized oil is based on the past data of Schizo oil process
TABLE 6
The fatty acid composition of acetone-winterized wax.
Observations/
Acetone-winterized wax
Acetone-winterized wax
Analysis
(Verification trail-1)
(Verification trail-2)
Wax recovery (%)
13.1
14.7
Fatty acid comp.
(mg/g)
C12:0
2.8
2.6
C14:0
112.4
103.2
C14:1
0.4
0.4
C15:0
3.8
0.6
C16:0
303.4
282.6
C16:1
2.1
2.1
C18:0
8.6
8.7
C18:1
3.3
3.6
C18:2
1.3
1.7
C18:3n6
1.1
1.0
C18:4
1.5
1.4
C20:0
2.2
2.0
C20:4n6
4.9
4.6
C20:4n3
4.1
4.0
C20:5n3
11.9
11.9
C22:0
1.3
1.2
C22:5n6
76.8
75.7
C22:6n3
175.2
170.5
C24:0
3.8
3.5
C24:1
2.1
2.0
Others
16.6
18.1
CONCLUSIONS
Based on an analysis of the Sample 2 sediment, it is believed the floc is triglycerides containing predominantly myristic and palmitic acids. This is based on TLC, IR, and resulting FAME analysis by GLC. The triglycerides comprising the floc had a high melting temperature (50.1-51.4° C.).
The high melting temperature of the isolated white powder, coupled with the triglyceride lipid class composition of this fraction, indicates that the winterization step employed during standard processing is not quantitatively removing “high melting” fractions from the lipid. Therefore, an additional “polishing” step is recommended to achieve clarity in the finished goods product.
To estimate the solid contribution of unwinterized lipid in Sample 1, an acetone winterization procedure was employed. A solid white fraction isolated from Sample 1 in 6-7% yield was shown to be triglycerides containing predominantly myristic and palmitic acids (>94% of the fatty acids in this triglyceride component were saturated fats). Palmitic and myristic acid are present in roughly a 2:1 ratio and, coupled with the narrow range in melting temperature, suggest a defined structure to this triglyceride. Very little DPA and DHA were present in the solid triglyceride fraction. The isolated liquid fraction following acetone winterization contained 41.0% DHA (expressed as a percentage of total fatty acid methyl esters) compared to 37.7% DHA in the starting unwinterized lipid. This is an approximate 8% enrichment of DHA, consistent with the removal of 7% trisaturated fatty acid glycerides.
Very little loss of DHA was shown in the bench scale acetone winterization process, indicating near quantitative recovery of DHA can be obtained during winterization.
Solid or solvent assisted winterization (acetone winterization demonstrated herein, however other solvent alternatives exist) offer the following possibilities and can be considered as processing options.
(1) A true removal of high melting, solid material can be accomplished. (2) The solid material is mainly trisaturated fatty acid glyceride (>94% saturated fatty acids) with very little DHA (2.4%). (3) As an example calculation, starting from 1,000 kg's of DHA in crude lipid, an approximate loss of 2 kg's of DHA would be encountered during acetone winterization (1,000×0.07×0.024). This is approximately a 0.2% recovery loss of DHA on an absolute weight basis. (4) A clear liquid remains following winterization, with enrichment of DHA compared to the starting unwinterized lipid fatty acid profile. (5) Solvent assisted winterization can be used to achieve DHA purification. (6) Because of the high melting temperature of the trisaturated fatty acid glyceride component (>50° C.), traditional low temperature chilling conditions may not be required.
This application incorporates by reference U.S. Provisional Patent Application No. 60/341,180, filed on Dec. 12, 2001.
While various embodiments of the present invention have been described in detail, it is apparent that modifications and adaptations of those embodiments will occur to those skilled in the art. It is to be expressly understood, however, that such modifications and adaptations are within the scope of the present invention, as set forth in the following claims. | A process for purifying a lipid composition having predominantly neutral lipid components having at least one long chain polyunsaturated fatty acid is disclosed. The process employs contacting the lipid composition with a polar solvent, such as acetone, wherein the solvent is selected such that contaminants are less soluble in the solvent than is the long chain polyunsaturated fatty acid. The process is typically conducted at cooler temperatures, including about 0° C. Upon precipitation of the contaminants from the lipid composition, a separation is conducted to remove the precipitated material from the lipid composition. The long chain polyunsaturated fatty acids can include ARA, DPA, EPA, and/or DHA. The process of the present invention effectively winterizes lipid compositions, thereby reducing the tendency of such compositions to become hazy. | 81,821 |
RELATED APPLICATION
This application describes subject matter which is related to that disclosed in U.S. SN. 464,046 (CT-970), filed Jan. 12, 1990.
BACKGROUND
It is known that antibiotic agents can be produced via the fermentation of a variety of types of microorganisms. Some biologically active chromophores are produced in such a way that they associate with protein moieties to form a chromoprotein complex. The chromoproteins which have been studied are described in: "Neocarzinostatin chromophore", Napier, M.A., et al. Biochem. Biophys. Res. Commun. 89. 635-642 (1979) and "Auromomycin Chromophore, Suzuki, H., et al. Biochem. Biophys. Res. Commun. 94, 255-261 (1980). The antitumor antibiotic C-1027 is a chromophore fraction derived from streptomyces globisporus C-1027. Its isolation, characterization and biological activity are described by T. Otani et al in "Isolation and Characterization of Non-protein Chromophore and its Degradation Product from Antibiotic C-1027", Journal of Antibiotics, 44, 564-568 (1991).
THE INVENTION
The invention deals with a new compound BMY-46164, derived via the fermentation of a strain of Actinomadura, compositions and methods which use it and procedures for isolating it. It should be noted that applicants' references to "the compound" are intended to include all pharmaceutically acceptable derivatives of same.
The new fermentation product is believed, based upon high resolution fast atom bombardment mass spectrometry (FABMS) data, to have the molecular formula C 40 H 43 N 2 O 12 Cl and a molecular weight of 778. It is a colorless, amorphous solid having the properties set out below.
This fermentation product is a non-protein, non-covalently bound chromophore which is associated, via what is believed to be complexing, with a protein produced from strains of Actinomadura.
The fermentation product has been found to exhibit antimicrobial activity against a variety of Gram positive organisms, i.e., Enterococcus faecalis, Staphylococcus aureus, and Bacillus subtilis. It also has activity in treating anti-tumor models, such as P388 leukemia.
The new antibiotic may be obtained by fermentation of a BMY-46164 producing strain or a mutant thereof, in an aqueous nutrient medium under submerged aerobic conditions until a substantial amount of BMY-46164 is produced by said microorganism in said culture medium. Fermentation is followed by recovery of BMY-46164 from the culture medium substantially free of co-produced substances.
Microorganism Deposit
A biologically pure culture of Actinomadura strain Q473-8, from which the compound of the invention is derived, has been deposited with the American Type Culture Collection (AATCC) in Rockville, MD and added to its permanent collection under Accession Code ATCC 53806.
Cultures of this strain are also maintained as lyophiles in the Bristol-Myers Squibb Company Pharmaceutical Research Institute Actinomycetes Culture Collection in Wallingford, Conn. The ATCC deposit was made before the filing of this application and meets all of the requirements of U.S.C. 112 regarding such deposits.
DRAWINGS
FIG. 1 shows the UV spectrum of BMY 46164 in methanol.
FIG. 2 shows the IR spectrum of BMY 46164 (KBr pellet).
FIG. 3 shows the proton NMR spectrum of BMY 46164 in d 6 -DMSO.
FIG. 4 shows the carbon NMR spectrum of BMY 46164 in d 6 -DMSO.
DESCRIPTION OF THE INVENTION
The fermentation product, known as compound BMY-46164, has the empirical formula C 40 H 43 N 2 O 12 Cl and a molecular Weight of 778.
One preferred process for producing BMY-46164 includes the steps of:
(1) fermenting a suitable strain of actinomycete,
(2) extracting the proteinaceous fermentation product,
(3) denaturing the product of step (2), and
(4) isolating a compound having an emperical formula of C 40 H 43 N 2 O 2 Cl and a molecular weight of 778.
A colorless amorphous solid, its chemical structure has not, as yet, been ascertained. However, its properties are:
Mass Spectrum: Kratos MS 50 TC Mass Spectrometer. FABMS: 778.2527. Also prominent fragment ions at 294.1339 and 149.0603.
Ultraviolet Spectrum: Hewlett Packard 8452A Diode Array Spectrometer; concentration 1.0 mg/100 ml methanol. A neutral solution gave the following absorption maximum λ max nm (E 1% 1cm ):278(635).
Infrared Spectrum: Perkin-Elmer 1800 FTIR spectrometer, KBr pellet, cm- 1 :3424, 3076, 2934, 2838, 2170, 1640, 1578, 1520, 1490, 1462, 1424, 1376, 1292, 1248, 1184, 1156, 1112, 1072, 1046, 952, 900, 880, 832, 810, 754, 682, 666, 648, 576, 524.
500MHz 1 H-NR: Bruker Model AM-500 Spectrometer. Dual carbon-proton probe, 5mm. Solvent d 6 -DMSO. Observed chemical shifts (ppm): 9.18 (br. 5, 1H), 8.09 (dd, 1H), 7.40 (d, 1H), 7.25 (d, 1H), 6.97 (d, 1H), 6.81(d, 1H), 6.58 (d, 1H), 6.37 (t, 1H), 5.41 (s, 1H), 5.37 (dd, 1H), 5.27 (m, 1H), 5.13(br. s, 1H), 4.91 (s, 1H), 4.89 (m, 1H), 4.65 (d, 1H), 4.22 (br. d, 1H), 4.13 (ddd, 1H), 3.94 (m, 1H), 3.80 (dd, 1H), 3.54 (s, 3H), 3.46 (dd, 1H), 3.21 (d, 1H), 3.12 (s, 3H), 2.94 (ddd, 1H), 2.73 (m, 1H), 2.71 (dd, 1H), 2.58 (dd, 1H), 2.31 (dd, 1H), 2.19 (s, 3H), 2.10 (s, 3H), 1.26 (s, 3H).
125 MHz 13 C NMR: Bruker Model AM-500 Spectrometer. Proton decoupled spectrum. Dual carbon-proton probe, 5mm. Solvent d 6 -DMSO. Observed chemical shifts (ppm): 168.4, 168.1, 153.3, 152.8, 139.3, 138.5, 133.0, 131.4, 131.3, 131.0, 130.8, 126.8, 124.7, 124.3, 122.5, 122.1, 121.0, 109.2, 97.5, 95.7, 94.3, 94.2, 93.3, 90.1, 74.0, 73.2, 70.9, 69.8, 9.6, 66.3, 62.5, 55.4, 54.4, 52.3, 43.2, 37.5, 33.6, 2.7, 19.5, 16.1.
In all of the procedures described herein, the following parameters were employed:
Solvents were not redistilled before use. Methanol, ethyl acetate, chloroform, hexanes, diethyl ether, methylene chloride and acetonitrile were ACS reagent grade. Water for HPLC refers to in-house deionized water from a Barnstead Nanopure II system. Methanol and acetonitrile for HPLC use were B&J Brand HPLC grade solvents. Ammonium acetate was Fisher HPLC grade. DEAE cellulose was Schleicher and Schuell Anion exchange cellulose (lots 2932 and 2893). Tris buffer [tris (hydroxymethyl) aminomethane] was enzyme grade ultra pure (Bethesda Research Laboratories), 0.05 M, pH 7.4. Dicalite was speed plus grade filter aid (Grefco Minerals).
Normal phase thin layer chromatograph (TLC) was carried out on silica gel 60, F 254 plates (EM Reagents, cat. #5765, 5×10 cm, by 0.25 mm thick). Reversed phase TLC Was accomplished with Whatman MKC 18 plates (cat. #4803-110, 0.2 mm thick). Plates were developed in Whatman cylindrical jars with caps and 10 ml of eluant. Chromophores were visualized as UV quenching zones with 254 nm ultraviolet light.
Preparative layer chromatography (PLC) was carried out on silica gel 60, F 254 plates (EM Reagents, cat. #5766, 20×20 cm, by 2 mm thick). Plat developed in glass tanks with covers and 100 mL of eluant.
The vacuum liquid chromatography (VLC) apparatus consisted of Buchner funnel (Kontes, Art. K-954100) containing a sealed-in sintered glass disc (M porosity), a side hose connection for vacuum and a lower 24/40 joint for attachment of receiving flasks. The funnels were equilibrated by pulling the initial eluant through under vacuum to form tightly packed 5 cm adsorbent bed heights. Samples were preadsorbed onto adsorbent and applied to funnels as slurries in the starting eluant. Step gradients were carried out using predetermined volumes of increasingly more polar eluant. The funnel was sucked dry after each volume. Fractions were concentrated on a rotary evaporator and combined on the basis of in vitro bioassay results in conjunction with HPLC-UV and TLC analyses.
Dicalite chromatography refers to adsorption chromatography on diatomaceous earth. Samples were dissolved in chloroform - methanol (2:1) and adsorbed onto dicalite. The resulting powders were slurried in hexanes and packed into sintered glass VLC funnels. Predetermined volumes of solvents were pulled through the dicalite into round bottomed flasks which were concentrated on a rotary evaporator.
Apparatus for size exlusion chromatography consisted of the following: A Glenco column (2.5 I.D.×100 cm) equipped with solvent resistant Teflon end plates; Fluid Metering, Inc. FMI lab pump (Model RP-G150); Glenco glass reservoir (500 ml); Isco Model 328 fraction collector. Columns were slurry packed with 150 g of Sephadex LH-20 (Pharmacia) preswollen in the eluting solvent. Solvent was delivered in a downward manner through the column at a rate controlled by the L lab pump.
HPLC purifications were carried out on a Beckman System Gold unit consisting of the following components: Model 126 solvent delivery module; Model 166P programmable detector; solvent reservoir kit; Altex injector; Dynamax 60° A semi-prep columns; normal phase silica gel (25 cm×10 mm, 8 microns, Si-83-111- C) or (25 cm×21.4 mm, 8 microns, Si-83-121-C) and reversed phase (25 cm×10 mm, 8 microns, C 18 -83-211-C.
The antibiotic antitumor agent of the invention may be produced by fermentation of a BMY-46164 producing strain of actinomycete. The preferred producing organism is an actinomycete isolated from a soil sample collected in Athens, Greece, and designated strain Q473-8. A biologically pure culture of strain Q473-8 has been deposited with ATCC as described above.
Taxonomic studies on strain Q473-8 have been described in detail in U.S. patent application SN. 464,046. The chemotaxonomic data, together with the morphological features of strain Q473-8, indicate that the organism is a member of the genus Actinomadura, most closely resembling Actinomadura madurae in its morphology and carbon utilization characteristics. See Williams et al., "The Prokaryotes, Vol II", pp. 2103-17, 1981 (Starr, Stolp, Truper, Balows and Schlegel, eds.)
Further characterization, including menaquinone analysis, is needed to determine whether strain Q473-8 has properties consistent with a recently proposed new genus, Nonomuria. See Goodfellow et al., "Biology of Actinomycetes, 1988" pp. 223-38, 1988 (Okami, Beppu and Ogawara, eds.)
It is to be understood that the present invention is not limited to the use of the particular preferred strain described above or to organisms fully answering its description. It is especially intended to include other BMY-46164 producing variants or mutants of the described organism which can be produced by conventional means such as x-ray radiation, ultraviolet radiation, treatment with nitrogen mustards, phage exposure and the like.
BMY-46164 may be produced by cultivating a BMY-46164 producing strain of an Actinomadura species, preferably strain Q473-8 or a mutant or variant thereof, under submerged aerobic conditions in an aqueous nutrient medium.
The organism is grown in a nutrient medium containing an assimilable carbon source, for example, sucrose, lactose, glucose, rhamnose, fructose, mannose, melibiose, glycerol or soluble starch. The nutrient medium should also contain an assimilable nitrogen source, such as peptone, fish meal, soybean flour, peanut meal, cottonseed meal, corn steep liquor, yeast extract or ammonium salts. Inorganic salts, such as sodium chloride, potassium chloride, magnesium sulfate, calcium carbonate, phosphates, etc., may be added if desired.
Trace elements, such as copper, manganese, iron, zinc, etc., are added to the medium if desired, or they may be supplied as impurities of other constituents of the media.
Production of BMY-46164 can be effected at any temperature conducive to the satisfactory growth of the producing organism, e.g., at about 16° to about 41° C. It is preferable to conduct the fermentation at about 25° to about 35° C., most preferably at about 27° to about 32° C. A neutral pH is preferably employed in the medium. Production of the antibiotic is carried out generally for a period of about four to about five days.
The fermentation may be carried out in flasks or in laboratory or industrial fermentors of various capacities. When tank fermentation is to be used, it is desirable to produce a vegetative inoculum in a nutrient broth by inoculation of a small volume of the culture medium with a slant or a lyophilized culture of the organism.
After obtaining an active inoculum in this manner, it is transferred aseptically to the fermentation tank medium for large scale production of BMY-46164. The medium in which the vegetative inoculum is produced can be the same as, or different from, that utilized in the tank, so long as it is such that a good growth of the producing organism is obtained. Agitation during the fermentation can be provided by a mechanical impeller. Conventional antifoam agents, such as lard oil or silicon oil, can be added if desired.
Isolation of BMY-46164 antibiotic from the fermentation medium and purification of BMY-46164 can not be achieved by conventional solvent extraction and chromatographic techniques. Instead, isolation is achieved via the following procedure.
Whole broth (90 liters) was filtered with the aid of Dicalite. To the filtrate was added 1 kg of DEAE cellulose with thorough mixing and cooling to 4° C. The DEAE cellulose was recovered by filtration and rinsed with fresh chilled (4° C.) tris buffer. The DEAE cellulose mat was extracted by standing for one hour in a 6 liter mixture of methanol-ethyl acetate (1:1). The extraction mixture was filtered, and the resulting cellulose mat rinsed with additional ethyl acetate (3 liters). To the combined organic extract was added 6 liters chilled H 20 . The ethyl acetate layer was separated and concentrated under reduced pressure to yield 1.0 g crude chromophore extract.
An alternate way to obtain chromophore extract was to sustitute methylene chloride for ethyl acetate in the partitioning step. Thus, to one volume of methanol, obtained from extracting the protein-bound DEAE cellulose mat, was added two volumes of chilled water (4° C.) and one volume of methylene chloride. The organic layer was concentrated on a rotary evaporator to yield crude chromophore extract.
The chromophore extract (1.0 g) was adsorbed onto 3.5 g of Universal silica gel (63-200 microns) and applied to a 60 ml VLC funnel containing 25 g Lichroprep Si 60 silica gel (EM Science, Art. 9390, 25-40 microns). A chloroform-methanol step gradient was carried out using 300 ml volumes of eluant. The activity eluted in fractions 3-5 as determined by in vitro assays. The composition of eluant in these fractions was chloroform containing 3% MeOH, 5% MeOH and 8% MeOH respectively. These combined fractions (202 mg) were further purified by preparative layer chromatography (PLC.) using CHCl 3 -MeOH (90:10) for development.
The recovered main band of activity (R f 0.37, 48 mg) was subjected to further purification by HPLC on a Dynamax semi-prep silica gel column (Si-83-111-C.) using isocratic conditions (CHCl 3 -MeOH 94:6) at 4 ml/minute. The main peak eluted at 13.3 minutes as indicated by UV detection (254 nm). The peak was collected and evaporated to dryness. The residue (28 mg) was applied to a second Merck PLC plate. Development was made with chloroform-acetonitrile (60:40). The main recovered band (R f 0.15) had a mass of 16.5 mg.
Final purification was effected with reversed phase HPLC using a Dynamax semi-prep column (C 18 -83-211-C). A gradient elution was carried out 20% A--80% B→40% A-60% B over 40 minutes, where A=acetonitrile, B=0.1 M ammonium acetate-methanol (3:1). The desired chromophore (11 mg) eluted at 30.9 minutes and was designated as BMY-46164.
Another purification process to obtain BMY-46164 from crude chromophore extract was carried out as follows: Crude extract (12.9 g) was dissolved in chloroform-methanol 2:1 and adsorbed onto 300 g of dicalite (diatomaceous earth). The Dicalite bed was washed with 1 liter volumes of the following solvents: hexanes; diethyl ether; ethyl acetate; methylene chloride and methanol. BMY-46164 was concentrated in the diethyl ether and ethyl acetate fractions, which had a combined mass of 0.6 g.
This residue was dissolved in 5 ml of chloroform-methanol (1:1) and applied to a Sephadex LH-20 column preswollen with the same solvent. The flow rate was 1.5 ml/min. Five fractions were collected. BMY-46164 eluted mainly in the third fraction at 0.7 bed volumes. Upon concentration, this fraction weighed 143 mg.
Final purification was accomplished by normal phase HPLC using a 21.4mm Dynamax preparative column (Si-83-121-C.) at 10 ml/min. A gradient elution was carried out from chloroform-methanol (95:5) to chloroform-methanol (85:15) over 40 minutes. Detection was at 300 nm. BMY-46164 (34 mg) eluted at 27.7 minutes.
Compositions employing as drugs the compound BMY-46164 and/or its acid or base addition salts may contain suitable amounts of other ingredients. Generally, from about 0.001to 99.99% of one or more pharmaceutically acceptable excipients, such as fillers, carriers, stabilizers, gellants, colorants, perfumes and the like can be used. The content of the drug(s) in such compositions will generally be from about 0.01% to about 10% preferably about 0.17% to about 5%.
EXAMPLES
The following preferred specific embodiments are intended to be merely illustrative and not to limit the scope of the invention.
EXAMPLE 1
Fermentation of BMY-46164 in shake flasks
Strain Q473-8 was maintained and transfer test tubes on agar slants of yeast extract-malt extract supplemented with CaCO 3 . This medium consists of 4.0 gm of dextrose, 4.0 gm yeast extract, 10 gm of malt extract, 1.5 gm calcium carbonate and 15 gm of agar, made up to one liter with distilled water. With each transfer, the agar slant was incubated for 5 to 7 days at 28° C.
To prepare an inoculum for the production phase, the surface growth from the slant culture was transferred to a 500 ml Erlenmeyer flask containing 100 ml of a vegetative medium consisting of 2% glucose, 1% fishmeal and 0.5% calcium carbonate. The vegetative medium was incubated for 3 days at 28° C. on a rotary shaker set at 250 rev/min.
Five ml of this vegetative growth were transferred to a 500 ml Erlenmeyer flask containing 100 ml of the production medium consisting of 2% glucose, 2% peptone and 0.5% calcium carbonate. The production medium was again incubated for 4 to 5 days at 28° C. on a rotary shaker set at 250 rev/min. The culture produced maximum levels of BMY-46164 about 4 days into the fermentation cycle.
EXAMPLE 2
Fermentation of BMY-46164 in laboratory fermentors
For fermentation in a 50 liter nominal volume Biolafitte fermentor, a two stage vegetative medium was used. Sixteen ml of a vegetative culture as per Example 1 were transferred to a two liter Erlenmeyer flask containing 400 ml of a second vegetative medium consisting of 2% glucose, 2% peptone and 0.5% calcium carbonate. This second vegetative culture was incubated for three days at 28° C. on a rotary shaker set at 250 rev/min.
1,200 ml of this vegetative culture were transferred to a 4 liter Vitro bottle and then inoculated into a 50 liter nominal volume Biolafitte fermentor containing 30 liters of the production medium consisting of 2% glucose, 2% peptone and 0.5% calcium carbonate. The organism was allowed to grow under the following conditions: agitation, 250 rpm; temperature, 28° C.; aeration, 30 liters/min. An antifoam agent (polypropylene glycol 2,000, Dow Chemical) was used to control foaming. BMY-46164 reached maximum production levels within four to five days of the start of the fermentation cycle.
EXAMPLE 3
Bacterial Activity Study
Using the procedure described below, the performance of BMY-46164 was compared to that of ampicillin for its affect on a series of L microorganisms. Table 1 shows the results.
TABLE 1______________________________________Performance of BMY-46164 as an Antibacterial Agent PRIMARY MIC VALUES (μg/ml)ORGANISM BMY-46164 AMPICILLIN______________________________________Enterococcus faecalis A20688 8 .25E. faecalis A25707 4 25E. faecalis A25708 8 .5Staphylococcus aureus A9537 4 .06S. aureus/NCCLS strain 16 .06A20698S. aureus A24407 16 .5Escherichia coli A15119 >500 1E. coli/NCCLS strain A20697 >500 2E. coli A9751 >500 .25Kiebsiella pneumoniae A9664 >500 32K. pneumoniae A20468 >500 63Proteus vulgaris A21559 >500 32Pseudomonas aeruginosa >500 >128A9843aP. aeruginosa A20235 >500 32P. aeruginosa/NCCLS strain >500 128A21508Bacillus subtilis A9506-A 64 1______________________________________
The antibacterial spectrum of BMY-46164 was determined by serial broth dilution method using nutrient broth (Difco).
EXAMPLE 4
Antitumor Activity Study
TABLE 2__________________________________________________________________________Performance of BMY-46164 as an Antitumor AgentTUMOR: P388TREATMENT AWC, NO. MICEMATERIAL(S) MG/KG/DOSE RTE, SCHEDULE MED. % GM ALIVE/TOTAND VEHICLE OR DILUTION S.T. T/C D.6 D.5 (30)__________________________________________________________________________IMPLANT LEVEL AND SITE: 1 × 10(6) CELLS, IPOLIVOMYCIN A 0.8 IP,Q01DX5;1 15.0 150 -0.2 6/6BMY33272 0.4 14.5 145 0.9 6/6PBSC39174 WOOO2 G443 25 IP,Q01DX5;1 12.5 125 -2.1 4/4BMY46164 10 14.0 140 -0.9 4/4DMSO + PBS 5 15.5 155 0.3 4/4 2 14.0 140 0.2 4/4CONTROL 10.0 100 2.5 10/10__________________________________________________________________________
The procedure used in obtaining the data in Table 2 was described in "Transplanted Animal Tumors", Bradner, W. T., Cancer and Chemotherapy" Vol. 1, pp. 221-227, 1980 (S.T. Crooke and A.W. Prestayko, eds.), Academic Press.
These examples illustrate the utility of the subject compound and its pharmaceutically acceptable derivatives in the treatment of bacterial infections and neoplastic tumors in hosts.
By "hosts" is meant not only in vitro test cells and mice, but also higher organisms, e.g. mammals. Human subjects or patients are a preferred group of hosts to be treated.
The compounds and compositions of the invention can be administered to suitable hosts, e.g., to patients suffering from bacterial infections and/or tumors, via a variety of means. Oral, parenteral, topical, nasal, buccal and ocular formulations are contemplated.
Reasonable variations, such as those which would occur to a skilled artisan, can be made herein without departing from the scope of the invention. | A certain fermentation product of Actinomadura strain Q473-8 yields, when suitably treated, a novel compound having both antibiotic and antitumor activities. | 24,226 |
CROSS REFERENCES TO RELATED APPLICATIONS
[0001] This application claims priority to European Patent Application No. 12152392.2, filed on Jan. 25, 2012, which is incorporated herein by reference in its entirety.
BACKGROUND OF THE INVENTION
[0002] 1. Field of the Invention
[0003] The present invention relates to formulations for administration by inhalation by means of dry powder inhalers. In particular, the present invention relates to dry powder formulations comprising a corticosteroid and a beta 2 -adrenergic drug in combination, its process of preparation, and therapeutic uses thereof.
[0004] 2. Discussion of the Background
[0005] Active substances commonly delivered by inhalation include bronchodilators such as beta-2 adrenoreceptor agonists and anticholinergics, corticosteroids, anti-allergics, and other active ingredients that may be efficiently administered by inhalation, thus increasing the therapeutic index and reducing side effects of the active material.
[0006] Formoterol, i.e. 2′-hydroxy-5′-[(RS)-1-hydroxy-2{[(RS)-p-methoxy-α-methylphenethyl]amino}ethyl]formanilide, particularly its fumarate salt (hereinafter indicated as FF), is a well known beta-2 adrenergic receptor agonist, currently used clinically in the treatment of bronchial asthma, chronic obstructive pulmonary disease (COPD) and related disorders.
[0007] Beclometasone dipropionate (BDP) is a potent anti-inflammatory steroid, named (8S,9R,10S,11S,13S,14S,16S,17R)-9-chloro-11-hydroxy-10,13,16-trimethyl-3-oxo-17-[2-(propionyloxy)acetyl]-6,7,8,9,10,11,12,13,14,15,16,17-dodecahydro-3H-cyclopenta[a]phenanthren-17-yl propionate, available under a wide number of brands for the prophylaxis and/or treatment of inflammatory respiratory disorders.
[0008] A formulation for pressurized metered dose inhalers (pMDIs) containing both active ingredients in combination, both dissolved in a mixture of HFA134a and ethanol as co-solvent is currently on the market. It has been quoted in the literature as FF/BDP extra-fine formulation.
[0009] Said formulation provides a high lung deposition and uniform distribution throughout the bronchial tree, and is characterized by the fact that is capable of delivering a high fraction of particles having a diameter equal or less than 1.1 microns. In particular, upon actuation of the inhaler, it gives rise to a respirable fraction of about 40% and a fraction of particles having a diameter equal or less than 1.1 microns of about 12% for both active ingredients.
[0010] The major advantage of said formulation is related to the improved penetration into the bronchiole-alveolar distal part of the respiratory tree wherein inflammation is known to play a role in spontaneous exacerbations of asthma symptoms and wherein it is known that the density of the beta-2 adrenergic receptors is particularly high. However, despite their popularity, pMDI formulations may have some disadvantages in particular in elderly and pediatric patients, mostly due to their difficulty to synchronize actuation from the device with inspiration.
[0011] Dry powder inhalers (DPIs) constitute a valid alternative to MDIs for the administration of drugs to airways. On the other hand, drugs intended for inhalation as dry powders should be used in the form of micronized particles. Their volumetric contribution could represent an obstacle in the design of a formulation therapeutically equivalent to one wherein the drugs are delivered in form of liquid droplets.
[0012] WO 01/78693, which is incorporated herein by reference in its entirety, discloses a dry powder formulation comprising formoterol and BDP in combination as active ingredients and, as a carrier, a fraction of coarse particles and a fraction made of fine excipient particles and magnesium stearate. Upon its actuation, the respirable fraction of BDP is about 40%, while that of formoterol is about 47%.
[0013] More recently Mariotti et al. (European Respiratory Society Annual Congress held in Amsterdam on Sep. 24-28, 2011), presented data about a FF/BDP dry powder formulation having a respirable fraction of about 70% for both active ingredients.
[0014] However, there remains a need for improved formulations, for administration by inhalation by means of dry powder inhalers, which contain a corticosteroid and a beta 2 -adrenergic drug in combination
SUMMARY OF THE INVENTION
[0015] Accordingly, it is one object of the present invention to provide novel powder formulation for DPIs comprising formoterol fumarate and BDP in combination.
[0016] It is another object of the present invention to provide novel methods of preparing such formulation.
[0017] It is another object of the present invention to provide novel methods of treating and/or preventing certain diseases by administering such a formulation.
[0018] These and other objects, which will become apparent during the following detailed description, have been achieved by the inventors' discovery that dry powder formulations for use in a dry powder inhaler (DPI) comprising:
[0019] (a) a fraction of fine particles made of a mixture composed of 90 to 99.5 percent by weight of particles of a physiologically acceptable excipient and 0.5 to 10 percent by weight of magnesium stearate, said mixture having a mass median diameter lower than 20 micron;
[0020] (b) a fraction of coarse particles constituted of a physiologically acceptable excipient having a mass median diameter equal to or higher than 100 micron, wherein the ratio between the fine particles and the coarse particles being between 1:99 and 30:70 percent by weight; and
[0021] (c) formoterol fumarate dihydrate in combination with beclometasone dipropionate (BDP) as active ingredient both in form of micronized particles;
[0022] wherein i) no more than 10% of said BDP particles have a diameter lower than 0.6 microns, ii) no more than 50% of said particles have a diameter comprised between 1.5 microns and 2.0 microns; and iii) at least 90% of said particles have a diameter lower than 4.7 microns
[0023] overcome the problems indicated above and in particular provide a powder formulation having therapeutic characteristics matching those of the corresponding pMDI formulation in form of solution.
[0024] Thus, in a first aspect, the present invention provides dry powder formulations for use in a dry powder inhaler (DPI) comprising:
[0025] (a) a fraction of fine particles made of a mixture composed of 90 to 99.5 percent by weight of particles of a physiologically acceptable excipient and 0.5 to 10 percent by weight of magnesium stearate, said mixture having a mass median diameter lower than 20 micron;
[0026] (b) a fraction of coarse particles constituted of a physiologically acceptable excipient having a mass median diameter equal to or higher than 100 micron, wherein the ratio between the fine particles and the coarse particles being between 1:99 and 30:70 percent by weight; and
[0027] (c) formoterol fumarate dihydrate in combination with beclometasone dipropionate (BDP) as active ingredient both in form of micronized particles;
[0028] wherein i) no more than 10% of said BDP particles have a diameter lower than 0.6 microns, ii) no more than 50% of said particles have a diameter comprised between 1.5 microns and 2.0 microns; and iii) at least 90% of said particles have a diameter lower than 4.7 microns
[0029] In a second aspect, the present invention provides a process for preparing such a dry powder formulation of the invention comprising the step of mixing the carrier particles with the active ingredients.
[0030] In a third aspect, the present invention provides a dry powder inhaler filled with the above dry powder formulation.
[0031] In a fourth aspect, the present invention provides such a formulation for use in the prevention and/or treatment of an inflammatory or obstructive airways disease such as asthma or chronic obstructive pulmonary disease (COPD).
[0032] In a fifth aspect, the present invention provides a method of preventing and/or treating an inflammatory or obstructive airways disease such as asthma or chronic obstructive pulmonary disease (COPD), which comprises administering by inhalation an effective amount of the formulation of the invention.
[0033] In a sixth aspect, the present invention provides the use of such a formulation in the manufacture of a medicament for the prevention and/or treatment of an inflammatory or obstructive airways disease such as asthma or chronic obstructive pulmonary disease (COPD).
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
[0034] By the term “physiologically acceptable” it is meant a safe pharmacologically-inert substance.
[0035] By “daily therapeutically effective dose” it is meant the quantity of active ingredient administered by inhalation upon actuation of the inhaler.
[0036] Said daily dose may be delivered in one or more actuations (shots or puffs) of the inhaler.
[0037] By the term “fine particles” it is meant particles having a size up to few tenths of microns.
[0038] By the term “micronized” it is meant a substance having a size of few microns.
[0039] By the term “coarse” it is meant particles having a size of one or few hundred microns.
[0040] In general terms, the particle size of particles is quantified by measuring a characteristic equivalent sphere diameter, known as volume diameter, by laser diffraction.
[0041] The particle size can also be quantified by measuring the mass diameter by means of suitable known instrument such as, for instance, the sieve analyzer.
[0042] The volume diameter (VD) is related to the mass diameter (MD) by the density of the particles (assuming a size independent density for the particles).
[0043] In the present application, the particle size of the active ingredients is expressed in terms of volume diameter, while that of the excipient is expressed in terms of mass diameter.
[0044] The particles have a normal (Gaussian) distribution which is defined in terms of the volume or mass median diameter (VMD or MMD) which corresponds to the volume or mass diameter of 50 percent by weight of the particles, and, optionally, in terms of volume or mass diameter of 10% and 90% of the particles, respectively.
[0045] Another common approach to define the particle size distribution is to cite three values: i) the volume median diameter d(v,0.5) which is the volume diameter where 50% of the distribution is above and 50% is below; ii) d(v,0.9), where 90% of the volume distribution is below this value; iii) d(v,0.1), where 10% of the volume distribution is below this value. The span is the width of the distribution based on the 10%, 50% and 90% quantile and is calculated according to the formula.
[0000]
Span
=
D
[
v
,
0.9
]
-
D
[
v
,
0.1
]
D
[
v
,
0.5
]
[0046] Upon aerosolization, the particle size is expressed as mass aerodynamic diameter (MAD) and the particle size distribution as mass median aerodynamic diameter (MMAD). The MAD indicates the capability of the particles of being transported suspended in an air stream. The MMAD corresponds to the mass aerodynamic diameter of 50 percent by weight of the particles.
[0047] The term “hard pellets” refers to spherical or semispherical units whose core is made of coarse excipient particles.
[0048] The term “spheronization” refers to the process of rounding off of the particles which occurs during the treatment.
[0049] The term “good flowability” refers to a formulation that is easy handled during the manufacturing process and is able to ensure an accurate and reproducible delivering of the therapeutically effective dose.
[0050] Flow characteristics can be evaluated by different tests such as angle of repose, Can's index, Hausner ratio or flow rate through an orifice.
[0051] In the context of the present application the flow properties were tested by measuring the flow rate through an orifice according to the method described in the European Pharmacopeia (Eur. Ph.) 7.3, 7 th Edition, which is incorporated herein by reference in its entirety.
[0052] The expression “good homogeneity” refers to a formulation wherein, upon mixing, the uniformity of distribution of the active ingredient, expressed as coefficient of variation (CV) also known as relative standard deviation (RSD), is less than 2.5%, preferably equal to or less than 1.5%.
[0053] The expression “respirable fraction” refers to an index of the percentage of active particles which would reach the deep lungs in a patient.
[0054] The respirable fraction, also termed fine particle fraction (FPF), is evaluated using a suitable in vitro apparatus such as Andersen Cascade Impactor (ACI), Multi Stage Liquid Impinger (MLSI) or Next Generation Impactor (NGI), preferably by ACI, according to procedures reported in common Pharmacopoeias, in particular in the European Pharmacopeia (Eur. Ph.) 7.3, 7 th Edition, which is incorporated herein by reference in its entirety.
[0055] It is calculated by the percentage ratio between the fine particle mass (formerly fine particle dose) and the delivered dose.
[0056] The delivered dose is calculated from the cumulative deposition in the apparatus, while the fine particle mass is calculated from the deposition of particles having a diameter<5.0 micron.
[0057] The term “prevention” means an approach for reducing the risk of onset of a disease.
[0058] The term “treatment” means an approach for obtaining beneficial or desired results, including clinical results. Beneficial or desired clinical results can include, but are not limited to, alleviation or amelioration of one or more symptoms or conditions, diminishment of extent of disease, stabilized (i.e. not worsening) state of disease, preventing spread of disease, delay or slowing of disease progression, amelioration or palliation of the disease state, and remission (whether partial or total), whether detectable or undetectable. The term can also mean prolonging survival as compared to expected survival if not receiving treatment.
[0059] The term “coating” refers to the covering of the surface of the excipient particles by forming a thin film of magnesium stearate around said particles.
[0060] The present invention is directed to a dry powder formulation for use in a dry powder inhaler (DPI) comprising a fraction of fine particles (a), a fraction of coarse particles (b), and formoterol fumarate (FF) dihydrate in combination with beclometasone dipropionate (BDP) as active ingredients, having the characteristics disclosed herein.
[0061] The fractions (a) and (b) constitute the “carrier” particles.
[0062] It has been surprisingly found that in order to obtain a FF/BDP dry powder formulation therapeutically equivalent to the corresponding pMDI formulation currently on the market, it is necessary to generate a higher respirable fraction (FPF) as well as a higher fraction of particles having a diameter equal or less than 1.1 microns, for both active ingredients.
[0063] It has also been found that this can be achieved by strictly controlling the particle size of the micronized BDP, and preferably its specific surface area.
[0064] Unexpectedly, it has been indeed further found that by setting the particle size distribution of BDP to the values herein claimed, not only its respirable fraction increases, but also that of formoterol fumarate (more than 60% vs about 47%).
[0065] Furthermore, the use of a micronized BDP characterized by such a selected, narrow, and well defined particle size distribution allows a better reproducibility of its fine particle fraction (FPF) during repeated administration.
[0066] The formulations according to the present invention also show a good homogeneity of the active ingredients, a good flowability, and adequate physical and chemical stability in the inhaler before use for pharmaceutical purposes.
[0067] Advantageously, the fine and coarse excipient particles may be constituted of any physiologically acceptable material or combination thereof; preferred excipients are those made of crystalline sugars, in particular lactose; the most preferred are those made of α-lactose monohydrate.
[0068] Preferably, the coarse excipient particles and the fine excipient particles are both constituted of α-lactose monohydrate.
[0069] The fraction of fine particles (a) must have a mass median diameter (MMD) lower than 20 microns, advantageously equal to or lower than 15 microns, preferably equal to lower than 10 microns, even more preferably equal to or lower than 6 microns.
[0070] Advantageously, the mass diameter of 90% of the fine particles (a) is lower than 35 microns, more advantageously lower than 25 microns, preferably lower than 15 microns, even more preferably lower than 10 microns.
[0071] The ratio between the excipient particles and magnesium stearate within the fraction (a) may vary depending on the doses of the active ingredients.
[0072] Advantageously, said fraction is composed of 90 to 99.5% by weight of the excipient and 0.5 to 10% by weight of magnesium stearate, preferably of 95 to 99% of the excipient, and 1 to 5% of magnesium stearate. A preferred ratio is 98% of the excipient and 2% of magnesium stearate.
[0073] Advantageously, at least 90% by weight of the particles of magnesium stearate has a starting mass diameter of not more than 35 microns and a MMD of not more than 15 microns, preferably not more than 10 microns.
[0074] Advantageously, magnesium stearate may coat the surface of the excipient particles in such a way that the extent of the surface coating is at least of 5%, preferably more than 10%, more preferably more than 15%, even more preferably equal to or more than 35%.
[0075] When the excipient particles are made of lactose, the extent of surface coating, which indicates the percentage of the total surface of the excipient particles coated by magnesium stearate, may be determined by water contact angle measurement, and then by applying the equation known in the literature as Cassie and Baxter, cited at page 338 of Colombo I et al Il Farmaco 1984, 39(10), 328-341 (which is incorporated herein by reference in it is entirety) and reported below.
[0000] cos ∂ mixture =f Mgst cos ∂ Mgst +f lactose cos ∂ lactose
[0000] where:
[0076] f Mgst and f lactore are the surface area fractions of magnesium stearate and of lactose, respectively;
[0077] ∂ MgSt is the water contact angle of magnesium stearate;
[0078] ∂ lactose is the water contact angle of lactose; and
[0079] ∂ mixture is the experimental contact angle value.
[0080] For the purpose of the present invention, the contact angle may be determined with methods that are essentially based on a goniometric measurement. These imply the direct observation of the angle formed between the solid substrate and the liquid under testing. It is therefore quite simple to carry out, being the only limitation related to possible bias stemming from intra-operator variability. It should be, however, underlined that this drawback can be overcome by adoption of a fully automated procedure, such as a computer assisted image analysis. A particularly useful approach is the sessile or static drop method which is typically carried out by depositing a liquid drop onto the surface of the powder in form of disc obtained by compaction (compressed powder disc method).
[0081] The extent to which the magnesium stearate coats the surface of the excipient particles may also be determined by scanning electron microscopy (SEM), a well known versatile analytical technique.
[0082] Such microscopy may be equipped with an EDX analyzer (an Electron Dispersive X- ray analyzer), that can produce an image selective to certain types of atoms, for example magnesium atoms. In this manner it is possible to obtain a clear data set on the distribution of magnesium stearate on the surface of the excipient particles.
[0083] SEM may alternatively be combined with IR or Raman spectroscopy for determining the extent of coating, according to known procedures.
[0084] Another analytical technique that may advantageously be used is X-ray photoelectron spectroscopy (XPS), by which it has been possible to calculate both the extent of coating and the depth of the magnesium sterate film around the excipient particles.
[0085] The fraction of fine particles (a) may be prepared according to one of the methods disclosed in WO 01/78693, which is incorporated herein by reference in its entirety. Preferably, it could be prepared by co-micronization, more preferably using a ball mill. In some cases, co-milling for at least two hours may be found advantageous, although it will be appreciated that the time of treatment will generally depend on the starting particle size of the excipient particles and the desired size reduction to be obtained.
[0086] In a preferred embodiment of the invention the particles are co-micronized starting from excipient particles having a mass diameter less than 250 microns and magnesium stearate particles having a mass diameter less than 35 microns using a jet mill, preferably in inert atmosphere, for example under nitrogen.
[0087] As an example, alpha-lactose monohydrate commercially available such as Meggle D 30 or Spherolac 100 (Meggle, Wasserburg, Germany) could be used as starting excipient.
[0088] Optionally, the fraction of fine particles (a) may be subjected to a conditioning step according to the conditions disclosed in the pending application n. WO 2011/131663, which is incorporated herein by reference in its entirety.
[0089] The coarse excipient particles of the fraction (b) must have a MMD of at least 100 microns, preferably greater than 125 microns, more preferably equal to or greater than 150 microns, even more preferably equal to or greater than 175 microns.
[0090] Advantageously, all the coarse particles have a mass diameter in the range 50 to 1000 microns, preferably 60 to 500 microns.
[0091] In certain embodiments of the present invention, the mass diameter of said coarse particles might be 80 to 200 microns, preferably 90 to 150 microns, while in another embodiment, the mass diameter might be 200 to 400 microns, preferably 210 to 355 microns.
[0092] In a preferred embodiment of the present invention, the mass diameter of the coarse particles is 210 to 355 microns.
[0093] In general, the person skilled in the art shall select the most proper size of the coarse excipient particles by sieving, using a proper classifier.
[0094] When the mass diameter of the coarse particles is 200 to 400 microns, the coarse excipient particles preferably have a relatively highly fissured surface, that is, on which there are clefts and valleys and other recessed regions, referred to herein collectively as fissures. The “relatively highly fissured” coarse particles can be defined in terms of fissure index or rugosity coefficient as described in WO 01/78695 and WO 01/78693, both of which are incorporated herein by reference in their entireties, and they can be characterized according to the description therein reported. Said coarse particles may also be characterized in terms of tapped density or total intrusion volume measured as reported in WO 01/78695, which is incorporated herein by reference in its entirety.
[0095] The tapped density of said coarse particles is advantageously less than 0.8 g/cm 3 , preferably 0.8 to 0.5 g/cm 3 . The total intrusion volume is at least 0.8 cm 3 preferably at least 0.9 cm 3 .
[0096] The weight ratio between the fraction of fine particles (a) and the fraction of coarse particles (b) is 1:99 to 30:70% by weight, preferably 2:98 to 20:80% by weight. In a preferred embodiment, the ratio is 10:90 to 15:85% by weight, even more preferably is of 10:90 by weight.
[0097] The step of mixing the coarse excipient particles (b) and the fine particles (a) is typically carried out in a suitable mixer, e.g. tumbler mixers such as Turbula™, rotary mixers or instant mixer such as Diosna™ for at least 5 minutes, preferably for at least 30 minutes, more preferably for at least two hours. In a general way, the person skilled in the art shall adjust the time of mixing and the speed of rotation of the mixer to obtain a homogenous mixture.
[0098] When spheronized coarse excipient particles are desired in order to obtain hard-pellets according to the definition reported above, the step of mixing shall be typically carried out for at least four hours.
[0099] All the micronized particles of beclometasone dipropionate (BDP) are characterized by a selected, narrow, and well defined particle size distribution in such a way that: i) no more than 10% of said particles have a diameter lower than 0.6 microns, preferably equal to or lower than 0.7 microns; ii) no more than 50% of said particles have a diameter of 1.5 microns to 2.0 microns, preferably 1.6 to 1.9 microns; and iii) at least 90% of said particles have a diameter equal to or lower than 4.7 microns, preferably equal to or lower than 4.0 microns, more preferably equal to or lower than 3.8 microns.
[0100] The particular size distribution of BDP is characterized by: a d(v0.1) of 0.8 to 1.0 micron, preferably 0.85 to 0.95 microns; a d(v0.5) of 1.5 to 2.0 microns preferably 1.6 and 1.9 microns, a d(v0.9) of 2.5 to 4.7 microns, preferably 3.0 to 4.0 microns.
[0101] However the width of the particle size distribution of said BDP particles, expressed as a span, should be 1.2 to 2.2, preferably 1.3 to 2.1, more preferably 1.6 to 2.0, according the Chew et al J Pharm Pharmceut Sci 2002, 5, 162-168, which is incorporated herein by reference in its entirety. The span corresponds to [d(v,0.9) - d(v,0.1)]/d(v,0.5).
[0102] Advantageously, at least 99% of said particles [d(v,0.99)] have a diameter equal to or lower than 6.0 microns, and substantially all the particles have a volume diameter of 6.0 to 0.4 microns, preferably 5.5 to 0.45 microns.
[0103] The size of the particles of the active is determined by measuring the characteristic equivalent sphere diameter, known as volume diameter, by laser diffraction. In the reported examples, the volume diameter has been determined using a Malvern apparatus. However, other equivalent apparatus may be used by the skilled person in the art.
[0104] Advantageously, the micronized particles of BDP have also a specific surface area of 5.5 to 7.0 m 2 /g, preferably 5.9 to 6.8 m 2 /g. The Specific Surface Area is determined by Brunauer-Emmett-Teller (BET) nitrogen adsorption method according to a procedure known in the art.
[0105] All the micronized particles of formoterol fumarate dihydrate may have a diameter of less than 10 microns, preferably less than 6 microns. Advantageously at least 90% of the particles have a volume diameter lower than 5.0 micron. In a particular embodiment, the particle size distribution is such that: i) no more than 10% of the particles have a volume diameter lower than 0.8 microns, ii) no more than 50% of particles have a volume diameter lower than 1.7 microns; and iii) at least 90% of the particles have a volume diameter lower than 5.0 microns. Micronized formoterol fumarate dihydrate utilized in the formulation of the present invention is also advantageously characterized by a Specific Surface Area of 5 to 7.5 m 2 /g, preferably 5.2 to 6.5 m 2 /g, more preferably 5.5 to 5.8 m 2 /g.
[0106] Both the micronized active ingredients utilized in the formulation of the present invention may be prepared by grinding in a suitable mill. Preferably they are prepared by grinding using a conventional fluid energy mill such as commercially available jet mill micronizers having grinding chambers of different diameters. Depending on the type of the apparatus and size of the batch, the person skilled in the art shall suitably adjust the milling parameters such as the operating pressure, the feeding rate and other operating conditions to achieve the desired particle size.
[0107] In particular, to achieve the claimed particle size distribution of BDP, it is highly advantageous to utilize a jet mill micronizer having a grinding chamber of a diameter of 300 mm.
[0108] In a preferred embodiment, the present invention is directed dry powder formulation for use in a dry powder inhaler (DPI) comprising:
[0109] (a) a fraction of fine particles made of a mixture composed of 98 percent by weight of particles of alpha-lactose monohydrate and 2 percent by weight of magnesium stearate, said mixture having a mass median diameter equal to or lower than 6 microns;
[0110] (b) a fraction of coarse particles constituted of alpha-lactose monohydrate having a mass diameter of 212 to 355 microns and the ratio between the fine particles and the coarse particles being 10:90 percent by weight; and
[0111] (c) formoterol fumarate dihydrate in combination with beclometasone dipropionate (BDP) as active ingredients both in form of micronized particles; wherein i) no more than 10% of said BDP particles have a diameter [d(v,0.1)] lower than 0.7 microns, ii) no more than 50% of said particles have a diameter [d(v,0.5)] of 1.6 microns to 1.9 microns; and iii) at least 90% of said particles have a diameter lower than 4.0 microns.
[0112] The present invention is also directed to a process for preparing the dry powder formulation disclosed herein comprising the step of mixing the fraction of fine particles (a), the fraction of coarse particles (b) with both the micronized active ingredients.
[0113] The carrier particles comprising the fraction of fine particles and the fraction of coarse particles may be prepared by mixing in suitable apparatus known to the skilled person, for example a Turbula™ mixer. The two fractions are preferably mixed in a Turbula™ mixer operating at a rotation speed of 16 r.p.m. for a period of 30 to 300 minutes, preferably 150 to 240 minutes.
[0114] The mixture of the carrier particles with the active ingredient particles may be carried out by mixing the components in suitable apparatus known to the skilled person, such as Turbula™ mixer for a period sufficient to achieve the homogeneity of the active ingredient in the final mixture, preferably 30 to 120 minutes, more preferably 45 to 100 minutes.
[0115] Optionally, in an alternative embodiment, one active ingredient is first mixed with a portion of the carrier particles and the resulting blend is forced through a sieve, then, the further active ingredient and the remaining part of the carrier particles are blended with the sieved mixture; and finally the resulting mixture is sieved through a sieve, and mixed again.
[0116] The skilled person shall select the mesh size of the sieve depending on the particle size of the coarse particles.
[0117] The ratio between the carrier particles and the active ingredients will depend on the type of inhaler device used and the required dose.
[0118] Advantageously, the formulation of the invention may be suitable for delivering a therapeutic amount of both active ingredients in one or more actuations (shots or puffs) of the inhaler.
[0119] For example, the formulations will be suitable for delivering 6 to 12 μg formoterol (as fumarate dihydrate) per actuation, especially 6 μg or 12 μg per actuation, and 50 to 200 μg beclometasone dipropionate per actuation, especially 50, 100, or 200 μg per actuation.
[0120] The daily therapeutically effective dose may vary from 6 μg to 24 μg for formoterol and from 50 μg to 800 μg for BDP.
[0121] The dry powder formulation of the invention may be utilized with any dry powder inhaler.
[0122] Dry powder inhalers (DPIs) can be divided into two basic types:
[0123] (i) single dose inhalers, for the administration of single subdivided doses of the active compound; each single dose is usually filled in a capsule; and
[0124] (ii) multidose inhalers pre-loaded with quantities of active principles sufficient for longer treatment cycles.
[0125] Said dry powder formulation is particularly suitable for multidose DPIs comprising a reservoir from which individual therapeutic dosages can be withdrawn on demand through actuation of the device, for example that described in WO 2004/012801, which is incorporated herein by reference in its entirety. Other multi-dose devices that may be used are for instance the DISKUS™ of GlaxoSmithKline, the TURBOHALER™ of AstraZeneca, TWISTHALER™ of Schering and CLICKHALER™ of Innovata. As marketed examples of single-dose devices, there may be mentioned ROTOHALER™ of GlaxoSmithKline and HANDIHALER™ of Boehringer Ingelheim.
[0126] In a preferred embodiment of the present invention, the dry powder formulation is filled in the DPI disclosed in WO 2004/012801, which is incorporated herein by reference in its entirety.
[0127] In case the ingress of moisture into the formulation is to be avoided, it may be desired to overwrap the DPI in a flexible package capable of resisting moisture ingress such as that disclosed in EP 1760008, which is incorporated herein by reference in its entirety.
[0128] Administration of the formulation of the present invention may be indicated for the prevention and/or treatment of a wide range of conditions including respiratory disorders such as chronic obstructive pulmonary disease (COPD) and asthma of all types and severity.
[0129] Other respiratory disorders characterized by obstruction of the peripheral airways as a result of inflammation and presence of mucus such as chronic obstructive bronchiolitis, and chronic bronchitis may also benefit by this kind of formulation.
[0130] Other features of the invention will become apparent in the course of the following descriptions of exemplary embodiments which are given for illustration of the invention and are not intended to be limiting thereof
EXAMPLES
Example 1
Preparation of Different Batches of Micronised Particles of Beclometasone Dipropionate
[0131] Different batches of beclometasone dipropionate were milled in a jet mill micronizer MC JETMILL®300 (Jetpharma Sa, Switzerland) having a grinding chamber of a diameter of 300 mm. The micronized batches were characterized in terms of particle size distribution and Specific Surface Area.
[0132] The particle size was determined by laser diffraction using a Malvern apparatus. The parameter taken into consideration was the VD in microns of 10%, 50% and 90% of the particles expressed as d(v,0.1), d(v, 0.5) and d(v, 0.9), respectively, which correspond to the mass diameter assuming a size independent density for the particles. The span [d(v,0.9)−d(v,0.1)]/d(v,0.5) is also reported. The Specific Surface Area (SSA) was determined by BET nitrogen adsorption using a Coulter SA3100 apparatus as a mean of three determinations. The relevant data are reported in Table 1.
[0000]
TABLE 1
Particle size distribution and Specific Surface Area (SSA) of
different batches of micronised beclometasone dipropionate.
Particle size (μm)
Batch 1
Batch 2
Batch 3
Batch 4
d (v, 0.1)
0.86
0.96
0.95
0.91
d (v, 0.5)
1.63
1.81
1.71
1.84
d (v, 0.9)
3.15
3.33
2.97
3.76
Span
1.41
1.31
1.19
1.54
SSA (m 2 /g)
6.61
5.90
6.12
6.28
Example 2
Preparation of the Fraction of Fine Particles (a)
[0133] About 40 kg of co-micronized particles were prepared. Particles of α-lactose monohydrate having a particle size of less than 250 microns (Meggle D 30, Meggle), and magnesium stearate particles having a particle size of less than 35 microns in a ratio 98:2 percent by weight were co-micronized by milling in a jet mill operating under nitrogen to obtain the fraction of fine particles (a). At the end of the treatment, said co-micronized particles have a mass median diameter (MMD) of about 6 microns.
Example 3
Preparation of the “Carrier” (Fraction (a)+Fraction (b))
[0134] A sample of the fine particles of Example 1 were mixed with fissured coarse particles of α-lactose monohydrate having a mass diameter comprised between 212 and 355 microns, and obtained by sieving, in the ratio 90:10 percent by weight. The mixing was carried out in a Turbula mixer operating at a rotation speed of 16 r.p.m. for a period of 240 minutes. The resulting mixtures of particles, is termed hereinafter the “carrier”.
Example 4
Preparation of the Dry Powder Formulation
[0135] A portion of the “carrier” as obtained in Example 3 was mixed with micronized formoterol fumarate dihydrate (FF) in a Turbula mixer for 30 minutes at 32 r.p.m., and the resulting blend was forced through a sieve with mesh size of 0.3 mm (300 microns). Micronized beclometasone dipropionate (BDP) batch 1 or 4 as obtained in Example 1 and the remaining part of the “carrier” were blended in a Turbula mixer for 60 minutes at 16 r.p.m. with the sieved mixture to obtain the final formulation.
[0136] The ratio of the active ingredients to 10 mg of the “carrier” is 6 microgram of FF dihydrate (theoretical delivered dose 4.5 microgram) and 100 microgram of BDP. The powder formulations were characterized in terms of aerosol performances after loading it in the multidose dry powder inhaler described in WO 2004/012801, which is incorporated herein by reference in its entirety.
[0137] The evaluation of the aerosol performance was carried out using the Andersen Cascade Impactor (ACI) according to the conditions reported in the European Pharmacopeia 6 th Ed 2008, par 2.9.18, pages 293-295, which is incorporated herein by reference in its entirety. After aerosolization of 3 doses, the ACI apparatus was disassembled and the amounts of drug deposited in the stages were recovered by washing with a solvent mixture and then quantified by High-Performance Liquid Chromatography (HPLC). The following parameters, were calculated: i) the delivered dose which is the amount of drug delivered from the device recovered in the impactor; ii) the fine particle mass (FPM) which is the amount of delivered dose having a particle size equal to or lower than 5.0 microns; iii) the fine particle fraction (FPF) which is the percentage of the fine particle dose; and iv) the MMAD. The results (mean value±S.D) are reported in Table 2.
[0000]
TABLE 2
Aerosol performances.
Sample
Batch 1
Batch 4
FF
Delivered Dose (μg)
5.5
(±0.2)
5.1
(±0.3)
Fine Particle Mass < 5 μm (μg)
3.4
(±0.3)
3.2
(±0.2)
Fine Particle Fraction < 5 μm (%)
62.8
(±2.4)
63.0
(±2.2)
Fine Particle Mass < 1 μm (μg)
0.9
(±0.1)
0.8
(±0.1)
Fine Particle Fraction < 1 μm (%)
16.9
(±1.0)
15.6
(±0.4)
MMAD (μm)
1.69
(±0.0)
1.75
(±0.0)
BDP
Delivered Dose (μg)
89.8
(±3.7)
88.2
(±3.5)
Fine Particle Mass (μg)
54.0
(±4.0)
52.4
(± 2.9)
Fine Particle Fraction (%)
60.1
(±2.3)
59.4
(±1.8)
Fine Particle Mass < 1 μm (μg)
24.2
(±2.5)
23.1
(±1.7)
Fine Particle Fraction < 1 μm (%)
26.9
(±1.9)
26.2
(±1.2)
MMAD (μm)
1.23
(±0.1) a
1.25
(±0.1) a
a GSD which is the geometric standard deviation
[0138] From the data in Table 2, it can be appreciated that the formulations prepared using the micronized batches of BDP of Example 1 show a higher respirable fraction (FPF), for both the active ingredients (slightly more than 60%) than the corresponding pMDI formulation currently on the market (about 40%). They also give rise to a higher fraction of particles having a diameter equal or less than 1.1 microns (more than 25% for both the active ingredients).
Example 5
Therapeutic Equivalence of FF/BDP Dry Powder Formulation of the Invention with the Corresponding pMDI Formulation Currently on the Market
[0139] The study was designed to show that FF/BDP dry powder formulation delivered via the DPI disclosed in WO 2004/012801, which is incorporated herein by reference in its entirety, is therapeutically equivalent to the corresponding pMDI formulation on the market.
Study Design:
[0140] A 5-way cross-over, double-blind, double-dummy clinical study. 69 asthmatic patients with FEV 1 60% to 90% pred. were randomized. The 5 single doses tested were: 24/400 μg FF/BDP via DPI or pMDI, 6/100 μg FF/BDP via DPI or pMDI and placebo.
Primary Objective:
[0141] FEV 1 AUC 0-12 h which is the forced expiratory volume area under the curve for the time period 0 to 12 hours. FEV1 is the maximal amount of air that can be forcefully exhaled in one second.
Results
[0142] For FEV 1 AUC 0-12 h , non-inferiority between formulations was demonstrated with low dose and with high dose. Both doses were significantly better than placebo. Superiority of high dose versus low dose was shown for both formulations on FEV 1 AUC 0-12 h , reaching statistical significance for DPI. Safety and tolerability were good and comparable.
Example 6
Further Evidence of the Therapeutic Equivalence of FF/BDP Dry Powder Formulation of the Invention with the Corresponding pMDI Formulation Currently on the Market
[0143] The aim of the study was to test the efficacy of 6/100 μg FF/BDP dry powder formulation delivered via the DPI (hereinafter FF/BDP DPI) disclosed in WO 2004/012801, which is incorporated herein by reference in its entirety, versus the same dose of the corresponding pMDI formulation on the market (hereinafter FF/BDP pMDI) and the 100 μg BDP DPI formulation on the market (Clenil Pulvinal®, hereinafter BDP DPI).
Study Design:
[0144] A phase III, 8-week, multinational, multicentre, randomized, double-blind, triple-dummy, active controlled, 3-arm parallel-group clinical trial was carried out in adult asthmatic patients. One inhalation twice daily of each formulation was administered for one month of treatment.
Primary Objective:
[0145] To demonstrate that FF/BDP DPI is non-inferior to FF/BDP pMDI in terms of change from baseline to the entire treatment period in average pre-dose morning peak expiratory flow (PEF). PEF is a person's maximum speed of expiration, as measured with a peak flow meter, a small, hand-held device used to monitor a person's ability to breathe out air. It measures the airflow through the bronchi and thus the degree of obstruction in the airways.
Secondary Objectives:
[0146] To evaluate the superiority of FF/BDP DPI over BDP DPI in terms of change from baseline to the entire treatment period in average pre-dose morning PEF. To evaluate the effect of FF/BDP DPI on other lung function parameters and on clinical outcome measures, and the safety and tolerability.
Results:
[0147] The non-inferiority of FF/BDP DPI relative to FF/BDP pMDI in terms of the primary efficacy variable has been demonstrated. The same results as for pre-dose morning PEF have been obtained for pre-dose evening PEF. No significant differences between treatments in terms of daily PEF variability have been observed. The superiority over BDP DPI of both FF/BDP DPI and FF/BDP pMDI has also been demonstrated. The FF/BDP DPI formulation turned out to be comparable to FF/BDP pMDI in terms of safety and tolerability.
[0148] Where a numerical limit or range is stated herein, the endpoints are included. Also, all values and subranges within a numerical limit or range are specifically included as if explicitly written out.
[0149] As used herein the words “a” and “an” and the like carry the meaning of “one or more.”
[0150] Obviously, numerous modifications and variations of the present invention are possible in light of the above teachings. It is therefore to be understood that, within the scope of the appended claims, the invention may be practiced otherwise than as specifically described herein.
[0151] All patents and other references mentioned above are incorporated in full herein by this reference, the same as if set forth at length. | Dry powder formulations comprising a corticosteroid and a beta 2 -adrenergic drug in combination are useful for the prevention and/or treatment of inflammatory or obstructive airways diseases. | 50,638 |
FIELD OF THE INVENTION
The invention concerns thermoplastic molding compositions and in particular that contain aromatic polycarbonates.
SUMMARY OF THE INVENTION
A thermoplastic molding composition comprising polycarbonate and at least one aromatic formal is disclosed. The formal conforms to
The composition that is characterized by its reduced water uptake, is useful especially for the production of optical data carriers, such as compact discs.
TECHNICAL BACKGROUND OF THE INVENTION
The Application relates to new aromatic formals, thermoplastic molding compositions comprising polycarbonate and at least one aromatic formal according to the invention as an additive for lowering the water uptake of the polycarbonate and for improving the flowability, and the use of such molding compositions for the production of molded articles, in particular optical data carriers, such as e.g. compact discs, video discs, digital versatile discs and further optical data carriers which may be written to and deleted once or several times, and the corresponding molded articles themselves.
Polycarbonates are employed generally, because of their particular combination of properties, such as transparency, heat resistance and dimensional stability, as materials for injection molding or injection-compression molding of optical data carriers. To improve the processability, processing in general taking place at temperatures in the range from 300° C. to 400° C., additives such as mold release agents and stabilizers are as a rule added to the polycarbonate.
Aromatic polycarbonates based on bisphenol A are used in particular for the production of optical data carriers. However, they may absorb up to 0.34 wt. % of water, which may have an adverse effect on the dimensional stability of the data carriers. An improved dimensional stability is of importance, however, especially if blue or blue-green lasers are employed.
U.S. Pat. No. 6,391,418 describes substrates for data carrier media which comprise a biphenyl derivative as an additive for increasing the dimensional stability (lower shrinkage).
The addition of small amounts of m-terphenyl to bisphenol A polycarbonate, which leads to a reduction in the water uptake, is described in M. Ueda, Mitsubishi Engineering Plastics Corp., Technical Digest of Joint ISOM/ODS 2002 Waikoloa Hi., 8.7.2002, pages 33-35. The disadvantage of these biphenyl derivatives, however, is that they are highly conjugated aromatic π systems which already absorb in the blue or blue-green spectral region. This is undesirable in storage technologies which operate in this wavelength range. Furthermore, terphenyls are relatively rigid molecules, which has an adverse effect on the mechanical properties in the mixture with polycarbonate.
The possibilities described in the prior art thus do not lead to satisfactory results in every respect. However, no indication at all that formals could be suitable as additives is to be found in the prior art.
There was therefore the object of providing thermoplastic molding compositions which comprise polycarbonate with a reduced water uptake and as a result have a better dimensional stability. In particular, the new disc formats with a relatively high storage capacity and-possibly a thinner disc thickness, such as e.g. digital versatile discs (DVDs), require a higher heat stability compared with the CD. Damage to the material occurring during processing to molded articles and the formation of a deposit in the mold become more critical. It is thus desirable that an additive for reducing the water uptake at the same time has the effect of a lowering of the melt viscosity and therefore a better flow at somewhat lower temperatures.
With the molding compositions according to the invention, this object is surprisingly achieved by an improved quality of the data storage medium and an improved processability of the material in injection molding or the injection-compression molding process and a reduced water uptake and therefore improved dimensional stability.
The present Application therefore provides thermoplastic molding compositions comprising at least one polycarbonate and at least one aromatic formal according to the invention with a specific chemical structure as an additive for reducing the water uptake. These aromatic formals thus lead to an improved dimensional stability of the data carriers and at the same time have the effect of a lower melt viscosity.
In contrast to polycarbonate, aromatic polyformals may be prepared in a homogeneous phase from bisphenols and methylene chloride in the presence of alkali metal hydroxides. In this polycondensation, methylene chloride functions simultaneously as a reactant and as a solvent. U.S. Pat. No. 4,374,974 describes a process in which, starting from specific bisphenols, linear and cyclic oligo- and polyformals may be obtained after reaction with methylene chloride. The conversion of monofunctional phenols to low molecular weight aromatic formals by means of this synthesis variant is not described in the prior art.
S. Tanimoto et al., Bull. Inst. Chem. Res., Kyoto Univ., vol. 56, no. 6, 1978 discloses a synthesis in DMSO or acetonitrile in the presence of 18-crown-6 for certain methyl-, chloro-, bromo- and methoxy-substituted species as a new possible use for this phase transfer catalyst. However, nothing is said about the synthesis of further formals or the usability thereof.
DETAILED DESCRIPTION OF THE INVENTION
The aromatic formals according to the invention are based on the general formula
wherein
R 1 and R 2 represent hydrogen or phenyl, R 3 and R 4 independently of one another represent hydrogen, linear or branched C 1 -C 40 -alkyl or -alkoxy, preferably C 1 to C 32 -alkyl or -alkoxy, particularly preferably C 1 to C 28 -alkyl or -alkoxy, very particularly preferably C 1 to C 26 -alkyl or -alkoxy and especially very particularly preferably C 1 to C 24 -alkyl or -alkoxy, optionally substituted C 6 to C 14 -aryl or -aryloxy, preferably C 6 to C 10 -aryl or -aryloxy, or C 7 to C 30 -aralkyl, particularly preferably C 7 to C 24 -aralkyl, and n and m independently of one another represent an integer between 0 and 5, preferably 1 to 3, particularly preferably 1 to 2 and very particularly preferably 1, it also being possible for these to be isomer mixtures.
Compounds of the formula (1) in which at least one of the radicals R 3 and R 4 independently of one another is selected from the alkyl substituents defined above are also preferred.
Compounds of the formula (1) in which at least one of the radicals R 3 and R 4 independently of one another is selected from the alkoxy substituents defined above are also preferred.
Compounds of the formula (1) in which at least one of the radicals R 3 and R 4 independently of one another is selected from the aryl substituents defined above are also preferred.
Compounds of the formula (1) in which at least one of the radicals R 3 and R 4 independently of one another is selected from the aryloxy substituents defined above are also preferred.
Compounds of the formula (1) in which at least one of the radicals R 3 and R 4 independently of one another is selected from the aralkyl substituents defined above are also preferred.
The aromatic formals are very particularly preferably described by the general formula (2)
wherein
R 3 , R 4 , m and n have the abovementioned meanings, it also being possible for these to be isomer mixtures.
The compounds of the formulae (1) and (2) in which R 3 and R 4 have the same meaning are furthermore very particularly preferred.
The present invention furthermore relates to a process for the preparation of formals of the formulae (1) and (2), characterized in that a monofunctional phenol or a mixture of monofunctional phenols of the formula
wherein
R 3 and n have the abovementioned meanings,
are reacted in a homogeneous solution of methylene chloride or α,α-dichlorotoluene and a suitable high-boiling solvent, such as, for example, N-methylpyrrolidone (NMP), dimethylformamide (DMF), N-methylcaprolactam (NMC), chlorobenzene, dichlorobenzene or tetrahydrofuran (THF), in the presence of a base, preferably sodium hydroxide (NaOH) or potassium hydroxide (KOH) and very particularly NaOH, preferably at temperatures of between 30 and 80° C., particularly preferably between 50 and 80° C. and very particularly preferably between 60 and 80° C. Preferred high-boiling solvents are NMP, DMF and NMC, particularly preferably NMP and NMC and very particularly preferably NMP.
The phenols of the formula (3) are known or may be prepared by processes known from the literature, for example by Friedel-Crafts alkylation (Organikum, Organisch-chemisches Grundpraktikum, corrected reprint of the 20th edition, Wiley-VCH, Weinheim, p. 355, 1999). Very many phenols are also commercially obtainable (suppliers e.g. Aldrich, Fluka, Acros etc.). It is also being possible to use the phenols of formula (3) as isomer mixtures or as a mixture of various phenols of the formula (3).
The molding compositions according to the invention in general comprise the aromatic formals in a content of 10-60,000 ppm, preferably 10-50,000 ppm, particularly preferably 20-40,000 ppm, very particularly preferably between 50 and 30,000 ppm.
Embodiments which make use of the parameters, compounds, definitions and explanations mentioned under preferred, particularly preferred or very particularly preferred are preferred, particularly preferred or very particularly preferred.
The definitions, parameters, compounds and explanations mentioned generally in the description or mentioned in preferred ranges, however, may also be combined with one another as desired, that is to say between the particular ranges and preferred ranges.
The invention furthermore provides the use of such molding compositions for the production of optical data carriers, such as e.g. compact discs, video discs, digital versatile discs and further optical data carriers which may be written to and deleted once or several times, and the optical data carriers themselves which may be produced from the polymer mixtures.
The molding compositions may of course also be used for other traditional polycarbonate uses, including in those which use a polycarbonate with a relatively high molecular weight. The uses may be transparent or opaque, such as, for example: foodstuffs and drinks packaging, optical lenses and prisms, lenses for illumination purposes, automobile headlamp lenses, glazing for construction and motor vehicles and panes of another type, such as for greenhouses, so-called twin-wall sheets or hollow sheets. Other examples of the uses are profiles, films, all types of housings, e.g. for medical equipment and domestic appliances, such as juice presses, coffee machines and mixers; for office machines, such as computers, monitors, printers and copiers; for sheets, pipes, electrical installation conduits, windows, doors and profiles for the construction sector, interior fitting-out and exterior uses; and in the electrical engineering field, e.g. for switches and plugs. The molded articles according to the invention may furthermore be used for interior fittings and components of track vehicles, ships, aircraft, buses and other motor vehicles and for motor vehicle body parts.
Thermoplastic molding compositions in the context of the present invention predominantly comprise aromatic polycarbonates. Polycarbonates are to be understood as meaning both homopolycarbonates and copolycarbonates; the polycarbonate may be linear or branched in a known manner. They have a weight-average molecular weight, determined by gel permeation chromatography, of 5,000 to 80,000, preferably 10,000 to 40,000. The molecular weight is particularly preferably between 15,000 and 35,000, in particular 15,000 and 22,000.
These polycarbonates are prepared in a known manner from diphenols, carbonic acid derivatives, optionally chain terminators and optionally branching agents.
Details of the preparation of polycarbonates have been laid down in many patent specification for about 40 years. Reference may be made here by way of example only to Schnell, “Chemistry and Physics of Polycarbonates”, Polymer Reviews, volume 9, Interscience Publishers, New York, London, Sydney 1964, to D. Freitag, U. Grigo, P. R. Müller, H. Nouvertne', BAYER AG, “Polycarbonates” in Encyclopedia of Polymer Science and Engineering, volume 11, second edition, 1988, pages 648-718 and finally to Dres. U. Grigo, K. Kirchner and P. R. Müller “Polycarbonate” in Becker/Braun, Kunststoff-Handbuch, volume 3/1, Polycarbonate, Polyacetale, Polyester, Celluloseester, Carl Hanser Verlag Munich, Vienna 1992, pages 117-299.
Compounds which are suitable for the preparation of the polycarbonates are, for example, hydroquinone, resorcinol, dihydroxydiphenyls, bis-(hydroxyphenyl)-alkanes bis-(hydroxyphenyl)-cycloalkanes, bis-(hydroxyphenyl) sulfides, bis-(hydroxyphenyl) ethers, bis-(hydroxyphenyl) ketones, bis(hydroxyphenyl) sulfones, bis-(hydroxyphenyl)-sulfoxides, α,α′-bis-(hydroxyphenyl)-diisopropylbenzenes and nucleus-alkylated and nucleus-halogenated compounds thereof.
Preferred diphenols are 4,4′-dihydroxydiphenyl, 2,2-bis-(4-hydroxyphenyl)-propane, 2,4-bis-(4-hydroxyphenyl)-2-methylbutane, 1,1-bis-(4-hydroxyphenyl)-p-diisopropylbenzene, 2,2-bis-(3-methyl-4-hydroxyphenyl)-propane, 2,2-bis-(3-chloro-4-hydroxyphenyl)-propane, bis-(3,5-dimethyl-4-hydroxyphenyl)-methane, 2,2-bis-(3,5-dimethyl-4-hydroxyphenyl)-propane, bis-(3,5-dimethyl-4-hydroxyphenyl) sulfone, 2,4-bis-(3,5-dimethyl-4-hydroxyphenyl)-2-methylbutane, 1,4-bis-[2-(4-hydroxyphenyl)-2-propyl]benzene, 2,2-bis-(3,5-dichloro-4-hydroxyphenyl)-propane, 2,2-bis-(3,5-dibromo-4-hydroxyphenyl)-propane, 1,1-bis-(4-hydroxyphenyl)-3,3,5-trimethylcyclohexane and 1,3-bis-[2-(4-hydroxyphenyl)-2-propyl]benzene.
Particularly preferred diphenols are 2,2-bis-(4-hydroxyphenyl)-propane (BPA), 2,2-bis-(3,5-dimethyl-4-hydroxyphenyl)-propane, 2,2-bis-(3,5-dichloro-4-hydroxyphenyl)-propane, 2,2-bis-(3,5-dibromo-4-hydroxyphenyl)-propane, 1,3-bis-[2-(4-hydroxyphenyl)-2-propyl]-benzene (BPM), 1,1-bis-(4-hydroxyphenyl)-cyclohexane and 1,1-bis-(4-hydroxyphenyl)-3,3,5-trimethylcyclohexane (TMC).
These and further suitable diphenols are described e.g. in U.S. Pat. Nos. 3,028,635, 2,999,835, 3,148,172, 2,991,273, 3,271,367, 4,982,014 and 2,999,846, in DE-A 1 570 703, 2 063 050, 2 036 052, 2 211 956 and 3 832 396, French Patent Specification 1 561 518, in the monograph “H. Schnell, Chemistry and Physics of Polycarbonates, Interscience Publishers, New York 1964” and in JP-A 62039/1986, 62040/1986 and 105550/1986.
In the case of the homopolycarbonates only one diphenol is employed, and in the case of the copolycarbonates several diphenols are employed.
Molding compositions which comprise at least one polycarbonate with diol units from BPA and/or trimethylcyclohexyl-bisphenol (TMC), preferably selected from the group consisting of homopolymers of BPA, copolymers of BPA with TMC or copolymers with 5 to 60 wt. % TMC, are preferably used.
Suitable carbonic acid derivatives are, for example, phosgene or diphenyl carbonate.
Suitable chain terminators are both monophenols and monocarboxylic acids. Suitable monophenols are phenol itself, alkylphenols, such as cresols, p-tert-butylphenol, p-n-octylphenol, p-iso-octylphenol, p-n-nonylphenol and p-iso-nonylphenol and p-cumylphenol, halogenophenols, such as p-chlorophenol, 2,4-dichlorophenol, p-bromophenol, amylphenol and 2,4,6-tribromophenol, and mixtures thereof.
Preferred chain terminators are the phenols of the formula (I)
wherein R is hydrogen, tert-butyl or a branched or unbranched C 8 - and/or C 9 -alkyl radical. However, p-cumylphenol may also preferably be used. In the case of the transesterification process, the chain terminator results from the diaryl carbonate employed.
The amount of chain terminator to be employed, preferably in the phase boundary process, is 0.1 mol % to 5 mol %, based on the moles of the particular diphenols employed. The addition of the chain terminator may take place before, during or after the phosgenation.
Suitable branching agents are the compounds which are trifunctional or more than trifunctional and are known in polycarbonate chemistry, in particular those with three or more than three phenolic OH groups.
Suitable branching agents are, for example, phloroglucinol, 4,6-dimethyl-2,4,6-tri-(4-hydroxyphenyl)-hept-2-ene, 4,6-dimethyl-2,4,6-tri-(4-hydroxyphenyl)-heptane, 1,3,5-tri-(4-hydroxyphenyl)-benzene, 1,1,1-tri-(4-hydroxyphenyl)-ethane, tri-(4-hydroxyphenyl)-phenylmethane, 2,2-bis-[4,4-bis-(4-hydroxyphenyl)-cyclohexyl]-propane, 2,4-bis-(4-hydroxyphenyl-isopropyl)-phenol, 2,6-bis-(2-hydroxy-5′-methyl-benzyl)-4-methylphenol, 2-(4-hydroxyphenyl)-2-(2,4-dihydroxyphenyl)-propane, hexa-(4-(4-hydroxyphenyl-isopropyl)-phenyl)-orthoterephthalic acid ester, tetra-(4-hydroxyphenyl)-methane, tetra-(4-(4-hydroxyphenyl-isopropyl)-phenoxy)-methane and 1,4-bis-(4′,4″-dihydroxytriphenyl)-methyl)-benzene, as well as 2,4-dihydroxybenzoic acid, trimesic acid, cyanuric chloride and, for some uses, even preferably 3,3-bis-(3-methyl-4-hydroxyphenyl)-2-oxo-2,3-dihydroindole.
The amount of branching agents which are optionally to be employed is 0.01 mol % to 2 mol %, again based on the moles of the particular diphenols employed.
In the phase boundary process, the branching agents either may be initially introduced into the reaction vessel with the diphenols and the chain terminators in the aqueous alkaline phase, or may be added as a solution in an organic solvent. In the case of the transesterification process the branching agents may be employed together with the diphenols.
All these measures for the preparation of the thermoplastic polycarbonates are familiar to the expert.
The thermoplastic polymer mixtures according to the invention may furthermore comprise conventional additives for polycarbonates in the known amounts, such as, by way of example and preferably, stabilizers against UV radiation, flameproofing agents, dyestuffs, fillers, foams, optical brighteners and antistatics.
Those components which do not adversely influence the transparency of the material are preferably taken for optical uses.
These substances are to be found in many publications, such as, for example, in Additives for Plastics Handbook, John Murphy, 1999, and are commercially obtainable.
1. Suitable antioxidants are, for example:
1.1. Alkylated monophenols, for example 2,6-di-tert-butyl-4-methylphenol, 2-tert-butyl-4,6-dimethylphenol, 2,6-di-tert-butyl-4-ethylphenol, 2,6-di-tert-butyl-4-n-butylphenol, 2,6-di-tert-butyl-4-isobutylphenol, 2,6-dicyclopentyl-4-methylphenol, 2-(α-methylcyclohexyl)-4,6-dimethylphenol, 2,6-dioctadecyl-4-methylphenol, 2,4,6-tricyclohexylphenol, 2,6-di-tert-butyl-4-methoxymethylphpenol, nonylphenols which are linear or branched in the side chain, for example 2,6-dinonyl-4-methylphenol, 2,4-dimethyl-6-(1′-methylundec-1′-yl)phenol, 2,4-dimethyl-6-(1′-methylheptadec-1′-yl)phenol and 2,4-dimethyl-6-(1′-methyltridec-1′-yl)phenol.
1.2. Alkylthiomethylphenols, for example 2,4-dioctylthiomethyl-6-tert-butylphenol, 2,4-dioctylthiomethyl-6-methylphenol, 2,4-dioctylthiomethyl-6-ethylphenol and 2,6-didodecylthiomethyl-4-nonylphenol.
1.3. Hydroquinones and alkylated hydroquinones, for example 2,6-di-tert-butyl-4-methoxyphenol, 2,5-di-tert-butylhydroquinone, 2,5-di-tert-amylhydroquinone, 2,6-diphenyl-4-octadecyloxyphenol, 2,6-di-tert-butylhydroquinone, 2,5-di-tert-butyl-4-hydroxyanisole, 3,5-di-tert-butyl-4-hydroxyanisole, 3,5-di-tert-butyl-4-hydroxyphenyl stearate and bis(3,5-di-tert-butyl-4-hydroxyphenyl) adipate.
1.4. Tocopherols, for example α-tocopherol, β-tocopherol, γ-tocopherol, δ-tocopherol and mixtures thereof (vitamin E).
1.5. Hydroxylated thiodiphenyl ethers, for example 2,2′-thiobis(6-tert-butyl-4-methylphenol), 2,2′-thiobis(4-octylphenol), 4,4′-thiobis(6-tert-butyl-3-methylphenol), 4,4′-thiobis(6-tert-butyl-2-methylphenol), 4,4′-thiobis(3,6-di-sec-amylphenol) and 4,4′-bis(2,6-dimethyl-4-hydroxyphenyl) disulfide.
1.6. Alkylidenebisphenols, for example 2,2′-methylenebis(6-tert-butyl-4-methylphenol), 2,2′-methylenebis(6-tert-butyl-4-ethylphenol), 2,2′-methylenebis[4-methyl-(6-α-methylcyclohexyl)phenol)], 2,2′-methylenebis(4-methyl-6-cyclohexylphenol), 2,2′-methylenebis(6-nonyl-4-methylphenol), 2,2′-methylenebis(4,6-di-tert-butylphenol), 2,2′-ethylidenebis(4,6-di-tert-butylphenol), 2,2′-ethylidenebis(6-tert-butyl-4-isobutylphenol), 2,2′-methylenebis[6-(α-methylbenzyl)-4-nonylphenol], 2,2′-methylenebis[6-(α,α-dimethylbenzyl)-4-nonylphenol], 4,4′-methylenebis(2,6-di-tert-butylphenol), 4,4′-methylenebis(6-tert-butyl-2-methylphenol), 1,1-bis(5-tert-butyl-4-hydroxy-2-methylphenyl)butane, 2,6-bis(3-tert-butyl-5-methyl-2-hydroxybenzyl)-4-methylphenol, 1,1,3-tris(5-tert-butyl-4-hydroxy-2-methylphenyl)butane, 1,1-bis(5-tert-butyl-4-hydroxy-2-methylphenyl)-3-n-dodecylmeraptobutane, ethylene glycol bis[3,3-bis(3′-tert-butyl-4′-hydroxyphenyl)butyrate], bis(3-tert-butyl-4-hydroxy-5-methylphenyl)dicyclopentadiene, bis[2-(3′-tert-butyl-2′-hydroxy-5′-methylbenzyl)-6-tert-butyl-4-methylphenyl]terephthalate, 1,1-bis(3,5-dimethyl-2-hydroxyphenyl)butane, 2,2-bis(3,5-di-tert-butyl-4-hydroxyphenyl)propane, 2,2-bis(5-tert-butyl-4-hydroxy-2-methylphenyl)-4-n-dodecylmercaptobutane and 1,1,5,5-tetra-(5-tert-butyl-4-hydroxy-2-methylphenyl)pentane.
1.7. O-, N- and S-benzyl compounds, for example 3,5,3′,5′-tetra-tert-butyl-4,4′-dihydroxydibenzyl ether, octadecyl 4-hydroxy-3,5-dimethylbenzylmercaptoacetate, tridecyl 4-hydroxy-3,5-di-tert-butylbenzylmercaptoacetate, tris(3,5-di-tert-butyl-4-hydroxybenzyl)amine, bis(4-tert-butyl-3-hydroxy-2,6-dimethylbenzyl) dithioterephthalate, bis(3,5-di-tert-butyl-4-hydroxybenzyl) sulfide and isooctyl 3,5-di-tert-butyl-4-hydroxybenzylmercaptoacetate.
1.8. Hydroxybenzylated malonates, for example dioctadecyl 2,2-bis(3,5-di-tert-butyl-2-hydroxybenzyl)malonate, dioctadecyl 2-(3-tert-butyl-4-hydroxy-5-methylbenzyl)malonate, didodecylmercatoethyl 2,2-bis(3,5-di-tert-butyl-4-hydroxybenzyl)malonate and bis[4-(1,1,3,3-tetramethylbutyl)phenyl]2,2-bis(3,5-di-tert-butyl-4-hydroxybenzyl)malonate.
1.9. Aromatic hydroxybenzyl compounds, for example 1,3,5-tris-(3,5-di-tert-butyl-4-hydroxybenzyl)-2,4,6-trimethylbenzene, 1,4-bis(3,5-di-tert-butyl-4-hydroxybenzyl)-2,3,5,6-tetramethylbenzene and 2,4,6-tris(3,5-di-tert-butyl-4-hydroxybenzyl)-phenol.
1.10. Triazine compounds, for example 2,4-bis(octylmercapto)-6-3,5-di-tert-butyl-4-hydroxyanilino)-1,3,5-triazine, 2-octylmercapto-4,6-bis(3,5-di-tert-butyl-4-hydroxyanilino)-1,3,5-triazine, 2-octylmercapto-4,6-bis(3,5-di-tert-butyl-4-hydroxyphenoxy)-1,3,5-triazine, 2,4,6-tris(3,5-di-tert-butyl-4-hydroxyphenoxy)-1,2,3-triazine, 1,3,5-tris(3,5-di-tert-butyl-4-hydroxybenzyl) isocyanurate, 1,3,5-tris(4-tert-butyl-3-hydroxy-2,6-dimethylbenzyl) isocyanurate, 2,4,6-tris(3,5-di-tert-butyl-4-hydroxy-phenylethyl)-1,3,5-triazine, 1,3,5-tris(3,5-di-tert-butyl-4-hydroxyphenylpropionyl)-hexahydro-1,3,5-triazine and 1,3,5-tris(3,5-dicyclohexyl-4-hydroxybenzyl) isocyanurate.
1.11. Acylaminophenols, for example 4-hydroxylauranilide, 4-hydroxystearanilide and octyl N-(3,5-di-tert-butyl-4-hydroxyphenyl)carbamate.
1.12. Esters of β-(3,5-di-tert-butyl-4-hydroxyphenyl)propionic acid with mono- or polyhydric alcohols, e.g. with methanol, ethanol, n-octanol, i-octanol, octadecanol, 1,6-hexanediol, 1,9-nonanediol, ethylene glycol, 1,2-propanediol, neopentylglycol, thiodiethylene glycol, diethylene glycol triethylene glycol, pentaerythritol, tris(hydroxyethyl) isocyanurate, N,N′-bis(hydroxyethyl)oxamide, 3-thiaundecanol, 3-thiapentadecanol, trimethylhexanediol, trimethylolpropane and 4-hydroxymethyl-1-phospha-2,6,7-trioxabicyclo[2.2.2]octane; the ester with octadecanol (IRGANOX 1076® from Ciba Spec.) is very particularly suitable and preferred here.
1.13. Esters of β-(5-tert-butyl-4-hydroxy-3-methylphenyl)propionic acid with mono- or polyhydric alcohols, e.g. with methanol, ethanol, n-octanol, i-octanol, octadecanol, 1,6-hexanediol, 1,9-nonanediol, ethylene glycol, 1,2-propanediol, neopentylglycol, thiodiethylene glycol, diethylene glycol triethylene glycol, pentaerythritol, tris(hydroxyethyl) isocyanurate, N,N′-bis(hydroxyethyl)oxamide, 3-thiaundecanol, 3-thiapentadecanol, trimethylhexanediol, trimethylolpropane and 4-hydroxymethyl-1-phospha-2,6,7-trioxabicyclo[2.2.2]octane.
1.14. Esters of β-(3,5-dicyclohexyl-4-hydroxyphenyl)propionic acid with mono- or polyhydric alcohols, e.g. with methanol, ethanol, octanol, octadecanol, 1,6-hexanediol, 1,9-nonanediol, ethylene glycol, 1,2-propanediol, neopentylglycol, thiodiethylene glycol, diethylene glycol triethylene glycol, pentaerythritol, tris(hydroxyethyl) isocyanurate, N,N′-bis(hydroxyethyl)oxamide, 3-thiaundecanol, 3-thiapentadecanol, trimethylhexanediol, trimethylolpropane and 4-hydroxymethyl-1-phospha-2,6,7-trioxabicyclo[2.2.2]octane.
1.15. Esters of 3,5-di-tert-butyl-4-hydroxyphenylacetic acid with mono- or polyhydric alcohols, e.g. with methanol, ethanol, octanol, octadecanol, 1,6-hexanediol, 1,9-nonanediol, ethylene glycol, 1,2-propanediol, neopentylglycol, thiodiethylene glycol, diethylene glycol triethylene glycol, pentaerythritol, tris(hydroxyethyl) isocyanurate, N,N′-bis(hydroxyethyl)oxamide, 3-thiaundecanol, 3-thiapentadecanol, trimethylhexanediol, trimethylolpropane and 4-hydroxymethyl-1-phospha-2,6,7-trioxabicyclo[2.2.2]octane.
1.16. Amides of β-(3,5-di-tert-butyl-4-hydroxyphenyl)propionic acid, e.g. N,N′-bis(3,5-di-tert-butyl-4-hydroxyphenylpropionyl)hexamethylenediamide, N,N′-bis(3,5-di-tert-butyl-4-hydroxyphenylpropionyl)trimethylenediamide, N,N′-bis(3,5-di-tert-butyl-4-hydroxyphenylpropionyl)hydrazide and N,N′-bis[2-(3-[3,5-di-tert-butyl-4-hydroxyphenyl]propionyloxy)ethyl]oxamide (Naugard® XL-1 from Uniroyal).
1.17. Ascorbic acid (vitamin C)
1.18. Aminic antioxidants, for example N,N′-diisopropyl-p-phenylenediamine, N,N′-di-sec-butyl-p-phenylenediamine, N,N′-bis(1,4-dimethylpentyl)-p-phenylenediamine, N,N′-bis(1-ethyl-3-methylpentyl)-p-phenylenediamine, N,N′-bis(1-methylheptyl)-p-phenylenediamine, N,N′-dicyclohexyl-p-phenylenediamine, N,N′-diphenyl-p-phenylenediamine, N,N′-bis(2-naphthyl)-p-phenylenediamine, N-isopropyl-N′-phenyl-p-phenylenediamine, N-(1,3-dimethylbutyl)-N′-phenyl-p-phenylenediamine, N-(1-methylheptyl)-N′-phenyl-p-phenylenediamine, N-cyclohexyl-N′-phenyl-p-phenylenediamine, 4-(p-toluenesulfamoyl)diphenylamine, N,N′-dimethyl-N,N′-di-sec-butyl-p-phenylenediamine, diphenylamine, N-allyldiphenylamine, 4-isopropoxy-diphenylamine, N-phenyl-1-naphthylamine, N-(4-tert-octylphenyl)-1-naphthylamine, N-phenyl-2-naphthylamine, octylated diphenylamine, for example p,p′-di-tert-octyl-diphenylamine, 4-n-butylamino-phenol, 4-butyrylaminophenol, 4-nonanoylaminophenol, 4-dodecanoylamino-phenol, 4-octadecanoylaminophenol, bis(4-methoxyphenyl)amine, 2,6-di-tert-butyl-4-dimethylaminomethylphenol, 2,4′-diaminodiphenylmethane, 4,4′-diaminodiphenylmethane, N,N,N′,N′-tetramethyl-4,4′-diaminodiphenylmethane, 1,2-bis[(2-methylphenyl)amino]ethane, 1,2-bis(phenylamino)propane, (o-tolyl)biguanide, bis[4-(1′,3′-dimethylbutyl)phenyl]amine, tert-octylated N-phenyl-1-naphthylamine a mixture of mono- and dialkylated tert-butyl/tert-octyldiphenylamines, a mixture of mono- and dialkylated nonyldiphenylamines, a mixture of mono- and dialkylated dodecyldiphenylamines, a mixture of mono- and dialkylated isopropyl/isohexyldiphenylamines, a mixture of mono- and dialkylated tert-butyldiphenylamines, 2,3-dihydro-3,3-dimethyl-4H-1,4-benzothiazine, phenothiazine, a mixture of mono- and dialkylated tert-butyl/tert-octylphenothiazines, a mixture of mono- and dialkylated tert-octylphenothiazines, N-allylphenothiazine, N,N,N′,N′-tetraphenyl-1,4-diaminobut-2-ene, N,N-bis(2,2,6,6-tetremethylpiperid-4-ylhexamethylenediamine, bis(2,2,6,6-tetramethylpiperid-4-yl) sebacate, 2,2,6,6-tetramethylpiperidin-4-one and 2,2,6,6-tetramethylpiperidin-4-ol. Individual compounds of these or mixtures thereof may be employed.
1.19 Suitable thio-synergists are, for example, dilauryl thiodipropionate and/or distearyl thiodipropionate.
2. UV absorbers and light stabilizers may be employed in the compositions according to the invention in amounts of 0.1 to 15 wt. %, preferably 3 to 8 wt. %, based on the weight of the composition. Suitable UV absorbers and light stabilizers are, for example:
2.1. 2-(2′-Hydroxyphenyl)benzotriazoles, for example 2-(2′-hydroxy-5′-methylphenyl)benzotriazole, 2-(3′,5′-di-tert-butyl-2′-hydroxyphenyl)benzotriazole, 2-(5′-tert-butyl-2′-hydroxyphenylbenzotriazole, 2-(2′-hydroxy-5′-(1,1,3,3-tetramethylbutyl)phenyl)benzotriazole, 2-(3′,5′-di-tert-butyl-2′-hydroxyphenyl)-5-chlorobenzotriazole, 2-(3′-tert-butyl-2′-hydroxy-5′-methylphenyl)-5-chlorobenzotriazole, 2-(3′-sec-butyl-5′-tert-butyl-2′-hydroxyphenyl)benzotriazole, 2-(2′-hydroxy-4′-octyloxyphenyl)benzotriazole, 2-(3′,5′-di-tert-amyl-2′-hydroxyphenyl)benzotriazole, 2-(3′,5′-bis(α,α-dimethylbenzyl)-2′-hydroxyphenyl)benzotriazole, 2-(3′-tert-butyl-2′-hydroxy-5′-(2-octyloxycarbonyl-ethyl)phenyl)-5-chlorobenzotriazole, 2-(3′-tert-butyl-5′-[2-(2-ethylhexyloxy)carbonyl-ethyl]-2′-hydroxyphenyl)-5-chlorobenzotriazole, 2-(3′-tert-butyl-2′-hydroxy-5′-(2-methoxycarbonylethyl)phenyl)-5-chlorobenzotriazole, 2-(3′-tert-butyl-2′-hydroxy-5′-(2-methoxycarbonylethyl)phenyl)benzotriazole, 2-(3′-tert-butyl-2′-hydroxy-5′-(2-octyloxycarbonylethyl)phenyl)benzotriazole, 2-(3′-tert-butyl-5′-[2-(2-ethylhexyloxycarbonylethyl]-2′-hydroxyphenyl)benzotriazole, 2-(3′-dodecyl-2′-hydroxy-5′-methylphenyl)benzotriazole, 2-(3′-tert-butyl-2′-hydroxy-5′-(2-isooctyloxycarbonylethyl)phenyl)benzotriazole, 2,2′-methylenebis[4-(1,1,3,3-tetramethylbutyl)-6-benzotriazol-2-ylphenol]; the transestification product of 2-[3′-tert-butyl-5′-(2-methoxycarbonylethyl)-2′-hydroxyphenyl]-2H-benzotriazole with polyethylene glycol 300; [R—CH 2 CH 2 —COO—CH 2 CH 2 —] 2 , wherein R=3′-tert-butyl-4′-hydroxy-5′-2H-benzotriazol-2-ylphenyl, 2-[2′-hydroxy-3′-(α,α-dimethylbenzyl)-5′-(1,1,3,3-tetramethylbutyl)phenyl]benzotriazole and 2-[2′-hydroxy-3′-(1,1,3,3-tetramethylbutyl)-5′-(α,α-dimethylbenzyl)phenyl]benzotriazole.
2.2 2-Hydroxybenzophenones, for example the 4-hydroxy, 4-methoxy, 4-octyloxy, 4-decyloxy, 4-dodecyloxy, 4-benzyloxy, 4,2′,4′-trihydroxy and 2′-hydroxy-4,4′-dimethoxy derivatives.
2.3 Esters of substituted and unsubstituted benzoic acids, such as, for example, 4-tert-butylphenyl salicylate, phenyl salicylate, octylphenyl salicylate, dibenzoylresorcinol, bis(4-tert-butylbenzoyl)resorcinol, benzoylresorcinol, 2,4-di-tert-butylphenyl 3,5-di-tert-butyl-4-hydroxybenzoate, hexadecyl 3,5-di-tert-butyl-4-hydroxybenzoate, octadecyl 3,5-di-tert-butyl-4-hydroxybenzoate and 2-methyl-4,6-di-tert-butylphenyl 3,5-di-tert-butyl-4-hydroxybenzoate
2.4. Acrylates, for example ethyl α-cyano-β,β-diphenylacrylate, isooctyl α-cyano-β,β-diphenylacrylate, methyl α-carbomethoxycinnamate, methyl α-cyano-β-methyl-p-methoxycinnamate, butyl α-cyano-β-methyl-p-methoxycinnamate, methyl α-carbomethoxy-p-methoxycinnamate and N-(β-carbomethoxy-β-cyanovinyl)-2-methylindoline.
2.5. Nickel compounds, for example nickel complexes of 2,2′-thiobis[4-(1,1,3,3-tetramethylbutyl)]phenol], such as the 1:1 or 1:2 complex, with or without additional ligands, such as n-butylamine, triethanolamine or N-cyclohexyldiethanolamine, nickel dibutyldithiocarbamate, nickel salts of monoalkyl esters, e.g. of the methyl or ethyl ester, of 4-hydroxy-3,5-di-tert-butylbenzylphosphonic acid, nickel complexes of ketoximes, e.g. of 2-hydroxy-4-methylphenyl undecyl ketoxime, and nickel complexes of 1-phenyl-4-lauroyl-5-hydroxypyrazole, with or without additional ligands.
2.6 Sterically hindered amines, for example bis(2,2,6,6-tetramethyl-4-piperidyl) sebacate, bis(2,2,6,6-tetramethyl-4-piperidyl) succinate, bis(1,2,2,6,6-pentamethyl-4-piperidyl) sebacate, bis(1-octyloxy-2,2,6,6-tetramethyl-4-piperidyl) sebacate, bis(1,2,2,6,6-pentamethyl-4-piperidyl), n-butyl 3,5-di-tert-butyl-4-hydroxybenzyl-malonate, the condensate of 1-(2-hydroxyethyl)-2,2,6,6-tetramethyl-4-hydroxypiperidine and succinic acid, linear or cyclic condensates of N,N′-bis(2,2,6,6-tetramethyl-4-piperidyl)hexamethylenediamine and 4-tert-octylamino-2,6-dichloro-1,3,5-triazine, tris(2,2,6,6-tetramethyl-4-piperidyl) nitrilotriacetate, tetrakis(2,2,6,6-tetramethyl-4-piperidyl) 1,2,3,4-butanetetracarboxylate, 1.1′-(1,2-ethanediyl) bis(3,3,5,5-tetramethylpiperazinone), 4-benzoyl-2,2,6,6-tetramethylpiperidine, 4-stearyloxy-2,2,6,6-tetramethylpiperidine, bis(1,2,2,6,6-pentamethylpiperidyl) 2-n-butyl-2-(2-hydroxy-3,5-di-tert-butylbenzyl)malonate, 3-n-octyl-7,7,9,9-tetramethyl-1,3,8-triazaspiro[4.5]decane-2,4-dione, bis(1-octyloxy-2,2,6,6-tetramethylpiperidyl) sebacate, bis(1-octyloxy-2,2,6,6-tetramethylpiperidyl) succinate, linear or cyclic condensates of N,N′-bis(2,2,6,6-tetramethyl-4-piperidyl)hexamethylenediamine and 4-morpholino-2,6-dichloro-1,3,5-triazine, the condensate of 2-chloro-4,6-bis(4-n-butylamino-2,2,6,6-tetramethylpiperidyl)-1,3,5-triazine and 1,2-bis(3-aminopropylamino)ethane, the condensate of 2-chloro-4,6-bis(4-n-butylamino-1,2,2,6,6-pentamethylpiperidyl)-1,3,5-triazine and 1,2-bis(3-aminopropylamino)ethane, 8-acetyl-3-dodecyl-7,7,9,9-tetramethyl-1,3,8-triazaspiro[4.5 ]decane-2,4-dione, 3-dodecyl-1-(2,2,6,6-tetramethyl-4-piperidyl)pyrrolidine-2,5-dione, 3-dodecyl-1-(1,2,2,6,6-pentamethyl-4-piperidyl)pyrrolidine-2,5-dione, a mixture of 4-hexadecyloxy- and 4-stearyloxy-2,2,6,6-tetramethylpiperidine, a condensation product of N,N′-bis(2,2,6,6-tetramethyl-4-piperidyl)hexamethylenediamine and 4-cyclohexylamino-2,6-dichloro-1,3,5-triazine, a condensation product of 1,2-bis(3-aminopropylamino)ethane and 2,4,6-trichloro-1,3,5-triazine as well as 4-butylamino-2,2,6,6-tetramethylpiperidine (CAS reg. no. [136504-96-6]; N-(2,2,6,6-tetramethyl-4-piperidyl)-n-dodecyl-succinimide, N-(1,2,2,6,6-pentamethyl-4-piperidyl)-n-dodecyl-succinimide, 2-undecyl-7,7,9,9-tetramethyl-1-oxa-3,8-diaza-4-oxospiro[4.5]decane, a reaction product of 7,7,9,9-tetramethyl-2-cycloundecyl-1-oxa-3,8-diaza-4-oxospiro[4.5]decane and epichlorohydrin, 1,1-bis(1,2,2,6,6-pentamethyl-4-piperidyloxycarbonyl)-2-(4-methoxyphenyl)ethene, N,N′-bis(formyl)-N,N′-bis(2,2,6,6-tetramethyl-4-piperidyl)hexamethylenediamine, diesters of 4-methoxymethylenemalonic acid with 1,2,2,6,6-pentamethyl-4-hydroxypiperidine, poly[methylpropyl-3-oxy-4-(2,2,6,6-tetramethyl-4-piperidyl)]siloxane and a reaction product of maleic anhydride/α-olefin copolymer with 2,2,6,6-tetramethyl-4-aminopiperidine or 1,2,2,6,6-pentamethyl-4-aminopiperidine.
2.7. Oxamides, for example 4,4′-dioctyloxyoxanilide, 2,2′-diethoxyoxanilide, 2,2′-dioctyloxy-5,5′-di-tert-butoxanilide, 2,2′-didodecyloxy-5,5′-di-tert-butoxanilide, 2-ethoxy-2′-ethyloxanilide, N,N′-bis(3-dimethylaminopropyl)oxamide, 2-ethoxy-5-tert-butyl-2′-ethoxanilide and a mixture thereof with 2-ethoxy-2′-ethyl-5,4′-di-tert-butoxanilide, mixtures of o- and p-methoxy-disubstituted oxanilides and mixtures of o- and p-ethoxy-disubstituted oxanilides.
2.8. 2-(2-Hydroxyphenyl)-1,3,5-triazines, for example 2,4,6-tris(2-hydroxy-4-octyloxyphenyl)-1,3,5-triazine, 2-(2-hydroxy-4-octyloxyphenyl)-4,6-bis(2,4-dimethylphenyl)-1,3,5-triazine, 2-(2,4-dihydroxyphenyl)-4,6-bis(2,4-dimethylphenyl)-1,3,5-triazine, 2,4-bis(2-hydroxy-4-propyloxyphenyl)-6-(2,4-dimethylphenyl)-1,3,5-triazine, 2-(2-hydroxy-4-octyloxyphenyl)-4,6-bis(4-methylphenyl)-1,3,5-triazine, 2-(2-hydroxy-4-dodecyloxyphenyl)-4,6-bis(2,4-dimethylphenyl)-1,3,5-triazine, 2-(2-hydroxy-4-tridecyloxyphenyl)-4,6-bis(2,4-dimethylphenyl)-1,3,5-triazine, 2-[2-hydroxy-4-(2-hydroxy-3-butyloxypropoxy)phenyl]-4,6-bis(2,4-dimethyl)-1,3,5-triazine, 2-[2-hydroxy-4-(2-hydroxy-3-octyloxypropyloxy)phenyl]-4,6-bis(2,4-dimethyl)-1,3,5-triazine, 2-[4-(dodecyloxy/tridecyloxy-2-hydroxypropoxy)-2-hydroxyphenyl]-4,6-bis(2,4-dimethylphenyl)-1,3,5-triazine, 2-[2-hydroxy-4-(2-hydroxy-3-dodecyloxypropoxy)phenyl]-4,6-bis(2,4-dimethylphenyl)-1,3,5-triazine, 2-(2-hydroxy-4-hexyloxy)phenyl-4,6-diphenyl-1,3,5-triazine, 2-(2-hydroxy-4-methoxyphenyl)-4,6-diphenyl-1,3,5-triazine, 2,4,6-tris[2-hydroxy-4-(3-butoxy-2-hydroxypropoxy)phenyl]-1,3,5-triazine, 2-(2-hydroxyphenyl)-4-methoxyphenyl)-6-phenyl-1,3,5-triazine and 2-{2-hydroxy-4-[3-(2-ethylhexyl-1-oxy)-2-hydroxypropyloxy]phenyl}-4,6-bis(2,4-dimethylphenyl)-1,3,5-triazine.
Individual compounds of these or mixtures thereof may be employed.
3. Suitable metal deactivators are, for example, N,N′-diphenyloxamide, N-salicylal-N′-salicyloylhydrazine, N,N′-bis(salicyloyl)hydrazine, N,N′-bis(3,5-di-tert-butyl-4-hydroxyphenylpropionyl)hydrazine, 3-salicyloylamino-1,2,4-triazole, bis(benzylidene)oxalyldihydrazide, oxanilide, isophthaloyldihydrazide, sebacoylbisphenylhydrazide, N,N′-diacetyladipoyldihydrazide, N,N′-bis(salicyloyl)oxalyldihydrazide and N,N′-bis(salicyloyl)thiopropionyldihydrazide. Individual compounds of these or mixtures thereof may be employed.
4. Suitable peroxide-trapping agents are, for example, esters of β-thiodipropionic acid, for example the lauryl, stearyl, myristyl or tridecyl ester, mercaptobenzimidazole or the zinc salt of 2-mercaptobenzimidazole, zinc dibutyldithiocarbamate, dioctadecyl disulfide and pentaerythritol tetrakis(dodecylmercapto)propionate. Individual compounds of these or mixtures thereof may be employed.
5. Suitable basic costabilizers are, for example, melamine, polyvinylpyrrolidone, dicyandiamide, triallyl cyanurate, urea derivatives, hydrazine derivatives, amines, polyamides, polyurethanes, alkali metal salts and alkaline earth metal salts of higher fatty acids, for example calcium stearate, zinc stearate, magnesium behenate, magnesium stearate, sodium ricinoleate and potassium palmitate, antimony pyrocatecholate or zinc pyrocatecholate. Individual compounds of these or mixtures thereof may be employed.
6. Suitable nucleating agents are, for example, inorganic substances, such as talc, metal oxides, such as titanium dioxide or magnesium oxide, phosphates, carbonates or sulfates, preferably of alkaline earth metals; organic compounds, such as mono- or polycarboxylic acids and salts thereof, e.g. 4-tert-butylbenzoic acid, adipic acid, diphenylacetic acid, sodium succinate or sodium benzoate; and polymeric compounds, such as ionic copolymers (ionomers). 1,3:2,4-Bis(3′,4′-dimethylbenzylidene)sorbitol, 1,3:2,4-di(paramethyldibenzylidene)sorbitol and 1,3:2,4-di(benzylidene)sorbitol are particularly preferred. Individual compounds of these or mixtures thereof may be employed.
7. Suitable fillers and reinforcing agents are, for example, calcium carbonate, silicates, glass fibres, glass balloons, asbestos, talc, kaolin, mica, barium sulfate, metal oxides and hydroxides, carbon black, graphite, wollastonite, wood flour and flours or fibres of other natural products and synthetic fibres. Individual compounds of these or mixtures thereof may be employed.
8. Other suitable additives are, for example, plasticizers, lubricants, emulsifiers, pigments, viscosity modifiers, catalysts, flow agents, optical brighteners, flameproofing agents, antistatic agents and blowing agents.
9. Suitable benzofuranones and indolinones are, for example, those which are disclosed in U.S. Pat. No. 4,325,863; U.S. Pat. No. 4,338,244; U.S. Pat. No. 5,175,312; U.S. Pat. No. 5,216,052; U.S. Pat. No. 5,252,643; DE-A-4316611; DE-A-4316622; DE-A-4316876; EP-A-0589839 or EP-A-0591102, or 3-[4-(2-acetoxyethoxy)phenyl]-5,7-di-tert-butyl-benzofuran-2-one, 5,7-di-tert-butyl-3-[4-(2-stearoyloxyethoxy)phenyl]benzofuran-2-one, 3,3′-bis[5,7-di-tert-butyl-3-(4-[2-hydroxyethoxy]phenyl)benzofuran-2-one], 5,7-di-tert-butyl-3-(4-ethoxyphenyl)benzofuran-2-one, 3-(4-acetoxy-3,5-dimethylphenyl)-5,7-di-tert-butylbenzofuran-2-one, 3-(3,5-dimethyl-4-pivaloyloxyphenyl)-5,7-di-tert-butylbenzofuran-2-one, 3-(3,4-dimethylphenyl)-5,7-di-tert-butylbenzofuran-2-one and 3-(2,3-dimethylphenyl)-5,7-di-tert-butylbenzofuran-2-one; and lactone antioxidants such as
These compounds act, for example, as antioxidants. Individual compounds of these or mixtures thereof may be employed.
10. Suitable fluorescent plasticizers are those listed in “Plastics Additives Handbook”, eds. R. Gächter and H. Müller, Hanser Verlag, 3rd ed., 1990, page 775-789.
11. Suitable flame-retardant additives are phosphate esters, i.e. triphenyl phosphate, resorcinol-diphosphoric acid esters, bromine-containing compounds, such as brominated phosphoric acid esters, brominated oligocarbonates and polycarbonates, and salts, such as C 4 F 9 SO 3 − Na + .
12. Suitable impact modifiers are butadiene rubber with grafted-on styrene-acrylonitrile or methyl methacrylate, ethylene-propylene rubbers with grafted-on maleic anhydride, ethyl and butyl acrylate rubbers with grafted-on methyl methacrylate or styrene-acrylonitrile and interpenetrating siloxane and acrylate networks with grafted-on methyl methacrylate or styrene-acrylonitrile.
13. Suitable polymers are SAN, ABS, PMMA, PTFE, PSU, PPS, polyolefins, such as polyethylene, polypropylene and ethylene-propylene rubbers, epoxy resins, polyesters, such as PBT, PET, PCT, PCTG and PETG, and other polycarbonates produced in the interfacial process.
14. Suitable antistatic agents are sulfonate salts, for example tetraethylammonium salts of C 12 H 25 SO 3− or C 8 F 17 SO 3− .
15. Suitable colouring agents are pigments and organic and inorganic dyestuffs.
16. Compounds which contain epoxide groups, such as 3,4-epoxycyclohexylmethyl 3,4-epoxycyclohexylcarboxylate and copolymers of glycidyl methacrylate and epoxysilanes.
17. Compounds which contain anhydride groups, such as maleic anhydride, succinic anhydride, benzoic anhydride and phthalic anhydride.
18. Phosphites and phosphonites which are suitable as stabilizers are, for example, triphenyl phosphite, diphenyl alkyl phosphites, phenyl dialkyl phosphites, tris(nonylphenyl) phosphite, trilauryl phosphite, trioctadecyl phosphite, distearylpentaerythritol diphosphite, tris(2,4-di-tert-butylphenyl) phosphite, diisodecylpentaerythritol diphosphite, bis(2,4-di-tert-butylphenyl)pentaerythritol diphosphite, bis(2,6-di-tert-butyl-4-methylphenyl)pentaerythritol diphosphite, diisodecyloxypentaerythritol diphosphite, bis(2,4-di-tert-butyl-6-methylphenyl)pentaerythritol diphosphite, bis(2,4,6-tris(tert-butylphenyl)pentaerythritol diphosphite, tristearyl sorbitol triphosphite, tetrakis(2,4-di-tert-butylphenyl) 4,4′-biphenylenediphosphonite, 6-isooctyloxy-2,4,8,10-tetra-tert-butyl-12H-dibenz[d,g]-1,3,2-dioxaphosphocine, 6-fluoro-2,4,8,10-tetra-tert-butyl-12-methyl-dibenz[d,g]-1,3,2-dioxaphosphocine, bis(2,4-di-tert-butyl-6-methylphenyl) methyl phosphite, bis(2,4-di-tert-butyl-6-methylphenyl) ethyl phosphite, 6-fluoro-2,4,8,10-tetra-tert-butyl-12-methyl-dibenz[d,g]-1,3,2-dioxaphosphocine, 2,2′,2″-nitrilo[triethyl tris(3,3′,5,5′-tetra-tert-butyl-1,1′-biphenyl-2,2′-diyl)-phosphite], 2-ethyl-hexyl(3,3′,5,5′-tetra-tert-butyl-1,1′-biphenyl-2,2′-diyl)-phosphite and 5-butyl-5-ethyl-2-(2,4,6-tri-tert-butylphenoxy)-1,3,2-dioxaphosphirane. Individual compounds of these or mixtures thereof may be employed.
Tris(2,4-di-tert-butylphenyl) phosphite (Irgafos® 168, Ciba-Geigy) or triphenylphosphine are particularly preferred.
The compounds of groups 16 and 17 act as melt stabilizers. They may be employed individually or in mixtures.
Esters of mono- or polyhydric alcohols with long-chain carboxylic acids, such as Loxiol G32 or Loxiol G33, are preferably used as mold release agents. Those mold release agents which have not been completely esterified and accordingly contain free OH groups are also preferred. (Partial) esters of saturated monobasic fatty acids having 16 to 22 carbon atoms with glycerol, trimethylolpropane, pentaerythritol or similar polyhydric alcohols are particularly preferred, in particular glycerol monostearate (GMS) and glycerol monopalmitate. Pentaerythritol tetrastearate (PETS) is furthermore preferred.
Such saturated monofunctional fatty acid esters of glycerol are employed by themselves or as mixtures with two or more components. The saturated monoesters of glycerol are conventionally prepared via transesterification of hydrogenated animal or vegetable oil with glycerol. Although the reaction product may also contain esters other than the glycerol esters, it is employed as a mold release agent. For example, the mixture may contain small or larger contents of diglycerides and triglycerides.
The optimum amount of mold release agent in the production of CDs and other optical storage media (DVDs etc.) is determined on the one hand by an adequate mold release action, and on the other hand by the formation of a deposit on the mold. Concentrations which are conventionally employed are between 50 to 1,000 ppm, more advantageously between 100 and 500 ppm of mold release agent. For the other uses of polycarbonate the concentrations are 100-10,000 ppm, preferably 2,000-7,000 ppm.
Specific phosphites which have both aromatic and aliphatic radicals in one molecule are used, for example but not by way of limitation, as heat stabilizers. These are compounds of the following structure:
wherein
n represents the number 0-5, preferably 1-3 and very particularly preferably represents 3, Y in each case independently of one another, denotes alkyl or optionally substituted aryl, preferably C 1 -C 4 -alkyl, particularly preferably methyl, sec-butyl and tert-butyl, m represents the number 1-3, preferably 3 and X in each case independently of one another, represents an optionally substituted methylene radical, wherein at least one methylene radical must be completely substituted and the substituents independently of one another are selected from the group consisting of C 1 -C 20 -alkyl, or the two substituents on a completely substituted methylene radical together represent a radical
in which R 1 is selected from the group consisting of C 1 -C 18 -alkyl, C 3 -C 12 -cycloalkyl, C 6 -C 30 -alkaryl and aryl, wherein these radicals in turn may be substituted by 1-4 O-alkylene-O and/or carboxylic acid ester COO radicals; C 2 -C 18 -polyhydroxyalkyl having 2 to 10 hydroxyl groups; and C 2 -C 18 -polyphenyl radicals having 2 to ten phenolic OH groups.
Preferred compounds here are those of the formula
in which
R 2 represents C 1 -C 6 -alkyl; R 3 represents methyl or ethyl and R 4 is selected from the group consisting of C 1 -C 18 -alkyl, C 3 -C 12 -cycloalkyl, C 6 -C 30 -alkaryl and aryl, wherein these radicals in turn may be substituted by 1-4 O-alkylene-O and/or carboxylic acid ester COO radicals; C 2 -C 18 -polyhydroxyalkyl having 2 to 10 hydroxyl groups; and C 2 -C 18 -polyphenyl radicals having 2 to 10 phenolic OH groups.
Compounds which are also preferred are those of the formula
wherein Y and n have the abovementioned meanings and
R 5 independently of one another, is selected from the group consisting of hydrogen and C 3 -C 20 -alkyl, and preferably at least one R 5 here represents alkyl, and R 6 independently of one another represent C 1 -C 10 -alkyl.
Particularly preferred compounds are those of the formula
wherein R 1 and R 2 represent methyl, sec-butyl or tert-butyl.
Compounds which are also particularly preferred are moreover those defined in EP A1 0 038 876 on p. 16-20 and the example mentioned on page 21 in the same specification.
(2,4,6-Tri-t-butylphenyl) (2-butyl-2-ethyl-propane-1,3-diyl) phosphite is very particularly preferred, this having the following structure:
The phosphites may be employed by themselves, but also in combination with other phosphorus compounds, it also being possible for the other phosphorus compounds to be those which have a different oxidation number for the phosphorus. Accordingly e.g. combinations of the phosphites according to the invention with other phosphites, with phosphines, e.g. triphenylphosphine, with phosphonites, with phosphates, with phosphonates etc. may be employed.
The phosphites employed are generally known or may be prepared analogously to known phosphites. (2,4,6-Tri-t-butylphenyl) (2-butyl-2-ethyl-propane-1,3-diyl) phosphite is described e.g. in EP-A 702018 and EP 635514.
The polymer mixtures according to the invention in general comprises the phosphorus compound in a content of 10-5,000 ppm, preferably 10-1,000 ppm, particularly preferably 20-500 ppm, very particularly preferably between 50 and 250 ppm.
The addition of the mold release agents, the phosphorus compound and the formals according to the invention to the thermoplastic molding compositions takes place, by way of example and preferably, by a procedure in which they are metered in after the preparation and during the working up of the polycarbonates, e.g. by addition to the polycarbonate polymer solution, or into a melt of the thermoplastic molding compositions. It is furthermore also possible to meter in the components independently of one another in various working steps, e.g. one of the components during the working up of the polymer solution and the other component(s) into the melt, as long as it is ensured that all the components are contained during the production of the end products (molded articles). For uses in the CD, DVD and other optical recording media sector, the expert will of course choose, from the abovementioned additives, suitable additives which do not impair the transparency.
Very particularly suitable additives are IRGANOX 1076®, see above, and benzotriazoles of group 2.1 (so-called Tinuvins), in particular in a mixture with one another and triphenylphosphine (TPP).
The molding compositions according to the invention are used for the production of molded articles, preferably optical media, in particular for the production of compact discs and DVDs as well as optical media which may be written to and deleted once or several times, in the manner known for polycarbonates. The layers which may be written to here comprise in particular dyestuffs or metallic layers, the latter using the change from the amorphous into the crystalline state as the recording principle or having magnetic properties.
This production of the optical media is preferably carried out from the finished prepared molding compositions according to the invention, which are obtained, for example, as granules. However, the optical media may also be produced by incorporation of the components into pure or commercially available polycarbonates and/or into the conventional additives in the production of molded articles from polycarbonates.
The invention accordingly also provides molded articles, such as, in particular, optical data carriers, preferably compact discs and DVDs, which are obtainable from the thermoplastic molding compositions according to the invention.
The thermoplastic molding compositions according to the invention have the advantage that they have a relatively low water uptake and therefore an improved dimensional stability. They are furthermore distinguished by improved flow properties, since they have a relatively low melt viscosity.
The following examples serve to explain the invention. The invention is not limited to the examples.
EXAMPLES
Synthesis of the Aromatic Formals
Example 1
50.0 g (0.16 mol) distilled 3-pentadecylphenol and 16.0 g (0.40 mol) sodium hydroxide (microprills from Riedel) are added to a mixture of 125 ml methylene chloride and 225 ml N-methylpyrrolidone (NMP). The mixture was then boiled under reflux for 1 hour. After cooling of the reaction mixture, methylene chloride and water were added until an adequate phase separation was reached. The organic phase was separated off and washed several times with water to the neutral point. The dried organic phase was then precipitated in methanol. The crude product obtained was finally rinsed several times with methanol and in conclusion dried at 80° C. in a vacuum drying cabinet. 44.8 g (90.2% of theory) of a waxy solid were obtained.
Analysis: 1 H-NMR (400 MHz, TMS, CDCl 3 ) δ=7.2-6.82 (m, 8H), 5.68 (s, 2H), 2.58-2.54 (m, 4H), 1.62-1.57 (m, 4H), 1.39-1.20 (m, 48H), 0.89-0.86 (t, 6H).
Example 2
Analogous to example 1, but 4 times the batch size.
Yield: 181.6 g (91.4% of theory) Analysis: analogous NMR spectrum to that under example 1
Example 3
50.0 g (0.14 mol) octadecylphenol and 14.4 g (0.36 mol) sodium hydroxide (microprills from Riedel) are added to a mixture of 125 ml methylene chloride and 225 ml N-methylpyrrolidone (NMP). The mixture was then boiled under reflux for 1 hour. After cooling of the reaction mixture, methylene chloride and water were added until an adequate phase separation was reached. The organic phase was separated off and washed several times with water to the neutral point. The dried organic phase was then precipitated in methanol. The crude product obtained was finally rinsed several times with methanol and in conclusion dried at 80° C. in a vacuum drying cabinet. 42.0 g (85.1% of theory) of a waxy solid were obtained.
Analysis: 1 H-NMR (400 MHz, TMS, CDCl 3 ) δ=7.22-6.97 (m, 8H), 5.7 (s, 2H), 3.15-3.05 (m, 2H), 1.55-0.9 (m, 36H), 0.85-0.81 (t, 6H).
Example 4
23.8 g (0.14 mol) 4-hydroxybiphenyl and 14.4 g (0.36 mol) sodium hydroxide (microprills from Riedel) are added to a mixture of 125 ml methylene chloride and 225 ml N-methylpyrrolidone (NMP). The mixture was then boiled under reflux for 1 hour. After cooling of the reaction mixture, methylene chloride and water were added until an adequate phase separation was reached. The organic phase was separated off and washed several times with water to the neutral point. The dried organic phase was then precipitated in methanol. The crude product obtained was finally rinsed several times with methanol and in conclusion dried at 80° C. in a vacuum drying cabinet. 21.7 g (87.9% of theory) of a white solid were obtained.
Analysis: 1 H-NMR (400 MHz, TMS, CDCl 3 ) δ=7.65-7.5 (m, 8H), 7.45-7.35 (m, 4H), 7.35-7.25 (m, 2H), 7.25-7.15 (m, 4H), 5.8 (s, 2H).
Example 5
29.7 g (0.14 mol) 4-cumylphenol and 14.4 g (0.36 mol) sodium hydroxide (microprills from Riedel) are added to a mixture of 125 ml methylene chloride and 225 ml N-methylpyrrolidone (NMP). The mixture was then boiled under reflux for 1 hour. After cooling of the reaction mixture, methylene chloride and water were added until an adequate phase separation was reached. The organic phase was separated off and washed several times with water to the neutral point. The dried organic phase was then precipitated in methanol. The crude product obtained was finally rinsed several times with methanol and in conclusion dried at 80° C. in a vacuum drying cabinet. 21.5 g (70.3% of theory) of a white solid were obtained.
Analysis: 1 H-NMR (400 MHz, TMS, CDCl 3 ) δ=7.28-7.19 (m, 8H), 7.19-7.09 (m, 6H), 7.05-6.95 (m, 4H), 5.68 (s, 2H), 1.65 (s, 12H).
Example 6
23.8 g (0.14 mol) 3-hydroxybiphenyl and 144 g (0.36 mol) sodium hydroxide (microprills from Riedel) are added to a mixture of 125 ml methylene chloride and 225 ml N-methylpyrrolidone (NMP). The mixture was then boiled under reflux for 1 hour. After cooling of the reaction mixture, methylene chloride and water were added until an adequate phase separation was reached. The organic phase was separated off and washed several times with water to the neutral point. The dried organic phase was then precipitated in methanol. The crude product obtained was finally rinsed several times with methanol and in conclusion dried at 80° C. in a vacuum drying cabinet. 14.2 g (57.6% of theory) of a white solid were obtained.
Analysis: 1 H-NMR (400 MHz, TMS, CDCl 3 ) δ=7.6-7.5 (m, 4H), 7.5-7.2 (m, 12H), 7.15-7.05 (m, 2H), 5.85 (s, 2H).
Example 7
24.2 g (0.13 mol) 4-hydroxydiphenyl ether and 13.0 g (0.325 mol) sodium hydroxide (microprills from Riedel) are added to a mixture of 125 ml methylene chloride and 225 ml N-methylpyrrolidone (NMP). The mixture was then boiled under reflux for 1 hour. After cooling of the reaction mixture, methylene chloride and water were added until an adequate phase separation was reached. The organic phase was separated off and washed several times with water to the neutral point. The dried organic phase was then precipitated in a methanol/water mixture (1:1). The crude product obtained was finally rinsed several times with water and in conclusion dried at 80° C. in a vacuum drying cabinet. 21.0 g (84.0% of theory) of a white solid were obtained.
Analysis: 1 H-NMR (400 MHz, TMS, CDCl 3 ) δ=7.35-7.22 (m, 4H), 7.15-7.02 (m, 6H), 7.02-6.9 (m, 8H), 5.65 (s, 2H).
Example 8
23.8 g (0.14 mol) 4-cumylphenol and 14.4 g (0.36 mol) sodium hydroxide (microprills from Riedel) are added to a mixture of 125 ml methylene chloride and 225 ml N-methylpyrrolidone (NMP). The mixture was then boiled under reflux for 1 hour. After cooling of the reaction mixture, methylene chloride and water were added until an adequate phase separation was reached. The organic phase was separated off and washed several times with water to the neutral point. The dried organic phase was then precipitated in methanol. The crude product obtained was finally rinsed several times with methanol and in conclusion dried at 80° C. in a vacuum drying cabinet. 13.0 g (52.7% of theory) of a white solid were obtained.
Analysis: 1 H-NMR (400 MHz, TMS, CDCl 3 ) δ=7.45-7.15 (m, 16H), 7.15-7.05 (m, 2H), 5.58 (s, 2H).
Example 9
50.0 g (0.21 mol) 2-methyl-4-nonylphenol and 21.3 g (0.53 mol) sodium hydroxide (microprills from Riedel) are added to a mixture of 125 ml methylene chloride and 225 ml N-methylpyrrolidone (NMP). The mixture was then boiled under reflux for 1 hour. After cooling of the reaction mixture, methylene chloride and water were added until an adequate phase separation was reached. The organic phase was separated off and washed several times with water to the neutral point. The dried organic phase was then precipitated in methanol. The crude product obtained was finally rinsed several times with methanol and in conclusion dried at 80° C. in a vacuum drying cabinet. 9.4 g (18.6% of theory) of a highly viscous substance were obtained.
Analysis: 1 H-NMR (400 MHz, TMS, CDCl 3 ) δ=7.1-6.9 (m, 6H), 5.65 (s, 2H), 2.12 (s, 6H), 1.7-0.45 (m, 38H).
Example 10
17.4 g (0.093 mol) 3-hydroxydiphenyl ether and 9.3 g (0.23 mol) sodium hydroxide (microprills from Riedel) are added to a mixture of 100 ml methylene chloride and 180 ml N-methylpyrrolidone (NMP). The mixture was then boiled under reflux for 1 hour. After cooling of the reaction mixture, methylene chloride and water were added until an adequate phase separation was reached. The organic phase was separated off and washed several times with water to the neutral point. The organic phase was then concentrated. The crude product obtained was finally rinsed several times with water and in conclusion dried under a high vacuum at 160° C. 15.7 g (90.7% of theory) of a highly viscous substance were obtained.
Analysis: 1 H-NMR (400 MHz, TMS, CDCl 3 ) δ=7.45-7.35 (m, 4H), 7.35-7.2 (m, 2H), 7.2-7.1 (m, 2H), 7.1-7.0 (m, 4H), 6.9-6.8 (m, 2H), 6.8-6.7 (m, 2H), 6.7-6.6 (m, 2H), 5.82 (s, 2H).
Example 11
a) 24 g (0.15 mol) 1-phenyl-1-cyclohexene (Aldrich) and, in a large excess, 56.5 g (0.60 mol) freshly distilled phenol are initially introduced into the reaction vessel, and 0.3 g (0.0015 mol) dodecylmercaptan is added to the reaction batch as a catalyst. Passing in of gaseous hydrogen chloride is started at a temperature of 30° C. This is maintained for 20 minutes in total. After the mixture had solidified the excess phenol was distilled off under a water pump vacuum. The last residues of phenol could be distilled of at 120° C. under a high vacuum. 36.5 g (96.4% of theory) of a white solid are obtained.
Analysis: 1 H-NMR (400 MHz TMS, CDCl 3 ) δ=9.12 (s, 1H), 7.3-7.15 (m, 4H), 7.15-7.0 (m, 3H), 6.7-6.6 (m, 2H), 2.2 (m, 4H), 1.45 (m, 6H).
b) 5 g (0.0198 mol) of the product from example 11a) and 1.98 g (0.05 mol) sodium hydroxide (microprills from Riedel) are added to a mixture of 30 ml methylene chloride and 55 ml N-methylpyrrolidone (NMP). The mixture was then boiled under reflux for 1 hour. After cooling of the reaction mixture, methylene chloride and water were added until an adequate phase separation was reached. The organic phase was separated off and washed several times with water to the neutral point. The dried organic phase was then precipitated in methanol. The crude product obtained was finally rinsed several times with methanol and in conclusion dried at 80° C. in a vacuum drying cabinet. 3.7 g (72.3% of theory) of a white solid were obtained.
Analysis: 1 H-NMR (400 MHz, TMS, CDCl 3 ) δ=7.3-7.2 (m, 8), 7.2-7.15 (m, 4H), 7.15-7.05 (m, 2H), 7.0-6.9 (m, 4H), 5.65 (s, 2H), 2.25 (m, 8H), 1.65-1.45 (m, 12H).
Example 12
50.0 g AP 2024, a mixture of phenols as shown by the formulae, (Idemitsu Petrochemicals Co. Ltd., Tokyo, Japan) and 13.2 g (0.33 mol) sodium hydroxide (microprills from Riedel) are added to a mixture of 125 ml methylene chloride and 225 ml N-methylpyrrolidone (NMP). The mixture was then boiled under reflux for 1 hour. After cooling of the reaction mixture, methylene chloride and water mixture of phenols were added until an adequate phase separation was reached. The organic phase was separated off and washed several times with water to the neutral point. The dried organic phase was then precipitated in methanol. The crude product obtained was finally rinsed several times with methanol and in conclusion dried at 80° C. in a vacuum drying cabinet. 30.5 g of a highly viscous substance were obtained.
Analysis: 1 H-NMR (400 MHz, TMS, CDCl 3 ) δ=7.2-6.9 (m, H ar ), 5.75-5.65 (m, H OCH2 ), 1.7-0.7 (m, H alk ).
The formals obtained as shown above were evaluated as to their efficacy as additives in the following polycarbonate types:
Makrolon® CD2005 (Bayer AG) homopolycarbonate for optical storage media based on bisphenol A, MFR 63 g/10 min, easily removable from the mold, injection molding)
Apec 1800 (Bayer AG,) co-polycarbonate type based on bisphenol A and TMC-bisphenol; base type softening temperature (VST/B 120)=185° C.)
The water content of the polycarbonate is determined after storage in humid climate at a relative humidity of 95% and 30° C. of storage temperature. The water content is determined directly before storage and after 7 and 14 days by means of Karl-Fischer-titration (coulometric titration).
formal of
Structure
example 4
after
after
of Formal
Polymer
[wt. %]
Tg
directly
7 days
14 days
MakrolonCD2005MakrolonCD2005MakrolonCD2005Apec 1800Apec 1800Apec 1800
with with with withwithwith
1.0 2.0 3.0 1.02.03.0
137 132 128 176
0.04 0.05 0.02/0.03 0.04
0.21/0.24 0.20/0.22 0.17/0.25 0.31/0.32
0.20/0.28 0.21/0.29 0.17/0.28 0.28/0.33
Formal of
Structure
example 6
after
after
of Formal
Polymer
[wt. %]
Tg
directly
7 days
14 days
MakrolonCD2005Apec 1800
with with
3.0 3.0
127 165
0.03 0.03
0.12/0.25 0.23/0.26
0.15/0.23 0.23/0.25
Water uptake [wt. %] of polycarbonate with formals as additives
formal of
Structure
example 1
Tg
after 7
after
of Formal
Polymer
[wt. %]
[° C.]
directly
days
14 days
MakrolonCD2005MakrolonCD2005MakrolonCD2005Apec 1800Apec 1800Apec 1800
with with with withwithwith
1.0 2.0 3.0 1.02.03.0
135 128 123 176165157
0.07% 0.03 . . . 0.04% 0.03/0.05 0.040.03/0.040.02/0.03
0.20 . . . 0.21% 0.18 . . . 0.19% 0.17/0.23 0.26/0.300.20/0.260.23/0.25
0.15 . . . 0.19% 0.14 . . . 0.23% 0.17/0.24 0.26/0.290.19/0.280.23/0.26
formal of
Structure
example 3
Tg
after
after
of Formal
Polymer
[wt. %]
(° C.)
directly
7 days
14 days
MakrolonCD2005MakrolonCD2005MakrolonCD2005Apec 1800Apec 1800Apec 1800
with with with withwithwith
1.0 2.0 3.0 1.02.03.0
136 130 126 175166158
0.06% 0.07% 0.06% 0.06 . . . 0.07%0.04 . . . 0.05%0.05%
0.18 . . . 0.20% 0.14 . . . 0.26% 0.15 . . . 0.21% 0.26 . . . 0.29%0.27 . . . 0.29%0.21 . . . 0.25%
0.19 . . . 0.27% 0.15 . . . 0.24% 0.15 . . . 0.16% 0.23 . . . 0.26%0.21 . . . 0.24%0.21 . . . 0.23%
formal of
Structure
example 7
after 14
of Formal
Polymer
[wt. %]
Tg
directly
after 7 days
days
MakrolonCD2005Apec 1800
with with
3.0 3.0
130 162
0.03 0.003
0.18/0.23 0.19/0.25
0.14/0.20 0.17/0.27
The following formals were employed in an analogous manner.
The results of the experiments show the surprising and completely unexpected action of the compounds according to the invention as additives which lower the water uptake (measured by the determination of water content) in polycarbonate. In contrast, the water content of unmodified polycarbonate compositions is of 0.32-0.34% for CD 2005 and 0.4% for Apec 1800.
Although the invention has been described in detail in the foregoing for the purpose of illustration, it is to be understood that such detail is solely for that purpose and that variations may be made therein by those skilled in the art without departing from the spirit and scope of the invention except as it may be limited by the claims.
formal of
Structure
example 4
after
after
of Formal
Polymer
[wt. %]
Tg
directly
7 days
14 days
MakrolonCD2005MakrolonCD2005MakrolonCD2005Apec 1800Apec 1800Apec 1800
with with with withwithwith
1.0 2.0 3.0 1.02.03.0
137 132 128 176
0.04 0.05 0.02/0.03 0.04
0.21/0.24 0.20/0.22 0.17/0.25 0.31/0.32
0.20/0.28 0.21/0.29 0.17/0.28 0.28/0.33
Formal of
Structure
example 6
after
after
of Formal
Polymer
[wt. %]
Tg
directly
7 days
14 days
MakrolonCD2005Apec 1800
with with
3.0 3.0
127 165
0.03 0.03
0.12/0.25 0.23/0.26
0.15/0.23 0.23/0.25
Water uptake [wt. %] of polycarbonate with formals as additives
formal of
Structure
example 1
Tg
after 7
after
of Formal
Polymer
[wt. %]
[° C.]
directly
days
14 days
MakrolonCD2005MakrolonCD2005MakrolonCD2005Apec 1800Apec 1800Apec 1800
with with with withwithwith
1.0 2.0 3.0 1.02.03.0
135 128 123 176165157
0.07% 0.03 . . . 0.04% 0.03/0.05 0.040.03/0.040.02/0.03
0.20 . . . 0.21% 0.18 . . . 0.19% 0.17/0.23 0.26/0.300.20/0.260.23/0.25
0.15 . . . 0.19% 0.14 . . . 0.23% 0.17/0.24 0.26/0.290.19/0.280.23/0.26
formal of
Structure
example 3
Tg
after
after
of Formal
Polymer
[wt. %]
(° C.)
directly
7 days
14 days
MakrolonCD2005MakrolonCD2005MakrolonCD2005Apec 1800Apec 1800Apec 1800
with with with withwithwith
1.0 2.0 3.0 1.02.03.0
136 130 126 175166158
0.06% 0.07% 0.06% 0.06 . . . 0.07%0.04 . . . 0.05%0.05%
0.18 . . . 0.20% 0.14 . . . 0.26% 0.15 . . . 0.21% 0.26 . . . 0.29%0.27 . . . 0.29%0.21 . . . 0.25%
0.19 . . . 0.27% 0.15 . . . 0.24% 0.15 . . . 0.16% 0.23 . . . 0.26%0.21 . . . 0.24%0.21 . . . 0.23%
formal of
Structure
example 7
after 14
of Formal
Polymer
[wt. %]
Tg
directly
after 7 days
days
MakrolonCD2005Apec 1800
with with
3.0 3.0
130 162
0.03 0.003
0.18/0.23 0.19/0.25
0.14/0.20 0.17/0.27 | A thermoplastic molding composition comprising polycarbonate and at least one aromatic formal is disclosed. The formal conforms to
The composition that is characterized by its reduced water uptake, is useful especially for the production of optical data carriers, such as compact discs. | 80,818 |
RELATED APPLICATIONS
[0001] This application is a continuation-in-part of U.S. patent application Ser. No. 09/490,478, filed on Jan. 24, 2000, the benefit of the filing date of which is hereby claimed under 35 U.S.C. § 120.
FIELD OF THE INVENTION
[0002] This invention generally relates to illumination of moving objects or particles for purposes of analysis and detection, and more specifically, to an apparatus and method for increasing the amount of incident light upon these objects to increase scattered, fluorescent, and other signals from moving objects, such as cells, and for detecting the presence and composition of Fluorescence In-Situ Hybridization (FISH) probes within cells.
BACKGROUND OF THE INVENTION
[0003] There are a number of biological and medical applications that are currently impractical due to limitations in cell and particle analysis technology. Examples of such biological applications include battlefield monitoring of known airborne toxins, as well as the monitoring of cultured cells to detect the presence of both known and unknown toxins. Medical applications include non-invasive prenatal genetic testing and routine cancer screening via the detection and analysis of rare cells (i.e., cells with low rates of occurrence) in peripheral blood. All of these applications require an analysis system with the following principal characteristics:
[0004] 1. the ability to carry out high-speed measurements;
[0005] 2. the ability to process very large samples;
[0006] 3. high spectral resolution and bandwidth;
[0007] 4. good spatial resolution;
[0008] 5. high sensitivity; and
[0009] 6. low measurement variation.
[0010] In prenatal testing, the target cells are fetal cells that cross the placental barrier into the mother's blood stream. In cancer screening, the target cells are sloughed into the blood stream from nascent cancerous tumors. In either case, the target cells may be present in the blood at concentrations of one to five target cells per billion blood cells. This concentration yields only 20 to 100 cells in a typical 20 ml blood sample. In these applications, as well as others, it is imperative that the signal derived in response to the cells be as strong as possible to provide distinct features with which to discriminate the target cells from other artifacts in the sample.
[0011] It would be desirable to increase the amount of light incident upon objects in a sample compared to prior art systems, thereby increasing the signal-to-noise ratio (SNR) of a processing system, improving measurement consistency, and thus, increasing the discrimination abilities of the system. A spectral imaging cell analysis system is described in a pending commonly assigned U.S. patent application Ser. No. 09/490,478, filed on Jan. 24, 2000 and entitled, “Imaging And Analyzing Parameters Of Small Moving Objects Such As Cells,” the drawings and disclosure of which are hereby specifically incorporated herein by reference. This previously filed application describes one approach that is applicable to imaging. It would also be desirable to obtain many of the benefits disclosed in the above-referenced copending application in non-imaging flow cytometers that employ photomultiplier tube (PMT) detectors and any other system that relies on the illumination of objects within a cavity. Depending upon the configuration, substantial benefits should be obtained by increasing the amount of light incident upon an object by as much as a factor of ten or more. Such an increase in the amount of light would enable the use of low power continuous wave (CW) and pulsed lasers in applications that would otherwise require the use of more expensive high power lasers. However, if high power lasers are used for a light source, a processing system should yield higher measurement consistency, higher system throughput, greater illumination uniformity, and other benefits than has been possible with prior systems.
[0012] It is a goal in the design of fluorescence instruments to achieve photon-limited performance. When photon-limited performance is achieved, noise sources in the instrument are reduced to insignificance relative to the inherent statistical variation of photon arrivals at the detector. A good example of photon-limited design is found in non-imaging flow cytometers. The PMT detectors employed in these instruments can amplify individual photons thousands of times with very fast rise times.
[0013] Non-imaging cytometers take advantage of the PMT's characteristics to achieve photon-limited performance by making the illuminated area as small as possible. Decreasing the laser spot size reduces the amount of time required for an object to traverse a field of view (FOV) of the detectors. The reduced measurement time, in turn, reduces the integrated system noise, but does not reduce the signal strength of the object. The signal strength remains constant because the reduced signal integration time is balanced by the increased laser intensity in the smaller spot. For example, if the FOV in the axis parallel to flow is decreased by a factor of two, an object's exposure time will decrease by a factor of two, but the intensity at any point in that FOV will double, so the integrated photon exposure will remain constant.
[0014] The reduced noise and constant signal strength associated with a reduced FOV increases the SNR of the non-imaging cytometer up to a point. Beyond that point, further reductions in the FOV will fail to improve the SNR because the dominant source of variation in the signal becomes the inherently stochastic nature of the signal. Photonic signals behave according to Poisson statistics, implying that the variance of the signal is equal to the mean number of photons. Once photon-limited performance is achieved in an instrument, the only way to significantly improve performance is to increase the number of photons that reach the detector.
[0015] A common figure of merit used in flow cytometry is the coefficient of variation (CV), which equals the standard deviation of the signal over many measurements divided by the mean of the signal. Photon noise, as measured by the CV, increases as the mean number of photons decreases. For example, if the mean number of photons in a measurement period is four, the standard deviation will be two photons and the CV will be 50%. If the mean number of photons drops to one, the standard deviation will be one and the CV will be 100%. Therefore, to improve (i.e., decrease) the CV, the mean number of photons detected during the measurement interval must be increased. One way to increase the number of photons striking the detector is to increase photon collection efficiency. If an increase in photon collection efficiency is not possible, an alternative is to increase the number of photons emitted from the object during the measurement interval. Accordingly, it would be beneficial to provide a system in which illumination light incident on an object but not absorbed or scattered is recycled and redirected to strike the object multiple times, thereby increasing photon emission from the object.
[0016] In the case of a conventional imaging flow cytometer, such as that disclosed in U.S. Pat. No. 5,644,388, a frame-based charge-coupled device (CCD) detector is used for signal detection as opposed to a PMT. In this system, the field of view along the axis of flow is approximately ten times greater than that in PMT-based flow cytometers. In order to illuminate the larger field of view, the patent discloses a commonly used method of illumination in flow cytometry, in which the incident light is directed at the stream of particles in a direction orthogonal to the optic axis of the light collection system. The method disclosed in the patent differs slightly from conventional illumination in that a highly elliptical laser spot is used, with the longer axis of the ellipse oriented along the axis of flow. As a result of this configuration, the entire FOV can be illuminated with laser light. Given that a laser is used, the intensity profile across the illuminated region has a Gaussian profile along the axis of flow. Therefore, objects at either end of the field of view will have a lower intensity of illumination light. Unlike a non-imaging flow cytometer, the light collection process disclosed in this patent does not continue for the duration of the full traversal of the FOV. Instead, light is collected from objects at specific regions within the FOV. Object movement during the light collection process is limited to less than one pixel by use of a shutter or pulsed illumination source. As a result, the amount of light collected from an object varies as a function of its position in the field of view, thereby increasing measurement variability. In order to partially mitigate this variation, the illumination spot may be sized so that it substantially overfills the FOV to use an area of the Gaussian distribution near the peak where the intensity variation is minimized. However, this approach has the undesired effect of reducing the overall intensity of illumination, or photon flux, by spreading the same amount of laser energy over a significantly larger area. The end result of reducing photon flux is a reduction in the SNR.
[0017] Accordingly, it will be apparent that an improved technique is desired to improve the SNR and measurement consistency of an instrument by increasing photon emission from the object and improving the uniformity of illumination. It is expected that such a technique will also have applications outside of cell analysis systems and can be implemented in different configurations to meet the specific requirements of disparate applications of the technology.
SUMMARY OF THE INVENTION
[0018] The present invention is directed to an illumination system that is adapted to increase the amount of signal emitted from an object to increase the SNR and to improve the measurement consistency of devices in which the present invention is applied. In general, there is relative movement between the object and the illumination system, and although it is contemplated that either (or both) may be in motion, the object will preferably move while the illumination system is fixed. In addition, it should also be understood that while this discussion and the claims that follow recite “an object,” it is clearly contemplated that the present invention is preferably intended to be used with a plurality of objects and is particularly useful in connection with illuminating a stream of objects.
[0019] The present invention increases the amount of light incident upon an object as the object traverses a field of view, without incurring the expense of additional or more powerful light sources. It also may be configured to increase the uniformity of illumination in the field of view.
[0020] In a first embodiment of the present invention, a reflection cavity is formed by the placement of two mirrors on either side of a moving stream of objects. A light collection system is disposed substantially orthogonal to a plane extending through the mirrors and the stream. The light collection system is configured to collect light over a predefined angle and within a predefined region or field of view between the mirrors. Accordingly, the light collection system collects light that is scattered or emitted from objects as they traverse the space between the mirrors. The scattered or emitted light that is collected is directed onto a detector.
[0021] A light from a light source is directed through the stream of moving objects in a direction nearly orthogonal to the stream of objects but slightly inclined in the plane that extends through the mirrors and the stream. With cells and most other objects, only a small fraction of the incident light interacts with the objects via absorbance or scatter. The rest of the light passes through the stream, and is then redirected by reflection from a surface back into the stream of moving objects. The light leaves the reflecting surface at a reflected angle that is equal to an incident angle of the light. Due to the reflection angle and the distance between the stream and the first surface, the light intersects the stream on the second pass at a position that is displaced from that at which the light passed though the stream on its initial pass. The light continues through the stream and is redirected by a second surface on the other side of the stream, which is substantially parallel to the first surface, back towards the stream. Again, as a result of the reflection angle and the distance between the second surface and the stream, the light passes through the stream on the third pass at a position that is displaced from that of the second pass. The reflection of the light through the stream continues a plurality of times until the light has traversed a distance along the direction in which the stream is flowing that is substantially equal to the collected field of view of the light collection system. At this point, the light is no longer reflected back through the stream, but is preferably caused to exit the illumination system.
[0022] It should be understood that most of the light that passes through the stream is largely unimpeded by the stream or objects in the stream. Therefore, upon subsequent passes, substantial light remains to intercept the object or objects in the stream. By “recycling” light in this manner, the light that would normally be wasted is employed to illuminate the object each time the object passes through the light. Consequently, the SNR of the instrument is substantially improved by increasing the amount of scattered and/or emitted light that is incident on the detector.
[0023] The present invention can also be configured so as to obtain a desired illumination profile along the axis of flow. The beam size and traversal distance can be adjusted to create a predefined amount of overlap between beams at the stream intersection point to homogenize the intensity profile along the axis of flow. Further, the input beam can be apertured to use a section of the beam with less variation to further increase illumination uniformity along the flow axis.
[0024] In a second embodiment of the invention, the beam is reflected back upon itself after numerous traversals of the cavity. In this embodiment, the total number of traversals is doubled relative to the first embodiment, thereby increasing the number of photons incident upon the stream.
[0025] In a third embodiment, a slight angle is introduced between the mirrors which causes the angle of incidence to gradually decrease as the beam traverses the cavity. Eventually the traversal direction reverses, causing the beam to traverse the cavity in the opposite direction, thereby increasing the number of times the beam traverses the stream.
[0026] In a fourth embodiment, the present invention can be configured such that the surfaces which redirect the beam back into the stream contain optical power in one or both axes in order to create one or more traversal reversals of the beam and to optimally size the beam at or near the intersection points with the stream.
BRIEF DESCRIPTION OF THE DRAWING FIGURES
[0027] The foregoing aspects and many of the attendant advantages of this invention will become more readily appreciated as the same becomes better understood by reference to the following detailed description, when taken in conjunction with the accompanying drawings, wherein:
[0028] [0028]FIG. 1 is an isometric view of an illumination system corresponding to a first embodiment of the present invention;
[0029] [0029]FIG. 2 (Prior Art) is an isometric view of a conventional method for illuminating objects in a flow stream;
[0030] [0030]FIG. 3 is an isometric view of an exemplary imaging system that implements the illumination system of FIG. 1;
[0031] [0031]FIG. 4 is an isometric view of an embodiment of the present invention using mirrors immersed in a fluid;
[0032] [0032]FIG. 5 is an XY plot showing an illumination intensity profile for a conventional (Prior Art) single pass illumination scheme with a short FOV;
[0033] [0033]FIG. 6 is an XY plot showing an illumination intensity profile for a conventional (Prior Art) single pass illumination scheme with a tall FOV;
[0034] [0034]FIG. 7 is a schematic diagram illustrating a condition in which no beam overlap occurs at the center of the cavity when a smaller beam size is used in a preferred embodiment of the present invention;
[0035] [0035]FIG. 8 is an XY plot showing an illumination intensity profile for the embodiment of the present invention illustrated in FIG. 7, but for the case in which a narrow light beam passes through a field of view five times;
[0036] [0036]FIG. 9 is a schematic diagram illustrating a condition in which significant beam overlap occurs at the center of the cavity when a larger beam size is used in a preferred embodiment of the present invention;
[0037] [0037]FIG. 10 is an XY plot showing an illumination intensity profile for the embodiment of the present invention illustrated in FIG. 9, but for the case in which a wide light beam passes through a field of view five times;
[0038] [0038]FIG. 11 is a plot of the beam size in the horizontal axis for two beams with different waist sizes in a five pass embodiment of the invention, illustrating how a larger waist size can produce a smaller average beam size, thereby increasing the overall intensity of light incident on the stream;
[0039] [0039]FIG. 12 is an isometric view of an embodiment of the present invention that employs a retro-reflector to reverse beam traversal, increasing the number of times the beam traverses the flow stream;
[0040] FIGS. 13 A- 13 F schematically illustrate an embodiment of the present invention where the beam traversal direction is reversed after a plurality of passes across the cavity by introducing an angle between the cavity mirrors;
[0041] FIGS. 14 A- 14 B further illustrate schematically an embodiment of the present invention wherein the beam traversal direction is reversed after a plurality of passes across the cavity by introducing an angle between the cavity mirrors and in which the mirrors provide an optical power about an axis parallel to the flow axis for refocusing the beam in the horizontal axis with each pass through the cavity;
[0042] [0042]FIG. 15 is a plot of the beam size in the horizontal and vertical axes for each pass of the beam across the cavity in an embodiment employing 28 passes, as illustrated in FIGS. 14 A- 14 B;
[0043] [0043]FIG. 16 schematically illustrates an embodiment of the present invention wherein the cavity mirrors have a toroidal surface profile and provide an optical power in both the horizontal and vertical axes for inducing a reversal of beam traversal direction and for refocusing the beam in both axes; and
[0044] [0044]FIG. 17 is a plot of the beam size in the horizontal and vertical axes for each pass of the beam across the cavity in an embodiment employing 21 passes of the beam where the walls of the cavity have the toroidal surface profile illustrated in FIG. 16.
DESCRIPTION OF THE PREFERRED EMBODIMENT
[0045] The present invention offers considerable advantages over the prior art for illumination of cells and other types of particles in a flow stream. These advantages arise from the recycling of laser light to increase the photon flux incident upon objects in a flow stream. The present invention can also be configured to improve the uniformity of illumination, while at the same time increasing the photon flux incident upon objects, which is expected to enhance the performance of various flow cytometry applications.
[0046] A first preferred embodiment of an illumination system 10 in accord with the present invention is shown in FIG. 1. Illumination system 10 includes a rectangular solid glass substrate 14 with reflective coatings 15 and 16 applied to two substantially parallel and flat outer surfaces 15 a and 16 a of the glass substrate. A channel 20 is disposed in the rectangular solid to enable a plurality of objects 24 in a flow stream to pass through illumination system 10 between surfaces 15 a and 16 a . As is commonly done, the objects may be entrained in a sheath flow (not shown) in order to keep them centered within channel 20 . A substantially cylindrical beam of light 12 , such as that emitted by a laser source (not shown), is directed toward an uncoated area 13 in surface 15 a of the substrate such that a propagation axis of the beam of light (indicated by the arrow) is at a slight angle with respect to a normal to surface 15 a . The beam proceeds through surface 15 a and passes through at least a portion of the plurality of objects 24 and is then reflected from reflective coating 16 back into the plurality of objects 24 . The angle of propagation axis 12 a is set such that as beam of light 12 traverses the substrate, it rises a predefined amount, intersecting surface 15 a in reflective coating 15 above uncoated area 13 . The beam reflects from reflective coating 15 and again passes through the plurality of objects 24 .
[0047] As objects 24 flow along the channel, corresponding images of the objects are produced with an optical system (not shown in this Figure) having a field of view 25 . As shown in FIG. 1, light beam 12 continues to traverse substrate 14 such that it passes through the substrate ten times, thereby illuminating all of field of view 25 , before it is allowed to pass out of the substrate through an uncoated area 26 in surface 15 a . Reflection spots 28 and dashed lines 27 illustrate the path of the light beam and indicate the points where the beam intersects and reflects from reflective coatings 15 and 16 . Reflective coatings 15 and 16 form a reflection cavity 17 through which the plurality of objects 24 pass. Those skilled in the art will appreciate that surfaces 15 and 16 could be independently mounted on their own substrates without the use of the glass substrate 14 . By reflecting the light back and forth in this manner, the total amount of light incident on objects 24 is substantially increased over that provided by conventional illumination methods.
[0048] In contrast to the foregoing configuration, FIG. 2 illustrates a common approach used in the prior art to illuminate objects in flow cytometers such as those described in U.S. Pat. No. 5,644,388. In this configuration, an elliptical-shaped beam of light 30 is directed through the substrate 36 and passes through the plurality of objects 24 . In order to illuminate all of field of view 38 , the light beam size in the flow axis is made substantially larger than that used in the present invention. As a result, the intensity of light at any point in field of view 38 is substantially less than in the present invention, which reduces the amount of light scattered or otherwise emitted from the plurality of objects 24 , thereby reducing the SNR of the conventional approaches relative to the SNR of the present invention. Likewise, in the conventional approach, the illumination intensity varies across the field of view in accordance with a Gaussian intensity distribution of the illuminating laser light.
[0049] [0049]FIG. 3 shows an exemplary imaging system 40 that is substantially similar to imaging systems disclosed in copending commonly assigned patent application Ser. No. 09/490,478, the specification and drawings of which have been specifically incorporated herein by reference. The present invention is employed for illumination in imaging system 40 . In this imaging system, light 41 from an object passes through a collection lens 42 , which collects the light, producing collected light 43 . The collected light is focussed substantially at infinity, i.e., the rays of collected light 43 are generally parallel and enter a prism 44 , which disperses the light, producing dispersed light 45 . The dispersed light enters an imaging lens 46 , which focusses light 47 on a time-delay-integration (TDI) detector 48 .
[0050] Imaging system 40 includes illumination system 10 , which was discussed above. A laser light source 50 directs a beam of coherent light 51 toward a reflection cavity 52 within illumination system 10 , as shown in the Figure. Optionally, the illumination system may further include an aperture plate 53 , which includes an aperture 53 a having a diameter selected to reduce the size of the beam sufficiently so that the light intensity distribution across the cross section of the beam that has passed through the aperture is substantially constant. It should be noted that the present invention may be included in other imaging systems that are described and illustrated in the above referenced copending patent application.
[0051] The present invention can also be configured for implementation in a stereoscopic imaging flow cytometer. This configuration of the present invention is shown in FIG. 4 where a reflection cavity 59 is created by supporting two mirrors 55 and 56 on independent substrates within an immersion medium of an imaging flow cytometer. The ends of two capillary tubes 64 a and 64 b are brought within close proximity to each other. A stream of objects 63 is hydrodynamically focused with capillary tube 64 a and caused to flow through a gap 64 c between the tubes and into capillary tube 64 b . Two water immersion objectives 61 and 66 are mounted on a frame (not shown) and are employed to image the gap between the capillary tubes onto two pixilated detectors 62 and 67 . Mirrors 55 and 56 , which are supported within the immersion cavity on a frame 60 , create reflection cavity 59 around the stream of objects 63 . Light from an illumination source (not shown) is directed along a path 65 under mirror 55 , through stream of objects 63 , and onto mirror 56 . Upon striking the mirror, the light is redirected back through stream of objects 63 , and caused to again traverse the stream of objects, generally in the manner described above, in regard to FIG. 1.
[0052] The foregoing Figures illustrate several of the various optical system configurations that include the present invention. Those skilled in the art will appreciate the present invention may be used to advantage in imaging as well as non-imaging flow cytometers. The following discussion numerically quantifies the advantage of using an embodiment of the present invention in a non-imaging PMT-based flow cytometer. The signal strengths are compared for three different illumination systems, two of which are in the prior art, and one of which is an embodiment of the present invention.
[0053] The first prior art system to be discussed is incorporated in a widely-available, non-imaging commercial flow cytometer system. This system employs a 15 mW continuous wave laser that produces an elliptical beam spot 70 microns wide by 20 microns tall, a 6 m/s sample flow rate, and a PMT detector (not shown). An intensity profile along a flow path of the illumination system is illustrated in FIG. 5. The profile has a peak intensity 107 that is approximately 0.68 photons/microsecond through the area defined by the absorbance cross section of a fluorescein molecule. The intensity varies over the field of view of the collection system in accordance with a Gaussian distribution function, 1/e 2x , wherein “x” is a ratio of the distance along the traversal path to the radius of the beam. Conventionally, the boundaries of a Gaussian beam are defined at a 1/e 2 point 108 , which is the position at which the intensity falls to approximately 13% of the peak intensity. For this illumination profile, each fluorescein molecule emits an average of 1.29 photons as it traverses the illuminated region. Those skilled in the art will appreciate that the emission of photons is quantized (no fractional photons are emitted) and that some molecules emit no photons, while others emit one or more photons when traversing the illuminated region. However, the resulting average number of emissions per molecule over all molecules is a fractional number.
[0054] The second prior art example is the same as the first except that the dimension of the illuminating beam is 500 microns in the axis parallel to the direction of object flow. FIG. 6 illustrates an intensity profile for the enlarged illumination area produced by this second prior art system. A peak intensity 109 for this profile is approximately 0.027 photons/microsecond, which is 25 times lower than in the first example shown in FIG. 5. Despite the lower peak intensity, the average emission per fluorescein molecule remains 1.29 photons due to the increased illumination time allowed by the taller beam. Because there is no difference in the average emission per fluorescein dye molecule in the two prior art systems, there is no change in instrument performance, despite the 25-fold change in beam height. Changes in the beam height along the axis of the flow stream do not change the number of fluorescent photons emitted by the sample as it flows through the illuminated region, because the increased illumination time is offset by a corresponding reduced photon flux per unit area.
[0055] [0055]FIG. 7 illustrates an embodiment of the present invention wherein the beam height is 100 microns in the axis parallel to flow, and the beam is reflected across the illuminated region five times. The beam incident angle is inclined relative to the reflecting surfaces so that there is no overlap of the beam in the center of the cavity. The resulting total illuminated height is therefore 500 microns, like that of the second prior art example discussed just above. In this embodiment of the present invention, the beam width is increased from the 70 micron dimension in the prior art, to 90 microns in order to reduce beam divergence. With the configuration used in this embodiment of the present invention, the average number of photons emitted per dye molecule is increased to 4.78 photons, more than a factor of three greater than is obtained using conventional illumination in the prior art. The increase in emitted photons is a result of two factors: (1) high illumination flux due to compact beam dimensions; and (2) an extended illumination height (and correspondingly longer illumination time), due to the multiple offset passes of the laser beam through the illumination region.
[0056] The intensity profile along the stream axis, which provides the increased illumination flux of the above embodiment, is illustrated in FIG. 8. From FIG. 8, it is apparent that a five-pass embodiment produces a peak intensity 138 of more than 0.10 photons/microsecond through the area defined by the absorbance cross section of the fluorescein molecule, which is four times greater than that shown in FIG. 6 for the prior art illumination configuration with the same illumination height. The increase in intensity of the exciting beam and the increase in the number of passes in which the exciting beam encounters a molecule in the present invention produce more fluorescence from each molecule of the dye.
[0057] In addition to increasing illumination intensity, the present invention enables control of the illumination intensity profile in the cavity at the intersection of the stream and each of the plurality of beam passes. By appropriately choosing a waist size and the incident angles, an advantageous illumination profile may be achieved. For applications of the present invention in imaging flow cytometers, it may be advantageous to create a more uniform illumination intensity profile in the cavity, to decrease measurement variation. FIG. 9 shows a configuration similar to that of FIG. 7, except that the beam height is increased to produce a 50% overlap between beam segments in adjacent passes. FIG. 10 shows the resulting intensity profile, which is of much higher uniformity than is produced under no-overlap conditions. In addition to changing the beam size, the extent of beam overlap from pass to pass can be controlled by modifying the distance between the cavity's reflective surfaces and by changing the incident angle of the beam. Increasing the distance between the reflective surfaces and/or the incident angle enables the beam to propagate farther along the vertical axis between passes across the center of the cavity.
[0058] In addition to the factors that cause beam overlap noted above, beam overlap can occur as a result of a divergence of the beam as it traverses the cavity. Divergence due to diffraction causes the cross-sectional area of the beam to increase as the beam traverses the cavity. As the traversal distance increases, a concomitant increase in cross-sectional beam area, or beam spread occurs. This increase in beam spread decreases the intensity, or photon flux at any given portion in the cross section of the beam, which in turn, reduces the probability of fluorescence excitation of probe molecules. Therefore, the beam spread must be kept within acceptable limits. In accord with the embodiments of the present invention discussed above, the beam waist, i.e., the point of the smallest cross-sectional area of the beam, is preferably at a midpoint of the beam traversal through the cavity. The beam cross-sectional size increases in either direction away from the waist at a rate that is inversely proportional to the size of the waist. This phenomenon is illustrated in FIG. 11, which shows the spread of two beams over five passes across the center of a 5 mm wide cavity, one beam having a 50 micron waist (line 141 with triangles at data points) and the other an 80 micron waist (line 143 with squares at data points). Even though a 50 micron waist is substantially smaller in diameter than an 80 micron waist, the average beam diameter throughout the entire traversal of the 50 micron beam is larger. Those skilled in the art will appreciate that in view of the beam divergence, the waist size may be chosen appropriately to maximize intensity based on the number of cavity traversals and the acceptable beam size at points away from the waist, or in regard to the average beam size within the cavity. Those skilled in the art will also appreciate that the beam waist may be disposed appropriately within or outside the cavity to achieve a desired effect with the present invention.
[0059] Within the scope of the present invention, various parameters can be adjusted to increase the number of cavity traversals the beam makes while maintaining a beam size that is appropriate to increase fluorescence. For example, the cavity may be made narrower to decrease the path length that the beam must travel as it traverses the cavity. In this manner, the number of passes in the cavity can be increased while still maintaining a small cross-sectional beam size and thereby maintaining relatively high beam intensity.
[0060] [0060]FIG. 12 shows an embodiment of an illumination system 10 ′ in accord with the present invention in which a retro-reflector 139 is included to reflect the beam back into the cavity after it has exited the top of the cavity. In all other respects, the embodiment shown in this Figure is substantially identical to the first preferred embodiment shown in FIG. 1. However, in the embodiment of FIG. 12, retro-reflector 139 reflects the beam back along the path it followed before exiting the cavity, so that the beam reversing its previous path through the substrate. This embodiment effectively doubles the number of beam passes through the cavity achieved by the embodiment in FIG. 1. A 20-pass retro-reflected embodiment will provide nearly a 15-fold increase in the average photon exposure of an object over a conventional single-pass illumination.
[0061] FIGS. 13 A- 13 F illustrate another embodiment of the present invention wherein the beam traverses the cavity and reverses direction, but unlike the embodiment of FIG. 12, it does so without the use of a retro-reflector. In this embodiment, an angle is introduced between two surfaces 15 a′ and 16 a′, which comprise the walls of the cavity. For illustration purposes, the angle between the reflecting surfaces is exaggerated and shown as equal to ten degrees. As will be observed in the Figure, the introduction of the angle between the two surfaces causes a gradual reduction in the incident angle of the beam relative to the surfaces, as the beam repeatedly traverses the cavity. Eventually, the incident angle becomes 90 degrees, or reverses sign, and the beam is reflected back upon itself (or down the walls of the cavity) and re-traverses the cavity in the opposite direction.
[0062] As illustrated earlier in FIG. 11, the cross-sectional beam size converges to a minimum at the waist position then diverges. The intensity of the beam at any point is inversely proportional to the square of the beam diameter. In order to maintain a high beam intensity, it is therefore advantageous to maintain a small beam diameter as the beam traverses the cavity. To achieve this goal, the embodiment of the present invention shown in FIGS. 14A and 14B incorporates optical power in the reflecting surfaces of the cavity. Each wall of the cavity is a cylindrical mirror 151 and 153 with curvature in the horizontal plane selected to focus the light beam that is reflected therefrom within the cavity. The center of each wall's radius of curvature, R, is the flow stream, so with each reflection of the light beam, the diverging beam is refocused by the mirrors on the objects within the flow stream. As a result, a small beam diameter is maintained in the vicinity of the flow stream, and the beam spread in the axis perpendicular to flow is minimized so that more light is focused on the objects in the stream than could otherwise be obtained. The embodiment shown in FIGS. 14A and 14B also incorporates the method of beam reversal illustrated in FIG. 13. The size of a 488 nm laser beam waist in the vertical and horizontal axes for this embodiment is plotted in FIG. 15. The beam size in the axis perpendicular to flow is maintained at 40 microns in the vicinity of the flow stream. As the beam propagates up the cavity, the beam diameter alternately converges on the flow stream and then diverges toward the reflecting surface where, upon reflection, the beam re-converges near the flow stream. In this embodiment of the present invention, the cylindrical surface contains no optical power in the axis of flow. Therefore, the beam diameter upon the first intersection with the stream is 199 microns. The beam continues to converge up to the 14 th pass where the beam waist, or minimum beam diameter, of 91 microns is reached. The use of the tilted surface wall or the use of a retro-reflector where the beam exits enables the beam to traverse back down the cavity, providing a total of 28 passes of the beam through the flow stream. A flow cytometer employing this embodiment, with a 28-pass cavity, produces an average photon emission per dye molecule of 44.32 photons. This result represents a 35-fold increase in signal strength compared to the conventional method of illumination, where only a 1.29 photon per molecule average emission is achieved.
[0063] As a further embodiment of the present invention, optical power can be provided in both the vertical and horizontal axes of the cavity walls. FIG. 16 illustrates an alternative embodiment of the present invention where the reflection cavity surfaces 161 and 163 are toroids with a radius of 50 mm about an axis perpendicular to the page and a radius of approximately 1 mm about the axis along the flow stream. The centers of curvature for the 50 mm surfaces are separated by approximately 98 mm, so that the vertex of each mirror is separated by 2 mm and centered on the flow stream axis. The illumination beam enters the reflective cavity perpendicular to the flow stream axis at a point approximately 1 mm below the axis defined by a line running between the centers of curvature for the two 50 mm surfaces. Along the axis of beam propagation, the beam waist is located within the reflective cavity and the beam makes a first flow stream intersection. The beam traverses the cavity and is reflected upward at an angle of approximately 2.3 degrees from horizontal, causing the beam to re-cross the cavity and strike the other wall of the cavity. The beam reflects from this cavity wall at an angle of about 4.4 degrees with respect to horizontal and continues to re-cross the cavity and strike the opposite surface in this manner such that the reflected angle with the horizontal increases upon each reflection of the beam by one of the surfaces. After the sixth reflection, the beam traverses the cavity and crosses the axis defined by a line 165 running between the centers of curvature of the two 50 mm radii surfaces 161 and 163 . At this point, the normals to these surfaces point downward. Therefore, the reflected angle of the beam with respect to the horizontal decreases. At the first reflection after the beam crosses the axis defined by the centers of curvature of the surfaces, the reflection angle of the beam with respect to the horizontal is approximately 8.1 degrees. At the second reflection after crossing the axis, the reflection angle is reduced to approximately 7.4 degrees. At the eleventh reflection, the beam makes an angle of approximately zero degrees to the horizontal, and after striking the other wall, the propagation direction of the beam with respect to the flow axis is reversed. The beam then propagates down the cavity, reflecting from the surfaces and eventually exits the cavity at its point of entry after making twenty two passes through the flow stream.
[0064] [0064]FIG. 17 illustrates the beam waist size during the propagation of a 488 nm laser beam through the embodiment of the invention illustrated in FIG. 16, where the reflecting surfaces have optical power in both axes. The beam intersects the flow stream on the first pass with a 50 micron waist in each axis. After the beam passes through the stream it begins to diverge and strikes the far wall of the cavity. Upon reflection, the beam re-converges in the vertical plane such that the waist is approximately 50 microns when it crosses the flow stream. As described in the previous embodiment the beam always re-converges at the flow stream with a waist size of 50 microns in the vertical plane after striking the cavity wall. However, in the axis parallel to flow the beam continues to diverge after reflecting off the cavity wall. The optical power in that axis is insufficient to cause the beam to re-converge. Therefore, when the beam intersects the flow axis on the second pass, it is approximately 55 microns in the axis parallel to flow. The optical power in the axis parallel to flow reduces the divergence from what it would be if the surface contained no optical power in the that axis, but the divergence continues to increase as the beam enters the far field propagation regime. Ultimately, after reflecting from the left hand and right hand surfaces of the cavity eleven times, the beam begins to re-converge in the axis parallel to flow. At this point the beam waist is approximately 176 microns. From this point on the beam begins to converge back toward a 50 micron waist, but exits the cavity before reaching a dimension of 50 microns in the axis parallel to flow.
[0065] Those skilled in the art will appreciate that in all the cases described thus far, the F-number of each of the optical systems described is in excess of 40 and therefore, from an aberration perspective, the optical performance is very well behaved, and the spot sizes of the beam in each axis are dictated by diffraction theory. Therefore, constant radius surfaces may employed. However, those skilled in the art will also appreciate that for lower F-numbers, or smaller spot sizes, aspheric or non-constant radii surfaces may be employed to control wave front aberrations.
[0066] Although the present invention has been described in connection with the preferred form of practicing it and modifications thereto, those of ordinary skill in the art will understand that many other modifications can be made to the present invention within the scope of the claims that follow. Accordingly, it is not intended that the scope of the invention in any way be limited by the above description, but instead be determined entirely by reference to the claims that follow. | An illumination system for increasing a light signal from an object passing through a reflection cavity. The reflection cavity is disposed between spaced-apart, opposed first and second surfaces disposed on opposite sides of a moving stream of objects. A light collection system is disposed substantially orthogonal to a plane passing through the surfaces and the stream so as to collect light that is scattered from or emitted by the objects as they pass through a field of view disposed between the first and second surfaces. A beam of light from a laser source is directed through the stream of moving objects in a direction nearly orthogonal to the stream (but slightly inclined) and lying in the plane that extends through the surfaces and the stream. Due to the reflection angle and the distance between the stream and the first surface, the point at which the light reflected from the first surface intersects the stream on a second pass is displaced from where it passed though the stream on its initial pass. The light is reflected back and forth between the surfaces a plurality of times, illuminating a different portion of the field of view with each pass until, having ranged over the field of view, the light exits the reflection cavity. The “recycling” of the light beam in this manner substantially improves the SNR of the detection system by increasing an average illumination intensity experienced by the objects in the stream. | 45,775 |
This application claims the benefit of co-pending U.S. Provisional Patent Application Ser. No. 60/060,670 filed Oct. 2, 1997.
FIELD OF THE INVENTION
The present invention relates generally to methods for retarding bacterial spoilage and other unwanted quality changes in fresh and processed mushrooms that are intended for ingestion by humans and lower animals, and more specifically to preservative compositions, especially those employing a pH of 9.0 or above as part of the process, which are especially suitable for practicing said methods.
BACKGROUND OF THE INVENTION
Consumers identify whiteness and cleanliness of fresh white button mushrooms (Agaricus bisporus) as the principal factors determining the quality thereof (McConnell, 1991; Beelman, 1987; Schisler, 1983; Barendse, 1984; Wuest, 1981). Consumers prefer to purchase mushrooms which are bright white and free of casing material, compost, or other unwanted particulate contaminants clinging to the surfaces thereof (McConnell, 1991).
Commercial mushroom cultivation practices, typically growing mushrooms in straw-bedded horse manure compost covered with a fine layer of peat or other "casing material," yields mushrooms with unwanted particulate contaminants clinging to the mushroom cap and other surfaces, giving an undesirable appearance (McConnell, 1991). Moreover, mushrooms are typically harvested by hand, introducing a source of contamination with fluorescent pseudomonads and other spoilage organisms, leading to accelerated tissue decay and discoloration (McConnell, 1991).
Mushroom discoloration (browning and purple blotch) occurs when a polyphenol oxidase enzyme (tyrosinase), which naturally occurs at high levels in mushroom cap cuticle (surface) tissue, interacts with phenolic substrates, also naturally occurring in mushroom tissue, to produce the brown pigment melanin. In healthy, intact mushroom tissue, the enzyme and its substrates are located in separate subcellular compartments, and are therefore prevented from reacting to form colored pigments. Unfortunately, mushroom tissue is highly susceptible to damage by bacterial action or by physical handling, and this damage allows the browning enzyme and its substrates to interact, resulting in unwanted color changes in the mushroom tissue.
It would be highly desirable, therefore, to provide a commercial, toxicologically acceptable preservative treatment to prevent bacterial damage to mushroom tissue, indirectly preventing discoloration, and to inhibit directly the polyphenol oxidase-mediated browning reaction. Moreover, it would be especially desirable to introduce these preservatives to mushrooms in the form of a spray or wash which would remove compost, casing material, and other unwanted particulate material cling to mushroom surfaces.
Prior to 1986, aqueous solutions of sulfite, particularly sodium metabisulfite, were used to wash mushrooms for the purpose of removing unwanted particulate matter, and to enhance mushroom whiteness. In 1986, however, the U.S. FDA banned the application of sulfite compounds to fresh mushrooms, due to severe allergic reactions to sulfites among certain asthmatics.
Following the ban on sulfite compounds for processing of fresh mushrooms, there have been several efforts to develop wash solutions for use as a suitable replacement for sulfites. While sulfite treatment yields mushrooms of excellent initial whiteness and overall quality, it does not inhibit the growth of spoilage bacteria. Therefore, the quality improvement brought about by sulfite use is transitory. After 3 days of refrigerated storage, bacterial decay of sulfited mushrooms becomes evident. Traditionally, this was not a concern to mushroom growers, because sulfite washes were inexpensive, effective at removing unwanted particulates, and gave excellent initial quality.
The banning of sulfite washes, however, gave researchers incentive not only to find a suitable sulfite replacement, but also to improve upon sulfite washes by developing a preservative treatment which would extend washed mushroom shelf life beyond that attainable by sulfiting, and which would improve storage quality over that of sulfited mushrooms. McConnell (1991) developed an aqueous preservative wash solution containing 10,000 parts per million (ppm) hydrogen peroxide and 1000 ppm calcium disodium EDTA. The hydrogen peroxide serves as an antimicrobial agent, while EDTA enhances antimicrobial activity and directly interferes with the enzymatic browning reactions. Copper is a functional cofactor of the mushroom browning enzyme, tyrosinase, and tyrosinase activity is dependent upon copper availability. EDTA binds copper more readily than does tyrosinase, thereby sequestering copper and reducing tyrosinase activity and associated discoloration of mushroom tissue.
Hydrogen peroxide acts as a bactericide by causing oxidative damage to DNA and other cellular constituents. Sapers (1994) adapted McConnell's (1991) hydrogen peroxide treatment, incorporating hydrogen peroxide into a two-stage mushroom wash, employing 10,000 ppm hydrogen peroxide in the first stage and 2.25% or 4.5% sodium erythorbate, 0.2% cysteine-HCL, and 500 ppm or 1000 ppm EDTA in aqueous solution in the second stage. Hydrogen peroxide treatments typically yielded mushrooms nearly as white as sulfited mushrooms initially, and whiteness surpassed that of sulfited mushrooms after 1-2 days of storage at 12° C., and shelf life was dramatically improved (McConnell, 1991). Hydrogen peroxide, however, is not currently approved for treatment of fresh produce. More efficacy and safety data are required. Moreover, as the browning reaction itself is oxidative, it would be advantageous to employ a non-oxidative agent, rather than a strong oxidizer such as hydrogen peroxide, for controlling bacterial growth.
SUMMARY OF THE INVENTION
The present invention provides a sulfite alternative employing high pH (preferably 10.5-11.0) to control bacterial growth on mushrooms, and browning inhibitors to minimize enzymatic browning of mushroom tissue.
High pH (9.0 or above) has been shown to be effective for controlling the growth of bacteria in egg washwater (Catalano and Knabel, 1994). The present invention adapts high-pH solutions as an antimicrobial wash treatment for fresh mushrooms, to prevent bacterial decay of mushroom tissue and resultant tissue browning. With their high susceptibility to tissue damage, mushrooms represent a unique application of high-pH preservative treatments. Solution exposure time must be carefully controlled, to optimize bacterial destruction while avoiding counterproductive overexposure of mushrooms to extremes of pH, resulting in chemical damage to tissue. Thus, the present invention comprises a multiple (two- or three-) stage wash procedure, with an initial high-pH antimicrobial step, followed by one or more pH neutralization/browning inhibitor washes, with an erythorbic acid/sodium erythorbate buffer with EDTA added, for example.
The present invention provides a high-pH treatment for the control of bacterial spoilage of mushrooms. A first-stage, high-pH wash destroys bacteria, but might also directly damage mushroom tissue. This is avoided, however, if mushroom exposure time to the high-pH solution is brief and is followed immediately by a second-stage neutralization buffer, consisting primarily of the enzymatic browning inhibitors erythorbic acid and sodium erythorbate.
Solutions of varying concentrations of trisodium phosphate (TSP) or sodium bicarbonate were adjusted to pH 11.0 and reacted with equal volumes of erythorbic acid/sodium erythorbate browning inhibitor solutions, to screen for combinations yielding a final pH in the mushroom physiological range. Solutions with the desired buffering capacities were screened for effectiveness in vivo in mushroom washing trials. Reflectance colorimetry and visual inspection for bacterial blotch and other defects were used to determine mushroom quality. A 0.05M sodium bicarbonate buffer wash at pH 10.5-11.0, followed by a 0.6% erythorbic acid/2.4% sodium erythorbate wash yielded initial quality nearly as high as that obtained by sulfite treatment, and far exceeded the performance of sulfite treatment on days 3, 6, and 9 of storage.
With the pH 11.0/3% erythorbate treatment as a starting point, further experiments were designed to optimize the process, examining the effects of varying mushroom exposure time to wash solutions, varying solution temperatures, and the addition of EDTA and calcium chloride to the second-stage wash solution. Optimum mushroom quality and shelf life were obtained when mushrooms were washed in the high-pH solution for 30s at 25° C., and in the erythorbic acid/sodium erythorbate solution for 60s at 10° C. Addition of 1000 ppm calcium-disodium EDTA and 1000 ppm calcium chloride to the second-stage wash further improved mushroom quality. The high-pH/erythorbate treatment with EDTA and calcium chloride equaled or exceeded the initial quality yielded by sulfite treatment, and far exceeded the performance of sulfite treatment on days 3, 6, and 9 of storage. This optimized high-pH treatment also equaled or exceeded the performance of a hydrogen peroxide/EDTA treatment on each day of evaluation, and was as effective as an antimicrobial.
In addition to improving the quality and shelf life of fresh mushrooms, the high pH/erythorbate wash treatment has applications in canning and in freezing. High-pH treatment prior to canning resulted in better (lighter) color than did sulfite or water washing before canning. Mushrooms treated with high pH prior to freezing were much whiter throughout frozen storage than mushrooms washed in water or a sodium sulfite solution.
A principal objective of the present invention is to provide a practical wash treatment that will yield mushrooms as white as sulfite-treated mushrooms initially, while also suppressing bacterial growth, extending shelf life, and improving storage quality.
It is a principal object of the present invention to apply high pH bactericidal solutions to mushrooms followed by neutralization of mushroom pH and introduction of browning inhibitors, to prevent bacterial decay and mushroom tissue discoloration.
BRIEF DESCRIPTION OF THE DRAWING FIGURES
FIG. 1 is a chart illustrating the effect of adding EDTA and calcium chloride to the second-stage wash solution of the high-pH treatment. Within each day, treatments with the same letter are not different at p<0.05.
FIG. 2 is a chart illustrating the effect of retention time in wash solution on color of hybrid off-white mushrooms. Within each day, treatments with the same letter are not significantly different at the 5% level.
FIG. 3 is a chart illustrating the effect of retention times in wash solutions on the color of hybrid off-white mushrooms. Slopes with the same letter are not significantly different at the 5% level.
FIG. 4 is a chart illustrating the effect of wash solution temperature on the quality of hybrid off-white mushrooms. Within each day, treatments with the same letter are not significantly different at the 5% level.
FIG. 5 is a chart illustrating the effect of wash solution temperatures on the quality of hybrid off-white mushrooms. Slopes with the same letter are not significantly different at the 5% level.
FIG. 6 is a chart illustrating the effect of first-stage wash solution pH on the color of hybrid off-white mushrooms. Within each day, treatments with the same letter are not significantly different at the 5% level.
FIG. 7 is a chart illustrating the effect of first-stage wash solution pH on the color of hybrid off-white mushrooms. Slopes with the same letters (within parentheses) are not different at p<0.05.
FIG. 8 is a chart illustrating the effect of first-stage wash solution pH on the color of hybrid off-white mushrooms. Within each day, treatments with the same letter are not significantly different at the 5% level.
FIG. 9 is a chart illustrating the effect of first-stage wash solution buffering capacity on hybrid off-white mushroom color. Slopes with the same letter are not significantly different at p<0.05.
FIG. 10 is a chart illustrating the effect of erythorbic acid/sodium erythorbate concentration on color of hybrid off-white mushrooms. Within each day, treatments with the same letter are not significantly different at the 5% level.
FIG. 11 is a chart illustrating the effect of erythorbic acid/sodium erythorbate concentration of hybrid off-white mushrooms. Slopes with the same letter are not different at the 5% level.
FIG. 12 is a chart illustrating the comparison of aerobic plate count on mushrooms from four different treatments. Within each day of evaluation, treatments with the same letter were not different at the 5% level.
FIG. 13 is a chart illustrating the effect of mushroom holding times in wash solutions and solution temperatures on aerobic plate counts. Within each day, treatments with the same letter were not different at the 5% level.
FIG. 14 is a chart illustrating the effectiveness of high-pH, sulfite, and water wash treatments at maintaining whiteness. Within each day, treatments with the same letter were not different at the 5% level.
FIG. 15 is a chart illustrating the effectiveness of high-pH, sulfite, and water wash treatments at maintaining whiteness over time. The slope with the asterisk is different from the others at the 5% level.
FIG. 16 is a chart illustrating the effectiveness of three treatments at maximizing whiteness of canned mushrooms, after one week of storage. Treatments with the same letter are not different at the 5% level.
FIG. 17 is a chart illustrating the canning yield of three treatments, expressed on a fresh weight basis. Treatments with the same letter are not different at the 5% level.
FIG. 18 is a chart illustrating the effectiveness of three wash treatments at maintaining whiteness of mushrooms stored at -10 C. Within each week, treatments with the same letter were not different at the 5% level.
FIG. 19 is a chart illustrating the effectiveness of three wash treatments at maintaining whiteness of mushrooms stored at -10 C. Within each week, treatments with the same letter were not different at the 5% level.
FIG. 20 is a chart illustrating the change in mushroom color with re-use of wash solutions. The sulfite treatment showed a decline in color, while the high-pH treatment did not, at the 5% level.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS
Harvesting of the Mushrooms
Hybrid off-white (U1) mushrooms were grown at the Mushroom Test Demonstration Facility (MTDF) of the Pennsylvania State University, on traditional horse manure-based compost, using standard MTDF practice. Mushrooms were harvested early in the morning on the day of each experiment. Twice as many mushrooms as were needed for washing were obtained from those picked. Mushrooms were selected for washing based on size, freedom from major blemishes (bruising, gouges), disease (blotch or verticillium), and for maturity (unstretched veils). Only first and second flush mushrooms were used; and, within a given experiment, mushrooms were obtained from a single flush and growing room. Mushrooms were stored at 4° C., randomly assigned to treatment lots, and washed within 8 hours of picking. Almost all of the wash treatments tested consisted of two stages: a first-stage, high-pH antimicrobial wash (typically, a pH 10.0-11.0 sodium bicarbonate buffer), followed by a second-stage neutralization and preservative wash (typically, a mixture of erythorbic acid, sodium erythorbate, calcium chloride, and EDTA). Since high pH was employed as the principal antimicrobial factor, it was necessary to neutralize pH in the second wash stage, to minimize mushroom tissue damage and resultant acceleration of enzymatic browning.
Initially, two solutions were prepared at pH 11.0, the minimum suggested pH for useful antimicrobial action: a 0.05M sodium bicarbonate solution (pH 8.25) adjusted to pH 11.0 with 1.0N sodium hydroxide, and a 1% tribasic sodium phosphate solution (pH 11.74) adjusted to pH 11.0 with 42.5% phosphoric acid.
Second stage, neutralization solutions were prepared from stock solutions of 1%, 2% 3%, and 4%, each, of erythorbic acid and sodium erythorbate. The pH of these stock solutions was measured singly and in varying erythorbic acid:sodium erythorbate ratios, to give several different formulations at each total solute concentration (1%, 2%, 3%, and 4%).
Neutralization solutions were then combined with equal volumes of pH 11.0 solutions, and the final pH of each mixture was recorded. Results were screened for combinations yielding final pH in the range of 6.50-8.00, i.e., close to mushroom physiological pH, approximately 6.5. Neutralization solutions tested are given in Table 1, with pH measurements alone and in mixture with equal volumes of pH 11.0 solutions. All pH measurements were made using a Beckman Φ 40 pH meter (Beckman Instruments, Inc., Fullerton, Calif.) standardized with Fisher Certified ACS pH 4, 7, and 10 buffers (Fisher Scientific, Inc., Fair Lawn, N.J.). Solutions yielding final pH within the target range were then used in mushroom washing trials, to determine effectiveness at maximizing shelf life and optimizing mushroom color (whiteness).
Washing Procedure
Treatment solutions were prepared with deionized (reverse-osmosis) water and allowed to equilibrate to the desired temperature immediately before washing. Typically, the first, high-pH stage of a two-stage wash treatment was adjusted to 25° C., while the second, neutralization stage was chilled to 10° C. Chemical compounds used in wash solutions are listed in Table 2. Except in experiments where wash duration was an experimental variable, total washing time was 90 seconds: 30 seconds for stage one, and 60 seconds for stage two of two-stage, high-pH treatments, and 90 seconds for single-stage sulfite and deionized (reverse-osmosis) water control lots.
Mushrooms were washed in 3.5-liter polyethylene buckets, at the ratio of 300 g mushrooms per liter of wash solution, agitated gently by hand, using a stainless steel slotted mixing spoon, at the rate of 30 times per minute, and drained in polyethylene colanders. Control mushrooms, treated with a single-stage wash, were transferred to colanders after 30 seconds and immediately re-immersed in the wash solution, to simulate the handling of mushrooms in two-stage treatments.
Washed mushrooms were drained for 5 minutes at room temperature, and colanders were placed in 1/6-size brown paper grocery bags, to prevent excessive moisture loss during overnight holding, making sure that bags did not come into contact with mushrooms. Bags were folded over 10-12 cm from the top, to close, and bagged mushrooms were placed in a 4° C. cooler and held overnight before overwrap packaging and initial color determination.
Packaging
After overnight storage at 4° C., mushrooms were removed from bags, and each treatment lot was randomly divided into four sublots of six caps each, labeled "Day 0," "Day 3,""Day 6," and "Day 9." Mushrooms were then packaged by sublot, caps up, in linear-polystyrene tills. "Day 0" mushrooms were evaluated immediately, and the remaining tills were overwrapped with 60-gauge, PWMF Vitafilm polyvinylchloride film (The Goodyear Tire and Rubber Co., Akron, Ohio), for shelf-life evaluation after 3, 6, and 9 days of storage. A mild heat-sealing treatment was applied to the overwrap. Two 3-mm holes were made through the overwrap, at opposite corners of each package, using self-adhesive labels applied to the overwrap to keep the holes open, to ensure that an aerobic environment was maintained during storage.
Day 3, 6, and 9 sublots were stored in a 12° C. environmental chamber (Lunaire Environmental, Inc., Williamsport, Pa.), with four packages per treatment for sampling on each day of shelf-life evaluation.
Color Measurements
Wash treatment effectiveness at maintaining whiteness and retarding post-harvest browning was determined by measuring mushroom cap color on days 0, 3, 6, and 9 of storage. Color was measured at three locations on the surface of each mushroom cap, using a tristimulus calorimeter (Chromameter Model CR-200, Minolta Corp., Ramsey, N.J.). The Chromameter was calibrated using the standard white calibration plate supplied with the instrument, and L*a*b color coordinates were used for all measurements. A target color of L=97.00, a=-2.00, and b=0.00 was used as a reference standard for internal calculation of overall color deviation (Delta E) from that of the "ideal white mushroom"(Solomon, 1991).
Experiments were structured in a randomized complete block design. Mean whiteness (L-value) and overall color change (Delta E) values were internally calculated for each of the four replicates of each treatment on each day of evaluation, to give a total of four data points per treatment per day. L and Delta E values were analyzed using one-way ANOVA, and means were separated via Fisher's Protected Least-Significant-Difference, with StatView 512+ software (BrainPower, Inc., Calabasas, Calif.).
Bacterial Analysis
Wash treatments yielding the best color (highest L-value, lowest Delta E), initially and over a 9-day shelf life, were screened to determine effectiveness at controlling bacterial growth on the mushroom cap surface. Mushrooms were prepared and washed as in the shelf-life color experiments, and an additional 400 g of mushrooms were randomly sampled from each replicate of each treatment, for each day of analysis (0,3,6,9).
Each 400 g sample was randomly divided into two lots of approximately 200 g, one for total aerobic plate count (APC) on Eugon agar (Difco Laboratories, Detroit, Mich.), and the other for coliform count on violet red bile agar (VRBA) (Difco Laboratories, Detroit, Mich.). Each lot (approximately 200 g) was homogenized with 200 ml of 0.1% peptone in a sterile Waring blender for 1 minute, modifying the procedure of Simons (1994). Mushroom homogenate was serially diluted using 11 ml transfers, followed by 0.1 ml transfers onto duplicate spread plates containing Eugon agar or VRBA. The plates were incubated at 32° C. for 48 hours.
Texture (Firmness) Measurements
Texture was measured the day after washing, using a TA XT2 Texture Analyzer (Stable Micro Systems, Surrey, England) fitted with a conical probe. Penetration depth was set at 0.4 mm. Three readings were taken per mushroom cap, and results were displayed using Stable Micro Systems' XTRA software package.
Canning and Freezing
Washed mushrooms were prepared as canned and frozen products, to evaluate wash treatment effects on canned mushroom color and yield, and on frozen mushroom color. A 60 lb. (27.25 kg) sample of hybrid off-white (U-1) mushrooms was obtained from normal crops grown at the Mushroom Test Demonstration Facility (MTDF), the same morning on the day of washing. Mushrooms were selected from the 27.25 kg sample on the basis of size, maturity (unstretched veils) and freedom from disease, bruising and other major blemishes, and randomly assigned to three treatment lots of 4.5 kg each.
One treatment lot served as a water-washed control, in which mushrooms were washed in 20° C. deionized (reverse-osmosis) water for 90 seconds, at the ratio of 300 g mushrooms per liter of wash solution. Mushrooms were gently agitated by hand, with a stainless steel slotted spoon, 30 times per minute. The second treatment lot was washed in a 20° C. solution of 1000 ppm sodium meta-bisulfite for 90 seconds, at the ratio of 300 g mushrooms per liter of solution, and agitated as in the water control. Water and sulfite control mushrooms were transferred to a polyethylene colander after 30 seconds and then immediately placed back into the wash solution, to simulate the handling of mushrooms in the two-stage wash experimental treatment lots.
Experimental treatment mushrooms were washed for 30 seconds in a 0.05M sodium bicarbonate solution, pre-adjusted to pH 11.0 with 1.0N sodium hydroxide, at 25° C. After 30 seconds, mushrooms were immediately transferred to a 10° C. neutralization wash solution of 6 g/l erythorbic acid, 24 g/l sodium erythorbate, and 1000 ppm calcium-disodium EDTA, at 10° C., and immersed for an additional 60 seconds, for a total wash time of 90 seconds. In both wash stages, mushrooms were washed at the ratio of 300 g per liter of solution, and agitated by hand with a slotted stainless steel spoon, 30 times per minute, as in water and sulfite control treatments.
All mushrooms were drained in polyethylene colanders for 5 minutes at room temperature, with five colanders of 900 g each, on a fresh weight basis, for each of the three treatments. One colander from each treatment was randomly selected for immediate freezing. Mushrooms to be frozen were randomly separated into six lots of 150 g each, sealed in quart-size polyethylene freezer bags, and immediately placed in the walk-in freezer at -18° C. Color readings and bacterial counts were determined at 2, 4, 6, 8, 10, and 12 weeks of frozen storage, using the procedures for fresh mushroom evaluation, except that color readings were collected both while the mushrooms were frozen and after thawing.
The remaining four replicate colanders of 900 g mushrooms from each treatment, were placed in 1/6-size grocery bags, as for fresh mushrooms, and stored for 24 h at 12° C., in preparation for canning, simulating commercial practice. Each mushroom lot was blanched for 5 minutes in boiling water, using steam-jacketed stainless steel kettles, and pre-blanching and post-blanching weights were recorded.
After blanching, the mushrooms were drained for 2 minutes in a stainless steel colander, and drained weights were recorded. For each lot, drained mushrooms were placed into #211×212 cans. A 40-grain sodium chloride tablet was added to each can; cans were filled to the top with boiling tap water, and cans were closed using a Model 424-1ES-00 Closing Machine (American Can Co., Greenwich, Conn.). Canned mushrooms were stored for 7 days at room temperature, cans were opened, and color (L-value and Delta E) and canning yield were determined. Canning yield was calculated by draining each series of six cans for two minutes in a stainless steel colander, recording the final drained weight, and calculating percent yield on a fresh weight basis. A single color reading was taken for each mushroom, for 50 randomly-selected mushrooms per series of six cans. Color (L-value and Delta E) was internally averaged for each series of cans, for a total of four data points and 200 color readings per treatment.
Tribasic Sodium Phosphate Trials
In preliminary experiments, solutions of tribasic sodium phosphate (trisodium phosphate, TSP), were used to generate a washwater pH of 11.0 or higher, as a one-stage wash or in combination with water or the enzymatic browning inhibitors erythorbic acid or sodium erythorbate, in a second-stage wash solution.
Use of 10% TSP by itself, in a wash lasting 120 seconds, was destructive to mushroom pileal tissue, yielding a Day 0 whiteness (L) value of 60.42, vs. 93.36 for a reverse-osmosis water wash and 95.10 for a 1000 ppm sodium metabisulfite wash (Appendix Table 1). TSP-washed mushrooms were dark brown in color and slimy in texture, compared to the bright white, dry, firm sulfite control mushrooms. Reduction of mushroom exposure time to TSP from 120 seconds to 60 seconds, followed by a reverse-osmosis-water wash of 60 seconds dramatically improved color, giving a day-0, L-value of 80.22.
Replacing water with a 2.25% sodium erythorbate solution in the second-stage wash yielded a further improvement in color, to an initial (Day 0) L-value of 89.23. When 2.25% sodium erythorbate was replaced with an equal concentration of erythorbic acid, initial whiteness was higher still, with a day-0, L-value of 90.71. Increasing erythorbic acid concentration from 2.25% to 4.50% gave very little improvement in color through day 3, but on day 6, the increased erythorbic acid treatment was noticeably better, with an L-value of 89.50, versus 84.12 for the 2.25% erythorbic acid treatment. Reduction of TSP concentration from 10% to 5% in the treatments with water as the second-stage wash improved color on days 0, 3, and 6.
None of the experimental treatments matched the whiteness of the sulfite and water controls through Day 3, but the two-stage treatment with 4.50% erythorbic acid as the second-stage wash was significantly better than the water-washed control and not significantly different from the sulfite-washed control on Day 6.
Development of a Two-Stage, High-pH/Neutralization Wash Treatment
Results of the trisodium phosphate wash trials indicated that the quality of mushrooms washed in basic-pH antibacterial solutions could be improved by subsequent transfer to a neutralization solution of erythorbic acid and sodium erythorbate. Erythorbate solutions acted as both an antioxidant, slowing the enzymatic browning reaction, and an acidulant, returning final mushroom pH to physiological range (approximately 6.5), thus minimizing tissue damage due to exposure to high pH.
Solutions of 1%, 2%, 3%, and 4% total erythorbate were prepared, each at 4:1, 3:1, 1:1, and 1:3 erythorbic acid: sodium erythorbate ratios. Single 1%, 2%, 3% , and 4% erythorbic acid and sodium erythorbate solutions were also prepared, for a total 24 test solutions. Solution pH was measured initially and after mixing with an equal volume of 1% trisodium phosphate at pH 11.0, or with 0.05M sodium bicarbonate at pH 11.0. Results are given in Table 1. The buffering capacity of the TSP solution was greater than that of the sodium bicarbonate solution. Several 2%, 3%, and 4% erythorbic acid/sodium erythorbate combinations effectively acidified the sodium bicarbonate buffer to physiological pH. Only the most acidic (3:1 erythorbic acid: sodium erythorbate) 4% solution, and single 3% and 4% erythorbic acid solutions acidified the TSP solution to near physiological pH.
Wash solution combinations yielding a final pH within or near the mushroom physiological range were screened in wash trials, to determine effectiveness at maintaining whiteness throughout a 9-day shelf life. Wash solutions were maintained at room temperature (20° C.). Mushrooms were immersed in the pH 11.0; buffer for 120s, followed by immersion in the erythorbic acid/sodium erythorbate buffer for 60s. The TSP-washed mushrooms were not as white initially and did not maintain whiteness during storage as well as those washed in sodium bicarbonate (Appendix Table 3).
Mushrooms washed in the pH 11.0, 0.05M sodium bicarbonate buffer, followed by the 0.8% erythorbic acid/3.2% sodium erythorbate buffer, were nearly as white initially (L=90.08) as those washed in the 10,000 ppm hydrogen peroxide/1000 ppm calcium-disodium EDTA treatment developed by McConnell (1991), (L=90.48). They were not as white initially as mushrooms washed in a 1000 ppm sodium metabisulfite solution (L=91.56). On day 3, however, the pH 11.0/erythorbate-washed mushrooms were whiter (L=91.78) than either the sulfite-treated mushrooms (L=91.00) or the peroxide-dipped mushrooms (L=90.89). The pH 11.0/erythorbate mushrooms continued to be the whitest on day 6 and day 9, with the L-value difference between treatments increasing with time. The two-stage, pH 11.0, 0.05M sodium bicarbonate/0.8% erythorbate+3.2% sodium erythorbate treatment was used as the reference standard for formula- and process-optimization experiments, with the goals of enhancing initial whiteness to equal or exceed that obtained by sulfite treatment, improving whiteness throughout shelf life, and minimizing ingredient usage.
Addition of EDTA and CaCl 2 to the Second-Stage Wash
McConnell (1991) found that the addition of 1000 ppm calcium-disodium EDTA enhanced the performance of an antimicrobial, 10,000 ppm hydrogen peroxide wash solution, supporting the findings of Eagon (1984) and Shibasaki (1978), that EDTA enhances the effectiveness of antimicrobial agents. In addition, EDTA may inhibit enzymatic browning in mushrooms by sequestering copper, a tyrosinase cofactor (McCord and Kilara, 1983).
The shelf life and quality benefits of adding calcium chloride to mushroom irrigation water have been extensively documented (Kukura, 1997, Miklus and Beelman, 1996, Simons, 1994, Solomon et al., 1991, Barden et al., 1990). Guthrie (1984) found that the addition of calcium chloride (10 mM) to Oxine antibacterial solutions enhanced the antibacterial effect and yielded firmer mushrooms.
When 1000 ppm calcium-disodium EDTA and then 1000 ppm calcium chloride were added to the erythorbic acid/sodium erythorbate stage of the pH 11.0/erythorbate wash treatment, there were significant improvements in mushroom whiteness, at p<0.05. The improvement in whiteness was also noticeable upon visual inspection. Results are given in FIG. 1 and in Table 3. In the experiment summarized in FIG. 1, mushrooms were held in the pH-11.0 solution for 60 seconds, followed by 120 seconds in a 4% erythorbate solution. Table 3 represents a separate experiment, in which the pH-11.0 wash was 30 seconds, followed by a 60-second wash in a 3% erythorbate solution. The color improvement due to calcium chloride was greater for the longer wash time, 120 seconds (FIG. 1), in the 4% erythorbate solution, vs. 60 seconds (Table 3) in the 3% erythorbate solution. It was subsequently shown, however, that the best overall performance was yielded by the 30-second pH-11.0 wash, followed by the 60-second, 3% erythorbate+1000 ppm EDTA+1000 ppm calcium chloride wash.
Kukura (1997) showed that mushrooms irrigated with tap water plus calcium chloride were more resistant to discoloration in general, and especially discoloration due to bruising, than were mushrooms irrigated with tap water alone. For mushrooms subjected to bruising treatments, calcium-chloride irrigation was shown to strengthen cell and vacuole membranes, preventing the leakage of polyphenoloxidase (PPO) substrates from the vacuole to the cytoplasm and surrounding medium. Containment of PPO substrates in the vacuole prevents them from interacting with the enzyme, thus preventing enzymatic browning. Electron microscopy did not reveal the same structural difference between calcium-added and no-calcium treatments when calcium chloride was incorporated into the wash treatment. Mushrooms in this study, however, were not subjected to bruising, and this may explain why the protective effect of calcium was not evident in the micrographs of washed-mushroom tissue. There was, however, an improvement in mushroom whiteness as a result of the addition of 1000 ppm calcium chloride to the second-stage wash solution (FIG. 1, Table 3).
Calcium chloride addition to the second-stage wash also affected bacterial populations. On day 0, plate counts were higher for calcium-treated mushrooms, vs. high-pH, no-calcium mushrooms, at p<0.05 (Table 4). By day 9, however, plate counts for high-pH, no-calcium mushrooms were significantly higher than counts for high-pH-plus-calcium mushrooms. There was no significant difference in plate count between the two high-pH treatments on day 3 and day 6.
Barden et al. (1990) found that bacterial counts were consistently lower for mushrooms with 0.5% calcium chloride added to the irrigation water than for mushrooms with no calcium chloride added to the irrigation water. The day 9 plate count results suggest that a similar relationship between calcium and bacterial growth exists at the end of the shelf life for mushrooms washed in high-pH solutions containing 0.1% calcium chloride.
Solomon (1989) proposed that improvements in mushroom quality due to CaCl 2 irrigation treatments were the result of surface accumulation of calcium, which reduced water activity and bacterial growth, and concomitantly increased surface light reflectance. This is supported by the data in Table 3, showing an increase in whiteness between day 0 and day 3, possibly the result of post-washing moisture loss. In the water-washed control mushrooms, the effect is likely negated by the greater increase in bacterial numbers between day 0 and day 3 (Table 4).
The higher day 0 bacterial populations for the calcium chloride high-pH wash, vs. the no-added-calcium high-pH wash suggest that, at least initially, for high-pH-treated mushrooms, there are effects of calcium on bacterial growth unrelated to the reduction in water activity at the cap surface. Mendonca et al., 1994, concluded that the destruction of food-borne pathogens by high pH involves disruption of the cytoplasmic membrane. As Ferguson (1984) and Miklus and Beelman (1996) have suggested that calcium stabilizes biological membranes, it is possible that the 0.1% CaCl 2 added to the high-pH wash protected both bacterial cell membranes and mushroom tissue membranes from damage due to high pH. In terms of bacterial survival and growth, however, this appears to be only an initial effect. After day 0, bacterial counts for calcium-washed mushrooms were found to be lower than or not significantly different from counts for mushrooms washed without calcium. It is possible that, later in storage, the effect of calcium in lowering surface water activity predominates.
Time and Temperature Effects
Color
Mushroom retention time in the wash solutions and temperatures of the wash solutions were examined, in order to maximize mushroom quality. Changing the holding time in the pH 11.0 buffer from 120s to 60s and in the erythorbate solution from 60s to 120s, reversing the holding times for the two wash solutions, resulted in increased whiteness on days 6 and 9 of shelf life. In addition, the rate of discoloration was decreased for the mushrooms held for the shorter interval in the high-pH buffer and for the longer interval in the erythorbate solution. Halving the retention times to 30s in the high-pH buffer and 60s in the erythorbate buffer resulted in a further increase in whiteness (FIG. 2), but the rate of discoloration over time (slope of the L-value vs. storage time plot) was not changed from that of the 60s/120s treatment (FIG. 3) The rate of discoloration increased, however, when mushrooms were exposed to the high-pH solution for 120 seconds and only immersed in the neutralization wash for 60 seconds (T-10, FIG. 3).
Temperature data are given in FIGS. 4 and 5. Optimum wash solution temperatures were 25° C. for the pH 11.0 buffer and 10° C. for the erythorbate buffer. Increasing the temperature of the high-pH buffer to 35° C. decreased whiteness after day 3 of storage, and increased the rate of discoloration. Decreasing the temperature of the high-pH buffer to 10° C. had a similar effect on mushroom color. Increasing the temperature of both solutions, with the high-pH buffer at 35° C. and the erythorbate buffer at 25° C., resulted in a still greater deterioration in color. All high-pH/erythorbate treatments, however, gave better quality than washing in either reverse-osmosis water at 10° C. or 1000 ppm sodium metabisulfite at 10° C. All mushrooms were equilibrated to 4° C. in a walk-in cooler prior to washing.
Water Uptake
Time and temperature parameters affected mushroom water uptake during washing (Table 5). Minimizing water uptake during washing is important to prevent mushrooms from having a waterlogged appearance. As expected, shorter wash times generally resulted in less water uptake, vs. longer wash times at the same solution temperatures. The relationship between temperature of the wash solutions and water uptake was less predictable. Increasing the temperature of the high-pH wash solution from 10° C. to 25° C. decreased water uptake (Table 5, Treatment 3 vs. Treatment 7). Further increasing the temperature to 35° C., however, resulted in an increase, rather than a further decrease, in water uptake (Table 5, Treatment 7 vs. Treatment 5).
Increasing the temperature of the neutralization wash from 10° C. to 25° C. also increased water uptake (Table 5, Treatment 5 vs. Treatment 2). Overall, the time-temperature combination yielding the lowest water uptake was a 25° C., 30 second high-pH wash followed by a 10° C., 60 second neutralization wash.
Texture
Mushroom texture was evaluated, to determine the effects of water uptake and high pH upon the firmness of mushrooms. There was no significant difference in firmness between unwashed mushrooms, mushrooms washed in water or in sodium sulfite, and mushrooms treated with hydrogen peroxide/EDTA or with high-pH/neutralization washes (Table 6 ).
First-Stage Wash Solution pH vs. Mushroom Quality
The first-stage wash solution was designed to prevent the growth of bacteria, particularly pseudomonads, on the mushroom cap surface. First-stage wash solution buffers were prepared at pH values of 11.0, 10.5, 10.0, 9.5, and 9.0, to determine the optimum pH, with overall mushroom quality the deciding criterion. All treatments used the 30s retention time in the high-pH buffer at 25° C., and the 60s retention time in the erythorbate buffer at 10° C., shown to yield the highest quality and the least water uptake. A 0.6% erythorbic acid+2.4% sodium erythorbate+1000 ppm EDTA+1000 ppm calcium chloride formula was used for all treatments. Results are given in FIGS. 6 and 7.
Mushroom quality generally decreased with decreasing first-stage solution pH. The pH 10.5 and 11.0 formulations performed best. The pH 10.5 and 11.0 formulations were the best performers overall, yielding mushrooms as white as or whiter than those from other treatments on each day of evaluation, and having a slower rate of discoloration over time.
The pH 9.5 and 10.0 performed as well as the pH 10.5 and 11.0 formulations initially (on day 0). On day 3 and day 6, however, they yielded mushrooms that were less white than those from the higher-pH treatments. The pH 9.0-treated mushrooms were not as white initially as the other high-pH treated mushrooms, and they discolored at a more rapid rate than all but the reverse-osmosis water and sulfite control mushrooms.
Sulfite-treated mushrooms were as white initially as those from the pH 11.0, 10.0, and 9.5 treatments. They discolored at a much higher rate, however, and by day 3, they were not as white as the pH 11.0, 10.0, and 9.5-treated mushrooms. By day 6, the pH 9.0-treated mushrooms were whiter than sulfite-treated mushrooms. Sulfite-treated and water-washed mushrooms discolored at the same rate, but the sulfite-treated mushrooms were whiter initially, and thus on each day of evaluation.
Wash Solution Buffering Capacities vs. Mushroom Quality
The poorer performance of TSP-based treatments, vs. sodium bicarbonate-based treatments, was attributed to insufficient neutralization (reacidification) of the mushrooms by the erythorbate solution, due to the greater buffering capacity of the TSP solutions. Conversely, it was possible that the pH 10.0, 9.5, and 9.0-treated mushrooms were overacidified in the 3.0% erythorbate buffer. To examine the effects of wash solution buffering capacity on mushroom quality, mushrooms were washed in first-stage high-pH buffers of varying sodium bicarbonate concentration, and in second-stage buffers of varying erythorbic acid/sodium erythorbate concentration.
Sodium Bicarbonate Concentration
In the first experiment, the second-stage buffer remained constant, 0.6% erythorbic acid+2.4% sodium erythorbate+1000 ppm EDTA, while first-stage buffers of varying sodium bicarbonate concentration (0.05, 0.10, 0.25, and 0.50M) were prepared. In all treatments, the first-stage buffer was adjusted to pH 10.0. A pH of 10.0 was chosen, to determine whether a pH 10.0 buffer of increased buffering capacity would maintain whiteness as effectively as a pH 11.0 buffer of lower buffering capacity (included as a reference treatment). Results are given in FIGS. 8 and 9.
Initial whiteness was the same for all treatments except the water control, which was less white than the rest. On day 3, the pH 10.0 treatments with higher sodium bicarbonate concentrations (0.01, 0.25, and 0.50M) were as white as the pH 11.0, 0.05M treatment. The 0.05M, pH 10.0 treatment was not as white as the 0.05M, pH 11.0 treatment. On day 6 , there were no differences in whiteness between any of the pH 10.0 treatments and the pH 11.0 treatment. All of the high-pH treatments were whiter than the sulfite and water controls.
Increasing the buffering capacity of a lower-pH, first-stage wash solution was shown to improve mushroom quality, but the effect was only seen in the middle of the storage period. On the first day of storage after washing and six days after washing, there were no differences in whiteness between the pH 11.0 treatment and any of the pH 10.0 treatments of varying sodium bicarbonate concentration.
Erythorbic Acid/Na Erythorbate Concentration
In this experiment, the first-stage buffer, 0.05M sodium bicarbonate at pH 11.0, was tested in combination with three different second-stage buffers:
1. 0.8% erythorbic acid+3.2% sodium erythorbate+1000 ppm EDTA (4% total erythorbate).
2. 0.6% erythorbic acid+2.4% sodium erythorbate+1000 ppm EDTA (3% total erythorbate).
3. 0.4% erythorbic acid+1.6% sodium erythorbate+1000 ppm EDTA (2% total erythorbate).
Results are given in FIGS. 10 and 11.
There was no difference in whiteness between mushrooms washed in the three erythorbate solutions, on any of the days (0,3,6,9) of evaluation. Sulfite control mushrooms were as white as the experimentally treated mushrooms initially (day 0), but were less white on days 3 and 6. On day 9, the 3% and 4% erythorbate-treated mushrooms were still whiter than the sulfite-treated mushrooms. Mushrooms treated with 2% erythorbate were not whiter, at p<0.05, than sulfite-treated mushrooms, on day 9.
Hydrogen peroxide/EDTA-washed mushrooms not as white initially as mushrooms washed in sulfite or in the pH 11.0/3% erythorbate treatment. They were, however, as white as those washed in water, pH 11.0/2% erythorbate, or pH 11.0/4% erythorbate. On days 3, 6, and 9, the hydrogen peroxide/EDTA treatment performed as well as the 2%, 3%, and 4% erythorbate treatments. The rate of discoloration (slope of the L-value vs. storage-time plot) was not different, at p<0.05, from that of the high-pH/erythorbate-treated mushrooms. Sulfite-treated mushrooms discolored at a faster rate than all of the other treatments.
In summary, the high-pH treatment with the 3% erythorbate second-stage wash performed best, yielding mushrooms as white as or whiter than those from all other treatments on all four days of evaluation.
Effect of High-pH Treatment on Bacterial Growth
It has been shown in testing to date that, in general, the performance of a two-stage, high-pH buffer/erythorbate buffer preservative wash treatment increased as the pH of the first-stage buffer increased, as measured by mushroom whiteness. In addition to the inhibition of enzymatic browning by erythorbic acid, sodium erythorbate, and EDTA in the second-stage buffer, there is an improvement in mushroom shelf life and quality as a result of exposure to high pH in the first stage of washing. It was hypothesized that this positive effect of high pH on mushroom quality may be due to destruction of spoilage bacteria on the mushroom cap surface.
To assess the antimicrobial effect of the high-pH treatment of fresh mushrooms, aerobic plate counts were determined for four treatments:
1. Reverse-osmosis water, 20° C., 90s
2 . 1000 ppm sodium metabisulfite, 20° C., 90s
3. 10 000 ppm hydrogen peroxide+1000 ppm EDTA, 20° C., 90s
4. 0.05M sodium bicarbonate at pH 11.0, 25° C., 30s/0.6% erythorbic acid +2.4% sodium erythorbate+1000 ppm EDTA, 10° C., 60s. Results are given in FIG. 12. Note that the statistical groupings differentiate between treatments within a single day of evaluation, and do not indicate differences in bacterial populations over time for a single treatment.
Initially and on all three subsequent days of evaluation, the high-pH and the hydrogen peroxide treatments yielded lower bacterial populations than did the sulfite and the water control treatments. For all four treatments, bacterial populations increased steadily over time. On day 0, populations were 2.20×10 6 CFU/g for the high-pH treatment, 2.34×10 6 CFU/g for the hydrogen peroxide treatment, 5.00×10 6 CFU/g for the water control, and 5.33×10 6 CFU/g for the sulfite treatment. On day 6, bacterial numbers for the water and sulfite controls reached 7.20×10 8 and 9.78×10 8 CFU/g, respectively, while the high-pH and hydrogen peroxide treatments had populations of 1.57×10 8 and 2.34×10 8 CFU/g.
The high-pH treatment was as effective as hydrogen-peroxide washing at controlling bacterial growth on washed mushrooms. Both yielded lower bacterial populations than did sulfite treatment or water washing.
Time and Temperature Effects
Wash solution temperatures and mushroom retention times in wash solutions were shown to affect mushroom quality throughout shelf life. These parameters were also investigated microbiologically, to determine their effects on mushroom bacterial populations. The same high-pH treatments were evaluated as for the overall quality experiment:
1. Reverse-osmosis water, 20° C., 90s
2. pH 11.0, 25° C., 30s/3% erythorbate, 10° C., 60s
3. pH 11.0, 10° C., 30s/3% erythorbate, 10° C., 60s
4. pH 11.0, 25° C., 60s/3% erythorbate, 10° C., 120s
5. pH 11.0, 10° C., 60s/3% erythorbate, 10° C., 120s. Aerobic plate counts were recorded on days 0, 3, and 6. Results are given in FIG. 13.
On all three days, bacterial populations were lower for the high-pH treatments, vs. the water control. On day 0, the 25° C./10° C. treatment with the 90s total retention time yielded lower bacterial populations than did the high-pH treatments with the other time/temperature combinations. This treatment also yielded the best shelf-life quality.
On day 3, the 25° C./10° C. treatments at both retention times yielded lower bacterial populations than did the other treatments. On Day 6, the 25° C./10° C., 90s treatment still resulted in lower bacterial populations than did all of the other treatments. The longer-retention time treatments, at both temperature combinations, yielded the next-lowest bacterial populations, while the 10° C./10° C., 90s treatment gave the highest bacterial population of he high-pH treatments.
These results, with a greater bacteria kill occurring at 25° C. than at 10° C., confirm the findings of Raynor (1997), Teo et al. (1995), and Catalano and Knabel (1994), that the antibacterial effectiveness of a high-pH solution is temperature-dependent. Exposure time was also an influencing factor, and there was a time-temperature interaction. On day 0 and day 6, the 25° C. treatment at 90s total wash time yielded lower bacterial numbers than did the same treatment at 180s total wash time. This may have been due to a decrease in water uptake and a resultant increased rate of drying, leaving less surface water available to support bacterial growth. At the lower temperature, where bacterial destruction occurred more slowly, the longer wash time (60s in the pH 11.0 wash) resulted in lower bacterial numbers, on day 6, than did the shorter wash time (30s in the pH 11.0 wash), (FIG. 13).
Performance of Optimal High-pH Treatment vs. Sulfite and Hydrogen Peroxide Treatments
Sulfite treatment, though banned commercially from use on fresh mushrooms, was still the benchmark, in testing to date, for initial mushroom whiteness. Sulfite treatment produced bright, extremely white mushrooms initially. As sulfite treatment does not prevent bacterial growth (McConnell, 1991), the whiteness yielded by sulfite treatment is short-lived. Sulfite-treated mushroom quality deteriorated markedly by day 3 (FIG. 14), and dark, sunken lesions appeared by day 6.
The hydrogen peroxide/EDTA treatment developed by McConnell (1991), improved shelf-life quality of fresh mushrooms drastically, compared to sulfite treatment. On days 3, 6, and 9, the peroxide-treated mushrooms were whiter than sulfite-treated mushrooms, and, until day 9, were free of sunken bacterial lesions. On day 9, the lesions were smaller and, by visual inspection, covered less of the mushroom cap surface than those on the sulfite-treated mushrooms. In addition, peroxide-treated mushrooms had a dryer cap surface, vs. sulfite-treated mushrooms, in the later stages (after day 3) of shelf life. Initially, however, sulfite-treated mushrooms are still noticeably whiter than those treated with hydrogen peroxide and EDTA, both by visual inspection and by reflectance colorimetry.
In terms of performance, the ideal mushroom preservative treatment (barring a theoretical one of infinite whiteness and shelf life) would yield an initial whiteness equal to or greater than that achieved by sulfite treatment, and would maintain whiteness throughout shelf life at least as effectively as treatment with hydrogen peroxide and EDTA. The optimal high-pH treatment (0.05M sodium bicarbonate at pH 11.0, 25° C., 30s/0.6% erythorbic acid+2.4% sodium erythorbate+1000 ppm EDTA+1000 ppm calcium chloride, 10° C., 60s) was evaluated for overall performance vs. sulfite treatment and hydrogen peroxide/EDTA treatment. L-value (whiteness) measurements and visual observations were recorded on days 0, 3, 6, and 9, and results are shown in FIGS. 14 and 15.
On day 0, the high-pH treatment yielded the highest numerical whiteness value, with a 6-replicate average of L=92.32, though this was not different (p<0.05) from the sulfite treatment mean of L=91.96. The peroxide-treated mushrooms were less white, at L=89.97. On day 3, the high-ph-treated mushrooms were whiter than the peroxide-treated mushrooms, which were whiter than the sulfite-treated mushrooms. On days 6 and 9 the high-pH and peroxide treatments were equally effective, and both outperformed sulfite treatment by more than 10L-value units. The sulfite-treated mushrooms were visibly slimy and had sunken lesions by day 6. By day 9, the lesions were dark brown to black and covered most or all of the mushroom cap surfaces. The peroxide- and high-pH-treated mushrooms were free of blotch discoloration and sunken lesions through day 6, and showed only mild purple to light tan blotches over part of the cap surface on day 9. On day 6, there was some browning visible on the underside of the cap and on the cut end of the stripe, becoming slightly darker by day 9. The rate of discoloration was not different, at p<0.05, for the high-pH and hydrogen peroxide treatments, whereas sulfite-treated mushrooms discolored much more rapidly over the 9-day shelf life.
In summary, the high-pH treatment yielded mushrooms of equal or higher quality, vs. the sulfite and hydrogen peroxide treatments, on each day of evaluation. Initial performance matched that of sulfites, and performance at the end of shelf life, on days 6 and 9, matched that of the hydrogen peroxide/EDTA wash. Between day 0 and day 6, when fresh mushrooms are typically displayed for retail sale, the high-pH treated mushrooms were of higher quality than both sulfite-treated and peroxide-washed mushrooms, based on day-3 data.
Applications in Canning and Freezing
Though consumption of canned mushrooms is declining, canning remains economically important to the mushroom industry. With the beneficial effect of high-pH treatment on the quality and shelf life of fresh mushrooms, it was investigated whether there was a similar benefit to high-pH treatment of mushrooms prior to canning or freezing.
Canning
Mushrooms are commonly washed and stored for 1-2 days before canning, to improve yield (Beelman, 1997). The longer mushrooms are stored, the greater the yield improvement (Beelman, 1997); however, color declines. Therefore, canners sometimes wash mushrooms in sulfites to prevent browning. Thus, it was determined whether washing mushrooms in the high pH/neutralization wash would yield color as good as or better than that of a sulfite treatment, while still providing the yield benefit of washing and holding.
Canned mushrooms were washed in reverse-osmosis water, a sulfite solution, or the high-pH/erythorbate solutions prior to blanching, canning, and thermal processing. Mushrooms were stored at room temperature and cans were opened after 7 days, to evaluate color and yield. Color results are given in Table 7. High-pH mushrooms were significantly whiter than sulfite-treated mushrooms (by a difference of approximately 3 L-value points), which were significantly whiter than the water-washed mushrooms.
Yield was calculated as a percentage of fresh weight. Results are given in Table 8. Sulfite treatment and high-pH treatment resulted in similar yields (65.70% and 65.53%, respectively), while water washing resulted in a slightly, but significantly, lower yield of 64.85%.
Since the high-pH wash protected the mushrooms from browning during storage better than sulfites, these mushrooms could perhaps have been stored longer prior to canning to result in even greater canned product yield without sacrificing color.
Freezing
Frozen mushroom color was evaluated at 2, 4, 6, and 8 weeks after freezing, and coliform and total aerobic plate counts were determined. Frozen mushrooms pre-treated with the high-pH/erythorbate wash were much whiter than mushrooms pre-washed in water or in 1000 ppm sodium metabisulfite, 2, 4, 6, and 8 weeks after washing and freezing. Frozen mushroom color results are given in FIG. 16.
Bacterial growth on frozen mushrooms was reduced by high-pH pre-treatment (FIG. 17). After six weeks of frozen storage, aerobic plate counts on sulfite-washed mushrooms were higher than those on water-washed mushrooms, but on all four weeks of evaluation, plate counts were lowest for the high pH-washed mushrooms. Coliform counts were<10 CFU/g through 8 weeks of frozen storage for the high-pH treatment. They were similar for water-washed mushrooms, but were as high as 375 CFU/g for sulfite-washed mushrooms (Table 9).
CONCLUSIONS
A two-stage wash treatment consisting of a 0.05M sodium bicarbonate buffer at pH 10.5-11.0 in the first stage, followed by a neutralization solution containing 0.6% erythorbic acid, 2.4% sodium erythorbate, 1000 ppm EDTA, and 1000 ppm calcium chloride in the second stage is very effective at improving shelf life and quality of fresh and processed white mushrooms (Agaricus bisporus). This treatment equals the initial whiteness achieved by sulfite treatment, while controlling bacterial growth, preventing blotch and lesion formation, and improving shelf life and storage quality as effectively as or better than wash treatments incorporating hydrogen peroxide and EDTA.
Wash solution temperatures and mushroom holding times in wash solutions affect the performance of the high-pH/erythorbate treatment. A retention time of 30 seconds in a pH 10.5-11.0 first-stage buffer at 25° C., followed by 60 seconds in a 3% erythorbate solution at 10° C. were determined to be optimal processing conditions. The treatment was found to be robust, however, and was effective over a range of temperatures, holding times, and even wash solution ingredient concentrations. The pH of the first-stage wash solution could be reduced to 9.5-10.0 without serious detriment to performance, particularly if the buffering capacity (sodium bicarbonate concentration) is increased. Similarly, the erythorbic acid concentration could be reduced to as low as 0.4% and sodium erythorbate concentration as low as 1.6% (retaining the 1:4 erythorbic acid: sodium erythorbate ratio) in the second-stage wash.
The addition of 1000 ppm EDTA and 1000 ppm calcium chloride to the second-stage wash solution enhanced the performance of the treatment, with each ingredient resulting in an improvement in mushroom color. EDTA functions to chelate copper, a cofactor of polyphenol oxidase, the browning enzyme in mushrooms. It has also been shown to enhance the performance of antimicrobials. Calcium chloride may function by increasing solute concentration at the mushroom cap surface, making less water available to bacteria and increasing surface light reflectance (whiteness). In addition, it may improve vacuolar membrane integrity, making the mushroom tissue more resistant to bruising and senescence.
The high pH of the first-stage wash is designed to destroy bacteria on the mushroom cap surface, particularly the phytopathogenic fluorescent pseudomonads, which cause blotches and lesions. Erythorbic acid and sodium erythorbate, in addition to returning mushroom pH to physiological range, act as antioxidants, inhibiting enzymatic browning.
In addition to effectively improving the quality and shelf life of fresh mushrooms, high-pH/erythorbate treatment is useful as a pretreatment to improve the color of canned and frozen mushrooms.
TABLE 1______________________________________Neutralization Solution Formulations and pH Readings. pH with pH with % Equal Vol. Equal Vol. Total Initial NaHCO.sub.3 pH TSP @Solution Solute pH @ pH 11.0 pH 11.0______________________________________1% Sodium Erythorbate 1 8.35 10.75 11.132% Sodium Erythorbate 2 8.31 10.56 11.063% Sodium Erythorbate 3 8.31 10.52 10.994% Sodium Erythorbate 4 8.29 10.45 10.961:4 E.A.:Na Erythorbate 1 5.18 10.42 11.091:3 E.A.:Na Erythorbate 1 5.01 10.13 10.851:1 E.A.:Na Erythorbate 1 3.87 9.60 10.703:1 E.A.:Na Erythorbate 1 3.39 8.82 10.581:4 E.A.:Na Erythorbate 2 5.02 10.34 11.021:3 E.A.:Na Erythorbate 2 4.85 10.06 10.881:1 E.A.:Na Erythorbate 2 4.17 7.02 10.683:1 E.A.:Na Erythorbate 2 3.43 5.72 9.691:4 E.A.:Na Erythorbate 3 4.53 6.91 10.711:3 E.A.:Na Erythorbate 3 4.46 6.83 10.491:1 E.A.:Na Erythorbate 3 4.20 5.99 9.853:1 E.A.:Na Erythorbate 3 3.98 5.00 8.301:4 E.A.:Na Erythorbate 4 4.98 7.28 10.661:3 E.A.:Na Erythorbate 4 4.82 6.98 10.531:1 E.A.:Na Erythorbate 4 4.29 5.25 8.303:1 E.A.:Na Erythorbate 4 3.69 4.60 7.601% Erythorbic Acid 1 2.72 6.73 10.492% Erythorbic Acid 2 2.64 5.59 9.343% Erythorbic Acid 3 2.55 3.82 7.484% Erythorbic Acid 4 2.53 3.68 7.12______________________________________ E.A. = Erythorbic acid. Na Erythorbate = Sodium Erythorbate. TSP = Tribasic Sodium Phosphate.
TABLE 2__________________________________________________________________________Chemicals Used in the Mushroom Wash Treatments and Their__________________________________________________________________________Sources.Calcium-disodium EDTA (Versene ® CA) food grade The Dow Chemical Co., Midland, MICalcium chloride, dihydrate (Dow Flake ®) The Dow Chemical Co., Midland, MIErythorbic acid, FCC fine granular Pfizer, Inc., New York, NYHydrogen peroxide, 35% Fisher Scientific, Inc., Fair Lawn, NJSodium bicarbonate, anhydrous, Certified ACS Fisher Scientific, Inc., Fair Lawn, NJSodium carbonate, anhydrous, Certified ACS Fisher Scientific, Inc., Fair Lawn, NJSodium erythorbate, FCC granular Pfizer, Inc., New York, NYSodium hydroxide, Certified ACS Fisher Scientific, Inc., Fair Lawn, NJSodium sulfite, anhydrous, Certified ACS Fisher Scientific, Inc., Fair Lawn,__________________________________________________________________________ NJ
TABLE 3______________________________________Influence of calcium chloride added to the second-stage washsolution on the color of hybrid off-white mushrooms. L-valueTreatment Day 0 Day 3 Day 6 Day 9______________________________________Water Control 92.61b 91.68c 86.43b 82.83cpH 11.0 no Ca 93.95a 94.58b 92.57a 89.06bpH 11.0 + Ca 94.22a 95.09a 92.88a 90.69a______________________________________ Data are means of four replicates; within each day of evaluation, means followed by the same letter are not significantly different (P < 0.05).
TABLE 4______________________________________Influence of calcium chloride added to the second-stage washsolution on the bacterial population of fresh mushrooms. CFU/mlTreatment Day 0 Day 3 Day 6 Day 9______________________________________Water Control 3.4 × 10.sup.6 a 1.66 × 10.sup.8 a 7.86 × 10.sup.8 a 3.38 × 10.sup.8 apH 11.0 no Ca 2.07 × 10.sup.6 c 2.09 × 10.sup.7 b 1.54 × 10.sup.8 b 2.04 × 10.sup.8 bpH 11.0 + Ca 2.31 × 10.sup.6 b 2.20 × 10.sup.7 b 1.33 × 10.sup.8 b 1.45 × 10.sup.8 c______________________________________ Within each day of evaluation, means followed by the same letter are not significantly different (P < 0.05).
TABLE 5______________________________________Effect of temperatures of wash solutionsand holding times on water uptake of mushrooms. Water- WeightTreatment Gain (%)______________________________________1. pH 11.0, 10° C., 60 seconds/neutralization, 10° 11.30 (A) 120 seconds2. pH 11.0, 35° C., 30 seconds/neutralization, 25° 10.22 (B) 60 seconds3. pH 11.0, 10° C., 30 seconds/neutralization, 10° 9.96 (B) 60 seconds4. R.O. Water, 10° C., 180 seconds 9.50 (BC)5. pH 11.0, 35° C., 30 seconds/neutralization, 10° 8.75 (C) 60 seconds6. R.O. Water, 10° C., 90 seconds 8.25 (CD)7. pH 11.0, 25° C., 30 seconds/neutralization, 10° 7.65 (D) 60 seconds______________________________________
TABLE 6______________________________________Influence of Wash Treatment Upon the Texture of Fresh Mushrooms. ResistanceTreatment (Kg)______________________________________1. Unwashed Control 0.572 (A)2. R.O. Water, 90 s 0.570 (A)3. 1000 ppm Sodium Metabisulfite, 90 s 0.567 (A)4. pH 11.0, 30 s/Neutralization*, 60 s 0.556 (A)5. 1000 ppm Hydrogen Peroxide + 1000 ppm EDTA, 90 s 0.546 (A)______________________________________ *Neutralization wash = 0.6% erythorbic acid + 2.4% sodium erythorbate + 1000 ppm EDTA + 1000 ppm calcium chloride. Values are means of three replicates. Means followed by the same letter are not different at p < 0.05.
TABLE 7______________________________________Quality of Canned Mushrooms: High-pH treatment vs. Sulfiteand R.O. Water Treatments.Treatment Whiteness (L-value)______________________________________High-pH 64.01 (A)Sulfite 61.23 (B)R.O. Water 59.13 (C)______________________________________ Values are the mean of four replications. Means followed by the same letter are not significantly different at p < 0.05.
TABLE 8______________________________________Canning Yield for Washed Mushrooms: High-pH Treatmentvs. Sulfite and R.O. Water TreatmentsTreatment Canning Yield (%)*______________________________________Sulfite 65.70 (A)High-pH 65.53 (A)R.O. Water 64.85 (B)______________________________________ *Canning yield was computed on a freshweight basis. Values are means of four replicates. Means followed by the same letter are not significantly different at p < 0.05.
TABLE 9______________________________________Coliform Counts on Mushrooms Washed Before Freezing:High-pH Treatment vs. Sulfite and R.O. Water Treatments. Coliform Count (CFU/g)Treatment 2 weeks 4 weeks 6 weeks 8 weeks______________________________________Sulfite 120 375 30 10R.O. Water <10 <10 10 10High pH <10 <10 <10 <10______________________________________ Values are means of three replicate plates each of 10.sup.-1, 10.sup.-2, and 10.sup.-3 dilutions.
APPENDIX TABLE 1______________________________________Effect of a Trisodium Phosphate (TSP) Wash on the Storage Qualityof Fresh Mushrooms. Whiteness (L-value)Treatment Day 0 Day 3 Day 6______________________________________1. Unwashed Control 90.39 87.32 81.332. R.O. Water, 120 s 93.36 91.60 86.613. 1000 ppm Sodium Metabisulfite, 120 s 95.10 92.63 89.534. 10% Trisodium Phosphate, 120 s 60.42 58.84 58.91______________________________________
APPENDIX TABLE 2______________________________________Influence of Reduced TSP Concentration and a Neutralization Washon the Performance of a TSP Mushroom Preservative Treatment. Whiteness (L-value)Treatment Day 0 Day 3 Day 6______________________________________ 1. R.O. Water, 120 s 87.89 85.89 78.92 2. 1000 ppm Sodium Metabisulfite, 120 s 93.16 90.75 82.75 3. 10% Trisodium Phosphate (TSP), 120 s 72.45 70.50 67.51 4. 10% TSP, 60 s; R.O. Water, 60 s 80.22 85.32 76.67 5. 10% TSP, 60 s; 4.50% E.A., 60 s 90.82 91.00 89.50 6. 10% TSP, 60 s; 2.25% NaE, 60 s 89.23 87.67 84.32 7. 10% TSP, 60 s; 2.25% E.A., 60 s 90.71 90.91 84.12 8. 5% TSP, 60 s; 2.25% E.A., 60 s 87.92 86.92 78.60 9. 2.5% TSP, 60 s; 2.25% E.A., 60 s 89.59 87.38 77.9010. 2.5% TSP, 60 s; 1.00% E.A., 60 s 88.35 85.06 76.47______________________________________ E.A. = erythorbic acid NaE = sodium erythorbate
APPENDIX TABLE 3______________________________________Evaluation of TSP-vs. Sodium Bicarbonate-Based High-pHPreservative Treatments. Whiteness (L-value)Treatment Day 0 Day 3 Day 6______________________________________1. R.O. Water, 120 s 86.63 82.28 78.082. 1000 ppm Sodium Metabisulfite, 120 s 94.52 91.23 83.783. 10% TSP, 60 s; 4.50% E.A., 60 s 87.97 85.64 81.754. 10% TSP, 60 s; 2.25% B.A., 60 s 87.45 83.93 79.365. 5% NaHCO.sub.3, 60 s; 2.25% B.A., 60 s 88.62 85.87 83.056. 0.05M NaHCO.sub.3, 60 s; 0.2% E.A., 60 s 92.66 92.90 89.10______________________________________ | Preservative compositions using toxicologically acceptable ingredients, and employing a pH of 9.0 or above for at least part of the process, for controlling the growth of spoilage bacteria and for preventing unwanted color changes in fresh and processed mushrooms. Aqueous solutions of preservatives are prepared and applied in multiple stages to the mushrooms, by spraying or immersion. More specifically, disclosed is a method for preserving fresh and processed mushrooms, comprising the steps of: contacting the mushrooms with an antimicrobial buffer solution having a pH of from about 9.5 to about 11.0; and rinsing the mushrooms one or more times immediately after the contacting step with pH-neutralizing buffer solutions of erythorbic acid and sodium erythorbate, in ratios of about 1:4, with a sufficient pH to return the mushrooms to the mushroom physiological pH of about 6.5. | 72,452 |
CROSS REFERENCE TO RELATED PATENT APPLICATIONS
This application is related to the below listed co-pending patent applications which are filed on even date herewith, are assigned to the same assignee, and are incorporated herein in their entirety by these references:
An application entitled “Method and Apparatus For Interactively Selecting Display Parameters For An Avionics Flight Display” by Sarah Barber, Norm W. Arons, and George W. Palmer;
An application entitled “Method and Apparatus For Interactively Selecting, Controlling and Displaying Parameters For An Avionics Radio Tuning Unit” by George W. Palmer, Claude Eyssautier, and Matt Smith;
An application entitled “Method and Apparatus For Interactively Displaying A Route Window For A Flight Management System” by Gary L. Owen, Sarah Barber, and George W. Palmer; and
An application entitled “Method And Apparatus For Interactively And Automatically Selecting, Controlling And Displaying Parameters For An Avionics Electronic Flight Display System” By Matt Smith and Gary L. Owen.
FIELD OF THE INVENTION
The present invention generally relates to avionics, and more particularly relates to flight management systems (FMSs), and even more particularly relates to FMS displays having a graphical user interface.
BACKGROUND OF THE INVENTION
In the past, designers of avionics displays and flight computer systems have endeavored to achieve a reduction in pilot workload. One area of concern has been the FMS, which typically requires a significant amount of “heads-down” time. This “heads-down” time occurs when the pi primary flight displays nor out the wind screen, but instead is focused upon a task in an oblique direction, such as when using a typical FXMS control display unit (CDU), which has an integrated keyboard and a textual display unit. One approach has been proposed in which a large multi-functional display, disposed in front of the pilot is used for both viewing FMS information, as well as data input through a cursor. In some prior art applications, a map display of the various legs of a flight is provided to the pilot, showing the waypoints, or flight leg end points, as well as other significant features, such as VOR navigation radio points, airports etc. If a pilot wishes to insert a waypoint into a particular leg of the flight, the desired waypoint would be highlighted by interaction with a cursor. Once the waypoint is selected, then the cursor is used to select the desired flight leg from a textual list of flight legs. While this method of picking a flight leg from a textual list is similar to well-known prior art methods of flight leg selection, it also has significant drawbacks.
During times of moderate and severe turbulence, otherwise very simple tasks can become difficult and time consuming. For example, the step of requiring a pilot to reposition the cursor to select a flight leg from a textual list of flight legs may require considerable time. Additionally, during take-off and approach, the workload on a pilot can already be extreme, leaving the pilot with little or no time to spare. This additional effort, at an already busy time, is quite undesirable.
Consequently, there exists a need for improved methods and apparatuses for effecting the selection of flight legs into which waypoints can be inserted into a flight plan in a flight management system.
SUMMARY OF THE INVENTION
It is an object of the present invention to provide an improved avionics FMS.
It is a feature of the present invention to include an automatic leg selection feature.
It is another feature of the present invention to include a leg selection feature which is accomplished through a graphical selection of a waypoint on an FMS map.
It is an advantage of the present invention to reduce pilot workload.
The present invention is an apparatus and method for selecting a flight plan leg into which a new waypoint can be inserted, which is designed to satisfy the aforementioned needs, provide the previously stated objects, include the above-listed features, and achieve the already articulated advantages. The present invention is carried out in a “textual list-less” manher in a sense that the undesirable requirement to select a flight plan leg from a textual list has been eliminated for this insert operation.
Accordingly, the present invention is an avionics FMS display having a graphical flight plan leg selection feature which includes an automatic leg suggestion feature.
BRIEF DESCRIPTION OF THE DRAWINGS
The invention may be more fully understood by reading the following description of the preferred embodiments of the invention, in conjunction with the appended drawings wherein:
FIG. 1 is a representation of an avionics display of the prior art, showing an FMS map having a two-legged flight plan.
FIG. 2 is a representation of an avionics display of the prior art, showing a pop-up menu having an insert feature.
FIG. 3 is a representation of an avionics display of the present invention, showing, in dotted lines, an automatically drawn suggested flight plan adjustment.
FIG. 4 is a representation of an avionics display of the present invention, showing the pop-up menu giving the pilot the option to execute or cancel the automatically drawn flight plan of FIG. 3 .
DETAILED DESCRIPTION
Now referring to the drawings wherein like numerals refer to like matter throughout, there is shown in FIG. 1 a display of the prior art, generally designated 100 , having a flight plan 102 , with two legs. A final leg 104 and a first leg 106 are shown extending between origination point 108 and termination point 112 with an intermediate point 110 therebetween.
Now referring to FIG. 2, there is shown a display of FIG. 1 after selecting the waypoint 201 labeled ALO. A pop-up menu 202 has appeared to give the pilot an option of inserting the waypoint 201 into the flight plan by clicking the insert button 204 .
Now referring to FIG. 3, there is shown a display of the present invention, generally designated 300 , which results from clicking the insert button 204 of FIG. 2 . FIG. 3 shows an automatically calculated waypoint insertion scheme, where the newly inserted waypoint 201 is shown to be inserted in first leg 106 . A proposed first new leg 302 , which extends from origination point 108 to waypoint 201 , is shown, together with a proposed intermediate leg 304 , which extends from waypoint 201 to intermediate point 110 . The FMS automatically generates the new legs 302 and 304 based upon a predetermined criteria. This dotted line is programmed to be a “rubber line”, which snaps lines from the waypoint to the end points of whatever flight plan leg is nearest the cursor on the displayed map at any given time. If the cursor were to move so that it is closer to final leg 104 than to first leg 106 , then the “rubber line” will automatically (i.e. without requiring further pilot interaction) snap new lines from the waypoint to endpoints of final leg 104 and thereby generate a new proposed flight plan. This automatic selection of the leg into which the new waypoint is inserted, takes advantage of two important factors: 1) the statistical fact that most pilots fly routes such that newly added waypoints are inserted into the closest flight plan legs; and 2) once the waypoint has been selected, the FMS is then capable of calculating the location of the closest flight plan leg.
Now referring to FIG. 4, there is shown a display of the present invention, generally designated 400 , which is the result of a single click from FIG. 3 . FIG. 4 shows a confirmation window 402 having an execute button 404 and a cancel button 406 . Clicking the appropriate button will inform the FMS on whether to adjust the flight plan or not. This process eliminates the need for the pilot to search for and select, from a textual list, the flight leg into which the way point is to be inserted. This is not a trivial enhancement. During times of high turbulence and high pilot workload (take-offs and approaches), the elimination of but a single step may be of tremendous value.
The hardware and software to create the displays of the present invention are either well known in the art or could be adapted, without undue experimentation, from well-known hardware and software, by persons having ordinary skill in the art, once they have carefully reviewed the description of the present invention included herein.
Throughout this description a pilot is described as the operator of the system. This is merely exemplary, and it should be understood that other persons associated with planning a flight, whether they pilot the aircraft or whether they are either on or off the aircraft, are capable of operating the present invention. The use of “pilot” is, therefore, not intended to limit the invention to merely pilots.
It is thought that the method and apparatus of the present invention will be understood from the foregoing description and that it will be apparent that various changes may be made in the form, construct steps, and arrangement of the parts and steps thereof, without departing from the spirit and scope of the invention or sacrificing all of their material advantages. The form herein described is merely a preferred exemplary embodiment thereof. | An apparatus and method for inserting a waypoint into a preexisting flight plan which includes selecting a waypoint on a graphical display of a portion of the flight plan and automatically generating a proposed changed flight plan based upon inserting the waypoint into the nearest leg of the flight plan. | 9,527 |
This is a Divisional of Application Ser. No. 728,526 filed Oct. 1, 1976, now U.S. Pat. No. 4,114,887, issued Sept. 19, 1978.
BACKGROUND OF THE INVENTION
The present invention relates to miniature golf devices and more particularly to a single device which is transformable into a plurality of "golf holes" by changing its shape.
There is often insufficient space for setting up eighteen holes of miniature golf in a particular location. Accordingly, in the past devices have been developed wherein a single device can be sequentially transformed into a series of golf holes by a sequential change of the putting surface.
Problems have existed in providing such a device which is simple, low cost, sturdy and reliable. A particular problem existed in trying to approximate the types of conditions which would be found on an actual putting green.
A still further difficulty was that such devices did not sufficiently closely enough approximate the circumstances of the unpredictable aspects of the putting phase of golf. For example, when one is playing actual golf, one does not know where the ball will come to rest on the green to begin the putting situation.
Moreover, in conventional miniature golf games the player soon can memorize the topography of a particular miniature golf course, thereby becoming soon bored with the particular course.
A still further disadvantage of conventional miniature golf courses is that the player cannot himself create the particular putting circumstance which he would like to practice.
Furthermore, the conventional devices lacked competitive incentives whereby an opponent could complicate the putting situation for his opponent.
SUMMARY OF THE INVENTION
A miniature golf device including means to vary the contour of the putting surface in several directions by supporting the putting surface on a plurality of cross members of variable height, cross-wise slant, and curvature. Changeable indicator means indicate the location of the ball for the commencement of each player's "putt out". Random actuating means can determine both the contour of the putting surface and the location of the beginning of the putt out. In the preferred embodiment, a golf hole is located at each end of the device, with the indicator means being diposed adjacent each end. A control console is located at each end to provide for random or determined selection of the contour and indicator lights.
By the foregoing arrangement, the actual conditions of golf play on a green can be closely simulated. By the use of the random selector means to select the indicator light for a player, the location of the ball at the start of the "putt out" is established by random selection. This approximates the situation in actual golf. In actual golf, the location of the ball on the green relative to the hole, at the commencement of the "putt out" is determined by the approach shot. No matter how skillfull the player is, the approach shot in actual golf has a random aspect as to where the ball stops on the green to begin the putting situation. Moreover, such location on the green will vary for each player due to the natural differences in each player's approach to the green.
Similarly, the device of the present invention can simulate the random topography of the line of putt as is the case in actual golf. The device of the present invention has means to vary the putting surface in longitudinal undulation, cross-wise slant and cross-wise curvature to provide a compound surface which approximates the kind of curved and undulating surface which one could find on a putting green. In actual golf, the contour which a player must putt depends on where his ball lands by chance on the green. By the use of the random selection means of the present invention, the topography is determined by chance as in actual golf. Thus, with the present invention, much of the same thrill of actual golf will be present, as well as a more realistic practice for actual putting.
By the use of two holes and consoles at each end, space is saved, yet the "terrain" to be played is still further varied since even with the same setting, the terrain is different when putting from one end than from the other. Yet the space occupied by the device is not increased. Electrical locking and transfer means allow only one "hole" and set of indicator lights to be actionable at a time.
In a variation of the use of the device, the manual instead of the random actuating means can be used. The use of the manual controls permits a player to attempt to "challenge" his opponent by manually selecting the location distance and type of contour over which his opponent must putt.
Another variation of the device is for a player himself to manually select the distance and contour so that he can create the putting conditions which he wishes to practice. In addition, a combination of manual and random selection can be made. As a result, a single sturdy reliable simple to operate and space saving device can provide for a variety of games at the player's choice, while closely approximating actual playing conditions.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a perspective view, broken away, of the device of the invention;
FIG. 2 is a fragmentary, partially cut-away and broken top plan view of the device of the invention;
FIG. 3 is a vertical sectional elevation taken along the line 3--3 in FIG. 2 illustrating the drive means for the contour variation;
FIG. 4 is an enlarged fragmentary, elevation cross-sectional view taken along the line 4--4 in FIG. 2 showing the mounting of the putting surface support members mounted on the cross bars;
FIG. 5 is a schematic elevation view illustrating a typical lengthwise undulation produced by the varying height of the cross-members;
FIG. 6 is a fragmentary, partially broken-away, enlarged scale, plan view illustrating the pivotal cam action of the cross members to the lengthwise beams;
FIG. 7 and 7a to 7d are schematic illustrations of the movable action of the cross bars;
FIG. 8 is a fragmentary, vertical sectional elevation view of the flexing mechanism;
FIG. 9 is vertical section view taken along the line 9--9 in FIG. 8, illustrating the means for mounting the bracket assembly on the cross bar;
FIG. 10 is electro-mechanical schematic view of one form of the switching systems for actuating the variable contour drive means; and
FIG. 11 is a electro-mechancial schematic view illustrating of one form the means for actuating the lights.
FIG. 12 is a fragmentary, generally perspective view showing its clip-like grid elements of the invention.
DESCRIPTION OF THE PREFERRED EMBODIMENTS
Now referring again more particularly to the drawings and with reference to FIG. 1, there is illustrated the miniature golf apparatus made in accordance with the present invention. As shown, the apparatus includes an elongated frame, designated generally at 2, which provides a supporting structure for a variable contour putting surface, designated generally at 4. The surface 4 is provided with a pair of oppositely disposed apertures or holes 6 and 7 which are disposed at opposite ends of the frame for receiving conventional size golf balls for playing a game, as will hereinafter be more fully described.
In the invention, each of the holes 6 and 7 are bordered with a series of symmetrically disposed indicator means in the form of lights as at 8 and 9. As shown, the lights 8 and 9 each comprise a set, such as six lights, with each set being operably associated with a control console, as at 10 and 11, disposed at opposite ends of the frame 2 for enabling the players to automatically operate the game. For example, each console generally contains control buttons, dials or knobs for selectively controlling the contour of the putting surface 4 and for automatically illuminating the respective light sets in accordance with the game to be played.
In accordance with the invention, the frame 2 is preferably of a polygonal, such as rectangular construction, which may be fabricated from metallic sheet material or the like to provide a generally hollow construction. In the embodiment shown, the frame 2 includes a pair of oppositely disposed end panels 12 and 14 (FIG. 1) and a pair of side panels 16 and 18 which conjunctively provide the rectangular shape shown. The playing surface 4 extends upward along the panels 12, 14, 16 and 18 to provide a bumper-like sidewall construction as at 20 (FIG. 3) to confine the playing surface. The sidewalls may be provided with edge strips, as at 21 (FIG. 3) to secure the playing surface to the sidewalls and to provide a finished construction.
As best seen in FIGS. 2 and 3, the putting surface 4 includes an upper fabric layer 24, an intermediate elastomeric layer 26 and a flexible grid layer 28 which conjunctively provide the flexible putting surface 4. As best seen in FIG. 4, the fabric layer 24 includes a substrate 25 of a fabric or plastic material with a tufted surface 27 to provide an artificial or simulated putting green surface. The intermediate layer 26 is preferably made of an elastomeric material such as rubber or the like, which provides a resilient cushioning for the outer layer 24. Also, this provides for additional strength and wear resistant characteristics in respect to the undergrid layer 28.
As best seen in FIGS. 2 and 4, the flexible grid layer 28 provides a supporting surface for the outer 24 and intermediate layers 26 which comprise the putting surface. In the form shown, the grid layer 28 is comprised of a plurality of individual clip-like grid elements, designated generally at 30, which are adapted for snap-action engagement with a series of transversely extending cross members 32. Preferably, the elements 30 are of a forked construction. For example, the elements include a top or base 34 with a generally C-shaped hook at one end, as at 36, and a pair of laterally spaced generally C-shaped hooks 38 and 40 at the other end for snap-action engagement with the cross member 32. Hence, the hooks 38 and 40 provide a slot, as at 43, adapted to accommodate an associated one of the hooks of an adjacent grid element to provide an articulated and substantially continuous supporting surface for the layers 24 and 26.
As best illustrated in FIGS. 3, 4 and 6 there is provided an electro-mechanical system for selectively controlling the lengthwise and widthwise structural contour of the putting surface 4 in response to actuation of the flexible grid layer defined by the grid elements 30. For this purpose, there is provided a plurality of transversely or widthwise extending cross-members 32 which, in the embodiment shown, are preferably of a hollow cylindrical tube-like construction. As seen in FIG. 2, the cross members 32 are pivotally attached at their opposed ends to a pair of oppositely disposed beam members 33 and 35 which extend at right angles thereto or in the lengthwise direction of the frame 2. The beam members 33 and 35 are each journaled in brackets for rotation at their opposed ends. For example one end of each beam is journalled as at 37 and 39, (FIG. 3) in the brackets 40 and 41 attached to the bottom of the frame 2. In the invention, the cross members 32 are pivotally connected, as at 42 to each of the respective beams 33 and 35. In the form shown, the pivotal connection 42 includes a selectively adjustable projection member 44, such as a screw or the like, (FIG. 6) which is threadably fixed at one end to the associated beam and at the other end pivotally connected to the cross member 32 via a pin 45 and slot 46 (FIG. 6) arrangement. Preferably, the pivotal connection includes a resilient construction to provide flexing of the cross members as will be described hereinafter. In the form shown, the resilient connection includes a coupling member 48 pivotally attached at one end to the screw 44 via the pin 45. The other end of the coupling 48 is telescopingly disposed within the open end of the cross member 32. A resilient compression spring 49 is disposed so as to bear at one end against the coupling 48 and at the other end against a plug element 50 fixedly held via a cross pin 51. By this arrangement, the cross members are enabled to incorporate a resilient axial movement so as to accommodate the flexing thereof.
As best seen in FIG. 3, the beams 33 and 35 are disposed for rotational movement about their longitudinal axis on brackets 40 and 41. In one form, drive motors 54 and 56 may be provided at generally the mid-point of the respective beams for rotating the same and hence, for pivoting the associated cross members 32 via the pivot connection 42, as aforesaid. For this purpose, there may be provided an articulated drive for each motor 54 and 56 which is preferably of identical construction. In this case, there may be provided an off-set or eccentric arm 58 attached to the motor at one end and at the otherend, as at 60, to the associated cross beam, such as 33 and 35, for rotating the respective beam members about its longitudinal axis upon actuating of the respective motor. By this arrangement upon actuation of the drive motors 54 and 56, upon control from the consoles 10 and 11, the cross members 32 and hence, the putting surface 4 can be contoured or shifted so as to provide the variation in a lengthwise direction dependent upon the selective length of the of the cross members 32 and the extent of rotation of the associated beam member, such as 33 or 35 and to vary the widthwise slant by the relative degree of rotation of the beams 33 and 35.
In the invention, there is further provided contour variation for the putting surface 4 by means of a flex mechanism, designated generally at 61, in FIG. 8. As shown, the mechanism 61 includes a bracket device 62 attached to the underside of one of the cross members 32; it being understood that any number of mechanisms may be employed with associated ones of the cross members 32 to provide the desired amount of flexure and hence contour the putting surface. As shown, the bracket 62 includes a cross arm 64 with a pair of integral upstanding arms 65 which are attached via a lost motion connection, as at 66, to the associated cross member 32. As shown, the lost motion connection 66 may comprise a slot 67 in the arm 65 which receives a pin 68 which projects from the cross member 32 so as to accommodate the flexure in the cross member, as illustrated in dotted line. The bracket 62 mounts a double-acting fluid cylinder 70 which is operably connected via supply lines 72 to a master fluid cylinder 74 which, in turn, is driven via a fluid drive electric motor 76. The fluid cylinder 70 is generally centrally connected to the underside of the associated cross member 32 via a first pivot link 78 pivotally attached at one end, as at 79, to the member 32 and at the other end, as at 80, to a second link 81 which, in turn, is pivotally connected, as at 82, to the cylinder 70. By this arrangement, upon actuation of the motor 76 and master cylinder 74 reciprocal, double-acting movement is imparted to the cylinder 70 for pivoting the links 78 and 81 in clockwise and counterclockwise directions for flexing the cross member upwardly and downwardly, upward motion is illustrated in dotted line in FIG. 8. One or any number of flex mechanisms 61 may be provided for selectively flexing respective cross members for varying both the lengthwise and widthwise contour of the putting surface 4 as desired.
FIG. 4 illustrates one form of mounting indicator means in the form of lights beneath the playing surface. A light 90, having leads 91 to a source of power is mounted in receptacle 92 attached by soidering to the bottom of grid element 34. Apertures 96 in grid element 30, 97 in elastomeric layer 26 and 98 in substrate 25 permit the receptacle 92 and bulb 99 to be mounted so that the light 95 from bulb 99 will shine upwards through the tufts 27 and provide a visual indication of where a player should place his ball to begin putting.
FIG. 11 illustrates the power circuitry for all electrical circuits. Plug 100 is adapted to be plugged into a 110 volt a.c. line. A switch 102 could be coin operated as known in the art, for turning the apparatus on and connecting lines 107 and 109 to power. Power lines 117 and 119 which branch off lines 107 and 109 provide the power for driving the motors such as motors 54, 56, and 76 (FIG. 2). A transformer 103 is connected to the main power by lines 107 and 109 to step down the voltage to the lower voltage used by control circuits, as known in the art. The power lines for all the control circuits are connected to transformer 103 through normally closed switch 390. Lines 324 and 326 provide the power for the energization and control of the putting location lights 8 and 9. Branch lines 114 and 116 provide the power for the motor drive control circuitry of FIG. 10 for controlling the actuation of motors 54, 55, 56 and 76. Turning to FIG. 10, circuitry is illustrated for actuating and controlling motors 54, 56 and 76 for varying the putting surface contour. Since the circuitry is identical for each motor, only circuit 209 for controlling motor 54, and circuit 210 for controlling motor 56 are shown. The numbering for the comparable components of circuit 210 is identical to that of circuit 209 except that the suffix "a" is added. Accordingly, only the operation of circuit 209 will be described, it being understood that the operation of circuit 210, and the identical (not shown) circuits for each of the flexing drive motors such as motor 76 will operate the same as circuit 209.
The main elements of a representative control circuit 209 for the drive motors, such as motor 54, for controlling the contour of the putting surface 4, are shown in FIG. 10. Lines 117 and 119 provide the higher power for driving motor 54 and lines 114 and 116 provide the lower power for the control circuitry for the drive of motor 54. Switch 108 on console 10 and switch 110 on console 11 independently actuate the random control of the duration of operation of motor 54. Switch 184 on console 10 and switch 186 on console 11 actuate the additional manual means for controlling the duration of operation of motor 54. Random timing mechanism 120 provides the random timing by which the random time is determined between the turning on of drive motor 54 and the turning off of the motor by the opening of normally closed microswitch 160.
The random operation of motor 54 from console 10 is accomplished by depressing random control switch 108. The closing of switch 108 closes normally spring biased open contacts 140 to actuate circuitry to connect motor 54 to power to cause it to operate to commence the rotation of beam 33. Specifically, the closing of contacts 140 connects motor actuation solenoid 144 to power. The current flow is by lines 114, 146, coil 144, lines 145, 147, 183, contacts 140, lines 185, 189, 153, 154 and 116. The flow of current through coil 144 closes solenoid contacts 158 which are mechanically coupled, as illustrated schematically at 168, to close switch 170 to connect motor 54 leads 171 and 173 to power lines 117 and 119 by lines 172 and 174. In order for the motor drive to continue (and beam 33 to rotate) until randomly turned off by the random timing mechanism, a holding circuit is provided to maintain motor actuation solenoid 144 energized when the random actuation switch 108 is returned by its spring bias (not shown) to its open position. The holding circuit for coil 144 is made by the closing of solenoid contact 158 by the initial energization of coil 144. The circuit is from line 114, 146, coil 144, contact 158, normally closed contacts 203, line 207, normally closed contacts 205, line 164, microswitch 160, lines 154 and 116.
The length of time that motor 54 is actuated to rotate beam 33 is determined by the random timing device activated by the closing of contacts 176 of switch 108, to energize solenoid 112 to cause plunger 118 to propel ball 182 into the timing maze 120. The current flow upon closing of contacts 176 is by line 114, 180, 191, contacts 176, line 192, coil 112, lines 153, 154 and 116. The energization of solenoid 112 causes plunger 118 to strike the ball 182 to project it into the maze 120 where it is deflected back and forth by springs 124 and 126 for a random period of time, and then falls by gravity through a maze of pins 128 where it is further randomly deflected until it falls through outlet 122 to open microswitch 160.
The opening of microswitch 160 interrupts the holding circuit thus de-energizing solenoid 144, and stopping the motor 54. Since the time it takes for the ball to be randomly bounced back and forth by springs 124 and 126 and deflected by pins 128 will vary each time the ball is projected into the maze, the timing between the actuation of solenoid 112 and plunger 118 (which time coincides with the turning on of the drive motor 54) and the turning off of motor 54 by the falling of ball 182 on microswitch 160 will be random. Thus, the rotation of beam 33 and the raising of one end of the cross members 32 and thus of the consequent effect on the contour of the putting surface will be random.
Identical circuits and identical switches, such as switch 180a of circuit 210 exist for each of the drive motors for effecting a variation in the putting surface contour. As a result, the contour variation effected by each motor, such as motor 56 for rotating beam 35 and each of the flex motors, such as motor 76 will be independently random.
In the other operation of the device, where the players decide to chose the contour, manual switches such as switch 184 on console 10 are provided. The depressing of switch 184 opens contacts 205 to open circuit the holding circuit for the solenoid 144, and closes contacts 202 to energize solenoid 144 for as long as the switch button 184 is depressed. Thus, the player can maintain motor 54 on until beam 33 has rotated by the amount necessary to achieve the desired contour component produced by such beam rotation. The circuitry for manual energization of coil 144 on closing of contacts 202 is by lines 114, 146, coil 144, lines 145, 147, 149, contacts 202, and lines 151, 154 and 116.
Console 11 contains switches which are identical in operation to the switches described for console 10. For example, the console 11 switches for random and manual actuation of motor 54 are switches 110 and 186 respectively. As a result, the flexing of the contour for the putting surface can be actuated from either console.
It is to be understood that all push button switches shown in FIGS. 10 and 11 are spring biased by springs (not shown) to return to their upward position as soon as finger pressure is removed therefrom.
FIG. 11 illustrates the circuitry for random (and supplemental manual) selection of the location lights 8 and 9. The principal components for the random selection are push button random actuation switches 214 on console 10 and 260 on console 11 for initiating the random selection; random light selector 212 and its associated actuation solenoid 220 for making the random selection; light actuation solenoids 236a-236f turning the selected light on; lights 8a-8f and 9a-9f to indicate the location for beginning a "putt out" disposed beneath the putting surface; corresponding lights 8aa-8ff and 9aa-9ff on consoles 10 and 11 respectively to provide an indication on the console of lights which have already been selected; microswitches 270 and 250 located in cups 6 and 7 respectively, for preparing the indicator light circuitry for putting back towards the other cup once the putting in one cup is completed; transfer solenoid 253 for switching the circuit actuation to the console adjacent the cup wherein the putting has been completed so that play may commence back toward the other cup; isolation relays 252 and 254 for maintaining the manual controls deactivated while the random selection is in operation, and reset push buttons 300 and 380 on consoles 10 and 11 respectively for cancelling an erroneous selection.
The random actuation switches 214 on console 10 and 260 on console 11 have the dual functions of initiating the actuation of the random light selection mechanism and initiating the deactivation of the manual controls while a light is being randomly selected. The electrical connections for the actuation of the lights from console 10 for playing therefrom towards cup 7 will be discussed first.
Contacts 216 of switch 214 are connected in series with solenoid coil 218 to energize the coil when contacts 216 are closed by pressing switch 214. The circuit to energize solenoid 218 upon closing of switch 214 is by lines 324, 328, 330, 343, contacts 216, line 342, contacts 320, line 341, coil 218, and lines 340 and 326.
A maze shown generally at 224 is disposed adjacent solenoid 218 so that solenoid plunger 220 can strike a small selector ball 222 of metal or the like to initiate the random selection of the putting light for a player. Maze 224 has a pair of light spring metal leaf springs 225 and 226. Spring 225 is positioned, and is sufficiently light construction, to deflect to allow the selector ball 222 to enter the maze. Springs 225 and 226 are so positioned and so curved to allow the selector ball 222 to bounce back and forth to provide a random lateral location from which the ball can fall by gravity towards the bottom of the maze. The maze 224 is inclined from top to bottom to allow the selector ball 222 to fall be gravity towards the bottom of the device. A row of pins 219 are spaced along the path of the selector ball 222 to provide further random directional deflection of selector ball 222. A row of bins 230a-230f are disposed at the bottom of the random selector device 224. At the bottom of each bin is a spring biased plunger (spring not shown) 232a-232f respectively. The plungers are adapted to move downwardly when selector ball 222 falls by chance in one of the bins 230a-230f to close respective contacts 234a-234f. A passageway (not shown) is provided behind each bin for the selector ball 222 to return to the position in front of the plunger 220 in preparation for the next random selection.
Each set of contacts 234a-234f are connected in individual series circuits to respective solenoids 236a-236f (only 236a and 236b are shown) to switch respective lights 8a-8f, and 8aa to 8ff on (only lights 8a, 8b, 8aa and 8bb are shown). As an example, the circuitry for energizing light switching solenoid 236a when contacts 234a are closed by plunger 232a is by lines 324, 328, 330, 345, 346a, contacts 234a, lines 338a, 347a, 355a, coil 236a, lines 348, 340 and 326.
Holding circuits are provided for solenoids 326a-236f to hold the solenoids energized even though ball 222 has rolled from and is no longer closing randomly selected switch from switches 234a-234f. For example, the holding circuit for solenoid 236a is by lines 324, 328, 330, 345, 349, 351a, 352a, contacts 238a, line 353a, solenoid coil 236a, line 348, 340 and 326.
The random energization of one of the solenoids 236a-236f switches the corresponding one of the lights 8a-8f and 8aa-8ff on, due to the closing of contacts 240a by solenoid 236a. For example, the circuit to turn on lights 8a and 8aa is by lines 324, 328, 330, 345, 349, 351a, 352a, contacts 240a, normally closed contacts 242a, parallel connected lights 8a and 8aa, lines 354, 340 and 326. Because of the holding circuit, previously described, the light remains lit even though finger pressure is removed from switch 214.
In order to insure that inadvertent pressing of the manual operation switches during the random selection will not occur, an isolation circuit is provided. The isolation circuit is energized upon closing of random switch 214 by the closing of contacts 217 to energize isolation relay 252 to move manual circuit interrupter switches such as 272a-272f open. (Only switches 272a and 272b are shown). The circuit to energize manual operation isolation relay 252 is by lines 324 , 328, 330, 343, contacts 217, line 329, coil 252, line 326. The manual interrupter switches, such as 272a and 272b are mechanically coupled as shown schematically at 395 to solenoid contact 252a, and such interrupter switches are thereby opened when solenoid contact 252a closes upon energization of solenoid coil 252. In order to maintain the manual operation circuits open even though finger pressure is removed from switch 214, a holding circuit for solenoid coil 252 is provided. The holding circuit is by line 324, contacts 252a, coil 252, and line 326.
Putting cup 7 has a microswitch 250 disposed for resetting the circuitry for play from adjacent cup 7 and console 11 back toward cup 6 and console 10. The main components are microswitch 250 to initiate the resetting when a ball drops in cup 7; isolation solenoid 254 to connect the console 11 actuatable manual switches potentially into the circuit; transfer solenoid 253 to transfer lights 8a-8f and 8aa to 8ff out of the potentially actuatable circuitry and transfer lights 9a-9f and 9aa-9ff into the potentially actuatable circuitry so that the "8" series lights that are lit will go out and the "9" series lights are available for selection.
The closing of microswitch 250 in hole 7 by a ball falling in the hole completes a circuit to energize transfer relay 253 to prepare the circuitry for the random actuation of the "9" series of lights and the turning off of the lights of the "8" series which were lit when playing from console 10 toward hole 7. The circuit for energizing transfer relay 253 is lines 324, 328, contacts 250 closed by a ball falling into hole 7, lines 327, 374, coil 253, and line 326. A holding circuit is provided for keeping solenoid coil 253 energized even though the ball is removed from cup 7. The holding circuit is by line 324, 375, solenoid contacts 253a closed by energization of solenoid coil 253, coil 253, and line 326. Mechanical coupling, shown schematically at 396 connects switches 242a-242f, 320 and 322 to solenoid contact 253a so that while coil 253 is energized, closing solenoid contact 253a, light transfer switches 242a-242f are moved to disconnect the "8" series lights and connect the "9" series in circuit. Solenoid contact 253a is also mechanically coupled to the transfer switches 320 and 322 respectively such as by coupling 396 so as to open circuit the random selection actuating switch 214 and close transfer switch 322 to place random selection actuating switch 260 in circuit.
Push button switch 260 on console 11 provides for the random light selection in playing from console 11 back towards cup 6 when transfer switch 322 is closed (as it is after a ball has fallen in hole 7 as aforesaid). The closing of switch 260 on console 11 by a player's finger closes contacts 262 to connect solenoid 218 to power to initiate the random selection by the projection of small ball 222 through the maze as previously described in connection with actuation by push button switch 214 on console 10. Since the closing of contacts 250 by a ball entering hole 7 switches the "9" series lights into the circuit, one of the "9" series lights will be lit by the small ball 222 falling in one of the bins 230a-230f with the eventual actuation of one of the corresponding solenoids 236a-236f to close solenoid contacts 240a-240f to connect corresponding "9" series lights to power to provide a randomly selected location for a player's golf ball for putting back towards hole 6.
Hole 6 contains a microswitch 270 therein adapted to close when a ball falls therein when putting from adjacent console 11 to hole 6. Microswitch 270 disconnects all solenoids from power allowing the spring biases to return all of the solenoid 252, 253, and 254 switches to their original positions to reset the apparatus for putting from console 10 towards hole 7. The circuit is by lines 104, 396 and coil 397, lines 366, contacts 270, lines 368 and 105. Energization of coil 397 moves plunger 398 (shown schematically) to open contacts 391 and 392.
In order that the same apparatus can also be played manually, manual light selection switches are provided for each light circuit. For example, manual switches 280a and 280b on console 10 and manual switches 275a and 275b on console 11 are shown. Manual light selection switch 280a is connected in series with light actuation solenoid 236a. The circuit for connecting solenoid 236a to power by light selection switch 280a is by lines 324, 328, 330, 345, 349, 351a, contacts 281a, line 370a, normally spring biased closed switch 272a (spring not shown), line 371a, 347a, 355a, coil 236a, lines 348, 340, and 326.
A holding circuit is also formed for maintaining the selected "8" series lights lit when the finger pressure is removed from the manual actuation switch which actuated the light. For example, the holding circuit for the 8a lights is by lines 324, 328, 330, 345, 349, 351a, 352a, holding contacts 238a closed by solenoid 236a, lines 348, 340 and 326.
Manual light selector switches are also provided for console 11, such as switches 275a and 275b. Manual light selector switches on console 11, such as switches 275a and 275b are potentially placed in circuit when a golf ball falls in hole 7 to close microswitch 250. The closing of microswitch 250 energizes isolation relay 254 to close manual circuit interruption switches, such as switches 273a and 273b. The circuit for energizing isolation relay 254 on the closing of contacts 250 is by lines 324, 328, contacts 250 closed by a golf ball falling in hole 7, line 327, coil 254, line 326. A holding circuit is provided to maintain isolation coil 254 energized even though the golf ball is removed from hole 7. The energization of coil 254 closes solenoid contacts 254a to form the circuit of line 324, 328, 330, 399, normally closed contacts 261, line 342, solenoid contacts 254a, solenoid coil 254 and line 326. Since solenoid contact 254a is mechanically coupled, as shown schematically at 397, to the manual circuit interruption switches such as switches 273a and 273b, such switches will be closed in preparation for play from console 11 back towards hole 6. If a player elects to use the manual switches, the particular switch selected will light the corresponding "9" series light. For example, if switch 275a is depressed, lights 9a beneath the putting surface and corresponding light 9aa will light on console 11. For example, the circuit when manual light selector switch 275a is depressed is by line 324, 328, contacts 276a closed by depressing switch 275a, contacts 273a held closed by the isolation relay 254 holding circuit, line 278a, 355a, coil 236a, line 348, 340 and 326. A holding circuit for maintaining the selected "9" series lights lit when the finger pressure is removed from the manual actuation switch is provided for each manual switch circuit. For example, the holding circuit for the 9a light is by lines 324, 328, 330, 345, 351a, 352a, holding contacts 238a closed by solenoid 236a, coil 236a, lines 348, 340 and 326.
A reset control system is also provided. By the reset system if the random or a manual actuation switch is inadvertently pushed, the unwanted lights can be cancelled.
Reset switch 300 (FIG. 11) is actuated at console 10. The pressing of reset switch 300 energizes reset relay coil 397 causing contacts 391 and 392 to open. The energization of relay coil 397 is by lines 104, 396, coil 397, lines 366, switch 300a, lines 368 and 105. Energization of coil 397 moves armature 398 (shown schematically) to open contacts 391 and 392. The opening of contacts 391 and 392 disconnect lines 324 and 326 from power and return all the spring biased control switches to their original normally open or normally closed positions.
Reset switch 380 is actuated at console 11. Switch 380 has contacts 385 which are made and broken by contacts 386 at the end of a spring 383 mounted on plunger 387 of switch 380. Contact member 382 is mounted on the plunger 387 a sufficient distance from contacts 386 at the normally open position of switch 380 so that when rod 387 moves upon pressure on button 381 of switch 380, contacts 386 at the end of spring 383 will close contacts 385 before contacts 382 on plunger 387 closes contacts 384 as spring 383 compresses. When contacts 385 are closed the circuit is the same as that described when contacts 250 close to prepare for putting from console 7 to hole 6, energizing solenoids 253 and 254 and their associated holding circuits to move transfer switches such as 242a and 246b to potentially connect the "9" series lights and open contacts 320 and close contacts 322. The closing of contacts 384 energizescoil 397 to disconnect all solenoids from power by opening switch 390. The circuit is by lines 104, 396, coil 397, line 366, contacts 384 line 368 and 105, causing plunger 398 to open switch 390 and its contacts 391 and 392.
Means are also provided for commencing the game from console 11 rather than console 10. When this is desired, then the system must be switched to operation from console 11 before the selection of the contour and lights is begun. This switching is accomplished by depressing reset switch 380. The closing of reset switch 380 energizes relays 252, 253 and 254. The energization of relay 253 switches the transfer contacts, such as 240a and 240b to the "9" series potential connections, and places the random actuator switch 260 in potential circuit, as previously described. Similarly, the energization of relay 254 also closes manual interrupter contacts such as 273a and 273b to place the manual switches such as 275a and 275b in potential circuit, as previously described. In addition, the energization of relay 254 closes contacts 258 to energize relay 252 to open circuit the manual switches from console 10 by the closing of relay contacts 252a to which such manual interrupter contacts 272a and 272b are mechanically coupled as at 395. The circuit for energizing relay 252 is by lines 324, 328, contacts 258, line 401, coil 252, and line 326.
The previously described means for automatic deactivation of the switches of one console when playing from the other console, are included so that play is controllable from only one console at a time. In this way a player or bystander at the end towards which the play is to go cannot change the selections made at the opposite console. As a result, play commences in only one direction at a time, with each direction of play constituting one "golf hole"
OPERATION
Assume the apparatus is plugged in, and turned On by placing a coin in box 102. Assume further that there are two players who decide to play the game entirely by the use of the random controls. One of the players stands at console 10 (FIG. 1) and pushes the random control buttons 108, 108a, (FIG. 10) and the comparable button (not shown) for the flex controls. The actuating of the buttons also causes energizing of the solenoids 118, 118a and the comparable solenoid (not shown) for the flexing controls. Each of the timing balls actuated by the respective solenoids then passes through its associated maze, such as mazes 120 and 120a and a comparable maze for the flex mechanism (not shown), with the time of passing of each ball through the maze being random. The actuation of the buttons energizes drive motors 54, 56 and the flex motors such as 76 (FIG. 2) causing a progressive compound variation of the putting surface 4 by the variation of the height and angle of the cross members 32, such as one of the positions of FIGS. 7a through 7d and varying the flex of some thereof by the linkage to the drive motors previously described.
Each timing ball, such as 182 and 182a, after passing through its maze trips a microswitch such as 160 and 160a to open the circuit between the drive motors such as motors 54 and 56 and their respective power leads 172 and 174 to stop the motors. Since the ball for the random control for each motor will randomly open the respective motor drive circuit at different times, each motor will randomly be actuated for a different time with a consequent separate random variation of the height, inclination and flexing of cross members 32, with a consequent random variation of the compound contour of the putting surface 4.
The first player then determines the location of his "Putt out" by pressing the random light selector 214 on console 10. The pressing of the button 214 closes contacts 217 to energize isolation solenoid 252 which opens the normally spring biased closed manual interruption switches such as 272a and 272b, so that only the random selection circuitry is operative. The pressing of button 214 also closes contacts 216 to energize solenoid 218 to project selection ball 222 into the maze 224 where it falls by random chance into one of the bins 230a through 230f to light the "8" series light operably connected for illumination to the bin into which the selection ball falls. For example, the selector ball 222 is shown falling into bin 230a. This will cause energization of solenoid 236a and consequently of light 8a below the playing surface to locate where the golf ball should be placed and light 8aa on console 10 to show what light has already been selected. The player then places his ball on the putting surface 4 over the illuminated light 8a. The second player then pushes button 214 to repeat the process to select his light. Assume, for example, that his ball lands in bin 230b to actuate solenoid 236b to illuminate light 8b under the playing surface and light 8bb on console 10. The second player then places his ball over light 8b to begin his "putt out" therefrom. Both players then putt towards cup 7. When the first ball falls into cup 7 it trips microswitch 250 to set the circuitry for play from adjacent console 11 to cup 6. The closing of microswitch 250 energizes transfer relay 253 to connect the "9" series lights, such as lights 9a through 9f to the actuating circuitry and disconnect the "8" series lights therefrom. The closing of microswitch 250 also energizes solenoid 254 to close normally spring biased open manual interruption switches such as 273a and 273b to potentially connect the manual switches on console 11 into the circuit. The players then repeat the process of selection at console 11 as performed at console 10 by pushing random selection switch 110, 110a and the corresponding button (not shown) for the flexing mechanism to actuate the random timed actuation of the drive motors such as 54, 56 and 76, as previously indicated, to vary the contour in a random fashion for the "putt out" to hole 6. Similarly the players repeat the random selection of the lights to mark the location of the "putt out" beginning by pushing random selection button 260 which results in the random selection of lights such as 9a and 9aa on console 11. The pushing of the random light selector button 260 also actuates solenoid 254 to open switches such as 273a and 273b to disconnect the manual switches so that the operation is only by random selection. The players then putt towards hole 6. When the first ball drops in hole 6, microswitch 270 is tripped opening switch 390 to disconnect solenoids 253 and 254 from power whereby transfer switches such as 242a and 242b return to their spring biased position shown in FIG. 11 connecting the "8" series lights into the circuit and disconnecting the "9" series so that the circuitry is set for play back towards hole 7.
The play is then back and forth as previously described until the desired number of "putt outs", such as 18 holes has been played. It is to be understood that when the device is coin-operated, a counting device known in the art (not shown) could be installed with coin-operated switch 102 to turn off the apparatus after microswitches 250 and 270 have been depressed a predetermined number of times.
Assume the players desire to challenge each other by manual selection of the putting surface contour and light selection. Under such circumstances, the players would select the contour by holding each manual selection switch down the length of time necessary to achieve the desired component for the contour. For example, while standing at console 10, the player would depress and hold switch 184 (FIG. 10) the time to achieve the desired raising or lowering of the putting surface adjacent beam 33 by rotation of motor 54 and its associated cam plate 58 until the desired height is achieved. He would then perform similar depressing of the manual switches for each of the motors, such as switch 184a for motor 56, and so forth. Similarly, a player would select the putting location light for his opponent by depressing a manual switch such as switch 280a to select the light 8a as the location for his opponent to commence putting. When putting from console 11 towards hole 6, the manual switches on console 11, such as switches 186 and 186a (FIG. 10) or switches 275a or 275b would be used.
It is to be understood that the players might play a variation wherein a portion of the contour is selected manually and a portion by random selection, with the locator lights sometimes being selected by random and sometimes manually, providing an interesting combination of variations. | A miniature golf apparatus has a variable putting surface with a hole and sunken lights disposed adjacent each end. Consoles at each end provide for random selection of the putting surface contour and the illumination of lights to locate the commencement of putts to the hole at the opposite end of the device. To vary the putting surface, additional alternate manual selection is also provided. A pair of rotatably driven beams have a plurality of cross bars of different lengths resiliently and pivotally attached to extensions of the beams. The putting surface is disposed on clip members carried by the bars. Independent rotation of the beams about their longitudinal axes provide lengthwise undulations and widthwise slant of the putting surface. Crank arms and motors carried by some of the bars flex the bars to give a curvature to the putting surface. | 46,079 |
FIELD OF THE INVENTION
[0001] The present invention is concerned with the coloration of human hair, and with the provision of dyes for such applications. More particularly, the invention relates to dyes which are obtained from natural products, and their use in such applications.
BACKGROUND TO THE INVENTION
[0002] Semi-permanent hair coloration is an increasingly significant activity on a global basis, with the numbers of people using hair colorants, both in professional salons and in their own homes, increasing at a rapid rate. However, due to the chemical nature of many hair dyes, the users of these products are exposed to significant health risks, and there would be clear benefits for those who do apply hair colorants themselves, or undergo professional hair colouring treatments, in the development of alternative natural, non-toxic, non-carcinogenic products and application methods, which would minimise any potential hazards to human health.
[0003] Many commercial hair dyes are synthetically derived from petroleum feedstocks, and their manufacture frequently involves handling hazardous intermediates and the consumption of large volumes of petroleum based solvents. Furthermore, present hair coloration techniques typically involve the waste of up to 95% of the colour applied, which thereby is discharged to watercourses. Clearly, therefore, there would be considerable benefit in the development of biodegradable colorants, extracted from natural sources, and involving the use of benign technologies.
[0004] There has previously been interest in various colorants which occur in natural products, and one class that has received some attention is the group of polyphenols known as anthocyanins. Various prior art documents are available which teach the use of these materials in cosmetic products.
[0005] Thus, for example, PL-B-192692 teaches a method of obtaining anthocyanin dyes, and recovering the dyes from plant production wastes. Specifically, the patent discloses the extraction of anthocyanin dyes from coloured fruits, such as blueberry, black rose and black chokeberry, and their subsequent purification and use in food, cosmetic and pharmaceutical products. A specific method for pre-treatment of the fruit, and its extraction and subsequent purification by adsorption/desorption is provided. However, the authors offer no specific mention of other fruit sources, and neither is there any reference to the use of the product, or of any related formulation.
[0006] The website of a US cosmetic producer/supplier, Act by Nature LLC (http://actbynature.com/), advertises a variety of all-natural hair colorants, including “revolutionary patent pending natural permanent hair colour, colouring tints, and colour enhancing solutions made using 100% plant derived dyes”. However, limited technical information is provided regarding the nature of these dyes, although a general list of ingredients for hair dye formulations is available, and this list includes anthocyanins amongst the key ingredients. However, no further information is provided.
[0007] US-A-2006/246025 relates to natural fast-drying hair fixative compositions comprising polysaccharides, but is principally concerned with polysaccharide-based delivery systems comprising a combination of a linear polysaccharide such as pullulan and a monohydric alcohol, and includes no reference to any colouring system.
[0008] JP-A-62153211 is concerned with the use of anthocyanins in hair care products, and discloses hair preparations containing anthocyanins for dandruff control. However, it appears that the action of the disclosed anthocyanin ingredients is specifically in the control of dandruff in the disclosed hair tonics, since no mention is made of dyeing activity. Specific anthocyanin structures (I) are disclosed, although the document is silent regarding source fruit and methods of extraction and purification.
[0000]
[0009] The disclosed hair preparations for control of dandruff contain at least one compound selected from anthocyanins (I) (wherein R 1 and R 2 are independently H, OH, or MeO; R 3 and R 4 are independently H or β-glucoside). Polyoxyethylene oleyl alcohol ether, delphinidin and a fragrance are added to ethanol and the alcoholic phase is added to water containing glycerine to give a hair tonic.
[0010] U.S. Pat. No. 6,620,410 teaches hair care compositions which are designed to provide increased protection from ultraviolet radiation. The disclosed formulations comprise grape skin extract, and are alleged to display anti-UV radiation properties. It is believed that the grape skin extract will inevitably contain anthocyanins, although the document contains no specific disclosure of anthocyanins, or of any other anthocyanin sources; in addition, the patent fails to teach or suggest the use of any extract for the purposes of hair coloration.
[0011] U.S. Pat. No. 6,241,785 relates to flavyllium-type compounds and their use in dyeing keratinous fibres, with particular emphasis on human hair. These derivatives are members of a chemical class to which anthocyanins belong. However, the disclosed compounds are obtained synthetically, and not via the extraction of fruit. Furthermore, the patent specifies compounds (II) having particular substitution patterns, thereby excluding anthocyanins.
[0000]
[0012] JP-A-4119179 teaches a specific anthocyanin compound—cyanidin 3-O-arabinoside—for use in dyeing wool in combination with quercetin glucouronide. However, whilst the document teaches formulation of the dye, no information is provided with regard to the source of the anthocyanin, or its recovery. Furthermore, the patent concerns the dyeing of a fibre, with specific mention being made of silk and wool, and requires dyeing conditions of pH≦2.5 combined with a temperature 95° C. for 1 hour, conditions which would be wholly inappropriate for dyeing human hair. Despite its proposed use as a dye, the document makes no mention of the application of the material to hair, or indeed its use in any cosmetic application.
[0013] US-A-2007/0251024 teaches the application of natural colorants to hair in a process requiring the inclusion of a mordanting agent, such as a mineral or metal salt, in the hair dyeing process. The inventors describe the inclusion of the mordant to provide substantivity between the dye and hair fibre, inferring that in the absence of the mordant dyeing would not be possible as the limited affinity of the dyes would not allow sufficient build-up of colour on the hair fibre. The claimed invention is, in many ways, analogous to centuries-old wool dyeing processes which require application of natural dyes with a mordant. However, the document contains no suggestion of the application of natural polyphenols as dyes without a mordant.
[0014] The literature provides few examples relating to the dyeing of textile fibres with anthocyanin based dyes, although there have been recent reports of the successful application of an aqueous extract of grape pomace to dye cotton pre-mordanted with tannins, and bleached wool yarn, in each case yielding red/violet shades. The dyeings in this study were conducted by exhaustion methods, employing aqueous dyebaths with or without metal salt (or tannin) mordant added to the solution.
[0015] The increasing demand for dyes for use in the dyeing of human hair which are free from potential health hazards has presented an opportunity for manufacturers to exploit dyes such as anthocyanins, which are available from natural sources via clean technologies, for such purposes. However, there is at present no satisfactory commercial process for the production of dyes in this way. The present inventors have, therefore, investigated the production of colorants from natural sources, and have developed a range of natural compounds, and methods for their production, which facilitate the production of safe, commercially viable, hair dyes.
SUMMARY OF THE INVENTION
[0016] The present invention is concerned with the extraction and selective purification of specific polyphenolic materials from particular botanical sources, notably blackcurrant (Ribes nigrum), blackberry (Rubus), blueberry, bilberry, cranberry (Vaccinium), grape (Vitis), chokeberry (Aronia), Saskatoon berry (Amelanchier alnifolia), sea-buckthorn (Hippophae rhamnoides), mulberry (Moms), acai (Euterpe), cherry (Prunus), red cabbage (Brassica oleracea) and fig (Ficus) fruits or pressed juices, and their application within formulations as semi-permanent dyes for human hair.
[0017] Thus, according to a first aspect of the present invention, there is provided a dye mixture for application to human hair, wherein said mixture comprises a multiplicity of polyphenolic materials, wherein said materials are obtained from a botanical source.
[0018] Preferably, said botanical source is fruit. More preferably, said fruit is selected from blackcurrants, blackberries, blueberries, bilberries, cranberries, grapes, chokeberries, Saskatoon berries, sea-buckthorn, mulberries acai, cherries and/or figs.
[0019] Preferably, said polyphenolic materials comprise anthocyanin compounds of the formula (III):
[0000]
[0020] wherein R 1 and R 2 are, independently, H, OH or OCH 3 , R 3 is OH (aglycone anthocyanidins) or an O-glycosyl group (glycosylated anthocyanins), and X is a counter-ion which may optionally be selected from chloride, bromide, iodide, sulphate, bisulphate, carbonate, bicarbonate, citrate, formate, acetate or tartrate.
[0021] More preferably, said anthocyanin compounds are aglycone anthocyanidins or glycosylated anthocyanins. Most preferably, said anthocyanin compounds are glycosylated anthocyanins where said glycosylation comprises a monosaccharide or disaccharide.
[0022] Specific examples of aglycone anthocyanidins include the following:
[0000]
TABLE 1
Chemical composition of aglycone anthocyanidins of structure (III)
Name
R 1
R 2
R 3
Pelargonidin
H
H
OH
Cyanidin
OH
H
OH
Peonidin
OCH3
H
OH
Delphinidin
OH
OH
OH
Petunidin
OH
OCH3
OH
Malvinidin
OCH3
OCH3
OH
[0023] Active anthocyanin compounds may comprise various O-glycosyl groups as the R3 group, for example monosaccharides or polysaccharides such as disaccharides or trisaccharides. Optionally, these glycosyl moieties may include further acyl substitution, thereby providing a multitude of naturally occurring anthocyanins Preferred monosaccharide groups include O-glucoside, O-rhamnoside, O-arabinoside, O-xyloside and O-galactoside. Preferred di- and trisaccharides are typically combinations of these monosaccharide groups, for example O-rutinoside (glucose+rhamnose), O-sophoroside (glucose+glucose) and O-primeveroside (glucose+xylose). Due to the nature of the associated bio-synthetic pathways of anthocyanin formation, particular botanical sources contain specific combinations of multiple anthocyanins. In fact, particular fruits and, indeed, varieties within species, have specific and characteristic profiles of anthocyanins, giving rise to variations in observed colour. For example, the four major anthocyanins present in blackcurrant fruit are cyanidin-3-O-glucoside, cyanidin-3-O-rutinoside, delphinidin-3-O-glucoside and delphinidin-3-O-rutinoside, and these derivatives account for >97% of the total anthocyanins in the fruit.
[0024] Once isolated, the observed colour of the anthocyanins is influenced by the chemical environment, particularly solvatochromatic effects and pH, and this allows for potential colour control in formulations incorporating these compounds.
[0025] Thus, in an especially preferred embodiment, the present invention provides highly specific mixtures of particular anthocyanins, and these mixtures are obtained by specific extraction/fractionation/purification/concentration techniques and originate from particular botanical sources. These highly specific mixtures of anthocyanins are found to adsorb onto human keratin when applied via an aqueous dye-bath, or when incorporated into a common base formulation, such as a shampoo or conditioner type base, or other base suitable for cosmetic application. The particular anthocyanins—and, indeed, the specific mixtures thereof—may be most conveniently defined in terms of their characteristic HPLC chromatographic profiles.
[0026] According to a second aspect of the present invention, there is provided a method for the preparation of the dye mixtures of the first aspect of the invention, said method comprising the extraction of said dyes from at least one botanical source and the purification of said extracted material.
[0027] Preferably, said botanical source is fruit or pressed fruit juice. More preferably, said fruit is selected from blackcurrants, blackberries, blueberries, bilberries, cranberries, grapes, chokeberries, Saskatoon berries, sea-buckthorn, mulberries, acai, cherries and/or figs.
[0028] Preferably, said dyes comprise anthocyanin compounds. Most preferably, said anthocyanin compounds comprise aglycone anthocyanidins or glycosylated anthocyanins of the formula (III) as hereinbefore defined.
[0029] According to the third aspect of the present invention, there is provided a formulation for the treatment of human hair, wherein said formulation comprises at least one dye mixture according to the first aspect of the invention.
[0030] The fourth aspect of the present invention provides for the use of the dye mixtures of the first aspect of the invention and the formulations of the third aspect of the invention for the dyeing of keratinous fibres. Preferably said keratinous fibres comprise human hair.
[0031] According to a fifth aspect of the present invention, there is provided a method for the semi-permanent coloration of human hair, said method comprising treating human hair with the dye mixtures of the first aspect of the invention or the formulations of the third aspect of the invention.
[0032] Preferably, according to the fifth aspect of the invention, the hair may be washed with water prior to said treatment with dye mixtures. Optionally, said washing procedure may also be carried out with shampoo. Optionally, said washing procedure may be followed by treatment with hair conditioner.
[0033] Several published reports have provided toxicological data relating to anthocyanins which corroborate the view that these pigments pose no threat to human health. Indeed, major driving forces for continued studies relating to these compounds are provided by the demonstrated therapeutic or medicinal properties of the materials, including antioxidative activity, anti-inflammatory activity and reduction of coronary heart disease, as well as anti-carcinogenic and anti-mutagenic properties.
[0034] These particularly positive attributes of this particular group of polyphenols makes the anthocyanin compounds especially suitable materials for inclusion in personal care products, such as hair colorants.
BRIEF DESCRIPTION OF THE FIGURES
[0035] FIG. 1 shows a HPLC chromatogram of purified blackcurrant anthocyanins.
[0036] FIG. 2 shows an adsorption isotherm for blackcurrant anthocyanin extract on light blonde human hair, analysed by UV-Vis.
[0037] FIG. 3 Adsorption isotherm for blackcurrant anthocyanin extract on human hair, analysed by HPLC, showing total anthocyanins.
[0038] FIG. 4 shows an adsorption isotherm for cyanidin-3-O-glucoside.
[0039] FIG. 5 shows an adsorption isotherm for cyanidin-3-O-rutinoside.
[0040] FIG. 6 shows plot for total anthocyanins of the logarithm of the equilibrium concentration lnC e , versus dye on fibre, q e .
[0041] FIG. 7 shows plot for individual anthocyanins of the logarithm of equilibrium concentration lnC e , versus dye on fibre, q e .
[0042] FIG. 8 shows K/S (colour strength) vs lnC 0 (where C 0 is the initial dyebath concentration).
[0043] FIG. 9 shows absolute amounts of individual anthocyanins in dyebath after successive dyeings, detected by HPLC.
[0044] FIG. 10 shows change in relative amounts (%) of individual anthocyanins in dyebath after successive dyeings, detected by HPLC.
[0045] FIG. 11 shows colour measurement plot of K/S versus the logarithm of dye concentration of colorant base (lnC 0 ) for Base 1 and Base 2 (see Table 9).
[0046] FIG. 12 shows colour measurement plot of K/S versus wavelength for wash fastness study on sample dyed with blackcurrant anthocyanins in an aqueous dyebath.
[0047] FIG. 13 shows colour measurement of hair sample dyed with blackcurrant anthocyanins in aqueous dyebath; samples taken before and after exposure to daylight simulation.
[0048] FIG. 14 shows colour measurement of hair sample dyed with blackcurrant anthocyanins in Base 1; samples taken before and after exposure to daylight simulation.
[0049] FIG. 15 shows the effect of pH change on structures of anthocyanins
DESCRIPTION OF THE INVENTION
[0050] The mixtures of polyphenol derivatives according to the invention have been successfully extracted from suitable fruits or fruit juices by the present inventors, and the extracts have then been purified in order to obtain dyes suitable for application to human hair. Thus, unlike the prior art, the present invention provides for the preparation of the anthocyanin dyes from naturally available materials, i.e., fruits, wherein the dyes are in a suitable form for application as hair dyes.
[0051] Samples of dried fruit, pressed juice and fruit pomace have been successfully sourced and the inventors have been able to establish a suitable supply chain of appropriate volume and quality. Analyses of extracts from various varieties of blackcurrants, blackberries, blueberries, bilberries, chokeberries, mulberries—as well as red cabbage—were carried out, and the analytical results confirmed the anthocyanin profiles previously suggested in the literature. HPLC chromatograms were obtained which highlighted the presence and characteristic ratios of the specific anthocyanins in each source material.
[0052] The mechanism of colouration is by adsorption of the anthocyanins to hair. In order to fully investigate the type of association and interaction, thorough sorption studies have been undertaken, and the results of the associated data analysis allowed the inventors to demonstrate a Freundlich-type isotherm pattern. Further analysis of the data facilitated the optimisation of the anthocyanin profile concerning specifics of glycosylation which was found to be required for successful and controlled dyeing of hair.
[0053] Preferential adsorption was observed with certain species; for example, a purified extract profile containing anthocyanin components with the smallest possible sugar moieties attached (monosaccharides, e.g. glucoside) was found to preferentially absorb to hair when compared with anthocyanin species having larger glycosyl units (disaccharides, e.g. rutinoside).
[0054] The method of the second aspect of the invention involves the extraction of the dyes from a botanical source, and the subsequent purification of the extracted dyes. Typically, extraction is achieved by the action of aqueous media, preferably water, with or without the application of heat. Thus, if the botanical source is fruit, dyes can conveniently be extracted by heating the fruit in water. Optionally, said aqueous media may additionally comprise glycerol or ethanol and may be acidified to pH <4 by addition of any of, for example, hydrochloric, hydrobromic, hydroiodic, nitric, phosphoric, sulphuric, acetic, trifluoroacetic, ascorbic, citric, formic, lactic, tartaric, camphor-10-sulphonic or oxalic acids.
[0055] A key stage of the method is the subsequent purification process, which requires isolation of the dyes from the crude extract or fruit juice at the correct dilution. Suitable methods for achieving this include adsorption/desorption techniques using various porous solids and/or resins. Successful results were achieved with non-ionic aliphatic acrylic ester polymers, proteinaceous materials, polysaccharides, and modified variants thereof. Following removal of unwanted extraneous components, the target compounds may be eluted in an ethanolic liquid phase. Optionally, said elution media may additionally comprise glycerol or isopropyl alcohol, in conjunction with heating, typically at 20-100° C., and be mildly acidified by addition of any of, for example, hydrochloric, hydrobromic, hydroiodic, nitric, phosphoric, sulphuric, acetic, trifluoroacetic, ascorbic, citric, formic, lactic, tartaric, camphor-10-sulphonic or oxalic acids (0.01-1.0M).
[0056] The eluted solution of anthocyanins may then be powdered following removal of solvent by evaporation or by common powder forming techniques such as recrystallisation or spray drying, or by any other such technique to produce a powder. Alternatively, a concentrated liquid solution may be used for further incorporation into dye formulations.
[0057] The use of the semi-permanent dyes of the first aspect of the invention for the dyeing of keratinous fibres according to the fourth aspect of the invention, and the method of the fifth aspect of the invention for the semi-permanent coloration of human hair typically require the use of formulations of the semi-permanent dyes of the invention according to the third aspect of the invention. There are two principal considerations in this regard, the first of which is the delivery system, wherein the active dye has been successfully incorporated into base formulations suitable for cosmetic application including, but not exclusively, shampoo and conditioner type bases. Further customisation of the colorant base delivery system is possible in order to both control the stability and colour of the formulation, and maximise the amount of available active dye.
[0058] The second issue which requires consideration is the precise specification of the active dye profile, which directly affects the observed colour on hair. This is clearly affected by the botanical source material, including the particular variety that is employed, and the specific method of extraction, purification and fractionation. For example, glycosylated polyphenols are sensitive to heat and acidification resulting in hydrolysis of the glycosyl groups. Therefore, due care was taken to develop methods of isolation that preserve the glycosylation of the compounds in their natural form.
[0059] Due consideration was given to the production of mixtures of anthocyanins with different purified natural extracts in various formulations in order to create custom profiles which were demonstrated to provide a suitable range of available colours, most notably auburns and light and dark browns. Variations of such individual shades were achieved using our system by dyeing from a single formulation base containing the stabilised mixture of dye components, at room temperature, in the absence of any oxidative species, metal salts or any component acting as a mordant.
[0060] The attention of the inventors has been particularly directed towards anthocyanin dyes, and the inventors have especially studied the application of purified anthocyanins extracted from dried blackcurrant skins. The anthocyanin profile of the extract was quantitatively measured by use of a calibrated HPLC methodology and, from the acquired chromatograms, it was possible to derive precise data relating to the presence of particular anthocyanins in the dyebath.
[0061] Thus, for example, isothermic adsorption studies were conducted at room temperature (20° C.) using buffered aqueous dyebaths (pH 2.0-5.5; 0.01-0.50M sodium citrate/citric acid) of varied anthocyanin concentration. HPLC chromatograms were recorded for samples of the dyebaths prior to, and after, dyeing of human hair. The hair samples used in the study were from bleached blonde human hair swatches, which were shampooed and rinsed prior to immersion in the dyebath.
[0062] An example dyebath chromatogram is shown in FIG. 1 , with its associated data being set out in Table 1. The chromatogram clearly shows the presence of the four major anthocyanins characteristic to blackcurrant extract, these being delphinidin-3-O-glucoside (15.71%), delphinidin-3-O-rutinoside (43.25%), cyanidin-3-O-glucoside (7.03%) and cyanidin-3-O-rutinoside (34.00%) in an aqueous dye bath which had a total anthocyanin content of 256 mg dm-3.
[0000]
TABLE 2
HPLC data of dye bath prior to dyeing.
Ret.
Rel.
Time
Area
Rel.
Amount
Amt.
No.
min
Name*
mAU * min
Area %
mg dm −3
Mol %
1
9.64
Del-3-O-Glu
24.912
15.71
40.05
18.67
2
11.44
Del-3-O-Rut
68.573
43.25
110.25
39.81
3
14.36
Cy-3-O-Glu
11.139
7.03
19.41
9.38
4
17.30
Cy-3-O-Rut
53.909
34.00
86.67
32.14
Total:
158.532
100.00
256.37
100.00
*Del = delphinidin, Cy = cyanidin, Glu = glucoside, Rut = rutinoside, Rel. = Relative, Amt. = Amount
[0063] Analysis of the HPLC data for the dyebath after dyeing clearly shows that all of the anthocyanins were absorbed by the hair, as the concentrations of each are seen to be reduced, as can be seen from the data in Table 2. The noted preference for anthocyanins with smaller sugar moieties attached can be seen by analysis of the exhaustion data in Table 2 (mol %).
[0064] Percentage exhaustion is a representation of how much of each constituent dye (anthocyanin) has been removed from the dyebath during the dyeing process. Due to the nature of the systems and methods used, this equates directly to the amount of dye that has been absorbed onto the fibre (keratin). As a consequence of the level of detail acquired using HPLC methodology, it is possible to determine percentage exhaustion values for individual anthocyanins, and also for the overall mixture. The higher the percentage exhaustion, the greater the amount of dye (anthocyanin) that has been removed from the dyebath.
[0065] In this example, it was noted that glucosidic (monosaccharide) anthocyanins (Del-3-O-glu and Cy-3-O-glu) were both absorbed at approximately the same exhaustion (28.74 and 29.71% respectively), whereas those with rutinoside (disaccharide) residues (Del-3-O-rut and Cy-3-O-rut) were absorbed at a greatly reduced exhaustion (12.25 and 11.64%), yet also comparable to each other.
[0000]
TABLE 3
HPLC data of dye bath after dyeing of human hair.
Area
Rel.
Ret. Time
(mAU ×
Rel. Area
Conc.
amount
Exhaustion
No.
(min)
Name*
min)
(%)
(mg dm −3 )
(mol %)
(%)
1
9.62
Del-3-O-
17.752
13.18
28.54
13.24
28.74
Glu
2
11.51
Del-3-O-
60.175
44.68
96.74
44.89
12.25
Rut
3
14.43
Cy-3-O-
7.829
5.81
13.64
6.33
29.71
Glu
4
17.42
Cy-3-O-
47.634
35.37
76.58
35.54
11.64
Rut
Total:
133.390
99.04
215.50
100.00
16.77
* Del = delphinidin, Cy = cyanidin, Glu = glucoside, Rut = rutinoside, Rel. = Relative
[0066] In further experiments, successful coloration of hair was achieved using different concentrations of the same blackcurrant anthocyanin mixtures in a number of dyebath experiments, using an adsorption isotherm technique. In this way, direct, reproducible and quantifiable relationships were found to exist between pre- and post-dyebath concentrations, exhaustion and dye on fibre.
[0067] An adsorption isotherm study was performed, monitored by analysis of UV-Vis spectra of each dyebath. The parameters for the study are outlined in Table 4.
[0000]
TABLE 4
Adsorption isotherm parameters
Item
Parameter
Dye
Blackcurrant anthocyanin extract
Substrate
Light blonde (bleached hair)
Substrate quantity
100 mg
Substrate pre-treatment
Shampooed
Solvent
0.2M Citric acid/citrate buffer
Solvent volume
5.0 ml
Solvent: substrate
50:1 (volume:weight)
Temperature
20° C.
Duration
1 hour
Agitation
Stirred
[0000]
TABLE 5
Adsorption isotherm results, measured by UV-Vis absorbance.
*omf
C 0
Exhaustion
C e
q e
Entry
%
mg dm −3
%
mg dm −3
mg g −1
1
20.00
4000
25.5
2989.4
50.5
2
10.00
2000
17.4
1651.5
17.4
3
5.00
1000
23.2
749.1
12.6
4
2.00
400
23.6
291.2
5.4
5
1.00
200
25.5
136.1
3.2
6
0.50
100
24.2
67.6
1.6
7
0.20
40
30.6
24.1
0.8
8
0.10
20
30.6
11.7
0.4
9
0.05
10
44.4
4.5
0.3
*omf = on mass of fibre
[0068] The data obtained, as set out in Table 5 above, showed a good relationship between concentration and sorption. As was expected, the lower concentration solutions gave almost complete exhaustion, with the highest concentrations showing reduced exhaustion. This data was extrapolated further, with logarithmic plots of C e (equilibrium concentration in solution, mg dm −3 ) against qe (equilibrium concentration on fibre, mg g −1 ). A straight-line relationship was observed from the resultant plot (as shown in FIG. 2 , lnC e vs lnq e , above, R2=0.990), conforming with the Freundlich isotherm description.
[0000]
ln
q
e
=
ln
K
F
+
1
n
F
ln
C
e
Equation
1
[0069] The Freundlich isotherm suggests that sorption energy exponentially decreases on completion of the sorptional centres of an adsorbent, where K F is the Freundlich constant (dm 3 g −1 ), n F is the affinity constant and 1/n F is the heterogeneity factor. Therefore, a plot of lnqe versus lnC e should yield a straight line of intercept value lnK F and slope 1/n F if the isotherm obtained through experimental observes the Freundlich expression. If n F >1, then the adsorption is favourable. In the experiment described above, the intercept=−2.704, therefore K F =0.066 dm 3 g −1 , and the gradient=0.7871, therefore n F =1.27.
[0070] The adsorption study was repeated using HPLC chromatograms to assign concentrations, rather than UV-Vis absorbance. All experimental parameters were maintained, and the HPLC method was calibrated with cyanidin-3-O-glucoside chloride and cyanidin-3-O-rutinoside chloride as standards.
[0071] The results of the HPLC analysis were used to assign concentrations, rather than UV-Vis absorbance, in order to gain more accurate information regarding individual anthocyanin components of the extract.
[0000]
TABLE 6
Adsorption isotherm results, measured by HPLC, for total anthocyanins
*omf
C 0
Exhaustion
C e
q e
Entry
%
mg dm −3
%
mg dm −3
mg g −1
1
20.0
4000
14.4
509.3
4.28
2
10.0
2000
13.3
264.1
2.03
3
5.0
1000
17.8
131.8
1.43
4
2.0
400
19.5
52.4
0.63
5
1.0
200
17.1
29.0
0.30
6
0.5
100
10.6
13.8
0.08
7
0.2
40
23.2
4.8
0.07
8
0.1
20
32.0
2.0
0.05
9
0.05
10
29.2
1.0
0.02
[0072] When Equation 1 was applied to this set of data, considering the total anthocyanin composition, again an excellent straight-line relationship was observed (R 2 =0.972). The intercept=−3.9713, therefore K F =0.019 dm 3 g −1 , and the gradient=0.8487, therefore n F =1.17. This n F value is in good agreement with the result obtained from the initial UV-Vis monitored experiment, described above (n F =1.27).
[0073] This data set was analysed based on the total anthocyanin content detected by HPLC (calibrated area under peaks). However, each peak in the chromatogram was fully resolved and characterised as the individual anthocyanin components by use of standards and confirmed by the literature. Therefore, the data set was analysed further for consideration of individual anthocyanin components (Table 7, below).
[0000]
TABLE 7
Adsorption isotherm results, measured by HPLC, for two of the individual
anthocyanins, where reference standards were available
Cy-3-Glu
Cy-3-Rut
Ex %
Ce
q e
Ex %
C e
q e
20.1
62.3
0.78
12.2
171.6
1.20
20.0
32.4
0.40
10.8
88.8
0.54
22.9
16.5
0.25
15.8
44.2
0.42
25.4
6.5
0.11
16.7
17.6
0.18
22.7
3.7
0.05
14.2
9.6
0.08
19.7
1.7
0.02
—
—
—
34.5
0.6
0.01
11.0
1.8
0.01
17.5
0.8
0.01
32.0
2.0
0.05
20.5
0.4
0.005
29.2
1.0
0.02
[0074] Operation of the Freundlich isotherm equation (Equation 1) on the data set for cyanidin-3-O-glucoside again yielded an excellent straight-line relationship (R 2 =0.979). The intercept=−4.202, therefore K F =0.015 dm 3 g −1 , and the gradient=0.9686, therefore n F =1.03, again in good agreement with that obtained from previous calculations (total anthocyanin n F =1.17).
[0075] When the Freundlich equation (Equation 1) was applied to the set of data for cyanidin-3-O-rutinoside, a straight-line relationship was observed (R 2 =0.939). The intercept=−4.1885, therefore K F =0.015 dm 3 g −1 , and the gradient=0.8307, therefore n F =1.20. This n F value is in good agreement with that obtained from consideration of the total anthocyanin content (n F =1.17). These results for the contribution of individual anthocyanin components show that the adsorption is favourable for the two components shown: cyanidin-3-O-glucoside ( FIG. 4 ) and cyanidin-3-O-rutinoside ( FIG. 5 ).
[0076] In addition to this isotherm plot, the data may also be represented in a number of depictions in order to elucidate further information regarding the interaction between dye and fibre. One such method is to plot the logarithm of the initial dyebath concentration lnC 0 , versus dye on fibre, q e . Such a plot allows us to understand the build up of the dye on fibre as concentration of the dyebath is increased. This plot was also necessary in order to provide a data set that could be directly compared with later colour measurement studies of hair samples dyed by colorant bases, i.e. not in aqueous solution, where pre and post dye bath concentrations could not be directly measured.
[0077] The plot in FIG. 6 exhibits a low gradient at the lowest concentrations, where 0<lnC 0 <4. This is consistent with a monolayer build up of dye on fibre, as expected (q e <2 mg g −1 ). The next portion of the plot (4<lnC 0 <7; 2<q e <15 mg g −1 ) shows an increase in gradient. It is suggested that this represents a level of sideways stacking of dye molecules (hemimicellar). Beyond this region, the gradient of the curve increases dramatically (7<lnC 0 <8; 15<q e <50 mg g −1 ). This represents multi-level stacking of the dye molecules (admicellar), effectively where colour build up occurs.
[0078] When the data was analysed for two of the individual anthocyanins, an obvious similarity in the shape of the plots was observed (as shown in FIG. 7 ). However, a key difference also became apparent, the values of dye on fibre (q e ) were higher in the case of cyanidin-3-O-glucoside than for cyanidin-3-O-rutinoside. The structural difference between these two compounds lies in the sugar substitution; cyanidin-3-O-glucoside (IV; Mw=484.84) has a monosaccharide unit whereas cyanidin-3-O-rutinoside (V; Mw=630.98) has a disaccharide unit.
[0000]
[0079] In terms of adsorption dye chemistry, this is significant where compounds of lower molecular size are favoured due to steric hindrance around sorption sites. Both the glucoside and rutinoside anthocyanins have multiple hydroxyl functional sites to facilitate hydrogen bonding with the fibre.
[0080] In conclusion, these results are consistent with the Freundlich isotherm, with hydrogen bonding and Van der Waals forces dominating the interaction between hair fibre and dye molecules.
[0081] Furthermore, these relationships were supported by colour measurement studies designed to record and quantify the change in colour of the hair fibres relative to an undyed reference sample.
[0082] FIG. 8 , highlights the relationship between initial dyebath concentration (C 0 ), displayed logarithmically, and the observed colour strength on hair, measured in terms of reflectance (K/S) at λ max . K/S values are measured relative to a reference sample of undyed hair fibres. As can be seen, observed colour strength was very low (K/S<1) at lower data points (2<lnC 0 <5; K/S<1), and this was due to monolayer adsorption. At higher data points (lnC 0 >5), a steep gradient was observed where colour strength increased noticeably (1<K/S<22) due to multiple-layer aggregation.
[0083] Preferential Dye Study
[0084] For further understanding of the sorption behaviour of the mixture of anthocyanins, it was necessary to investigate preferential adsorption of individual anthocyanin components. Therefore, a series of successive dyeings was performed using the same dyebath.
[0085] A sample of hair (0.40 g, light blonde, pre-shampooed) was applied to a buffered dyebath of blackcurrant anthocyanin extract (1000 mg dm −3 , 20.0 ml, 0.2 M citric acid/sodium citrate, pH 3.0). Previous studies allowed us to assume with confidence that the equilibrium of adsorption would be reached after one hour. At this point, the hair was removed from the dyebath and a second sample of hair of equal weight and pre-treatment was added. This was performed using a total of four hair samples. Although the original dyebath was calculated to have a dyebath:fibre ratio of 50:1, no additional liquid was added to compensate for minimal losses when hair fibres were removed. The validated HPLC method was used to detect anthocyanin concentration of the original dyebath, and after each successive dyeing (1 hour, RT).
[0086] The data were analysed to confirm that sorption of each of the component anthocyanins was indeed favourable, and the results are set out in FIG. 9 . The distribution ratio of the starting dyebath for delphinidin-3-O-glucoside: delphinidin-3-O-rutinoside: cyanidin-3-O-glucoside: cyanidin-3-O-rutinoside was found to be consistent with previous studies (15.6: 43.0: 7.6: 33.8). After the four successive dyeings, the ratio of components in the post-dye bath was found to be significantly different (8.9: 48.5: 4.2: 38.4), to suggest that the monosaccharide (glucoside) anthocyanins (Del-3-O-Glu and Cy-3-O-Glu) were preferentially adsorbed to the fibres over the disaccharide (rutinoside) anthocyanins (Del-3-O-Rut and Cy-3-O-Rut).
[0087] Change in relative amounts (%) of components was analysed further to show extremely consistent behaviour in each of the dyeings, as shown in FIG. 10 . Average change in relative amounts of anthocyanins in the system was also found to be extremely consistent with respect to their sugar functionality. Both anthocyanins with monosaccharide moieties showed very similar performance (Table 8, entries 1 and 3, 25.7% and 25.9%). The statistics were also consistent in the behaviour of the pair of anthocyanins containing disaccharide units (Table 8, entries 2 and 4, 11.8% and 11.6%).
[0000]
TABLE 8
Relative and average change in concentrations (%) of component
anthocyanins across four successive dyeings
Starting Relative
Final Relative
Average Change
Entry
Anthocyanin
Conc. %
Conc. %
in Conc. %
1
Del-3-Glu
15.6
8.9
25.7
2
Del-3-Rut
43.0
48.5
11.8
3
Cy-3-Glu
7.6
4.2
25.9
4
Cy-3-Rut
33.8
38.4
11.6
[0088] In summary, all four of the component anthocyanins were adsorbed, displaying consistent behaviour across the study, with respect to their structural and functional features. Components with smaller sugar groups were found to adsorb preferentially over those with larger sugar groups. Favourable sorption is consistent with previous isotherm studies, where hydrogen bonding was found to be the dominant interaction between anthocyanins and hair. Although the disaccharide sugar units contain more hydrogen bonding sites than monosaccharide counterparts, they also result in a larger molecular size (difference in Mw between IV and V=146.1), which is expected to hinder sorption.
[0089] Dye Base Formulation Application
[0090] Dye series were performed using two standard dye base formulations, referred herein as Base 1 (pH 5.0-5.5) and Base 2 (pH 9.0-9.5). A procedure was devised to incorporate the anthocyanin powder into each base formulation, in order to deliver the dye onto hair in a manner representative of a retail product.
[0091] The intention was to perform a comprehensive series of dyeings to allow a level of comparison with the previous aqueous systems, and to assess the general stability and behaviour of the dye within formulation. As discussed above, the primary analytical technique was reflectance colour measurement, performed on the dyed hair samples.
[0092] The dye powder (5-100 mg) was initially dissolved in the minimum solvent (˜0.5 ml; 0.2 M citric acid/sodium citrate buffer, pH 3.0), and subsequently incorporated into the dye base (2.50 g), with thorough mixing. The dye paste was then applied to pre-shampooed, wetted bleached hair swatches (˜1 g each), by hand with gentle massaging and combing and left to stand at room temperature for 45 minutes. After standing, the swatch was rinsed under running warm water for 2-3 minutes with combing to ensure complete removal of dye paste, subsequently conditioned and rinsed before drying with a hair dryer. Once fully dry, a reflectance colour measurement was taken of each swatch.
[0000]
TABLE 9
Colour measurement (K/S) versus dye concentration.
Dye mg
*C 0
Base 1
Base 2
Entry
in 2.5 g paste
Dye wt %
mg kg −1
K/S
λ max
K/S
λ max
1
5
0.2
2000
0.89
580
0.48
580
2
10
0.4
4000
1.19
580
0.98
580
3
20
0.8
8000
3.37
580
1.24
580
4
40
1.6
16000
7.20
580
3.59
570
5
100
4.0
40000
10.22
570
4.63
570
*C 0 values (mg kg −1 paste), suggested as equivalent values to liquid phase dye baths (mg dm −3 )
[0093] FIG. 11 highlights obvious difference between the effectiveness of the dyeings performed in the two dye bases. At low concentrations (0.2<C 0 <0.4%), the observed K/S values are similar. However, the lower pH base (Base 1) clearly gives superior K/S as concentration is increased, to the extent that K/S is more than twice the Base 2 value at the highest data point (4.0 wt %, K/S=10.22 vs 4.63).
[0094] Wash Fastness
[0095] Investigations into the fastness properties of the dyes to washing were performed following a standardised procedure, using shampoo and conditioner. Each wash cycle comprised of application of shampoo, thorough rinse under running warm water with combing, repeat application of shampoo, thorough rinse, followed by a single application of conditioner, final rinse, followed by drying with a domestic hair dryer with combing. A total of 6 wash cycles (12 shampoos) was conducted for each sample. Reflectance measurements (K/S) were recorded for dry hair samples after each wash cycle, where the average of 4 measurements was taken across the visible wavelength spectrum (360-700 nm).
[0096] A hair sample was dyed with blackcurrant anthocyanins in an aqueous dyebath, following our standard procedures. The initial colour intensity and absorbance maximum was recorded ( FIG. 11 ; K/S 11.7, λ max =560 nm). After the first wash cycle, as described above, minimal colour loss was observed (K/S=11.0, 6% loss), although exhibiting a shift in λmax to a higher wavelength (570 nm; note increments of 10 nm recorded). After six wash cycles the resistance to washing was found to be excellent (K/S=10.5, 10% loss), and the colour shift had stabilised (λ=570 nm).
[0097] Light Fastness
[0098] A known issue with traditional natural dyes on textile fibres is their poor fastness environmental conditions compared to modern synthetic dyes, resulting in fading upon continued exposure, for example to direct sunlight. Studies were performed using a daylight simulation lamp at controlled humidity (Atlas Xenotest Alpha LM; 60% humidity). Samples of hair dyed with anthocyanins, (in aqueous dyebaths and typical formulation bases) were run against the Blue Wool Standard, commonly used for investigations on textile dyes. The samples were all mounted within the apparatus and continuously exposed to the lamp for 6 hours. Samples were run in duplicate with additional original samples retained for reference. This was equivalent to 3.5 on the Blue Wool Standard scale. The results of the study are best displayed by comparison of the colour reflectance measurement (K/S) of samples before and after exposure (see FIGS. 13 and 14 , Table 10). Colour fading would result in a reduction in the K/S value (reflectance colour intensity), and potential change in the absorption maxima (λ max ).
[0000]
TABLE 10
Colour measurement results (K/S) and absorption maxima (λ max ) for samples
before and after exposure to daylight simulation
Anthocyanins
λ max
Sample
(nm)
K/S
Aqueous Pre
570-580
11.5
Aqueous Post
570-580
12.4
Base 1 Pre
580
4.3
Base 1 Post
580
4.8
[0099] In the aqueous dyebath systems, the results obtained for anthocyanins showed that no discernable colour fading had occurred. In fact, the K/S values had increased slightly, which was confirmed by inspection of duplicate results, however, these are considered to be within experimental error of the technique.
[0100] These observations were repeated when the samples dyed by anthocyanins in formulation bases were inspected, including the slight increase of the K/S value. In brief summary, the hair samples dyed with anthocyanins, in either aqueous dyebaths or via formulation bases, showed excellent resistance to light exposure.
[0101] General Conditions of Application
[0102] Aspects of the invention include formulations for the treatment of human hair which comprise at least one dye mixture according to the first aspect of the invention, the use of the said dye mixtures and formulations for the dyeing of keratinous fibres which preferably comprise human hair, and methods for the semi-permanent coloration of human hair which comprise treating human hair with the said dye mixtures and formulations.
[0103] Thus, the invention comprises a method for application of anthocyanins to human hair, compatible with common cosmetic applications for coloration. The anthocyanins may be incorporated into a base formulation such as a conditioner, shampoo, or other similar product. The anthocyanins are first taken into liquid solution in any of water, ethanol, glycerol or other similar solvent. Said solvent may be modified with additives, to control pH (between 2 and 7), such as acids (e.g. hydrochloric, hydrobromic, hydroiodic, nitric, phosphoric, sulphuric, acetic, trifluoroacetic, ascorbic, citric, formic, lactic, tartaric, camphor-10-sulphonic or oxalic acids) or acidic buffer systems (e.g. citric acid/sodium citrate or other common systems) to maintain a pH between 2 and 7, at a temperature between 20 and 45° C. The anthocyanin solution is then incorporated into the appropriate delivery base formulation by mixing, at a temperature between 20 and 45° C., and at a concentration between 0.1 and 50 g anthocyanins per kg of formulation base.
[0104] The dye formulation may be then applied to human hair at a temperature between 15 and 40° C. (preferably room temperature), by hand with gentle massaging and combing as per common practice for even distribution and application of colorant pastes. The paste is then left on hair for a period of 5 to 45 minutes, whilst dye uptake onto hair takes place. The dyeing process is then ceased by thorough rinsing of the hair with water, to remove the paste. The hair may then be either conditioned, or washed with shampoo then conditioned, as would be performed in a domestic environment, to remove any residual paste and/or colorant. The hair may then be either towel dried or dried using a conventional domestic hair drier, as per usual domestic use.
[0105] Example systems and concentrations are outlined in Table 3 with their resultant reflectance colour intensity, described in K/S at the absorption maxima, when applied to light blonde human hair swatches.
[0106] The above procedure may be used as described for anthocyanin colorants, or also in conjunction with other natural compounds. When anthocyanins are used in this system as the sole or primary colorant, it is possible to achieve two effects of use to the cosmetic hair coloration industry. The first is a blue coloration of human hair, characterised by an absorption maximum in the reflectance spectrum of between 570 and 600 nm. For this effect, a concentration between 0.2 and 10 wt % of the formulations recommended. This blue coloration may therefore act as a colour component in a mixed palette to allow browns. In such a product, concentrations between 0.2 and 10 wt % of the formulations are recommended.
[0107] The second identified application is in lower concentrations to achieve a “silverising” effect. The colorant can be added to appropriate formulations such as shampoo type bases for daily application as a colour maintenance product, for example in “blonde protection” products. For this effect, concentrations between 0.01 and 0.4 wt % are most preferable.
[0108] It is known that anthocyanins in acidic aqueous solution (1<pH<4) yield a red/orange colour (500 nm <λ max <530 nm; Table 11), the chromophore arising from the stable flavylium ion form (VI). When the pH of such an acidic solution is increased (4<pH<6), the purple/blue anhydrobase (VII and VIII) predominates (570 nm <λ max <620 nm). However, in aqueous solution, this form is readily susceptible to hydration, resulting in the colourless pseudo-base form (IX).
[0000]
TABLE 11
Structures and absorption maxima for common anthocyanins
(see also Figure 15);
Name
R 1
R 2
R 3
R 4
*λ max
Pelargonidin
H
H
Glu
H
503
Cyanidin
OH
H
Glu
H
517
Peonidin
OCH3
H
Glu
H
517
Delphinidin
OH
OH
Glu
H
526
Petunidin
OH
OCH3
O-Glu
H
526
Malvinidin
OCH3
OCH3
O-Glu
H
529
*λ max values shown are for corresponding 3-O-glucoside anthocyanins at pH 3.0
[0109] Importantly, when used for dyeing in formulation or aqueous solution at pH <4, the anthocyanins absorb onto keratin fibres (human hair) producing a blue colour consistent with the neutral anhydrobase form rather than the flavylium cation. Such an effect is unexpected and particularly relevant due to the lack of availability of natural blue dyes. It is likely that this effect is due to in situ neutralization of the cationic flavylium cation by basic sites on the hair surface leading to formation of the anhydrobase, which is again particularly notable.
[0110] Significantly, such dyed hair was also proven to be stable to wash cycles (shampoo and conditioner) and to daylight simulation. It is noted also that the actual λ max observed on hair is dependent upon the particular anthocyanins employed.
[0111] Throughout the description and claims of this specification, the words “comprise” and “contain” and variations of them mean “including but not limited to”, and they are not intended to (and do not) exclude other moieties, additives, components, integers or steps. Throughout the description and claims of this specification, the singular encompasses the plural unless the context otherwise requires. In particular, where the indefinite article is used, the specification is to be understood as contemplating plurality as well as singularity, unless the context requires otherwise.
[0112] Features, integers, characteristics, compounds, chemical moieties or groups described in conjunction with a particular aspect, embodiment or example of the invention are to be understood to be applicable to any other aspect, embodiment or example described herein unless incompatible therewith. All of the features disclosed in this specification (including any accompanying claims, abstract and drawings), and/or all of the steps of any method or process so disclosed, may be combined in any combination, except combinations where at least some of such features and/or steps are mutually exclusive. The invention is not restricted to the details of any foregoing embodiments. The invention extends to any novel one, or any novel combination, of the features disclosed in this specification (including any accompanying claims, abstract and drawings), or to any novel one, or any novel combination, of the steps of any method or process so disclosed.
[0113] The reader's attention is directed to all papers and documents which are filed concurrently with or previous to this specification in connection with this application and which are open to public inspection with this specification, and the contents of all such papers and documents are incorporated herein by reference. | The invention provides dye mixtures for application to human hair, the dye mixtures comprising polyphenolic materials, these materials being obtained from botanical sources. Preferably, the botanical source is fruit, especially fruit selected from blackcurrants, blackberries, blueberries, bilberries, cranberries, grapes, chokeberries, Saskatoon berries, sea-buckthorn, mulberries acai, cherries, red cabbage and/or figs. Preferably, the polyphenolic materials comprise anthocyanin compounds which, most preferably, are aglycone anthocyanidins or glycosylated anthocyanins of the formula (III):
wherein R 1 and R 2 are, independently, H, OH or OCH 3 , R 3 is OH (aglycone anthocyanidins) or a glycosyl group (glycosylated anthocyanins), and x is a counter-ion. The invention also provides methods for the preparation of these dye mixtures and for the use of the dye mixtures in the semi-permanent coloration of human hair. | 76,258 |
FIELD OF THE INVENTION
[0001] The present invention relates to the field of image processing. More specifically, the present invention relates to image processing in digital pathology images.
BACKGROUND OF THE INVENTION
[0002] Fluorescence in situ hybridization (FISH) is a cytogenetic technique developed by biomedical researchers in the early 1980s that is used to detect and localize the presence or absence of specific DNA sequences on chromosomes. FISH uses fluorescent probes that bind to only those parts of the chromosome with which they show a high degree of sequence complementarity. Fluorescence microscopy can be used to find out where the fluorescent probe bound to the chromosomes. FISH is often used for finding specific features in DNA for use in genetic counseling, medicine, and species identification. FISH can also be used to detect and localize specific mRNAs within tissue samples. In this context, it can help define the spatial-temporal patterns of gene expression within cells and tissues.
[0003] When observing a three-dimensional entity through a two-dimensional projection, one dot is able to hide behind another dot. Microscope imaging projects the three-dimensional entities onto a two-dimensional sensor. When the distance between two dots is too small, separating these two overlapped dots is challenging.
[0004] The intensities of FISH dots are local maxima; therefore, image hard thresholding is believed to generate artifacts with similar intensity range. In addition, dots tend to have blurred image boundaries with relatively lower image contrast.
SUMMARY OF THE INVENTION
[0005] Fluorescence in situ hybridization (FISH) enables the detection of specific DNA sequences in cell chromosomes by the use of selective staining. Due to the high sensitivity, FISH allows the use of multiple colors to detect multiple targets simultaneously. The target signals are represented as colored dots, and enumeration of these signals is called dot counting. Using a two-stage segmentation framework guarantees locating all potential dots including overlapped dots.
[0006] In one aspect, a method of fluorescent dot counting in an image programmed in a memory of a device comprises determining dot candidate seeds, segmenting dot candidate patches, extracting dot candidate features and classifying dot candidates. Determining the dot candidate seeds comprises applying a tophat transform to the image, applying h-maxima suppression, detecting regional maxima and performing connected component analysis. Segmenting the dot candidate patches comprises determining local and mean variance, implementing adaptive dilation, applying a distance transform, defining an initial foreground and background and executing graph cuts. Implementing adaptive dilation is with intensity values between [mean−variance, mean+variance]. The dot candidate features comprise shape and intensity-based features. Classifying the dot candidates includes a training stage and a testing stage. The training stage includes manually-labeled fluorescence in situ hybridization images are utilized as ground truth for a classifier. The testing stage includes individually scoring each candidate by classifiers as true positives and false positives. The device comprises a microscope. The device comprises a personal computer, a laptop computer, a computer workstation, a server, a mainframe computer, a handheld computer, a personal digital assistant, a cellular/mobile telephone, a smart appliance, a gaming console, a digital camera, a digital camcorder, a camera phone, a tablet computer, a portable music device, a video player, a DVD writer/player, a high definition video writer/player, a television and a home entertainment system.
[0007] In another aspect, a method of fluorescent dot counting in an image programmed in a memory of a device comprises determining dot candidate seeds, applying a tophat transform to the image, applying h-maxima suppression, detecting regional maxima and performing connected component analysis, segmenting dot candidate patches, determining local and mean variance, implementing adaptive dilation, applying a distance transform, defining an initial foreground and background and executing graph cuts, extracting dot candidate features and classifying dot candidates. Implementing adaptive dilation is with intensity values between [mean−variance, mean+variance]. The dot candidate features comprise shape and intensity-based features. Classifying the dot candidates includes a training stage and a testing stage. The training stage includes manually-labeled fluorescence in situ hybridization images are utilized as ground truth for a classifier. The testing stage includes individually scoring each candidate by classifiers as true positives and false positives. The device comprises a microscope. The device comprises a personal computer, a laptop computer, a computer workstation, a server, a mainframe computer, a handheld computer, a personal digital assistant, a cellular/mobile telephone, a smart appliance, a gaming console, a digital camera, a digital camcorder, a camera phone, a tablet computer, a portable music device, a video player, a DVD writer/player, a high definition video writer/player, a television and a home entertainment system.
[0008] In yet another aspect, a device for fluorescent dot counting comprises a memory for storing an application, the application for determining dot candidate seeds, segmenting dot candidate patches, extracting dot candidate features and classifying dot candidates and a processing component coupled to the memory, the processing component configured for processing the application. Determining the dot candidate seeds comprises applying a tophat transform to the image, applying h-maxima suppression, detecting regional maxima and performing connected component analysis. Segmenting the dot candidate patches comprises determining local and mean variance, implementing adaptive dilation, applying a distance transform, defining an initial foreground and background and executing graph cuts. Implementing adaptive dilation is with intensity values between [mean−variance, mean+variance]. The dot candidate features comprise shape and intensity-based features. Classifying the dot candidates includes a training stage and a testing stage. The training stage includes manually-labeled fluorescence in situ hybridization images are utilized as ground truth for a classifier. The testing stage includes individually scoring each candidate by classifiers as true positives and false positives.
BRIEF DESCRIPTION OF THE DRAWINGS
[0009] FIG. 1 illustrates a flowchart of a method of implementing FISH according to some embodiments.
[0010] FIG. 2 illustrates a flowchart of a method of dot candidate seed determination according to some embodiments.
[0011] FIG. 3 illustrates a flowchart of a method of dot candidate patch segmentation according to some embodiments.
[0012] FIG. 4 illustrates a block diagram of an exemplary computing device configured to implement the fluorescent dot counting according to some embodiments.
[0013] FIG. 5 illustrates an exemplary slide for fluorescent dot counting according to some embodiments.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENT
[0014] A novel dot counting algorithm for fluorescence in situ hybridization (FISH) enables detection of overlapped dots in an image.
[0015] FIG. 1 illustrates a flowchart of a method of implementing FISH according to some embodiments. In the step 100 , dot candidate seeds are determined. Determining the dot candidate seeds includes applying a tophat transform to the image to extract small elements from the image; suppressing maxima; detecting regional maxima and connected component analysis is performed. In the step 102 , dot candidate patches are segmented. Segmenting dot candidate patches includes determining a local mean (m) and variance (v); implementing adaptive dilation with intensity values between [m−v, m+v]; applying a distance transform; defining an initial foreground and background and executing graph cuts. In the step 104 , dot candidate features are extracted. The features of dot candidates are extracted as shown below in Table 1. In the step 106 , dot candidates are classified. In the training stage, manually-labeled FISH images are utilized as ground truth for any classifier such as a support vector machine. In the testing stage, each segment is individually scored by classifiers into true positives and false positives accordingly. A two-stage segmentation framework, dot candidate seed determination and patch segmentation, is implemented, which finds local intensity peaks. By finding local intensity peaks, overlapped dots are able to be detected.
[0016] FIG. 2 illustrates a flowchart of a method of dot candidate seed determination according to some embodiments. In the step 200 , a tophat transform is applied to extract small elements from the image. In the step 202 , h-maxima suppression is applied to suppress all maxima in an intensity image whose height is less than h. In the step 204 , regional maxima are detected. In the step 206 , connected component analysis is performed which detects connected regions.
[0017] FIG. 3 illustrates a flowchart of a method of dot candidate patch segmentation according to some embodiments. In the step 300 , local mean (m) and variance (v) are determined. In the step 302 , adaptive dilation with intensity values between [m−v, m+v] is implemented. In the step 304 , a distance transform is applied. In the step 306 , an initial foreground and background is defined based on the distance transform information. In the step 308 , graph cuts are executed.
[0018] Table 1 shows dot candidate feature extraction. For each dot candidate (segment), a group of features is extracted including shape and intensity-based features.
[0000]
TABLE 1
Dot Candidate Feature Extraction
Feature
Description
1
Shape
area
2
eccentricity
3
Equivalent diameter
4
Major axis length
5
Minor axis length
6
Convex area
7
extent
8
Intensity-based
Standard deviation
9
entropy
10
Maximum intensity value
(R, G, B channel)
11
Minimum intensity value
(R, G, B channel)
12
Mean intensity value (R, G, B
channel)
[0019] FIG. 4 illustrates a block diagram of an exemplary computing device 400 configured to implement the fluorescent dot counting according to some embodiments. The computing device 400 is able to be used to acquire, store, compute, process, communicate and/or display information such as images. For example, a computing device 400 is able to be used to acquire and store an image. The fluorescent dot counting is typically used during or after acquiring images. In general, a hardware structure suitable for implementing the computing device 400 includes a network interface 402 , a memory 404 , a processor 406 , I/O device(s) 408 , a bus 410 and a storage device 412 . The choice of processor is not critical as long as a suitable processor with sufficient speed is chosen. The memory 404 is able to be any conventional computer memory known in the art. The storage device 412 is able to include a hard drive, CDROM, CDRW, DVD, DVDRW, Blu-Ray®, flash memory card or any other storage device. The computing device 400 is able to include one or more network interfaces 402 . An example of a network interface includes a network card connected to an Ethernet or other type of LAN. The I/O device(s) 408 are able to include one or more of the following: keyboard, mouse, monitor, display, printer, modem, touchscreen, button interface and other devices. In some embodiments, the hardware structure includes multiple processors and other hardware to perform parallel processing. Fluorescent dot counting application(s) 430 used to perform fluorescent dot counting are likely to be stored in the storage device 412 and memory 404 and processed as applications are typically processed. More or fewer components shown in FIG. 4 are able to be included in the computing device 400 . In some embodiments, fluorescent dot counting hardware 420 is included. Although the computing device 400 in FIG. 4 includes applications 430 and hardware 420 for implementing fluorescent dot counting, the fluorescent dot counting is able to be implemented on a computing device in hardware, firmware, software or any combination thereof. For example, in some embodiments, the fluorescent dot counting applications 430 are programmed in a memory and executed using a processor. In another example, in some embodiments, the fluorescent dot counting hardware 420 is programmed hardware logic including gates specifically designed to implement the method.
[0020] In some embodiments, the fluorescent dot counting application(s) 430 include several applications and/or modules. In some embodiments, modules include one or more sub-modules as well.
[0021] Examples of suitable computing devices include a microscope, a personal computer, a laptop computer, a computer workstation, a server, a mainframe computer, a handheld computer, a personal digital assistant, a cellular/mobile telephone, a smart appliance, a gaming console, a digital camera, a digital camcorder, a camera phone, an iPod®/iPhone/iPad, a video player, a DVD writer/player, a Blu-ray® writer/player, a television, a home entertainment system or any other suitable computing device.
[0022] FIG. 5 illustrates an exemplary slide for fluorescent dot counting according to some embodiments. As shown, there are several fluorescent dots within the slide. In particular, dot 500 and dot 502 are located very close to each other. In previous implementations, dots 500 and 502 would likely be counted as a single dot. Using the implementation described herein, dot 500 and dot 502 will be counted separately.
[0023] To utilize the fluorescent dot counting, a device such as a computer is able to be used to analyze an image. The fluorescent dot counting is automatically used for performing image/video processing, specifically to locate and count fluorescent dots. The fluorescent dot counting is able to be implemented automatically without user involvement.
[0024] In operation, the two-stage segmentation framework guarantees locating all potential dots including overlapped dots. This two-stage framework includes dot candidate seed determination and dot patch segmentation. Candidate seeds are those local intensity peaks which are the central part of dots, while dot patch segmentation is starting from these seeds, conditionally dilating from these seeds followed by graph cuts.
Some Embodiments of a Fluorescent Dot Counting in Digital Pathology Images
[0000]
1. A method of fluorescent dot counting in an image programmed in a memory of a device comprising:
a. determining dot candidate seeds; b. segmenting dot candidate patches; c. extracting dot candidate features; and d. classifying dot candidates.
2. The method of clause 1 wherein determining the dot candidate seeds comprises:
a. applying a tophat transform to the image; b. applying h-maxima suppression; c. detecting regional maxima; and d. performing connected component analysis.
3. The method of clause 1 wherein segmenting the dot candidate patches comprises:
a. determining local and mean variance; b. implementing adaptive dilation; c. applying a distance transform; d. defining an initial foreground and background; and e. executing graph cuts.
4. The method of clause 3 wherein implementing adaptive dilation is with intensity values between [mean−variance, mean+variance].
5. The method of clause 1 wherein the dot candidate features comprise shape and intensity-based features.
6. The method of clause 1 wherein classifying the dot candidates includes a training stage and a testing stage.
7. The method of clause 6 wherein the training stage includes manually-labeled fluorescence in situ hybridization images are utilized as ground truth for a classifier.
8. The method of clause 6 wherein the testing stage includes individually scoring each candidate by classifiers as true positives and false positives.
9. The method of clause 1 wherein the device comprises a microscope.
10. The method of clause 1 wherein the device comprises a personal computer, a laptop computer, a computer workstation, a server, a mainframe computer, a handheld computer, a personal digital assistant, a cellular/mobile telephone, a smart appliance, a gaming console, a digital camera, a digital camcorder, a camera phone, a tablet computer, a portable music device, a video player, a DVD writer/player, a high definition video writer/player, a television and a home entertainment system.
11. A method of fluorescent dot counting in an image programmed in a memory of a device comprising:
a. determining dot candidate seeds;
i. applying a tophat transform to the image; ii. applying h-maxima suppression; iii. detecting regional maxima; and iv. performing connected component analysis;
b. segmenting dot candidate patches;
i. determining local and mean variance; ii. implementing adaptive dilation; iii. applying a distance transform; iv. defining an initial foreground and background; and v. executing graph cuts;
c. extracting dot candidate features; and d. classifying dot candidates.
12. The method of clause 11 wherein implementing adaptive dilation is with intensity values between [mean−variance, mean+variance].
13. The method of clause 11 wherein the dot candidate features comprise shape and intensity-based features.
14. The method of clause 11 wherein classifying the dot candidates includes a training stage and a testing stage.
15. The method of clause 14 wherein the training stage includes manually-labeled fluorescence in situ hybridization images are utilized as ground truth for a classifier.
16. The method of clause 14 wherein the testing stage includes individually scoring each candidate by classifiers as true positives and false positives.
17. The method of clause 11 wherein the device comprises a microscope.
18. The method of clause 11 wherein the device comprises a personal computer, a laptop computer, a computer workstation, a server, a mainframe computer, a handheld computer, a personal digital assistant, a cellular/mobile telephone, a smart appliance, a gaming console, a digital camera, a digital camcorder, a camera phone, a tablet computer, a portable music device, a video player, a DVD writer/player, a high definition video writer/player, a television and a home entertainment system.
19. A device for fluorescent dot counting comprising:
a. a memory for storing an application, the application for:
i. determining dot candidate seeds; ii. segmenting dot candidate patches; iii. extracting dot candidate features; and iv. classifying dot candidates; and
b. a processing component coupled to the memory, the processing component configured for processing the application.
20. The device of clause 19 wherein determining the dot candidate seeds comprises:
a. applying a tophat transform to the image; b. applying h-maxima suppression; c. detecting regional maxima; and d. performing connected component analysis.
21. The device of clause 19 wherein segmenting the dot candidate patches comprises:
a. determining local and mean variance; b. implementing adaptive dilation; c. applying a distance transform; d. defining an initial foreground and background; and e. executing graph cuts.
22. The device of clause 21 wherein implementing adaptive dilation is with intensity values between [mean−variance, mean+variance].
23. The device of clause 19 wherein the dot candidate features comprise shape and intensity-based features.
24. The device of clause 19 wherein classifying the dot candidates includes a training stage and a testing stage.
25. The device of clause 24 wherein the training stage includes manually-labeled fluorescence in situ hybridization images are utilized as ground truth for a classifier.
26. The device of clause 24 wherein the testing stage includes individually scoring each candidate by classifiers as true positives and false positives.
[0092] The present invention has been described in terms of specific embodiments incorporating details to facilitate the understanding of principles of construction and operation of the invention. Such reference herein to specific embodiments and details thereof is not intended to limit the scope of the claims appended hereto. It will be readily apparent to one skilled in the art that other various modifications may be made in the embodiment chosen for illustration without departing from the spirit and scope of the invention as defined by the claims. | Fluorescence in situ hybridization (FISH) enables the detection of specific DNA sequences in cell chromosomes by the use of selective staining. Due to the high sensitivity, FISH allows the use of multiple colors to detect multiple targets simultaneously. The target signals are represented as colored dots, and enumeration of these signals is called dot counting. Using a two-stage segmentation framework guarantees locating all potential dots including overlapped dots. | 23,631 |
BACKGROUND OF THE INVENTION
This invention relates to steam turbines and, more particularly, to an end blade for optimizing performance of a final stage of turbine blading.
The traditional approach to meeting the needs of electric utilities over the years was to build larger units requiring increased exhaust annulus area with successive annulus area increases of about 25%. In this way, a new design with a single double flow exhaust configuration would be offered instead of an older design having the same total exhaust annulus area but with two double flow LP turbines. The newer design would have superior performance in comparison to the old design because of technological advances.
In recent years, the market has emphasized replacement blading on operating units to extend life, to obtain the benefits of improvied thermal performance (both output and heat rate), and to improve reliability and correction of equipment degradation. In addition, the present market requires upgraded versions of currently available turbine designs with improved reliability, lower heat rate and increased flexibility.
The latter stages of the steam turbine, because of their length, produced the largest proportion of the total turbine work and therefore have the greatest potential for improved heat rate. The last turbine stage operates at variable pressure ratio and consequently the stage design is extremely complex. All of the first turbine stage, if it is a partial-arc admission design, experiences a comparable variation in operating conditions. In addition to the last stage, the upstream low pressure (LP) turbine stages can also experience variations on operating conditions because of: (1) differences in rated load end loading; (2) differences in site design exhaust pressure and deviations from the design values; (3) hood performance differences on various turbine frames; (4) LP inlet steam conditions resulting from cycle steam conditions and cycle variations; (5) location of extraction points; (6) operating load profile (base load versus cycle); and (7) zoned or multi-pressure condenser applications versus unzoned or single pressure condenser applications. Since the last few stages in the turbine are tuned, tapered, twisted blades with more selected inlet angles, the seven factors identified above have greater influence in stage performance. Consequently, it is desirable to design last row blades for low pressure steam turbines in a manner to meet the requirements of the above listed seven factors.
SUMMARY OF THE INVENTION
It is an object of the present invention to provide an end blade for a low pressure steam turbine which optimizes efficiency of the end blading.
The present invention, in one form, comprises end blading for a low pressure steam turbine which has been extended in length as compared to prior blades used in the same design steam turbine. In addition, the end blading incorporates an extended flat area along a trailing edge to provide improved flow and reduced losses across the end blading. The end blading is tuned in three different modes, i.e., for vibration in a tangential direction, for vibration in an axial direction and for vibration in a torsional (twist) direction. The blade is tuned so that its natural frequency is distinct from harmonics of turbine running speed. The blade is tuned by shifting mass distribution within the blade to change its natural resonant frequency. In addition, the blade root is modified to give larger clearances under the platform to allow easier installation during retrofit application of the turbine blade.
BRIEF DESCRIPTION OF THE DRAWINGS
For a better understanding of the present invention, reference may be had to the following detailed description taken in conjunction with the accompanying drawings in which:
FIG. 1 is a view of the blade taken transverse to the normal plane of rotation and indicating a plurality of section lines used for establishing a blade profile;
FIG. 2 is a view of the blade of FIG. 1 rotated 90°;
FIG. 3 is a sectional view of the blade taken through the section lines B--B;
FIG. 4 is a sectional view of the blade of FIG. 1 taken through the section lines F--F; and
FIG. 5 is a computer generated graphical representation of a pair of turbine blades in accordance with the present invention indicating the extent of the flat trailing edge of the inventive blade.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENT
Referring now to FIG. 1, there is shown a view of the blade taken transverse to the normal plane of rotation of the blade. In this plane, the blade 10 is essentially a tapered blade having a pair of connecting points located at section F--F and section B--B for attaching the blade to adjacent blades. Preferably, the blades are grouped in groups of four and tuned in such groups to avoid resonance in the tangential, axial and torsional modes with multiple harmonics. The tuning is achieved by mass distribution within the blade to avoid resonance with multiple harmonics. The tuning also is designed to avoid excitation of frequencies at multiples of the turbine speed. The connecting points 12, 14 at B--B and F--F are referred to an inner and outer latching wires and are located at eleven inches and twenty inches above the blade base section. The blade includes a zero taper angle at the base to simplify the manufacturing process. The axial width of the blade base section is 4.25 inches while the axial width of the blade tip section is 1.22 inches. To improve aerodynamic performance during transonic operation, the blades are designed with straight back suction surface from the point of throat to the blade trailing edge. This section can be seen in the computer generated drawing of FIG. 5. The straight back section surface is shown from point A to point B on the blade. From point B to point C at the leading edge of the blade, the blade is essentially a continuous spline.
Referring to FIG. 2, it can be seen that the blade root includes a plurality of lugs 20 for supporting the blade in a groove formed in a rotor of a turbine. The radii of the lugs has been modified to provide additional clearance under the platform for ease of installation of the blade into the platform groove.
In the cross-sectional views shown in FIGS. 3 and 4, the two latching wire lugs are shown at 22 and 24. The latching wires are welded to adjacent latching wires of adjacent blades to join the blades into groups of four. Lugs 22 are located at section B--B and luges 24 are located at section F--F.
The blades are designed and tuned in groups to avoid natural frequencies which coincide with the rotational frequency of the rotor to which the blade is attached. In addition, the strength of the blade in various modes of vibration is verified mathematically and then the blade is mechanically excited at resonant condition and all untuned modes of vibration up to the twentieth harmonic of the turbine running speed.
A better understanding of the blade can be had by reference to Table I which shows the dimensions of the blade taken at the cross-section lines indicated in FIG. 1. Note that the Table also specifies the inlets and exit openings between adjacent blades. These blades are arranged, as described above, in groups of four with 120 blades forming a blade row in one embodiment. The pitch and inlet/exit angles precisely define the arrangement of blades.
While the present invention has been described in what is considered to be a preferred embodiment, it is intended that it not be limited by the disclosed implementation but be interpreted within the full spirit and scope of the appended claims.
TABLE I__________________________________________________________________________BB70 L-OR FINAL;SECTION K-K J-J H-H G-G F-F E-E D-D C-C B-B A-ARADIUS (IN) 21.0000 23.0010 26.0000 29.0000 32.0000 .06632 36.0000 38.0000 41.0000 44.5000__________________________________________________________________________1. WIDTH (IN) 4.25000 3.98599 3.59000 3.19487 2.80004 2.53499 2.27502 2.02001 1.63994 1.220002. CHORD (IN) 4.27696 4.06846 3.80152 3.57532 3.38230 3.27467 3.18522 3.11362 3.02030 2.986163. PITCH/WIDTH .25872 .30214 .37921 .47526 .59839 .70227 .82855 .98498 1.30905 1.909854. PITCH/CHORD .25709 .29602 .35811 .42470 .49538 .54364 .59178 .63902 .71078 .780275. STAGGER ANGLE 5.99407 11.14957 18.87216 26.44029 34.00799 39.25621 44.50158 49.74360 57.49909 66.50863(DEG)6. MAXIMUM .49309 .49336 .47970 .44171 .36554 .30734 .27120 34.75539 .23791 .19786THICKNESS(I7. MAXIMUM .11528 .12127 .12619 .12354 .10807 .09385 .08514 .08157 .07877 .06626THICKNESS/CH8. TURNING 99.00775 95.26683 91.87936 88.86644 83.76492 77.73416 63.48453 45.30250 22.42356 3.15092ANGLE(DEG)9. EXIT OPENING .59287 .65578 .74573 .82308 .88852 .91394 .92833 .92596 .87312 .75481(IN)10. EXIT OPENING 37.00990 37.01522 36.77622 36.01430 34.88362 33.54951 31.98439 30.03656 26.06724 20.73475ANGLE11. INLET METAL 44.17650 47.84891 51.44978 55.15249 61.38140 68.72656 84.54536 101.6240 131.52230 156.12210ANGLE(D12. INLET INCL. 11.40081 16.53943 22.84699 25.47453 25.91233 24.68350 22.48244 21.19228 17.00538 12.38879ANGLE(D13. EXIT METAL 36.81575 36.88426 36.67086 35.98107 34.85368 33.53928 31.97012 30.03510 26.05414 20.72697ANGLE(DE14. EXIT INCL. -.36321 -.26176 -.21057 -.06632 -.05841 -.0.02031 -.01361 -.00290 -.00751 -.01513ANGLE(DE15. SUCTION SURFACE .01252 .00007 .00007 .00006 .00072 .00007 .00746 .00002 .00920 .00020TURN16. AREA(IN**2) 1.59755 1.46661 1.24542 1.02627 .75902 .64368 .54398 .49238 .44678 .3869517. ALPHA (DEG) 2.32645 7.98010 17.19555 27.24394 36.35089 41.96792 47.07823 51.99890 58.93754 67.1677918. FX (IN**(-4)) .58790 .85758 1.89608 5.06472 14.65036 33.54171 73.28596 156.72040 410.31290 1125.0840019. FY (IN**(-4)) 6.73463 7.85927 10.37945 15.39305 25.44271 40.92631 63.75584 96.90266 152.39400 202.7864020. FXY (IN**(-4)) .25013 1.00122 2.90337 7.23665 17.32703 34.75539 65.56981 119.97750 245.89130 471.9702021. I TOR (IN**(-4)) .08412 .07587 .05812 .03850 .01983 .01159 .00672 .00606 .00460 .0028822. I MIN (IN**(-4)) .14826 .12501 .08867 .05230 .02618 .01385 .00745 .00399 .00179 .0007623. I MAX (IN**(-4)) 1.73090 1.39427 1.00242 .74707 .52668 .43801 .35995 .31623 .27049 .2453424. X BAR -.00058 -.00652 .01980 .00451 .01969 -.01022 -.02008 - .01986 .01471 .0186525. Y BAR .00026 -.00594 .01890 .00473 .01977 -.02021 -.02215 -.02510 -.02048 .0191526. ZMINLE (IN**3) -.18206 -.16007 -.12497 -.08167 -.04801 -.03031 -.02025 -.01422 -.01034 -.0094027. ZMAXLE (IN**3) .81489 .73306 .67205 .56553 .44324 .36516 .30290 .26391 .22716 .2027128. ZMINTE (IN**3) -.14026 -.12898 -.10948 -.08934 -.06412 -.04616 -.03321 -.02463 -0.1722 -.0142329. ZMAXTE (IN**3) -.77418 -.62188 -.44142 -.33700 -.24438 -.21485 -.18402 -.16882 -.15179 -.1416530. CMINLE (IN**3) -.81435 -.78097 -.70950 -.64040 -.54539 -.47505 -.36699 -.28084 -.17292 -.0803931. CAMXLE (IN**3) 2.12406 1.90199 1.49159 1.32100 1.8827 1.19950 1.18834 1.19822 1.19072 1.2103132. CMINTE (IN**3) -1.05706 -.96921 -.80994 -.58547 -.40831 -.30012 -.22427 -.16208 -.10386 -.0530933. CMAXTE (IN**3) -2.23578 -2.24203 -2.27090 -2.21684 -2.15518 -2.03868 -1.95604 -1.87313 -1.78200 -1.73196__________________________________________________________________________ | Replacement low pressure end blading for a utility power steam turbine having an extended length compared to original equipment end blading providing higher efficiency. The blading incorporates extended flat areas on the blade trailing edge for improved flow characteristics and reduced losses. Mass distribution is used to tune the blade to avoid natural harmonic frequencies coincidental with turbine rotational frequencies or harmonics thereof. Blade root modifications are included to facilitate installation. | 21,397 |
CROSS-REFERENCE TO RELATED APPLICATIONS
This patent application is a division of U.S. patent application Ser. No. 10/670,345 entitled Locking Device for Tape Cassette Housing of Tape Recorder and filed on Sep. 26, 2003 now U.S Pat. No. 7,199,968, which claims the benefit under 35 U.S.C. § 119(a) to an application entitled “Locking Device for Tape Cassette Housing of Tape Recorder” filed in the Korean Intellectual Property Office on Oct. 8, 2002, and assigned Serial No. 2002-61325, the entire contents of both applications are hereby incorporated by reference.
BACKGROUND OF THE INVENTION
1. Field of the Invention
The present invention relates to a tape recorder, and more particularly, to a locking device for locking a tape cassette housing, which comes into resilient and close contact with a deck chassis as a tape cassette is loaded into the deck chassis.
2. Description of the Prior Art
Generally, a tape recorder having a deck mechanism is an apparatus that records/reproduces audio and/or video information on/from a magnetic tape. Regarding this type of the tape recorder, common examples include a video tape recorder (VTR), a digital audio tape recorder (DAT), and a camcorder.
FIG. 1 shows a moving deck 100 of a camcorder. The camcorder is taken as one example of the tape recorder. As shown in FIG. 1 , the moving deck 100 includes a deck chassis 110 , a tape cassette housing 120 , and a locking device 190 for locking the tape cassette housing 120 onto the deck chassis 110 . In the case of the moving deck 100 which is usually employed for the camcorder, the deck chassis 110 includes a main-chassis 111 and a sub-chassis 112 that reciprocally slides on the main-chassis 111 as a magnetic tape is loaded/unloaded.
The tape cassette housing 120 is for loading a tape cassette removably. First and second link members 160 and 170 hinged to both sides of the tape cassette housing 120 are slidably connected to the sub chassis 112 , thereby allowing the tape cassette housing 120 to ascend and descend from and to the sub-chassis 112 .
The locking device 190 includes a locking protrusion 195 , a locking recess 197 corresponding to the locking protrusion 195 , and a locking lever 191 hinged to a side of the tape cassette housing 120 . The locking lever 191 is connected to the first link member 160 by a resilient member 180 . The locking protrusion 195 is generally shaped as a cylinder protruding from a side of the locking lever 191 . This locking protrusion 195 is formed by drawing the side of the locking lever 191 or by providing a separate rotatable roller member (not shown) on the side surface of the locking lever 191 . The locking recess 197 is integrally formed with the sub-chassis 112 by cutting a part of a side of the sub chassis 112 .
Hereinafter, the descriptions will be made about loading and unloading operations of the tape cassette of the tape recorder as constructed above.
A loading operation of the tape cassette is performed as follows: the tape cassette housing 120 housing the tape cassette therein is pressed toward the sub-chassis 112 and thus the locking protrusion 195 of the locking lever 191 is inserted into the locking recess 197 as shown in FIG. 2 . An unloading operation of the tape cassette is performed as follows: an unlocking lever 117 , pivotably disposed at the sub-chassis 112 , presses an unlocking protrusion 193 formed at an end of the locking lever 191 in a direction so that the locking protrusion 195 is leased from the locking recess 197 . Simultaneously, the first and the second link members 160 and 170 pivot due to a recovery force of the resilient member 180 , and accordingly, the tape cassette housing 120 ascends in a direction in which the tape cassette housing 120 is separated from the sub-chassis.
However, it is often the case with conventional tape recorders that the ascending/descending movement of the tape cassette housing is stopped with the locking protrusion 195 being blocked by an edge 197 a of the locking recess 197 as the tape cassette is loaded/unloaded, as shown in FIG. 3 . This stoppage occurs since the locking protrusion 195 and the edge 197 a of the locking recess 197 come into contact with each other at a contact point where stress forces of the locking protrusion 195 and the edge 197 a are exerted over each other in equilibrium. Stoppage occurs more frequently as the contact time of the locking protrusion 195 and the edge 197 a increases. Accordingly, there has been a demand for reducing the contact time between the locking protrusion 195 and the edge 197 a on the loading/unloading operations of the tape cassette.
SUMMARY OF THE INVENTION
The present invention has been developed in order to solve the above problems in the prior art. Accordingly, an aspect of the present invention is to provide a locking device for a tape cassette housing of a tape recorder having an improved structure capable of preventing stopping of ascending and descending movements of the tape cassette housing during loading/unloading operation of the tape cassette.
A further aspect of the present invention is to provide a moving deck of a tape recorder which comprises a deck chassis, the deck chassis comprising a main chassis and a sub-chassis. The moving deck further comprises a tape cassette housing and a locking device for the tape cassette housing of the tape recorder, wherein the locking device comprises a locking lever, the locking lever comprising a guide surface, and is adapted to pivot within a range determined by a regulating protrusion and a second hinge, and hinged to a side of the tape cassette housing by a first hinge, and connected to a first link member by a resilient member, the resilient member adapted to allow the tape cassette housing to resiliently ascend and descend to and from a sub-chassis. Further, the locking device comprises a locking recess formed within the locking lever and a locking protrusion, integrally formed on a sub-chassis, adapted to be inserted into the locking recess so as to lock the tape cassette housing onto a sub-chassis in a close contacting manner.
BRIEF DESCRIPTION OF THE DRAWINGS
The above aspects and features of the present invention become more apparent by describing certain embodiments of the present invention with reference to the accompanying drawings, in which:
FIG. 1 is an exploded perspective view schematically showing a moving deck of a conventional camcorder;
FIG. 2 is a side section view showing the tape cassette housing of FIG. 1 being locked onto the deck chassis;
FIG. 3 is a side section view showing the tape cassette housing of FIG. 1 seated on the deck chassis;
FIG. 4 is a side section view magnifying part of A of FIG. 3 ;
FIG. 5 is an exploded perspective view schematically showing a moving deck according to a first embodiment of the present invention;
FIG. 6 is a side section view showing the tape cassette housing of FIG. 5 seated on the deck chassis;
FIG. 7 is a perspective view magnifying part of B of FIG. 6 ;
FIG. 8 is an exploded perspective view schematically showing a moving deck according to a second embodiment of the present invention;
FIG. 9 is a side section view showing the tape cassette housing of FIG. 8 seated on the deck chassis; and
FIG. 10 is a perspective view magnifying part of C of FIG. 9 .
DETAILED DESCRIPTION OF EXEMPLARY EMBODIMENTS
Hereinbelow, various embodiments of the present invention will be described in greater detail with reference to the accompanying drawings. Meanwhile, with respect to elements identical to those of the conventional tape recorder shown in and described through FIGS. 1 through 4 , like reference numerals are assigned, and the detail descriptions thereof will be omitted.
Referring to FIG. 5 , a moving deck 100 of a tape recorder according to an embodiment of the present invention is shown and includes a deck chassis 110 , a tape cassette housing 120 , and a locking device 200 for the tape cassette housing.
The deck chassis 110 includes a main-chassis 111 and a sub-chassis 112 . On the main-chassis 111 are provided a loading motor 130 and a capstan-driving unit 140 , and on the sub-chassis 112 is provided a pair of reel tables 150 .
The tape cassette housing 120 removably houses a tape cassette (not shown). First and second link members 160 and 170 , pivotably disposed at both sides of the tape cassette housing 120 , are slidably mounted on the sub-chassis 112 , so that the tape cassette housing 120 can ascend from, and descend to, the sub-chassis 112 . Each of the first link members 160 is hinged to the tape cassette housing 120 using a first hinge 163 . Respective upper ends of the first link members 160 are connected to each other via a connecting member 165 . Each of the first link members 160 is provided with a first guide rail 161 , disposed at a lower end thereof. The first guide rail 161 is slidably connected to a first guide protrusion 115 of the sub-chassis 112 . The second link members 170 are hinged to the first link members 160 using second hinges 173 . Each of the second link members 170 has a mounting protrusion 125 formed at a lower end thereof to be inserted into a mounting opening 113 of the sub-chassis 112 . Upper ends of the second link members 170 are provided with second guide rails 171 into which second guide protrusions 121 protruding from both sides of the tape cassette housing 120 are inserted. In one embodiment, it is preferred that the second hinges 173 protrude from the second link member 170 to a predetermined height, though other configurations can be implemented, and the description thereof will be made below.
The locking device 200 includes a locking protrusion 220 , a locking lever 210 , and a locking recess 230 . The locking protrusion 220 is integrally formed with the sub-chassis 112 and has at least one edge 220 a . The formation of the edge 220 a is achieved by forming the locking protrusion 220 with a non-circular traverse section. In this embodiment, the locking protrusion 220 is formed by cutting and bending at or about 90° a part of the sub-chassis 112 toward the inside of the sub chassis 112 . Accordingly, the edges 220 a are formed at both sides of the locking protrusion 220 . As described above, when forming the locking protrusion 220 integrally with the sub-chassis 112 , the relatively complicated drawing process for the conventional locking lever 191 (described in reference to FIG. 1 ), or installation of a separate roller member (not shown) is not required. In one embodiment of the invention, the locking protrusion 220 is formed in a shape so that a corner 230 A of the locking recess 230 comes into contact with the edge 220 a right before the locking protrusion 220 is inserted to the locking recess 230 in the loading operation of the tape cassette. Other shapes of locking protrusion 220 can be used in accordance with other embodiments of the invention.
The locking lever 210 is hinged to a side of the tape cassette housing 120 using a third hinge 212 . The upper end of the locking lever 210 is connected to one of the first link members 160 by a resilient member 180 . Due to the resilient member 180 , the tape cassette housing 120 is capable of resiliently ascending and descending for the close contacting with, and separation from, the sub-chassis 112 . One side of the locking lever 210 is provided with the locking recess 230 into which the locking protrusion 220 is inserted so as to lock the tape cassette housing 120 onto the sub-chassis 112 in a close contacting manner. The corner 230 a of the locking recess 230 is connected to a guide surface 217 extending from the lower end of the locking lever 210 . The locking lever 210 pivots within a range that is determined by a regulating protrusion 127 , protruding from a side of the tape cassette housing 120 , and a second hinge 173 , protruding from the second link member 170 to a predetermined height. Accordingly, excessive pivoting movement of the locking lever 210 due to the recovery force of the resilient lever 210 can be prevented. Meanwhile, an unlocking protrusion 213 protrudes from a lower end of the locking lever 210 . The unlocking protrusion 213 comes into contact with an end of the unlocking lever 117 , pivotably disposed on the sub-chassis 112 , when the tape cassette housing 120 is locked. Operation of the unlocking protrusion 213 will be described below.
Hereinafter, loading/unloading operations of the tape cassette housing as constructed above according to various embodiments of the present invention will be described with reference to the accompanying drawings.
A loading operation of the tape cassette is performed by pressing an upper surface of the tape cassette housing 120 toward the deck chassis 110 . Accordingly, the second link members 170 pivot along the second guide protrusions 121 in a direction in which the lower end of the first link members 160 ascends. Since the first guide protrusions 115 of the sub-chassis 112 are slidably connected to the first guide rails 161 of the lower ends of the first link member 160 , the interactive movement of the first and the second link members 160 and 170 allows the tape cassette housing 120 to closely contact the sub-chassis 112 .
When the tape cassette housing 120 descends in close contact with the sub-chassis 112 as described above, the guide surface 217 of the locking lever 210 comes into contact with the edge 220 a formed at a side of the locking protrusion 220 and having an angled end as shown in FIG. 6 . In this state, the descending movement of the tape cassette housing 120 continues so that the edge 220 a of the locking protrusion 220 is guided toward the locking recess 230 and comes into contact with the corner 230 a of the locking recess 230 (i.e. a boundary between the guide surface 217 and the locking recess 230 ). Since the guide surface 217 is inclined, the locking lever 210 pivots on the third hinge 212 in a direction of the arrow of FIG. 6 , so that there occurs a recovery force in the resilient member 180 . Accordingly, when the tape cassette housing 120 completely contacts the sub-chassis 112 , the locking lever 210 pivots in an opposite direction to the arrow direction of FIG. 6 , due to the recovery force of the resilient member 180 so that the locking protrusion 220 is inserted into the locking recess 230 . At this point, the edge 220 a and the corner 230 a come into linear contact with each other as shown in FIG. 7 . The linear contact reduces both contacting space and time. Accordingly, a “dead” point at which the conventional tape cassette housing 120 stops its movement can be prevented.
Meanwhile, when the user selects the ejection of the tape cassette, an unlocking switch 135 is operated so that a rod 135 a disposed in a side of the unlocking switch 135 protrudes by more than a predetermined distance. Due to the operation of the unlocking switch 135 , the unlocking lever 117 pivotably disposed at the sub-chassis 112 pivots to press the unlocking protrusion 213 protruding from the end of the locking lever 210 in a direction in which the locking protrusion 220 is released from the locking recess 230 . The unlocking protrusion 213 is pressed by the unlocking lever 117 to thus pivot the locking lever 210 in the direction of the arrow of FIG. 6 and accordingly, the locking protrusion 220 is released from the locking process 230 . After that, due to the recovery force of the resilient member 180 , the tape cassette housing 120 automatically ascends. Simultaneously, the locking lever 210 pivots until its pivotal movement is limited by the regulating protrusion 127 , so that the unloading operation of the tape cassette is completed.
The locking device 200 of the tape cassette housing 120 as constructed and operated above is limited to the embodiment described above. If the edge 220 a of the locking protrusion 220 contacts with the corner 230 a of the locking recess 230 in the loading/unloading operations of the tape cassette, the locking recess 230 , the locking protrusion 220 , and the locking lever 210 can be varied in their installation positions and shapes.
FIGS. 8 to 10 are views showing a deck 100 for a tape recorder having a tape cassette housing locking device 200 ′ according to another embodiment of the present invention. The tape cassette housing locking device 200 ′ in this embodiment has the substantially same construction as that of the above-described embodiment, except that a locking protrusion 220 ′ is modified in shape and there is no need for the installation of the unlocking lever 117 (described in reference to FIG. 5 ), because an unlocking protrusion 213 ′ comes into contact directly with the unlocking switch 135 as the tape cassette housing 120 is locked.
The locking protrusion 220 ′ differs from the locking protrusion 220 of the above-described embodiment in that a side end of the locking protrusion 220 ′ is bent inward at or about 90° toward the deck 100 to be inserted into a locking recess 230 ′.
As described above, modifying the bending portion and bending direction of the locking protrusion 220 ′, prevents errors in combining the locking protrusion 220 ′ and the locking recess 230 ′. These errors are caused by the deformation of the upper portion of the locking protrusion 210 that occurs by the frequent contact of the locking recess 230 and the locking protrusion 210 .
The elements and operations of the deck 100 are identical to that of the above-described embodiment, and descriptions thereof will be omitted.
Also, although the descriptions of the various embodiments of the invention have been limited to the camcorder employing the moving deck 100 , the various embodiments of the present invention can be applied to any type tape recorder. This includes, for example, a video tape recorder (VTR), if it employs the tape cassette housing 120 resiliently contacting to, and separating from, the deck chassis 110 . even in the absence of the moving deck 100 .
According to the various embodiments of the present invention as described above, the stopping of the ascending and descending movements of the tape cassette housing 120 due to the interference between the locking recess 230 and the locking protrusion 220 is prevented during loading/unloading operations of the tape cassette.
The foregoing embodiments and advantages are merely exemplary and are not to be construed as limiting the present invention. The present teaching can be readily applied to other types of apparatuses. The description of the various embodiments of the present invention is intended to be illustrative, and not meant to limit the scope of the claims. Many alternatives, modifications, and variations will be apparent to those skilled in the art. In the claims, means-plus-function clauses are intended to cover the structures described herein as performing the recited function and not only structural equivalents but also equivalent structures. | A locking device for a tape cassette housing of a tape recorder comprises a locking recess and a locking protrusion respectively provided in sides of a tape cassette housing and a deck chassis and corresponding to each other, thereby fastening a tape cassette housing to the deck chassis, the tape cassette housing resiliently coming into contact with the deck chassis as a tape cassette is loaded. In here, around external circumference of the locking protrusion is formed at least one edge, and an end of the edge comes into contact with a corner of the locking recess right before the locking protrusion is inserted into the locking recess. Accordingly, the locking protrusion comes into linear contact with the corner of the locking recess in loading/unloading operations of the tape cassette so that the stopping of the ascending and descending movements of the tape cassette housing is prevented during the loading/unloading operations of the tape cassette. | 19,737 |
RELATED APPLICATIONS
This application is a continuation of U.S. application Ser. No. 09/330,398, filed Jun. 11, 1999, issued on Jun. 7, 2005 as U.S. Pat. No. 6,904,053, entitled “Fibre Channel Switching Fabric”, which is a divisional of U.S. application Ser. No. 08/801,471, filed Feb. 18, 1997, now issued as U.S. Pat. No. 6,185,203, entitled “Fibre Channel Switching Fabric”, and are incorporated herein by reference as if fully set forth herein.
FIELD OF THE INVENTION
The present invention relates to input/output channel and networking systems, and more particularly to a digital switch which switches Fibre Channel frames at link speeds of up to at least one gigabit per second (i.e., one billion bits per second).
BACKGROUND OF THE INVENTION
There is a never ending demand for increased computer system performance. A common limiting factor in computer system performance is the path from the main central processing unit (CPU) to storage, or the I/O path. The CPU usually requires data from attached storage many times faster than the I/O path. Fibre Channel is a standard which addresses this I/O bandwidth limitation.
Fibre Channel is an American National Standards Institute (ANSI) set of standards which describes a high performance serial transmission protocol which supports higher level storage and networking protocols such as HIPPI, IPI, SCSI, IP, ATM, FDDI and others. Fibre Channel was created to merge the advantages of channel technology with network technology to create a new I/O interface which meets the requirements of both channel and network users. Channel technology is usually implemented by I/O systems in a closed, structured and predictable environment where network technology usually refers to an open, unstructured and unpredictable environment.
Advantages of Fibre Channel include the following. First, it achieves high performance, which is a critical in opening the bandwidth limitations of current computer to storage and computer to computer interfaces at speeds up to 1 gigabit per second or faster. Second, utilizing fiber optic technology, Fibre Channel can overcome traditional I/O channel distance limitations and interconnect devices over distances of 6 miles at gigabit speeds. Third, it is high level protocol independent, enabling Fibre Channel to transport a wide variety of protocols over the same media. Fourth, Fibre Channel uses fiber optic technology which has very low noise properties. Finally, cabling is simple in that Fibre Channel typically replaces bulky copper cables with small lightweight fiber optic cables.
Fibre Channel supports three different topologies, point-to-point, arbitrated loop and fabric attached. The point-to-point topology attaches two devices directly. The arbitrated loop topology attaches devices in a loop. The fabric attached topology attaches a device directly to a fabric.
A Fibre Channel fabric is an entity which switches frames between connected devices. Fabric is a word which is synonymous with switch or router. The fabric must route the frame to the appropriate destination port or return a busy if the port is not available.
Because of the high link speeds, Fibre Channel fabrics face unique problems that are not present in current network switch design. Current network switches which support Ethernet, Fast Ethernet or Asynchronous Transfer Mode (ATM) protocols route incoming data at speeds up to ten to one hundred times slower than Fibre Channel fabrics. Current network switches also perform some incoming frame validation and network statistics collection. All these network switch features are more difficult to implement when the incoming frame rate is high, as in the case of Fibre Channel.
Route determination in network switches is usually performed by microprocessors. The requirement to route frames which are entering the fabric at speeds of up to one gigabit per second requires the fabric to route the frame in very little time. Routing depends not only on the incoming frame address but a host of other parameters and current state conditions as well. There are no currently available microprocessors which can in real time route sixteen lines of incoming frames with a link speed of 1 gigabit per second.
Frame validation creates another set of problems. In Fibre Channel fabrics frame validation must be performed at rates up to one hundred times faster than in Ethernet switches.
Statistics collection is also another function which must be performed in real time. Statistics collected are defined by the Fibre Channel fabric Management Information Base (MIB) and include the number of frames transmitted and received, the number of fabric rejects and fabric busies transmitted and received, etc. Gathering statistics for sixteen one gigabit per second ports creates new challenges.
Current fabric realizations use either fast microprocessors or digital signal processors to perform the route determination functions. Typically, processors are single instruction devices which serially decode the instructions and perform the specified function. Digital signal processors contain parallel functions and can perform several functions at one time. Still the problem exists to determine the route for many simultaneous incoming frames at one gigabit per second. Current fabric implementations perform routing on the order of tens of microseconds to hundreds of milliseconds. Ideally, routing should be accomplished in less than one microsecond.
Another problem with fabric realization is the support of the Arbitrated Loop topology. This topology has unique characteristics and requirements. Current fabric implementations do not support this topology.
Efficient support of both connection based classes of service (i.e., Class 1) and connectionless classes of service (i.e., Class 2 and 3) is also a challenge. A fabric must implement a different type of switch core to implement each class of service. Coordination between the different switch cores can be a burdensome task. Current fabric implementations support either a connection based or a connectionless switch core. This leads to inefficiencies, e.g., a connectionless switch core cannot switch Class 1 traffic if routes are not determined in frame time (i.e., less than one microsecond) and a connection switch core is very inefficient when routing Class 2 and Class 3 traffic.
Another problem with fabric realization is the interconnection or networking of fabrics. This is a problem due to the high speeds involved. Determining a network route is sometimes even more difficult than determining a local route. Destination addresses must be matched based not only on all bits matching but also matching a portion of the address. Route priorities should also be implemented to allow backup routes to a destination.
SUMMARY OF THE INVENTION
The present invention described and disclosed herein comprises a method and apparatus for transporting Fibre Channel frames between attached devices. The apparatus comprises logic which supports but is not limited to the following features: Transport of Class 1, Class 2 and Class 3 frames, Support for the Arbitrated Loop topology on each link, Support for Fabric point-to-point topology on each link, Route determination in frame arrival time, and Interconnection or Networking of Fabrics.
In one aspect of the invention, the apparatus comprises separate port control modules, one for each attached device, a central router module, a switch core module, a fabric control module and a brouter (bridge/router) module. In the preferred embodiment, the port control modules are connected to the router modules by separate route request connections and separate route response connections. Through this structure, route requests may be provided from the port control module to the router while simultaneously the router provides route request responses to the same port control module. Preferably, a common route request channel is utilized. Thus, apparatus is provided to return a route response to a previously requesting port while other ports are arbitrating and sending route requests to the centralized router. More generally, this apparatus provides for reading resource requests from multiple requesters while at the same time returning resource grant responses to previous requesters.
The router of the subject invention includes many advantageous aspects. In the preferred embodiment, the router includes multiple state machines arranged in series for pipeline operation. Specifically, in the preferred embodiment of the router, a hardware finite state machine operates on the route request and a hardware finite state machine provides the route response. Thus, in this embodiment, the router includes an input for receiving the output of the route request generator of the port control module, an output for sending a route request response to the route request response receiver in the port control module, a hardware finite state machine to receive the route request, and a hardware finite state machine to provide the route response, in combination with a route determination system. Through implementation in hardware, route responses may be made in less than two microseconds, which permits essentially real-time routing at gigahertz frequencies.
In yet another aspect of the router, it routes Fibre Channel frames to a destination port on the Fabric based on a selected portion of the incoming frame's destination address. In the preferred embodiment, Fibre Channel FCPH protocol rules are applied to an incoming frame to determine whether to route the frame or return a fabric reject or busy frames or to discard the frame. Validation of the routing of a Fibre Channel frame is based on the rules defined in the ANSI FCPH standards. In the preferred embodiment, route requests are serviced in a round robin manner from multiple ports.
In another embodiment an apparatus and method is provided to store blocked route requests until either the blocking condition resolves itself or a specified time period expires. Thus, a method for servicing route request from multiple attached devices where the routing is subject to blocked and unblocked conditions may be effective, where the method comprises the steps of servicing a route request which is not blocked, but saving a blocked route request in hardware, preferably in registers, and then servicing that request if the route changes from a blocked to an unblocked condition, in the preferred embodiment, prior to the expiration of a specified time period. In a more general sense, the invention manages the blocking and unblocking of multiple resource requests to a central resource.
In another embodiment an apparatus is provided to handle the scenario when a port input fifo is going to overflow with an incoming Fibre Channel frame. Generally, the incoming data stream is typically provided to an encoder/decoder, from which it is supplied to a buffer. In the event of a data overrun condition to the buffer, overrun prevention logic causes the setting of tag bits to a condition which may be recognized downstream as indicative of a buffer overflow condition.
In another embodiment an apparatus is provided to interleave accesses by the processor on the outgoing port bus in between outgoing frames or when the output fifo is full.
In another embodiment an apparatus is provided to pack requests in a register array in order of first arrival but allow the removal of the requests from anywhere in the array.
OBJECTS OF THE INVENTION
It is an object of this invention to provide a fibre channel fabric capable of operating at at least 1 gigabit speeds.
It is yet a further object of this invention to permit the establishment of a path through a fabric in real time at gigabit speeds.
It is yet a further object of this invention to provide 1 microsecond or less response time to fibre channel frames.
It is another object of this invention to determine in real time at gigabit speeds that no through path can be established through the fabric.
It is yet another object of this invention to provide a fibre channel fabric capable of simultaneously supporting Class 1, Class 2 and Class 3 service.
It is an object of this invention to provide a fibre channel switching fabric which supports arbitrated loop topology.
It is yet another object of this invention to provide systems and methods adapted for interconnection of multiple fabrics.
It is yet another object of this invention to provide a system which supports Fabric point-to-point topology on each link.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a diagram illustrating the use of a Fibre Channel Fabric.
FIG. 2 is a block diagram of a Fibre Channel Fabric.
FIG. 3 is a block diagram of the Fabric Control module.
FIG. 4 is a block diagram of the fabric Router.
FIG. 5 is a block diagram of the fabric Port Control.
FIG. 6 is a block diagram of the fabric Switch core
FIG. 7 is a block diagram of the Brouter Module.
FIG. 8 is a diagram of the Port Control FIFO Overrun Prevention Logic.
FIG. 9 is a diagram of the Port Control Process to Endec Arbitration Logic.
FIG. 10 is a more detailed description of the Port Control module.
FIG. 11 is a diagram of the main Port Control FSM.
FIG. 12 is a diagram of the Port Control PCFIFO module interface signals.
FIG. 13 is a diagram of the Router address matching module.
FIG. 14 is a diagram of the Router Route Request Unblock Determination module.
FIG. 15 is a detailed diagram of the Route Request Unblock Determination module circuit.
FIG. 16 is another detailed diagram of the Route Request Unblock Determination module circuit.
FIG. 17 is a diagram of the Blocked Route Request Table.
FIG. 18 is a diagram of the Router Control State Machine.
FIG. 19 is a diagram of the Blocked Route Request Port Register Array.
FIG. 20 is a diagram of both the Route State Table and the Route Determination modules.
FIG. 21 is a more detailed diagram of the Route Determination module.
FIG. 22 is a another more detailed diagram of the Route Determination module.
FIG. 23 is a still another more detailed diagram of the Route Determination module.
FIG. 24 is a diagram of the Port Control Route Request Interface module.
FIG. 25 is a diagram of the Port Control Route Response Interface module.
FIG. 26 is a diagram of the Router to Port Control Route Request State Machine.
FIG. 27 is a diagram of the Router to Port Control Route Response State Machine.
FIG. 28 is a diagram of the Port Control to Router Interface State Machine.
FIG. 29 is a diagram of the Hub Port Control module.
FIG. 30 is a diagram of the format of the Blocked Route Request Table entry.
FIG. 31 is a diagram of the format of the Route Request.
FIG. 32 is a diagram of the format of the Router to Port Control Response.
FIG. 33 is a diagram of the format of the Address Table entry.
FIG. 34 is a diagram of the format of the Route State Table entry.
DETAILED DESCRIPTION OF THE INVENTION
Table of Contents
A. Definitions B. Fibre Channel Fabric Model C. Fabric Control Module D. Fabric Router
1. Port Control Route Request Interface Module
2. Port Control Route Response Interface Module
3. Address Table
4. Address Match Module
5. Blocked Route Request Table
6. Blocked Route Request Port Register Array
7. Blocked Route Request Timer
8. Route Request Unblock Determination Module
9. Route Request Selector
10. Route Determination Module
11. Route State Table
12. Router Statistics Gathering Module
13. Router Control FSM
E. Port Control
1. Port Control Module
2. FIFO Overrun Prevention Logic
3. Processor/Data Arbitration Logic
4. Port Control Hub Module
F. Switch Core G. Router Module H. Other Documents
A. Definitions
For expository convenience, the present invention is referred to as the Fibre Channel Fabric or Fabric, the lexicon being devoid of a succinct descriptive name for a system of the type hereinafter described.
The “Fibre Channel ANSI standard” describes the physical interface, transmission protocol and signaling protocol of a high-performance serial link for support of the higher level protocols associated with HIPPI, IPI, SCSI, IP, ATM and others.
The “Fibre Channel Fabric” comprises hardware and software that switches Fibre Channel frames between attached devices at speeds up to one gigabit per second.
The following discussions will be made clearer by a brief review of the relevant terminology as it is typically (but not exclusively) used.
“Fibre Channel” is an American National Standard for Information Systems (ANSI) standard which defines a high performance serial link for support of the higher level protocols associated with HIPPI, IPI, SCSI, IP, ATM, FDDI and others.
“FC-1” defines the Fibre Channel transmission protocol which includes the serial encoding, decoding, and error control.
“FC-2” defines the signaling protocol which includes the frame structure and byte sequences.
“FC-3” defines a set of services which are common across multiple ports of a node.
“FC-4” is the highest level in the Fibre Channel standards set. It defines the mapping between the lower levels of the Fibre Channel and the IPI and SCSI command sets, the HIPPI data framing, IP, and other Upper Level Protocols (ULPs).
“Fibre” is a general term used to cover all transmission media specified in the ANSI X3.230 “Fibre Channel Physical and Signaling Interface (FC-PH)” standard.
A “fabric” is an entity which interconnects various N_Ports attached to it and is capable of routing frames by using only the D_ID information in the FC-2 frame header. The word Fabric can be seen as a synonym with the word switch or router.
“Fabric topology” is a topology that uses the Destination Identifier (D_ID) embedded in the Frame Header to route the frame through a Fabric to the desired destination N_Port.
“Point-to-point topology” allows communication between N_Ports without the use of a Fabric.
A “circuit” is a bidirectional path that allows communication between two L_Ports.
“Arbitrated Loop topology” permits three or more L_Ports to using arbitration to establish a point-to-point circuit. When two L_Ports are communicating, the arbitrated loop topology supports simultaneous, symmetrical bidirectional flow.
“Link Control Facility” is a facility which attaches to an end of a link and manages transmission and reception of data. It is contained within each Port type.
“Port” is a generic reference to an N_Port or F_Port.
An “N_Port” is a hardware entity which includes a Link Control Facility. An “NL_Port” is an N_Port that contains Arbitrated Loop functions associated with Arbitrated Loop topology.
An “F_Port” is a generic reference to an F_Port or FL_Port.
An “FL_Port” is an F_Port that contains Arbitrated Loop functions associated with Arbitrated Loop topology.
An “L_Port” is an N_Port or F_Port that contains Arbitrated Loop functions associated with Arbitrated Loop topology.
A “Node” is a collection of one or more N_Ports controlled by a level above FC-2.
A “dedicated connection” is a communicating circuit guaranteed and retained by the Fabric for two given N_Ports.
A “connection” is the process of creating a Dedicated Connection between two N_Ports.
A “disconnection” is the process of removing a Dedicated Connection between two N_Ports.
A “frame” is an indivisible unit of information used by FC-2.
“Frame content” is the information contained in a frame between its Start-of-Frame and End-of-Frame delimiters, excluding the delimiters.
A “data frame” is a frame containing information meant for FC-4/ULP or the Link application.
“Payload” is the contents of the Data Field of a frame, excluding Optional Headers and fill bytes, if present.
“Source Identifier” or S_ID is the address identifier used to indicate the source Port of the transmitted frame.
“Destination Identifier” or D_ID is the address identifier used to indicate the targeted destination of the transmitted frame.
“Valid frame” is a frame received with a valid Start of Frame (SOF), a valid End of Frame (EOF), valid Data Characters, and proper Cyclic Redundancy Check (CRC) of the Frame Header and Data Field.
“Classes of Service” are different types of services provided by the Fabric and used by the communicating N_Ports.
“Class 1” service is a service which establishes a dedicated connection between communicating N_Ports.
“Class 2” service is a service which multiplexes frames at frame boundaries to or from one or more N_Ports with acknowledgement provided.
“Class 3” service is a service which multiplexes frames at frame boundaries to or from one or more N_Ports without acknowledgement.
“Intermix” is a service which interleaves Class 2 and Class 3 frames on an established Class 1 connection.
A “Gigabit Link Module” is a module which interfaces to the Endec through either a 10-bit or 20-bit interface and interfaces to the Fibre Channel link through either a copper or fiber interface.
An “Encoder/Decoder” or Endec is a device which implements the FC-1 layer protocol.
A “Router” is a module which determines the destination port from an address and other Fibre Channel frame parameters.
A “Port Control” is a module which reads in a Fibre Channel header, requests a route and forwards the frame to the switch core.
“Credit” is the login credit which represents the number of frames that may be transmitted before receiving an acknowledgement or R_RDY.
“Fabric Login Protocol” is when an N_Port interchanges Service Parameters with the Fabric by explicitly performing the Fabric Login protocol or implicitly through an equivalent method not defined in FC-PH.
“Application Specific Integrated Circuit” or (ASIC), an integrated circuit designed to perform a particular function by defining the interconnection of a set of basic circuit building blocks drawn from a library provided by the circuit manufacturer.
“FPGA” Field Programmable Gate Array, a gate array where the logic network can be programmed into the device after its manufacture. An FPGA consists of an array of logic elements, either gates or lookup table RAMs, flip-flops and programmable interconnect wiring. Most FPGAs are dynamically reprogrammable, since their logic functions and interconnect are defined by RAM cells.
“FIFO” a data structure or hardware buffer from which items are taken out in the same order they were put in.
“Bridge” a device which forwards traffic between network segments based on datalink layer information. These segments would have a common network layer address.
“Router” a device which forwards traffic between networks. The forwarding decision is based on network layer information and routing tables, often constructed by routing protocols.
“Brouter” a device which bridges some packets (i.e. forwards based on datalink layer information) and routes other packets (i.e. forwards based on network layer information). The bridge/route decision is based on configuration information.
“Hub” a device connecting several other devices.
“Serdes” serial encoder/decoder, converts the Fibre Channel serial interface to/from a 10 or 20 bit parallel interface.
“HIPPI” is a computer bus for use over fairly short distances at speeds of 800 and 1600 megabytes per second. HIPPI is described by the ANSI standard X3T9/88-127.
“SCSI” or Small Computer System Interface is a standard for system-level interfacing between a computer and intelligent devices including hard disks, tape drives, and many more. SCSI is described by the ANSI standard X3.131-1986 and by ISO/IEC 9316.
“ATM” or Asynchronous Transfer Mode is a method for the dynamic allocation of bandwidth using a fixed-size packet, also called a cell.
“SNMP” or Simple Network Management Protocol is an Internet Standard protocol defined in RFC 1157, developed to manage nodes on an IP network.
“MIB” or management information base is a database of managed objects accessed by network management protocols such as SNMP.
“Web” is the World-Wide Web, an Internet client-server distributed information retrieval system which originated from the CERN High-Energy Physics Laboratories in Geneva, Switzerland.
“Web Browser” is a program which allows a person to read information from the Web. The browser gives some means of viewing the contents of nodes (or “pages”) and of navigating from one node to another.
B. Fibre Channel Fabric Model
Referring to FIG. 1 , a Fibre Channel Fabric is an entity which transports Fibre Channel frames between attached devices. The data transmission between the connected device port (i.e., N_Port) and the Fabric port (i.e., F_Port) is serial and consists of one or more frames. The transmission protocol and speeds along with the fabric functionality are defined in the American National Standard for Information Systems (ANSI) FCPH standard (see Other documents, section H, below).
The primary function of the Fabric is to receive frames from a source N_Port and route the frames to the destination N_Port whose address identifier is specified in the frames. Each N_Port is physically attached through a link to the Fabric or in the case of an Arbitrated Loop topology attached to the same loop. FC-2 specifies the protocol between the Fabric and the attached N_Ports. A Fabric is characterized by a single address space in which every N_Port has a unique N_Port identifier.
The Fabric model contains three or more F_Ports or FL_Ports. Each F_Port is attached to an N_Port through a link. Each F_Port is bidirectional and supports one or more communication models. The receiving F_Port responds to the sending N_Port according to the FC-2 protocol The Fabric optionally verifies the validity of the frame as it passes through the Fabric. The Fabric routes the frame to the F_Port directly attached to the destination N_Port based on the N_Port identifier (D_ID) embedded in the frame. The address translation and the routing mechanisms within the Fabric are transparent to N_Ports.
There are two Sub-Fabric models, a Connection based model and a Connectionless based model. The Connection based Sub-Fabric provides Dedicated Connections between F_Ports and the N_Ports attached to these F_Ports. A Dedicated Connection is retained until a removal request is received from one of the communicating N_Ports or an exception condition occurs which causes the Fabric to remove the Connection. The Connection based Sub-Fabric is not involved in flow control which is managed end-to-end by the N_Ports. If the Fabric is unable to establish a Dedicated Connection, it returns a busy or reject frame with a reason code.
A Connectionless Sub-Fabric is characterized by the absence of Dedicated Connections. The Connectionless Sub-Fabric multiplexes frames at frame boundaries between an F_Port and any other F_Port and between the N_Ports attached to them.
A given frame flows through the Connectionless Sub-Fabric for the duration of the routing. After the frame is routed, the Connectionless Sub-Fabric is not required to have memory of source, routing or destination of the frame. When frames from multiple N_Ports are targeted for the same destination N_Port in Class 2 or Class 3, congestion of frames may occur within the Fabric. Management of this congestion is part of the Connectionless Sub-Fabric and buffer-to-buffer flow control.
FIG. 1 shows a possible environment containing a Fibre Channel fabric. The fabric 1 , 2 illustrated are connected with a mix of workstations 3 , disk arrays 4 , mainframe computers 5 , and Personal Computers (PC) 6 . Fabric interconnection is not limited to particular equipment or a network topology as illustrated in FIG. 1 . Two types of fabric topologies are illustrated in FIG. 1 , the direct fabric attached topology 9 and the arbitrated loop topology 7 .
The fabrics in FIG. 1 are shown interconnected or networked through a link 8 . All links to the fabric can operate at either 266 Mbps, 533 Mbps or 1.063 Gbps speeds and operate over either copper or fiber media, or any other compatible media..
FIG. 2 shows a block diagram of the fabric. The fabric is composed of a fabric control module 54 , a router module 52 , multiple port control modules 51 , 74 , 75 a switch core module 53 and optionally one or more brouter modules 55 . As is understood in the art, the functions allocated to these respective devices may, in alternate embodiments, be allocated to different logical blocks.
The fabric control module 54 contains a processor and associated hardware. The fabric control module software performs but is not limited to the following functions: (1) Fabric power on self test, (2) Fabric configuration, (3) Broadcast, Simple Name, ARP and Directory services servers, (4) Fabric Loop Attached profile Extended link service command, (5) Management, (6) Network Management SNMP agent, (7) Web based fabric management, (8) Uninterruptable power supply monitoring and control, and (9) Brouter Module Configuration/Control. The Fabric Control module controls and configures the rest of the fabric but is not usually involved in the normal routing of frames.
The fabric Router 52 performs some or all of the following functions: (1) route address matching, (2) route determination based on the ANSI X3T11 rules, (3) route request blocking and unblocking, (4) switch core programming 63 , (5) statistics collection and (6) port control module route request/response handling 59 , 60 , 61 , 62 , 66 , 67 , 72 , 73 .
The fabric Port Control modules (PCM) 51 , 70 , 74 , 75 perform some or all of the following functions: (1) receive Fibre Channel frames from the fiber or copper media 56 , 77 , 78 , (2) perform frame validation, (3) send a route request to the router 59 , 61 , 66 , 72 , (4) receives a route response from the router 60 , 62 , 63 , 67 , 73 , (4) forwards the frame to the switch core 57 , 69 , and (5) either discards the frame, modifies the frame into a fabric reject (F_RJT) or fabric busy (F_BSY) frame or forwards the frame depending on the route response from the router.
The fabric switch core 53 is a nonblocking N×N matrix switch with 36 bit wide transmit and receive I/Os. The switch core switches frames from the PCMs 51 , 70 , 74 , 75 to the destination PCMs or Brouter Module.
The Brouter Module 55 performs some or all of the following functions: protocol bridging and/or routing function between a Fibre Channel network and the network implemented by the Brouter Module. The Brouter Module “looks” like a Fibre Channel port to the rest of the switch. This is due to a protocol conversion function in the Brouter Module which converts the brouter networked frames to Fibre Channel frames. Converted Fibre Channel frames from the Brouter Module enter the fabric switch through an internal port control module 70 . Fibre Channel frames from the fabric switch core enter the Brouter Module through an internal path 76 .
C. Fabric Control Module
FIG. 2 shows the Fabric Control module (FCM) 54 . The FCM 54 serves some or all of the following functions: configures the fabric, collects and reports network management parameters and implements the fabric defined servers such as the Simple Name Server, Directory Services, etc. The FCM 54 configures the router 52 , the port control modules 51 , 74 , 75 and the brouter module 55 .
FIG. 3 shows the Fabric Control module (FCM) in more detail. The FCM is made up preferably of fast SRAM 82 , DRAM 83 , a DUART 84 , flash memory 85 (nonvolatile storage), a processor 81 and a Decode/DMA Control module 87 . The code for the processor is contained in the flash memory 85 and is copied to SRAM upon bootup. The interface to the brouter module 55 allows the FCM to communicate through legacy networks such as ethernet and fast ethernet, depending on the brouter module.
The FCM is attached to the rest of the fabric in two different manners: both in-band 80 to the fabric and out of band 79 to the fabric. The in-band connection is through the internal port control module. This connection allows the Fabric Control Module to communicate with both locally and remotely attached Fibre Channel compliant devices via Fibre Channel frames. The FCM connects out of band to the rest of the system for monitoring, initialization and control reasons.
D. Fabric Router
The Fabric Router 52 ( FIG. 2 ) receives route requests generated from the Port Control modules 59 , 61 , 66 , 72 , determines the frame route, reports the route responses to the Port Control modules 60 , 62 , 67 , 73 , programs the switch core to connect and disconnect the routes 63 , manages blocked route requests and collects the routing statistics. In the preferred embodiment, there is one central router contained in a fabric. The Router 52 connects and disconnects routes on a frame by frame basis. Since the router can determine a route in real time (i.e., Fibre Channel frame time) the Fabric can support Class 1 frames. The router is realized in hardware through either an FPGA or a custom ASIC. The router is composed of thirteen functional modules as illustrated in FIG. 4 :
(1) Port Control Route Request Interface (PCRRIM) 130 (2) Port Control Route Response Interface (PCRSPM) 144 (3) Address Table 132 (4) Address Match Module (ADM) 131 (5) Blocked Route Request Table Module (BRTBL) 133 (6) Blocked Route Request Port Register Array (BRRA) 134 (7) Blocked Route Request Timer (BRTMR) 135 (8) Route Request Unblock Determination Module (RRUNB) 136 (9) Route Request Selector (RRS) 137 (10) Route Determination Module (RDM) 138 (11) Route State Table (RST) 139 (12) Router Statistics Gathering Module (RST) 141 (13) Router Control FSM (RCFSM) 140 .
1. Port Control Route Request Interface Module (PCRRIM)
The Port Control Route Request Interface Module (PCRRIM) 130 of FIG. 4 (and FIG. 24 numeral 581 ) interfaces with the PCMs ( 51 , 74 , 75 of FIG. 2 ) to read route requests and registers the route request for use by the internal router modules. The PCRRIM FIG. 24 is composed of the following functional blocks: round-robin arbitration 582 , route request state machine 583 , registered route request 584 , and the port winning arbitration register 585 . The PCRRIM 581 is connected to each PCM (items 56 , 77 and 78 of FIG. 4 ) through a separate PCM requester signal 586 . The PCRRIM 581 is also connected to each PCM through a common shared route request data channel 588 . After a PCM captures an incoming frame and builds a route request the PCM raises the PCM route request signal 586 . The PCRRIM round robin arbitration block 582 will read all request signals and choose the requester in a round robin manner. This implements requester fairness, i.e., one requester will not be able to starve other concurrent PCM requesters. The round robin arbitration block 582 will notify the winning PCM requester via the route request state machine 583 by pulsing for one clock period the PCM acknowledge signal 587 back to the winning PCM. During the next four clocks the PCM sends the route request over the common route request channel 588 to the registered route request block 584 . The Route Request channel is implemented as an eight bit bus, but is not restricted to that size. The route request is thirty two bits and is shown in FIG. 31 . The signals are described below.
Route Request
Field
Description
SID Mismatch
Indicates that the incoming frame SID does not match the
expected SID
EOFrcvd
Indicates that the entire frame including the EOF was
received
Route Direct
A flag to override the router address matching logic. This
is used to route frames from the fabric control module
out to a specific port without the use of the DID field
Delimiter
Is an encoded field which specifies the received frames
delimiter
Destination
The DID from the incoming frame. This field is valid
Address
only when the route direct flag is not set.
Destination
Only valid when the route direct flag is set, indicates the
port to
remote port to route the frame to.
route to
The winning PCM port number is registered 585 ( FIG. 24 ) and held for use by the internal router modules 589 . The PCRRIM is controlled by the Router Control FSM through the request serviced signal 591 . The PCRRIM will raise the request valid signal 590 whenever it has a valid route request from a PCM in its register 584 . The PCRRIM will halt any further route request reads from the PCM until the request serviced signal 591 is pulsed for one clock period by the Router Control FSM.
FIG. 26 shows the PCRRIM state machine. The state machine is described below.
State
Description
IDLE 611
Wait for a route request from a port control
CMP_RR_VECT 612
Route robin logic, compare the current select
vector with the port control. If a match occurs
the port control is currently requesting a route.
SHIRT_RR_VECT 613
Shift the current select vector.
WAITCLK 614
Signal the select port control module, wait one
clock before reading the route request channel
for the route request.
LDWORD0, 1, 2, 3
Read the route request from the route request
615, 616, 617, 618
channel. Since the route request channel is 8
bits wide and the route request is thirty two
bits, four clocks are needed to read the route
request.
RTNAVAIL 619
Wait until the Main Route Control FSM
signals that the route request is no longer
needed (RTACK) then return to idle and wait
for another route request from the port control
modules.
2. Port Control Route Response Interface Module (PCRSPM)
As shown in FIG. 4 the Port Control Route Response Interface Module (PCRSPM) 144 interfaces with all the PCMs 114 , the Route Determination module 138 and the Router Control FSM module 140 . The PCRSPM main function is to return route responses to the PCMs 114 . The PCRSPM 144 is independent of the PCRRIM 101 which enables the router 52 to concurrently receive route requests and send route responses. This separation in function adds parallelism to the router, permits pipelined operation of the router and increases its performance.
As shown in FIG. 25 the PCRSPM is preferably composed of the following functional blocks: the route response state machine 602 and the route response register 603 . The PCRSPM registers the route response 608 from the Route Determination module when the load route response signal 607 is pulsed for one clock period by the Router Control FSM 140 ( FIG. 4 ). When the Router Control FSM 140 pulses the send route response signal 606 the route response state machine 602 will inform the PCM corresponding to the port vector 609 by pulsing the PCM response acknowledgement signal 604 and putting the route response on the common route response channel 605 for the next four clocks. FIG. 32 shows the thirty two bit route response format. An eight bit common route response channel is shown but a thirty two bit wide channel can be used depending on the implementation.
FIG. 27 shows the PCRSPM state machine (item 602 of FIG. 25 ). The state machine is described below.
State
Description
IDLE 631
Wait for main Router Control FSM to assert the return
route response signal.
XMTRSP 632
Acknowledge the main Router Control FSM that the
route response will be returned. Signal the specific port
control module the route response will be on the route
response data channel on the next two clocks.
XMT_DT0 633
Load the first eight bits of the route response on the
route response data channel.
XMT_DT1 634
Load the second eight bits of the route response on the
route response data channel, return to IDLE.
3. Address Table
The Address Table 132 of FIG. 4 is initially configured by the processor in the fabric control module 122 . The Address Table 132 contains entries against which the incoming Fibre Channel frame destination identifier (D_ID) is compared. FIG. 33 shows the preferred address table entry format. The address entry contains a twenty four bit address mask register along with a twenty four bit address register. The incoming D_ID is ANDed with the address mask register and the result is compared to the address register. This allows a match to be performed on any number of bits in the address. This also implements routing based on any combination of the address domain (upper eight bits of the address field), area (middle eight bits of the address field) or port (lower eight bits of the address field) fields. Additional address fields include the destination port and the address priority fields. The destination port indicates which remote F_Port to route the frame to and the address priority field specifies a priority for this address table entry match. For any two address matches the address table entry match which is the highest priority will be used. This implements an alternate routing in case of port failure.
4. Address Match Module (ADM)
The Address Match module 13 (ADM) in FIG. 4 ( FIG. 13 numeral 351 ) performs the comparison with the incoming frame D_ID address from the route request 105 with the Address Table contents 109 . The results are used by the Route determination module 138 . As shown in FIG. 13 the ADM 351 has as an input the twenty-four bit address to match 352 , i.e., the incoming frame D_ID address from the route request, and returns the following responses: the remote match port 354 , the address matched indication 355 and the route to control module indication 353 . The ADM will match an incoming D_ID address to all the addresses in the address table in one clock. The ADM logic is implemented in combinatorial logic. The ADM performs the following checks for each address table entry:
Address Match indication=(address in table=(address mask & D_ID))
The results are then priority decoded based on address priority contained in the address table and the resulting address match signal and port are generated. There is one special mode which is implemented which will preemptively route all frames to the Fabric Control module except frames originating from the Fabric Control module. This allows the fabric control module to process all incoming frames which is useful when the fabric is functioning in certain environments.
5. Blocked Route Request Table (BRTBL)
The Blocked Route Request Table 133 (BRTBL) in FIG. 4 functions to save blocked route requests. Preferably, it is realized by an array of registers. The BRTBL saves enough information to regenerate the route request once the blocking condition is cleared. The format of the blocked route request is shown in FIG. 30 . The blocked route request contains the requesting PCM port, the matched destination PCM port, the block reason, whether an EOF delimiter was received by the requesting PCM, i.e., whether the entire frame was received before the PCM requested a route, the delimiter in the incoming frame, i.e., SOF type, whether there was an address match, whether to route to the fabric control port and whether a fabric reject (F_RJT) or fabric busy (F_BSY) should be generated.
As shown in FIG. 4 the BRTBL reads the blocked route request from route request bus 107 when instructed to do so by the Route Control FSM 140 . As shown in FIG. 17 a blocked route request is loaded upon a LOADFIFO 447 signal pulse by the Router Control FSM. Blocked route requests are cleared when the CLRFIFO 448 signal is pulsed by the Router Control FSM. The port input vector, 449 , selects which port location in the table to load or clear the blocked route request. There is one blocked route request entry for each PCM and the blocked route request is registered so certain fields are available FIG. 4 numeral 116 to the Route Request Unblock Determination module FIG. 4 numeral 136 . As shown in FIG. 17 , the BRTBL 441 contains the registered blocked route request table 442 so certain fields in the blocked route request can be monitored by other router internal modules, 443 , 444 , 445 , 446 . The signals which are monitored include whether the specific entry contains a blocked route request 444 , the block reason 443 which includes blocked due to the remote port busy or blocked due to the remote port in a class 1 connection with a port other than this one, and intermix is not support by the remote port. Other monitored fields include whether the blocked request frame is a Class 1 frame as indicated by the SOF delimiter.
6. Blocked Route Request Port Register Array (BRRA)
The Blocked Route Request Port Register Array 134 (BRRA) in FIG. 4 reads in the requesting port 103 and saves it into a register array which keeps the PCM request order. This order is wired 118 to the Route Request Unblock Determination module 136 . The BRRA is shown in more detail in FIG. 19 . When the LOADFIFO 483 signal from the Router Control FSM is pulsed for one clock period the requesting PCM port 482 is saved into position 0 numeral 489 of the register array. Register array entries are removed by the Route Request Unblock Determination module through the CLRFIFO 488 signal and DEQRQ_SEL 485 vector, i.e., when the CLRFIFO signal is pulsed for one clock period the BRRA will unload the register specified by the DEQRQ_SEL vector.
Position 0 numeral 489 contains the newest route request and position 16 numeral 490 contains the oldest route request. Register array contents are shifted by one, from the newest position to the oldest, when the LOADFIFO signal is pulsed to make room for the newest blocked route request port number. The shifting circuit must take into account ‘holes’ in the register array. The algorithm identifies the first free register array entry closest to position 0 and shifts all the entries from position 0 to the free register array entry. The shifting circuit creates a shift vector (STTMP) which is used to load the contents of the individual register array entries. The circuit is shown below in verilog for eight ports.
always @(F1_NULL or F2_NULL or F3_NULL or F4_NULL or F5_NULL or F6_NULL or F7_NULL or F8_NULL) begin // build fifo shift control word (indicates how to shift fifo) casex ({F8_NULL, F7_NULL, F6_NULL, F5_NULL, F4_NULL, F3_NULL, F2_NULL, F1_NULL}) 8′b1xxxxxxx: STTMP = 8′b11111111; 8′b01xxxxxx: STTMP = 8′b01111111; 8′b001xxxxx: STTMP = 8′b00111111; 8′b0001xxxx: STTMP = 8′b00011111; 8′b00001xxx: STTMP = 8′b00001111; 8′b000001xx: STTMP = 8′b00000111; 8′b0000001x: STTMP = 8′b00000011; 8′b00000001: STTMP = 8′b00000001; default: STTMP = 8′b00000000; endcase end // always
where F1_NULL, . . . , F8_NULL are true if register array position 1 to 8 (respectively) are empty.
The shifting vector is then used with the CLRFIFO signal 484 and the dequeue port signal (DEQRQ_SEL) 485 to clear the register array contents.
always @(posedge clk or negedge reset) begin
if(!reset)
FIFO2 <= NULLVALUE;
else if (LOADFIFO && STTMP[1])
FIFO2 <= FIFO1;
else if (CLRFIFO && DEQRQ_SEL == FIFO2)
FIFO2 <= NULLVALUE;
else
FIFO2 <= FIFO2;
end
7. Blocked Route Request Timer (BRTMR)
The Blocked Route Request Timer 135 (BRTMR) in FIG. 4 implements one timer per PCM. The timer is enabled when a route request is blocked for the particular PCM. The timer is disabled when the blocked route request becomes unblocked. The BRTMR is controlled by the Route Control FSM which not only enables the timer but also indicates which timer to enable. Enabled timers are selected by the port from the incoming route request 104 . Disabled timers are selected by the port from the route request selector module 146 . The different timers are defined by the ANSI FCPH standard. When a timeout occurs the Route Request Unblock Determination module is signaled 119 to dequeue the blocked request as soon as possible.
8. Route Request Unblock Determination Module (RRUNB)
The Route Request Unblock Determination module 136 (RRUNB) in FIG. 4 determines when and which blocked route request to unblock. The RRUNB reads information from the Blocked Route Request Table 116 , the Blocked Route Request Port Register Array 118 the Blocked Route Request Timer 119 and the Route State Table 124 . A more detailed view of the RRUNB is shown in FIG. 14 , FIG. 15 and FIG. 16 .
As shown in FIG. 14 the RRUNB 361 reads information from several internal router modules and determines the most recent and highest priority blocked route request to dequeue from the Blocked Route Request Table. The RRUNB signals the port to dequeue 371 to both the Blocked Route Request Table and the Router Control FSM. The inputs to the RRUNB include the following information from the Route State Table: Port is currently busy signal 365 and the Port is currently in a class 1 connection signal 366 . The inputs to the RRUNB from the Blocked Route Request Table include the blocked route request indication, the destination port in which the blocked route request is waiting for, the block reason (whether waiting for the remote port to become free or both free and disconnected from a Class 1 route), and if the blocked route request is a Class 1 frame.
FIG. 16 shows part of the RRUNB circuit which generates intermediate terms necessary to calculate which blocked route requests to unblock. Each blocked route is waiting for certain conditions to clear from a destination port. The destination port vector 429 , 431 , 433 , 435 is used to select which remote signal to look at 421 , 422 , 423 , 424 , to generate the remote status 430 , 432 , 434 , 436 . For example if a route request is blocked from port 1 the destination port which port 1 is waiting for is used to select the remote port busy signal. It is also used to select the “remote port is currently in a Class 1 connection signal”.
FIG. 15 shows another part of the RRUNB circuit. There are seventeen different DEQx_FLAGS, only two are shown for brevity, i.e., DEQ0_FLAG 381 and DEQ16_FLAG 382 . The DEQx_FLAG signals are generated according to the following circuit:
DEQ0_FLAG = Timeout indication for port 0 from RTMR ||
((!(remote port 0 busy) &&
(!(block reason == wait for remote port 0 Class 1 connected &&
(remote port 0 Class 1 connected))))
The timeout indication is generated from the BRTMR module 362 in FIG. 14 . The remote port 0 busy 430 and the remote port 0 Class 1 connected signals 434 are generated from the circuit described in FIG. 16 . The block reason comes from the BRTBL 369 . There is one DEQ0_FLAG signal for every PCM.
As shown in FIG. 15 each DEQ_FLAG 381 , 382 signal is input into sixteen multiplexers 383 , 384 , representing the number of potentially blocked route requests. Multiplexer numeral 383 uses the port number in the BRRA register array in position 0 , numeral 385 , and multiplexer 384 uses the port number in the BRRA register array in position 16 numeral 386 . For example if the contents of position 0 in the BRRA register array is port 4 then the DEQ4-FLAG is select by multiplexer 383 and output to the DEQIND0 signal 387 . The DEQIND signals 387 , 388 are used as inputs to the binary encoder block 389 . The binary encoder block 389 takes the highest DEQIND signal, DEQ16IND being higher than DEQ0IND and encodes the value to a select 390 which selects the position in the BRRA 392 , 393 to dequeue 394 . For example if DEQ16IND signal is set then the port number contained in position 16 of the BRRA is output 394 from multiplexor 391 .
FIG. 15 also describes a similar circuit which accounts for blocked route requests for Class 1 frames. The resulting port derived from this circuit takes precedence to the circuit previously described. This allows priority dequeueing of blocked route requests for Class 1 frames. The circuit uses the DEQx_FLAGs 387 , 388 generated from multiplexors identified by numeral 383 and 384 . The DEQx_FLAGs are ANDed with the remote port Class 1 connected signals generated in FIG. 16 numerals 434 , 436 to form the inputs 396 , 397 to the multiplexors identified by numeral 398 and 399 . The multiplexors 398 , 399 select the destination port contained in the BRRA array 400 , 401 . The output signals 402 , 403 are binary encoded 404 to take the highest input signal to select the position in the BRRA 406 , 407 to dequeue 408 .
The inputs to multiplexor numeral 395 represent the oldest blocked route request 394 and the oldest blocked route request of a Class 1 frame 408 . Multiplexor 395 will give priority to the Class 1 frame port 408 before choosing the oldest non-Class 1 route request 394 . The resulting vector 409 is the blocked route request to dequeue.
This circuit can be used to unblock other types of resources besides Fibre Channel route requests. The circuit is implemented as combinatorial logic and selects the blocked route request within one clock.
9. Route Request Selector (RRS)
The Route Request Selector module 137 (RRS) in FIG. 4 functions to select between the incoming route request from the PCRRIM module 108 or the BRTBL 115 . The resulting route request is output 110 to the Route Determination module. The RRS is controlled by the Route Control FSM 140 .
10. Route Determination Module (RDM)
The Route Determination module 138 (RDM) in FIG. 4 applies rules defined in the ANSI Fibre Channel specifications to calculate how to route the incoming frame. The RDM receives the route request 110 from the RRS 137 along with route context for the source and destination ports 112 from the Route State Table 139 . The RRS outputs the route results 145 , 111 to both the Router Control FSM 140 and the PCRSPM 144 . The RDM is implemented in combinatorial logic and applied the route rules in one clock.
FIG. 20 shows the RDM 501 in more detail. The RDM reads the route request from the RRS which includes the source requesting port 503 , the destination port 504 , the frame SOF delimiter 505 , the EOF received flag 506 , the route to port 0 (i.e., fabric controller) flag 507 and the timeout indication 508 . The RDM also reads in the route table context for both the source and destination ports 512 and reads in a test enable vector 513 . The test enable vector 513 turns off selected route rule checks for more flexibility when the router is implemented in an ASIC. The outputs from the RDM include the route results vector 509 , 510 which indicates whether to route the frame or return an error, the reject/busy action/reason vector 10 which is valid when the RDM detects an error and the route back indication 511 which signals the port that the frame is in error and will routed back to the same port. Finally the updated source and destination port contexts are updated to reflect the RDM actions 514 and wired back to the route state table 502 .
FIG. 21 shows the RDM route selection logic in more detail. As mentioned earlier the inputs to the RDM include the route state context for both the source and destination ports 522 and the route request 523 . The RDM has prewired rules checks to detect five conditions: discard frame 525 , block the route request until the remote port is not busy 526 , return a fabric reject (F_RJT) frame 527 , return a fabric busy (F_BSY) frame 528 , wait until the frame is completely received 529 . If all of the four conditions are not detected then the frame should be routed successfully to the remote port The conditions mentioned above are derived from the ORing of multiple rules checks. For example the discard frame signal is derived from the ORing of five discard frame rules checks. An example rules check is shown below.
//discard frame if local SOFc1 received and local port is in a class 1 connection wire DISFRM4=TEN[2]&& DELIM==SOFn1 && SRC_CSTATE==Connected;
The TEN[2] term above selects a bit from the test enable vector. Turning the bit off will disable the above rules check. The rule above will assert the DISFRM4 signal if the incoming frame contains an SOFn1 delimiter and the incoming port is not already in a Class 1 connection.
As shown in FIG. 21 all potential rules check results 531 are encoded and selected by using the rules checks 525 , 526 , 527 , 528 , 529 as the multiplexor selector. The routing result selected is then output 532 to both the Router Control FSM and the PCRSPM. All rules checks are completed within one clock period.
Finally FIG. 22 shows how the preencoded fabric reject 544 and fabric busy responses 548 are selected by the fabric reject 542 and fabric busy 546 rules checks. The result 551 is output to the PCRSPM module to be included in the route response.
11. Route State Table (RST)
FIG. 4 shows the Route State Table (RST) 139 . The function of the RST is to keep the current context for each port. The RST interfaces with the Route Determination Module (RDM) 138 , the Route Request Unblock Determination Module (RRUNB) 136 and the processor in the Fabric Control module 121 . FIG. 20 shows the RST 502 in relation to the RDM 501 . The RST is controlled by the Router Control FSM which signals the RST 515 to either output the source and destination context 512 or save the updated source and destination context 514 . The RST outputs certain context fields into the RRUNB FIG. 4 numeral 124 to assist in route request unblocking calculation.
The RST contains a context entry for each port. The context entry is shown in FIG. 34 . There are two parts to the route context: a static portion which is updated by the processor in the Fabric Control module FIG. 2 numeral 54 and a dynamic portion updated by the RDM module FIG. 4 numeral 138 . The processor updates the static portion upon infrequent events such as power up and fabric login. The RDM updates the dynamic portion on a per frame basis. In current commercially available fabrics a processor manages all of the route state table fields, the current embodiment uses a register memory in the RST and the RDM to update the context. The table below lists the context fields.
Signal
Description
Destination Port
If a route exists this specifies the remote port.
Connected To
Class 1 Destination
If this port is in a Class 1 connection this field
Port
specifies the remote port.
Timer State
If this port is waiting for a route and a timer is
enabled, this field specifies the timer.
Class 1 Connection
This field specifies whether this port is currently
State
in a Class 1 connection.
Port Busy
This field specifies whether this port is currently
routing a frame to a remote port.
Port State
This field specifies the link state, whether
initializing, offline, online, or error.
Class Supported
This field specifies the Classes of service
supported by this port.
Loop Port Indication
This field specifies whether this port is a loop
port or a point to point port.
Port Speed
This field specifies the link speed for this port.
Intermix Support
This flag specifies support for Intermix for this
port.
FLOGI occurred
This field specifies whether a FLOGI/ACC
exchange occurred.
12. Router Statistics Gathering Module (RSG)
FIG. 4 . shows the Router Statistics Gathering Module (RSG) 141 . The RSG gathers fabric generated statistics. The RSG is enabled by the Router Control FSM 140 and has as inputs the source and destination ports, the route result and the frame Class 142 . The RSG is implemented in hardware because of the requirement of collecting statistics at gigabit rates.
13. Router Control FSM (RCFSM)
FIG. 4 shows the Router Control FSM (RCFSM) 140 . The RCFSM controls the entire router through control signals to the internal router modules 147 . The RCFSM state diagram is shown in FIG. 18 .
The RCFSM is triggered from idle by one of three events: a processor request to read or write a router data structure 470 , a blocked route request becoming unblocked 471 or an incoming route request received from a port control module signal 472 . The three events are prioritized in case of multiple simultaneous events. The priorities from high to low include: 1) processor request, 2) a blocked route request becoming unblocked and 3) an incoming route request. When a processor updates any of the router fields the router must be in a quiescent state, i.e., not updating any data structure. When a processor requests access to a router data structure the processor signals the RCFSM by asserting the BLKCTLREQ signal. If in idle the RCFSM enters the RTBLKED state 452 and waits until the processor has finished its access. While in the RTBLKED state the RCFSM signals it is in this state by asserting the BLKCTLACK signal. The router processor interface logic will hold off the processor access via a WAIT signal until the BLKCTLACK signal is enabled.
The remaining RCFSM diagram states and description is discussed below. Refer to FIG. 18 for the state diagram and to FIG. 4 for the module description.
State
Description
DEQROUTE 467
Program RRS 137 to use the newly unblocked
route request as an input 115
CLR_FIFO 468
Signal the BRTBL 133 to remove the blocked
route
DECODERRSP 455
Wait one clock for the RDM 138 to apply routing
rules checks to the route request 110
RTOK 456
The RDM 138 has determined the route is ok.
Signal the RST 139 to update the route table,
signal the RSG 141 to collect statistics for this
route and select the destination port from the
ADM 131 results.
RTBSY 459
The RDM 138 has determined to return a fabric
busy (F_BSY) frame to the sending port. Signal
the RST 139 to update the route table, signal the
RSG 141 to collect statistics and assign the
destination port from the source port (i.e., route
F_BSY back to the same port).
RTRJT 460
The RDM 138 has determined to return a fabric
reject (F_RJT) frame to the sending port. Signal
the RST 139 to update the route table, signal the
RSG 141 to collect statistics and assign the
destination port form the source port (i.e., route
F_RJT back to the same port).
RTDISCARD 461
The RDM 138 has determined that the port
control module should discard the frame. Signal
the RSG 141 to collect statistics.
RTWAIT_EOF 462
The RDM 138 has determined that the port
control module should wait until the entire frame
is received before resubmitting the route request.
RTBLK 463
The RDM 138 has determined to block the route
request. The BRTBL 133 and the BRRA 134 are
signaled to save the route request and save the
port requesting the route.
PGMSW 457
Program the switch core 123 to make a path from
the source to the destination port.
RTNRSP 458
Signal the PCRRSPM 144 to return a route
request complete indication.
LDRTSTATE 464
Signal the RST 139 to update its context and
signal the BRTMR 104 to enable a blocked route
request timer.
LD_RT 453
Signal the RRS 137 to read the route request 108
that was just read from the PCRRIM 130.
SOFOREOF 454
Signal the PCRRIM 130 to fetch another route
request since the current request is registered in
the RRS 137 module. Load the route results from
the RDM 138 into the PCRRSPM 144 (in case
delimiter is an EOF). Go to the DECODERRSP
455 state if the delimiter in the route request is an
SOF otherwise go to the EOFDELIM 465 state.
EOFDELIM 465
Signal the RRS 137 to use the destination port
from the route context in the RST 139.
DISTIMER 466
Signal the switch core to disconnect the path from
the specified source port to the destination port,
signal the RST 139 to update the route table
context to reflect the disconnected path and signal
the PCRRSPM 144 to return a route request
complete indication.
E. Port Control
FIG. 2 shows the Port Control (PC) locations 51 , 70 , 74 , 75 , within the fabric block diagram. Preferably, there is one PC per port or link. The PC interfaces with the fabric attached device through either copper or fiber media 56 , 77 , 78 . The PC interfaces to the switch core through transmit 58 and receive 57 data buses and control signals. The PC interfaces to the router through route request 59 , 61 , 66 , 72 and route response 60 , 62 , 67 , 73 buses and control signals. Finally the PC interfaces to the Fabric Control module through a processor interface bus 65 .
FIG. 5 shows the Port Control in more detail. Frames are received from the fiber or copper link 151 and enter the Endec 153 . The Endec implements the 8 B/ 10 B encoding/decoding, the loop port state machine and fabric/point-to-point state machine functions and outputs thirty two bit data words with two bits of parity and tag information to the receive FIFO 155 . The PC contains a module which guards against a receive FIFO overrun 154 condition. Once the receive FIFO 155 starts filling, the Port Control Module (PCM) 156 reads the frame header, requests a route from the router 163 , 164 and forwards the frame to the switch core 161 , 162 . The PCM is configurable by the processor 170 in the Fabric Control module. The Port Control also receives frames from the switch core 165 , 166 to be transmitted by the Endec 153 .
Port Control Module (PCM)
FIG. 10 shows the Port Control Module (PCM) in more detail. The PCM is responsible for reading a portion of the received header from the input FIFO 250 , building a route request for the router 262 , 263 , 264 , 260 , receiving the route response from the router 265 , 266 , 261 and either forwarding the frame to the switch core 249 or building a fabric reject (F_RJT) or fabric busy (F_BSY) frame and forwarding those to the switch core. The PCM also performs miscellaneous functions such as receive frame validation against parity errors, short frames, frames too large, tag errors and other checks.
The PCM is composed of the following four modules:
(1) Port Control FIFO Module (PCFIFO) 247 (2) Port Control to Router I/F Module (PCRTIF) 234 (3) Port Control Main Control FSM (PCFSM) 232 (4) Port Control Configuration/Counter Module (PCCFG) 233
1. Port Control FIFO Module (PCFIFO)
FIG. 10 shows the Port Control FIFO module (PCFIFO) 247 . The PCFIFO buffers several words of the incoming frame with internal registers. The registers include four general input registers (fifo_reg0 237 , fifo_reg1 238 , fifo_reg2 239 , fifo_reg3 240 ), five special input registers (sof_reg 241 , rctldid_reg 242 , type_reg 243 , param_reg 244 , eof_reg 245 ) and a main input and output register (EDATA_OUTR 236 and SW_DATAIN 246 ). The input register (EDATA_OUTR) gates the data in from the input FIFO 250 by asserting the FIFOREQ_signal. The output register sends the data to the switch core by asserting the SWACK_signal 249 . The general and special input registers are loaded from the EDATA_OUTR register. The general and special registers also are connected to a multiplexor which feeds the SW_DATAIN register 246 . The special registers allow the PCFIFO to build fabric reject (F_RJT) and fabric busy (F_BSY) frames and to insert special EOF delimiters when the route response 261 specifies to do so.
The received destination address (D_ID) along with the SOF delimiter is wired to the PCRTIF module 254 to build the route request 260 . Finally the PCFIFO is controlled by the PCFSM 232 .
The PCFIFO module performs certain frame validations. These validations include parity and tag field checking and regeneration, CRC, invalid transmit word and link down while receiving frame validations. When the frame validations fail the PCFIFO automatically inserts the appropriate EOF delimiter 251 , either an EOFa, EOFni or EOFdti.
The PCFIFO will build a fabric flame reject (F_RJT) when the route response from the router specifies to do so 261 . The PCFIFO builds the fabric reject by changing certain fields in the frame header 241 , 242 , 244 . Since the entire header is not yet in the PCFIFO internal registers a counter is implemented to indicate when to insert the modified header fields. The frame fields which are modified include the R_CTL field 242 , the parameter field 244 and potentially the EOF delimiter 245 . In addition if there was a payload associated with the frame it is discarded.
The PCFIFO will also build a fabric busy (F_BSY) frame when the route response from the router response specifies to do so 261 . The PCFIFO modifies the R_CTL field 242 , the type field 243 and potentially the EOF delimiter 245 . As in the F_RJT frame modification the payload for the F_BSY frame is discarded.
2. Port Control Main Control Module (PCFSM)
FIG. 10 shows the Port Control Main Control Module (PCFSM) module 232 (PCM). The PCFSM controls the other modules which compose the PCM 252 , 258 , 272 . The PCFSM is triggered by a frame being received from the input FIFO. FIG. 11 shows the PCFSM state diagram and is described in detail below.
State
Description
IDLE 301
Wait until the first three words of a frame are received
from the input FIFO. This is the first state after a
system reset.
CLRSOF 302
A frame has been received. Reset the EOF register and
start the route request signal if the frame is not a short
frame.
ROUTEFRM 303
In this state the PCFSM signals the PCRTIF to send a
route request (RREQ) to the router. The PCFSM will
loop in this state until a route response (RRACK) is
received back from the router.
XMTFRM 304
Transmit the frame through the Port Control from the
input receive FIFO to the switch core.
RTNRJTBSY 308
The router has determined that a fabric reject (F_RJT)
or fabric busy (F_BSY) frame should be returned. The
SOF delimiter is modified along with the
R_CTL field.
WAITEOF 306
Wait until an EOF is received. The Port Control
usually implements cut through routing, i.e., when a
frame is received it is forwarded to the remote before
the end of frame is received. Certain conditions dictate
that the frame should be received in its entirety before
being forwarded. An example condition includes the
remote port speed is lower than the source port.
DISCRT 305
Signal the PCRTIF to send a route disconnect request
(RREQ) and loop in this state until a route
disconnected response (RRACK) signal is received.
UPDATE_CDT
This one clock state is entered into after transmitting or
306
discarding a frame. If a Class 2 or Class 3 frame was
operated on the Endec CREDIT_signal is pulsed. The
EOF register (RESET_EOF) is cleared, the frame
counter is cleared and the EOF in received FIFO
counter is decremented.
WAITEOF1 309
Wait until an EOF is received from the Endec due to a
F_RJT/F_BSY frame being returned. An EOF
must be received so as to not cause a transmitter
underrun at the remote Endec.
XMT_FRJTBSY
Wait until an EOF is transmitted which signals that the
10
F_RJT or F_BSY EOF was transmitted. While in the
XMT_FRJTBSY state assert either the xmt_frjt or
xmt_fbsy signal to the PCFIFO module to specify
which frame to transmit.
3. Port Control Configuration/Counter Module (PCCFG)
FIG. 10 shows the Port Control Configuration/Counter (PCCFG) module 233 . The PCCFG maintains counters and provides the processor interface 271 to the Port Control Module. The PCCFG contains an EOF received counter 267 , a current frame count register 268 and a port control configuration register 269 . The EOF received counter keeps track of the number of full frames received by the Endec contained in the receive frame FIFO. The current frame count register monitors the current number of words received on a per frame basis. This counter is used to detect short and long frames. Finally the port control configuration register contains miscellaneous information/configuration information used by the Port Control module.
The port control configuration register fields are described below.
Field
Bit Location
Description
Max Frame Size
9:0
Indicates the maximum receive
frame size in words.
LISM Mode
10
The Port is currently going through
loop initialization indication
Clear Interrupt
11
Clear the bad parity notification
interrupt.
Pulse CDT_line
12
Pulse the Endec credit line.
Clear Interrupt
13
Clear interrupt latch
Enable Remote
14
Enable preemptive remote port
Port Routing
routing.
This Port Number
19:16
EOF Counter
26:24
Counter value for the number of EOF
delimiters received from the Endec.
Frame Discarded
27
Frame was discarded by the Port
Control.
Frame Too Short
28
A frame which was less than eight
Detected
words in length was received.
Frame Too Big
29
A frame which was greater than the
Received
specified maximum frame size (bits 9
to 0) was received.
Tag Error
30
A tag error was detected (i.e., a tag
occurred
of either 00 or 11).
Parity Error
31
Clear parity interrupt indication
occurred
register.
4. Port Control to Router Interface Module (PCRTIF)
FIG. 10 shows the Port Control to Router Interface Module (PCRTIF) 234 . The PCRTIF builds route requests for the router 260 , signals the router that a valid request is present 262 , waits for a router response valid signal (RTPCREQ) 263 and receives the router response 261 . The PCRTIF builds the route request from the D_ID field, the SOF delimiter and some miscellaneous signals from both the PCFIFO 254 and the PCCFG 273 modules. The route request is transmitted over a shared command channel bus 264 to the router. This command channel bus is shared by all the PCMs. The route response is received over a different shared response channel bus (RT_DATA) 266 which is also shared by all the PCMs. By implementing different buses or channels for the route request and route response the router can simulataneously read route requests along with returning route responses.
FIFO Overrun Prevention Logic (FOPL)
FIG. 5 shows the FIFO Overrun Prevention Logic (FOPL) 154 within the Port Control area. The purpose of the FOPL is to handle the case where the FIFO 155 is full and frames are received by the Endec 153 . Since the frame arrival rate is extremely fast at gigabit link data rates, the FOPL must act in real time. An additional situation the FOPL must handle is when the frame arrives and is being routed to the remote port and the back end of the frame overruns the FIFO. Still another situation is where multiple frames overrun the FIFO. The FOPL operates on the TAG bits 154 not the data bits 171 . The Endec takes gigabit serial transmission from the link side, decodes the transmission and outputs thirty two bit words to the port control FIFO. Along with the thirty two bit words are a two bit tag field and a two bit parity field. The tag and parity field additions are a common interface characteristics. Tag bits are bits attached to the thirty two bit words to indicated delimiters such as the SOF or EOF. When the FIFO is full and a frame is received from the Endec the FOPL sets the tag bits to an illegal value. When the FIFO enters the not full condition the next word will contain the illegal tag bits. The illegal tag bits will signal the Port Control modue to abort the frame with the appropriate EOF delimiter.
FIG. 8 shows the FOPL in more detail. The FOPL 201 interfaces with the Endec tag bits 202 , the Endec receive frame DMA request signal 203 , and the Endec receive frame DMA acknowledgement 204 signal. The FOPL interfaces with the FIFO by supplying the tag bits and through the FIFONOTEMPTY 206 signal. During normal operation the FOPL will set the FIFO tag bits 205 to the value of the Endec tag bits 202 . When the FIFO is full, i.e., when the FIFONOTEMPTY signal 206 is deasserted, the FOPL will output an illegal value for the tag bits 205 going to the FIFO. If the overflow word is the last word to be received the FOPL will wait until the FIFONOTEMPTY signal 206 is asserted and then output a word with bad tag bits by asserting the FIFOWRITE 207 signal. This last scenario handles the case where the last word received overflows the FIFO and there are no other words to receive.
Processor/Data Arbitration Logic (PDAL)
FIG. 5 shows the Processor/Data Arbitration Logic (PDAL) 157 within the Port Control area. Since the Endec 153 multiplexes the transmit bus with the internal register configuration bus, logic is needed to arbitrate between processor accesses 168 and frames being transmitted from the switch core 166 . This logic must manage processor accesses to the Endec which are slower than transmit data word dma's. In other words if a frame is currently being transmitted, processor accesses to the Endec must be held off until either the frame transmission is complete or the internal Endec transmit FIFO is full, allowing enough time for a processor access before a transmitter underrun occurs.
The PDAL acts as the arbitrator between processor accesses and transmit data to the Endec. The PDAL accomplishes this by keeping track of when the switch core is transmitting frames to the Endec and inserting processor accesses between frames or when the Endec's internal transmit FIFO is full. FIG. 9 shows the PDAL in more detail. The PDAL interfaces to the Endec through the Endec transmit frame DMA request 209 signal, the chip select 208 and the wait 207 signals. The PDAL interfaces with the switch core through the transmit frame dma request signal 212 . The PDAL interfaces with a bus transceiver 225 through an enable signal 216 . The PDAL interfaces with the processor from the Fabric Control module through the chip select 214 , wait 215 and write 222 signals. Finally the PDAL interfaces to the Router Module through the route busy 226 signal. The processor will only access the Endec transmit/configuration bus 224 when the wait signal 215 is deasserted. The PDAL uses two conditions to create the processor wait signal. The first condition is that there are no frames being transmitted to the Endec. This condition is indicated by the route busy signal 226 from the router being deasserted. The second condition is the transmit frame dma request signal 209 deasserted, indicating that the internal Endec transmit FIFO is full. The second condition creates enough time for a processor access to the Endec internal registers before the Endec's internal transmit FIFO empties.
Port Control Hub Module
FIG. 29 shows the Port Control Hub Module (PCHM). The PCHM extends the functionality of the Port Control Module by adding several Fibre Channel Arbitrated Loop Hub ports. This has the affect of leveraging a single switch port over multiple attached devices 705 . All attached devices 705 are logically on a single loop connected to the switch through an internal Endec 700 . The internal Endec is connected on the loop by both a transmit 701 and receive 702 serdes modules. The output of the serdes module is a gigabit serial stream of data. The loop is repeated by commercially available 1.0625 Gbit/sec Channel Repeater/Hub Circuits 703 such as Vitesses' VSC7120. (See, e.g., Vitesse Semiconductor Corporation “1996 Communications Products Data Book”). The repeater/hub circuits contain a monolithic Clock Recovery Unit (CRU), a digital Signal Detect Unit (SDU) and a Port Bypass Circuit (PBC). The repeater/hub circuits allow devices to attach and detach without interrupting the loop. The repeater/hub circuits are connected to a Gigabit Interface Converter (GBIC) module 704 which supports either copper or fiber media via a plug in module. All repeater/hub circuits are controlled by the fabric control processor through a register 705 . This allows the fabric control module to monitor the state of each port and integrate the status with the general switch network management.
The integral hub provides many advantages over standalone hubs. These advantages include:
Leveraging the redundant power supplies and fans usually resident in the fabric Segmenting loops to allow for increased performance per loop and greater immunity from loop failure Allowing for hot pluggable hub boards Leveraging the switches SNMP network management capability for greater control and monitoring of the loop.
F. Switch Core
FIG. 2 and 6 shows the Switch Core. The switch core implements a nonblocking N×N matrix switch. The input to the switch core comes from the individual Port Control modules FIG. 2 numerals 57 , 69 and FIG. 9 183 , 186 . The output from the switch core is wired to the Endec FIG. 2 numeral 58 , FIG. 9 numeral 220 and the Brouter Module FIG. 2 numeral 76 . The switch core is paths are setup and torn down by the router FIG. 2 numeral 63 .
G. Brouter Module
FIG. 2 numeral 55 and FIG. 7 show the Brouter Module. The Brouter Module receives frames from the switch core 76 and transmits frames to the internal Port Control module 70 . The Brouter Module is responsible for converting Fibre Channel frames to frames of the connected network 68 . The Brouter Module looks to the rest of the fabric like a Port Control module. The Brouter module sends and receives frames which adhere to the Fibre Channel protocol. The frames are converted within the Brouter module to other network frames such as Ethernet, Fast Ethernet, or Gigabit Ethernet and are transmitted out to the network connection 68 .
Although the foregoing invention has been described in some detail by way of illustration and example for purposes of clarity and understanding, it may be readily apparent to those of ordinary skill in the art in light of the teachings of this invention that certain changes and modifications may be made thereto without departing from the spirit or scope of the appended claims.
H. Other Documents
ANSI X3.230-1994, “Fibre Channel Physical and Signaling Interface (FC-PH)”.
ANSI X3.297-1996, “Fibre Channel Physical and Signaling Interface (FC-PH-2)”.
ANSI X3.303-1996, “Fibre Channel Physical and Signaling Interface (FC-PH-3)”.
ANSI X3.272-1996, “Fibre Channel Arbitrated Loop (FC-AL)”.
ANSI X3T11 Project # 1133-D, “Fibre Channel Arbitrated Loop 2 (FC-AL2)”.
ANSI X3T11/95-41, “Fibre Channel Fabric Generic Requirements (FC-FG), Rev 3.2”
ANSI X3T11 Project 1134-D “(FC-GS2)”.
ANSI X3T11 Project 959-D “Fibre Channel Switch Topology (FC-SW)”.
ANSI X3T11 Project 1235-DT, “Fibre Channel Fabric Loop Attachment (FC-FLA) Rev 2.2”
FCA “N_Port to F_Port Interoperability Profile, Rev 1.0” | The Fibre Channel standard was created by the American National Standard for Information Systems (ANSI) X3T11 task group to define a serial I/O channel for interconnecting a number of heterogeneous peripheral devices to computer systems as well as interconnecting the computer systems themselves through optical fiber and copper media at gigabit speeds (i.e., one billion bits per second). Multiple protocols such as SCSI (Small Computer Serial Interface), IP (Internet Protocol), HIPPI, ATM (Asynchronous Transfer Mode) among others can concurrently utilize the same media when mapped over Fibre Channel. A Fibre Channel Fabric is an entity which transmits Fibre Channel frames between connected Node Ports. The Fibre Channel fabric routes the frames based on the destination address as well as other information embedded in the Fibre Channel frame header. Node Ports are attached to the Fibre Channel Fabric through links. | 99,455 |
RELATED APPLICATION
[0001] This application claims the benefit of U.S. Provisional Application No. 60/792,289, filed Apr. 14, 2006. The entire teachings of the above application are incorporated herein by reference.
BACKGROUND OF THE INVENTION
[0002] Navigation is the science of moving a vehicle or person from one place to another place. More specifically, the science of navigation deals with methods for determining position, course, distance traveled, and of planning steering commands that will result in motion along an intended path from one place to another place. Position is generally determined with regards to a fixed coordinate system, for example, the familiar system of latitude and longitude for terrestrial or nautical navigation. Position fixing methods often make use of navigational aids, whose positions with respect to the navigational coordinate system are known or can be calculated as the basis for determining the location of the vehicle. For example, celestial bodies, e.g., stars, sun, and moon have been used since antiquity to aid sailors in navigating the seas, while a constellation of Global Positioning System (GPS) satellites serves much the same need in a modern, automated fashion. Waypoints, whose positions with respect to the navigational coordinate system are fixed and known, are used to define locations with significance to the navigational problem at hand. For ease of reference, waypoints are generally assigned a waypoint identifier.
SUMMARY OF THE INVENTION
[0003] Using a computerized navigation device to navigate a path (or a track) from a first point (e.g., an origin) to a second point (e.g., a destination), a navigator enters descriptions (or indications) of the first point and the second point into the navigation device. In response the navigation device then displays the path to be navigated. In the case of a flight plan, a flight crew member (e.g., a pilot) enters a first waypoint identifier and a second waypoint identifier into a Flight Management System (FMS) or other similar area navigation device using a keypad or other data entry device. The FMS then renders a display of the flight plan on a display monitor, such as a Multifunction Display (MFD).
[0004] One method for entering a waypoint identifier into the FMS requires entering the complete text of the waypoint identifier. The pilot, via the keyboard, enters (or keys in) each and every character of the waypoint identifier into the FMS. This requires the pilot to spend “head-down” time. That is, rather than flying the aircraft, the pilot is busy keying in waypoint identifiers character by character. The problem of requiring “head-down” time is further aggravated by short duration and/or high speed flights where the pilot has little time to spare keying in each and every character of a waypoint identifier (candidate).
[0005] Another problem relating to having to key in or otherwise enter each and every character of a waypoint identifier is unrestricted entry. Because this method requires entering the complete text, the pilot may enter characters for a waypoint identifier not contained in a navigation database, i.e., an invalid entry. Consequently, the problem of unrestricted entry requires an ability to annunciate or otherwise indicate invalid entries to the user or pilot.
[0006] To remedy these problems “smart” or automatic text entry systems have been developed to automatically complete a text entry field. These text entry systems allow the pilot to enter one or more characters of a desired waypoint identifier into the subject field, and the system then automatically displays the complete text of a most likely waypoint identifier.
[0007] These systems are based on an alphanumerical entry. A search string is used to determine which waypoint identifiers include the one or more piloted-entered characters. Thus, the more similar waypoint identifiers are to one another, the more pilot-entered characters are required to identify the desired waypoint identifier. For example, a collection of waypoint identifiers contains waypoint identifiers, “A,” “AA,” and “AAA.” Using a search string “A,” all the waypoint identifiers are equally likely to be identified as the desired waypoint identifier (candidate). The waypoint identifier “A” can be completed from the search string of “A,” as can the waypoint identifiers “AA” and “AAA.” Adding an additional “A” to the search string (i.e., the search string is now “AA”) reduces the likely (candidate) waypoint identifiers to either “AA” or “AAA”. Further adding an “A” to the search string (i.e., the search string is now “AAA”) further reduces the likely (candidate) waypoint identifier to only “AAA.” In this example, for each additional character entered, the number of likely (candidate) waypoint identifiers is reduced by one. In the worst case, identifying the desired waypoint identifier requires entering the complete text of the desired waypoint identifier.
[0008] The efficiency with which a pilot or navigator can enter waypoints, and thus the amount of attention he or she must apply to operating the navigation system as opposed to other activities on the airplane, is dependent on the number of characters he or she must enter in order for the system to correctly identify the desired waypoint.
[0009] Accordingly, what is a needed is a method or a corresponding apparatus for filling in an entry field requiring the least number of characters entered.
[0010] It is easily appreciated that the likelihood of a given waypoint being the desired waypoint may be influenced by factors other than alphanumerical order. In particular, the geographical position of a given waypoint may exert a considerable influence on its likelihood of being the desired waypoint.
[0011] Most navigational problems involve piecing or otherwise assembling a flight plan from a series of segments or legs, each of which describes an intended path from one waypoint to another. As the description of such a flight plan is initiated, waypoints near the point of origin are typically more likely to be the desired next waypoint than are waypoints more distant from the point of origin. As the description of the flight plan progresses, each subsequent waypoint is more likely to be found near the most recently entered waypoint than far from it. Thus, a waypoint identifier completion technique which permits the use of a geographical reference point in evaluating candidate completions can result in greater overall efficiency.
[0012] A computer implemented method and corresponding computer system for selecting a navigational waypoint for use includes: i) receiving a partially entered waypoint identifier identifying, in part, a navigational waypoint for use, ii) searching for the navigational waypoint for use from amongst a plurality of waypoint identifiers using the partially entered waypoint identifier and a search criterion other than a criterion based on a pre-existing ordering of the plurality of waypoint identifiers, and iii) completing the partially entered waypoint identifier based on results from the searching, the completed waypoint identifier forming a user-selectable navigational waypoint for use.
[0013] In an alternative embodiment, a computer implemented method and corresponding apparatus for filling in an entry field with a desired waypoint identifier includes: i) generating an initial vicinity list of waypoint identifiers from a database of waypoint identifiers using a reference position and a vicinity term, ii) generating a final vicinity list of waypoint identifiers from the initial vicinity list of waypoint identifiers using a search string followed by a character from a set of characters, iii) generating an autofill list of waypoint identifiers from the database of waypoint identifiers using the search string followed by a character from the set of characters, and iv) generating a GeoFill list of waypoint identifiers from a combination of the final vicinity list of waypoint identifiers and the autofill list of waypoint identifiers using the search string followed by a character from the set of characters, the GeoFill list of waypoint identifiers being used to fill in the entry field.
BRIEF DESCRIPTION OF THE DRAWINGS
[0014] The foregoing and other objects, features and advantages of the present invention will be apparent from the following more particular description of preferred embodiments of the present invention, as illustrated in the accompanying drawings in which like reference characters refer to the same parts throughout the different views. The drawings are not necessarily to scale, emphasis instead being placed upon illustrating the principles of the invention.
[0015] FIG. 1 is a block diagram illustrating an example flight management system supporting example embodiments of the present invention;
[0016] FIGS. 2A and 2B are block diagrams illustrating a comparison between filling an entry field with a desired waypoint identifier using an autofill technique and a GeoFill technique in accordance with example embodiments of the present invention;
[0017] FIGS. 3A-E are block diagrams illustrating example apparatuses to generate an initial vicinity list, a final vicinity list, an autofill list, and a GeoFill list of waypoint identifiers in accordance with example embodiments of the present invention;
[0018] FIG. 4 is a flow chart of an example process for filling in an entry field in accordance with an example embodiment of the present invention;
[0019] FIG. 5 is a flow chart of example process for generating an initial vicinity list of waypoint identifiers in accordance with an example embodiment of the present invention;
[0020] FIG. 6 is a flow chart of an example process for generating a final vicinity list of waypoint identifiers in accordance with an example embodiment of the present invention;
[0021] FIG. 7 is a flow chart of an example process for generating an autofill list of waypoint identifiers in accordance with an example embodiment of the present invention; and
[0022] FIG. 8 is a flow chart of an example process for generating a GeoFill list of waypoint identifiers in accordance with an example embodiment of the present invention.
DETAILED DESCRIPTION OF THE INVENTION
[0023] A description of example embodiments of the present invention follows.
[0024] FIG. 1 is a block diagram illustrating a flight management system (FMS) 10 supporting example embodiments of the present invention. The FMS 10 includes a digital processor 15 , a memory 20 , a data entry device 25 , and a display unit 30 , such as a Multifunction Display (MFD) or monitor.
[0025] In operation, a user 11 (e.g., a pilot or navigator) enters a character(s) of a desired waypoint identifier into the FMS 10 via the data entry device 25 . In response to the entered character(s), the FMS 10 searches a database of waypoint identifiers stored in the memory 20 . The search is based in part on the character(s) entered by the user 11 and a geographical relationship between a geographical location of each waypoint identifier stored in the memory 20 and a location of a reference location or area (described in greater detail below). The result of the search is displayed back to the user 11 on the display 30 .
[0026] FIG. 1 is merely an example illustration of a configuration supporting example embodiments of the present invention, and as such, one of ordinary skill in the art will readily recognize that other configurations are also contemplated. For example, the digital processor 15 and the memory 20 may be integrated onto a single integrated circuit. In another example, the data entry device 25 may be a keyboard, a keypad, a trackball, microphone, voice activated unit, or other input device known in the art. In yet another example, the display 30 may be a Primary Flight Display (PFD).
[0027] FIG. 2A illustrates a comparison between filling in or otherwise completing a first entry field 205 with a desired waypoint identifier “ACALA” using a technique according to embodiments of the present invention, hereinafter referred to as GeoFill, and filling in a second entry field 206 with the same desired waypoint identifier “ACALA” using an automatic complete text entry or autofill technique.
[0028] For this comparison, assume a database of waypoint identifiers includes (amongst others) waypoint identifiers “ACABE” and “ACALA.” Also assume for this comparison the waypoint identifier “ACALA” is closer to a reference position then the waypoint identifier “ACABE.” As will be described later, whether a waypoint identifier is “close” or “geographically close” to a reference position or not, may be determined by whether the distance between the waypoint identifier and the reference position is within a vicinity term. Continuing with this example, a search string “AC” 207 a is used to search the database of waypoint identifiers for the desired waypoint identifier “ACALA.”
[0029] Using an example autofill technique, the database is searched for waypoint identifiers beginning with the search string “AC” 207 a . However, not every occurrence of the search string “AC” 207 a found is returned using the autofill technique. Rather, for each character in a set of characters (e.g., A-Z), autofill returns a first occurrence of the search string followed by a character from the set of characters. As such, an autofill list 211 a is populated, with a first waypoint identifier beginning with “AC” followed by “A,” a first waypoint identifier beginning with “AC” followed by “B,” and so on.
[0030] Because the autofill list 211 a is populated only with the first occurrence of the search string “AC” 207 a followed by a character from a set of characters and “ACABE” is the first occurrence of the search string “AC” 207 a followed by “A,” the second entry field 206 is filled in with “ACABE,” rather than the desired waypoint identifier “ACALA.” To fill in the second entry field 206 with the desired waypoint identifier “ACALA,” an additional character must be added to the search string “AC” 207 a . In other words, the autofill technique requires entering in an additional character.
[0031] The database of waypoint identifiers is now searched with a “longer” search string “ACA” 207 b . As before, a resulting autofill list 211 b is populated with a first waypoint identifier beginning with “ACA” followed by “A,” a first waypoint identifier beginning with “ACA” followed by “B,” and so on. Because the autofill list 211 b is populated with the first occurrence of the search string “ACA” 207 b followed by a character from a set of characters and “ACALA” is a first single occurrence of the search string “ACA” 207 b followed by “L,” the second entry field 206 can now be filled in with the desired waypoint identifier.
[0032] Another example autofill technique selects the most likely text identifier by comparing entered characters typed against those corresponding sequential text identifiers previously stored within a database. That is, after entering a first character and locating a first waypoint identifier with the first entered character, a second waypoint identifier with a second entered character is located by comparing the entered second character with the next waypoint identifier in sequence. In this way, this autofill technique uses a search criterion which is based on a pre-existing ordering, namely, the sequential ordering of waypoint identifiers in the database. Pre-existing orderings are typically alphabetical or alphanumerical or other sequential ordering.
[0033] The distinction between the two autofill techniques described above is illustrated by considering the following example. A database of waypoint identifiers includes the following waypoint identifiers in the following order: “HBSR 1 ,” “HBSR 2 ,” and “HBSR 3 .” Using a search string “HBSR” and a character from a set of characters (e.g., the numeral “2”) the first autofill technique returns “HBSR 2 ,” which is the second waypoint identifier, as ordered in the database of waypoint identifiers. Using the same search string “HBSR,” the second autofill technique compares in sequence the entered characters “HBSR” with the waypoint identifiers stored within the database. Because “HBSR 1 ” is before “HBSR 2 ” and “HBSR 3 ” in sequence, the second autofill technique returns the “HBSR 1 ,” not “HBSR 2 ” or “HBSR 3 .”
[0034] The second autofill technique is further distinguished from the first autofill technique. Unlike the first described autofill technique, which uses a search string followed by a character from a set of characters (i.e., a concatenated search string) to search, the second autofill technique relies solely on a search string. Consequently, the second autofill technique requires at least one character to be entered.
[0035] In contrast to either autofill techniques described above, the GeoFill technique uses a search criterion not based on a pre-existing ordering, such as alphanumerical ordering or sequential ordering of waypoint identifiers previously stored within a database. Rather, GeoFill uses, as a search criterion, a geographical relationship between a location of a waypoint identifier and a reference position or area. In this way, GeoFill returns for each character in a set of characters, a closest single occurrence of a search string followed by a character from the set of characters (described in greater detail below).
[0036] An assumption is made that the desired waypoint identifier is in a vicinity of a reference position. However, a priori knowledge of the reference position (e.g., designating a reference position in a flight plan) is not required. For example, a reference position may be continuously updated. In this way, it may be further assumed that the desired waypoint identifier is in a vicinity of a current (sensed or calculated) reference position. Furthermore, the reference position need not lie in a general direction of a destination. For example, a change in events may necessitate a deviation and require travel not in a general direction of a destination. In this way, GeoFill is not the same as identifying a most likely waypoint identifier that is geographically closest to, for example, a previous flight plane waypoint identifier or a waypoint identifier which lies in a general direction of a destination.
[0037] Continuing with FIG. 2A , because a GeoFill list 210 is populated with a closest waypoint identifier beginning with the search string “AC” 207 a followed by a character from a set of characters and “ACALA” is the closest occurrence of the search string “AC” 207 a followed by “A,” the first entry field 205 is filled in with the desired waypoint identifier.
[0038] As FIG. 2A illustrates, filling in an entry field with a desired waypoint identifier using the autofill technique may require entering a “longer” search string than using GeoFill. As such, filling in an entry field with a desired waypoint identifier using the autofill technique may require more time (or user steps) than using GeoFill.
[0039] FIG. 2B illustrates using GeoFill to fill in an entry field 255 with a desired waypoint identifier based on an entry of no characters, i.e., a NULL search string 257 . As an illustration, given a set of characters “A-Z,” a GeoFill list 260 is populated with a geographically closest occurrence of a waypoint identifier with “A,” a geographically closest occurrence of a waypoint identifier with “B,” and so on. In this way, GeoFill is not the same as presenting likely text identifiers based on entry of a character of a text identifier for comparison and auto completion of the identifier.
[0040] Continuing with the example illustrated in FIG. 2B , using the NULL search string 257 , GeoFill returns for each character in a set of characters, a geographically closest occurrence of a waypoint identifier formed of the NULL search string 257 followed by a character from the set of characters. Because a GeoFill list 260 is populated with a geographically closest waypoint identifier beginning with the NULL search string 257 followed by a character from a set of characters and “ACALA” is the geographically closest occurrence of a waypoint identifier having the NULL search string 257 followed by “A,” the entry field 255 is filled in with the desired waypoint identifier.
[0041] FIGS. 2A and 2B illustrate the listing of waypoint identifiers (e.g., 210 , 211 a - b , and 260 ) as a display element capable of presenting multiple lines simultaneously. One skilled in the art, however, will readily recognize there may be alternative ways to display a listing of candidate waypoint identifiers. For example, a single-lined display element with scroll feature may be used. Additionally, a cursor (e.g., 215 ) indicates a character in the subject search string to be changed. In another example embodiment, a highlight (or highlighting) may be used to indicate a character to be changed. Moreover, the MFD 30 (of FIG. 1 ) may affect a manner in which an entry field and a listing of waypoint identifiers are displayed. These alternatives are within the contemplation of example embodiments of the invention.
[0042] For purposes of illustrating and describing principles and concepts of the present invention, example embodiments are illustrated and described as processing and producing “lists.” This is merely a convenient way for illustrating and describing the principles of the present invention and is not intended to limit embodiments of the present invention to list.
[0043] FIG. 3A illustrates an example apparatus 300 to fill in an entry field (e.g., 205 of FIG. 2A ) with a desired waypoint identifier. In brief overview, the example apparatus 300 , from database waypoint identifiers 305 , generates a GeoFill list of candidate waypoint identifiers 355 . The GeoFill list of candidate waypoint identifiers 355 is used to fill in the entry field with the desired waypoint identifier.
[0044] In further detail, from the database of waypoint identifiers 305 , an initial vicinity list generator 306 generates an initial vicinity list of waypoint identifiers 320 . From the generated initial vicinity list of waypoint identifiers 320 , a final vicinity list generator 321 (being coupled to or otherwise responsive to the initial vicinity list generator 306 ) generates a final vicinity list of waypoint identifiers 335 .
[0045] Also from the database of waypoint identifiers 305 , an autofill list generator 308 generates an autofill list of waypoint identifiers 345 . From the generated final vicinity list of waypoint identifiers 335 and the generated autofill list of waypoint identifiers 345 , a GeoFill list generator 323 (being coupled to or otherwise responsive to both the final vicinity list generator 321 and the autofill list generator 308 ) generates the GeoFill list of waypoint identifiers 355 .
[0046] Having provided an overview, further details of the initial vicinity list generator 306 , the autofill list generator 308 , the final vicinity list generator 321 , and the GeoFill list generator 323 are provided below in reference to FIGS. 3B-3E .
[0047] FIGS. 3B-3E illustrate in greater detail filling in an entry field (e.g., 205 of FIG. 2A ) with a desired waypoint identifier using a reference position “ACALA” 310 and a search string “AC” 325 . More particularly, the database of waypoint identifiers 305 is searched for waypoint identifiers which are “geographically close” to the reference position “ACALA” 310 and begin with the search string “AC” 325 .
[0048] In FIG. 3B , from the database of waypoint identifiers 305 , the initial vicinity list generator 306 generates the initial vicinity list 320 . The initial vicinity list generator 306 includes a logic unit 307 to include a waypoint identifier from the database of waypoint identifiers 305 in an event the distance between the waypoint identifier and the reference position “ACALA” 310 is within or is otherwise less than or equal to a vicinity term 315 . As such, the generated initial vicinity list 320 is populated with waypoint identifiers from the database of waypoint identifiers 305 whose distance from the reference position “ACALA” 310 are within the vicinity term 315 . In contrast, waypoint identifiers from the database of waypoint identifiers 305 whose distance from the reference position “ACALA” 310 are not within or otherwise greater than the vicinity term 315 are not included in the generated initial vicinity list 320 . In this way, a “geographically close” or “geographically closest” waypoint identifier to a reference position is determined by whether the distance between the waypoint identifier and the reference position is within a vicinity term.
[0049] In FIG. 3C , from the initial vicinity list 320 , the final vicinity list generator 321 generates the final vicinity list 335 . The final vicinity list generator 321 includes a logic unit 322 to include waypoint identifiers from the initial vicinity list 320 as described below.
[0050] A search string is concatenated with a character from a set of characters to form a concatenated search string. For example a NULL search string (i.e., a search string with zero characters) is concatenated with a character from a set of characters “A” through “Z,” to form concatenated search strings “A,” “B,” “C,” and so on. In another example, a search string “ 1 ” is concatenated with a character from a set of characters “A” through “Z,” to form concatenated search strings “ 1 A,” “ 1 B.” “ 1 C,” and so on.
[0051] Continuing with FIG. 3C , the search string “AC” 325 is concatenated with characters from the set of characters “A-Z” 330 to form concatenated search strings “ACA,” “ACB,” “ACC,” and so on. The logic unit 322 includes waypoints identifiers beginning with these concatenated search strings. However, the logic unit 322 does not include every waypoint identifier beginning with the concatenated search strings. That is, not every occurrence of the concatenated search strings is included. While there may be more than one occurrence of any given concatenated search string, the logic unit 322 includes from the initial vicinity list 320 , one or otherwise a single occurrence of each concatenated search string.
[0052] Because the initial vicinity list 320 itself includes waypoint identifiers whose distances to the reference position 310 are within the vicinity term 315 , the logic unit 322 may be said to include a waypoint identifier which is the closest single occurrence of a concatenated search string. In this way, the generated final vicinity list 335 is populated with waypoint identifiers whose distance from the reference position “ACALA” 310 are within the vicinity term 315 , and are single occurrences of the search string “AC” 325 concatenated with characters from the set of characters “A-Z” 330 . The following example illustrates the above in greater detail.
[0053] In a first iteration 340 a , the initial vicinity list of waypoint identifiers 320 is searched for a geographically closest single occurrence of a concatenated search string “ACA” (formed from concatenating the search string “AC” 325 with a character “A” from the set of characters “A-Z” 330 ). In the initial vicinity list of waypoint identifiers 320 , there are multiple occurrences of the concatenated search string “ACA,” namely, a waypoint identifier “ACALA” 341 and a waypoint identifier “ACABE” 342 . The subject or working reference position “ACALA” 310 , however, is geographically closer to the waypoint identifier “ACALA” 341 , than to the waypoint identifier “ACABE” 342 . Accordingly, the closest single occurrence of the concatenated search string “ACA” is the waypoint identifier “ACALA” 341 . After the first iteration 340 a , a final vicinity list of waypoint identifiers 335 a includes the waypoint identifier “ACALA” 341 , but not the waypoint identifier “ACABE” 342 .
[0054] In another example embodiment, a final vicinity list of waypoint identifiers 335 includes a preferred single occurrence of a concatenated search string. In contrast, to a geographically closest single occurrence of a concatenated search string described above, if a waypoint identifier is preferred or is otherwise a preferred navaid, it is included in the final vicinity list of waypoint identifiers 335 , while a waypoint identifier which is closest to a reference position is not. For example, if the waypoint identifier “ACABE” 342 is a preferred navaid, it is included in the final vicinity list of waypoint identifiers 335 despite the waypoint identifier “ACALA” 341 being geographically closest to the reference position “ACALA” 310 .
[0055] In a second iteration 340 b , the initial vicinity list of waypoint identifiers 320 is searched for a geographically closest single occurrence of a concatenated search string “ACB” (formed from concatenating the search string “AC” 325 with a character “B” from the set of characters “A-Z” 330 ). There are no occurrences of the concatenated search string “ACB” in the initial vicinity list of waypoint identifiers 320 . Consequently, after the second iteration 340 b , a final vicinity list of waypoint identifiers 335 b includes the waypoint identifier “ACALA” 341 (from the first iteration 340 a ).
[0056] Subsequent iterations are likewise performed. After an nth iteration 340 n , a final vicinity list of waypoint identifiers 335 n includes a geographically closest single occurrence for each concatenated search string.
[0057] In FIG. 3D , from the database of waypoint identifiers 305 , the autofill list generator 308 generates the autofill list 345 . The autofill list generator 308 includes a logic unit 309 to include a waypoint identifier from the database of waypoint identifiers 305 as described below.
[0058] Similar to generating the final vicinity list of waypoint identifiers 335 , described above, the search string “AC” 325 is concatenated with characters from the set of characters “A-Z” 330 to form concatenated search strings. The concatenated search strings are used to search the database of waypoint identifiers 305 . Again, not every occurrence of each concatenated search string is included in the generated autofill list of waypoint identifiers 345 . While there may be more than one occurrence of any given concatenated search string, the logic unit 309 includes a first single occurrence of each concatenated search string. The first single occurrence of each concatenated search string may be first in terms of, for example, alphanumerical ordering, an ordering in the database of waypoint identifiers 305 , or other ordering. In this way, the generated autofill list of waypoint identifiers 345 is populated with the first single occurrence of the search string “AC” 325 followed by a character from the set of characters “A-Z” 330 . The following example illustrates the above in greater detail.
[0059] In a first iteration 350 a , the database of waypoint identifiers 305 is searched for a first single occurrence of a concatenated search string “ACA” (formed from concatenating the search string “AC” 325 with a character “A” from the set of characters “A-Z” 330 ). In the database of waypoint identifiers 305 there are multiple occurrences of the concatenated search string “ACA,” namely, the waypoint identifier “ACALA” 341 and the waypoint identifier “ACABE” 342 . In the database of waypoint identifiers 305 , the waypoint identifier “ACALA” 341 is preceded by the waypoint identifier “ACABE” 342 . As such, the first single occurrence of the concatenated search string “ACA” is the waypoint identifier “ACABE” 342 . After the first iteration 350 a , an autofill list of waypoint identifiers 345 a includes the waypoint identifier “ACABE” 342 , but not the waypoint identifier “ACALA” 341 .
[0060] In the above example embodiment, the autofill list of waypoint identifiers 345 includes a first single occurrence of each concatenated search string. Alternatively, an included single occurrence may not be first, but may be, for example, last or preferred. One skilled in the art will readily recognize these and other alternatives are all within the contemplation of the invention.
[0061] Continuing with FIG. 3D , in a second iteration 350 b , the database of waypoint identifiers 305 is searched for a first single occurrence of a concatenated search string “ACB” (formed from concatenating the search string “AC” 325 with a character “B” from the set of characters “A-Z” 330 ). There are no occurrences of the concatenated search string “ACB” in the database of waypoint identifiers 305 . Consequently, after the second iteration 350 b , an autofill list of waypoint identifiers 345 b includes the waypoint identifier “ACABE” 342 (from the first iteration 350 a ).
[0062] Subsequent iterations are likewise performed. After an nth iteration 350 n , an autofill list of waypoint identifiers 345 n includes a first single occurrence for each concatenated search string.
[0063] In FIG. 3E , from the final vicinity list 335 and the autofill list 345 , the GeoFill list generator 323 generates the GeoFill list 355 . The GeoFill list generator 323 includes a logic unit 324 to include a waypoint identifier either from the final vicinity list 335 and the autofill list 345 as described below.
[0064] Similar to generating the autofill list of waypoint identifiers 335 , described above, the search string “AC” 325 is concatenated with characters from the set of characters “A-Z” 330 to form concatenated search strings. The concatenated search strings are used to search the final vicinity list 335 . If a concatenated search string occurs in the final vicinity list 335 , the logic unit 324 includes the occurrence (i.e., a waypoint identifier beginning with the concatenated search string) from the final vicinity list 335 . In this instance, the GeoFill list of waypoint identifiers 355 is populated with a geographically closest single occurrence of the concatenated search string. Recall, a “geographically close” or “geographically closest” waypoint identifier to a reference position is determined by whether the distance between the waypoint identifier and the reference position is within a vicinity term.
[0065] If, however, the concatenated search string does not occur in the final vicinity list of waypoint identifiers 335 , but does occur in the autofill list of waypoint identifiers 345 , the logic unit 324 includes the occurrence from the autofill list of waypoint identifiers 345 . In this instance, the GeoFill list of waypoint identifiers 355 is populated with a first single occurrence of a concatenated search string. In this way, the GeoFill list of waypoint identifiers 355 may be populated with both the geographically closest and the first single occurrences of the search string “AC” 325 followed by a character from the set of characters “A-Z” 330 .
[0066] If such an occurrence is neither found in the final vicinity list of waypoint identifiers 335 nor in the autofill list of waypoint identifiers 345 , then no waypoint identifier is included in the GeoFill of waypoint identifiers 355 .
[0067] In one embodiment, if an occurrence of a concatenated search string is found in both the final vicinity list 335 and the autofill list of waypoint identifiers 345 , the logic unit 324 includes the occurrence from the final vicinity list 335 rather then from the autofill list 345 . In this way, the logic unit 324 may be said to prefer a waypoint identifier from the final vicinity list 335 over a waypoint identifier from the autofill list 345 . However, as described above, in an event the concatenated search string does not occur in the final vicinity list of waypoint identifiers 335 , but does occur in the autofill list of waypoint identifiers 345 , the logic unit 324 includes the occurrence from the autofill list of waypoint identifiers 345 . As such, the GeoFill list of waypoint identifiers 355 may be preferably populated with the closest single occurrences of the search string “AC” 325 followed by a character from the set of characters “A-Z” 330 . The following example illustrates the above in greater detail.
[0068] In a first iteration 360 a , the final vicinity list of waypoint identifiers 335 is searched for an occurrence of a concatenated search string “ACA” (formed from concatenating the search string “AC” 325 with a character “A” from the set of characters “A-Z” 330 ). The occurrence of the concatenated search string “ACA” is found, namely, the waypoint identifier “ACALA” 341 . Accordingly, after the first iteration 360 a , the waypoint identifier “ACALA” 341 (a geographically closest single occurrence of the concatenated search string “ACA”) populates a GeoFill list of waypoint identifiers 355 a.
[0069] Note there is another occurrence of the concatenated search string “ACA,” namely the waypoint identifier “ACABE” 342 from the autofill list of waypoint identifiers 345 . This waypoint identifier is not included in the GeoFill list of waypoint identifiers 355 because the occurrence of the concatenated search string “ACA” is already found in the final vicinity list of waypoint identifiers 335 . As such, it may be said there is a bias or preference for including waypoint identifiers which are geographically closest single occurrences of concatenated search strings.
[0070] In a second iteration 360 b , the final vicinity list of waypoint identifiers 335 is searched for an occurrence of a concatenated search string “ACB” (formed from concatenating the search string “AC” 325 with a character “B” from the set of characters “A-Z” 330 ). There is no occurrence of the concatenated search string “ACB” in the final vicinity list of waypoint identifiers 335 . Subsequently, the autofill list of waypoint identifiers 345 is also searched for an occurrence of the concatenated search string “ACB.” Likewise, there is no occurrence of the concatenated search string “ACB” in the autofill list of waypoint identifiers 345 . Consequently, after the second iteration 360 b , a GeoFill list of waypoint identifiers 355 b includes the waypoint identifier “ACALA” 341 (from the first iteration 360 a ).
[0071] Subsequent iterations are likewise performed. After an nth iteration 350 n , GeoFill list of waypoint identifiers 355 n includes an occurrence for each concatenated search string. Each occurrence of a given concatenated search string maybe a geographically closest single occurrence or a first single occurrence, as described above in iterations 360 a and 360 b.
[0072] Waypoint identifiers from the generated GeoFill list of waypoint identifiers 355 are subsequently used to fill in an entry field (e.g., the entry field 205 of FIG. 2A ). Accordingly, the entry field is filled in with waypoint identifiers which begin with a search string followed by a character from a set of characters, and which are either closest to a reference position or if not closest geographically, then a first occurrence in a database of waypoint identifiers.
[0073] While FIGS. 3A-3F illustrate and corresponding text describes example embodiments of the present invention in reference to lists, one skilled in the art will readily recognize that such references are merely for convenience. Furthermore, principles of the present invention are not intended to be limited to lists, but are applicable to other forms of collections of data, such as sets (ordered and unordered).
[0074] FIG. 4 is a flow diagram illustrating an example invention process 400 for filling in an entry field (e.g., 205 of FIG. 2A ) with a desired waypoint identifier. An initial vicinity list of waypoint identifiers (e.g., 320 of FIGS. 3A and 3B ) is generated ( 405 ) from a database of waypoint identifiers (e.g., 305 of FIG. 3A ) using a reference position (e.g., 310 of FIG. 3B ) and a vicinity term (e.g., 315 of FIG. 3B ).
[0075] A final vicinity list of waypoint identifiers (e.g., 335 of FIG. 3C ) is generated ( 410 ) from the initial vicinity list of waypoint identifiers (generated at 405 ) using a search string (e.g., 325 of FIG. 3C ) and a character from a set of characters (e.g., 330 of FIG. 3C ).
[0076] An autofill list of waypoint identifiers (e.g., 345 of FIG. 3D ) is generated ( 415 ) from the database of waypoint identifiers using the search string and a character from the set of characters.
[0077] A GeoFill list of waypoint identifiers (e.g., 355 of FIG. 3D ) is generated ( 420 ) from a combination of both the final vicinity list of waypoint identifiers (generated at 410 ) and the autofill list of waypoint identifiers (generated at 415 ) using the search string and a character from the set of characters.
[0078] Waypoint identifiers from the resulting GeoFill list are used to fill in the entry field with the desired waypoint identifier.
[0079] FIG. 5 is a flow diagram illustrating an example process 500 for generating an initial vicinity list of waypoint identifiers (e.g., 320 of FIG. 3B ) from a database of waypoint identifiers (e.g., 305 of FIG. 3B ) using a reference position (e.g., 310 of FIG. 3B ) and a vicinity term (e.g., 315 of FIG. 3B ). A distance between a waypoint identifier from the database of waypoint identifiers 305 and the reference position 310 is computed ( 505 ). If at 510 the computed distance is within (e.g., less than or equal to) the vicinity term 315 , the waypoint identifier is included ( 515 ) in the initial vicinity list of waypoint identifiers 320 . If, however, at 510 the computed distance is not within (e.g., greater than) the vicinity term 315 , the waypoint identifier is excluded ( 520 ) from the initial vicinity list of waypoint identifiers 320 .
[0080] If there are more waypoint identifiers ( 525 a and 525 b ) in the database of waypoint identifiers 305 , the process 500 returns to compute ( 505 ) a distance between a next waypoint identifier and the reference position 310 . Consequently, the generated initial vicinity list of waypoint identifier 320 includes waypoint identifiers within (or otherwise less than or equal to) the vicinity term 315 , and does not include waypoint identifiers not within (or otherwise greater than) the vicinity term 315 .
[0081] In an example embodiment, the vicinity term 315 used to include and exclude waypoint identifiers from the initial vicinity list of waypoint identifiers 320 is defined by a user, such as a pilot of an aircraft. The user may define the vicinity term 315 to be small, and thereby limit the included waypoint identifiers to waypoint identifiers which are geographically closer to the reference position 310 . Alternatively, the user may define the vicinity term 315 to be relatively large, and thereby expand the included waypoint identifiers to waypoint identifiers which are geographically further from the reference position 310 . In this way, the user may determine which waypoint identifiers are included and which are excluded from the initial vicinity list of waypoint identifiers 320 generated by the process 500 .
[0082] In another example embodiment, the vicinity term 315 used to include and exclude waypoint identifiers from the initial vicinity list of waypoint identifiers 320 is defined in response to the size of the generated initial vicinity list of waypoint identifiers 320 . That is, the vicinity term 315 is increased, causing the process 500 to include more waypoint identifiers if the initial vicinity list of waypoint identifiers 320 would otherwise be small in number. Conversely, the vicinity term 315 is decreased if the initial vicinity list of waypoint identifiers 320 would otherwise be large in number. In yet another example embodiment, the vicinity term 315 is defined by an application, such as Federal Aviation Administration (FAA) regulations, particular flight procedures or particular flight conditions.
[0083] FIG. 6 is a flow diagram illustrating an example process 600 for generating a final vicinity list of waypoint identifiers (e.g., 335 of FIG. 3C ) from an initial vicinity list of waypoint identifiers (e.g., 320 of FIG. 3C ) using a search string (e.g., 325 of FIG. 3C ) and a character from a set of characters (e.g., 330 of FIG. 3C ). The search string 325 is concatenated ( 605 ) with a character from the set of characters 330 to form a concatenated search string.
[0084] The initial vicinity list of waypoint identifiers 320 is searched ( 610 ) for an occurrence of the concatenated search string. If a closest single occurrence of the concatenated search string is found ( 615 ) (i.e., a waypoint identifier beginning with the concatenated search string and is geographically closest to the reference position 310 ) the waypoint identifier is included ( 620 ) in the final vicinity list of waypoint identifiers 335 . If, however, a closest single occurrence is not found, the waypoint identifier is excluded ( 625 ) from the final vicinity list of waypoint identifiers 335 .
[0085] After including the waypoint identifier ( 620 ) or excluding the waypoint identifier ( 625 ) from the final vicinity list of waypoint identifiers 335 , if there are more waypoint identifiers ( 630 a and 630 b ) in the initial vicinity list of waypoint identifiers 320 , the process 600 returns to concatenate ( 605 ) the search string 325 with a next character from the set of characters 330 . Consequently, the final vicinity list of waypoint identifiers 335 includes a geographically closest single occurrence for each concatenated search string.
[0086] FIG. 7 is a flow diagram illustrating an example process 700 for generating an autofill list of waypoint identifiers (e.g., 345 of FIG. 3D ) from a database of waypoint identifiers (e.g., 305 of FIG. 3D ) using a search string (e.g., 325 of FIG. 3D ) and a character from a set of characters (e.g., 330 of FIG. 3D ). The search string 325 is concatenated ( 705 ) with a character from the set of characters 330 to form a concatenated search string.
[0087] The database of waypoint identifiers 305 is searched ( 710 ) for an occurrence of the concatenated search string. If a first single occurrence of the concatenated search string is found ( 715 ) (i.e., a waypoint identifier beginning with the concatenated search string and proceeding other occurrences of the concatenated search string, for example, alphanumerically or by some other ordering) the waypoint identifier is included ( 720 ) in the autofill list of waypoint identifiers 345 . If, however, a first single occurrence is not found, the waypoint identifier is excluded ( 725 ) from the autofill list of waypoint identifiers 345 .
[0088] After including the waypoint identifier ( 720 ) or excluding the waypoint identifier ( 725 ) from the autofill list of waypoint identifiers 345 , if there are more waypoint identifiers ( 730 a and 730 b ) in the database of waypoint identifiers 305 , the process 700 returns to concatenate ( 705 ) the search string 325 with a next character from the set of characters 330 . Consequently, the autofill list of waypoint identifiers 345 includes a first single occurrence for each concatenated search string.
[0089] FIG. 8 is a flow diagram illustrating an example process 800 for generating a GeoFill list of waypoint identifiers (e.g., 355 of FIG. 3E ) from a combination of a final vicinity list of waypoint identifiers (e.g., 335 of FIG. 3E ) and an autofill list of waypoint identifiers (e.g., 345 of FIG. 3E ) using a search string (e.g., 325 of FIG. 3E ) and a character from a set of characters (e.g., 330 of FIG. 3E ). Recall from FIG. 6 above, the final vicinity list 335 of waypoint identifiers includes a respective geographically closest single occurrence of each concatenated search string. Also recall from FIG. 7 above, the autofill list 345 of waypoint identifiers includes a first single occurrence of each concatenated search string.
[0090] The search string 325 is concatenated ( 805 ) with a character from the set of characters 330 to form a concatenated search string. The final vicinity list 335 of waypoint identifiers and the autofill list 345 of waypoint identifiers are searched ( 810 ) for an occurrence of the concatenated search string. If a geographically closest single occurrence of the concatenated search string is found ( 815 ) (i.e., a waypoint identifier from the final vicinity list 335 of waypoint identifiers), the found waypoint identifier is included ( 820 ) in the GeoFill list 355 of waypoint identifiers. If, however, a geographically closest single occurrence is not found, but a first single occurrence of the concatenated search string is found ( 825 ) (i.e., a waypoint identifier from the autofill list 345 of waypoint identifiers) the found waypoint identifier is included ( 820 ) in the GeoFill list 355 of waypoint identifiers. If neither a geographically closest single occurrence nor a first single occurrence is found, no waypoint identifier is added ( 830 ) to the GeoFill list 355 of waypoint identifiers at this time.
[0091] After including the waypoint identifier ( 820 ) or excluding the waypoint identifier ( 830 ) from the GeoFill list 355 of waypoint identifiers, if there are more waypoint identifiers ( 835 a and 835 b ) in the final vicinity list 335 of waypoint identifiers or the autofill list 345 of waypoint identifiers, the process 800 returns to concatenate ( 805 ) the search string 325 with a next character from the set of characters 330 . Consequently, the GeoFill list 355 of waypoint identifiers includes a geographically closest single occurrence or a first single occurrence for each concatenated search string.
[0092] While this invention has been particularly shown and described with references to preferred embodiments thereof, it will be understood by those skilled in the art that various changes in form and details may be made therein without departing from the scope of the invention encompassed by the appended claims.
[0093] For example, the above described apparatuses and processes may not be limited to waypoint identifiers, but may include other types of identifiers, such as procedure identifiers or approach identifiers. In an example embodiment, a database of identifiers may be searched by indicating an identifier type along with providing a search string, a reference position and a vicinity term. Accordingly, the above described apparatuses and processes would be applied to those identifiers having a same type as the indicated identifier type.
[0094] Moreover, while some example embodiments are illustrated within the context of aviation, one skilled in the art will readily recognize embodiments of the present invention are applicable to other navigational applications, such as aeronautical, terrestrial, and nautical and the like. For example, embodiments of the GeoFill technique may be used to select navigational waypoints for navigating a car or a ship.
[0095] The term “list” is used throughout this disclosure, for example, the GeoFill list of waypoint identifiers 355 of FIG. 3E . It should be noted, however, such use is not intended to limit the present invention to only lists. Generally, example embodiments of the present invention relate to processing a first collection of data or “data collection” and producing a second data collection or “resultant.” In processing the first data collection and producing the second data collection, there may be one or more intermediate data collections or “working data collections.”
[0096] For example, consider FIG. 3C again. The final vicinity list generator 321 processes the initial vicinity list 320 (a first data collection) and produces the final vicinity list 335 (a second data collection). At each iteration in processing the initial vicinity list 320 and producing the final vicinity list 335 , there is an intermediate final vicinity list 335 a . . . 335 n (a working data collection).
[0097] It should be readily recognized by those skilled in the art that the first data collection, the second data collection, and the working data collection may be implemented as various data computer structures, such as an array or double-linked list. Additionally, such data collections may be presented to a user in a variety of forms and formats, such as a table listing every entry from a data collection or as a single entry listing one entry from a data collection.
[0098] It should be understood that the block diagrams (e.g., FIGS. 2A-3E ) and flow diagrams (e.g., FIGS. 5-8 ) may include more or fewer elements, be arranged differently, or be represented differently. It should be understood that implementation may dictate the block and flow diagrams and the number of block and flow diagrams illustrating the execution of embodiments of the invention.
[0099] For example, a GeoFill list of waypoint identifiers may be alternatively generated by replacing entities in an autofill list of waypoint identifiers with waypoint identifiers from a vicinity list of waypoint identifiers that match a search string and that are closest to a reference position.
[0100] In this alternative implementation, a database of waypoint identifiers is searched for database entities in the vicinity of a reference position. The results of this first search are placed into a “vicinity list” (or an initial vicinity list). The “vicinity” (or vicinity term) is typically defined as an area within a specified radius of the reference position, but may be tuned based on the application. The vicinity list is then filtered such that a “resulting vicinity list” (or final vicinity list) contains the geographically closest entity with a unique identifier (or geographically closest single occurrence of the search string followed by a character from a set of characters).
[0101] In removing or otherwise filtering duplicates from the resulting vicinity list, additional criteria may be applied to determine which entity should remain. For example, one may prefer a navaid named “ABC” over a waypoint identifier named “ABCDE” when a search string is “AB”, even though the waypoint identifier “ABCDE” may be geographically closer to the reference position.
[0102] Once the vicinity list is completely filtered, the database of waypoint identifiers is searched with the search string for all entities starting with the specified search string. The list of waypoint identifier (or autofill list) resulting from this initial search is filtered such that only one entry exists for each possible character following the search string (or a single occurrence of the search string followed by a character from a set of characters).
[0103] Each entity in the autofill list that has a matching waypoint identifier in the vicinity list (according to the search string) is replaced with the entity from the vicinity list. The resulting list is considered a GeoFill list. Entities from the GeoFill list are used to fill in an entry field.
[0104] The reference position 310 may be defined or otherwise established by current location, location on a flight plan or other appropriate location.
[0105] It should be further understood that elements of the block diagrams (e.g., FIGS. 2A-3E ) and flow diagrams (e.g., FIGS. 5-8 ) described above may be implemented in software, hardware, or firmware. In addition, the elements of the block diagrams and flow diagrams described above may be combined or divided in any manner in software, hardware, or firmware. If implemented in software, the software may be written in any language that can support the embodiments disclosed herein. The software may be stored on any form of computer-readable medium, such as random access memory (RAM), read only memory (ROM), compact disk read only memory (CD-ROM), and so forth. In operation, a general purpose or application specific processor loads and executes the software in a manner well understood in the art. | Entering an identifier to select a navigational waypoint requires “head-down” time, resulting in less time for operating a vehicle. Accordingly, a technique for selecting a navigational waypoint for use is provided. The present invention includes receiving a partially entered identifier identifying, in part, a navigational waypoint for use, searching for the navigational waypoint for use from amongst a plurality of identifiers using the partially entered identifier and a search criterion other than a criterion based on a pre-existing ordering of the plurality of identifiers, and completing the partially entered waypoint identifier based on results from the searching. The completed waypoint identifier forms a user-selectable navigational waypoint for use. The present invention uses as a search criterion a geographical relationship between a location of each identifier of the plurality and a reference location/area to reduce the number of user-entered characters needed to select a navigational waypoint, thereby reducing “head-down” time. | 58,137 |
RELATED APPLICATION
[0001] This application claims the benefit under Title 35, U.S.C. §119(c) to U.S. Provisional Application Ser. No. 61/216,863, entitled “Discipline and System for Enterprise Software Requirements Modeling and Management” by Jerry Zhu, filed on May, 26, 2009, which is herein incorporated in its entity by reference for all purposes.
FIELD OF THE INVENTION
[0002] The present invention pertains to software development. More specifically, the present invention relates to methods and systems for defining enterprise software requirements that have three attributes: consistent (free of contradiction), complete (no missing requirements), and normalized (free of redundancy) prior to coding.
BACKGROUND OF THE INVENTION
[0003] Issues with Current Requirements Engineering Practice
[0004] One traditional way of documenting requirements, according to Wikipedia, has been contract style requirement lists that can run into hundreds of pages for a fairly complex system. This extremely long shopping-list like requirements are very much out of favour in modern analysis; as they have proved spectacularly unsuccessful at achieving their aims. Issues of requirements lists are plenty and some are listed below:
1. They focus on the system, what the system shall do, rather than on the understanding of the business, leading to business and software misalignment. 2. They do not transform into design specification, since they do not lend themselves to application. 3. High overhead cost, diluting important design issues by carrying around the excess baggage of all these shall statements and dealing with traceability, testability, documentation and so on. 4. False sense of mutual understanding between the stakeholders and developers and false sense of security that the developers must achieve certain things. 5. Lack of structural relationship as how the requirements fit together, their dependencies and order of implementation 6. No way of knowing what crucial requirements are missed out until later in the process. Developers can use these discovered requirements to renegotiate the terms and conditions in their favour. 7. They are imprecise, inconsistent and redundant as the more people read such requirements the more different visions of the system you get.
[0012] An alternative solution to the requirements analysis problem is rapid prototyping to build a mockup system. The mockup system simulates the important interfaces and performs the main functions of the intended system, while not necessarily being bound by the same hardware speed, size, or cost constraints. The purpose of the prototype is to make real the conceptual structure specified, so that the client can test it for consistency and usability. It allows users to visualize an application that hasn't yet been constructed. Prototypes help users get an idea of what the system will look like, and make it easier for users to make design decisions without waiting for the system to be built. Major improvements in communication between users and developers were often seen with the introduction of prototypes. Early views of applications led to fewer changes later and hence reduced overall costs. However, while proving a useful technique, prototyping did not solve the requirements problem according to Wikipedia:
1. Prototyping is an overhead and often discarded. Designers often feel compelled to use patched together prototype code in the real system, because they are afraid to ‘waste time’ starting again. 2. Prototypes principally help with design decisions and user interface design. However, they can not tell you what the requirements originally were. 3. Designers and end users can focus too much on user interface design and too little on producing a system that serves the business processes. 4. Prototypes work well for user interfaces, screen layout and screen flow but are not so useful for batch or asynchronous processes which may involve complex database updates and/or calculations. 5. Prototyping can be useful in some projects but it is merely a technique of art and contributes nothing to software engineering becoming an engineering discipline.
The Software Industry Problem
[0018] Software industry has a problem, an engineering problem shared by all software companies. The problem is being incapable of determining precisely what to build before building it, resulting in highly defective, less generic, and hard-to-maintain software. This problem causes many other problems:
1. Development begins without adequate product requirements. 2. Imprecise practice of generating time estimates for software projects. 3. Lack of engineering discipline where the number ways to design and program are as many as the number of programmers. 4. Uncontrolled intellectual rework. 25-40% of all spending of projects is wasted in intellectual rework. Every instance of rework introduces a sequential set of tasks that must be redone. Attempts to fix an error often introduce new ones. Too many errors can swamp the project. 5. High overhead cost. Overhead activities are non-value adding such as planning, monitoring, risk and quality management, testing, rework, and administration etc. Productive activities are value adding such as defining requirements, analysis, design, coding, and deployment etc. Cost effectiveness is measured by O/P ratio, the cost of overhead activity being divided by the cost of productive activity. The higher O/P-ratio the lower cost effectiveness. Current prevailing O/P ratio value is 4.
[0024] The consequences of the problem are many. They are budget overrun, schedule delays, and misalignment between business and software. If a company cannot determine precisely what software is supposed to do, how can it develop a product that meets customer needs on budget and on schedule? Two things happen when the team delivers a boat while customer wants a car:
Cancel the project. 18% of software projects are canceled. You loose lots of money. Fix it. You will need to pay extra to fix it. By fixing it, it meets your needs better. But it may not meet all your needs. You may want to use it for a while to know your needs better and how to fix it in maintenance phase. The project is challenged. 59% of projects are challenged. There is a risk. The cost of fixing it may be higher than starting from scratch.
[0027] Requirements volatility means rework that delays schedule and consumes staff effort. Developers on average spend 40% of their time fixing requirements-related errors [NIST, 2002]. If you're budgeting $500,000, you're spending about $200,000 fixing defects that originate in your requirements.
[0028] Because requirements we are managing and tracing today are fraught with errors, we need to improve them. It will cost you for not finding and fixing bad requirements as soon as possible. The cost to repair missing, erroneous, incomplete, inconsistent, or ambiguous requirements grows exponentially as your product development lifecycle proceeds. It's much cheaper to detect and fix errors earlier. Currently there are two ways to reduce requirements errors:
Improved testing infrastructure eliminates a third of requirements error induced costs by enabling earlier and more effective identification and removal of software defects [NIST, 2003]. But investing in testing infrastructure also introduces costs. It is difficult to predict whether or how much this investment will offset the cost. Improved requirements validation reduces requirements errors as they are created as opposed to testing the code when bad requirements are already converted into code. There are few requirements validation software tools in the market and their effectiveness is not apparent.
[0031] Both can reduce requirements errors in limited way but none claims to eliminate them while increasing significantly overhead cost. The fundamental problem is not in flawed requirements and how to fix them, but it is in our methods. Can we develop a new method with which requirements are created free of error in the first place? To answer this question, we need to know what is the root cause of software industry problem to be able to solve it. It is the epistemic fallacy of software engineering.
The Epistemic Fallacy of Software Engineering
[0032] Engineering activity is epitomized by two concepts: epistemology and ontology. Ontology is the study of being, of what exists and of what is think-able. It determines what types of entities constitute reality. Ontology questions the real nature of entities, how do they come into being and why. Epistemology refers to how we know what we know. Therefore, rather than focusing on the object of the investigation, it concentrates on how knowledge can be acquired on the entities being examined. This means that epistemology has to do with methods: theories, concepts, rules and the procedures applied within a discipline in order to derive at knowledge to construct the entities defined in the ontology.
[0033] Questions about the nature of the subject, what entities exist, and what artifacts to create are ontological questions. Questions about how to create what we think we know about the subject, entities, or artifacts are epistemic questions. Ontology precedes epistemology. We must know first the world as such and such in order to create the world as such and such. Epistemic fallacy reduces ontological questions to epistemic questions. It assumes that for any question of whether or not such and such exists or what to create, we should substitute the question for how we know or create what such and such exist. Without knowing what a car is and start building it, we may end up with a boat or go through extensive changes in the process. Requirements change and rework can be completely eliminated if epistemic fallacy is eliminated when we are able to define ontology in its entirety and then proceed to epistemology.
[0034] Today's prevailing software development methodologies are epistemic fallacies because they do not begin with the understanding of the problem first in order to understand the system as a conceptual whole before creating it. Only when ontological questions about enterprise software are answered with satisfaction, shall we proceed to answer epistemic questions about constructing enterprise software. They begin with requirements defined as what should be in the system, the solution, rather than the problem in the context in which the system is used. It intends to understand the system through trial and error of building the parts iteratively. Building and delivering some rooms early and making changes to them along the way to understand what house we need in the process rather than having a blueprint of the house before the ground is touched. The prevailing strategy in today's market is to build something for users to try out. Only then will we discover what really should have built. The users will be disappointed, but maybe we can do better with the second or later versions. This severely limits to the possibilities to our approach. The good news is that the ontology of enterprise software already exists and we can proceed to answer epistemic questions precisely according to this ontology. This invention is to disclose the enterprise software ontology that is built on biology of cognition, or the theory of Autopoiesis and enterprise software epistemology that is built on mathematical logic.
[0035] Phillip G. Armour, in his book “The Laws of Software Process,” said, “Software is not a product. The product is not software, it is knowledge contained in software . . . then software development can only be a knowledge acquisition activity. Coding is only a small part of the software activity, and it is getting smaller . . . . We can reasonably assert that if we already have the knowledge, then transcribing it does not require much effort.” Knowledge contained in software is the thing-in-itself independent of software. Rather, software depends on the knowledge. Logically, we shall be able to acquire complete knowledge before writing software. But this in fact is impossible with today's SE theory and practice. Enterprise software ontology describes the organization of this knowledge that serves as the framework whereby ontological questions are answered.
[0036] The invention anticipates a complete solution of requirements engineering for enterprise software with a science-based methodology called Correctness by Proof (CbyP). In contrast, today's approach is intuition-based. There are two types of knowledge: scientific and intuitive. The two types of knowledge are different. Scientific knowledge is defined as knowledge created by scientific method organized by general principles with mathematics as its basis. In our case, the mathematics is the axiomatic theory. Every axiomatic discipline is a mathematic discipline and every mathematic discipline is an axiomatic discipline. The principles include consistency, completeness and independence of axiomatic theories. Intuitive knowledge is defined as knowledge created by sense perception or intuition without inference or the use of reason. Intuition provides us with beliefs that we cannot necessarily justify. Knowledge acquires its most developed and perfected form in science. Scientific knowledge is communicable. Physics can be learned in classroom or self taught. No matter who and where on earth, what is learned is the same physics. Hence the knowledge of physics is communicable. Knowledge that cannot be communicated is intuition. By being incommunicable, it means that the more people read the knowledge the more different visions of the knowledge you get. By being communicable, no matter how many people read the knowledge, there will be only one vision of the knowledge you get. Scientific knowledge is precise and economical while intuitive knowledge is imprecise and wasteful. The design of a structure or a mechanical device to carry maximum loads or perform a specific function, for instance, is the most precise and economical when scientifically designed while imprecise and wasteful when designed on the basis of intuition. CbyP has its methods based on science hence dissolves problems inherent to today's prevailing methodologies. With CbyP, we are able to create complete requirements in form of scientific, as opposed to intuitive, knowledge that is communicable. Because all enterprise software shares a common ontology whereby tasks, quality, and performance criteria are defined. Therefore, a generic methodology is possible to put an end to the myriad of methodologies currently seen in the marketplace.
Enterprise Software as a Living Organization
[0037] Enterprise software solves enterprise problems as opposed to workers' problems. Only an enterprise can solve enterprise problems. Therefore enterprise software is an organization within an organization, having itself customers, human and nonhuman agents, systems, and administrative functions constrained by the containing organization.
[0038] According to Wikipedia: “Enterprise level software is software which provides business logic support functionality for an enterprise, typically in commercial organizations, which aims to improve the enterprise's productivity and efficiency.” Enterprise software, also called enterprise level application software, performs business functions such as accounting, production scheduling, customer information management, bank account maintenance, etc. Enterprise software is often categorized by the business function that it automates—such as accounting software or sales force automation software. Similarly for industries—for example, there are enterprise systems devised for the health care industry, or for manufacturing enterprises. It is frequently hosted on servers and simultaneously provides services to a large number of enterprises, typically over a computer network. This is in contrast to the more common single-user software applications which run on a user's own local computer and serve only one user at a time.
[0039] Enterprise software supports the mission for which it's built. For example, it should provide value to the business by offering products and services to its customers, including external and internal (e.g. organizational units and other systems) customers. Therefore, enterprise software is an organization within an organization, having itself customers, workers, technologies, systems, and administrative functions constrained by the containing organization.
[0040] Enterprise software, as a social organization, is a living unity that is born to life, grows, moves from place to place, communicates with other unities in its environment, changes with time, and dies. Viewing enterprise software as a living system allows us to incorporate the ideas from the theory of Autopoiesis [Maturana and Varela, 1992]. Below are some critical concepts about Autopoiesis.
[0041] Organization vs. structure—Organization denotes those relations that must exist among the components of a system for it to be a member of a class. Structure denotes the components and relations that actually constitute a particular unity and make its organization real. Organization serves the identity that is maintained in spite of dynamic changes over time. The ‘particulars’ of a given class's individual member's realization make up its structure.
[0042] Structural coupling—A living being is born to an initial structure in a particular place, in a medium that constitutes the ambience in which it emerges and interacts. This ambience appears to have a structural dynamics of its own, operational distinct form the living being. We have thus distinguished two structures that are going to be considered operationally independent of each other: living being and environment. Between them there is a necessary structural congruence as a result of historical recurrent interactions.
[0043] Cognition —Living systems are cognitive systems, and living as a process is a process of cognition. A living system is organizationally closed, autonomous, and self-referential. It means that the pattern of interaction with the environment is internal not external determined. A living system structurally represents its environment and specifies its interactions with the environment internally. In other words, it brings forth a world by specifying what patterns of the environment are perturbations and what changes trigger them in the system. Therefore, a cognitive system internally represents the organization of the environment and specifies its interactions with this organization. For bacteria, this representation is implemented in its molecular structure. For organisms with nervous systems, this representation is implemented in the network of neurons. For social organizations, this representation is implemented in organizational design where agents and processes are defined. In this sense, social organizations are more akin to bacteria instead of multi-cellular organisms.
[0044] Enterprise software is a living system comprising human and nonhuman agents and these agents interact forming a network. There is a structural coupling between the structure of the network and the structure of its environment. The structure of the agent network is formed in such a way that it stores information about its environment and information about interactions between itself and its environment. That is, the two types of information are encoded into the structure of the agent network. Therefore a living system is represented as three-level models. They are from bottom up environment, interaction, and network models. The upper level model deals with the structure of the lower models.
[0045] The software system to be developed is also a living system residing within the enterprise software. The environment of the software system is the agent network of the enterprise software. Similarly the software system will also represent its environment within and specifies its structural coupling with the environment. Both enterprise software and its embedded software systems are cognitive systems hence we can describe them in terms of Autopoiesis. Together, enterprise software is modeled in five levels with the agent network being the environment of the software system. Each level is described by the concept of domain.
Domain
[0046] A key concept in Autopoiesis is domain. A domain is a description for the “world brought forth,” a circumscription of experiential flux via reference to current states and possible trajectories. Domains are most typically introduced to circumscribe exclusive realms or sets, i.e., they serve as categorization constructs for sorting out unities and phenomena. The functional definition of domains by the unities and/or relations constitutive of them makes them definitional constructs that generate their own discrete referential extent. This definitional reliance upon the constitutive elements provides a basis for differentiating domains in terms of differentials among unities and/or relations. The models we create belong to certain domains.
[0000] There are Five Domains into Which our Models Fall:
1. Enterprise domain: collective sets including a set of customers (internal organizational units and external organizations or individuals), a set of others systems, a set of products and services the customers receive, a set of business rules, and a set of artifacts interacting with other systems receive. 2. Business domain: the set of end-to-end business processes or interactions between the enterprise software and its environment, the enterprise domain. 3. Agent domain: collective sets, including a set of human and technical agents, a set of actions between these agents, a set of data produced in these actions, and a set of quality constraints. 4. Functional domain: a set of software functions required by the agent domain, data flows among these functions and a set of interface components with which the agents interact. 5. Systems Domain: the set of software components that implement the functional domain.
The sets within each domain are not meant to be complete. They serve as starting place whereby new sets may be added when discovered. Each of the five domains may contain sub domains.
Ontology
[0052] An ontology is a formal representation of entities, ideas, and events, along with their properties and relations, according to a system of categories. It is used to reason about the properties of that domain, and may be used to describe the domain or a system of domains. Most ontologies describe individuals (instances), classes (concepts), attributes, rules, and relations. A domain ontology (or domain-specific ontology) models a specific domain, or part of the world. The ontologies of the five enterprise software domains are represented as five models. They are enterprise, business, agent, functional, and system models. Agent domain describes the constituents of the enterprise software that communicates with its real world using a language. The syntax and semantics of the language are enterprise model and business model respectively. Similarly, system domain describes the constituents of a software system that communicates with its real world that is part of agent domain using a language. The syntax and semantics of the language are agement model and functional model respectively. The syntax defines the real world and the semantics interprets the syntax in relating the living system that speaks the language.
[0053] When the five domain ontologies are clearly defined and understood, we obtain ontological commitments for a set of agents or workers so that they can communicate without necessarily operating on a globally shared theory. We say that an agent commits to ontology if its observable actions are consistent with the definitions in the ontology. Pragmatically, a common ontology defines the vocabulary with which queries and assertions are exchanged among agents. Ontological commitments are agreements to use the shared vocabulary in a coherent and consistent manner. The agents sharing a vocabulary need not share a knowledge base; each knows things the other does not, and an agent that commits to ontology is not required to answer all queries that can be formulated in the shared vocabulary. Ontological commitments guarantee consistency of work products, but not completeness, with respect to queries and assertions using the vocabulary defined in the ontology. Completeness is ensured by the epistemology that all artifacts at a level to which artifacts at the level above are traced to.
Enterprise Software Ontology
[0054] When a living unity interacts recurrently with its environment that may contain other living systems, it generates a social coupling. Behaviors that take place are communicative that are learned. The mechanism of the social coupling among social insects takes place through the interchanges of substances. Therefore it is chemical coupling. For the social couplings between social organizations and software systems, the mechanism takes place through the interchanges of formulas. A formula is a text or diagram constructed from predefined symbols combined according to explicit rules. A good working definition of formula is anything whose appearance or syntax can be checked by a computer. According to this definition, every computer program is a formula. Therefore we construct the five domain ontologies of enterprise software by using formulas and notations as raw materials. These materials are the substances of a language that the living (enterprise software or software systems) being speaks.
[0055] In the recurrent social interactions among living systems, language appears. The whole language can be fragmented into three individually understood parts. If we abstract from the speaker and analyze only the expressions and their designata, we are in the field of semantics. If we abstract from the designata also and analyze only the relations between the expressions, we are in syntax. If the investigation's explicit reference is made to the speaker of the language and describes the effects caused to the speaker or the makings of the speaker, we assign it to the field of pragmatics. The whole science of language, consisting of the three parts mentioned is called semiotic.
[0056] For the language that enterprise software speaks, the enterprise domain ontology is the syntax, the business domain ontology is the semantics, and the agent domain ontology is the pragmatics. For a software system within the enterprise software, its syntax is a subset of agent domain ontology. Functional domain ontology is the semantics. For the scope of requirements engineering problem, we stop at functional ontology that describes the whole of requirements documentation sufficient to the development of software system.
[0057] The five domain ontologies and their relationships constitute the five-level ontology of enterprise software. It is ontological non-reductionist theory of levels of reality which includes the concept of emergence, The five levels bottom up are enterprise, business, agent, functional, and system domain onotologies. The concept of emergence is the creation of new levels, new entities and new properties that can not be predicted from the properties found at the lower levels. Relationship between levels are inclusive, permitting the “local” existence of different ontologies. That the levels are inclusive means that a lower level is a necessary condition for the higher level, and that the higher level supervenes upon the lower. It means that a higher level does not violate lower level laws, that higher level is materially related to the lower one, and that does not imply that the organizing principle of the higher level can be deduced from lower level laws. The emergence implies a bottom up sequential evolution that the development of the lower level precedes that of the higher level. Emergence means that new matter is created that can neither be predicted nor automated and the levels can not be skipped.
[0058] The five domain's ontologies describe what to construct as compositions of formulas. The inclusiveness between the five ontologies indicates that the higher level ontology deals with the structure of the lower level ontology by having a structure of its own. Each of the five domain ontologies consists of a structure of formulas. The discipline of constructing the five domain ontologies belongs to episteomology. In this invention we use the discipline of mathematics as the discipline of epistemology.
Axiomatic Method as Epistemology
[0059] Once the ontology of the enterprise software is precisely detailed, next is to define epistemology. Epistemology comprises methods, concepts and tools etc that are used to construct or develop enterprise software along the defined ontology.
[0060] In mathematics, an axiomatic system consists of a set of axioms and a set of rules that can be used in conjunction to logically derive theorems. A mathematical theory consists of an axiomatic system and all its derived theorems. In a axiomatic system, we accept axioms and rules as true without in any way establishing their validity. On the other hand, we agree to accept any other statements as true only if we have succeeded in establishing its validity, and to use while doing so, nothing but axioms and rules, definitions, and statements of the discipline the validity of which has been established previously. As is well known, statements established in this way are called proved statements or theorems and the process of establishing them is called a proof. More generally, if within logic we establish one statement on the basis of others, we refer to this process as a derivation or deduction, and the statement established in this way is said to be derived or deduced from the other statements or to be their consequences.
[0061] The method of constructing an axiomatic theory or a mathematical discipline, the axiomatic method, has four steps:
1. Identify primitive/defined terms or glossary 2. Define axioms 3. Define rules for deducing theorems 4. Derive theorems
[0066] Axioms concern the subject matter under study, while rules of inference concern the logic. In the case of engineering, the axioms constitute requirements, the theorems are the solution, and the rules are the environmental constraints. Mathematics is expanding its domain in width since its methods permeate other branches of sciences, while its domain of investigation embraces increasingly more comprehensive ranges of phenomena and ever-new theories are being included in the large circle of mathematical discipline. If software engineering is expected to become a scientific discipline, that discipline is an axiomatic discipline and all axiomatic disciplines are mathematical disciplines.
[0067] A decisive point is the holistic conception of language, as a whole of description-interpretation processes that are entangled in the language itself [Lars Lofgren, 2004]. For every language there is a linguistic complementarity. The syntax is the description and the semantics is the interpretation. The more capable the description, the more effective and economical the interpretation will be. The predictive power will increase if the description is simple. The shorter the description is made, the more communication power it will be, and the more genuine will the learning be. This entangled description-interpretation complementarity constitutes an axiomatic theory with the syntax as the axioms and the semantics as theorems.
[0068] For a living system, its syntax and semantics together constitute the whole of its requirements expressed as an axiomatic theory. We may call it requirements theory. Enterprise software is a business organization, a living system having software systems, other living systems, embedded within. Each of two types of living system has a requirements theory. They are business and system requirements theories respectively. We first create business requirements theory for the enterprise software from which the agent network is derived. The agent domain ontology becomes the environment of the software systems whereby system requirements theories are created. System requirements theory contains the whole of requirements sufficient for developing the software system in its entirety.
[0069] By constructing enterprise software requirements artifacts (i.e. business processes, use cases and functional requirements, business rule etc.) as axioms and inference rules of axiomatic systems along the enterprise software ontology, requirements artifacts are logically organized in form of axiomatic theories at different levels of abstraction. Using axiomatic method, CbyP creates axiomatic theories that unite requirements into a single structure. Axiomatic method ensures exactness of the concept employed, certainty, consistency, and conclusiveness in the argument, and excludes placement of personal opinions, vagueness, and flexibility in concepts. Hence the conclusion can be easily reached that this method simply serves in science the full logical substantiation and final shaping of the content of the scientific cognition, and that, by its nature, is alien to those imprisoned in the assumptions of today's prevailing methodologies. As such requirements artifacts as a whole has all the properties of an axiomatic system. These properties are ensured by mathematical logic as embodied by the methodology. These properties are described below.
Consistent—an axiomatic theory is consistent if no two derived theorems contradict each other. Completeness—an axiomatic theory is complete if every theorem is provable hence every theorem is traced back to an axiom. Independent—an axiom is called independent if it is not a theorem that can be derived from other axioms in the system. This concept is equivalent to the concept of normalization in database design where requirements are organized as a hierarchical database.
[0073] Requirements having the above three properties are quality requirements that are both coherent and correct. The correctness of all requirements artifacts is ensured by logic as long as the enterprise domain model is correct. Coherence means full traceability of elements between the all models. Coherent model demonstrates the greatest economy to reduce the steps of development to the smallest number. Coherence ensures precise, concise, and complete modeling. All useful things are created once and every thing created is useful. Coherent truth is about the truth of statements. A domain model (theorems) is true as long as the domain model below (axioms) is true. Therefore, it is the enterprise domain model that sets the boundary and scope of the system under development. Developing sound enterprise domain model is critical to software development in any application domain regardless of industry and size of projects. The good news is that the task of developing a sound enterprise domain model is remarkably simple, objective and systematic with subjective certainty. If not, the project should abort without further investment.
[0074] The requirements artifacts described in CbyP focus on functional requirements without considering nonfunctional requirements such as safety, security, availability, and reliability etc. Non-functional requirements impact system architecture but they are customized or cannot be represented as a reference model generic to all domains of application. Functional requirements are entities and nonfunctional requirements are attributes of these entities. Hence nonfunctional requirements depend on functional requirements. Correct functional requirements are a necessary condition to derive correct nonfunctional requirements. The invention ensures correct functional requirements from which nonfunctional requirements are further derived.
[0075] The completeness property has profound implications, the possibility of constructing adequate product requirements before development begins. As such, we are able to know precisely what to build before building it, solving the software industry problem. All this means that software solution buyers, particularly governments, can have two-phase procurement: requirements phase and development phase. The two phases require different skill sets and use different disciplines. Dividing a complex problem into two standalone sub-problems simplifies procurement process, increasing transparency and subjective certainty, and reducing cost and risk.
[0076] In summary, software industry has a requirements instability problem. This problem is caused due to the epistemic fallacy committed by the prevailing development methodologies in the marketplace. There is a need in the field of software engineering a new discipline to overcome the epistemic fallacy that will, in turn, solve the software industry problem and put myriad methodologies to an end. There is a need to increase the maturity of software engineering by introducing and applying the science of software. The science of software, based on the biology of cognition [Maturana and Varela, 1992] and mathematical logic, is used to logically derive correct requirements by proof. With the application of mathematical logic, we are able to describe precisely what can be automated and what must be performed manually in the entire software development lifecycle whereby software technologies can be precisely defined. In contrast, today's prevailing methodologies are based on opinions hence there exists a huge waste in resources spent on rework due to poor requirements. Furthermore, the new discipline can be effectively accepted and enforced only when science based software requirements development tools are presented and provide users the ability, at early phase of the development cycle, to successfully define, model, and manage requirements. The use of these scientifically designed tools will automate all that can be automated and offers conceptual assistance to tasks that cannot be automated.
[0077] It is an objective of the invention to propose a scientific discipline of software requirements engineering, called Correctness by Proof (CbyP), whereby requirements engineering problem is solved with subjective certainty and scientific exactitude. The use of the scientific requirements engineering discipline will create quality requirements that are consistent, complete, and normalized. It is still another objective of the invention to design and implement a system of requirements definition and management tools. This system of tools enforces the discipline, guide complex tasks and automate repetitive procedures. It integrates requirements definition and management into a seamless solution.
SUMMARY OF THE INVENTION
[0078] A system and methodology is provided which allows requirements engineers to define and manage software requirements in an error free and expedient manner that solves the requirements volatility problem, eliminating requirements change and rework. According to one embodiment of the invention, a system and methodology is provided which allows a requirements engineer to decompose requirements engineering problem into three standalone sub-problems. Each of the three problems is solved in isolation using a system and method, significantly reducing the complexity of requirements engineering problem. More specifically, the system and methodology allows a requirements engineer to define five domain ontologies, relate them into three axiomatic theories and then apply axiomatic methods to produce these theories. The axiomatic method to construct axiomatic theories presupposes disciplines including set theory, organization theory, business process notation, and Unified Modeling Language as appropriate. The three theories constitute the whole of enterprise software requirements that are consistent, complete, and normalized.
[0079] According to an embodiment of the invention, the computer system performs a step of constructing enterprise model and business rules. According to another embodiment of the invention, the computer system performs a step of constructing business requirements theory having two levels of models: enterprise and business. According to another embodiment of the invention, the computer system performs a step of constructing business theory meeting the business requirements. According to another embodiment of the invention, the computer system performs a step of constructing system requirements theory having two levels of models: agent and functional. According to another embodiment of the invention, the computer system performs a three-dimensional requirements visualization and change impact analysis at any point within the requirements structure. According to another embodiment of the invention, the computer system allows an administrator to perform many administrative tasks such as configuration management, support functions including model checking and reporting, and assigning roles.
[0080] The three solutions corresponding to three sub-problems of requirements engineering are three axiomatic theories, each of which is constructed through creating a new axiomatic system and a proof of its theorems. This sequential theory building along the enterprise software ontology is served as a conceptual apparatus that would supply a common basis for the scientific discipline of requirements engineering. The underlying axiomatic method is regarded as the sole permitted means of establishing truth, and an indispensable auxiliary tool for deriving conclusions from accepted assumptions. It indicates that we can define enterprise software requirements systematically bottom up without scrap and rework, determining precisely what to build before building it as opposed to building it in order to know what to build and then rebuild it and so on.
[0081] The methodology, CbyP proposed in this invention, is entity-based as opposed to people or process based. Entities are artifacts produced in engineering processes and have an extended lifetime throughout software lifecycle. That is, entities are things that persist rather than ephemeral objects that are transiently introduced within the process. Artifacts produced in management process such as project plan and test plan etc, for example, are not entities because they are discarded when the development life cycle completes. Entities are stable intermediate forms passed to next task in the development lifecycle, or future enhancement projects, hence persist throughout product life cycle. Entities are constituents of enterprise ontology and they are stable within the project lifecycle. Scrap and rework, which are common in process-based and people-based processes, are eliminated in entity-based process. This is because work coordination for entity-based process is based on the quality status of entities rather than on the rigidity of the process or people's subjective opinion. Therefore it is the entity structure, or ontological models, organizing the flow of activities and people as opposed to process or people structure organizing the flow of artifacts. Entity-based process places the quality artifacts at the center and reduces the process steps to the smallest number.
[0082] The five domain ontologies are represented in five models constituting the whole of entities to be produced. These models describe the problem and solution spaces with varying degrees of abstraction. These models are built hierarchically with higher-level ones depending on the lower ones. Each model is described in its own concept and symbols using different modeling notations and tools. Development process is to transform the models sequentially from enterprise domain to software system domain.
[0083] A distinct advantage of entity-based development is that its work breakdown structure (WBS) is based on the enterprise software ontology to build models level by level from the most abstract to the most concrete as an emergent process. Developing enterprise software becomes a process of growing knowledge the arrangement of which is inherent in the enterprise software ontology itself This should offer advantages far in excess of those provided by patterns imposed by any personal opinion. This inquiry must supply rules whereby ontological commitment may be placed in positions that must hold. Personal opinion must be ruled out as a reason for placement: the only help must come from a careful examination of the nature of enterprise software itself. This objectiveness of developing software reduces the reliance on experiences and subjective opinions. This accordingly gives new opportunities to accumulate learning and have cross projects comparisons.
[0084] Another distinct advantage is WBS being decoupled from product structure for the emerging character of the ontologies. Today's prevailing methodologies have product structure ingrained in the WBS and then allocated to responsible managers with budgets, schedules, and expected deliverables, a concrete planning foundation has been set that is difficult and expensive to change. A WBS is the architecture for the financial plan. Just as software architecture needs to encapsulate components that are likely to change, so must planning architecture. To couple the plan tightly to the product structure makes sense if both are reasonably mature. Decoupling is desirable if either is subject to change. With entity-based methodology, product structure emerges rather than being presupposed or assumed hence completely decouples from WBS.
[0085] Another distinct advantage is the scientific exactitude of calculating what tasks can be automated and what tasks must be performed manually. This advantage is offered by the mathematical logic that describes the types of theorem prover needed in deriving theorems at different levels of abstraction. This allows tools to be developed to automate all that can be automated and offers precisely the conceptual guidance for manual tasks. This scientific exactness in the use of tools has the potential to obsolete competitor tools in the marketplace.
[0086] Still other objects, features and advantages of the present invention will become readily apparent to those skilled in the art from the following detailed description, wherein is shown and described only the preferred embodiment of the invention, simply by way of illustration of the best mode contemplated for carrying out the invention. As will be realized, the invention is capable of other and different embodiments, and its several details are capable of modifications in various obvious respects, all without departing from the invention. Accordingly, the drawings and description are to be regarded as illustrative in nature, and not as restrictive, and what is intended to be protected by Letters Patent is set forth in the appended claims. The present invention will become apparent when taken in conjunction with the following description and attached drawings, wherein like characters indicate like parts; and, which the drawings form a part of this application.
BRIEF DESCRIPTION OF THE DRAWINGS
[0087] The foregoing summary, as well as the following detailed description of preferred embodiments, is better understood when read in conjunction with the appended drawings. For the purpose of illustrating the invention, there is shown in the drawings exemplary constructions of the invention; however, the invention is not limited to the specific methods and instrumentalities disclosed. In the drawings:
[0088] FIG. 1 is a block diagram illustration of a living system within its surrounding world
[0089] FIG. 2 is a block diagram of illustration of the language the living system uses to communicate with its environment
[0090] FIG. 3 is a block diagram illustration of a mathematic representation of the living system
[0091] FIG. 4 is a block diagram illustration of the conceptual representation of enterprise software
[0092] FIG. 5 is a block diagram illustration of relationship between enterprise software and its embedded software system
[0093] FIG. 6 is a block diagram illustration of mathematical representation of enterprise software
[0094] FIG. 7 demonstrates the artifacts of enterprise model
[0095] FIG. 8 demonstrates the artifacts of business model
[0096] FIG. 9 demonstrates the artifacts of agent model
[0097] FIG. 10 demonstrates the artifacts of functional model
[0098] FIG. 11 demonstrates the structure of business process
[0099] FIG. 12 is a block diagram of requirements schema
[0100] FIG. 13 demonstrates the conceptual diagram of an axiomatic method
[0101] FIG. 14 demonstrates the conceptual diagram of the enterprise software development process
[0102] FIG. 15 is a block diagram of the system of the present invention
[0103] FIG. 16 is a block diagram showing the interrelationships of the modules making up the system
DETAILED DESCRIPTION OF THE INVENTION
[0104] The objects, features and advantages of the present invention will become apparent to one skilled in the art, in view of the following detailed description taken in conjunction with the drawings. In the following detailed description, specific details are set forth in order to provide a thorough understanding of the invention. However, it will be understood by those of ordinary skill in the art that the invention may be practiced without these specific details. The new theoretical foundations, including the theory of Autopoiesis and mathematical logic, the decomposition of requirements engineering problem into standalone sub-problems, and their axiomatic theory based solutions will remain the same. The methods, software tools, systems, and conceptual tools evolve over time and are not to be followed as they are.
The Machine—World Problem
[0105] Michael Jackson [Jackson, Michael, 1995] refers software as a machine and the environment surrounding the machine as the world as described in FIG. 1 . The machine differentiates itself from the world by having a boundary. The boundary divides those elements as within the boundary to be parts of the machine from those elements in the world. It is an easy matter to redraw the boundary on paper at a very early stage of development. As a project progresses, the boundary becomes embedded in the design concept, investment is made, and it becomes progressively more difficult to alter the position of the boundary.
[0106] Russell Ackoff differentiates two types of environment for a system 011 [Ackoff, Russell, 1999]. The environment of a system consists of those things that can affect the properties and performance of that system is said to be transactional 013 . That parts of a system's environment that can neither be influenced nor controlled is said to be contextual 012 . Transactional environment contains customers and other systems that have dynamic exchanges with the system. Contextual environment contains the rules that constrain the entities within the transactional environment as well as the interactions between the system and its transaction environment.
[0107] The machine interacts with its environment. The interactions consist of the sharing of some phenomena—events and states—between the machine and the environment. Phenomena are what appear to exist, or to be present, or to be the case, when you observe the world or some part of it in a domain. These shared events and states form the interface between the machine and the world. This is specification interface: specifications are all about—and only about—the shared phenomena—the shared events and states—at this interface.
[0108] Requirements are all about—and only about—the transactional environment phenomena. The customer of the machine is interested in the environment, not in the machine Some of the customer's interests may perhaps accidentally concern shared-phenomena at the specification interface. But that would be accidental as far as requirements are concerned.
[0109] Programs, on the other hand, are all about—and only about—the machine phenomena. Programs are about the behavior of the machine. Programmers are interested in the machine's behavior.
[0110] Specification is both a requirement and a program. It is requirement because it's about—and only about—the environment phenomena. And it's a program because it's about—and only about the machine phenomena. That is why specifications, in this sense, form a bridge between requirements with programs.
[0111] Michael Jackson pointed out that entities and events to be considered at requirements engineering time pertain to the real world surrounding the software to be developed. He argued that specification should consider the system as a model of the world, rather than start from system functions. Analysts should explicitly model the reality and then derives the specification from that model. In effect, the system becomes a simulation of the real world, and derives its information directly from its model, and only indirectly from the world. It means that we should model the real world and then embody that model in the system to be developed.
[0112] The requirements specification is derived from the model of the world by a number of reasoning steps. We first model the world and then decide the parts of the model to be performed by the machine. The specification represents the answer to the question: what behavior at the specification interface would satisfy the entire model that in turn produces these effects required in the world or transactional environment? Therefore the specification is constructed based on the model of the world. When the world departs away from the model, the specification would not produce the desired effects in the transactional environment.
[0113] Not all requirements, the phenomena in the transactional environment, are shared with the machine. Specification describes functions in the transactional environment to be automated by the machine. In general, this opens up a gap between the requirements and what the machine can achieve directly, because the customer's requirements aren't limited to the phenomena shared with the machine. To justify an eventual claim that the program satisfies the requirement, we need to reason in following two steps:
Step 1, if the computer behaves as described by the programs P and P is programmed as specified by S, then the specification S must be satisfied. Step 2, if the specification S is satisfied, S will satisfy the model of the world. If the world conforms to its model, the requirements R must be satisfied.
[0116] The key question becomes in what way should the truth of S ensure the truth of R? The answer is in our ability to model the transactional environment and the conformability of the transactional environment to the model. By construction, if S is true, the model is true. If the world conforms to the model and S is true, it follows that R is true.
[0117] The model of the world, specification, and machine design correspond to syntactic model 023 , semantic model 022 and pragmatic model 021 of the living systems view respectively. FIG. 2 describes the relationship between the three models. The higher model depends on the lower one while the lower model is independent of the model above.
[0118] For the living machine, the concept of real world is a complementaristic conception in the form of hypothesis (syntactic model, the description of the world), described as “a real world exists independent of us”, with an intended interpretation (the semantic model, the interpretation of the description in relation to the machine), or hypothetical content, that explains the meaning in terms of concepts in the shared language [Lars Lofgren, 2004]. That is, the real world is a complementaristically conceived as “semantic-like”, with a full interpretational content together with a correspondingly diminished, but unavoidable, residual descriptional or syntactical content, reduced to mere name. The description of the world, the syntactic model, is constrained by the capability of, and the relevancy of the part of the world to, the living machine. The interpretation of the world in terms of dynamic relationships between the world and the machine, or the possibilities of the machine, is also constrained by the description, the syntactic model. The entanglement between the description and interpretation or between syntactic and semantic models is linguistic complementarity. From the theory of Autopoiesis, the linguistic complementarity is encoded in the organization of the living machine.
[0119] The process of deriving semantic model from syntactic model is creating knowledge while the process of deducing pragmatic model from semantic model is applying knowledge. The process of designing a machine comprises two steps: creating knowledge (from syntactic model to semantic model) and applying knowledge (from semantic model to pragmatic model). Creating knowledge is generating insight through a process of extracting information from data as the creation of new patterns. Applying knowledge is realizing the new patterns as a process of refinement or subclass.
[0120] FIG. 3 is the mathematic representation of the machine world problem. The problem is decomposed into two sub-problems: requirements problem and design problem. The two solutions are two axiomatic theories: requirements and machine. The syntactic model 033 , the syntactic rules 035 , and the semantic model 032 are axioms, inference rules and theorems respectively of the machine requirements theory 036 . The semantic model 032 , semantic rules 034 and pragmatic model 031 are axioms, inference rules and theorems respectively of the machine theory 037 . Syntactic model contains accepted assertions as true statements. Semantic model is deduced from syntactic model as theorems that become axioms for the machine theory where pragmatic model is derived. Requirements theory represents the whole of requirements of the machine. Machine theory translates the whole of requirements into technical explanation, the embodiment of the machine that realizes the requirements.
[0000] Enterprise Software as Living Unity with Living Unities within
[0121] FIG. 4 describes enterprise software, a living unity (we may called it a living social machine) 044 . In general, the relationship between the machine and its environment 041 is clear. The social machine is introduced into the world to have some effect there. The part of the world, the transactional environment that will affect the machine and will be affected by it, is the enterprise domain. Customers in the enterprise domain have their needs met by the machine. Customer needs are all about, and only about, the needs of the customers including the products and service they receive as well as information exchanges with other systems.
[0122] The social machine interacts with its environment, the enterprise domain, to produce and deliver products and services to the customers. The interaction consists of the sharing of some phenomena, forming the interface between the enterprise software and the enterprise domain. It is a specification interface that contains business processes. Those business processes deliver products and services to the customer. The specification represents the answer to the question: what behavior at the specification interface would produce these effects that are required in the enterprise domain?
[0123] The contextual environment of the social machine contains the contextual rules 045 such as government regulations and industry standards that constrain the interactions within the interface. The social machine comprises of human and nonhuman agents. These agents interact with each other, realizing these business processes. Nonhuman agents may include digital or analog devices, software agents etc. In general, there is no difference in the ability of technology, humans, or other nonhumans. They are called actants, forming an agent domain 046 . Each actant performs distinct capabilities. Identifying capabilities and assigning them to appropriate actants is the subject of organization design. It answers the question of how to design the social organization to implement the business processes as efficient as possible?
[0124] The contextual environment of the software system contains agent rules 042 that constrain the behavior of the agents. Some of the agent rules realize the business rules 045 in implementing the business processes and some of the functional rules 047 realize agent rules. The agent domain becomes the world surrounding the software system 043 to be developed. The software machine interacts with its agent domain, the transactional environment, to augment certain capabilities needed by some agents. The interactions consist of the sharing of some phenomena, forming the interface between the software and the agent domain. We develop a software system to satisfy these requirements. The software system, as a machine, is introduced into the agent domain to produce certain effects there.
[0125] The agent domain contains the whole of requirements of the software system. Requirements are all about—and only about—the phenomena of the agent domain. Requirements specification is about the shared phenomena between the software system and agent domain. When events in the interface happen as designed, requirements are met.
[0126] FIG. 5 describes the relationship between the enterprise software 051 and the software system 052 . An enterprise-software may contain many software systems. These software systems implement functions required by the enterprise software.
[0127] FIG. 6 describes the mathematical representation of the enterprise software. As can be seen, a software system is a machine embedded in the enterprise software social machine. As a machine, enterprise software is represented in two axiomatic theories: business requirements theory 068 and business theory 067 . The agent domain, represented as agent model in the business theory, becomes the world of the software system from which the syntactic model of the software system is identified. The two theories of a software system are system requirements theory 066 and system theory. For the scope of this invention we stop at system requirements theory. The goal of the invention is the complete requirements documentation at both enterprise and system levels.
[0128] FIG. 7 describes the enterprise model 045 . The model, as one embodiment of the invention, contains business rules, customer names 073 , customer value 075 , other systems 074 , and information artifacts 076 . Common sense of rule is to remove some degree of freedom. A business rule is to remove some degree of freedom of, or constrain, customers for their eligibility to receive customer value. A business rule is a simple statement that expresses the rule.
[0129] FIG. 8 describes business model 064 . The model, as one embodiment of the invention, contains organizational chart 082 , business processes 083 , and business entities 081 . Business entities are information or physical objects that the business processes create and consume. Organization chart is the management structure consisting of three main factors: hierarchy, span of control and decision-making. Hierarchy refers to the number of levels of management and supervision. Span of control refers to the number of people report to one manager or supervisor. An organization is centralized to the extent that major decisions, control over resources and authority to take action are in the hands of only a few top people; it is decentralized to the extent people at lower levels are able to make decisions, control resources and take action in their part of the organization. So an organization chart is a list of organizational units within which position titles are arranged based on the management structure.
[0130] A business process is a structured, measured set of activities to achieve a defined business outcome such as delivering a product or service to a customer. Business processes have two important characteristics: (i) They have customers (internal or external), (ii) They run across organizational boundaries, i.e., across or between organizational subunits. Business processes may be defined along three dimensions:
Organizational units: Processes take place between organizational units Entities: Processes result in manipulation of entities. These entities could be Physical or Informational. Activities: Processes could involve activities that operate on objects (e.g. fill a customer order).
[0134] Processes are generally described in terms of beginning, end points, and in-between activities. They begin and end with customers to deliver a product or service. They are what businesses, not individuals, do. Business processes are differentiated as core from non-core. Core processes directly relate to the organization's mission. Non-core processes may still be important but they aren't directly related to the mission.
[0135] A business process is broken down into sub-processes, and tasks. Therefore a business process can be described as a composition hierarchy [process [sub-process [task]]] as [whole [part]]. Sub-process is also a process. Tasks are smallest units of process breakdowns. When discussing business processes, it is important to differentiate process type from process instance. Process type is a class and process instance is an occurrence of the class. Business process model is the total number of identified business process types. Process instance or occurrence, is used to pinpoint particular process, like:
Processing a sales lead that concern a particular customer Processing insurance claim #12345
[0138] Process occurrences involve particular actors in the use of the system under development. For each process type, there could be multiple process instances for the use of different tools. Process occurrences are presented as use cases to be modeled after. Business processes must be modeled to satisfying following criteria:
1. Business processes should be independent from each other. Interactions between processes are asynchronous in way of message exchanges. No direct interactions between activities across processes. 2. Business processes may have preconditions that maybe post conditions of other processes. 3. Sub-processes and tasks are candidates for reuse across enterprise.
[0142] A typical business organization serves a number of different kinds of customers and provides a number of different kinds of services and products; therefore there are different kinds of business processes for the business organization. The total number of business process types within a business organization can be enumerated by relating customer types with products and services types. A business process model captures all the business process types.
[0143] FIG. 11 describes one embodiment of business process architecture. The three levels are process layer 110 , sub-process layer 111 , and task layer 112 . The composition hierarchy is one of parts nested within wholes (i.e. [cell [gene [molecule]]] or [sentence [word [letter]]] where [high level [low level]]). Each part at a level is a composition hierarchy itself. This hierarchy is quantitative construct where the number of components at each level can be counted. Complex systems often take the form of composition hierarchy as their mode of organization. Hierarchic organization shares some common properties independent of their specific content. Components at different levels differ in size by orders of magnitude and operate at frequencies of different scale. The lower the level, the higher frequency of intra-component interaction, and the more stable of the components are. Operating at different orders of frequencies, components at different levels do not interact dynamically or exchange energy but transact by way of mutual constraint. Organic molecules constrain the actions of their constituent atoms but do not exchange energy with protons and neutrons of the atomic nucleus. Each component performs its functions in ignorance of the detail of activity of other components. Intra-component linkages are general stronger than inter-component linkages at the same level. Inter-component linkages become weaker as levels move up.
[0144] One distinct character of the composition hierarchy is that it maximizes levels of abstraction and separation of concerns at each level of abstraction—the two sought after principles in software engineering. The levels of abstraction tie in all available software technologies today—business process management at top level, service orientation at middle level, and object orientation at bottom level. The rise of abstraction raises developer's productivity, improves software quality, and increases software longevity. By maximizing the separation of concerns at each level, it provides a host of crucial benefits: additive, rather than invasive change; improved comprehension and reduction of complexity; adaptability, customizability, and reuse; simplified software integration; and the ultimate goal of “better, cheaper, and faster” software.
[0145] FIG. 9 describes an embodiment of agent model 063 . Use cases 093 are business process instances. Agent rules dictate how the instances of a given process type should be run along two dimensions: people (not organization units) and objects. Constraint on the behavior of people is operative rule. Constraint on objects is structural rule. Structural rule is built-in (i.e. “structural”, “by definition”). For operative rule, people may still potentially violate the rule—hence appropriate enforcement and discretion. Quality requirements are constraints of business process instances that are part of use cases.
[0146] FIG. 10 describes an embodiment of the functional model 062 that contains four deliverables: data requirements 104 , software function 102 , function-data flow diagram 105 , and GUI Mockup 103 . Data requirements include logical data model as well as data security categorization, access control, privilege control, and logging. Software functions specify the functions to be implemented by the software system. They convert business processes (business logic) through the use cases into software processes (software logic). Software functions describe particular system behaviours, such as data change, calculation or processing whereby a use case is fulfilled. As part of this activity the requirement is documented so as to enable understanding of why it is needed and for tracking throughout the software development process. Software functions may contain other functions. Each function is tied to quality requirements as a way of performing the function. Software functions have data inputs and outputs as well as algorithms. The function name should help indicate the function purpose. Data flow diagram describes relationships between software functions and data, data source, data flows, and data sink.
[0147] FIG. 12 describes a requirements schema for representing how different types of requirements are related as an example. This structural relationship of different requirements types is used as grammar for computer to check and report anomalies of the requirements stored in the database. The grammar is used for model checking to ensure consistency, completeness, and coherence of these requirements. The requirements schema contains only the engineering requirements artifacts that will remain in the entire product lifecycle. Project and management artifacts such as test cases, project plan, schedules, and work breakdown structures are discarded after the project completes hence are not part of the requirements schema. The schema illustrates several main requirements types and their relationship. There are four levels in this requirements schema. The four levels represent four domain's ontologies: enterprise, business, agent and software system. “Customer Name—Customer Value” 122 is derived from enterprise domain model as a simple statement. An example is “Customer A needs service B under the constraint C” where A is customer name, B is customer value and C is a business rule. For each such statement, there is a business process 123 . Business process is represented as a composition hierarchy in FIG. 11 . For each element in the FIG. 11 , there is a use case 124 corresponding to it. There could be use cases that do not trace to business processes. These use cases include administrative functions that are necessary for better efficiency. Some of the use cases lead to software system. These use cases are identified whereby software functions 125 are abstracted out. The software functions will be translated into software system architecture.
[0148] Because business process is a composition hierarchy, so are use cases and software functions. This hierarchical structure is a major facilitating factor enabling us to understand, describe, and even “see” such systems and their parts. If there are important systems in the world that are complex without being hierarchic, they may to a considerable extent escape our observation and understanding. An analysis of their behavior would involve such detailed knowledge and calculation of the interactions of their elementary parts that it would be beyond our capacities of our memory or computation. This understandability of hierarchical structure is due to its high degree of redundancy, hence can often be described in economical terms. The analysis of a hierarchical system begins with a few basic elements or alphabets that are combined into a few subsystems at the next level that are in turn further combined into larger subsystems at a still higher level and so on. Most of the complex structures found in the world are enormously redundant, and we can use this redundancy to simplify their description. By following certain principles these subsystems can be made loosely coupled. We can then study these subsystems independently at each level without worrying much about their coupling with other subsystems at the same level and systems at both lower and upper levels, thereby further simplifying the overall system's understanding and development.
[0149] The requirements engineering problem is decomposed into three sub-problems each of which is solved by creating an axiomatic theory using axiomatic method. FIG. 13 describes axiomatic method that contains four steps. Axiomatic method involves replacing a coherent body of propositions (i.e. business processes) by a simpler collection of propositions (i.e. customer name). In mathematics, axiomatization is the formulation of a system of statements (i.e. axioms) that relate a number of primitive terms in order that a consistent body of propositions may be derived deductively from these statements. Therefore, the proof of any proposition should be, in principle, traceable back to these axioms. There may be theorems that are proved without using any axioms. But all axioms should be used to derive theorems or all axioms should be traced from theorems to satisfy completeness requirements. By constructing formulas with axiomatic method, these formulas are automatically consistent and correct. By abiding the rule of all axioms being used for deriving theorems, we have a theory that is complete (i.e. no missing requirements).
[0150] One of the primary advantages of the present invention is the ability to decompose the requirements problem into three standalone smaller problems. The solution to each problem is an axiomatic theory. Therefore the entire solution to requirements problem is three hierarchically organized theories. The subset of the theorems of the previously created axiomatic theory becomes the axioms for the axiomatic theory at next level. FIG. 14 represents the entire process of creating three axiomatic theories.
[0151] In logic, a procedure by which a theory is generated in accordance with specified rules by logical deduction from certain basic propositions (axioms), which in turn are constructed from a few terms taken as primitive. These terms and axioms may either be arbitrarily defined and constructed or else be conceived according to a model in which some intuitive warrant for their truth is felt to exist. By conceiving software development as a series of axiomatic theory construction and what we create are axiomatic theories nothing but axiomatic theories, we are assured that what are constructed are mathematically precise and therefore the most economical.
[0152] The present invention implements entity based methodology that is radically different from today's prevailing methodologies seen in the marketplace. The axioms and theorems of each axiomatic theory are grouped as loosely coupled business artifacts. Each business process (a composition hierarchy), for example, is a business artifact or a body of business artifacts. The central notion is that “what the business actually does” can be described by using the concept of artifacts and associated network of tasks through which artifacts flow. A business artifact is a piece of concrete identifiable chunk business information that makes sense to a businessperson. Business artifacts, or semantic objects, are a mechanism to specify and produce business information in units that are concrete, traceable, extensible, self-describing, indivisible, reusable, composable, and encapsulated. Therefore a business artifact is an information object written to specification according to a specified template. Business artifacts are what workers produce with assistance of software tools and thinking tools. Examples of thinking tools include worksheets and principles used by business or IT workers to collect business data and create artifacts. The conversion from business data to business artifacts may be automated using software tools that generate deliverables based on specified document templates.
[0153] Each artifact is associated with information accounting. This means asking questions as to what information is available in the artifact that starts the task, what information must be added in order to accomplish the goals of the task, where the information comes from, and what tacit knowledge required to produce that artifact. The information that is added is either created by the task or comes from another artifact in the network that the task must acquire in order to complete the processing. A caveat that is significant when designing tasks is that a task has no knowledge of the tasks that may precede it or follow it; a task has to work with the information that is contained in the artifacts in its possession. Once a task completes all the artifacts on which it is working, it ends. A task has no business state as such; all such states are carried in the artifacts.
[0154] In the context of requirements engineering, entity based methodology (comprising three axiomatic methods) is used for modeling technique that would be not only amendable to business and IT people and intuitive for business communications, but also based on a formal structure suitable for use in rigorous design and design analysis. The core objective is to create a representation that both business and IT people could use to analyze, manage, and control their tasks from day to day. This is possible as ensured by the ontological commitments whereby people with different specialties are able to produce artifacts and communicate. Entity based methodology is the basis for the factorization of knowledge into artifacts, tasks, and flows. It begins with the representation of artifacts from which tasks and flows are identified based on the structural relationship between artifacts. The incarnation of artifact, task, and flow in an instance of software process is represented in a unified manner at a uniform level consistent with business semantic use. It is the completeness and dependencies of the artifacts that determine the goals, processes and tasks in the design of software development methodology.
[0155] Referring now to FIG. 15 . The system of the present invention is illustrated in block diagram form. For ease of understanding, the system is illustrated in two parts. First, there is a client as bounded by a dashed line and a server, also bounded by a dashed line. The client 153 and server 155 communicate with one another over a network 154 . The network 154 may comprise any conventional network (i.e. TCP/IP), or the Internet. A user interface 150 is coupled to a workroom 151 and both are shown as part of the client, The workroom 151 is a front end component of the system of the present invention and is coupled to the network 154 , which is coupled to a repository 156 . In the disclosed embodiment, the repository 156 is a specialized, extensible database application that adds value to a database system, which allows extension for further customization (such as application development). The repository 156 is coupled to databases 157 etc. for accessing modeling data stored therein. The repository 156 further includes methods for cataloging, browsing, modeling, and managing components that make up an application. Methods to support these services are implementation details. Tools 161 through 165 (within the client 153 ) are coupled to the workroom 151 and are disposed for performing a variety of tasks. Tools 161 - 165 are linked to the repository 156 by means of an XML that is disposed within the Client 153 . XML is typically used to enable access, via the Internet protocol, to information stored in databases. Moreover, some tools may be coupled to another XML tool 158 , which is disposed within the server 155 for running server components. XML is typically used for message exchanging in the proper format.
[0156] Referring to FIG. 16 , the interrelationships of the modules making up the system supporting the new methodology of the present invention are show in a block diagram. Included in the repository 164 are the four domain models. The modeling languages could be chosen appropriate to each type of model. Business model, for example, may use BPMN and Agent model may be written in UML with extensions. The tools are coupled to the reposition through interfaces. The interfaces 167 are typically an XML tool. A major advantage of the system in this invention is the ability to link or trace from between the four models that make it easy to visualize the requirements and analyze impacts of changes from anywhere in the four models.
[0157] One embodiment of the invention reflected in the FIG. 16 is model transformation to construct requirements. That is, requirements engineering process is viewed as a function.
[0000] Y=F ( X ).
Where,
[0000]
Y is the output, the functional model 062 .
X is the input, business requirements axiomatic system that includes the enterprise model 065 and business rules 045 .
F is the function of a series of logic deductions.
[0161] Business model 064 and agent model 063 are intermediate variables of the process. The requirements engineers' goal is to create and transform these models as efficient as possible. How well to achieve this goal depends on how well the process knowledge is mastered. The process knowledge includes understanding of and relationships between these four models. Each model is described using a well-formed language. The more complete understanding on these models and their transformations, the better process knowledge and the better we are able to control. These models are derived through logic proof in creating axiomatic theories. The objectiveness of the function F implies that requirements are derived with subjective certainty without the placement of personal opinions. It means that we can construct precise, complete and stable requirements upfront.
An Example—Interment Scheduling System
[0162] A national cemetery needs to update its systems that support its main business process: interment-scheduling process. It has about ten clerks answering nearly a thousand phone-calls and conducts thirteen funerals daily. Activities include gathering personal data, verifying eligibility, background check, scheduling funeral, and managing resource etc. The business processes are constrained by many business rules such as eligibility for bury (civilians, veterans, veteran dependents as well as group bury etc) and types of resources (i.e. gun salute, caisson etc) qualified for etc.
[0163] If this project was approached with today's prevailing strategy, we'd begin with a list of features, what the system shall do. More than likely, there would be problems: missing requirements, rework, and software business misalignment. Derving complete, precise requirements upfront would be infeasible with current frame of thinking but becomes obtainable with CbyP by using the function below.
[0000] Y=F ( X ).
[0164] X contains the enterprise model and business rules that are objectively determined. The enterprise model is identified with seven types of customer. They are deceased veteran, related military, related civilian, and group interment etc. Each is associated with a set of business rules. There is only one service that is funeral service for types of customer. Therefore the number of business process types is eight. This will cover all possible scenarios even those that are not frequently used such as group bury. The eight types of customer constitute part of the transactional environment of the enterprise software, forming the boundary of the project. Through three steps of logic deduction, we derive the functional model from the enterprise model objectively through business and agent models that are intermediate variables. It constructs the entire requirements by proof, achieving the goal of precise, concise and stable requirements upfront.
[0165] This example illustrates that requirements normally do not change. It is our understanding of requirements that keeps changing. When we change our method, we change our way of understanding and accordingly we change requirements quality. By following the methodology CbyP proposed in the invention, we are able to do the right thing at the right time, eliminating scope creep and requirements change problem. CbyP maximizes the business understanding systematically in the beginning, gains customer satisfaction and approval early, and lays a solid foundation for the following development activities. Documentation was concise, precise and complete with far little cost related to expansion and change. CbyP is simple enough that any software companies can follow to achieve better, cheaper, and faster all at the same time. Given the fact that 25%-40% of all spending on a project is wasted due to rework. CbyP saves most if not all rework cost related to requirements instability and ensures customer satisfaction and opportunity.
Summary
[0166] The present invention has been described with reference to diagrams of methods, requirements definitions, and models as well as systems and computer program products according to the embodiments of the invention. It is understood that what constitute business requirements theory, business theory, and system requirements theory are implementation specifics and unique to each software project. The methods also differ from companies to companies and evolve over time. But the idea of the three theories to represent the whole of enterprise software requirements does not change. For the types of software other then enterprise software, the proposed invention also applies simply by reducing the number of theories or levels of models to meet specific situations. Being the most complex, enterprise software includes all that is needed to construct the whole of requirements. Therefore, the concept of syntactic, semantic and pragmatic models and their mathematic representations as well as epistemic methods will remain the same regardless of the type of software and their embodiments.
[0167] It will be understood that each diagram can be implemented by computer program instructions. These computer program instructions may be provided to a processor of a general-purpose computer, special purpose computer, or other programmable data processing apparatus to produce a machine, such that the instructions, which execute via the processor of the computer or other programmable data processing apparatus, create means for implementing the functions specified herein.
[0168] These computer program instructions may also be stored in a computer readable memory that can direct a computer or other programmable data processing apparatus to function in a particular manner, such that the instructions stored in the computer-readable memory produce an article of manufacture including instruction means which implement the functions herein.
[0169] These computer program instructions may also be loaded onto a computer readable or other programmable data processing apparatus to cause a series of operational steps to be performed on the computer or other programmable apparatus to produce a computer implemented process such that the instructions which execute on the computer or other programmable apparatus provide steps for implementing the functions specified herein.
[0170] While it is apparent that the invention herein disclosed is well calculated to fulfill the objects stated above. It will be appreciated that numerous modifications and embodiments maybe devised by those skilled in the art and it is intended that the appended claims cover all such modifications and embodiments as fall within the true spirit and scope of the present invention. It is therefore contemplated that the appended claims will cover any such modifications of embodiments that fall within the true scope of the invention. | A methodology and system for defining enterprise software requirements is provided. The methodology, called correctness by proof, is based on biology of cognition and mathematical logic. The methodology decomposes requirements engineering problem into three standalone sub-problems each of which is solved using axiomatic method to construct an axiomatic theory. The whole of enterprise software requirements is represented as three hierarchically organized axiomatic theories. Every theorem of an axiomatic theory is proved to be true, resulting all requirements correct by construction. Requirements constructed in form of axiomatic theories have three attributes: consistent (free of contradiction), complete (no missing requirements) and normalized (free of redundancies) as ensured by the properties of axiomatic systems. This proposed innovation anticipates immediate benefits for a discontinuous progress in defining correct and precise requirements by construction impossible with today's approaches. It also expects to reshape the landscape of requirements definition technologies to automate tasks with scientific exactitude. | 92,360 |
FIELD OF THE INVENTION
[0001] The present invention relates generally to batteries and, more particularly, to batteries having at least one nanostructured electrode surface.
BACKGROUND OF THE INVENTION
[0002] Many beneficial devices or structures in myriad applications rely on batteries as a power source. As shown in FIG. 1 , illustrative liquid-cell battery 101 , is characterized by an electrolyte liquid 102 which provides a mechanism for an electrical charge to flow in direction 103 between a positive electrode 104 and a negative electrode 105 . When such a battery 101 is inserted into an electrical circuit 106 with illustrative load 108 , it completes a loop which allows electrons to flow uniformly in direction 107 around the circuit 106 . The positive electrode thus receives electrons from the external circuit 106 . These electrons then react with the materials of the positive electrode 104 in reduction reactions that generate the flow of a charge to the negative electrode 105 via ions in the electrolyte liquid 102 . At the negative electrode 105 , oxidation reactions between the materials of the negative electrode 104 and the charge flowing through the electrolyte fluid 102 result in surplus electrons that are released to the external circuit 106 .
[0003] As the above process continues, the active materials of the positive and negative electrodes 104 and 105 , respectively, eventually become depleted and the reactions slow down until the battery is no longer capable of supplying electrons. At this point the battery is discharged. It is well known that, even when a liquid-cell battery is not inserted into an electrical circuit, there is often a low level reaction with the electrodes 104 and 105 that can eventually deplete the material of the electrodes. Thus, a battery can become depleted over a period of time even when it is not in active use in an electrical circuit. This period of time will vary depending on the electrolyte fluid used and the materials of the electrodes.
SUMMARY OF THE INVENTION
[0004] We have realized that it would be extremely advantageous to be able to prevent the discharge of batteries while the batteries are not in use. Additionally, it would be advantageous to be able to variably control when the discharge of the batteries was initiated.
[0005] Therefore, we have invented a method and apparatus wherein a battery comprises an electrode having at least one nanostructured surface. The nanostructured surface is disposed in a way such that an electrolyte fluid of the battery is prevented from contacting the electrode, thus preventing discharge of the battery when the battery is not in use. When a voltage is passed over the nanostructured surface, the electrolyte fluid is caused to penetrate the nanostructured surface and to contact the electrode, thus activating the battery. Accordingly, when the activated battery is inserted into an electrical circuit, electrons will flow along the circuit.
[0006] In one illustrative embodiment, the battery is an integrated part of an electronics package. In another embodiment, the battery is manufactured as a separate device and is then brought into contact with the electronics package. In yet another embodiment, the electronics package and an attached battery are disposed in a projectile that is used as a military targeting device.
BRIEF DESCRIPTION OF THE DRAWING
[0007] FIG. 1 shows a prior art liquid-cell battery as used in an electrical circuit;
[0008] FIG. 2 shows a prior art nanopost surface;
[0009] FIGS. 3A, 3B , 3 C, 3 D and 3 E show various prior art nanostructure feature patterns of predefined nanostructures that are suitable for use in the present invention;
[0010] FIG. 4 shows a more detailed view of the prior art nanostructure feature pattern of FIG. 3C ;
[0011] FIGS. 5A and 5B show a device in accordance with the principles of the present invention whereby electrowetting principles are used to cause a liquid droplet to penetrate a nanostructure feature pattern;
[0012] FIG. 6 shows the detail of an illustrative nanopost of the nanostructure feature pattern of FIGS. 5A and 5B ;
[0013] FIG. 7 shows an illustrative liquid-cell battery in accordance with the principles of the present invention wherein the electrolyte in the battery is separated from the negative electrode by nanostructures;
[0014] FIG. 8 shows the illustrative battery of FIG. 7 wherein the electrolyte in the battery is caused to penetrate the nanostructures and to thus contact the negative electrode;
[0015] FIGS. 9A and 9B show an illustrative embodiment of the use of the battery of FIGS. 7 and 8 , respectively, in an electrical circuit having one or more lasers;
[0016] FIGS. 10A and 10B show how a plurality of the devices of the illustrative embodiment of FIGS. 9A and 9B can be disposed in a container, such as a projectile; and
[0017] FIG. 11 shows how the projectiles of FIGS. 10A and 10B can be used as a laser designate targets.
DETAILED DESCRIPTION
[0018] FIG. 2 shows an illustrative nanopost pattern 201 with each nanopost 209 having a diameter of less than 1 micrometer. While FIG. 2 shows nanoposts 209 formed in a somewhat conical shape, other shapes and sizes are also achievable. In fact, cylindrical nanopost arrays have been produced with each nanopost having a diameter of less than 10 nm. Specifically, FIGS. 3A-3E show different illustrative arrangements of nanoposts produced using various methods and further show that such various diameter nanoposts can be fashioned with different degrees of regularity. Moreover, these figures show that it is possible to produce nanoposts having various diameters separated by various distances. An illustrative method of producing nanoposts, found in U.S. Pat. No. 6,185,961, titled “Nanopost arrays and process for making same,” issued Feb. 13, 2001 to Tonucci, et al, is hereby incorporated by reference herein in its entirety. Nanoposts have been manufactured by various methods, such as by using a template to form the posts, by various means of lithography, and by various methods of etching.
[0019] FIG. 4 shows the illustrative known surface 401 of FIG. 3C with a nanostructure feature pattern of nanoposts 402 disposed on a substrate. Throughout the description herein, one skilled in the art will recognize that the same principles applied to the use of nanoposts or nanostructures can be equally applied to microposts or other larger features in a feature pattern. The surface 401 and the nanoposts 402 of FIG. 4 are, illustratively, made from silicon. The nanoposts 402 of FIG. 4 are illustratively approximately 350 nm in diameter, approximately 6 μm high and are spaced approximately 4 μm apart, center to center. It will be obvious to one skilled in the art that such arrays may be produced with regular spacing or, alternatively, with irregular spacing.
[0020] As used herein, unless otherwise specified, a “nanostructure” is a predefined structure having at least one dimension of less than one micrometer and a “microstructure” is a predefined structure having at least one dimension of less than one millimeter. The term “feature pattern” refers to either a pattern of microstructures or a pattern of nanostructures. Further, the terms “liquid,” “droplet,” and “liquid droplet” are used herein interchangeably. Each of those terms refers to a liquid or a portion of liquid, whether in droplet form or not.
[0021] The present inventors have recognized that it is desirable to be able to control the penetration of a given liquid into a given nanostructured or microstructured surface and, thus, control the contact of the liquid with the underlying substrate supporting the nanostructures or microstructures. FIGS. 5A and 5B show one embodiment in accordance with the principles of the present invention where electrowetting is used to control the penetration of a liquid into a nanostructured surface. Electrowetting principles are generally described in U.S. patent application Ser. No. 10/403,159 filed Mar. 31, 2003 and titled “Method And Apparatus For Variably Controlling The Movement Of A Liquid On A Nanostructured Surface,”-which is hereby incorporated by reference herein in its entirety.
[0022] Referring to FIG. 5A , a droplet 501 of conducting liquid (such as an electrolyte solution in a liquid-cell battery) is disposed on nanostructure feature pattern of cylindrical nanoposts 502 , as described above, such that the surface tension of the droplet 501 results in the droplet being suspended on the upper portion of the nanoposts 502 . In this arrangement, the droplet only covers surface area f 1 of each nanopost. The nanoposts 502 are supported by the surface of a conducting substrate 503 . Droplet 501 is illustratively electrically connected to substrate 503 via lead 504 having voltage source 505 . An illustrative nanopost is shown in greater detail in FIG. 6 . In that figure, nanopost 502 is electrically insulated from the liquid ( 501 in FIG. 5A ) by material 601 , such as an insulating layer of dielectric material. The nanopost is further separated from the liquid by a low surface energy material 602 , such as a well-known fluoro-polymer. Such a low surface energy material allows one to obtain an appropriate initial contact angle between the liquid and the surface of the nanopost. It will be obvious to one skilled in the art that, instead of using two separate layers of different material, a single layer of material that possesses sufficiently low surface energy and sufficiently high insulating properties could be used.
[0023] FIG. 5B shows that, by applying a low voltage (e.g., 10-20 volts) to the conducting droplet of liquid 501 , a voltage difference results between the liquid 501 and the nanoposts 502 . The contact angle between the liquid and the surface of the nanopost decreases and, at a sufficiently low contact angle, the droplet 501 moves down in the y-direction along the surface of the nanoposts 502 and penetrates the nanostructure feature pattern until it complete surrounds each of the nanoposts 502 and comes into contact with the upper surface of substrate 503 . In this configuration, the droplet covers surface area f 2 of each nanopost. Since f 2 >>f 1 , the overall contact area between the droplet 501 and the nanoposts 502 is relatively high such that the droplet 501 contacts the substrate 503 .
[0024] FIG. 7 shows an illustrative battery 701 in accordance with the principles of the present invention whereby an electrolyte fluid 702 is contained within a housing having containment walls 703 . The electrolyte fluid 702 is in contact with positive electrode 704 , but is separated from negative electrode 708 by nanostructured surface 707 . Nanostructured surface 707 may be the surface of the negative electrode or, alternatively, may be a surface bonded to the negative electrode. One skilled in the art will recognize that the nanostructured surface could also be used in association with the positive electrode with similarly advantageous results. In FIG. 7 , the electrolyte fluid is suspended on the tops of the nanoposts of the surface, similar to the droplet of FIG. 5A . The battery 701 is inserted, for example, into electrical circuit 705 having load 706 . When the electrolyte liquid is not in contact with the negative electrode, there is substantially no reaction between the electrolyte and the electrodes 704 and 705 of the battery 701 and, therefore, there is no depletion of the materials of the electrodes. Thus, it is possible to store the battery 701 for relatively long periods of time without the battery becoming discharged.
[0025] FIG. 8 shows the battery 701 of FIG. 7 inserted into electrical circuit 705 wherein, utilizing the electrowetting principles described above, a voltage is passed over the nanostructured surface 707 thus causing the electrolyte fluid 702 to penetrate the surface 707 and to come into contact with the negative electrode 708 . One skilled in the art will recognize that this voltage can be generated from any number of sources such as, for example, by passing one or more pulses of RF energy through the battery. When the penetration of the electrolyte into the nanostructures occurs, electrons begin flowing in direction 801 along the circuit 705 as described above and the load 706 is powered. Thus, the embodiment of FIGS. 7 and 8 show how a battery can be stored without depletion for a relatively long period of time and can then be “turned on” at a desired point in time to power one or more electrical loads in an electrical circuit.
[0026] FIGS. 9A and 9B show a cross section of an illustrative use of the battery of FIGS. 7 and 8 in a small electronics package 901 . Specifically, referring to FIG. 9A , package 901 has a battery portion (having a positive electrode 904 , negative electrode 908 , nanostructured surface 907 , and electrolyte fluid 902 ) electrically connected to an illustrative laser portion (having lasers 906 ). One skilled in the art will recognize that package 901 may be an integrated device formed entirely from one material, such as a silicon wafer or, alternatively, the battery portion may be formed separately and later connected in the manufacturing process to the laser portion of the package 901 . The package 901 shown in cross-section in FIGS. 9A and 9B can be illustratively manufactured as a device of any size in any desired geometric shape (e.g., a square, circle, rectangle, etc). Advantageously, the package 901 may be manufactured such that surface 910 has a surface area of 1 mm 2 to 100 mm 2 . One skilled in the art will recognize that a variety of shapes having a variety of surface areas will be advantageous in various applications.
[0027] As described previously, referring to FIG. 9B , when a voltage is passed over nanostructured surface 907 , the electrolyte fluid 902 penetrates the surface 907 and contacts electrode 908 . Once again, this voltage can be generated by an RF pulse generated external to the battery. Reactions between the electrodes 904 and 908 begin and an electrical current begins flowing along the electrical circuit connecting the battery to the lasers 906 . Thus, lasers 906 begin emitting light.
[0028] FIGS. 10A and 10B and 11 show one illustrative use for the electronics package of FIGS. 9A and 9B . Specifically, referring to FIG. 1A , a container 1001 , such as a projectile, is filled with an adhesive liquid 1002 in which a plurality of the electronics packages 901 of FIGS. 9A and 9B are disposed. The adhesive liquid is illustratively a gel that has a long shelf life (i.e., having a viscosity that will not change over a relatively long period of time) and which functions to maintain a separation distance between the plurality of electronics packages 901 . The projectile is, illustratively, formed from a polymeric material such as a common PVC or ABS plastic material. An illustrative liquid suitable for use in the embodiment of FIGS. 10A and 10B is a soft adhesive in the urethane-based elastomeric adhesive family. Prior to being used, the battery portions of the electronics packages 901 are not active and the lasers do not emit light, similar to the embodiment of FIG. 9A as described above. However, referring to FIG. 10B , when it is desired that the lasers begin to emit light, device 1005 generates one or more RF energy pulses 1004 that are passed through the container 1001 , thus passing a voltage over the nanostructured surfaces 907 of FIG. 9B and causing the electrolyte in the batteries of packages 901 to contact both electrodes 904 and 908 of FIG. 9B . Accordingly, as in the embodiment of FIG. 9B , lasers 906 begin to emit light. One skilled in the art will recognize that, if the projectile of FIGS. 10A and 10B is a projectile fired from a gun, device 1005 may be a component of the gun that generates RF pulses to activate the lasers of the packages 901 . As used herein, gun is defined as a handgun, a rifle, a cannon, slingshot or any other such device suitable for launching a projectile toward a target. Alternatively, for example where the projectile is thrown by hand, any suitable RF energy-generating device may be used to active the lasers of the electronics packages 901 .
[0029] FIG. 11 shows how, when the projectile 1001 of FIGS. 10A and 10B contacts a surface 1101 , illustratively the surface of a vehicle, the projectile breaks apart and the liquid 1002 adheres to the surface 1101 . Hence, the light emitting packages 901 within the liquid also adhere to the surface 1101 of the vehicle. Some military ordinance, particularly bombs and/or missiles dropped from airborne platforms, are adapted to home into laser light of a particular frequency. One skilled in the art will therefore recognize that the light-emitting packages 906 can thus be used as a military laser targeting device that these bombs or missiles can home into. One skilled in the art will also recognize that this form of laser targeting device have advantages over currently-used laser targeting systems. For example, one current system relies on manual “painting” of a target with a laser. In this case, a person on the ground must remain in proximity with the target and shine a laser onto the target, thus placing the person in jeopardy of being discovered or injured. Another current system relies on an aircraft to paint the target with the laser. However, this requires the aircraft to once again remain in the proximity of the target until the bomb or missile strikes the target. This is similarly undesirable.
[0030] The projectiles of FIGS. 10A and 10B have the advantage that they can be fired at a vehicle and act as self-generating laser emitters. Thus neither a person nor an aircraft is required to paint the target with a laser. Additionally, one skilled in the art will recognize that the laser emitters of FIGS. 10A and 10B do not have to be activated prior to firing the projectile. Instead, the projectiles may be fired and the inactive emitters attached to a surface 1101 , as shown in FIG. 11 . Then, at a later time an RF energy pulse can be generated by any suitable source that will activate the laser emitters. One skilled in the art will also recognize that different laser signals can be emitted by the laser packages in different projectiles, such as by using different encryption of the signals, thus allowing target differentiation by different ordinance.
[0031] The foregoing merely illustrates the principles of the invention. It will thus be appreciated that those skilled in the art will be able to devise various arrangements which, although not explicitly described or shown herein, embody the principles of the invention and are within its spirit and scope. For example, one skilled in the art, in light of the descriptions of the various embodiments herein, will recognize that the principles of the present invention may be utilized in widely disparate fields and applications. All examples and conditional language recited herein are intended expressly to be only for pedagogical purposes to aid the reader in understanding the principles of the invention and are to be construed as being without limitation to such specifically recited examples and conditions. Moreover, all statements herein reciting aspects and embodiments of the invention, as well as specific examples thereof, are intended to encompass functional equivalents thereof. | A method and apparatus are disclosed wherein a battery comprises an electrode having at least one nanostructured surface. The nanostructured surface is disposed in a way such that an electrolyte fluid of the battery is prevented from contacting the electrode, thus preventing discharge of the battery when the battery is not in use. When a voltage is passed over the nanostructured surface, the electrolyte fluid is caused to penetrate the nanostructured surface and to contact the electrode, thus activating the battery. In one illustrative embodiment, the battery is an integrated part of an electronics package. In another embodiment, the battery is manufactured as a separate device and is then brought into contact with the electronics package. In yet another embodiment, the electronics package and an attached battery are disposed in a projectile that is used as a military targeting device. | 20,234 |
FIELD OF INVENTION
The present invention is directed to a computer implemented system and method used in the field of financial planning. More specifically, the present invention is directed to a computerized tool used in retirement planning that produces estimated values of needed savings levels and future income based on certain economic assumptions and data regarding an individual subject's current financial status.
COPYRIGHT NOTICE
A portion of the disclosure of this patent document contains material which is subject to copyright protection. The copyright owner has no objection to the facsimile reproduction by anyone of the patent document or patent disclosure as it appears in the Patent and Trademark Office patent file or records, but otherwise reserves all copyright rights whatsoever.
BACKGROUND OF THE INVENTION
Recent studies have shown that many people will not have saved the amount of money needed for their retirement. According to one recent study on potential shortfalls in retirement income, nearly eight out of ten households will probably have less than half of what they need to retire comfortably. Many people find saving difficult, especially when it comes to knowing how much to save.
People planning for retirement often need help in answering a number of questions, such as, for example: how many years do I need to plan for, what is the best age to retire, what if I work longer, how much money will I need when I retire, what if I save more today, what if I adjust my standard of living after I retire, how much should I be saving?
Computer systems exist that can assist in some areas relating to retirement planning. In general, these computer systems are either non-interactive and do not provide alternative strategies tailored to the user's situation or are too flexible and do not provide the guidance that most users require.
For example, some software used in retirement planning allows the user to enter the appropriate information (e.g., user's age, current income, assets, retirement goal) and the software will inform the user whether or not the user's goal has been met. If the user has not met his or her goal, the program may output a general list of things the user can do to possibly reach that goal, e.g., save more now, change investments, retire later, work part-time. However, the alternative strategies presented to the user are general, not tailored to the user's situation and do not take into account the user's preferences. Usually, there is no suggestion provided as to which alternative strategy would be the one that the user would most likely find of interest. Nor do such programs provide details (such as, for example, number of years for which income is needed, average income) of any alternative retirement strategy. Thus, these programs do not make suggestions as to how factors can be varied to more closely obtain the desired retirement goal or provide details of how the user's retirement goal could be varied to obtain other desirable retirement strategies.
Typically, if the user wishes to explore an alternative strategy, the user is required to guess what would be the most desirable factor to change, re-enter the new input and have the program again perform the calculation. Such systems are not efficient, particularly where the user does not have access to a computer and the information is collected from the user and processed in a batch process.
Other software programs used in retirement planning could be regarded as totally interactive. For example, in such programs, users can enter and modify all or most parameters and assumptions to obtain the results desired. The disadvantage of such programs is that the user may not be given enough guidance in those areas where the user is likely to have no expertise, such as, for example, rate of return, inflation, earnings growth rate, number of retirement years for which income is needed, and amount of retirement income needed each year, etc. It is not advantageous to allow users to specify or change the parameters or assumptions used by the program when the user is not an expert in such areas and, further, may not be given enough guidance by the program in the best combinations of parameters or assumptions to be used in the user's particular case and for a specific retirement scenario.
Thus, there exists a need for a system used in retirement planning that identifies not only what the user should do to reach the user's specified retirement goal but, additionally, anticipates other strategies of likely interest to the user, taking into account the user's priorities, and further, provides the user with the details of the alternative strategies without the need for further user intervention. It would be beneficial for such a system used in retirement planning to determine, as part of the alternative strategies, the combinations of assumptions to be used, particularly assumptions relating to areas in which a typical user is unlikely to have special skill (such as rate of return over possibly long periods of time). It would also be desirable to select such assumptions so they are consistent with each other and are based upon personal characteristics of the particular user where appropriate.
There further exists a need for a system used in retirement planning that provides a number of alternative retirement strategies and also selects one or more retirement strategies (including the detailed components thereof) that, based on user preferences, would most likely be of interest to a user.
It would be desirable if such a system enabled the user to provide input on only one occasion (for example, so that the system could be efficiently operated on a batch basis for those who do not have access to a computer). Most desirably, such a system should anticipate certain user questions and provide details of alternative strategies likely to be of interest to the user without the need for additional user intervention.
There further exists a need for a system used in retirement planning that provides information to the user in a written and graphical format that is easy to comprehend. Where alternative strategies are presented, it would be desirable if each strategy is presented so as to be easily compared with the other strategies.
SUMMARY OF THE INVENTION
Taking into account a customer's preferences, the present invention determines a number of financial scenarios for the customer and, from these selects the scenarios likely to contain useful information for the customer to be presented to the customer in a report. Further, the present invention, again taking into account a customer's preferences, highlights one or more of the feasible scenarios the customer is especially likely to find of interest.
In the embodiment described herein, the present invention is described in the context of planning for retirement. However, the invention is not so limited, and can be used for other financial planning, such as, for example, planning for college funding, planning for a major asset purchase, planning for insurance needs, etc.
When used herein, the term "customer" refers to the person who is the subject of the financial calculations. In using the present invention, the customer may be assisted by a professional financial planner or agent. The customer need not be the person who actually enters information into the system--the information also may be entered, for example, by a data entry operator, by computerized scanning methods, by a financial planning professional or traveling insurance agent.
In the representative embodiment, the present invention includes an expert system comprising a set of decision rules. The expert system is part of or is used by a software system used in retirement planning. In summary, the software used in retirement planning is designed to perform financial calculations with respect to a customer's retirement savings and other savings plans. The calculations of the software used in retirement planning are based upon financial and other input data provided by the customer. The output of the software is a report, provided to the customer, which includes financial estimates and other information to help the customer evaluate the feasibility of retiring at a number of future retirement dates or ages.
One of the features of the report is that it provides the customer with the estimated savings levels required for a selected set of distinct retirement scenarios. (In the representative embodiment, eighteen retirement scenarios are included in the report.) The expert system of the present invention determines which retirement scenarios, including which retirement dates, expense levels and rates or return, are to be included in the customer's report.
Further, the report highlights or focuses the customer's attention on two specific retirement scenarios which are expected to be of particular interest to the customer. The expert system of the present invention determines which two scenarios are to be highlighted.
As discussed in further detail below, the expert system comprises a set of decision rules which operate to "customize" the processing and output of the software system used in retirement planning for each customer, based on certain customer-specific input data and preliminary calculations of the software system. The decision rules define the logic used to make decisions which, in turn, becomes additional inputs to the software system used in retirement planning for the purpose of customizing the output presented to the customer in the report.
In further detail, the software used in retirement planning of the present invention is executed by a computer processor. The computer processor executing this software can operate from one of a number of locations. For example, the software used in retirement planning can execute on a customer's personal computer or on the laptop computer of a financial planner. Alternatively, the software can execute on a centrally located computer, where, for example, input is received electronically from a customer using a computer or terminal at a remote location. Thus, it will be appreciated that input can be received from a customer (and output presented to the customer) via the Internet. Additionally, the customer may provide input in written form, which is scanned in or entered into the system in batch mode by data entry operators. The software used in retirement planning utilizes actuarial life expectancies, historical data, economic variables and results of consumer research in performing its tasks.
In the representative embodiment, the customer completes a questionnaire that requests information about the customer and his or her present financial position and financial preferences (and, if applicable, those of the customer's family). The questionnaire can be in electronic form (e.g., completed at a computer by entering information that is displayed in an electronic form on the screen of the computer) or in printed form. In the representative embodiment of the present invention, the customer provides as input information about the customer's present financial situation, and other personal information, as well as preferences relating to the customer's future objectives. For example, the customer provides information relating to investment risk tolerance, preferences as to which changes in future lifestyle the customer would find most acceptable, and the date the customer would like to retire.
Thus, the questionnaire includes questions relating to age, sex, marital status, number of dependents, current yearly income, current health insurance, retiree health insurance, social security, customer's ability to handle investment risk (used in part to make an assumption for the rate of return investments could earn), defined benefit pensions and other employer sponsored savings plans available (e.g., 401 (K) and Keogh plans), current personal savings, current real estate and mortgage(s), life insurance, household loans and debts and other major anticipated expenses. The questionnaire also asks the customer to rank in order of preference the following steps that the customer could take to ensure a more comfortable life in retirement: (a) save more now; (b) work longer; and (c) reduce standard of living in retirement. Further, the customer is asked to specify the date (e.g., year) which the customer wishes to retire. The questionnaire can be customized for particular types of customers, e.g., all employees of a particular company, customers having a certain occupation, customers in a particular state or geographic region, etc.
The information received in response to the questionnaire is supplied to the software used in retirement planning for processing. Using this information, the present invention estimates how much the customer should save each year until retirement for the scenario that the customer indicated as most desirable, and uses these results as well as the customer's preferences relating to future objectives to evaluate alternative retirement funding scenarios.
The overall output of the software used in retirement planning includes a number of retirement scenarios that are likely to comprise information that is interesting for the customer. In the representative embodiment, based on the information provided by the customer, a customized set of eighteen distinct retirement scenarios are provided to the customer in a report. Two of these scenarios are selected by the expert system as the scenarios that the customer is especially likely to find of interest.
Thus, the present invention, using the information from the questionnaire, creates customized projections for the customer. The present invention helps the customer determine the best age to retire and how much money the customer will need in retirement, what amount the customer's savings can provide and how much the customer should be saving now. The customer is provided with alternative scenarios, for different rates of return, different standards of living in retirement, and different retirement dates.
In further detail, based on the information provided by the customer, the software used in retirement planning estimates the income needed each year in retirement ("needed income"). The calculation for needed income takes into account that as current debt payments are reduced, so is the need for income. Other assumptions include (i) when the customer retires, there is probably no need to continue to save for retirement; (ii) if you need less income, you may pay less tax; (iii) health insurance costs will probably go up in retirement; (iv) the customer will not be paying FICA taxes if not working; (v) basic living expenses are assumed to grow at the general inflation rate, which is assumed to be 4%; and (vi) health insurance cost and anticipated college expenses are assumed to increase at a rate greater than the general inflation rate.
The present invention takes into account the actual financial circumstances of the customer. For example, the present invention will determine that a customer will need more income in the early years of retirement if the customer will still be paying for a child's college and mortgage payments in the first few years of retirement.
In the representative embodiment, the software used in retirement planning estimates the number of years that the customer will be retired, i.e., years from retirement until death. Life expectancy can be based on standard actuarial tables, such as Society Of Actuaries 1983 Table A, individual annuitant mortality. Modifications can be made to such tables to obtain more conservative results, since modern medical advances and improved lifestyle are increasing life expectancies.
For couples, the present invention takes into account combined income and combined income needs. If one partner's adjusted life expectancy is longer, the present invention estimates a lower income need for the balance of the life expectancy period when only one person is expected to be alive.
The software used in retirement planning of the present invention estimates the customer's retirement income each year in retirement (e.g., from pensions, current savings, social security, etc.) and determines the additional retirement income still needed to obtain the total needed income (all in today's dollars). For example, if the customer's needed income averages $43,600 over the whole retirement period, and the customer receives a $32,800 a year pension on average, then the customer will still need an average of $10,800 each year. The software then estimates the amount the customer should save per year, based upon a hypothetical rate of return on savings, to retire on the customer's desired retirement date.
To further assist the customer, the present invention provides details as to other possible retirement scenarios, setting forth the different savings levels needed should the customer decide to retire on a different date, or given a different rate of return, or should the customer decide to spend more or less in retirement. The expert system of the present invention determines which retirement scenarios to present to the customer. Two retirement scenarios are selected by the expert system as those likely to be of the most interest to the customer given the customer's financial position, goals and preferences. Thus, a number of retirement scenarios are calculated and evaluated by the present invention (different retirement ages, different rates of return, different standards of living in retirement), but only a subset are provided to the customer, and a subset of those are marked as especially likely to be of particular interest to the customer.
The expert system of the present invention uses decision rules for selecting the retirement scenarios for customers. Some of the decisions made by the expert system include:
(a) determining the rate of return assumptions for the scenarios shown to the customer, based upon the customer's tolerance to investment risk, the average length of time savings will remain invested and historical investment returns.
(b) determining whether an increase or decrease the customer's standard of living in retirement would be shown in retirement, and by how much.
(c) selecting which retirement dates to show.
(d) determining which retirement scenarios come closest to meeting the customer's retirement goals and preferences (e.g., the retirement scenario to star on each graph as discussed below).
In the representative embodiment, the retirement scenarios are provided to the customer in the form of two graphs (or charts). One graph represents different options to maintain the customer's current standard of living in retirement. The second graph represents the different options to reach an alternative standard of living in retirement. (Thus, the present invention can present retirement scenarios based upon different expense levels. A 100% expense level assumes the same standard of living the customer currently has.)
Each graph has two axes. One axis represents retirement years and the other axis represents a yearly savings level (specifying how much to save per year in today's dollars). On each graph are a number of colored plots (or lines), each line representing a rate of return. Each line has a number of marked points, each point representing a specific retirement scenario, i.e., the estimated amount the customer needs to save per year to retire at the year specified, assuming the given rate of return and the standard of living for the graph.
The present invention selects and marks (e.g., with a star) on each graph the option (retirement year, solution savings level and rate of return) that is likely to be of most interest to the customer--the retirement scenario that comes closest to meeting the customer's retirement goals. The customer's retirement goals are determined by the present invention based upon the preferences (e.g., investment risk tolerance, desired retirement age; save more now; work longer; reduce expenses in retirement) specified by the customer.
Each graph can also show the customer's current savings level.
Additionally, the present invention can provide to the customer detailed information for each retirement scenario, setting forth some of the parameters used to calculate each plan, e.g., the following information can be provided in table or spreadsheet form: customer's age, adjusted life expectancy, number of retirement years for which income is needed, average income needed each year in retirement, income available from total savings to date, other sources of retirement income, additional retirement income still needed, amount to save each year, rates of return.
For convenience of the customer, the present invention decreases future dollar amounts to the same buying power in today's dollars.
The information provided to the customer can be in electronic form (e.g., shown on the screen of a computer, e-mailed to the customer, provided on computer disk, etc.) or in printed form (e.g., a booklet). The information provided can have "personalized" text that is included based upon the customer's input and decisions made by the present invention.
In the representative embodiment, the present invention calculates and evaluates a large number of retirement scenarios and then the expert system selects from these nine scenarios to show on each graph. (In alternative embodiments, the initial calculations can be used to determine the retirement scenarios to evaluated in later calculations, so that only information about those retirement scenarios are calculated.)
It will be appreciated that the present invention allows a customer to explore alternatives in an "semi-interactive" fashion. Although, in the typical case, the customer provides input on only one occasion (i.e., via the questionnaire), the present invention anticipates, based on customer priorities indicated in the questionnaire, what other scenarios would be of interest to the customer, and also provides details of these scenarios to the customer. This allows customers to explore alternatives that are within the guidelines (priorities) initially indicated by the customer. However, the customer is provided with direction and assistance, as the present invention evaluates which strategies likely would be of most interest to the customer, based upon customer priorities. Thus, in summary, the present invention can present to the customer the retirement strategy that the customer indicated would be most desirable to the customer as well as other planning options that the customer probably would be interested in based upon the information provided by the customer (e.g., based, in part, on adjustments to the customer's retirement goals that the customer would likely find most agreeable).
In the representative embodiment, the present invention does not allow the customer to make assumptions or changes to certain parameters used in the decision-making process. For example, the present invention can be implemented to prevent the customer from making changes to assumptions about future interest rates--this is a complex area in which the customer is unlikely to have expertise. (The present invention uses sophisticated financial models and techniques to determine which future interest rates to assume for a customer.) This approach provides additional benefits, such as, for example, consistency in results if the present invention is operated by different people. Thus, for example, a large financial institution may provide the present invention to a number of its agents with the knowledge that different agents should obtain the same results for the same input parameters.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a system diagram of an exemplary embodiment of the present invention;
FIG. 2 illustrates a portion of a questionnaire completed by a customer;
FIG. 3 is a flowchart of the planning decision system software of the exemplary embodiment of the present invention;
FIG. 4a is an exemplary first graph of retirement options for a customer; and
FIG. 4b is an exemplary second graph of retirement options for the customer.
DETAILED DESCRIPTION
Referring now to the drawings, and initially FIG. 1, there is illustrated a system overview of an exemplary embodiment of the present invention. Information about a customer's financial position and financial and retirement goals is collected from the customer. Typically, the customer is provided with a questionnaire 110 to complete. The questionnaire 110 may be a paper form, or alternatively, may be in electronic form.
In a representative embodiment of the present invention, a customer completes the questionnaire 110 identifying retirement goals. Furthermore, the customer provides in the questionnaire 110 information related to current income, saving, and spending levels, and identifies how much risk the customer is willing to take with investments. Also, the customer prioritizes the adjustments to the customer's retirement goals the customer is willing to make in order to ensure a more comfortable life in retirement. For example, is the customer willing to work longer, save more money now, or reduce expenses in retirement?
The responses to the questionnaire 110 are used as input to a computer program, i.e., the software used in retirement planning, executing in a computer system 120. In the representative embodiment, the computer system 120 comprises a central processing unit 121 for executing computer programs and managing and controlling the operation of the computer system 120. A storage device 122, such as a floppy disk drive, is coupled to the central processing unit 121 for, e.g., reading and writing data and computer programs to and from removable storage media such as floppy disks. Storage device 123, coupled to the central processing unit 121, also provides a means for storing computer programs and data. Storage device 122 is preferably a hard disk having a high storage capacity. A dynamic memory device 124 such as a RAM, is coupled to the central processing unit 121. The computer system 120 includes typical input/output devices, such as, for example, a keyboard 125, a mouse 126 and a monitor 127.
The computer system 120 (executing the software used in retirement planning) processes the customer's responses to the questions in questionnaire 110 and provides the customer with a report 130. The report 130 may be printed by the computer system 120 or may be provided electronically to the customer or the customer's financial advisor, e.g., via the Internet, on disk, on a computer screen. The report 130 provides the customer with a number of retirement planning options.
Questionnaire: FIG. 2 illustrates a portion of the questionnaire 110 that a customer completes. As shown, the customer is asked to provide certain basic information concerning the customer and the customer's spouse. Such information includes, for example, marital status 210, name of the customer and the customer's spouse 220, respective dates of birth 230, gender of each spouse 240, and the year that the customer wishes to retire 250. The customer further provides a street address and home and work telephone numbers 260, and names and ages of dependent children 270. The customer is also asked questions related to Social Security 280.
The customer is also asked to provide information related to the following:
current income;
defined benefit information;
current and future health care coverage (e.g., cost of health insurance);
investment risk profile, i.e., the customer's ability to handle financial risk and the customer's willingness to take financial risk;
retirement savings, i.e., money the customer and the customer's spouse is saving through their respective workplaces;
personal savings and assets (current balances and current value);
real estate (e.g., the value of the customer's home and other property, mortgage balances, and rental payments);
life insurance (both term and permanent);
household loans and debts; and
anticipated expenses (including, for example, the cost of college education for children).
The customer is asked to rank the positive steps the customer could take to ensure a more comfortable life in retirement. Specifically, the customer is asked to rank, in order from 1 to 3, what the customer is willing to do in terms of adjustments to his or her retirement goals:
Save more now;
Work longer; and
Reduce expenses in retirement.
Financial Planning Software: Once the customer completes the questionnaire 110, the responses are used as input to the software used in retirement planning executing on the computer system 120. The responses may be input directly by the customer (e.g., at a computer in a financial advisor's office or at a home computer) or by a data entry operator. Specifically, the input fields listed in table 1 (below) are derived from the customer's questionnaire responses:
TABLE 1______________________________________InputField Description______________________________________IP INVESTOR PROFILE = C, M, or A (i.e., conservative, moderate, or aggressive)= Result of scoring customers's responses to investment profile questions in the questionnaire..sub.S RANK 1,2, or 3 = Customer's preference ranking of "Save More" relative to two other retirement alternatives (1 - most preferred)..sub.R RANK 1,2, or 3 = Customer's preference ranking of "Reduce Retirement Expenses" relative to two other retirement alternatives (1 - most preferred)..sub.W RANK 1,2, or 3 = Customer's preference ranking of "Work Longer" relative to two other retirement alternatives (1 - most preferred).SS.sup.I.sub.(x,e%) ESTIMATED SAVINGS LEVEL = Annual savings amount (in today's dollars) required to sufficiently fund customer's retirement scenario assuming retirement at customer's age x with retirement expense level based on e% replacement of basic living expenses and rate of return I. The estimated savings level includes any employer savings (ES), and should be calculated for customer ages 50 through 70 inclusive, retirement expense levels and rates of return as needed by the decision logic or failure processing.PA PREFERRED AGE = Customer's retirement age as specified in questionnaire.CI CURRENT INCOME = Customer and spouse (if any) combined current income from all sources.CS CURRENT SAVINGS = Customer (and spouse, if any) current annual savings through workplace Defined Contribution Retirement Plans (including estimated employer contributions) plus combined current annual savings through Cash Value Life Insurance or other Personal Savings/Assets.ES EMPLOYER SAVINGS = Estimated annual employer contributions to customer's (and spouse's) workplace Defined Contribution Retirement Plans.OS% OUT-OF-POCKET % = CURRENT SAVINGS (excluding EMPLOYER SAVINGS) as % of CURRENT INCOME = (CS - ES)/CI.MO MAXIMUM OUT-OF-POCKET SAVINGS (customer & spouse combined) as % of annual combined income. Values of this variable are defined in Maximum Savings Tables (below) as a function of CURRENT INCOME (CI) and OUT- OF-POCKET SAVINGS%(OS%).ME MAXIMUM EMPLOYER SAVINGS = Maximum amount of annual employer contributions to workplace Defined Contribution Retirement Plans as % of annual customer & spouse combined income.RO HOMEOWNER STATUS = "Renter" or "Owner."MR% MINIMUM REPLACEMENT % = Minimum allowable replacement % in basic living expenses replaced during retirement under the second retirement expense level shown in the Outlook report. Values of this variable are a function of CURRENT INCOME (CI) and HOMEOWNER STATUS (RO) and are defined in Minimum Replacement Tables (below).RR.sup.I.sub.(x,e%) Expense Replacement Ratio assuming retirement at customer's age x and with retirement expense level based on e% replacement of basic living expenses and rate of return I. Whenever an SS.sup.I.sub.(x,e%) is calculated, RR.sup.I.sub.(x,e%) should be calculated with the corresponding values for x, e% and I.TH.sup.I.sub.x INVESTMENT TIME HORIZON = Average weighted future time that assets are expected to remain invested assuming retirement at customer's x for e%=100 and rate of return I. This value is calculated by subtracting the average weighted time of investment deposits from the average weighted time of investment liquidations for all current and future amounts saved under workplace Defined Contribution Retirement Plans, Cash Value Life Insurance, and other Personal Savings/ Assets. Time is measured from the middle of the current calendar year, with all current savings amounts assumed to be deposited at t=O. Weightings are the discounted values (at time t=O) of deposit and liquidation amounts. Values of TH.sup.I.sub.x should be calculated as needed by the decision logic or failure processing.CMS Customer's marital status.CA Customer's current ageSA Spouse's AgeTH.sup.=I.sub.PA Initial Investment Time Horizon, calculated as TH.sup.I.sub.x above, but using an initial assumed rate of return I as follows: Conservative Investor Profile -- Assumed Interest Rate = 6.5% Moderate Investor Profile -- Assumed Interest Rate = 8.0% Aggressive Investor Profile -- Assumed Interest Rate = 9.0%i.sub.x Interest rate for the TH.sup.I.sub.x according to the Middle Interest Rate Table______________________________________
In the exemplary embodiment of the present invention, the software used in retirement planning includes an expert system comprising a set of decisions rules which operate to customize the processing and output of the system for each customer based on customer-specified input. Certain constraints limit the freedom in the decisions, and, in some cases, force certain decisions to be consistent for all customers. These constraints easily can be added to, deleted or varied, depending upon the complexity and flexibility of the system required. In the representative embodiment, they include the following:
Two different expense levels are always selected.
The first expense level is always based on 100% replacement of "basic living expenses."
Three different rates of return are always selected. The same three rates are used for both expense levels. (See section (a) below).
The spread between the middle rate of return and the low rate is always the same as the spread between the middle rate and the high rate. (See section (a) below).
Three different retirement dates are always selected. The same three dates are used for both expense levels and all three rates of return.
The retirement date specified by the customer in the questionnaire is always included as one of the three retirement dates.
Only retirement ages 50 through 70 inclusively are considered. Any references to an age greater than 70 is set to age 70.
The two retirement plans selected for highlighting are always based on the middle rate of return.
Based on the input fields and the decision constraints (both described above), the expert system determines values for eight output fields as illustrated in table 2 (below):
TABLE 2______________________________________Output Field Description______________________________________ROR.sub.mid middle rate of return assumptionROR.sub.spread difference between middle rate of return and high or low rate of return assumptionsSTAR.sub.1 retirement age to be highlighted for the first expense level (100% basic living expenses)e% % of basic living expenses to be replaced in retirement under the second expense level.STAR.sub.2 retirement age to be highlighted for the second expense level.AA.sub.1 additional retirement age to be included in Outlook graphs (optional)AA.sub.2 additional retirement age to be included in Outlook graphs (optional)Error Code the number of the fail parameter that cause the failure; 0 if the case does not fail.______________________________________
Using these output fields, the customer report 130 can be generated illustrating, for example, eighteen different retirement scenarios.
The following description includes the rules and representative example parameters that can be used by the expert system of the present invention. It will be appreciated that the parameters set forth below may be varied/refined to suit the particular circumstances of use and the customer base utilizing the invention, according to factors, such as, current tax laws, customer expectations, geographic area of use, etc. An expert or group of experts familiar with the intended application of the system of the present invention should determine the exact parameters to be used for any application of the present invention.
(A) Selection of Rate of Return and Interest Rate Spread
Three rate of return assumptions are determined as a function of INITIAL INVESTMENT TIME HORIZON (TH I PA ) and INVESTOR PROFILE (IP). In the exemplary embodiment, the middle rate of return on investments is selected in accordance with the Middle Interest Rate table (table 3) below:
TABLE 3______________________________________Middle Interest RateTime HorizonIP 0-4.9 5-9.9 10-14.9 15-19.9 20-24.9 25-29.9 30+______________________________________C 4.50% 5.00% 5.50% 6.00% 6.50% 7.00% 7.00%M 5.00% 6.00% 7.00% 7.50% 8.00% 8.50% 8.50%A 5.00% 6.50% 7.50% 8.50% 9.00% 9.00% 9.50%______________________________________
The spread between the middle rate of return and the low rate (and also the between the middle rate and the high rate) is determined in accordance with the Interest Rate Spread Table below (table 4):
TABLE 4______________________________________ IP Interest Rate Spread______________________________________ C 1.00% M 1.5% A 2.00%______________________________________
(B) Customer Preferences Groups
A key set of input data upon which system planning decisions are based is the customer's preference ranking (CPR) of three possible actions that could be taken to modify his or her retirement strategy: save more now, reduce expenses in retirement, and work longer. There are six possible CPR combinations as illustrated in table 5 (below):
TABLE 5______________________________________RANK 1 RANK 2 RANK 3______________________________________SAVE REDUCE WORKSAVE WORK REDUCEREDUCE SAVE WORKREDUCE WORK SAVEWORK REDUCE SAVEWORK SAVE REDUCE______________________________________
In the exemplary embodiment of the present invention, the retirement system determines retirement scenarios for the customer based, in part, on the customer's priorities. A separate set of decision rules are used for each CPR combination. However, for all six combinations, the general program flow is the same.
Referring to FIG. 3, internal variables are first calculated (step 310). Next, STAR 1 , the retirement age to be highlighted for the first retirement expense level is determined (step 320). STAR 2 , the retirement age to be highlighted for the second retirement expense level, and e%, the percent of basic living expenses to be replaced in retirement under the second retirement expense level are then determined (step 330). Finally, AA 1 and AA 2 , additional retirement years to be included in the report graphs are calculated (step 340).
(1) SAVE/REDUCE/WORK
If the customer falls into the "SAVE/REDUCE/WORK" CPR group, the customer has identified the priorities of adjustments to retirement goals as follows:
(1) save more money now;
(2) reduce expenses in retirement; and
(3) work longer.
Here, since the customer has ranked "work longer" last, the system assumes that retirement at the customer's preferred age is most important to the customer. Accordingly, if the system determines that the customer cannot adequately fund retirement at the preferred retirement age with 100% of basic living expenses replaced in retirement, considering the customer's current savings level, the system will determine feasible retirement options, (i) at the expense of saving more money now (i.e., answering the question what if the customer saves more money now?); (ii) if necessary, at the expense of reducing expenses during retirement; and, (iii) as a last resort, at the expense of increasing age of retirement.
Even if the customer can adequately fund retirement at the preferred retirement age with 100% of basic living expenses replaced in retirement, considering the customer's current savings level, the system will determine retirement scenarios taking into account customer's priorities. For example, the system may determine a scenario showing the feasibility of retiring at an earlier age if current savings are increased.
With respect to the CPR combination SAVE/REDUCE/WORK, three internal variables are calculated in step 310. Table 6 (below) sets forth each internal variable and a brief description of how they are defined:
TABLE 6______________________________________InternalVariable Description______________________________________CA the customer's earliest retirement age which is fundable by the CURRENT SAVINGS (CS) assuming a rate of return of I and e % replacement of basic living expense. A subscript on CA is used for e % when necessary. = customer's age at which: SS.sup.I.sub.(x,e%) ≦ CS and SS.sup.1.sub.(x-1,e%) > CS.MS MAXIMUM SAVINGS = largest amount of annual savings that are shown in the report (larger amounts will only be shown in the report when I = ROR.sub.mid if the constraints of always showing the PA or not showing customer ages past 70 require it.) = max {MO.sub.(CI,OS) + ME, CS/CI + .05} * CI (rounded to the nearest whole dollar amount)MA.sub.e% customer's retirement age which is fundable by the MAXIMUM SAVINGS (MS) assuming a rate of return I and e % replacement of basic living expenses. =customer's age at which SS.sup.I.sub.(x,e %) ≦ MS and SS.sup.I.sub.(x-1,e %) > MS.______________________________________
Once the internal variables are determined (step 310), STAR 1 is determined in accordance with the following rules (step 320) (Note: The I or i superscripts on the variables used in the six CPRs refers to the middle rate of return (ROR mid )).:__________________________________________________________________________/* If, based on the current savings level and at 100% replacement ofbasic living expenses, thecustomer can find retirement at an age less than or equal to thepreferred age, set STAR1 toan age younger than or equal to the preferred age. */Case: CA ≦ PAIf CS ≧ .33 (SS I .sub.(CA-1,100%) - SS I .sub.(CA,100%)) +SS I .sub.(CA,100%) Then If SS I .sub.(CA-1,100%) ≦ max {.33xCI, MS} Then STAR 1 = CA - 1 Else STAR 1 = CA Else STAR 1 = CAEndCase/* Otherwise, set STAR1 to the greater of the preferred age or the agethe customer couldfund retirement considering Maximum Savings. Note that STAR1 is not setto an unrealisticretirement age - it is set to an age which the customer could afford withsavings that are at orless than the customer's maximum savings*/Case: CA > PASTAR 1 = max {M 100% , PA}EndCase__________________________________________________________________________
Next, the percentage of basic living expenses to be replaced in retirement under the second retirement expense level, e%, and the retirement age to be highlighted for the second expense level, STAR 2 are determined in accordance with the following rules (step 330)__________________________________________________________________________/* If STAR1 is less than PA, the customer can afford to retire at an age earlier than the preferred retirement age (considering current savmgs level). If the customer waits to retire to the preferred age, the customer may be able to increase expenses during retirement */Case: STAR 1 < PAe % = 110While SS i .sub.(PA,e%) < CS and SS i .sub.(STAR1,e%) < max{.5xCI,MS} and e % < 140e % = e % + 5EndWhileIf SS i .sub.(PA,e%) ≦ CS and SS i .sub.(PA-1,e %) > CS Then STAR 2 = PA /* set STAR 2 to the preferred age PA if PA is the youngest age that that the customer could fund considering the current savings level at e % */ Else If CS ≧ .33(SS i .sub.(CA-1,e%) - SS i .sub.(CA,e %)) + SS i .sub.(CA,e%) /*otherwise, STAR2 is set to CA or CA - 1 */ Then If SS i .sub.(CA-1,e%) ≦ max{.33xCI, MS} Then STAR 2 = CA - 1 Else STAR 2 = CA Else STAR 2 = CAIf STAR 2 > PA /* If, however, STAR2 is now greater than the preferred retirement age, set STAR2 to the preferred age - at the second retirement expense level, we do not want to highlight an age that is greater than the customer's preferred age */ Then STAR 2 = PAEndCaseCase: STAR 1 = PAIf SS i .sub.(PA,100) > CS Then e % = 90 If SS i .sub.(PA,e%) < CS Then e % = 110If SS i .sub.(PA,100) ≦ CS Then e % = 110 While SS i .sub.(PA,e%) < CS and e % < 140 e % = e % + 5 EndWhileIf SS i .sub.(PA,e%) ≦ MS Then STAR 2 = PA Else STAR 2 = MA e %EndCase/* If STAR1 is greater than PA, the customer probably cannot fundretirement at the preferredage considering the current savings level and 100% replacement of basicliving expenses.Since the customer has identified that saving more now is preferable toreducing expenses inretirement, the second retirement expense level is reduced only to thepoint that it is belowwhere the customer could find retirement based on Maximum Savings. MR %and RRprovide further limits to the reducing in e %. */Case: STAR 1 > PAe % = 90While SS i .sub.(PA,e%) >MS and e % > MR% and RR.sub.(PA,e%-5)≧ 50 e % = e % - 5EndWhile/* STAR2 is set to the preferred age if the customer could fundretirement at PA considering areduced expense level of e % with an amount of money less than MaximumSavings. If not,STAR 2 reflects an upward adjustment to the customer's retirementage.*/If SS i .sub.(PA,e%) ≦ MS Then STAR 2 = PA Else STAR 2 = MA e% EndCase__________________________________________________________________________
Additional retirement years AA 1 and AA 2 are determined if STAR1, STAR2, and PA are not unique ages since the exemplary system requires that three different retirement ages be displayed in the Outlook report graphs. For the SAVE/REDUCE/WORK group, AA1 and AA2 are determined in accordance with the rules set forth below (step 340):__________________________________________________________________________Case: STAR 1 < STAR 2 and STAR 2 < PA /* AA1 and AA2 are not necessary since we already have three unique retirement ages*/QuitEndCaseCase: STAR 1 < PA and STAR 2 = PAIf PA - STAR 1 > 4 Then AA 1 = Age x at which S i .sub.(x,100) is closest to (SS i STAR1 ,100) + SS i .sub.(PA,100) + 1)/2 Else AA 1 = max{MA e %, STAR 1 - 3} If AA 1 ≧ STAR 1 Then If STAR 1 = PA - 1 Then AA 1 = PA + 1 Else AA 1 = Age x at which SS i .sub.(x,100) is closest to (Ss i .sub.(STAR1,100) + SS i .sub.(PA,100) + 1)/2EndCaseCase: STAR 1 = STAR 2 and STAR 2 < PAIf STAR 1 = PA - 1 Then AA 1 = PA + 1 Else AA 1 = Age x at which SS i .sub.(x,100) is closest to (SS i .sub.(STAR1,100) + SS i .sub.(PA,100) + 1)/2EndCaseCase: STAR 1 = PA and e % < 100If CS ≧ .33 (SS I .sub.(CA-1,100%) - SS I .sub.(CA,100%)) +SS I .sub.(CA,100%) Then If SS I .sub.(CA-1,100%) ≦ max {.33xCI, MS} Then AA 1 = CA - 1 Else AA 1 = CA Else AA 1 = CAAA 1 = min[max{AA 1 , PA + 1}, PA + 5]If SS i .sub.(AA1,100) + 100 ≦ SS i .sub.(AA1-1,100) andAA 1 ≠ PA + 1 Then AA 1 = AA 1 - 1AA 2 = max{MA 100 , PA - 5 }If AA 2 ≧ PA Then If AA 1 = PA + 1 Then AA 2 =PA - 1 Else AA 2 = PA + 1EndCaseCase: STAR 1 = PA and e % > 100AA 1 = max{MA 100 , PA - 5}If STAR 2 = PA or AA 1 Then If AA 1 = PA - 1 Then AA 2 = PA + 1 Else AA 2 = Age x at which SS i .sub.(x,100) is closest to (SS i .sub.(PA,100) + SS i .sub.(AA1,100) + 1)/2EndCaseCase: STAR 1 > STAR 2 and STAR 2 > PAQuitEndCaseCase: STAR 1 > PA and STAR 2 = PAIf STAR 1 - PA > 4 Then AA 1 = Round((PA + STAR 1 )/2) Else AA 1 = min[CA 100 - 1, STAR 1 + 3] If AA 1 ≦ STAR 1 Then If STAR 1 < 70 Then AA 1 = STAR 1 + 1 Else AA 1 = 69 If AA 1 = PA Then AA 1 = 68 If SS i .sub.(STAR1,e %) < .7xCS and SS i .sub.(AA1,e%) < 7xCS Then AA 1 = Age x at which SS i .sub.(x+1, e%) < CS and SS i .sub.(x,e%) ≧ CS If AA 1 ≦ PA or AA 1 ≧ STAR 1 Then AA 1 = Age x at which SS i .sub.(x,e%) is closest to (Ss i .sub.(PA,e%) + SS i .sub.(STAR1,e %) + 1)/2EndCaseCase: STAR 1 = STAR 2 and STAR 2 > PAAA 1 = min[min[Age x at which SS i .sub.(x,100) is closest to CS,STAR 1 + 3], PA +10]If STAR 1 = 70 or AA 1 = PA + 10 Then AA 1 = Round(PA + .75x(STAR 1 - PA) - .01)EndCase__________________________________________________________________________
The minimum replacement percent table, and maximum savings table (each required for certain calculations as described above) for the SAVE/REDUCE/WORK preference group are provided below as tables 7 and 8.
TABLE 7______________________________________Minimum Replacement Percent Table (MR%)Income Renter Owner______________________________________ $0-$19,999 92.00% 91.00%$20,000-$39,999 86.00% 82.00%$40,000-$59,999 80.00% 74.00%$60,000-$79,999 ... ...$80,000-$99,999 ... ...$100,000-$124,999 ... ...$125,000+ 68.00% 64.00%______________________________________
TABLE 8__________________________________________________________________________Maximum Savings Table CURRENT OUT-OF-POCKET SAVINGS PERCENTCurrent Income 0-4.9% 5-7.9% 8-9.9% 10-11.9% 12-13.9% 14%+__________________________________________________________________________$0-$19,999 10.5% 13.1% 15.3% -- -- 19.8%$20,000-$39,999 11.7% 14.5% 16.6% -- -- 21.0%$40,000-$59,999 13.0% 15.6% 17.7% -- -- 21.7%$60,000-$79,999 -- -- -- -- -- --$80,000-$99,999 -- -- -- -- -- --$100,000-$124,999 -- -- -- -- -- --$125,000-$149,999 -- -- -- -- -- --$150,000+ 18.5% 20.7% 21.8% -- -- 24.2%__________________________________________________________________________
(2) SAVE/WORK/REDUCE
If the customer falls into the "SAVE/WORK/REDUCE" customer preference group, the customer has identified the priorities of adjustments to retirement goals as follows:
(1) save more money now;
(2) work longer; and
(3) reduce expenses in retirement.
Here, in the exemplary embodiment of the present invention, the system assumes that an option showing reductions to the customer's retirement expense level would be least desirable to the customer. Accordingly, if the system determines that the customer cannot adequately fund retirement at the preferred retirement age with 100% of basic living expenses replaced in retirement, considering the customer's current savings level, the system will determine feasible retirement options, (i) at the expense of saving more money now; (ii) if necessary, at the expense of working longer; and, (iii) as a last resort, at the expense of decreasing expenses during retirement.
Even if the customer can adequately fund retirement at the preferred retirement age with 100% of basic living expenses replaced in retirement, considering the customer's current savings level, the system will determine retirement scenarios in accordance with the customer's priorities. For example, the system may determine a scenario showing that a customer can increase expenses during retirement if more money is saved now.
With respect to the CPR combination (or preference group) SAVE/WORK/REDUCE, three internal variables CA, MS, and MA e% are calculated in step 310. These three variables are calculated in the same manner as described in connection with the SAVE/REDUCE/WORK preference group above.
Once the internal variables are defined (step 310), STAR 1 is determined in a manner similar to that described in connection with the SAVE/REDUCE/WORK preference group. More specifically, STAR 1 for the SAVE/WORK/REDUCE preference group is determined in accordance with the following rules (step 320):______________________________________Case: CA ≦ PA If CS ≧ .55 ( SS I .sub.(CA-1,100%) - SS I .sub.(CA,100%) )+ SS I .sub.(CA,100%) Then If SS I .sub.(CA-1,100%) ≦ max {.33 × CI, MS} Then STAR 1 = CA - 1 Else STAR 1 = CA Else STAR 1 = CAEndCaseCase: CA > PA STAR 1 = max {MA 100% , PA}EndCase______________________________________
Next, the percentage of basic living expenses to be replaced in retirement under the second retirement expense level, e%, and the retirement age to be highlighted for the second retirement expense level, STAR 2 are determined in accordance with the following rules (step 330):__________________________________________________________________________/* Here, the customer can probably fund retirement at an age earlier thanthe preferred age.Since the customer has indicated that it is not desirable to decreaseexpense levels inretirement, the customer would most likely be interested in consideringretirement scenarioswhere the customer could actually increase expenses. Accordingly, e % isincreased to a pointwhere retirement can still be funded with current saving. */Case: STAR 1 < PAe % = 110While SS i .sub.(PA,e%) < CS and SS i .sub.(STAR1,e%) < max{.5xCI,MS} and e % < 140 e % = e % + 5EndWhileIf SS i .sub.(PA,e%) ≦ CS and SS i .sub.(PA-1,e%) > CS Then STAR 2 = PA Else STAR 2 = Age x at which SS i .sub.(x,e%) ≧ CS and SS i .sub.(x+1,e%) < CSEndCaseCase: STAR 1 = PAIf SS 1 .sub.(PA,100) ≧ CS Then e % = 110 Else If SS i .sub.(PA,100) ≦ CS Then e % = 110 While SS i .sub.(PA,e%) < CS and e % < 140 e % = e % + 5 EndWhileIf SS i .sub.(PA,e%) ≦ MS Then STAR 2 = PA Else STAR 2 = MA e% EndCase/* If STAR1 is greater than PA, then the customer cannot adequately fundretirement at thepreferred age and still maintain the same standard of living (i.e. 100%expense level).Accordingly, e % is increased or reduced as a function of how far theyare from meeting theirgoals*/Case: STAR 1 > PAIf STAR 1 - PA > 9 or STAR 1 = 70 Then e % = 90 If SS i .sub.(PA+9,e%) > MS and CI > 100000 Then e % = 80 Else e % = 110If SS i .sub.(PA,e%) < MS Then STAR 2 = PA Else If STAR 1 - PA > 4 and STAR 1 - PA < 10 and e % = 110 and SS i .sub.(STAR1,e%) < MS + .1xCI Then STAR 2 = STAR 1 Else STAR 2 = MA e% EndCase__________________________________________________________________________
Additional retirement years AA 1 and AA 2 are determined for the SAVE/WORK/REDUCE preference group, if necessary, for the report graphs in accordance with the rules set forth below (step 340):__________________________________________________________________________Case: STAR 1 < STAR 2 and STAR 2 < PAQuitEndCaseCase: STAR 1 < PA and STAR 2 = PAIf PA - STAR 1 >5 Then AA 1 = Age x at which SS i .sub.(X,100) is closest to (SS i STAR1 ,100) + SS i .sub.(PA,100) + 1)/2 Else AA 1 = max{MA e% , STAR 1 - 3} If AA 1 ≧ STAR 1 If STAR 1 ≠ PA - 1 Then If SS i .sub.(STAR1,100) ≧ CS Then AA 1 = Age x at which SS i .sub.(x,100 ) is closest to (Ss i .sub.(STAR1,100) + SS i .sub.(PA,100) +1)/2 Else AA 1 = STAR 1 - 1 Else If SS i .sub.(PA-2,e%) > .5xCI Then AA 1 = PA + 1 Else AA 1 = PA - 2EndCaseCase: STAR 1 = STAR 2 and STAR 2 < PAIf STAR 1 = PA - 1 Then AA 1 = PA + 1 Else AA 1 = Age x at which SS i .sub.(x,100) is closest to (SS i .sub.(STAR1,100) + SS i .sub.(PA,100) + 1)/2EndCaseCase: STAR 1 = STAR 2 and STAR 2 = PAAA 1 = min[max{MA 100 , PA - 5}, PA - 1]If SS i .sub.(PA,100) < CS or SS i .sub.(PA,100) is closest to CS Then If AA 1 = PA - 1 Then AA 2 = PA + 1 Else AA 2 = Round((PA + AA 1 )/2) Else AA 2 = max{min[Age x at which SS i .sub.(x,100) is closest to CS, PA + 5], PA + 1}EndCaseCase: STAR 1 = PA and STAR 2 > PAAA 1 = min[Age x at which SS i .sub.(x,100) is closest to CS,STAR 2 + 4]If AA 1 = PA or AA 1 = STAR 2 Then AA 1 = Age x at which SS i .sub.(x,100) is next closest to CSIf AA 1 = PA or AA 1 = STAR 2 Then AA 1 = Age x at which SS i .sub.(x,100) is closest to (SS i .sub.(PA,100) + SS i .sub.(STAR2,100) + 1)/2If AA 1 = PA or AA 1 = STAR 2 Then If SS i .sub.(STAR2+1,100) < .5xCS or SS i .sub.(STAR2, 100) < CS Then AA 1 = PA - 1 Else AA 1 = STAR 2 + 1EndCaseCase: STAR 1 > STAR2 and STAR2 > PAQuitEndCaseCase: STAR 1 >PA and STAR 2 = PAIf STAR 1 - PA > 5 or STAR 1 = 70 Then AA 1 = Age x at which SS i .sub.(x,100) is closest to (SS i .sub.(PA,100) +SS i .sub.(STAR1,100) + 1)/2 If STAR 1 = 70 and PA + 1 = 70 Then AA 1 = PA - 1 Else AA 1 = min[Age x at which SS i .sub.(x,100) closest to CS, STAR 1 +3] If AA 1 ≦ STAR 1 Then If STAR 1 = PA + 1 Then AA 1 = PA - 1 Else AA 1 = Age x at which SS i .sub.(x,100) is closest to (Ss i .sub.(PA,100) + SS i .sub.(STAR1,100) + 1)/2EndCaseCase: STAR 1 > PA and STAR 1 = STAR 2 AA 1 = min[Age x at which SS i .sub.(x,100) is closest toCS,STAR 1 + 3]If AA.sub. 1 = STAR 1 Then AA 1 = STAR 1 + 1If STAR 1 = 70 Then AA 1 = Round(PA + .75x(STAR 1 - PA) - .01) If PA = 69 Then AA 1 = PA - 1If AA 1 = STAR 1 Then AA 1 = STAR 1 - 1EndCaseCase: STAR 1 > PA and STAR 2 > STAR 1 QuitEndCase__________________________________________________________________________
The maximum savings table (required for certain calculations as described above) for the SAVE/WORK/REDUCE preference group is provided below as table 9 below):
TABLE 9__________________________________________________________________________Maximum Savings Table CURRENT OUT-OF-POCKET SAVINGS PERCENTCurrent Income 0-4.9% 5-7.9% 8-9.9% 10-11.9% 12-13.9% 14%+__________________________________________________________________________$0-$19,999 9.8% 12.4% 14.6% -- -- 19.2%$20,000-$39,999 11.1% 13.8% 15.9% -- -- 20.4%$40,000-$59,999 12.4% 15.0% 17.1% -- -- 21.2%$60,000-$79,999 -- -- -- -- -- --$80,000-$99,999 -- -- -- -- -- --$100,000-$124,999 -- -- -- -- -- --$125,000-$149,999 -- -- -- -- -- --$150,000+ 18.0% 20.1% 21.2% -- -- 23.8%__________________________________________________________________________
(3) REDUCE/SAVE/WORK
Customers that fall into the "REDUCE/SAVE/WORK" customer preference group have identified the priorities of adjustments to retirement goals as follows:
(1) reduce expenses in retirement.
(2) save more money now; and
(3) work longer.
Here, like for the SAVE/REDUCE/WORK group, the exemplary system assumes that retirement at the customer's preferred age, is most important to the customer. However, unlike the SAVE/REDUCE/WORK group, retirement adjustments will first be made to the customer's retirement expense level before adjustments are made to the customer's savings level.
With respect to the CPR combination (or preference group) REDUCE/SAVE/WORK, three internal variables CA, MS, and MA e% are calculated in step 310. These three variables are calculated in the same manner as described in connection with the SAVE/REDUCE/WORK preference group above.
Once the internal variables are defined (step 310), STAR 1 is determined in a manner similar to that described in connection with the SAVE/REDUCE/WORK preference group. More specifically, STAR 1 for the REDUCE/SAVE/WORK preference group is determined in accordance with the following rules (step 320):______________________________________Case: CA ≦ PA If CS ≧ .55 ( SS I .sub.(CA-1,100%) - SS I .sub.(CA,100%) )+ SS I .sub.(CA,100%) Then If SS I .sub.(CA-1,100%) ≦ max {.33 × CI, MS} Then STAR 1 = CA - 1 Else STAR 1 = CA Else STAR 1 = CAEndCaseCase: CA > PA STAR 1 = max {MA 100% ,PA}EndCase______________________________________
Next, the percentage of basic living expenses to be replaced in retirement under the second expense level, e%, and the retirement age to be highlighted for the second retirement expense level, STAR 2 are determined in accordance with the following rules (step 330):__________________________________________________________________________Case: STAR 1 < PAe % = 110While SS i .sub.(PA,e%) is not closest to CS and SS i .sub.(STAR1,e%) < max {.5xCI, MS} and e % < 140e % = e % + 5EndWhileIf SS i .sub.(PA,e%) ≦ CS and SS i .sub.(PA-1,e%) > CS Then STAR 2 = PA Else STAR 2 = Age x at which SS i .sub.(x,e%) ≧ CS and SS i .sub.(x+1,e%) < CSIf e % = 140 and STAR 2 ≠ PA Then If SS i .sub.(STAR2,135) is closer to CS Then e % = 135EndCase/* Bias toward reducing e % */Case: STAR 1 = PAIf SS i .sub.(PA,100) > CS Then e % = 90 While SS i .sub.(PA,e%-5) > CS and e % > MR % e % = e % - 5 EndWhile Else If SS i .sub.(PA,e%) < CS Then e % = 110 If SS i .sub.(PA,e%) > MS Then e % = 90If SS i .sub.(PA,e%) > CS Then STAR 2 = STAR 1 Else If CS ≧ .55(SS i .sub.(CA-1,e%) - SS i .sub.(CA,e%) + SS i .sub.(CA,e%) Then If SS i .sub.(CA-1,e%) ≦ max{.33xCI, MS} Then STAR 2 = CA - 1 Else STAR 2 = CA Else STAR 2 = CAEndCaseCase: STAR1 > PAe% = 90While SS i .sub.(PA,e%-5) > CS and e % > MR% /* Bias toward reducing e% */ e % = e % - 5 If((RR e% < .5 or e % = 80) and SS i .sub.(PA,e%) ≦ MS) or (RR e% ≦ .5 and e% ≦ 80) Then QuitEndWhileIf SS i .sub.(PA,e%) < MS Then STAR 2 = PA EIse STAR 2 = MA e% EndCase__________________________________________________________________________
Additional retirement years AA.sub. and AA 2 are determined for the REDUCE/SAVE/WORK preference group, if necessary, for the report graphs in accordance with the rules set forth below (step 340):__________________________________________________________________________Case: STAR 1 < STAR 2 and STAR 2 < PAQuitEndCaseCase: STAR 1 < PA and STAR 2 = PAIf PA - STAR 1 > 4 Then AA 1 = Age x at which SS i .sub.(x,100) is closest to (SS i .sub.(STAR1,100) + SS i .sub.(PA,100) + 1)/2 Else AA 1 = max{MA e% , STAR 1 - 3} If AA 1 ≧ STAR 1 Then AA 1 = Age x at which SS i .sub.(x,100) is closest to (SS 1 .sub.(STAR1,100) + SS i .sub.(PA,100) + 1)/2 If AA 1 = STAR 1 and STAR 1 = PA - 1 Then AA 1 = PA + 1 If SS i .sub.(PA,100) ≦ CS and SS 1 .sub.(STAR1,1 00) ≦ CS and SS i .sub.(AA1,100) ≦ CS Then AA 1 = STAR 1 - 1EndCaseCase: STAR 1 = STAR 2 and STAR 2 < PAIf STAR 1 = = PA - 1 Then AA 1 = PA + 1 Else AA 1 = Age x at which SS i .sub.(x,100) is closest to (SS i .sub.(STAR1,100) + SS i .sub.(PA.100) + 1)/2EndCaseCase: STAR 1 = STAR 2 and STAR 2 = PAAA 1 = min[max{MA 100 , PA - 5}, PA - 1]If SS i .sub.(PA,100) ≦ CS Then AA 2 = Round((PA + AA 1 )/2) Else AA 2 = max{min[(Age x at which SS i .sub.(x,100) is closest to CS, PA + 5], PA + 1}If AA 2 = PA Then AA 2 = PA + 1EndCaseCase: STAR 1 = PA and STAR 2 < PAAA 1 = max{MA 100 , STAR 2 - 3)If STAR 2 = PA - 1 = AA 1 Then AA 1 = PA + 1EndCaseCase: STAR 1 >STAR 2 and STAR 2 > PAQuitEndCaseCase: STAR 1 > PA and STAR 2 = PAIf STAR 1 - PA > 3 Then AA 1 = Age x at which SS i .sub.(x,100) is closest to (SS i .sub.(PA,100) + SS i .sub.(STAR1,100) + 1)/2 Else AA 1 = min[Age x at which SS i .sub.(x,100) ≧ CS and SS i .sub.(x+1,100) > CS, STAR 1 + 3] If AA 1 = STAR 1 Then AA 1 = STAR 1 + 1 If STAR 1 = 70 Then AA 1 = min[69, Round(PA + .75(STAR 1 - PA) - .01)] If SS i .sub.(AA1,e%) ≧ .5xCS and SS i .sub.(STAR1,e%) < .5xCS Then AA 1 = Age x at which SS i .sub.(x,e%) is closest to CS If AA 1 = PA Then AA 1 = PA + 1 If STAR 1 = PA + 1 = AA 1 Then AA 1 = PA + 2EndCaseCase: STAR 1 > PA and STAR 1 = STAR 2 AA 1 = min[min[Age x at which SS i .sub.(x,100) ≧ CS andSS i .sub.(x+1,100) < CS, STAR 1 + 3], PA + 10]If STAR 1 = 70 or AA 1 = PA + 10 Then AA 1 = Round(PA + .75x(STAR 1 - PA) - .01)EndCase__________________________________________________________________________
The minimum replacement percent table and maximum savings table for the REDUCE/SAVE/WORK preference group is provided below as tables 10 and 11:
TABLE 10______________________________________Minimum Replacement Table(MR%)Income Renter Owner______________________________________ $0-$19,999 90.00% 90.00%$20,000-$39,999 82.00% 81.00%$40,000-$59,999 74.00% 72.00%$60,000-$79,999 ... ...$80,000-$99,999 ... ...$100,000-$124,999 ... ...$150,000+ 59.00% 53.00%______________________________________
TABLE 11__________________________________________________________________________Maximum Savings Table(MO) CURRENT OUT-OF-POCKET SAVINGS PERCENTCurrent Income 0-4.9% 5-7.9% 8-9.9% 10-11.9% 12-13.9% 14%+__________________________________________________________________________$0-$19,999 9.8% 12.4% 14.6% -- -- 19.1%$20,000-$39,999 11.0% 13.8% 15.9% -- -- 20.3%$40,000-$59,999 12.3% 14.9% 17.0% -- -- 21.0%$60,000-$79,999 -- -- -- -- -- --$80,000-$99,999 -- -- -- -- -- --$100,000-$124,999 -- -- -- -- -- --$125,000-$149,999 -- -- -- -- -- --$150,000+ 17.8% 20.0% 21.2% -- -- 23.6%__________________________________________________________________________
(4) REDUCE/WORK/SAVE
Customers that fall into the "REDUCE/WORK/SAVE" customer preference group have identified the priorities of adjustments to retirement goals as follows:
(1) reduce expenses in retirement;
(2) work longer; and
(3) save more money now.
For this preference group, the exemplary system assumes that saving more money now is the customer's least desirable retirement goal adjustment. Accordingly, retirement adjustments will first be made to the customer's retirement expense level before adjustments are made to the customer's retirement age. Also adjustments to the customer's retirement age will be made before adjustments to the customer's savings level.
With respect to the CPR combination (or preference group) REDUCE/WORK/SAVE, three internal variables CA, MS, and MA e% are calculated in step 310. These three variables are calculated in the same manner as described in connection with the SAVE/REDUCE/WORK preference group above. MA.sub.(70,e%) uses the age 70 MS. Additionally, internal variables CSA e% and ADJ are determined. A brief description of these variables, and a table of values for ADJ are set forth below in tables 12 and 13 respectively:
TABLE 12______________________________________InternalVariable Description______________________________________CSA.sub.e% =The age with estimated savings closest to the customer's current savings for the e% expense graph.ADJ =An adjustment that depends on PA.______________________________________
TABLE 13______________________________________Retirement Ages (PA) ADJ______________________________________50-57 558-62 463-64 365+ 2______________________________________
Once the internal variables are defined (step 310), STAR 1 is determined in a manner similar to that described in connection with the SAVE/REDUCE/WORK preference group. More specifically, STAR 1 for the REDUCE/WORK/SAVE preference group is determined in accordance with the following rules (step 320):______________________________________Case: CA ≦ PA If CS ≧ .60 ( SS I .sub.(CA-1,100%) - SS I .sub.(CA,100%) )+ SS I .sub.(CA,100%) Then If SS I .sub.(CA-1,100%) ≦ max {.33 × CI, MS} Then STAR 1 = CA - 1 Else STAR 1 = CA Else STAR 1 = CAEndCaseCase: CA > PA STAR 1 = max {MA 100% , PA} If CSA 100 < STAR 1 and CSA 100 ≧ PA Then STAR 1 = CSA 100 EndCase______________________________________
Next, the percentage of basic living expenses to be replaced in retirement under the second retirement expense level, e%, and the retirement age to be highlighted for the second retirement expense level, STAR 2 are determined in accordance with the following rules (step 330):______________________________________Case: STAR 1 < PA e% = 110 While SS i .sub.(PA,e % ) is closest to CS and SS i .sub.(STAR1,e % ) <max{.5xCI,MS} and e% < 140 e% = e% + 5 EndWhile If SS i .sub.(PA,e % ) ≦ CS and SS i .sub.(PA-1,e % ) > CS Then STAR 2 = PA Else STAR 2 = CSA e % EndCaseCase: STAR 1 = PA If SS i .sub.(PA,100) > CS Then e% = 90 While SS i .sub.(PA,e %-5 ) > CS and e % > MR% e% = e% - 5 EndWhile Else e% = 110 If SS i .sub.(PA,e % ) > MS + .05xCI Then e% = 90 If SS i .sub.(PA,e % ) ≧ CS Then If CS ≧ .25(SS i .sub.(CA-1,e % ) - SS i .sub.(CA,e % )) + SS i .sub.(CA,e % ) Then If SS i .sub.(CA-1,e % ) ≦ max{.33xCI,MS} Then STAR 2 = CA - 1 Else STAR 2 = CA Else STAR 2 = CA Else If CS ≧ .60(SS i .sub.(CA-1,e % ) - SS i .sub.(CA,e % )) + SS i .sub.(CA,e % ) Then If SS i .sub.(CA-1,e % ) ≦ max{.33xCI,MS} Then STAR 2 = CA - 1 Else STAR 2 = CA Else STAR 2 = CAEndCaseCase: STAR 1 > PA e% = 90 While SS i .sub.(PA,e %-5 ) > CS and e% > MR% e% = e% - 5 If (e% ≦ 80 and SS i .sub.(PA+ADJ,e % ) ≦ MS) or (RR I .sub.(PA,e % ) < .5 and e% ≦ 80) Then Quit EndWhile If SS i .sub.(PA,e % ) ≦ MS Then STAR 2 = PA Else STAR 2 = MA e % If CSA e % < STAR 2 Then STAR 2 = max{CSA e % ,PA} If STAR 2 > PA + ADJ and SS i .sub.(STAR2,e % ) < CS Then STAR 2 = max{STAR 2 - 1,PA}EndCase______________________________________
Additional retirement years AA 1 and AA 2 are determined for the REDUCE/SAVE/WORK preference group, if necessary, for the report graphs in accordance with the rules set forth below (step 340):______________________________________Case: STAR 1 < STAR 2 and STAR 2 < PA QuitEndCaseCase: STAR 1 < PA and STAR 2 = PA If PA - STAR 1 > 4 Then AA 1 = Age x at which SS i .sub.(x,100) is closest to(SS i .sub.(STAR1,100) +SS i .sub.(PA,100) + 1)/2 Else AA 1 = max{MA.sub.(70,e % ),STAR 1 - 3} If AA 1 ≧ STAR 1 AA 1 = Age x at which SS i .sub.(x,100) is closest to(SS i .sub.(STAR1,100) +SS i .sub.(PA,100) + 1)/2 If AA 1 = STAR 1 and STAR 1 = PA - 1 Then AA 1 = PA + 1EndCaseCase: STAR 1 = STAR 2 and STAR 2 < PA If STAR 1 = PA - 1 Then AA 1 = PA + 1 Else AA 1 = Age x at which SS i .sub.(x,100) is closest to(SS i .sub.(STAR1,100) + Ss i .sub.(PA,100) + 1)/2EndCaseCase: STAR 1 = STAR 2 and STAR 2 = PA AA 1 = PA - 1 AA 2 = PA + 1EndCaseCase: STAR 1 = PA and STAR 2 > PA If STAR 2 = PA + 1 Then AA 1 =PA-1 Else AA 1 = Round((PA + STAR 2 )/2)EndCaseCase: STAR 1 = PA and STAR 2 < PA If STAR 2 = PA - 1 Then AA 1 = PA - 2 Else AA 1 = Round((PA + STAR 2 )/2)EndCaseCase: STAR 1 > STAR 2 and STAR 2 > PA QuitEndCaseCase: STAR 1 > PA and STAR 2 = PA If STAR 1 = PA + 1 Then AA 1 = PA - 1 Else AA 1 = Age x at which SS i .sub.(x,100) is closest to(SS i .sub.(STAR1,100) + Ss i .sub.(PA,100) + 1)/2EndCaseCase: STAR 1 > PA and STAR 1 = STAR 2 AA 1 = Round(PA + .75x(STAR 1 - PA) - .01)EndCase______________________________________
The minimum replacement percent table and maximum savings table (both required for certain calculations as described above) for the REDUCE/WORK/SAVE preference group is provided below as tables 14 and 15:
TABLE 14______________________________________Minimum Replacement Table(MR%)Income Renter Owner______________________________________ $0-$19,999 90.00% 90.00%$20,000-$39,999 81.00% 80.00%$40,000-$59,999 73.00% 71.00%$60,000-$79,999 ... ...$80,000-$99,999 ... ...$100,000-$124,999 ... ...$125,000+ 56.00% 52.00%______________________________________
TABLE 15__________________________________________________________________________Maximum Savings Table (MO) CURRENT OUT-OF-POCKET SAVINGS PERCENTCurrent Income 0-49% 5-7.9% 8-9.9% 10-11.9% 12-13.9% 14%+__________________________________________________________________________$0-$19,999 9.7% 12.3% 14.5% -- -- 19.0%$20,000-$39,999 10.9% 13.7% 15.8% -- -- 20.2%$40,000-$59,999 12.2% 14.8% 16.9% -- -- 21.0%$60,000-$79,999 -- -- -- -- -- --$80,000-$99,999 -- -- -- -- -- --$100,000-$124,999 -- -- -- -- -- --$125,000-$149,999 -- -- -- -- -- --$150,000+ 17.7% 19.9% 21.2% -- -- 23.6%__________________________________________________________________________
Table 15 gives the maximum out-of-pocket savings percent for age min[PA+10+ADJ, 70]. The maximum savings for PA to PA+ADJ is CS (CSA may be used). The maximum out-of-pocket savings percent for ages between PA+ADJ and min[PA+10+ADJ, 70] is a linear interpolation of the PA+ADJ and min[PA+10+ADJ, 70] maximum out-of-pocket savings percent.
(5) WORK/REDUCE/SAVE
Customers that fall into the "WORK/REDUCE/SAVE" customer preference group have identified the priorities of adjustments to retirement goals as follows:
(1) work longer;
(2) reduce expenses in retirement; and
(3) save more money now.
For this preference group, like for the REDUCE/WORK/SAVE group, the exemplary system assumes that saving more money now is the customer's least desirable retirement goal adjustment. However, for a customer in the WORK/REDUCE/SAVE group, the customer would prefer to work longer than to reduce expenses in retirement.
With respect to the CPR combination (or preference group) WORK/REDUCE/SAVE, six internal variables CA, MS, MA e% ,MA.sub.(70,e%), CSA e% , and ADJ are calculated in step 310. These variables are calculated in the same manner as described in connection with the REDUCE/WORK/SAVE preference group above. However, the table of values for ADJ relevant to the WORK/REDUCE/SAVE group is set forth below in tables 16:
TABLE 16______________________________________ Retirement Ages ADJ______________________________________ 50-54 6 55-59 5 60-62 4 63-64 3 65+ 2______________________________________
Once the internal variables are defined (step 310), STAR 1 for the WORK/REDUCE/SAVE preference group is determined in accordance with the following rules (step 320):______________________________________Case: CA < PA If CS ≧ .60 (SS I .sub.(CA-1,100 % ) - SS I .sub.(CA,100 % )) + SS I .sub.(CA,100 % ) Then If SS I .sub.(CA-1,100 % ) ≦ max {.33 x CI, MS} Then STAR 1 = CA - 1 Else STAR 1 = CA Else STAR 1 = CAEndCaseCase: CA > PA STAR 1 = max {MA 100 % , PA} If CSA 100 < STAR 1 Then STAR 1 = max{CSA 100 ,PA}EndCase______________________________________
Next, the percentage of basic living expenses to be replaced in retirement under the second expense level, e%, and the retirement age to be highlighted for the second retirement expense level, STAR 2 are determined in accordance with the following rules (step 330):__________________________________________________________________________Case: STAR 1 < PAe % = 110While SS i .sub.(PA,e%) is not closest to CS and SS i .sub.(STAR1,e%) < max{.5xCI, MS} and e % < 140 e % = e % + 5EndWhileIf SS i .sub.(PA,e%) ≦ CS and SS i .sub.(PA-1,e%) > CS Then STAR 2 = PA Else STAR 2 = CSA e% EndCaseCase: STAR 1 = PAIf SS i .sub.(PA,100) > CS Then e % = 90 While SS i .sub.(PA,e%-5) > CS and e % > MR % e % = e % - 5 EndWhile Else % = 110STAR 2 = CSA e% EndCaseCase: STAR 1 > PAe % = 90While SS i .sub.(PA+ADJ,e%) > CS and e % > MR % e % = e % - 5 If e % ≦ 80 and SS i .sub.(PA+ADJ,e%) ≦ MS Then QuitEndWhileIf e % = 90 Then If there is an age x ≧ PA with SS i .sub.(x,85) closer to CS than CSA 90 Then e % = 85If SS i .sub.(PA,e%) ≦ MS Then STAR 2 = PA Else STAR 2 = MA e% If CS ≧ .45(SS I .sub.(CA-1,e%) - SS I .sub.(CA,e %) + SS I .sub.(CA,e%) Then STAR 2 = min[STAR 2 , CA - 1]EndCase__________________________________________________________________________
Additional retirement years AA 1 and AA 2 are determined for the WORK/REDUCE/SAVE preference group, if necessary, for the report graphs in accordance with the rules set forth below (step 340):______________________________________Case: STAR 1 < STAR 2 and STAR 2 < PAQuitEndCaseCase: STAR 1 < PA and STAR 2 = PAIf PA - STAR 1 > 4Then AA 1 = Age x at which SS i .sub.(x,100) is closest to(SS i .sub.(STAR1,100) +Ss i .sub.(PA,100) + 1)/2Else AA 1 = max{MA(70,e%), STAR 1 - 3} If AA 1 ≧ STAR 1 AA 1 = Age x at which SS i .sub.(x,100) is closest to (SS i .sub.(STAR1,100) + SS i .sub.(PA,100) + 1)/2 If AA 1 = STAR 1 and STAR 1 = PA - 1 Then AA 1 = PA + 1EndCaseCase: STAR 1 = STAR 2 and STAR 2 < PAIf STAR 1 = PA - 1Then AA 1 = PA + 1Else AA 1 = Age x at which SS i .sub.(x,100) is closest to(SS i .sub.(STAR1,100) +Ss i .sub.(PA,100) + 1)/2EndCaseCase: STAR 1 = STAR 2 and STAR 2 = PAAA 1 = PA - 1AA 2 = PA + 1EndCaseCase: STAR 1 = PA and STAR 2 > PAIf STAR 2 = PA + 1Then AA 1 = PA - 1Else AA 1 = Round(PA + STAR 2 )/2EndCaseCase: STAR 1 = PA and STAR 2 < PAIf STAR 2 = PA - 1Then AA 1 = PA + 1Else AA 1 = Round((PA + STAR 2 )/2EndCaseCase: STAR 1 > STAR 2 and STAR 2 > PAQuitEndCaseCase: STAR 1 > PA and STAR 2 = PAIf STAR 1 = PA + 1Then AA 1 = PA - 1Else AA 1 = Age x at which SS i .sub.(x,100) is closest to(SS i .sub.(STAR1,100) +Ss i .sub.(PA,100) + 1)/2EndCaseCase: STAR 1 > PA and STAR 1 = STAR 2 AA 1 = Round(PA + .75x(STAR 1 - PA) - .01)EndCase______________________________________
The minimum replacement percent table and maximum savings table (both required for certain calculations as described above) for the WORK/REDUCE/SAVE preference group is provided below as tables 17 and 18 respectively:
TABLE 17______________________________________Minimum Replacement Table (MR%)Income Renter Owner______________________________________ $0-$19,999 91.00% 90.00%$20,000-$39,999 85.00% 82.00%$40,000-$59,999 80.00% 75.00%$60,000-$79,999 ... ...$80,000-$99,999 ... ...$100,000-$124,999 ... ...$125,000+ 68.00% 66.00%______________________________________
TABLE 18__________________________________________________________________________Maximum Savings Table (MO) CURRENT OUT-OF-POCKET SAVINGS PERCENTCurrent Income 0-4.9% 5-7.9% 8-9.9% 10-11.9% 12-13.9% 14%+__________________________________________________________________________$0-$19,999 9.6% 12.2% 14.4% -- -- 18.9%$20,000-$39,999 10.8% 13.6% 15.8% -- -- 20.2%$40,000-$59,999 12.1% 14.8% 16.9% -- -- 20.9%$60,000-$79,999 -- -- -- -- -- --$80,000-$99,999 -- -- -- -- -- --$100,000-$124,999 -- -- -- -- -- --$125,000-$149,999 -- -- -- -- -- --$150,000+ 17.7% 19.9% 21.2% -- -- 23.6%__________________________________________________________________________
Table 18 gives the maximum out-of-pocket savings percent for age min[PA+10+ADJ,max{PA+5,70}]. The maximum savings for PA to PA+ADJ is CS (CSA may be used). The maximum out-of-pocket savings percent for ages between PA+ADJ and min[PA+10+ADJ, 70] is a linear interpolation of the PA+ADJ and min[PA+10+ADJ, max{PA+5,70}] maximum out-of-pocket savings percents. For age 70 always use the maximum out-of-pocket savings percent from table 18.
(6) WORK/SAVE/REDUCE
Customers that fall into the "WORK/SAVE/REDUCE" customer preference group have identified the priorities of adjustments to retirement goals as follows:
(1) work longer;
(2) save more money now; and
(3) reduce expenses in retirement.
For this preference group, the exemplary system assumes that an retirement option indicating a reduction in expenses in retirement is the least desirable for the customer. A customer in the WORK/SAVE/REDUCE group, the customer would prefer to work longer and save more money now.
With respect to the CPR combination (or preference group) WORK/SAVE/REDUCE, six internal variables CA, MS, MA e% , MA.sub.(70,e%), CSA e% , and ADJ are calculated in step 310. These variables are calculated in the same manner as described in connection with the REDUCE/WORK/SAVE preference group above. However, the table of values for ADJ relevant to the WORK/SAVE/REDUCE group is set forth below in table 19:
TABLE 19______________________________________ Retirement Ages ADJ______________________________________ 50-57 4 58-62 3 63-64 2 65+ 1______________________________________
Once the internal variables are defined (step 310), STAR 1 for the WORK/SAVE/REDUCE preference group is determined in accordance with the following rules (step 320):______________________________________Case: CA < PA If CS ≧ .55 ( SS I .sub.(CA-1,100 % ) - SS I .sub.(CA,100 % ) ) + SS I .sub.(CA,100 % ) Then If SS I .sub.(CA-1,100 % ) ≦ max {.33 x CI, MS} Then STAR 1 = CA - 1 Else STAR 1 = CA Else STAR 1 = CAEndCaseCase: CA > PA STAR 1 = max {MA 100 % , PA} If CSA 100 < STAR 1 Then STAR 1 = max{CSA 100 ,PA} If CA-1 ≧ PA+ADJ Then STAR 1 = min[CA-1,STAR 1 ]EndCase______________________________________
Next, the percentage of basic living expenses to be replaced in retirement under the second expense level, e%, and the retirement age to be highlighted for the second retirement expense level, STAR 2 are determined in accordance with the following rules (step 330):__________________________________________________________________________Case: STAR 1 < PAe % = 110While SS i .sub.(PA,e%) is not closest to CS and SS i .sub.(STAR1,e%) < max{.5xCI, MS} and e %< 140 e % = e %+ 5EndWhileIf SS i .sub.(PA,e%) ≦ CS and SS i .sub.(PA-1,e %) > CS Then STAR 2 = PA Else STAR 2 = CSA e% EndCaseCase: STAR 1 = PAIf SS i .sub.(PA,100) ≧ CS Then e % = 110 Else If SS i .sub.(PA,100) < CS Then e % = 110 While SS i .sub.(PA,e%) < CS and e % < 140 e % = e % + 5 EndWhileSTAR 2 = CSA e% EndCaseCase: STAR 1 > PAIf STAR 1 - PA - ADJ > 9 or STAR 1 = 70 Then e % = 90 If SS i .sub.(PA+9+ADJ,e%) > MS and CI > 100000 Then e % = 80 Else e % = 110If SS i .sub.(PA,e%) < MS Then STAR 2 = PA Else STAR 2 = MA e% If CSA e% < STAR 2 Then STAR 2 = max{PA, CSA e% }If CA - 1 ≦ PA + ADJ Then STAR 2 = min[CA - 1, STAR 2 ]EndCase__________________________________________________________________________
Additional retirement years AA 1 and AA 2 are determined for the WORK/SAVE/REDUCE preference group, if necessary, for the report graphs in accordance with the rules set forth below (step 340):__________________________________________________________________________Case: STAR 1 < STAR 2 and STAR 2 < PAQuitEndCaseCase: STAR 1 < PA and STAR 2 = PAIf PA - STAR 1 > 4 Then AA 1 = Age x at which SS i .sub.(x,100) is closest to (SS i .sub.(STAR1,100) + SS i .sub.(PA,100) + 1)/2 Else AA 1 = max{MA.sub.(70,e%), STAR 1 - 3} If AA 1 ≧ STAR 1 AA 1 = Age x at which SS i .sub.(x,100) is closest to (SS i .sub.(STAR1,100) + Ss i .sub.(PA,100) + 1)/2 If AA 1 ≧ STAR 1 and STAR 1 = PA - 1 Then AA 1 = PA + 1EndCaseCase: STAR 1 = STAR 2 and STAR 2 < PAIf STAR 1 = PA - 1 Then AA 1 = PA + 1 Else AA 1 = Age x at which SS i .sub.(x,100) is closest to (SS i .sub.(STAR1,100) + SS i .sub.(PA,100) + 1)/2EndCaseCase: STAR 1 = STAR 2 and STAR 2 = PAAA 1 = PA - 1AA 2 = PA + 1EndCaseCase: STAR 1 = PA and STAR 2 > PAIf STAR 2 = PA + 1 Then AA 1 = PA - 1 Else AA 1 = Round((PA + STAR 2 )/2)EndCaseCase; STAR 1 > STAR 2 and STAR 2 > PAQuitEndCaseCase: STAR 2 > STAR 1 and STAR 1 > PAQuitEndCaseCase: STAR 1 > PA and STAR 2 = PAIf STAR 1 = PA + 1 Then AA 1 = PA - 1 Else AA 1 = Age x at which SS i .sub.(x,100) is closest to (SS i .sub.(STAR1,100) + SS i .sub.(PA,100) + 1)/2End CaseCase: STAR 1 > PA and STAR 1 = STAR 2 AA 1 = min[CSA 100 , STAR 1 + 3]If AA 1 ≦ STAR 1 Then If STAR 1 = PA + 1 Then AA 1 = PA - 1 Else AA 1 = STAR 1 - 1If Abs(SS i .sub.(STAR1,100) - SS i .sub.(AA1,100)) ≦ 100 Then AA 1 = STAR 1 - 1If STAR 1 = 70 AA 1 = Round(PA + .75x(STAR 1 - PA) - .01)EndCase__________________________________________________________________________
The maximum savings tables (required for certain calculations as described above) for the WORK/SAVE/REDUCE preference group is provided below as table 20:
TABLE 20__________________________________________________________________________Maximum Savings Table (MO) CURRENT OUT-OF-POCKET SAVINGS PERCENTCurrent Income 0-49% 5-7.9% 8-9.9% 10-11.9% 12-13.9% 14%+__________________________________________________________________________$0-$19,999 9.7% 12.3% 14.5% -- -- 19.0%$20,000-$39,999 10.9% 13.7% 15.8% -- -- 20.2%$40,000-$59,999 12.2% 14.8% 16.9% -- -- 21.0%$60,000-$79,999 -- -- -- -- -- --$80,000-$99,999 -- -- -- -- -- --$100,000-$124,999 -- -- -- -- -- --$125,000-$149,999 -- -- -- -- -- --$150,000+ 17.8% 20.0% 21.3% -- -- 23.7%__________________________________________________________________________
Fail Parameters, Failure Processing and Manual Review:
In the representative embodiment of the present invention, the system will automatically cause manual review of the output if one of the following circumstances occur. The reference numbers are returned as the error code (see table 2):
1. STAR 2 =70 and SSi.sub.(STAR2,e%) >MS.
2. CA≧60.
3. Two ages on a graph have solution savings below one-half CS and STAR 1 >PA.
4. SS i .sub.(x,100) or SS i x ,e%) >0.5×CI for any x on the graphs excluding PA and STAR 2 when e%<100.
5. STAR 1 >PA+11.
6. SS i .sub.(max{PA,STAR1,STAR2,AA1,AA2},100) +X≧SS i .sub.(max{PA,STAR1,STAR2,AA1,AA2}-1,100) or SS i .sub.(max,{PA,STAR1,STAR2,AA1,AA2},e%) +X≧SS i .sub.(max{PA,STAR1,STAR2,AA1,AA2}-1,e%), where X=max{200,min[1000,Rounded(0.005×CI)]}.
7. SA for STAR 1 or STAR 2 >max{70,SA for PA+2] and the spouse's income ≧10%×CI.
8. .sup.| i PA -i STAR1 .sup.|, .sup.| i STAR2 .sup.|, .sup.| i PA -i AA1 .sup.|, or .sup.| i PA -i AA2 .sup.| >0.005.
9. The decision logic does not choose three distinct ages to show on the Outlook graphs.
For manual review cases, a special output report can be generated by the present invention to enable manual review. The output report can include the decisions made by the expert system, the reason for the failure, the input variables, the estimated savings, the replacement ratio, and any other variables used or calculated by the expert system.
After manual review, the present invention allows for manual input of new or revised decisions. In particular, the operator of the software used in retirement planning is given the option to use the values for the output variables as determined by the system, or the operator may change any of the following:
The three ages to be shown on the report;
STAR 1
STAR 2
e%
Middle interest rate and age upon which the interest rate is based.
Outlook Report: Once the values for the output variables have been determined, an Outlook report 130 is generated. In the exemplary embodiment, the report includes 18 different retirement scenarios illustrated on two different graphs as shown in FIGS. 4a and 4b. The graphs assume that the values for the output values are as follows:
ROR mid =6%
ROR spread =1%
STAR 1 =58
STAR 2 =57
e%=90
PA=56
since STAR 1 , STAR 2 , and PA are unique ages, AA 1 and AA 2 were not calculated.
Using these values, 18 different estimated savings levels are calculated. In particular, estimated savings levels SS I .sub.(x,e%) are calculated where I ε{ROR mid -ROR spread , ROR mid ,ROR mid +ROR spread }, X ε{PA, STAR 2 , STAR 1 }, and e% ε{100,e% (i.e, the calculated e% value)}, for each different combination of I, X, and e% value as shown in table 21:
TABLE 21______________________________________e% I X______________________________________100 5% 56100 5% 56100 5% 56100 6% 57100 6% 57100 6% 57100 7% 58100 7% 58100 7% 5890 5% 5690 5% 5690 5% 5690 6% 5790 6% 5790 6% 5790 7% 5890 7% 5890 7% 58______________________________________
Referring to FIG. 4a, a graph shows 9 of the 18 different retirement scenarios. In particular, all scenarios where e%=100 are plotted and displayed to the user in the form of the illustrated graph. Here, the X-axis 401 represents the retirement age (and year) while the Y-axis 402 represents the estimated savings level. Each of the retirement age-SS I .sub.(x,e%) points are illustrated as large dots 403-411. Each dot 403-411 at the same rate of return is connected by a line. Accordingly, line 412 represents a 7% rate of return, line 413 represents an 6% rate of return, and line 414 represents a 5% rate of return. One dot 408 is highlighted (as illustrated, it is represented as a star), representing a retirement age of STAR 1 , here STAR 1 =58 at the middle rate of return 6%. This is believed to be the scenario of particular interest to the customer, i.e., the strategy that comes closes to meeting the customer's retirement goals. The graph of FIG. 4a also shows the current savings level CS 415. Using this graph, the customer can determine how much money the customer should be saving annually to meet retirement goals. Here, to retire at the age of 58 considering a 6% rate of return on savings, the customer should increase the customer's savings level to $13,500 (star 408). To retire a year earlier, considering a rate of return of 6%, the customer would need to increase savings to a little over $20,000 a year (dot 407).
The graph of FIG. 4b answers the question: what if the customer reduces the customer's standard of living in retirement? In this graph, (the retirement age,SS I .sub.(X,e%)) points are plotted where e%=90. As illustrated by star 501, if the customer increases annual savings to $11,000, the customer could fund retirement at age 57, considering a 6% rate of return, if the customer reduces the standard of living in retirement to 90% replacement of basic living expenses.
Determination of Annual Savings Level Needed for a Given Retirement Scenario
For a given retirement scenario (combination of financial information, retirement year, percentage of Basic Living Expenses (BLE and rate of return), the software system used in retirement planning executes the following steps to determine the annual savings level needed:
1. Estimate the total income needed for each year in retirement.
2. Estimate total income available from sources other than savings each year in retirement. For example, Social Security, employer defined benefit pensions, other pensions already being received, rental income.
3. Calculate the difference (1-2) for each retirement year.
4. Calculate the present value of all of the annual amounts in 3 as of the retirement date.
5. Use a converging iteration algorithm to find the minimum positive future savings level (within desired tolerance) for which the accumulated value of the customer's current assets and future savings will be>the value in 4 by the retirement date.
As will be understood by those of skill in the art, the present invention determines and displays reasonable retirement scenarios. The scenarios displayed are determined based in part on a customer's prioritization of adjustments to retirement goals in order to ensure a more comfortable retirement.
The expert system of the present invention has a design that facilitates possible future modifications and enhancements. The system design allows flexibility with respect to the specific variables and logic employed. Enhancements may include, for example, use of additional input fields, changes in the decision logic or expansion of the table values.
When the terms "system used in retirement planning" and "software system used in retirement planning" are used herein, they should not be understood as covering a system that addresses all aspects of retirement planning. Thus, the terms "retirement planning system" and "retirement planning software" should be read to include any tool used in retirement planning. For example, a system that does not address aspects of insurance needs, estate planning and asset allocation should still be regarded as a system used in retirement planning. Although intended for use in retirement planning, the present invention may also be used in other forms of financial planning.
The expert system of the present invention can be implemented utilizing a logic circuit or a computer memory comprising encoded computer-readable instructions, such as a computer program. The functionality of the logic circuit or computer memory is described in detail above.
While the present invention has been particularly shown and described with reference to an exemplary embodiment thereof, it will be understood by those skilled in the art that various changes in form and details may be made therein without departing from the spirit and scope of the invention. | A computer implemented tool used primarily in [retirement planning] financial planning which produces estimated values of needed savings levels and further income based on certain economic assumptions and data regarding an individual subject's current financial status. [Although intended for use in retirement planning, the tool may also be used in other forms of financial planning.] The tool uses decision logic. User preferences are taken into account. Output is presented in a unique graphical format that can be easily understood by customers. | 99,023 |
TECHNICAL FIELD
The present invention relates to novel trisulfonated tribenzo-mononahptho-porphyrazines, processes for making them and their application as improved photosensitizing drugs for the treatment of various medical conditions by photodynamic therapy (PDT).
BACKGROUND OF THE INVENTION
Photodynamic therapy (PDT) of various medical conditions usually involves i.v. administration of a photosensitizer, followed (after several hours up to a day) by the illumination of the affected tissue with red light. This results in activation of the sensitizer and subsequently the formation of reactive oxygen species (ROS), particularly singlet oxygen. Depending on the localization of the photosensitizer, the ensuing oxidative stress leads to vascular collapse and cell death involving apoptosis or necrosis (Oleinick et al., Photochem. Photobiol. Sci., 1: 1-22, 2002). Most photosensitizers currently in clinical use or in trials have one of the following drawbacks, or a combination thereof (Sharman et al., Drug Discovery Today, 4; 507-517, 1999): they consist of a mixture of products, they are lipophilic drugs, requiring formulation in liposomes or an emulsion, their photochemical properties are not optimal for PDT, their pharmacokinetics and target localization are not compatible with the selected application.
During the past decades phthalocyanines (Pc) and their derivatives have been extensively studied. Pc and their derivatives found numerous applications in widely different areas due to their distinct properties. Both lipid and water-soluble Pc have been advanced as photosensitizers for the photodynamic therapy (PDT) of cancer. Among the water-soluble derivatives particularly the efficacy of sulfonated metallo Pc has been studied. Depending on the degree of sulfonation, Pc exhibit varying hydrophobic and hydrophilic properties inducing different photodynamic effects. Adjacently substituted, disulfonated compounds have the appropriate amphiphilic properties for optimal cell membrane penetration, resulting in high photodynamic activity against tumor cells (Margaron et al., Photochemistry and photobiology, 63(2):217-223, 1996). Inherent to the classical procedure of their preparation, such derivatives are difficult to purify as single isomeric products and as such not suitable for human applications.
A particularly interesting application of PDT involves the treatment of wet age-related macular degeneration (AMD). Wet AMD is the leading cause of blindness for people over the age of 50 and involves the rapid growth of abnormal blood vessels under the central retina. Leakage from these abnormal vessels causes scarring and an accelerated loss of visual acuity. The retina is protected by a blood retinal barrier (BRB) constituted by two spatially distinct monolayers of cells, of which the tight junctions between retinal capillary endothelial cells forms the inner retinal barrier, and the retinal pigment epithelium forms the outer barrier. The BRB serves to keep the retina dry and preserves the ionic balance of the retina. In addition, some circulating factors may be toxic to the retina and are kept out by the BRB. Thus an intact BRB is essential for the normal function of the retina.
The BRB is breached in many retinopathies involving vascular disorders including macular degeneration, diabetic retinopathy, exudative retinal detachment, Coat's disease and various forms of macular edema. Plasma extravasation is a direct consequence of the BRB breakdown. Plasma extravasation results in the deposit of material, which is normally within the lumen of vessels onto the retina, resulting in the loss of vision at such sites due to obstruction of light transmission. Subretinal edema brought about by plasma extravasation will lead to detachment of essential cellular connections resulting in vision loss.
Evidence shows that Vascular Endothelial Growth Factor (VEGF), originally known as vascular permeability factor, is a key element in the breakdown of the BRB under pathological conditions (Quam, et al., Invest. Ophth. Visual Sci., 42: 2408-2413, 2001). Photodynamic therapy using a benzoporphyrin derivative (verteporfin) as a photosensitizer has been shown to be an efficient procedure to close the abnormal vessels, and has been accepted in several countries for the treatment of AMD (U.S. Pat. No. 5,756,541).
In a search for phthalocyanine-like structures that exhibit similar amphiphilic and cell penetrating properties as those of the disulfonated Pc, the synthesis and properties of trisulfonated Pc substituted with a lipophilic group on the fourth non-sulfonated benzyl group were previously investigated. In a first approach boron(III) subphthalocyanines were used as intermediates (U.S. Pat. No. 5,864,044). The success of this procedure depends dramatically on the nature of the substituents on the subPc, as well as other factors, and as such the procedure was found not to be suitable for the preparation of trisulfonated Pc with extended lipophilic substituents. Subsequently, it was found that such compounds could be obtained via palladium-catalyzed cross coupling reactions using a monoiodo trisulfonated Pc as starting material (Tian et al., Tetrahedron Lett., 41: 8435-8438, 2000). Such mono functionalized trisulfonated Pc exhibit the typical Q band near 680 nm.
It would be highly desirable to be provided with novel water-soluble amphiphilic photosensitizing drugs for the treatment of various medical conditions by photodynamic therapy (PDT) that overcome the drawbacks of the prior art compounds.
It would also be highly desirable to be provided with novel tri-(sulfobenzo)-mono-(carboxyl-naphtho)-porphyrazines compounds for attachment to a protein carrier such as an antibody, preferably a monoclonal antibody (Mab) or its fragments for the treatment of various medical conditions by PDT.
SUMMARY OF THE INVENTION
One aim of the present invention is to provide novel trisulfonated tribenzo-mononahptho-porphyrazines, as improved photosensitizing drugs for the treatment of various medical conditions by photodynamic therapy (PDT).
Another aim of the present invention is to provide processes for making these novel trisulfonated tribenzo-mononahptho-porphyrazines and their application.
Another aim of the present invention is to provide novel tri-(sulfobenzo)-mono-(carboxyl-naphtho)-porphyrazines compounds for attachment to a protein carrier such as an antibody, preferably a monoclonal antibody (Mab) or its fragments and their application.
In accordance with the present invention there is provided a method for preparing a purified compound of formula (I), comprising the steps of:
a) mixing KOH with tetrabutyl ammonium hydrogen sulfate;
b) adding indole to the mixture of step a);
c) adding sulfonyl chloride to the mixture of step b) to obtain the compound of formula (I);
d) removing solid KOH from the mixture of step c);
e) washing the mixture of step d); and
f) drying the compound of formula (I).
In accordance with the present invention, there is also provided an intermediate compound consisting of a 5- or 6-substituted tri-[4-(1-indolylsulfobenzo)]-mono-naphtho-porphyrazine compound of formula (II):
Wherein
R 1 is
M is H . . . H or a metal; and
R 3 , R 4 and R 5 are hydrogen when R 2 is an —C≡CX or —NHX when X is an alkyl, an aryl, an alkylcarboxyl or an arylcarboxyl; or
R 2 , R 4 and R 5 are hydrogen when R 3 is an —C≡CX or —NHX when X is an alkyl, an aryl, an alkylcarboxyl or an arylcarboxyl.
Still in accordance with the present invention, there is also provided a water-soluble compound of formula (III):
Wherein
M is H . . . H or a metal, such as for example Zn, Co(II), Ni and Cu; and R 2 , R 3 and R 4 are hydrogen when R 1 is an —C≡CX or —NHX when X is an alkyl, an aryl, an alkylcarboxyl or an arylcarboxyl; or R 1 , R 3 and R 4 are hydrogen when R 2 is an —C≡CX or —NHX when X is an alkyl, an aryl, an alkylcarboxyl or an arylcarboxyl.
Further in accordance with the present invention, there is provided a method for preparing the compound of formula (II) as described above. The method comprises the step of condensing together iodo-2,3-dicyanonaphthalene with indole protected 3,4-dicyanophenylsulfonyl in the presence of CH 3 COOM, to obtain the compound of formula (II). The method may additionally comprise the step of purifying the compound of formula (II), such as by chromatography or silica gel column chromatography.
The method may also comprise the step of cleaving off the indole contained in R 1 of the compound of formula (II) to obtain a water-soluble 5- or 6-substituted tri-(4-sulfobenzo)-mono-naphtho-porphyrazine compound of formula (III)
Wherein
M is H . . . HH or a metal selected from the group consisting of Zn, Co(II), Ni and Cu; and R 2 , R 3 and R 4 are hydrogen when R 1 is an —C≡CX or —NHX when X is an alkyl, an aryl, an alkylcarboxyl or an arylcarboxyl; or R 1 , R 3 and R 4 are hydrogen when R 2 is an —C≡CX or —NHX when X is an alkyl, an aryl, an alkylcarboxyl or an arylcarboxyl.
The compound of formula (III) may further be purified by for example chromatography such as silica gel column chromatography.
Also in accordance with the present invention, there is provided the use of the compounds defined above in conjunction with light of appropriate wavelength for photodynamic therapy (PDT).
Still in accordance with the present invention, there is provided the use of Zinc tri-(4-sulfobenzo)-5-mono-[(1-hexynyl)naphtho]-porphyrazine for the treatment of light accessible cancers in conjunctions with light of appropriate wavelength or for the treatment of age related macular degeneration (AMD) in conjunctions with light of appropriate wavelength.
Still in accordance with the present invention, there is provided an intermediate compound selected from the group consisting of formula (6),
an intermediate compound of formula (16):
an intermediate compound of formula (21):
an intermediate compound of formula (76):
a compound of formula (46):
a compound of formula (51):
and
a compound of formula (106):
Further in accordance with the present invention, there is also provided a conjugate comprising any of the aforementioned compound conjugated to a protein carrier, such as an antibody or a monoclonal antibody.
The present invention also provides for the use of any of these compounds or conjugates in conjunction with light of appropriate wavelength for photodynamic therapy (PDT).
Still in accordance with the present invention, there is provided the use of any one of the aforementioned compounds or conjugates, or a pharmaceutically acceptable salt thereof, for the treatment of a condition selected from the group consisting of a light accessible cancer, an ocular disease, extravasation (such as plasma extravasation) and a leaky blood vessel and non-ocular vascular disease in conjunction with light of appropriate wavelength. Alternatively, any one of the aforementioned compounds or conjugates, or a pharmaceutically acceptable salt thereof, can also be used in the manufacture of a medicament for any of the aforementioned treatments
Also in accordance with the present invention, there is provided a method of treating a condition selected from the group consisting of a light accessible cancer, an ocular disease, extravasation and a leaky blood vessel and non-ocular vascular disease in an individual comprising:
a) administering an effective amount of any one of the aforementioned compounds of conjugates, or a pharmaceutically acceptable salt thereof; and b) irradiating the individual with light of appropriate wavelength at a site effected by the condition.
In accordance with the present invention, there is also provided the use of zinc tri-(4-sulfobenzo)-5-mono-[(1-hexynyl)naphtho]-porphyrazine or a pharmaceutically acceptable salt thereof for the treatment of a condition selected from the group consisting of a light accessible cancer, an ocular disease, extravasation and a leaky blood vessel and non-ocular vascular disease in conjunction with light of appropriate wavelength.
There is also provided in accordance with the present invention the use of zinc tri-(4-sulfobenzo)-5-mono-[(1-hexynyl)naphtho]-porphyrazine or a pharmaceutically acceptable salt thereof in the manufacture of a medicament to treat a condition selected from the group consisting of a light accessible cancer, an ocular disease, extravasation and a leaky blood vessel and non-ocular vascular disease in conjunction with light of appropriate wavelength.
Still in accordance with the present invention, there is provided a method of treating a condition selected from the group consisting of a light accessible cancer, an ocular disease, extravasation and a leaky blood vessel and non-ocular vascular disease in an individual comprising:
a) administering an effective amount of zinc tri-(4-sulfobenzo)-5-mono-[(1-hexynyl)naphtho]-porphyrazine or a pharmaceutically acceptable salt thereof; and b) irradiating the individual with light of appropriate wavelength at a site effected by the condition.
The present invention also provides for the use of zinc tri-(4-sulfobenzo)-5-mono-[(1-hexylcarboxy)naphtho]-porphyrazine for the treatment of a condition selected from the group consisting of a light accessible cancer, an ocular disease, extravasation and a leaky blood vessel and non-ocular vascular disease with light of appropriate wavelength.
Still in accordance with the present invention, there is provided the use of zinc tri-(4-sulfobenzo)-5-mono-[(1-hexylcarboxy)naphtho]-porphyrazine or a pharmaceutically acceptable salt thereof in the manufacture of a medicament to treat a condition selected from the group consisting of a light accessible cancer, an ocular disease, extravasation and a leaky blood vessel and non-ocular vascular disease in conjunction with light of appropriate wavelength.
Further still in accordance with the present invention, there is provided a method (and its use) of treating a condition selected from the group consisting of a light accessible cancer, an ocular disease, extravasation and a leaky blood vessel and non-ocular vascular disease in an individual comprising:
a) administering an effective amount of zinc tri-(4-sulfobenzo)-5-mono-[(1-hexylcarboxy)naphtho]-porphyrazine or a pharmaceutically acceptable salt thereof; and b) irradiating the individual with light of appropriate wavelength at a site effected by the condition.
In a preferred embodiment of the invention, the ocular disease is preferably selected from the group consisting of age related macular degeneration, diabetic retinopathy, exudative retinal detachment, Coat's disease, haemangiomas, retinoblastomas, choroidal neovascularisation, diabetic microvasculopathy, clinically significant macular edema, edema associated with central retinal vein occlusion, edema associated with branch retinal vein occlusion, postoperative cystoids, intraocular inflammation, light toxicity, retinitis pigmentosa, drug induced macular edema.
The present invention can also be used to treat non-ocular vascular disease such as vascularised tumours or psoriasis.
The water-soluble, amphiphilic Pc-like structures of the present invention have numerous advantages over other photodynamic agents currently in clinic or clinical trial including their ease and high yield synthesis as single isomeric compounds, their ease of formulation in aqueous medium, their excellent photochemical properties resulting in high yield of cytotoxic reactive oxygen species (ROS), their red-shifted absorption maximum, where tissues are most transparent, and their multiple absorption maxima, allowing excitation at different wavelengths to modulate depth of treatment with therapeutic light.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 shows a graph illustrating plasma extravasation produced by Vascular Endothelial Growth Factor in a rat model;
FIG. 2 shows elevated plasma extravasation resulting from diabetes in the streptozotocin (STZ)-injected rat model;
FIG. 3 illustrates a time-dependent inhibition of Vascular Endothelial Growth Factor evoked plasma extravasation;
FIG. 4 illustrates a time-dependent inhibition of plasma extravasation in STZ-diabetic rat retinal vessels;
FIG. 5 illustrates dose response curves of various compounds of the present invention using an optimal PDT protocol (i.e. red light is applied 6 h after drug administration);
FIGS. 6A and 6B illustrate the absorption spectrums of NVT-0275 (compound 106) and of NVT-0275 conjugated to albunim;
FIG. 7 illustrates a FACS analysis showing that albumin conjugated NVT-0275 is functional;
FIG. 8 illustrates a FACS analysis showing that EMBP-conjugated NVT-0275 is fully functional; and
FIG. 9 illustrates the destruction of human white blood cells using one compound of the present invention conjugated to an antibody specific for eosinophils.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENT
In a search of a water-soluble, amphiphilic Pc-like structures with multiple activation bands at red-shifted wavelengths (>680 nm), the inventors investigated the preparation of hybrid structures resembling both the basic Pc and naphthalocyane molecule, i.e. porphyrazines. In the present invention, it was thus found that tri-(sulfobenzo)-mono-(alkylyl-, aminoalkyl- or aminoaryl-naphtho)-porphyrazines (compounds 45-74 identified in the application) can be prepared as pure single products in good yield and that they exhibit excellent photodynamic properties against cancer cells in culture. By varying the length of the side chain of the alkylyl series (M=Zn) a parabolic relationship was found between the number of carbon atoms of the alkylyl chain and in vitro phototoxicity with the hexynyl derivative 46 exhibiting optimal photodynamic properties. The same derivative also showed excellent in vivo PDT response against an experimental mammary tumor in mice and strong capacity to shutdown the vasculature in the rat retina—an assay predictive of the potential use of a drug for the PDT of several retinopathies involving plasma extravasation including age-related macular degeneration (AMD) and diabetic retinopathy. These combined findings suggest that the hexynyl derivative 46 has excellent potential as a second-generation photosensitizing drug for the PDT of various medical conditions, particularly light-accessible cancers and retinopathies.
Coupling procedures for attachment of tri-(sulfobenzo)-mono-(carboxyl-naphtho)porphyrazines complexes to a protein carrier such as an antibody, preferably a monoclonal antibody (Mab) or its fragments involves commercially available reagents and published procedures to yield loading ratios of 7 up-to 15 moles of Pc per mole of Mab (N. Brasseur et al., Photochem. Photobiol. 69: 345-352, 1999; C. M. Allen, Photochem. Photobiol. 70: 512-523, 1999). At the lower loading ratios immuno integrity of the Mab is unaffected (M. Carcenac, et al., Photochem. Photobiol., 70: 930-936, 1999; M. Carcenac, et al., Br. J. Cancer, 85: 1787-1793, 2001). MAb can be selected to target the photosensitizers of the present invention to different medical conditions for immunophototherapy (i.e. different cancers, dry-form of AMD).
Chemistry
The general synthetic procedure for the preparation of compounds 45-74 implies adding lipophilic alkylyl, aminoalkyl or aminoaryl chains to the iodonaphtho moiety of the indole-protected key intermediate tri-(indolylsulfobenzo)-mono-(iodonaphtho)-porphyrazine (5-14). Varying the chain length of the peripheral alkylyl, aminoalkyl or aminoaryl substituent yields compounds 45-74 with graded amphiphilic properties.
The inventor's first attempt to prepare the key intermediate 5-14 involved the ring-enlargement reaction of a trichlorosulfo subphthalocyanine (subPc). The success of the procedure depends dramatically on the nature of the substituents on the subPc, the reactivity of the iminoisoindoline used to open the ring structure to yield the 4-membered porphyrazine, the solvent and other factors, and the inventors discovered that this approach was not suitable for the preparation of iodonaphtho intermediates 5-14.
In a second approach to obtain the iodonaphtho intermediates 5-14 the mixed condensation reaction between iodo-2,3-dicyanonaphthalene (3-4) and the indole protected 3,4-dicyanophenylsulfonyl (2) in the presence of zinc acetate was successfully used. The resulting protected monoiodonaphtho compounds 5-14 are soluble in most polar organic solvents and can easily be purified by silica gel column chromatography. Their UV-vis spectra show a split Q band (725, 687 and 622 nm) due to the combined naphthalocyanine and phthalocyanine nature of the macrocycle, and the presence of the bulky protecting groups, which affect the symmetrical properties of the molecule. The protected iodonahptho-porphyrazines 5-14 (also referred to hereinbefore iodonaphtho intermediates) are highly versatile intermediates for the synthesis of novel mono(naphtho) substituted tri(sulfobenzo)-porphyrazines that are readily purified by column chromatography. Applying the palladium-catalyzed coupling of terminal alkynes with the iodonaphtho moiety provides an effective method for introducing an alkynyl chain onto the porphyrazine macrocycle, which upon hydrolysis yield compounds 45-74. Likewise, the palladium-catalyzed Buchwald amination reaction was employed to attach selected amino-chains onto the porphyrazine macrocycle providing analogs 45-74 substituted with various alkyl chains via an amino rather than an ethyne linkage.
All new porphyrazines were characterized by UV-vis and FAB (fast atom bombardment) or electron-spray mass spectroscopy. The trisulfonated porphyrazine compounds 45-74 were purified by reverse phase, medium pressure liquid chromatography and analysed by reverse phase HPLC. All derivatives showed three closely eluting peaks with longer retention times as compared to those of the parent molecule, i.e. a trisulfonated phthalocyanine. This observation confirms that the attachment of a lipophilic chain augments the hydrophobic properties of the trisulfonated porphyrazine compounds 45-74.
Biology
Formulation of Trisulfonated Porphyrazines
A few milligrams of the selected tri-(4-sulfobenzo)-5-mono-[(1-alkylyl)naphthalo]-porphyrazines (Scheme 4: compounds 45-74) were dissolved in 1% PBS (pH 7.4) and sonicated for a few minutes. The solutions were filtered on Millex-GV™ 0.22 μM (Millipore) under sterile condition. The final concentration of the dyes was determined by their UV-vis absorption after dilution in methanol (λ max 680-690 nm, ε=1.20×10 5 M −1 cm −1 ).
Phototoxicity Against Tumor Cells in Culture
Cell Culture
EMT-6 murine mammary tumor cells were maintained in Waymouth medium culture (Gibco, Burlington, Canada) supplemented with 15% fetal bovine serum (Gibco), 1% glutamine (Gibco) and 1% penicillin-streptomycin (Gibco). This corresponded to a complete medium.
Cellular Photoinactivation
Cell cultures were trypsinated to give a 1.5×10 5 cells/ml suspension. 100 μL of cells per well were plated in 96 multi-well plates and incubated overnight at 37° C., 5% CO 2 . One column of cells were omitted to serve as a blank. The cells were rinsed twice with PBS and incubated with 50 μL of dye solution (1-5 μM) in Waymouth 1% FBS for 1 or 24 h. One control column was filled with dye-free Waymouth 1% FBS. The cells were then rinsed twice with PBS, re-fed with 100 μL of Waymouth 15% FBS and exposed for varying time intervals to red light (10 mW cm −2 at 660-700 nm). Plates were incubated overnight at 37° C., 5% CO 2 . Cell survival was measured by a colorimetric method, using the tetrazolium salt 3-(4,5-dimethylthiazol-2-yl)-2,5-diphenyl-tetrazolium bromide (MTT) (Sigma). Eight-fold replicates were run and experiments were repeated at least three times.
MTT Assay
A stock solution of MTT at 0.5% in PBS was prepared and kept at 4° C. in the dark. The solution was diluted 5-fold in Waymouth 15% FBS and 50 μL was added in each well. After 4 h incubation (37° C., 5% CO 2 ), 100 μL sodium dodecyl sulfate (10% in 0.01 N HCl), was added in the wells to stop MTT reduction and to dissolve the blue formazan crystals produced by mitochondrial hydrogenases in living cells. After 24 h incubation, the plates were read on a microplate reader (molecular devices, thermomax) to the optical densities at 570 nm. The survival curves were plotted as a function of light dose and LD 90 values were calculated.
Efficacy of PDT for the In Vivo Treatment of Tumors
Animal Model
All experiments were performed on male BALB/c mice (18-22g) (Charles River Breeding Laboratories, Montreal, Quebec, Canada) bearing two EMT-6 mammary tumours. The experiments were conducted following a protocol approved by the Canadian Council on Animal Care and the in-house ethics committee. Animals were allowed free access to water and food throughout the experiments. Before tumour implantation, hair on the hind legs and the backs of the mice was removed by shaving and chemical depilating (Nair, Whitehall, Mississauga, Canada). The two tumors were implanted on the backs of the animals by intradermal injection of 2-3×10 5 EMT-6 cells suspended in 0.05 ml Waymouth's growth medium.
Photodynamic Therapy (PDT)
For PDT tumor response studies, mice were used 7-10 d after tumor cell inoculation (mean external tumor size 4.5-6.0 mm diameter and approximately 2.5 mm thickness). The mice were given an intravenous administration of 1 μmol of porphyrazine dye in PBS (0.2 mL/20 g) through the tail vein. After 24 h, one tumor was treated with an 8-mm beam of red light (670 nm, 200 mW/cm 2 for a total fluorence of 400 J/cm 2 , generated by a B&W fibre-coupled diode laser, model BWF-670-3000, B&W Tek, Newark, Del.) whereas the other tumour served as a control. Mice were examined daily for 20 days following PDT in order to assess tumor response (necrosis) and recurrence.
Efficacy of PDT for the Treatment of Retinopathies
Experimental Diabetes
Plasma Extravasation as a Measure of Retinopathy
The long established Evans Blue technique was used to measure plasma extravasation. Under anesthesia with a 10 mg/kg mixture of Ketamine and Xylazine, 250 g male wistar rats were injected with 45 mg/kg Evans Blue through a canula placed in the jugular vein. Ten minutes later, the experimental procedure was started. At the end of experiments, the animals were sacrificed and their eyes were enucleated. Both eyes combined were placed into 300 μl of formamide and incubated at 70° C. for 18 hours. Following incubation the supernatant absorbance at 620 nm was read with a spectrophotometer. A standard curve was used to determine the concentration of Evans Blue, which was expressed in μg/ml.
Induction of Plasma Extravasation Using Vascular Endothelial Growth Factor (VEGF-165, Vascular Permeability Factor)
Rats anesthetized with a mixture of Ketamine and Zylazine (10 mg/kg) were injected with 2 μl of VEGF-165 prepared in saline, directly into the vitreous, using a Hamilton micro syringe. A period of 10 min was allotted for the plasma extravasation response to occur. After the response to VEGF-165 developed, the eyes were enucleated and subjected to spectrophotometric analysis for Evan's Blue.
Plasma Extravasation in the Diabetic Rat
After an overnight fast, diabetes was induced with a single 65 mg/kg intraperitoneal injection of streptozotocin (STZ) in 10 mM citrate buffer, pH 4.5. Animals that served as non diabetic controls received an equivalent amount of citrate buffer alone. One week later, just prior to experimentation, blood glucose levels were measured to determine diabetic status. Only rats with blood glucose higher than 20 mM were deemed STZ-diabetic. Those rats that were injected with STZ but did not become diabetic were deemed STZ-non diabetic controls.
Photodynamic Treatment with Trisulfonated Porphyrazines
Conscious rats were injected with the photosensitizing drug through the tail vein six hours prior to irradiation with red light onto the retina. The light was applied continuously for 15 min using a laser pen and circular motion to ensure that the entire retina was uniformly illuminated (λ=680 nM; 50 mW/cm 2 ; 45 J/cm 2 ). Subsequently the eyes were enucleated and tested for Evan's Blue levels.
Isolation of Polymorphonuclear Leukocytes
Dextran 3% is equilibrated to room temperature (72° C.) and then thoroughly mix blood 1:1 (v:v). The mixture is allowed to decant for 35 min at room temperature. Ten (10) ml of Ficoll is put in a 50 ml tube and then the supernatant is aspirated from the blood cells and delicately add to the Ficoll in the tube, which is then centrifuged for 30 min at 2000 rpm, at room temperature and without brakes. Once the centrifuge has stopped, the upper layer containing the plasma is collected. The layer of monoleukocytes is put in a 15 ml tube. α-MEM-C is then added to these cells. The pellet (PMN+RBC) is resuspended in 2 ml of NaCl 0.2% for 25 sec. Then two (2) ml of NaCl 1.6% and 6 ml PBS are added. The suspension is then centrifuged for 10 min at 1300 rpm at room temperature and the supernatant removed. The new pellet (PMN and RBC) is resuspended again in 2 ml of NaCl 0.2% for 25 secand then two (2) ml of NaCl 1.6% and 6 ml of PBS are added. the suspension is once again centrifuged for 10 min at 1300 rpm at room temperature and the supernatant removed. α-MEM-C is then added to resuspend the pellet to make a cell suspension. The cellular concentration is then adjusted to 3×10 6 cells/ml. Nine hundred (900) μl of cells are poured into 24-well plates. NVT-0275-Ab is then added and let to sit for 1 hour in dark. The wells are then exposed to red light (8-mm beam, 670 nm , 200 mW/cm 2 , generated by a B&W fibre-coupled diode laser, model BWF-670-3000, B&W Tek, Newark, Del.) during a period of 5 min, i.e. 0.2 min per well (for a total fluence of 2 J/cm 2 ). Finally, the cells are collected in a tube and FACS is conducted.
FACS was conducted according to standard procedures (see for example Bortner C. D. and J. A. Cidlowski, Flow Cytometric Analysis of Cell Shrinkage and Monovalent Ions during Apoptosis, In: Apoptosis (vol 66), Methods in Cell Biology, Edited by L. M. Schwartz and J. D. Ashwell, Academic Press, 2001).
The present invention will be more readily understood by referring to the following examples, which are given to illustrate the invention rather than to limit its scope.
EXAMPLE 1
1-(3,4-Dicyanophenylsulfonyl)indole 2 (Scheme 1)
Ground KOH (8.6 g) was mixed with tetrabutylamonium hydrogen sulfate (830 mg) in CH 2 Cl 2 (230 mL). The reaction flask was cooled in an ice-salt bath (˜−5° C.). After stirring about 10 min, indole (9.04 g) was added in the mixture. The reaction mixture was allowed to stir for 20 min in the cooling bath. The compound 1, sulfonyl chloride powder was added to the reaction mixture over 50 min at 0° C. ˜−5° C., and the solution was continuously stirred for about 4 h at room temperature (the reaction was monitored by TLC, and continued until the starting material was gone). The solid KOH was removed by filtration and the filtrate was diluted with CH 2 Cl 2 to 600 ml, washed with 10% aqueous HCl, water, saturated NaHCO 3 aqueous solution and water (Caution: All the washing must use the cooling solution). The solvent was removed under vacuum. The residue was dispersed in 150 mL CH 2 Cl 2 under sonication, filtered and the filtrate was absorbed on silica gel and compound 2 was eluted with hexane/EtOAc (100/5 ˜ 100/40) and recovered as a light yellow powder (8.94 g, 62.4%). Compound 2 had the following characteristics:
m.p.:171˜173° C.;MS(M + ):307.
EXAMPLE 2
Zinc tri-[4-(1-indolylsulfobenzo)]-mono-5-iodonaphtho porphyrazine (6) (Scheme 2)
A mixture of compound 2 (300 mg, 0.97 mmol), compound 3 (100 mg, 0.32 mmol) and ZnAc.2H 2 O (200 mg, 0.91 mmol) was heated to 210° C. ˜230° C., and kept at this temperature for 40 min, then cooled to room temperature. The crude product was dissolved in THF, filtered to remove solids and evaporated under reduced pressure. The residue containing the crude product was dissolved in CHCl 3 . The purification was carried out by silica gel column chromatography in toluene/THF (100/1˜100/5) to afford compound 6 (74 mg, 18.5%) with the following characteristics:
MS(FAB, M + ):1289;UV-vis,λ max in nm(ε in M −1 cm −1 ):725(1.05×10 5 ),687(1.20×10 5 ),622(3.82×10 4 ),349(6.75×10 4 ).
EXAMPLE 3
Zinc tri-[4-(1-indolylsulfobenzo)]-5-mono-[(1-hexynyl)naphtho]-porphyrazine (16) (Scheme 3)
Compound 6 (119 mg, 0.09 mmol), PdCl 2 (PPh 3 ) 2 (25 mg) and Cul (25 mg) were placed in a two neck-flask under nitrogen. Anhydrous THF (8 ml) was added into the flask by syringe. Nitrogen was bubbled through the mixture, 1-hexyne (0.2 mL) and Et 3 N (5 mL) were added by syringe, respectively. Nitrogen continued to pass through the reaction mixture for 10 min. Then the reaction mixture was stirred for an additional 20 h at room temperature. The solvent was removed under reduced pressure. The residue was dissolved in CHCl 3 , purified by column chromatography in Toluene/THF (100/1 to 100/10) to yield 16 as a green powder (99 mg, yield: 84%) having the following characteristics:
MS(FAB, M + ):1245;UV-vis,λ max in nm (εin M −1 cm −1 ):725(1.03×10 5 )687(1.18×10 5 ),622(3.80×10 4 ),349(6.72×10 4 ).
EXAMPLE 4
Zinc tri-[4-(1-indolylsulfobenzo)]-5-mono-[(1-hexylamino)]-porphyrazine (21) (Scheme 3)
A mixture of cesium carbonate (50 mg, 0.15 mmol), Pd 2 (dba) 3 (5 mg) and (s)BINAP (5 mg) was placed in a two neck round flask, and purged with N 2 . Compound 6 (40 mg, 0.03 mmol) was added and anhydrous THF (7 mL) and hexylamine were then added by syringe. The reaction mixture was heated to reflux under nitrogen and kept refluxing for 19 h (the reaction was monitored by TLC), then cooled to room temperature. The solvent was evaporated on a vacuum. The residue was dissolved in CHCl 3 , then separated by column chromatography in toluene/THF (100/5), the first band was identified as compound 21 (25 mg, yield: 63%). MS (FAB: M + ), 1262.
EXAMPLE 5
Zinc tri-(4-indolysulfobenzo)-5-mono-[(1-hexylcarboxy)naphtho]-porphyrazine (76) (Scheme 3)
Compound 6 (87 mg), PdCl 2 (PPh 3 ) 2 (25 mg), Cul (50 mg) and 5-hexynoic acid (2 ml) were placed in the two neck-flask, and the flask was fleshed by nitrogen. Anhydrous THF (4 ml) was added into the flask by syringe. Nitrogen was bubbled through the mixture. Et 3 N (4 ml) were added by syringe while the mixture was kept under nitrogen. After the reaction mixture was stirred for 24 h at room temperature the solvent was removed under reduced pressure. The residue was dissolved in the CHCl 3 and purified by column chromatography in CHCl 3 /MeOH/AcOH (1:1:0.2), to afford 76 as a green powder (74 mg, yield: 82%).
MS(FAB,M + ):1223.
EXAMPLE 6
Zinc tri-(4-sulfobenzo)-5-mono-[(1-hexynyl)naphtho]-porphyrazine (46) (Scheme 4)
A solution of NaOMe (120 mg, metal sodium was dissolved in 10 mL methanol) was added to a solution of compound 16 in 15 mL THF. The mixture was refluxed for 24 h. The solvent was removed in a vacuum, the residue was washed with acetone to remove soluble organic impurities. The residue was dried in air. The crude product was dissolved in buffer solution (pH=5), and the pH value of the solution was adjusted to 7. The purification was carried out on C-18 reverse phase column (via vacuum) to remove salt. The column washed with aqueous phosphate buffer (pH=5) and water to elute the salt, and 50% methanol/water to elute pure compound 46 (74 mg, 91.6%) with the following characteristics:
MS[electrospray,ZnNPcC 6 (SO 3 H) 3 ]:947.9.UV-vis,λ max in nm (εin M −1 cm −1 ): 703(1.12×10 5 ),680(1.21×10 5 ),648(3.46×10 4 ),617(2.86×10 4 ),339(3.73×10 4 ).
EXAMPLE 7
Zinc tri-(4-sulfobenzo)-5-mono-[(1-hexylamino)naphtho]-porphyrazine (51) (Scheme 4)
A solution of NaOMe (50 mg, metal sodium was dissolved in 5 mL methanol) was added to a solution of compound 20 (25 mg, 0.02 mmol) in 10 mL THF. The mixture was refluxed for 24 h, then cooled to room temperature. The solvent was removed on a vacuum, the residue was washed with acetone to remove soluble organic impurities. The precipitate was dried in the air. The crude product was dissolved in buffer (pH=5), and the pH value of the solution was adjusted to 7. The purification was carried out on a C-18 reverse phase column (via vacuum) to remove salt. The column washed with pH=5 phosphate buffer and water to elute the salt, and then with 50% methanol/water to elute pure compound 11 (15 mg, 73%) with the following characteristics:
MS[electrospray,ZnNPcC 6 N(SO 3 H) 3 ]:965.
EXAMPLE 8
Zinc tri-(4-sulfobenzo)-5-mono-[(1-hexylcarboxy)naphtho]-porphyrazine (106) (Scheme IV)
A solution of 76 (70 mg) in THF (8 ml) was added to a NaOMe solution in MeOH (72 mg Na was dissolved in 8 ml MeOH). The mixture was refluxed for 24 h. The solvent was removed under reduced pressure, the residue was washed with acetone to remove soluble organic impurities. The crude product (residue) was air-dried, dissolved in buffer solution (pH=5), and the pH of the solution was adjusted to 7. The purification was carried out on a C-18 reversed-phase column to remove salt. The column was than washed with pH=5 aqueous buffer (NaH 2 PO 3 ), than water to elute the salt, and subsequently with 50% methanol/water to elute pure compound 106 (48 mg, 82%).
MS[electospray,ZnNPcC 6 (SO 3 H) 3 COOH]:925.
EXAMPLE 9
Phototoxicity of Trisulfoporphyrazines 45-49 Against EMT-6 Tumor Cells In Vitro
No dark toxicity was observed with any of the dyes under study up to 100 μM during a 24-h incubation period in Waymouth 1% FBS. The EMT-6 cells were incubated at 37° C., 5% CO 2 with dyes at 1 μM for different time intervals from 1 h to 24 h. The cell survival was plotted against the fluence (J.cm-2) to give survival curves for each compound tested and for each incubation time. From these curves the amount of light for 90% cell kill (LD 90 ) was interpolated as a quantitative measure of relative photocytotoxicity.
The LD 90 values of compounds 45-49 and the parent zinc trisulfophthalocyanine (ZnPcS 3 ) for the 6 h and 24 h incubation times are summarized in Table 1. The table reveals a parabolic relationship between the length of the alkylyl substituent (n=number of C-atoms) in the zinc tri-(4-sulfobenzo)-5-mono-[(1-alkylyl)naphtho]-porphyrazine (Scheme 4, compounds 45-49) and their phototoxicity, with the 1-hexynyl derivative 46 (n=6) exhibiting the highest phototoxicity followed by the 1-ethynyl derivative 45 (n=2) and the 1-nonyne derivative 47 (n=9). Further increase in the length of the 1-alkylyl side chain (compounds 48 and 49, n=12 and n=16, respectively) leads to substantial decrease in the photodynamic potential of the dyes. The parent ZnPcS 3 , lacking both a side chain (n=0) and a benzyl group, was less active than all three porphyrazine derivatives 45, 46 and 47 after 6 h incubation. After 24 h incubation the ZnPcS 3 showed higher phototoxicity than 47 but remained less active than 45 and 46.
TABLE 1
LD 90 in J · cm −2 of a series of trisulfonated porphyrazines 45-49 with
alkylyl substituents varying from 2-16 carbon atoms (n)
Incubation
LD 90 (J · cm −2 )
time
45
46
47
48
49
ZnPcS 3
(hours)
(n = 2)
(n = 6)
(n = 9)
(n = 12)
(n = 16)
(n = 0)
6
5.1
4.1
4.9
>12
>12
5.9
24
1.8
1.2
4.5
9.2
>12
2.2
EXAMPLE 10
PDT with Trisulfoporphyrazine 46 to Treat Solid Mammary Tumors in a Mouse Model
Photodynamic Treatment with Trisulfoporphyrazine 46 of Mouse Tumors
The compound most active in the in vitro tumor cell assay, i.e. the trisulfoporphyrazine 46, was further tested for its photodynamic potency in an in vivo mouse tumor model using the EMT-6 cell line. The results are summarised in Table 2. Mice that received vehicle only (PBS) did not show any tumor response, nor did the control tumors that were shielded from light. All treated tumors responded within 48 h after PDT (flattening and necrosis) at all dye doses used, i.e. 0.5-1 μmole/kg. At the highest dye dose over 50% of the animals responded with complete tumor regression as observed 3 weeks after treatment. No mortality occurred at any of the dye and light doses used in the study.
TABLE 2
Gross tissue effects following PDT with compound 46 on EMT-6 tumors
in Balb-c mice
Dye dose
Mice
Necrosis 1
Cure 2
Mortality
Dye
(μmole/kg)
(n)
(%)
(%)
(%)
46
1
13
100
54
0
46
0.75
5
100
20
0
46
0.5
5
100
0
0
PBS
control
4
0
0
0
1 Necrosis is identified as the appearance of flat and necrotic tissue within 2 days post-PDT as observed macroscopically.
2 Cure is defined as the absence of a palpable tumor 3 weeks post-PDT
EXAMPLE 11
PDT with Trisulfoporphyrazines 45-47 to Treat Extravasation in Rat Retinopathy Models
Vascular Endothelial Growth Factor (VEGF-165) Injected Rat Model
Administration of 0.1, 1, and 10 pmoles VEGF-165 (Vascular Endothelial Growth Factor, Vascular Permeability Factor) produced a dose dependent increase of plasma extravasation in both non-diabetic and in STZ-diabetic Wistar rats ( FIG. 1 ).
In a group of rats, a series of control experiments were conducted to ensure the validity of the experimental design ( FIG. 2 ). Formamide extracts from eyes taken from control Wistar rats that were not injected with Evan's Blue showed near zero absorbance at 620 nm (O.D.<0.005). Control Wistar rats injected with Evan's Blue (45 mg/kg, i.v.) but not with VEGF-165 showed a low level of absorbance at 620 nm (O.D.=0.04). The low level of absorbance found in control Wistar rats corresponds to the amount of Evan's Blue trapped in the blood vessels at the time of sacrifice. The amount measured in STZ-non diabetic rats (blood glucose<20 mM) was not significantly different from the control (i.e. O.D.=0.04), demonstrating that any increase in plasma extravasation observed in STZ-diabetic rats, is due to diabetes and not to a possibly acute toxic effect of the STZ drug. STZ-diabetic rats (blood glucose>20 mM) treated with 65 mg/kg of streptozotocin had significantly increased Evan's Blue in the retina ( FIG. 2 ).
Photodynamic Treatment of Leaking Vessels in the Rat Retina with Trisulfoporphyrazine 46
The PDT response was shown to be dependent on the time interval between photosensitizer administration and red light application ( FIGS. 3 and 4 ). In VEGF-165 treated STZ-diabetic rats plasma extravasation reach control levels after a 5 hour interval between photosensitizer administration and light application ( FIG. 3 ). PDT with 46 in STZ-diabetic rats reduced plasma extravasation to the level of control non-diabetic rats when this period was extended from 1 hour up to 6 hours ( FIG. 4 ).
Structure-Activity Relationships in PDT Efficacy to Reduce Plasma Extravasation
Using the optimal PDT protocol (i.e. 6 h after drug administration red light is applied), dose response curves were produced for ZnNPcS 3 C 6 (46) and four analogs including ZnNPcS 3 C 9 (47, with extended aliphatic side chain), ZnNPcS 3 C 2 (45, with shortened aliphatic side chain), a phthalocyanine analog featuring an additional sulfate group instead of an aliphatic side chain, i.e. AlPcS 4 and the amphiphilic disulfonated reference phthalocyanine AlPcS 2a ( FIG. 5 ). All compounds produced a dose dependent inhibition of plasma extravasation. Of the five molecules that were tested, compound ZnNPcS 3 C 6 (46) was the most potent inhibitor of plasma extravasation. At 0.5 μmole/kg compound 46 completely inhibited plasma extravasation in the STZ-diabetic rat after exposure of the retina (about 7 mm 2 ) to a relative low dose of red light (45 J/cm2, total fluence 3 J). None of the other dyes tested were able to induce complete inhibition of extravasation even at the highest test dose of 1 μmole/kg ( FIG. 5 ).
To summarize, in the VEGF-165 injected rats and the diabetic rats, both models of retinopathy, a 0.5 μmole/kg dose of ZnNPcS3C6 (46) combined with low level (680 nm; 25 mW/cm 2 ; 20 J/cm 2 ) red light application, completely inhibited plasma extravasation to control levels.
EXAMPLE 12
Targeted Photoinactivation of Human Polymorphonuclear Leukocytes with a MAb-Pophyrazine Conjugate (EMBP-106)
Antibody-Porphyrazine Conjugate Preparation (EMBP-106)
The goal was to target 106 (also referred to herein as NVT-0275) to WBCs using antibodies. Hereinafter it is demonstrated using NVT-0275 conjugated to a non-specific protein (albumin) and in other experiments to an antibody specific for eosinophiles (EMBP) that the photosensitizer of the present invention remains highly functional, allowing thus to target specific cells with functional NVT-0275 conjugated to the antibody.
The monocarboxy compound 106 (ZnNPcS 3 C 6 —COOH) was coupled to a MAb raised against Eosinophil Major Basic Protein (EMBP, Azide free, United States Biological Co., Swampscott, Me., USA) by the carbodiimide method as described in the literature (N. Brasseur et al., Photochem. Photobiol 69: 345-352, 1999; and M. Carcenac et al., Photochem. Photobiol, 70: 930-936, 1999). Briefly, the monocarboxy group of 106 (0.8 μmole) was activated with 1-(3-dimethylaminopropyl)-3-ethyl-carbodiimide hydrochloride (3 μmole) (EDAC, Aldrich) and N-hydroxysulfosuccinimide (1.5 μmole) (NHSS, Pierce). The activated 106 was purified on a C-16 SetPak (Waters), eluted with MeOH and evaporated to dryness. EMBP (0.1 mg) in 1 ml phosphate buffer pH 8 was added and the mixture was agitated for 12 h at 4 C, purified over a Sephadex G-50™ column in phosphate buffer and concentrated by centrifugation (Centricon™). The final concentration of the EMBP-bound 106 was estimated by its absorbance at 340 nm (ε=80×10 3 M −1 cm −1 ). The final EMBP-106 preparation contained 8 mole 106 per mole of EMBP. The same procedure was followed to couple 106 to a non-specific protein (albumin) giving similar dye loading yields of 8-10 mole 106 per mole of protein.
In FIGS. 6A and 6B , it is demonstrated that the triple absorption peaks of NVT-0275 are maintained after conjugation with protein (albumin). FIG. 6A shows the spectrum of NVT-0275 with its characteristic triple absorbance peaks. FIG. 6B shows the spectrum of albumin conjugated NVT-0275. The absorbance pattern has not been changed by conjugation with the protein.
To access the targeting of the NVT-0275 to white blood cells, only blood from a healthy donor whom naturally has a high eosinophile count were used. The blood had about 5000 eosinophiles/μl which equates to about 50% of the white blood cells (WBCs). Eosinophiles usually account for 2-4% of peoples WBC count. WBCs were isolated using standard procedures.
FIG. 7 shows that albumin conjugated NVT-0275 is functional. In FIG. 7 , the results in each row were obtained from analysis of more than 10,000 cells. The control experiments were repeated 6 times to obtain a clear baseline. The top row shows the results from the control samples. These cells were exposed to light but not to any NVT-0275. The first panel in the first row shows the FACS (fluorescence activated cell sorting) scatter of a sample of the control cells. The second panel in the first row shows the distribution of these same cell sample and the third panel in the first row shows the statistics from the analysis of the sample. Similarly the second, third and fourth rows of the slide are results obtained using albumin conjugated NVT-0275 in concentrations of 0.155, 1.55 and 15.5 μg/ml . Notice the change in the distribution representing a greater number of smaller particles after exposure of the cells to conjugated NVT-0275.
FIG. 8 shows that EMBP conjugated NVT-0275 is fully functional. In FIG. 8 , similarly as in FIG. 7 , the results in each row were obtained from analysis of more than 10,000 cells. The control experiments were repeated 6 times to obtain a clear baseline. First row, first panel shows the control (WBCs received light but no NVT-0275) FACS scatter, to the right is the distribution of the cells, and the extreme right of the first row displays the statistics derived from these results. The second, third and fourth rows show results from EMBP conjugated NVT-0275 in concentrations of 0.155, 1.55 and 15.5 μg/ml.
In FIG. 8 , row 4 shows dramatic results. Nearly all the cells have been pulverized to small particles by EMBP conjugated NVT-0275 and fall into the bottom part of the cell size distribution.
Thus, as summarized in FIG. 9 , the results showed an inhibition that is dose dependent with the concentration of NVT-0275. Up to 80% of the cells could be destroyed by 15.5 μg/ml of EMBP conjugated NVT-0275.
It is now clearly demonstrated that conjugated NVT-0275 is fully functional and able to destroy WBCs. By increasing the concentration of NVT-0275 or the intensity or duration of exposure to light, it is expected that one would be able to destroy even more WBCs. Although albumin has some membrane binding properties, targeting NVT-0275 using specific antibody (EMBP) accumulates a greater amount of NVT-0275 on cell membranes and produces a greater destruction of cells for a given concentration of NVT-0275.
While the invention has been described in connection with specific embodiments thereof, it will be understood that it is capable of further modifications and this application is intended to cover any variations, uses, or adaptations of the invention following, in general, the principles of the invention and including such departures from the present disclosure as come within known or customary practice within the art to which the invention pertains and as may be applied to the essential features hereinbefore set forth, and as follows in the scope of the appended claims. | Disclosed herein are novel trisulfonated tribenzo-mononahptho-porphyrazines, processes for making them and their application as improved photosensitizing drugs for the treatment of various medical conditions by photodynamic therapy (PDT). These water-soluble amphiphilic porphyrazines are substituted with different alkylyl, aryl, aminoalkyl and aminoaryl groups, with or without carboxyl moeity. | 55,097 |
This application is a continuation of U.S. patent application Ser. No. 12/915,177, filed on Oct. 29, 2010 now U.S. Pat. No. 8,194,452, which is a continuation of U.S. patent application Ser. No. 12/256,362, filed on Oct. 22, 2008, now U.S. Pat. No. 7,855,916, issued on Dec. 21, 2010, which claims priority under 35 U.S.C. §119(e) to U.S. Prov. Pat. Appl. Ser. No. 60/982,175, filed on Oct. 24, 2007, entitled “NONVOLATILE MEMORY SYSTEMS WITH EMBEDDED FAST READ AND RITE MEMORIES,” all of which are hereby incorporated by reference in their entirety.
STATEMENT REGARDING FEDERALLY SPONSORED RESEARCH OR DEVELOPMENT
Not Applicable.
REFERENCE TO SEQUENCE LISTING, A TABLE, OR A COMPUTER PROGRAM LISTING COMPACT DISC APPENDIX
Not Applicable.
BACKGROUND OF THE INVENTION
Nonvolatile memory systems, subsystems and integrated circuits are used in multiple consumer, computer and communications applications. They can be a NAND flash memory IC or NOR flash memory. Part of the memory system may contain volatile memory like static random access memory (SRAM) or dynamic random access memory (DRAM). They can be many IC's mounted on a memory card or module. A subsystem may contain at least one such module and a memory controller. A system may contain several subsystems as well as multi core CPU's (Central Processing Unit). The memory integrated circuits used in such a system may be SLC (single level) or MLC (multi level) storage. The read/write access ports to the system may be single ported or multi ported.
Today's dominant memory is flash. In flash, the dominant architecture is NAND flash. In spite of the fact that the internal IC architecture of NAND (or for that matter other flash architectures like. NOR, OneNAND™) has “page” architecture for read and write access, the performance (read time, program/write time) is slow compared to volatile memory systems built with SRAMs and DRAMs. The “page” architecture in NAND indeed has “static latches” that can temporarily store data as a buffer (one page per block), and sometimes have an additional “write cache buffer” for the whole IC. The page is 1 KB (1,024 bytes) to 2 KB (2,048 bytes). Each nonvolatile memory block of NAND flash memory cells, may have 64 to 128 pages (or, 128 KB to 256 KB). Still, the performance is relatively poor to mediocre at best from a randomly and independently accessible perspective per each byte of data. The “page buffered architecture” of today's NAND flash memory does not lend itself to true, fast, read and write memory access for SSD (solid state disk) and similar commercial applications in PCs and servers for data computation, storage and multimedia execution.
The invention described in this utility patent application focuses on ways to modify the already existing “buffers” in an optimal manner to enhance the random access performance of nonvolatile IC, subsystem and system. The volatile random access memory (RAM) in a preferred embodiment is a 6-transistor SRAM memory cell at the core, and complete peripheral address decoding circuitry for independent accessible access (read, write etc) at a fine grain level of a bit, or byte. In another embodiment, the volatile RAM in each block can be an 8-transistor dual-ported SRAM. In another embodiment, the nonvolatile memory can be a DRAM. The invention is applicable to other nonvolatile or pseudo non volatile memories like PCM (phase change memory), nano crystalline memory, charge trapped memory, ferroelectric memory, magnetic memory, plastic memory and similar embodiments.
BRIEF SUMMARY OF THE INVENTION
The preferred embodiment adds new commands to be executed in the Command Register of the NVM (nonvolatile memory). In other embodiments, these commands can be shared between the NVM IC and memory controller. Prior art NVM IC's have limited commands like (1) read page in flash; (2) erase block in flash; (3) program page in flash, etc. With this invention, new additional commands are executed: (4) read page in the SRAM of the block only; (5) read new page from the nonvolatile memory (NVM) block; (6) write page into SRAM of the block, but, not program into the NVM block until such a command is additionally given. This invention provides every page of each NVM block as an independently accessible random access memory to perform load/store applications, as well as a coupled memory to the assigned NVM block. Each NVM NAND flash may have 1,024 such blocks. Each block is typically 64 kilobytes in density. Page for each block is typically 1 to 2 kilobytes and each bit is independently addressable in a random manner, as well as accessed in a random manner. Error correction and detection to the memory on a page basis can be implemented as well either on the NVM IC or in the memory controller.
Another preferred embodiment selects any of the currently unused blocks and uses the SRAM pages in those blocks to perform other operations as necessary. Such data manipulating operations can be arithmetic and/or logic operations. In another preferred embodiment, the “volatile memory of a page” is a DRAM. That DRAM, again, is independently accessible and addressable in a random manner.
BRIEF DESCRIPTIONS OF THE DRAWINGS
FIG. 1 is a diagram showing a nonvolatile memory system with features as described for the present invention.
FIG. 2 shows an exemplary NAND memory integrated circuit as one element of the NVMS (nonvolatile memory system).
FIG. 3 shows various components of a controller for the nonvolatile memory system (NVMS) of this invention.
FIG. 4 shows a novel implementation of block erase per this invention.
FIG. 5 shows a flash memory controller with block erase feature.
FIG. 6 shows a current NAND flash chip architecture by Samsung.
FIG. 7 shows a pin out for a 1 Gb Samsung flash memory.
FIG. 8 shows some operational features of the above Samsung flash memory.
FIG. 9 shows how the invention of this patent distinguishes itself from today's nonvolatile memory.
FIG. 10 shows improved features of this invention compared to currently available (commercial) multichip NVMS solutions.
FIG. 11 shows how the “random access memory” of this invention can be implemented in dual port access for enhanced performance.
FIG. 12 shows a high level architecture of the NVMS of this invention which comprises both nonvolatile and volatile memory.
DETAILED DESCRIPTION OF THE INVENTION
Each NAND flash memory commercially available (in various pin outs/densities) today has a 512 B-1 KB-2 KByte page in a 64 Kb to 128K Byte block (a block contains at least one sector), 64 rows worth of data, 1 page/sector. To write one page takes about 200 μs. There are about 1,024 sectors in a 1 Gbit flash (NAND). So each NAND flash chip has 1 Mb SRAM (1k pages). The invention requires each page to have “bit-to-bit” NVM back up (nonvolatile SRAM). So a page can be copied directly to the NVM as needed. This additional row can be in the sector itself. Address/control logic to accommodate this page can be easily done in the sector, if needed.
Page invention—Modify page as shown in Samsung K9F1G08R0A (1 Gbit NANDflash). In the Samsung device, Page is approximately 2 KByte+64 bits (for some kind of Ecc) in each 128 KByte block. There are 1K blocks, each of 128 KBytes (inclusive of Page). The Page has no direct identity (namely, it is not a register or RAM with independent random address and command executions)—it is temporary storage buffer to help execute read/write to nonvolatile array. Since each block (sector) is addressable, one can have a “Tag address bit”—if enabled it can activate “page addressing.”
Control Page—Nonvolatile array communication with a ‘Switch’ where volatile and nonvolatile memory can be accessed (unlike current art)—then page 2 Kbytes can be used as independent RAM for other useful purposes. One preferred embodiment—Select any of the currently unused blocks and use that/those pages as a modified SRAM; access that SRAM by currently used NC pins and rename them. Even with “concurrent Read/Write”, “write cache buffering” and other features, most blocks among the (1,024 or more) many in a NAND flash chip are unused while one or two blocks are being accessed (read, write, erase). The associated “page buffers” are also unused and wasted. In this preferred embodiment, a page of the currently unused block's page (2K Bytes×1 Kblocks is 2 MBytes of SRAM per chip—with a little overhead circuitry it can be 2 MBytes of SRAM with multiple port access as well) can be read and written (random page access, random access within a page, serial access from a page etc.). There are plenty of NC pins available in commercially available NAND flash ICs (one example is provided in FIG. 7 )—we can configure NC pins to be used as Address, DATA, Command, Control in a combination. In parallel, the NAND flash can concurrently operate.
The concepts of SRAM mode by using available pages can also be implemented in. Samsung's one NAND™ flash (for example), NOR flash or even Serial EEPROM flash—The exact implementation, page/latch size, command set may vary. The concepts of SRAM mode by using available pages can also be implemented in traditional NOR flash, as well, with slight modifications (e.g., one row equivalent page in every block or sector, on chip cache, boot code, data buffers). The concepts of SRAM mode can also be implemented in other nonvolatile memory devices and their controllers) e.g., FeRAM, MRAM, Phase change RAM/memory, CNT RAM, NROM (Saifun) and similar ones. All these concepts can configure the multiple functions of the device or combination there of by (1) control/command signals, (2) programmable registers, (3) mode registers, (4) command register, etc—they can reside in part or in whole in controller, memory, special control, command, interface chip or even CPU.
It should be made clear that the “pages” and “buffers” mentioned in these pages titled “NVMS” do not necessarily have to be (1) static latches (6 transistor latches) or (2) traditional SRAM's. They can be DRAM's as is known widely in the industry. They can be MRAM, FeRAM (femelectric) or other similar concepts (molecular RAM etc). The implementation of a nonvolatile memory system may contain these configurable NVMS chips as described here (one or more). Configurable NVMS can be combined with commodity NOR/NAND/One NAND, flash chips, controllers, PSRAM's, DRAM's, or other similar functions to offer a total “system-in-package” (SIP) or “system-on-chip” (SOC).
In order to conserve operating power, the unselected, yet available pages can be in a “stand by” mode—namely, reduced Vcc (power supply voltage), until the access to that page is required. Such a, ‘cycle look ahead’, can be built into the memory chip, or provided by controller (on chip or off chip). A battery back up for the SRAM part of the device can be a very attractive option for a very large density total nonvolatile static random access memory (NVSRAM) that can go into a broad range of applications in computer, consumer, communications etc. Maxim supplies NVSRAM's—no flash IC in NVSRAM. A “power triggered switch-off/on” (Similar to what Simtek's NVSRAM's do) is also possible, thus eliminating the “battery option”.
Commands/Instructions are given as follows, in a preferred embodiment, which vary between NAND, One NAND, NOR, serial flash etc. Traditional flash: Read page in flash, Erase block in flash, Program page in flash, Etc. New commands with these inventions: Read page as SRAM/RAM, Write page as SRAM/RAM, Read/Modify/W Write page as SRAM/RAM, Read byte out of a page, etc; Write byte out of a page etc. Nibble mode/Serial access/double data rate are all possible.
The “address boundary” for a commercial NAND flash (especially in burst mode access e.g., burst READ) is different than a “2K byte” NAND flash page. The address boundary does/should not deter by using the inventions mentioned here for a superior READ (intelligent caching) or WRITE performance. Most flash systems are weighted to MOSTLY READ and FEW ERASE/PROGRAM (WRITE) due to the obvious endurance limitations (write/erase cycles limit). Hence, any performance in READ—Speed, and available Storage space—is always beneficial to a stand alone die and/or card, module, subsystem, system. To write to a page or pseudo page, WRITE command and immediately PROGRAM SUSPEND to invalidate writing into NVM. The data should be in page/pseudo page. This is one example.
As described in earlier pages, the page latches are available for reading. The pages can be read a byte (8 bits) or 2 bytes (16 bits) at a time. The whole page 2K bytes, can be sequentially accessed in 20-25 ns/byte. The subject invention uses the pages as a content addressable memory (CAM) and the NVM core as the stored data. The match lines (as used in CAM's—refer to U.S. Pat. Nos. 6,310,880 and 6,597,596 which use a DRAM storage) can be connected to the pages. The addresses in each block can be sequentially read, until the MATCH is found. | A nonvolatile memory system is described with novel architecture coupling nonvolatile storage memory with random access volatile memory. New commands are included to enhance the read and write performance of the memory system. | 13,333 |
FIELD OF THE INVENTION
[0001] The present invention relates to methods and apparatus to obtain phase information characterizing light, using a plurality of images encoding information about the intensity of the light.
BACKGROUND OF THE INVENTION
[0002] When coherent (laser) light passes through or reflects from an object, its amplitude and phase are altered as it continues to propagate. Phase perturbations contain important information about an object. For example, transparent biological cells are invisible in a focused microscope, but impart distinct phase changes. Data about these phase changes can find useful applications in morphology analysis of cell, or cell-cycle analysis without labelling. Such applications are relevant for biology and biomedical engineering, e.g., for detecting cancer cells. Moreover, there are various applications in materials science.
[0003] It is noteworthy that only the intensity of light can be measured directly, since phase oscillates far too quickly, and therefore, the phase needs to be reconstructed computationally. This “phase problem” of optical imaging has been around for decades, but only recently has been posed as an inference problem [1, 2]. This breakthrough, in principle, allows for much more experimental noise in the images, and as a consequence, enables applications of phase imaging where there is little light and much background noise (e.g., underwater imaging).
[0004] Traditional methods for phase recovery include phase contrast microscopy, differential interference contrast microscopy, and digital holography [3,4,5]. All of the three methods use a reference wavefront to obtain the amplitude and phase information. The phase image recovered by phase contrast microscopy is a function of the optical path length magnitude of the object. Differential interference contrast microscopy obtains the gradients of the optical length, but it can only be used when the object has a similar refractive index to the surroundings. Digital holography uses an interferometer setup to record the interference between a reference beam and a beam which has interacted with an object to be imaged. A computer is used to calculate the object image with a numerical reconstruction algorithm. So digital holography has the advantage of giving quantifiable information about optical distance, while phase contrast microscopy and differential interference contrast microscopy just provide a distorting of the bright field image with phase shift information. However, the experimental setup for digital holography is usually complicated, and has high requirements on the wave path [6,7]. For instance, the reference beam and target beam need to be accurately aligned.
[0005] An alternative approach is based on exploiting the physics of wavefront propagation. Consider the experimental arrangement shown in FIG. 1 , which is taken from [1]. A laser 1 generates a beam 2 of light, which propagates in a direction z and passes through a collimator 3 , and a lens 4 . An object to be imaged can be placed in the object plane 5 , such that the light beam passes through it. The light then passes through a further pair of lenses lens 6 , 7 forming a “4f system”, and the light then passes into a camera 8 which collects an intensity image of the light reaching it in the propagation direction z. The 4f system has the effect of enlarging the beam (which is important if the object which was imaged is small, such as a cell) and of making it clear where the position of the object plane is in relation to the focal plane of the lenses 6 , 7 (this information is important, so that it is possible to propagate the complex plane back into the object plane) The camera 8 or the object 5 can be moved parallel to the light propagation direction, and collects a plurality of two-dimensional intensity images 9 at respective locations spaced apart in this direction. Each intensity image shows the light intensity at respective points in a two-dimensional plane (x,y) perpendicular to the light propagation direction z. Note that the distance by which the camera or object 5 is moved is very small (of the order of 10-100 micrometers) so there is no collision with the lenses. The focal plane is determined by the focal length of the lenses 6 , 7 in the 4f system. The complex field at the focal plane is an enlarged or reduced version of the complex field at the object plane 5 , so recovering the complex field at the focal plane is the same as recovering the complex field at the plane 5 . At the focal plane, the intensity image 9 a contains no information about the phase.
[0006] The object to be imaged, which is placed at the object plane 5 , modifies the light passing through it, producing, at each point in the object plane 5 , a corresponding amplitude contrast and phase difference. In example, the phase difference produced by the object at each point in the 2-D object plane is as shown as 10 a in FIG. 1 , where the level of brightness indicates a corresponding phase difference. The amplitude contrast produced by the object in the object plane is shown as 10 b (a moustache and hat). The amplitude contrast diffracts symmetrically through the focal point, while the phase defocuses in an anti-symmetric fashion. The phase and amplitude are estimated from the intensity images 9 captured by the camera 4 by a computational numerical algorithm.
[0007] One method for doing this is the Gerchberg-Saxton (GS) method [9.10], which treats the problem as convex optimization and iterates back and forth between two domains (an in-focus image and a Fourier domain image) to reduce error at each iteration. It is strongly sensitive to the noise in the latter image. An alternative method is a direct method [11,12,13] which exploits the Transport of Intensity Equation (TIE); it is based on first- and higher-order derivatives, and it is not robust to noise. Thus, although the GS and direct methods are computationally efficient, they are both very sensitive to noise.
[0008] A few statistical approaches have been proposed as well; an approximation to the maximum likelihood estimator is derived in [2, 14]. However, it easily gets stuck in local maxima, and sometimes leads to poor results. In [1] an augmented complex extended Kalman filter (ACEKF) was used to solve for phase with significant noise corruption.
[0009] However, the memory requirements are of order N 2 where N is the number of pixels in each intensity image, which is unfeasible for practical image sizes of multiple megapixels, and the long computation times are impractical for real-time applications, such as in biology, biomedical engineering and beyond. In [8] a diagonalized complex extended Kalman filter (diagonalized CEKF) was proposed to alleviate those issues, without jeopardizing the reconstruction accuracy. The diagonalized CEKF is iterative: it needs to cycle through the set of intensity images repeatedly, yielding more accurate phase reconstruction after each cycle. On the other hand, the computational complexity increases with each cycle.
SUMMARY OF THE INVENTION
[0010] The present invention aims to provide new and useful methods and apparatus for obtaining phase information concerning a light beam, and in particular a light beam which has interacted with an object to be imaged.
[0011] The invention relates to an experimental situation in which an intensity image is collected at each of a plurality of locations spaced apart in a propagation direction of a light beam. Thus, typical embodiments of the invention do not require a reference beam, or rely on interference phenomena. Wavefront propagation means that that plurality of images encode phase information, and the intensity images are used in combination to extract the phase information. The invention proposes in general terms that information from the intensity images is combined using a Kalman filter which assumes that at least one co-variance matrix has a diagonal form. This leads to considerable reduction in computational complexity.
[0012] In another aspect, the invention further proposes that an augmented Kalman filter model (augmented space state model) is used in place of the standard Kalman filter model. The augmented Kalman filter improves the robustness to noise.
[0013] The result of combining these aspects of the invention is a sparse ACEKF (Sparse augmented complex extended Kalman filter) which can efficiently recover amplitude and phase of an optical field from a series of noisy defocused images. The approach is inspired by [1], which is rooted in statistics and yields reliable phase estimation methods that are robust to noise. However, whereas the ACEKF method of [1] is computationally unwieldy and impractical, preferred embodiments of the present invention are very efficient. The embodiment employs the augmented state space model, and reconstructs the phase by conducting Kalman filtering approximately yet much more efficiently, without losing accuracy in the phase reconstruction. The sparse ACEKF algorithm employs two covariance matrices which are each approximated as a diagonal matrices, or a diagonal matrix multiplied by a permutation matrix. One of these covariance matrices is a pseudo-covariance matrix. For a given matrix A we refer to A* as its “conjugate”. The two diagonal covariance matrices, and their conjugates are the four components of a composite covariance matrix. As a result, the phase estimation method is very efficient, and no iterations are needed. It seems to be feasible for phase recovery in real-time, which is entirely unfeasible with ACEKF. In other words, the proposed method provides robust recovery of the phase, while being fast and efficient.
[0014] The advantages of preferred embodiments are as follows:
Besides the ordinary bright field image, a phase shift image is created as well. The phase shift image gives quantifiable information about optical distance. Transparent objects, like living biological cells, are traditionally viewed in a phase contrast microscope or in a differential interference contrast microscope. These methods visualize phase shifting transparent objects by distorting the bright field image with phase shift information. Instead of distorting the bright field image, transmission DHM creates a separate phase shift image showing the optical thickness of the object. Digital holographic microscopy thus makes it possible to visualize and quantify transparent objects and is therefore also referred to as quantitative phase contrast microscopy. Traditional phase contrast or bright field images of living unstained biological cells have proved themselves to be very difficult to analyze with image analysis software. On the contrary, phase shift images obtained by digital holography and wave propagation methods are readily segmented and analyzed by image analysis software based on mathematical morphology, such as CellProfiler. The preferred embodiments directly take the noise in the measurement into consideration through the augmented state space model, and therefore, it is robust to strong noise. The complexity of each iteration in the preferred embodiments of the proposed algorithm is in the order of N log N, where N is the number of pixels per image. The storage required scales linearly with N. In contrast, the complexity of existing statistical phase inference algorithms [1] scales with N 3 and the required storage with N 2 ; it literally takes several hours to reconstruct a phase image, which is entirely impractical. Since the preferred embodiment is very fast and achieves phase reconstructions in a fraction of a second, it may enable real-time estimation of optical fields from noisy intensity images. That is required for almost any practical application, since one would want to see the phase reconstruction instantaneously while imaging the object of interest, e.g., a migrating or growing biological cell. The experimental setup for wave propagation based methods is simpler, compared to the interference methods (phase contrast microscopy, differential interference contrast microscopy, and digital holography microscopy). Fewer optical components are required. It also avoids the phase unwrapping problem associated with those methods. The needed components are inexpensive optics and semiconductor components, such as a laser diode and an image sensor. The low component cost in combination with the auto focusing capabilities of the preferred embodiments, make it possible to manufacture such system for a very low cost.
[0021] In summary, the advantages and disadvantages of the various methods are given in Table 1
[0000]
TABLE 1
Phase Contrast
Preferred
Property
Microscopy
Digital Holography
embodiment
Digital processing
Difficult
Yes
Yes
Phase wrapping
No
Yes
No
problem
Quantitative
No
Yes
Yes
Noise resilient
No
No
Yes
Experimental set-up
Complicated
Complicated
Simple
Real-time imaging
Yes
Potentially
Yes
BRIEF DESCRIPTION OF THE FIGURES
[0022] An embodiment of the invention will now be described for the sake of example only with reference to the following figures, in which:
[0023] FIG. 1 shows a prior art experimental arrangement which is used in the embodiment;
[0024] FIG. 2 shows a flow-chart of the steps of the embodiment;
[0025] FIG. 3 shows data used in experimental tests of the embodiment, and is composed of FIG. 3( a ) which shows simulated images with high noise, FIG. 3( b ) which is experimental data acquired by a microscope, and FIG. 3( c ) which is experimental data of large size obtained by a microscope;
[0026] FIG. 4 shows recovered intensity and phase images obtained by processing the dataset of FIG. 3( a ) by ACEKF, diagonalized CEKF, and the embodiment;
[0027] FIG. 5 shows the estimated intensity and phase obtained by processing the dataset of FIG. 3( b ) by ACEKF, diagonalized CEKF, and the embodiment;
[0028] FIG. 6 is composed of FIG. 6( a ) which shows the estimated phase [nm] when the dataset of FIG. 3( c ) is processed by ACEKF, diagonalized CEKF, and the embodiment, and FIG. 6( b ) which shows the respective depth for each of the images along the black line in FIG. 6( a ).
DETAILED DESCRIPTION OF THE EMBODIMENTS
[0029] A flow chart of the embodiment is shown in FIG. 2 . Step 11 is to set up experimental conditions, such as those in FIG. 1 , to collect a series of intensity images in different parallel planes. The images are M 1 ×M 2 pixels. Step 12 is to use the parameters of the experimental set-up to generate a physical model describing it. These steps are the same as used, for example, in [1], as described above.
[0030] The remaining steps employ a novel augmented state space model. In step 13 parameters of the model are initialised. In step 14 , the data for a first of the series of images is used to update the model. As described below this makes use of a novel phase reconstruction algorithm, assuming a diagonal covariance matrix. Step 14 is performed repeatedly for successive ones of the series of images, until all images have been processed.
1. Problem Description and Physical Model
[0031] We aim at estimating the 2D complex-field A(x,y,z 0 ) at the focal plane z 0 , from a sequence of noisy intensity images I(x,y,z) captured at various distances z 0 , z 1 , z 2 , . . . , z n . . . , z N . In the following explanation it is assumed, for simplicity, that the focal plane z 0 is at one end of the series of images, but in fact it is straightforward to generalise this to a situation in which it is in the middle of the set of images (as shown in FIG. 1 ). We assume a linear medium with homogenous refractive index and coherent (laser) illumination, such that the complex-field at z 0 fully determines the complex-field at all other planes. The complex optical field at z is A(x, y, z)=|A(x, y, z)|e iφ(x,y,z) where |A(x,y,z)| is the intensity, and φ(x, y, z) is the phase. Propagation is modeled by the homogeneous paraxial wave equation:
[0000]
∂
A
(
x
,
y
,
z
)
∂
x
=
λ
4
π
∇
⊥
2
A
(
x
,
y
,
z
)
(
1
)
[0000] where λ is the wavelength of the illumination, and ∇ ⊥ is the gradient operator in the lateral (x,y) dimensions. The noisy measurements I(x,y,z) usually adhere to a (continuous) Poisson distribution:
[0000]
p
[
I
(
x
,
y
,
z
)
|
A
(
x
,
y
,
z
)
]
=
-
γ
A
(
x
,
y
,
z
)
2
(
γ
A
(
x
,
y
,
z
)
2
)
I
(
x
,
y
,
z
)
I
(
x
,
y
,
z
)
,
(
2
)
[0000] where γ is the photon count detected by the camera. The measurement at each pixel I(x,y,z) is assumed statistically independent of any other pixel (conditioned on the optical field A(x,y,z)).
2. State Space Model of the Optical Field
[0032] We can discretize the optical field A(x,y,z) as a raster-scanned complex column vector a n , and similarly discretize the intensity measurement I(x,y,z) as column vector I n . We denote by b(u,v,z) the 2-D Fourier transform of A(x,y,z). The column vector b n is again raster-scanned from b(u,v,z), and hence can be expressed as b n =Ka n , where K where is the discrete Fourier transform matrix. Since K is unitary, we can write KK H =K H K=U (with normalization), where U is the identity matrix and K H denotes the hermitian of K.
[0033] We can define the propagation matrix at z n as [15]:
[0000]
H
n
=
diag
(
exp
[
-
λ
π
(
u
1
2
L
x
2
+
v
1
2
L
y
2
)
Δ
n
z
]
,
…
,
exp
[
-
λ
π
(
u
M
1
2
L
x
2
+
v
M
2
2
L
y
2
)
Δ
n
z
]
)
,
(
3
)
[0000] where L x and L y are the width and height of the image, respectively. The relation between two images with distance Δ n z in the Fourier domain can be written as:
[0000] b n =H n b n-1 (4)
[0034] We approximate the Poisson observation (2) with a Gaussian distribution of same mean and covariance. In particular, we consider the approximate observation model:
[0000] I n =γ|a n | 2 +v (5)
[0000] where v is a Gaussian vector with zero mean and covariance R=γdiag(a* n )diag(a n ).
[0035] The nonlinear observation model in (5) is linearized as:
[0000] I n =γdiag( a* n ) a n +v (6)
[0036] The embodiment uses an augmented state space model given as:
[0000]
state
:
[
b
n
b
n
*
]
=
[
H
n
0
0
H
n
*
]
[
b
n
-
1
b
n
-
1
*
]
(
7
)
observation
:
I
n
=
[
J
(
b
n
)
J
*
(
b
n
)
]
[
b
n
b
n
*
]
+
v
,
(
8
)
[0000] where v is a Gaussian variable with zero mean and covariance R,
[0000]
R
=
γ
diag
(
a
n
*
)
diag
(
a
n
)
and
J
(
b
n
)
=
1
2
γ
diag
(
K
T
b
n
*
)
K
H
.
(
9
)
3. State Estimation by Sparse ACEKF
[0037] The state covariance matrix of the augmented state has the form:
[0000]
S
n
=
[
S
n
Q
S
n
P
(
S
n
P
)
*
(
S
n
Q
)
*
]
(
10
)
[0038] Here S n Q or S n P are covariance matrices (S n P is in fact a pseudo-covariance matrix). From the update equations of ACEKF [1,16], we have the following steps:
[0039] 1. Initialize: b 0 , S Q 0 and S P O .
[0040] 2. Predict: {circumflex over (b)} n =Hb n-1 , Ŝ n Q =HS n-1 Q H H and Ŝ n P =HS n-1 P H H
[0041] 3. Update:
[0000] S n Q =Ŝ n Q −( Ŝ n Q J H +Ŝ n P J T )( JŜ n Q J H +JŜ n P J T +J *( Ŝ n Q )* J T +J *( Ŝ n P )* J H +R ) −1 ( JŜ n Q +J ( Ŝ n P )*) (11)
[0000] S n P =Ŝ n P −( Ŝ n Q J H +Ŝ n P J T )( JŜ n Q J H +JŜ n P J *( Ŝ n Q )* J T +J *( Ŝ n P )* J H +R ) −1 ( JŜ n P +J ( Ŝ n Q )*) (12)
[0000] G n =( S n Q J H +S n P J T ) R −1 (13)
[0000] b n ={circumflex over (b)} n +G n ( I n −γ|a n | 2 ) (14)
[0042] The size of S n Q or S n P , is N 2 , where N is the number of the pixels in the image. The inversion of the covariance matrix has a computational complexity of O(N 3 ) in each step. Both the storage requirement and computational burden make the above update algorithm impractical for real applications.
[0043] Accordingly, the embodiment makes some constraints and derivations as described below, resulting in a low-complexity algorithm with reduced storage requirement.
[0044] After some derivation, we can get Lemma 1 and Theorem 1 and 2.
Lemma 1
[0045] If H is diagonal and the diagonal entries of H are rotationally symmetric in 2-D, then EHE=H where E=KK T , and K is the Discrete Fourier Transform Matrix.
Theorem 1
[0046] Let us consider how to initialize the covariance matrix S 0 . First note that a priori one would expect
[0000]
S
n
Q
=E[b
n
b
n
H
]=E[Ka
n
a
n
H
K
H
]=KE[a
n
a
n
H
]K
H
[0000]
S
n
P
=E[b
n
b
n
T
]=E[Ka
n
a
n
T
K
T
]=KE[a
n
a
n
T
]K
T
[0047] Here E[ . . . ] denotes expectation value. It is assumed that in the complex field every pixel is independently Poisson distributed, we can assume that E[a n a n T ] is equal to a scalar times the identity matrix. Thus, the covariance matrix can be initialized as:
[0000]
S
0
Q
=Q
0
KK
H
=Q
0
[0000]
S
0
T
=P
0
KK
T
=P
0
E
[0000] where Q 0 and P 0 are a scalar times the identity matrix. E=KK T can be shown to be a permutation matrix, and symmetric.
[0048] More generally, we write
[0000] S n-1 Q =Q n-1 , and (15)
[0000] S n-1 P =P n-1 E (16)
[0000] where Q n-1 and P n-1 are diagonal. The covariance matrix can be updated as follows
[0049] Predict:
[0000] {circumflex over (Q)} n =Q n-1 (17)
[0000] {circumflex over (P)} n =HP n-1 H (18)
[0050] Update:
[0000] Q n ={circumflex over (Q)} n −( {circumflex over (Q)} n +{circumflex over (P)} n )( {circumflex over (Q)} n +{circumflex over (P)} n +( {circumflex over (Q)} n )*+( {circumflex over (P)} n )*+ qI ) −1 ( {circumflex over (Q)} n +( {circumflex over (P)} n )*) (19)
[0000] P n ={circumflex over (P)} n −( {circumflex over (Q)} n +{circumflex over (P)} n )( {circumflex over (Q)} n +{circumflex over (P)} n +( {circumflex over (Q)} n )*+( {circumflex over (P)} n )*+ qI ) −1 ( {circumflex over (P)} n +( {circumflex over (Q)} n )*) (20)
[0000] S n Q =Q n (21)
[0000] S n P =P n E (22)
[0000] where
[0000]
q
=
1
0.5
2
γ
.
[0000] Note that Q n and P n are diagonal. The covariance matrix S n Q and S n P has the same form as the covariance S n-1 Q and S n-1 P . Therefore once the first covariance matrix are initialized as S 0 Q =Q 0 and S 0 P =P 0 E, the other matrices in the following steps has the same form.
[0051] The proof of theorem 1 requires the assumption that the value of the phase is small so that, defining D by
[0000]
D
=
1
2
γ
diag
(
a
n
*
)
[0000] it can be approximated that D*D −1 equals the identity matrix.
Theorem 2
[0052] The Kalman gain and update formula for the state are
[0000] G n =( S n Q J H +S n P J T ) R −1 =+( Q n +P n )( J ) −1 q (23)
[0000] b n ={circumflex over (b)} n +G n ( I n −γ|a n | 2 ) (24)
[0053] Using these results, the algorithm presented above can be reformulated as a Sparse augmented complex extended Kalman filter algorithm, used by the embodiment:
(i) Initialization of b 0 , Q 0 and P 0 . (ii) Prediction:
[0000] {circumflex over (b)} n =Hb n-1 (25)
[0000] {circumflex over (Q)} n =Q n-1 (26)
[0000] {circumflex over (P)} n =HP n-1 H (27)
(iii) Update:
[0000] â n =K H {circumflex over (b)} n (28)
[0000] Q n ={circumflex over (Q)} n −( {circumflex over (Q)} n +{circumflex over (P)} n )( {circumflex over (Q)} n +{circumflex over (P)} n +( {circumflex over (Q)} n )*+( {circumflex over (P)} n )*+ qI ) −1 ( {circumflex over (Q)} n +( {circumflex over (P)} n )*) (29)
[0000] P n ={circumflex over (P)} n −( {circumflex over (Q)} n +{circumflex over (P)} n )( {circumflex over (Q)} n +{circumflex over (P)} n +( {circumflex over (Q)} n )*+( {circumflex over (P)} n )*+ qI ) −1 ( {circumflex over (P)} n +( {circumflex over (Q)} n )*) (30)
[0000] b n ={circumflex over (b)} n +( Q n +P n )( J ) −1 q ( I n −γ|a n | 2 )
[0057] Matrices Q, and P n are diagonal, hence they can be stored as two vectors. The storage burden of equations (11), (12) in the update step is reduced from N 2 to N. The inverse of J in equation (31) can be computed by a Fast Fourier Transform (FFT). Since Q n and P n are diagonal, the matrix multiplications and inversions in equations (29) and (30) have a computational complexity of O(N). The overall computational complexity of the sparse ACEKF is at the scale of O(N z N log(N)) due to the FFT.
4. Experimental Results of Sparse ACEKF
[0058] Three sets of data have been considered to assess the performance the augmented Kalman filter. Data Set 1 consists of 100 images of size 100×100 pixels artificially generated to simulate a complex field propagating from focus in 0.5 μm steps over a distance of 50 μm with illumination wavelength of 532 nm. Pixels are corrupted by Poisson noise so that, on average, each pixel detects γ=0.998 photons.
[0059] Data Set 2 comprises 50 images of size 150×150 pixels acquired by a microscope. The wavelength was again 532 nm, and the defocused intensity images were captured by moving the camera axially with a step size of 2 μm over a distance of 100 μm.
[0060] Data Set 3 has 101 images of size 492×656 pixels acquired by a microscope. The wavelength was 633 nm, and the images were captured by moving the camera axially with a step size of 2 μm. FIG. 3 shows the images of simulated data Data Set 1 ( FIG. 3( a )) and experimental data Data Set 2 ( FIG. 3( b )) and Data Set 3 ( FIG. 3( c )).
4.1 Data Set 1
[0061] Table 2 summarizes the results of Data Set 1 using three methods: ACEKF (augmented complex extended Kalman filter) [1], diagonalized CEKF (diagonalized complex extended Kalman filter) [8], and the method sparse ACEKF (Sparse augmented complex extended Kalman filter) used in the embodiment. The ACEKF method has a high computational complexity of O(N z N 3 ) and storage requirement of O(N 2 ). In order to alleviate the computational burden of ACEKF, the images are divided into independent blocks of size 50×50, but it still takes 13562.8 seconds by a general personal computer. On the other hand, the computational complexity of the sparse ACEKF is 0(N z N log N), and it takes 0.40 seconds to process the 100 (full) images. FIG. 4 shows recovered intensity and phase images obtained by processing the dataset of FIG. 3( a ) by ACEKF, diagonalized CEKF, and the embodiment. The results shown are those at the focal plane.
[0000]
TABLE 2
Inten-
sity
Phase error
Complexity
Time[s]
Storage
error
[radian]
ACEKF [1]
O(N z N 3 )
13562.80
O(N 2 )
0.0091
0.0139
(in block)
Diagonal-
O(N z NlogN)
0.30
O(N)
0.0079
0.0166
ized
CEKF [8]
Sparse
O(N z NlogN)
0.40
O(N)
0.0071
0.0143
ACEKF
(Embodi-
ment)
[0062] As illustrated in Table 2, the computational complexity of the diagonalized CEKF is lower than that of ACEKF. However, the latter yields better results in terms of phase error. In order to reduce the error of the diagonalized CEKF, forward and backward sweeps (iterations) are applied in [8]. However, the iteration increases the computational complexity linearly, and makes the method no longer recursive. The sparse ACEKF method has an intensity error of 0.0071, and a phase error of 0.0143 (radian). Compared with the diagonalized CEKF, the sparse ACEKF has the same computational complexity and storage requirement, but returns lower error images.
[0063] The error is here calculated by root mean square error (MSE). However, MSE might not be optimal to evaluate the error. The proposed sparse ACEKF has an error near to ACEKF, while the recovered phase and intensity images of the sparse ACEKF in FIG. 4 might look better. The images recovered by ACEKF exhibit a block effect as straight lines crossing the images, whereas the result of sparse ACEKF is free of this block effect. It is because the sparse ACEKF has a much lower complexity that the embodiment avoids the need to divide the images into independent blocks. The images recovered by ACEKF and the diagonalized CEKF contain traces of phase in the intensity images. However, the trace of phase is almost removed on the estimated intensity image of the sparse ACEKF.
4.2 Experimental Data (Datasets 2 and 3 )
[0064] FIG. 5 compares the estimated intensity image and phase image of Data Set 2 using ACEKF, the diagonalized CEKF, and the sparse ACEKF. Stripes in the phase image recovered by the diagonalized CEKF look darker, while the strips in the recovered phase image of the sparse ACEKF method have stronger contrast. All images are as at the focal plane.
[0065] FIG. 6( a ) shows the recovered phase [nm] of the Data Set 3 by ACEKF, the diagonalized CEKF, and the sparse ACEKF. The real depth of the sample in Data Set 3 is around 75 nm±5 nm. The proposed embodiment takes 20.24 seconds to process 101 images of size 492×656. However, the ACEKF method takes 54.15 hours and each image is separated into 117 pieces of 50×50 blocks. FIG. 6 ( b ) compares the depth along the black line in FIG. 6( a ). The sparse ACEKF method shows a result much closer to the true value, compared to ACEKF and the diagonalized CEKF.
5. Variations of the Embodiment
[0066] There are other state space models for which the concept of a diagonal covariance matrix can be applied. For example, based on (4)-(6) we have a state space model:
[0000] State: b n =H n b n-1 ;
[0000] Observation: I n =γdiag( a* n ) a n +v
[0067] We can define the follow three steps using a standard Kalman filter [16]:
[0068] (1) Initialization: b 0 and error covariance matrix, M O .
[0069] (2) Prediction: {circumflex over (b)} n =Hb n-1 ; {circumflex over (M)} n =HM n-1 H H
[0070] (3) Update: G n ={circumflex over (M)} n J H (J{circumflex over (M)} n J H +R) −1
[0000] b n ={circumflex over (b)} n +G n ( I n −J{circumflex over (b)} n )
[0000]
M
n
={circumflex over (M)}
n
−G
n
J{circumflex over (M)}
n
[0071] It can be shown that provided M 0 is initialized with a diagonal covariance matrix (specifically M 0 is a scalar times U), the state covariance matrix for all n is diagonal. In this case the update procedure becomes simply:
[0000]
a
^
n
=
K
H
b
^
n
M
n
=
α
n
U
with
α
n
=
α
n
-
1
γ
α
n
-
1
+
1
b
n
=
(
1
-
α
n
γ
)
b
^
n
+
α
n
γ
J
-
1
I
n
[0072] The inverse of J can be computed efficiently by means of a Fast Fourier Transform (FFT) algorithm. Both the embodiment described in the previous sections, and this variation, are low-complexity algorithms. As compared the embodiment, this variation takes more iterations to converge, but it has the advantage of being more stable.
6. Commercial Applications
[0073] The method could efficiently recover phase and amplitude from a series of noisy defocused images. It is recursive, and feasible for the real time application. The phase from intensity techniques could find applications in areas such as biology and surface profiling. Due to the scalability of the wave equations and the simplicity of the measurement technique, this method could find use in phase imaging beyond optical wavelengths (for example, X-ray or neutron imaging), where high-quality images are difficult to obtain and noise is significant and unavoidable.
[0074] Digital holographic microscopy (DHM) has been successfully applied in a range of application areas [5]. However, due to DHM's capability of non-invasively visualizing and quantifying biological tissue, biomedical applications have received most attention. Wave propagation based methods, and the proposed method in particular, may be applied to the same range of applications. Examples of biomedical applications are [5]:
Label-free cell counting in adherent cell cultures. Phase imaging makes it possible to perform cell counting and to measure cell viability directly in the cell culture chamber. Today, the most commonly used cell counting methods, hemocytometer or Coulter counter, only work with cells that are in suspension. Label-free viability analysis of adherent cell cultures. Phase imaging has been used to study the apoptotic process in different cell types. The refractive index changes taking place during the apoptotic process are easily measured through phase imaging. Label-free cell cycle analysis. The phase shift induced by cells has been shown to be correlated to the cell dry mass. The cell dry mass can be combined with other parameters obtainable by phase imaging, such as cell volume and refractive index, to provide a better understanding of the cell cycle. Label-free morphology analysis of cells. Phase imaging has been used in different contexts to study cell morphology using neither staining nor labeling. This can be used to follow processes such as the differentiation process where cell characteristics change. Phase imaging has also been used for automated plant stem cell monitoring, and made it possible to distinguish between two types of stem cells by measuring morphological parameters. Label free nerve cell studies. Phase imaging makes it possible to study undisturbed processes in nerve cells as no labeling is required. The swelling and shape changing of nerve cells caused by cellular imbalance was easily studied. Label-free high content analysis. Fluorescent high content analysis/screening has several drawbacks. Label-free alternatives based on phase shift images have therefore been proposed. The capability of phase imaging to obtain phase shift images rapidly over large areas opens up new possibilities of very rapid quantitative characterization of the cell cycle and the effects of specific pharmacological agents. Red blood cell analysis. Phase shift images have been used to study red blood cell dynamics. Red blood cell volume and hemoglobin concentration has been measured by combining information from absorption and phase shift images to facilitate complete blood cell count by phase imaging. It has furthermore been shown that phase shift information discriminates immature red blood cells from mature, facilitating unstained reticulocyte count. Flow cytometry and particle tracking and characterization. Phase images are calculated from the recorded intensity images at any time after the actual recording and at any given focal plane. By combining several images calculated from the same intensity images, but at different focal planes, an increased depth of field may be obtained, which is vastly superior to what can be achieved with traditional light microscopy. The increased depth of field makes it possible to image and characterize the morphology of cells and particles while in suspension. Observations may be done directly in a microfluidic channel or statically in an observation chamber. Time-lapse microscopy of cell division and migration. The autofocus and phase shift imaging capabilities of DHM and the proposed method makes it possible to effortlessly create label-free and quantifiable time-lapse video clips of unstained cells for cell migration studies. Tomography studies. Phase imaging allows for label-free and quantifiable analysis of subcellular motion deep in living tissue.
REFERENCES
[0000]
[1] L. Waller, M. Tsang, S. Ponda, S. Yang, and G. Barbastathis, “Phase and amplitude imaging from noisy images by Kalman filtering,” Optics Express 19, 2805-2814 (2011).
[2] R. Paxman, T. Schulz, and J. Fienup. “Joint estimation of object and aberrations by using phase diversity”, J. Opt. Soc. Am. A, 9(7):1072-1085, 1992.
[3] Phase contrast microscopy, http://en.wikipedia.org/wiki/Phase_contrast_microscopy
[4] Differential interference contrast microscopy. http://en.wikipedia.org/wiki/Differential_interference_contrast_microscopy
[5] Digital holographic microscopy, http://en.wiipedia.org/wiki/Digital_holographic_microscopy.
[6] J. M. Huntley, “Phase Unwrapping: Problems and Approaches”, Proc. FASIG, Fringe Analysis 94. York University, 391-393, 1994a.
[7] M. Takeda, “Recent Progress in Phase-Unwrapping Techniques”, Proc. SPIE, 2782:334-343, 1996.
[8] Zhong Jingshan, Justin Dauwels, Manuel A. Vazquez, Laura Waller. “Efficient Gaussian Inference Algorithms for Phase Imaging”, Proc. IEEE ICASSP, 617-620, 2012.
[9] R. Gerchberg and W. Saxton, “A practical algorithm for the determination of phase from image and diffraction plane picture”, Optik, 35:273-246, 1972.
[10] J. Fienup, “Phase retrieval algorithms: a comparison”, Appl. Opt., 21, 1982.
[11] M. Teague, “Deterministic phase retrieval: a Green's function solution”, J. Opt. Soc. Am. A, 73(11):1434, 1983.
[12] M. Soto and E. Acosta, “Improved phase imaging from intensity measurements in multiple planes”, Appl. Opt., 46(33):7978-7981, 2007.
[13] L. Waller, L. Tian, and G. Barbastathis. “Transport of intensity phase-amplitude imaging with higher order intensity derivatives”, Opt. Express, 18(12):12552-12561, 2010.
[14] R. Paxman and J. Fienup. “Optical misalignment sensing and image reconstruction using phase diversity”, J. Opt. Soc. Am. A, 5(6):914-923, 1988.
[15] J. Goodman, Introduction to Fourier Optics, McGraw-Hill.
[16] R. Kalman et al., “A new approach to linear filtering and prediction problems”, J. basic Eng., 82(1): 35-45, 1960. | An intensity image is collected at each of a plurality of locations spaced apart in a propagation direction of a light beam. Information from the intensity images is combined using a Kalman filter which assumes that at least one co-variance matrix has a diagonal form. This leads to considerable reduction in computational complexity. An augmented Kalman filter model (augmented space state model) is used in place of the standard Kalman filter model. The augmented Kalman filter improves the robustness to noise. | 70,475 |
CROSS-REFERENCE TO RELATED APPLICATIONS
The present application is a continuation of U.S. patent application Ser. No. 13/170,913, filed Jun. 28, 2011, entitled “SYSTEM AND METHOD FOR SELECTING HEALTHCARE MANAGEMENT,” which is a divisional application of U.S. patent application Ser. No. 11/023,199, filed Dec. 27, 2004, entitled “SYSTEM AND METHOD FOR SELECTING HEALTHCARE MANAGEMENT,” the disclosures of which are incorporated herein by reference.
TECHNICAL FIELD
This invention is related to medical systems and more particularly to systems and methods for providing assistance in making healthcare decisions, and even more particularly to a system and method for assisting in the selection of a healthcare manager.
BACKGROUND OF THE INVENTION
A problem occurs when a person is attempting to make a health care decision, such as, for example selecting a medical insurance (or even life insurance) plan suitable for that person or for that person's family. Different plans have different deductibles for different procedures. Different plans also have different healthcare providers characterized as “in-network” or “out of network” providers. Since the “proper,” i.e. lowest cost, plan that meets the individual's and/or family's needs will ultimately depend upon what medical services that person (or family) will require over the life of the plan and since that information is, by definition, not known at the time of plan selection, the solution is usually a “best estimate” guess. With something as crucial to a person's physical and financial health as medical insurance, the existing system for selection of a proper plan leaves a great deal to be desired.
One example of the problem arises when a family tried to decide which medical management plan to sign up for at work. Assume both the husband and the wife each have several options. Also assume that the husband is currently seeing Doctor A for a specific illness. Also assume that the wife is of child-bearing years but they already have two children. In our example, the husband's plan is less expensive than the wife's plan and includes Doctor A. If this family were to accept the wife's plan they would pay more per month and if the husband were to continue using Doctor A he would not be reimbursed the full amount because Dr. A is not on the “in-network” list of the wife's plan. Based on the available facts, it appears that the husband's plan should be selected.
However, this analysis did not take into account the reimbursement for medications for each plan, nor did it take into account the medical costs for the two children. Also not taken into account is the likelihood of a long-term illness to a family member where medication costs, hospital reimbursements, perhaps home-care costs and certainly maximum limits could drastically affect the overall cost of medical assistance.
Also not taken into account is the fact that different types of procedures require different expertise. Thus, a particular group of medical providers may yield statistically better results than another group for treatment of a specific ailment. Thus, deciding upon a healthcare plan, or even upon a course of healthcare treatment, requires more information than is currently available to a potential healthcare purchaser.
BRIEF SUMMARY OF THE INVENTION
The present invention is directed to a system and method which allows a prospective insured to make an informed decision on healthcare insurance by using a current medical profile to assist in the selection of future medical insurance. Based on past medical care, as obtained from payor data, a number of different plans, each having different providers, different deductibles, different maximums, different reimbursement policies, etc., a person can make an informed decision. When a family has different payors for different family members, a proper blend of payors can be more easily selected since the payors (or a single payor) has a medical profile of each family member and also has information on providers in the network, prescription policies, deductibles, maximums, etc.
In one embodiment there is provided a system and method for combining actual past medical payor information, as obtained from a profile of a patient's (or a patient's family) medical history, so as to help select the proper plan going forward. In an embodiment, the system will extrapolate from actual data to form an anticipated going-forward medical projection for the family. In a further embodiment, the system and method accepts data from the family concerning their own plans for the future so as to refine the medical projections, thereby further reducing the guess factor in the selection of a medical plan.
In another embodiment, options to a medical course of action are provided to a patient based upon prior experience the patient's healthcare plan has with providers in the patient's coverage area. Using such a system and method, a particular group of medical care providers may be selected for a particular procedure based on those provider's statistical data. In addition, a particular medical facility may be determined to be a better match for the patient, given the entire medical history of the patient and the past track record of the healthcare facility. Thus, in some situations it may be beneficial for the patient to go outside the network for a particular treatment.
The foregoing has outlined rather broadly the features and technical advantages of the present invention in order that the detailed description of the invention that follows may be better understood. Additional features and advantages of the invention will be described hereinafter which form the subject of the claims of the invention. It should be appreciated that the conception and specific embodiment disclosed may be readily utilized as a basis for modifying or designing other structures for carrying out the same purposes of the present invention. It should also be realized that such equivalent constructions do not depart from the invention as set forth in the appended claims. The novel features which are believed to be characteristic of the invention, both as to its organization and method of operation, together with further objects and advantages will be better understood from the following description when considered in connection with the accompanying figures. It is to be expressly understood, however, that each of the figures is provided for the purpose of illustration and description only and is not intended as a definition of the limits of the present invention.
BRIEF DESCRIPTION OF THE DRAWINGS
For a more complete understanding of the present invention, reference is now made to the following descriptions taken in conjunction with the accompanying drawing, in which:
FIG. 1 is one embodiment of a system and method for consolidating medical information from a myriad of healthcare providers;
FIG. 2 is one embodiment of a method for obtaining and profiling medical information; and
FIG. 3 is one embodiment of a method for assisting in the selection of a healthcare management plan.
DETAILED DESCRIPTION OF THE INVENTION
The forms which are filed (usually electronically) by healthcare providers for reimbursement from payors contain clinical data pertaining to the patient. In addition, health care plans use pharmacy benefit management companies (PBMs) to evaluate and pay pharmacy claims. This process of verification generates pharmacy data which then compliment the treatment and diagnostic data obtained from doctors. In addition, when a physician orders a laboratory test, the test costs are billed for either by the ordering physician or by the providing physician, such as by a radiologist. The claim for payment also goes to the payor. In some situations the actual test results will go the payor, or can be obtained by the payor in an electronic format.
The system and method described herein takes advantage of the fact that all of this data funnels through a common point and can be used to provide a comprehensive holographic view of a patient's health. Thus, in the disclosed system and method, the health plan acts as the aggregator of information pertaining to its members and that aggregated information is used to create a meaningful representation of the medical profile of the member.
Turning now to FIG. 1 , system 10 shows one embodiment of a system and method for consolidating medical information from diverse sources, such as Service Provider 11 , to give a consolidated profile of a patient. Service provider 11 represents service providers which could encompass test lab 101 , pharmacies 102 , hospitals 103 , and physicians 104 . Claims from any provider are submitted to a patient's insurer 12 . Others, such as the user, user's family, or even unrelated systems such as, for example, a credit card profile system, shown as 121 , can also submit claims to insurer 12 . At least a portion of the information coming from these various diverse sources is stored in database 13 . While it is contemplated that the raw data be stored in database 13 it could be that only abstracted data (such as above or below limit data) is so stored. Also note that database 13 could accept data from other insurers 19 which could occur, for example, if a patient were to have multiple insurers (husband and wife; private and government, etc).
Assuming patient 16 used provider 15 as a primary provider but also used other providers 17 (cardiologist, diabetic specialist, obstetrician/gynecologist), it could be appropriate for any one or more of these providers to set “rules” for the patient. These rules could pertain to filling and refilling a prescription, taking and sending certain monitored readings (sugar levels, air flow, etc.), limits on certain readings, etc. These rules are stored in rules engine 18 on a patient-by-patient basis and when a rule has been attained (i.e., a certain monitored fact is outside a limit), then monitor application 14 sends a message (e-mails, telephone, fax, etc) to provider 15 (and possibly also to one or more other parties, including the patient).
Claims are submitted from various service providers, as well as the patient, and these claims may be formatted differently based on the reason for the data exchange. To handle such a situation, proper interfacing between systems is required and this is handled by adaptors, such as adapters 130 .
One example of how the system and method could work is where physician A has prescribed a particular medication for a patient and physician B, possibly because that patient failed to inform physician B of the medication he/she is taking, prescribed another medication that might be dangerous when mixed with the first medication or possibly negates the effects of the first medication. In such a situation, the system would generate an alert to the patient and, if desired, to both physicians A and B. The reason the alert can be delivered is because of the composite view of a patient's medical history as obtained from payment records. Since the system is based upon data coming to a payor for reimbursement, over-the-counter medicines or medicines that are not paid for by the provider will only get into the system if the patient (or someone acting for the patient) sends in the data.
Another example would be if a patient has asthma and is asked to measure his/her peak air flow daily and to call the physician if the readings go below a certain level. Frequently patients don't follow through with the instructions or are worried about calling (“bothering”) the physician. Using this system a member could go online to record his/her peak flow every day. This on-line data is then sent to the system. A rule is set up in the system that says: if air flow falls below a certain level, or if there is a significant downward trend, issue an Alert. Thus, even if the patient is not at the critical stage, alerts are sent and trouble can be averted. The physician cannot take phone calls from patients every day and calculate changes to air flow, but the provider could set the system to accept a patient's input and to call (alerts) when certain limits are met. In addition, patients can input symptoms, such as coughing, vomiting, chest pain, headaches, temperature, blood pressure, etc., and this data can be used to trigger an alert based either on a general group rule, or on parameters set individually for that patient.
Compliance by a patient is another major concern. For example, the provider asks a patient to take a medication, monitor peak air flow to lungs, check blood sugar, see a specialist, etc. In reality, the provider does not know whether the patient has complied or not. When the patient ends up in the emergency room because of failure to follow directions it is often too late for help. However, using the system and method described herein, the provider will be notified if certain values decrease or change or hit a certain level. Alerts will be generated if the values are missing, i.e., not put in for two or three consecutive days, etc. Also, missing data could be that a prescription has not been filled (or refilled on time), thereby initiating an alert.
These are all examples of the power obtained when the medical history of a patient can be generated and continually monitored based upon an abstraction of data meant for another purpose, namely payment information.
FIG. 2 shows one embodiment of system 20 where process 201 receives reimbursement information (a payment claim) from any one of a number of medical providers. This information contains within it enough information so that the third party payor can process the payment to determine how much will be reimbursed. This reimbursement can be sent directly to the provider or sometimes it is sent to the patient. Each such claim must contain with it enough information so that the payor can properly determine the procedure that was performed, and whether the patient is eligible for reimbursement and what the limits are. Often the provider sends minimal information that certain tests have been performed and does not send the actual test results. However, in some situations, the actual test scores are sent with the payment claim information. Pharmacies send in the prescription and sometimes also the diagnosis along with their claim information. In FIG. 1 this information is shown coming from service providers 11 and goes directly to insurer 12 but the data could pass through adapters 120 designed such that the data from each provider is converted so that pertinent data can be removed, as desired, for storage in patient profile storage 13 .
In addition, process 201 will process data from a patient, such as from patient 105 ( FIG. 1 ). This data could be test results that have been self-administered, such as blood sugar levels, peak flow levels, blood pressure, temperature, or any other measurable physiological parameter that is necessary for a medical diagnosis. In addition, a patient can input symptomatic information, such as chest pain, coughing, vomiting, or any other type of occurrence, such as blurry vision, or abdominal pain, all of which will be received by process 201 and processed to become part of the patient profile information stored in storage 13 .
Process 202 , either before the information is stored in patient profile 13 or thereafter, and with or without the help of adaptors 120 , creates an abstract of the information to determine certain information. For example, process 202 could look at various pieces of information and conclude that a patient is a diabetic. This would be concluded, for example, by looking at the medication the patient is taking, patient hospital visits, supplied lab test results, etc., and applying rules under control of rules engine 18 ( FIG. 1 ) to conclude that this patient is in a group of diabetics. Other types of information could lead to an abstracting of a patient so that the patient is classified as a heart patient, a pregnant patient, etc. Each of these categories could then require the further abstracting of information to determine from symptoms provided by the patient when to send an alarm.
For example, if a patient is classified as having heart failure, then upon receiving information from a patient that the patient is having night time cough, the system would, based upon process 204 , determine that this patient (or his/her health care provider) needs be alerted.
The system is established such that an administrator, who could be a doctor, could establish parameters that would apply to all of the patients in the database. This information would apply to the whole population of patients falling within the rules for the group. Within each group each physician could establish specific parameters for his/her specific patients.
Process 203 , as discussed, stores the pertinent data either in patient profile storage 13 or in other storage and based upon rules established by rules engine 18 . Process 205 determines if an alert is necessary. If an alert should be sent, such an alert will be processed via process 206 to determine what type of an alert, who the alert should go to, and how, and will also determine what type of data should be supplied. Process 207 sends the alert to one or more providers, other third parties, or to the patient, as desired. Process 220 sets rules for the rules engine on a per-patient basis while process 221 sets rules for groups of patients. Process 204 examines the data under control of the rules engine, or any other comparison system.
Turning now to FIG. 3 there is shown method 30 whereby the person who desires to begin the process of selecting a medical reimbursement plan, or to select life insurance or other situations where the amount of money a person receives or pays is dependent upon a particular plan or policy or to determine a proper course of treatment, will get online via process 300 . Process 300 can include, for example, a computer connected to the system via an Internet connection or it can be a person requesting assistance by telephone. Process 300 can, for example, run on a processor at a central location having access to patient profile data, such as patient profile 13 of FIG. 1 , or the processor can run local to the patient based on downloaded (or accessed) data. The person seeking the information herein will be called the user.
Process 301 obtains medical, and medical cost profiles for the user and for any others having affinity to the user, such as the user's family or any other person that the user has responsibilities to pay the medical bills for. Process 30 also then obtains the plan information via process 302 for all of the plans that are available to the user, including those plans available to the user's spouse and perhaps even for plans that are available over-the-counter. Plan information can include, for example, medication formularies, benefits, funding mechanisms, limits, deductibles, in-network and out-of-network fees, prescription costs, co-pay charges, etc.
One option would be to use a questionnaire via process 303 to submit answers from the user via process 304 pertaining to medical factors known only to the user. For example, these questions could deal with future (or current) pregnancies or elective surgery or could even solicit symptomatic information (chest pain, etc.). The questions could also pertain to dental situations with respect to braces, and any other type of information that would bear upon the ultimate cost of health insurance. These processes could compile a patient profile consisting of medical history, preferred providers, current medications, planned medical interventions, and other pertinent information for choosing among a variety of health plan options, including the patient's financial risk profile and preferences. Process 303 can be set up for a specific anticipated procedure, such as, for example, a knee replacement procedure. In such a situation, the system would seek information about the patient's desires and concerns and, based on the patient's medical history, ask other questions pertinent to the situation at that point in time.
Once this information is gathered, i.e. the patient's profile, the plan information for several plans, answers to the questions via process 304 , etc., then process 305 , perhaps in conjunction with rules engine 18 of FIG. 1 , or using its own processor, can evaluate the options available to the user. This evaluation is based upon the type of medication the patient is taking, the different types of diagnoses and tests that have been performed over a course of time and by reviewing the medical history of the user's family. A profile can then be established of the user and the profile can be used to help the user determine which plan would be “best” for that user, or what the various options are “likely” to cost the user over a prescribed period of time. For a particular procedure, the profile would provide options of providers and facilities for selection by the patient. In some situations it might be better for a patient to use an out-of-network doctor and select a plan that pays for a longer period of time or that handles a certain type of illness better than others, even though on the surface such a selection is counter-intuitive. In some cases, it could be beneficial for a plan to make an exception for a certain user such that the user will actually be reimbursed at the in-network reimbursement rate even though the user uses an out-of-network provider. This could also be true on a procedure-by-procedure basis. This follows since the system may determine that over the long run using out-of-network providers and/or facilities will be the most inexpensive way for the plan to operate for the given circumstances of the user's family or for a given procedure. Note that the displayed results may be by cost, by number of available providers or by other criteria.
Using the system and method discussed herein, the system can take into account the user's age, prior medical conditions, answers to questions of lifestyle and a myriad of other situations. For example, how far a user drives impacts his/her likelihood of being involved in an accident. Does the user own a boat, an airplane, what are the travel plans of the person, etc. Note that travel plans, as well as other lifestyle information are not medical information but they do have an impact on the user's medical treatment and this should be factored into the profile also. Note that this lifestyle information can come from the user or from sources external to the user, such as, for example, a reservation system or a credit card company. When all this information is evaluated by process 305 , comparisons are displayed for the user via process 306 . The information for such a display could be sent to the user wirelessly or by wire line, which could be wirelessly or wired to the user. Thus the information could be displayed on the screen of a computer (not shown) or communicated in an email or otherwise to the user.
Although the present invention and its advantages have been described in detail, it should be understood that various changes, substitutions and alterations can be made herein without departing from the invention as defined by the appended claims. Moreover, the scope of the present application is not intended to be limited to the particular embodiments of the process, machine, manufacture, composition of matter, means, methods and steps described in the specification. As one will readily appreciate from the disclosure, processes, machines, manufacture, compositions of matter, means, methods, or steps, presently existing or later to be developed that perform substantially the same function or achieve substantially the same result as the corresponding embodiments described herein may be utilized. Accordingly, the appended claims are intended to include within their scope such processes, machines, manufacture, compositions of matter, means, methods, or steps. | The present invention is directed to a system and method which allows a prospective insured to make an informed decision on healthcare insurance or a specific health care management decision by using a current medical profile to assist in their selection. Based on past medical care, as obtained from payor data, a number of different plans, each having different providers, different deductibles, different maximums, different reimbursement policies, etc., a person can make an informed decision. When a family has different payors for different family members, a proper blend of payors can be more easily selected since the payors (or a single payor) has a medical profile of each family member and also has information on providers in the network, prescription policies, deductibles, maximums, etc. | 24,615 |
BACKGROUND OF THE INVENTION
This invention relates to a process and a machine for the transformation of combustibile pollutants or waste materials into clean energy and utilizable products.
It is known to carry out the thermodecomposition of combustible pollutants, such as urban or industrial waste materials, by oxidizing such wastes in controlled conditions of temperature and excess of air and to use the elevated heat developed by the fumes to produce both thermic and electric energy.
However, this well known technique of waste disposal with energy regeneration is only modestly efficient and causes dangerous emissions of harmful substances and micropollutants.
"Plasma Chemistry and Plasma Processing" Vol. 4, No. 4, December 1984, Plenum Publishing Corp., New York, U.S.A., discloses a gasification method of peat by using a steam plasma in order to obtain a high gasification efficiency.
EP-A1-0 194 252 discloses a gasification method which purifies the raw gas produced from tar.
However, up to date the gasification method has not found a wide spread since the problems concerning the high total energetic yield, the elimination of pollutants and the economical convenience have not found a satisfactory unitary solution.
SUMMARY OF THE INVENTION
An aim of the invention is to optimize the gasification method by entirely overcoming all the problems above referred to, that is to carry out a transformation of combustible pollutants or waste materials with total energy regeneration, obtaining clean energy and utilizable products, and realizing this process in an economical way.
A further aim of the invention is to carry out the disposal of urban, industrial and agricultural waste aggregates of all types, particularly solid waste materials, black liquor sludge, combustible pollutants etc.
A further aim of the invention is to carry out the disposal of wastes and combustible pollutans with a machine that allows a rapid recovery of its construction costs.
A further aim of the invention is to dispose of waste materials obtaining products that are completely utilizable in industry, the construction business, agriculture etc.
These aims and other that result hereinafter are achieved, according to the invention, by a process for transforming combustible pollutants and waste materials into clean energy and utilizable products, characterized by:
submitting the whole material to be treated to the action of a thermic lance at a temperature higher than 1600° C. in an airless atmosphere for a time sufficient to totally decompose it and extract combustible gases based on H 2 and CO, non-combustible gases and inerts, which are forwarded to the subsequent treatment steps without going through said material to be treated,
suddenly cooling all together the thermally decomposed products and separating the inert products with water, thus generating steam and reducing the gases temperature at not less than 1200° C.,
introducing said steam and said cooled gases onto a depurative carbonaceous mass heated at a temperature higher than 1200° C., to remove the residual pollutants from the gases and to transform them, at least in part, into hydrogen, carbon monoxide and other wholly utilizable gaseous products, and
cooling the gases coming out from the carbonaceous mass.
To carry out this process the invention comprises a machine characterized by comprising:
a thermic lance disgregator operating in absence of air and at a temperature higher than 1600° C. the whole decomposition of the material to be treated into combustible gases based on H 2 and CO, non-combustible gases and inerts,
a water separator to suddenly cool together all the products thus decomposed and to separate the inert products with water, thus generating steam and reducing the gases temperature at not least than 1200° C.,
a filter-thermoreactor containing a depurative carbonaceous mass heated at a temperature higher than 1200° C., said filter-thermoreactor being connected to said disgregator and to said separator to remove the residual pollutants from the gases and to transform them, at least in part, into hydrogen, carbon monoxide and other wholly utilizable gaseous products, and
a refrigerator for said gaseous products coming out from said filter-thermoreactor.
BRIEF DESCRIPTION OF THE DRAWINGS
This invention is herebelow further clarified with reference to the enclosed drawings, in which
FIG. 1 shows a block diagram of the process according to the invention,
FIG. 2 schematically shows a machine implementing the process.
FIG. 3 gives a general view of a plant using the machine according to the invention, and
FIG. 4 shows an enlarged view of a detail of FIG. 3.
DESCRIPTION OF THE PREFERRED EMBODIMENT
As can be seen in FIG. 1, the process according to the invention foresees to introduce the material to be treated into a disgregator 1, where such a material is submitted to the action of an oxyhydrogen flame 2 which causes total thermal decomposition so as to extract combustible gases, non-combustible gases and inerts.
From the disgregator 1, essentially, a mixture of carbon dioxide, hydrogen, carbon monoxide, steam and waste fluid issue. The whole is allowed to fall into a mass of water 3, that cools the fluid and transforms it into inert solids, and is at the same time heated, thus generating steam.
The inert solids are removed for various uses (e.g. in the construction industry) while the gases mixed with the steam enter a filter-thermoreactor 4 containing carbonaceous material.
Here the carbon reacts with the steam to form carbon monoxide and hydrogen and to depurate and transform other gases. Since carbon reacts endothermically, the amount of heat needed for reaction comes from the disgregator 1.
From the filter-thermoreactor 4 hydrogen, carbon monoxide and other totally utilizable gaseous products issue.
These gases are then cooled by heat exchange and, after purification and steam enrichment, are introduced into a converter 39 where the carbon monoxide and steam, in the presence of a suitable catalyst, are converted into carbon dioxide and hydrogen, cooling down to about 200° C.
The carbon dioxide then solidifies by cooling to -70° C. while the hydrogen, passing through a filter 49, may be utilized in fuel cells for the production of electric energy.
When other catalysts are used in the converter 39, it is possible to convert the carbon monoxide and hydrogen into methane or to unite hydrogen and nitrogen to obtain ammonia.
Such a process may be successfully carried out by using the machine schematically shown in FIGS. 2 and 3.
As these figures show, the machine according to the invention consists of a disgregator 1, with an oxyhydrogen flame 2, connected by a pipe (breaking down, sorting, drying etc.) of the wastes.
Part of the above pipe 6 runs between two mercury valves 7, 8.
These valves have a cylindrical casing 9, on top of which is a hydraulic piston 10 to operate a "lid" 11 closing device in the exit pipe 12, 12'.
The sealing "lid" 11 is partially immersed in the mercury 13 contained in an interspace 14 connected to an expansion chamber 15.
The entry pipe 6 has an inclined gate 16 operated by a hydraulic piston 17, and on top there is an overhang 18 which, during opening, serves to protect the corresponding interspace 14.
The part of the pipe 12 between the two mercury valves 7, 8 has in its upper part an air aspiratory pump 19', and an aspiratory pump 19 connected to the interior of the disgregator 1 by a pipe 19".
Below the second mercury valve 8 the pipe 12' branches off to enter the flame disgregator 1.
This disgregator 1 is made of fireproof material and has a basically arched shape. Its arched covering 20 sustains a plurality of hydraulic pistons 21, which actuate a toroidal pusher 22, inside the disgregator 1, and a thermic lance 23.
The pusher 22 runs coaxially along the lance 23, the terminal part of which is positioned in correspondence to an internal annular neck 24 of the disgregator 1.
The bottom 25 of the disgregator 1, slightly convex so as to retain a certain amount of liquid material, has a central opening 26 for the passage of the products formed by the decomposition and has an internal coil 27 connected to a heat exchanger (not shown in the drawings).
The disgregator 1 is placed inside the substantially cylindrically shaped filter-thermoreactor 4 containing carbon.
To carry out its filling, the filter-thermoreactor 4 has an external pipe 28 with, at its extremity, two mercury valves identical to the valves 7, 8 already mentioned.
The filter-thermoreactor 4 is placed coaxially inside a refrigerator 29 of analogous shape, where there are two coaxial water films 30, 31, generated by two circular openings on the covering 32 of the refrigerator 29.
The covering 32 has two concentric annular walls 33, 34 to contain water and to condense the steam which comes, through a perimetral interspace 35 of said refrigerators 29, from the tank 3 full of water situated at the bottom of the said concentric structures.
The tank 3 has a coil 36 connected to a heat exchanger (not shown in the drawings). A conveyor belt 37 allows to remove from the machine the material deposited at the bottom of the tank 3.
The exit point of this conveyor belt 37 is placed between two mercury valves identical to those already mentioned.
A pipe 38 on the bottom of the refrigerator 29 connects it to a converter 39 made up of several concentric sections 40, each of which containing a different catalyst, according to which gas is to be obtained at exit. The sections 40 have water injectors (not shown in the drawings) and filling devices 41 for their connection to the external pipe 28.
The sections 40 of the converter 39 also have, at their base, devices 42 for unloading.
The converter 39 is connected by a pipe 43 to a freezer 44 cooled by a coil 45 connected to a conventional heat pump, not shown in the drawings, and equipped at its base by pushers 46 to unload along a chute 47 the ice and waste materials of the reactions.
A belt 48 at the bottom end of the chute 47 carries the ice from the chute 47 outside the machine.
The freezer 44 is connected to a self-cleaning hydrogen filter 49, in its turn connected to the exterior by a pipe 50 with a mercury valve 51 identical to those already described.
The whole is contained inside a casing 52 filled with inert gases, such as carbon dioxide, so as to avoid infiltrations of air into the machine and guarantee its safety.
The operating of the machine according to the invention is as follows:
the opportunely treated, broken down, sorted and dried material is sent through the pipe 6 to the mercury valve 7.
At pre-established intervals the hydraulic pistons 10 raises the lid 11, thus freeing the opening to the pipe 12 and thus allowing the mercury 13 that has overflowed into the chamber 15 to flow back into the interspace 14.
When the lid 11 has been completely raised, the inclined gate 16, worked by the hydraulic piston 17, starts to drop. The overhang 18 at the top of the gate 16 closes that part of the interspace 14 that could otherwise fill up with the material coming through the valve 7.
When the desired amount of material has passed through, the gate 16 recloses the pipe 6, while the lid 11 recloses the pipe 12. After the two phases, the pump 19' at the top of the pipe 12 is put into action to pump out any air that has come through the valve 7 with the material to be treated.
Once the vacuum is recreated in the pipe 12, the mercury valve 8 is opened with the same mechanism as for valve 7 and the material enters the disgregator 1 through the pipes 12'.
Any gases in the disgregator 1 may enter pipe 12' when the valve 8 is opened, but they are pumped out and sent back inside the disgregator by the aspirating pump 19' through the pipe 19".
The material accumulated inside the disgregator 1 is conveyed by the pusher 22 through the annular neck 24 which compresses it.
In this phase the material comes into contact with the thermic lance 23 cooling it, and acts as a plug for the underlying disgregation chamber 53.
In this way, escape of gases from there is partially interdicted and the upper part of the disgregator 1 is protected from the heat of the oxyhydrogen flame 2 that reaches about 2000° C.
The compressed material going through the neck 24, thanks to the particular shape of the oxyhydrogen flame 2 obtained by the inclination of the alimentary pipes, undergoes four decomposition, the first at the flame head and the second, third and fourth at the tail, as shown in the FIG. 2 by the broken line.
A part of the material that decomposes, gathers at the base 25 of the disgregator 1 thus shielding it from direct contact with the flame.
The liquid material and the gases through the neck 24, after further decomposition, fall into the tank 3 full of water maintained at a constant temperature by the coil 36. The solids that are deposited in the water tank 3 are removed by the conveyor belt 37 and unloaded outside.
The water, cooling the products of the decomposition, generates steam that mixes with the gases present: carbon dioxide, carbon monoxide etc. These gases, through a pipe 54 leading to the filter-thermoreactor 4, enter the latter which is filled with the carbonaceous mass through the external pipe 28. In the filter-thermoreactor 4 the carbon of the carbonaceous mass, thanks to the heat absorbed from the disgregator 1, reacts with the gases, thus producing carbon monoxide and hydrogen and further depurating the gases.
The gases thus obtained pass through a pipe 55 into the refrigerator 29, where they pass through the water films 30, 31 cooling down, stabilizing and further purifying themselves and balancing the H 2 O/CO ratio.
The cooled and H 2 O enriched gases enter the converter 39 with conversion columns with several catalyst layers, the first made up of Fe 2 O 3 --Cr 2 O 3 and the second and third of Cu--ZnO--Al 2 O 3 .
In the first layer the exothermic reactions of conversion raise the temperature of the gases to 450° C.; before entering the second level, injections of water are effectuated to cool them down to 180° C.
In the second level the temperature of the gases rises to 250° C.; an intermediate cooling by water injections brings the entry temperature to the third level down to 200° C.
The hydrogen enriched gases leave the last level at 220° C. and enter the freezer 44 which lowers their temperature to about -70° C.
At entry to the freezer 44 the carbon dioxide, in the form of dry ice, is removed by the pushers 46 at the base of the freezer itself.
The pure hydrogen, the only residual gas, after passing through the self-cleaning filter 49 and the mercury valve 51, is brought outside the machine to be used as best seems fit.
The following example further clarifies the invention. Through the pipes 6, 12 and 12', 780 Kg/h of urban and industrial wastes having the following elementary composition are introduced into the disgregator:
______________________________________ Carbon 44.46% Hydrogen 9.89% Nitrogen 1.62% Oxigen 35.84% Sulphur 1.33% Chlorine 0.83% Others 6.03%______________________________________
The oxyhydrogen flame 2 that carrying the thermodecomposition uses 526 Kg/h of O 2 and 287 Kg/h of water.
The pure oxygen needed it furnished by a special generating station outside the machine, while the hydrogen is furnished by the machine itself.
At exit from the disgregator 1 after partial evaporation of the water contained in the cooling tank 3 there is a volume of 2598 Nm 3 /h of gas at 1400° C. having the following composition:
______________________________________ CO 22.3% Hydrogen 44.4% CO.sub.2 2.3% H.sub.2 O 29% Others traces______________________________________
65 Kg/h of inert solid wastes are deposited in the water tank 3.
The thermodecomposition takes place totally without carbon black.
The high internal temperature of the disgregator 1 (2000° C.) and of the fireproof materials allows a thermic recovery of 50.000 Kcal/h.
2598 Nm 3 /h of gas enter the filter-thermoreactor 4 through the pipe 54; the gases react with 238 Kg/h Coke, furnishing 3023 Nm 3 /h of gas having the following composition:
______________________________________ CO 32.8% Hydrogen 56.2% H.sub.2 O 11% Others traces______________________________________
These quantities of gas, before entering the converter 39 are stabilised and cooled from 800° C. to 380° C.
In the cooling process are used 607 Kg/h of water and 1098 Kg/h of steam to rebalance the H 2 O/CO ratio.
The gas, 3467 Nm 3 /h at a temperature of 380° C. enriched with water, enters the first layer of the converter 39 containing Fe 2 O 3 --Cr 2 O 3 with which it reacts exothermically raising its temperature to 450° C.
Before entering the second level containing Cu--ZnO--A1 2 O 3 the gas is cooled by water to 180° C. allowing a heat recovery of 512.000 Kcal/h.
In the second level of catalysts the temperature of the gas rises to 250° C.; an internal cooling process, that allows a heat recovery of 94.000 Kcal/h, brings the entry temperature to the third level to 200° C.
From the converter 39 5145 Nm/h issue at 220° C. having the following composition:
______________________________________ Hydrogen 49.8% CO 20% H.sub.2 O 28%______________________________________
The hydrogen enriched gases issue from the converter 39 at 220° C. and enter the freezer 44 to be cooled down to -70° C.
2077 Kg/h of CO gather at the bottom of the freezer 44 in the form of ice which is removed by the conveyor belt 48. From the same freezer 44 are also recovered 229 Kg/h of hydrogen of which 66 Kg/h for the oxyhydrogen flame 2 of the disgregator 1 and 163 Kg/h for external utilisation. For example, should this hydrogen be used in a fuel cell, it is possible to obtain a development of about 2600 Kwh/h.
From what has been said it is clear that the process according to the invention and the machine to carry out it offer several advantages, and in particular:
high production of clean energy
total recovery of secondary materials
maximum safety
zero pollution
rapid recovery of construction costs
possibility to transform the machine into a non-polluting highly efficient propulsion system
use as a de-polluting machine. | The process and apparatus for transforming combustible pollutants and waste materials into non-polluting, clean and useful energy, by completely removing the pollutants from raw materials while avoiding the formation of potential pollutants, involve the use of oxygen or a gas mixture containing oxygen, such as air, and steam. | 19,184 |
RELATED APPLICATIONS
This application is a continuation of U.S. application Ser. No. 11/850,424 filed on Sep. 5, 2007, now U.S. Pat. No. 8,357,168, which claims priority to U.S. Provisional Application No. 60/843,255, filed on Sep. 8, 2006, the disclosure of each of which is incorporated herein by reference. This application relates to U.S. application Ser. No. 11/170,010, now U.S. Pat. No. 7,722,579; U.S. application Ser. No. 11/170,577, now U.S. Pat. No. 7,789,913; U.S. application Ser. No. 11/170,382, now U.S. Pat. No. 7,556,650; U.S. application Ser. No. 11/169,405, now U.S. Pat. No. 7,740,660; U.S. application Ser. No. 11/170,588, now U.S. Pat. No. 7,837,733; and U.S. application Ser. No. 11/170,657, now U.S. Pat. No. 8,337,557, all filed on Jun. 29, 2005, and all of which claim priority to U.S. Provisional Application No. 60/683,665, filed on Jun. 29, 2004. The disclosure of each of these applications is incorporated herein by reference.
BACKGROUND
The present invention relates to systems and methods for the treatment of the spine, and especially the interbody disc space. More specifically, the invention concerns the injection of a biomaterial into a spinal space, such as the intradiscal space.
Spine fusion procedures represent the state of the art treatment for intervertebral disc problems, which generally involve open surgery and the use of interbody fusion cages and spinal fixation systems to stabilize the fusion site. An alternative treatment under evaluation is to replace or augment the disc or nucleus pulposus with a prosthetic device. Examples of some devices currently under investigation include in-situ cured polymers such as polyurethanes and protein polymers, which may have properties varying from a rubbery hydrogel to a rigid plastic. Problems associated with these devices occur during insertion, whereby the pressure required to fill the disc space can cause leakage of the material into sensitive adjacent areas.
A number of devices are available for distracting vertebral bodies or for injecting material into the disc. Some devices are capable of both distraction and injection using the same instrument. These types of devices use a deflated balloon attached to a cannula and inserted between the vertebral bodies. The balloon is inflated with a prosthetic fluid through the cannula to distract the vertebral bodies. This requires high-pressure delivery of the fluid to achieve the pressure needed to distract the vertebral bodies and the balloon and fluid permanently remain in the disc space. Alternatively, a separate device is used to inject the prosthetic fluid around the balloon and the balloon is used strictly for distraction after which it is deflated and removed.
Much of the prior art devices and methods contemplate free injection of biomaterial into a spinal space which may lead to uncontrolled leakage. The art also describes injection of the material into a deflated balloon, which requires leaving the balloon inside the disc space. Lastly, some methods require insertion under high pressure, thereby creating a potential for the prosthetic fluid to ooze or seep out of the disc space intra-operatively.
There is therefore a need for a system and method for introducing a biomaterial into a spinal space that is not prone to the problems of the prior art, especially the leakage problem experienced by the high pressure injection systems. This need extends to systems that can be easily utilized in a minimally invasive procedure.
SUMMARY OF THE INVENTION
The present invention contemplates a modular injection needle assembly. The assembly includes an injection needle which includes an injection cannula for introduction of a fluent biomaterial, such as an injectable nucleus material, into a disc space. The injection needle may also include a vent cannula for venting fluid from the disc space as it is being filled with the biomaterial.
The injection needle is provided with a stop that is integral with or fastened to the needle. The stop may be positioned at different distances from the distal end of the needle. In one embodiment of the invention, a kit is provided with a selection of injection needles with stops at these different distances.
A mountable and removable seal is also provided with the injection needle assembly. The seal is configured to seat against the stop and maintain its position until removed after the procedure is complete. The invention contemplates a variety of seal configurations from which the surgeon may select a configuration that is optimum for the particular surgical procedure and disc anatomy. The variety of seal configurations includes cylindrical and elliptical seals and cup-shaped seals that are configured for fluid-tight contact with the outer surface of the annulus. The variety of seals also includes conical seals that are configured to be pressed into an opening in the annulus. In a further alternative, the seals may include self-anchoring features, such as external threads on the conical seals.
The variety of seals may be provided in a kit, along with the selection of injection needles. Thus, the surgeon may create an injection needle assembly that is optimized for the patient and the procedure.
DESCRIPTION OF THE FIGURES
FIG. 1 is an enlarged pictorial view of a vented injection needle for introduction of curable biomaterial into a disc space.
FIG. 2 is a front perspective enlarged view of the vented injection needle shown in FIG. 1 .
FIG. 3 is a lateral pictorial view of the spine with an injection assembly positioned to introduce a curable biomaterial into an affected disc in a percutaneous procedure.
FIG. 4 is an enlarged view of the disc shown in FIG. 3 with the injection needle and docking cannula of the injection assembly positioned within the disc annulus.
FIG. 5 is an enlarged view of a disc with a docking cannula according to a further embodiment with the injection needle extending therethrough into the disc space.
FIG. 6 is an enlarged cross-sectional view of the docking cannula and injection needle depicted in FIG. 5 .
FIG. 7 is an enlarged view of a disc with a docking cannula according to a further embodiment with the injection needle extending therethrough into the disc space.
FIG. 8 is an enlarged cross-sectional view of the docking cannula and injection needle depicted in FIG. 7 .
FIGS. 9( a )- 9 ( g ) are perspective views of an injection needle assembly with a modular seal in accordance with the present invention, and of several modular seals for use with the needle assembly.
FIGS. 10( a )- 10 ( b ) are side and top views of the injection needle assembly shown in FIG. 9( g ).
FIGS. 11( a )- 11 ( d ) are side, perspective, top and cross-sectional views of a stop mounted to the injection needle of the assembly of FIGS. 9-10 .
FIGS. 12( a )- 12 ( b ) are perspective and cross-sectional views of a cylindrical seal for use with the needle assembly shown in FIG. 9 .
FIGS. 13( a )- 13 ( b ) are perspective and cross-sectional views of a cup-shaped seal for use with the needle assembly shown in FIG. 9 .
FIGS. 14( a )- 14 ( c ) are perspective, top and cross-sectional views of an elliptical seal for use with the needle assembly shown in FIG. 9 .
FIGS. 15( a )- 15 ( b ) are perspective and cross-sectional views of a bearing member for use with the elliptical seal shown in FIG. 14 .
FIGS. 16( a )- 16 ( b ) are perspective and exploded views of another cylindrical seal for use with the needle assembly shown in FIG. 9 .
FIGS. 17( a )- 17 ( b ) are perspective and cross-sectional views of the seal body of the cylindrical seal shown in FIG. 16 .
FIGS. 18( a )- 18 ( b ) are perspective and cross-sectional views of a bearing member for use with the cylindrical seal shown in FIG. 17 .
FIGS. 19( a )- 19 ( b ) are perspective and cross-sectional views of the seal body of a conical seal for use with the needle assembly shown in FIG. 9 .
FIG. 20( a ) is a side partial cross-sectional view of an alternative articulating seal assembly with the needle assembly shown in FIG. 9 .
FIG. 20( b ) is a top view of the articulating seal shown in FIG. 20( a ).
FIG. 20( c ) is an end view of the needle in the assembly of FIG. 20( a ).
FIG. 20( d ) is an end view of the assembly shown in FIG. 20( a ).
FIG. 21( a ) is a side view of the articulating seal assembly shown in FIG. 20( a ) with the seal oriented at an angle relative to the needle.
FIG. 21( b ) is a side view of the articulating needle assembly shown in FIG. 20 .
FIGS. 22( a )- 22 ( c ) are side, cross-sectional and perspective views of a self-anchoring seal for use with the needle assembly shown in FIG. 9 .
DESCRIPTION OF THE PREFERRED EMBODIMENTS
For the purposes of promoting an understanding of the principles of the invention, reference will now be made to the embodiments illustrated in the drawings and described in the following written specification. It is understood that no limitation to the scope of the invention is thereby intended. It is further understood that the present invention includes any alterations and modifications to the illustrated embodiments and includes further applications of the principles of the invention as would normally occur to one skilled in the art to which this invention pertains.
In a particular procedure that may incorporate the present invention, an injectable nucleus is surgically introduced into the spine as a replacement for or augment to the natural nucleus pulposus. The injectable nucleus is preferably a curable biocompatible polymer with properties that emulate those of the natural human disc. A suitable injectable nucleus material is disclosed in U.S. Pat. Nos. 6,423,333; 6,033,654; and 5,817,303, which issued to Protein Polymer Technologies, Inc. The disclosures of these patents are incorporated herein by reference. These patents disclose a proteinaceous curable polymer that has physical properties close to those of the human disc nucleus pulposus and that includes certain adhesive properties that allow the polymer to adhere to the disc annulus and any remaining disc nucleus pulposus.
In a first step of the technique, the constituents of the injectable nucleus material are prepared in a mixing system, such as the mixing system disclosed in co-pending, commonly assigned patent application Ser. No. 10/803,214, entitled “Systems and Methods for Mixing Fluids”, the disclosure of which is incorporated herein by reference. The mixing system is placed on the sterile table until it is needed for the mixing and injection step.
Where the biomaterial is an injectable nucleus, access to the intradiscal space is required. While many surgical approaches may be used, in one specific embodiment, the surgeon will use an extraforaminal mini-open approach to the disc. This may be either by a lateral retroperitoneal approach or a paramedian approach through the paraspinal muscles of the back. Access to the nucleus is gained through an extraforaminal annulotomy, so as to not expose the spinal canal or foramen to any undue risk. The annulus is identified and a minimal annulotomy is performed to gain access to the intradiscal space. The nucleus pulposus is then partially or completely removed using known techniques, such as using pituitary rongeurs and/or curettes. The nucleotomy should be fully irrigated once all loose fragments have been manually removed.
Once a predetermined amount of disc nucleus is removed, the size of the space may be verified, such as by visualization and/or use of a saline injected balloon. When the disc space is ready to receive the injectable nucleus, the disc space may be distracted using several techniques. In one technique, distraction of the disc is accomplished using a non-compliant inflatable spherical balloon, such as a 15 mm diameter spherical balloon.
Once the desired amount of distraction has been obtained, the distraction tool, such as the spherical balloon, may be removed from the disc. At this point, a trial balloon may be used again to estimate the volume of injectable nucleus needed to the fill the distracted space.
With the disc space maintained in distraction (whether by physical positioning of the patient or by external instrumentation), the injectable nucleus composition may be mixed and injected into the disc space. Thus, an injection needle may be provided as part of an injection assembly 40 , as shown in FIG. 1 . Details of the injection assembly 40 may be gleaned from previously incorporated co-pending application Ser. No. 11/170,010, and particularly the description associated with FIGS. 13-16 thereof, the disclosure of which is incorporated herein by reference. The injection needle 42 extends through a seal element 46 that is configured to provide an essentially fluid tight seal against the disc annulus A. A vent 44 also extends through the seal 46 . The seal 46 is shown in more detail in FIG. 2 . In a particular form of the construction, the seal 46 includes a body 48 that is preferably formed of a resilient material that can be compressed slightly under manual pressure to conform to the irregular external surface of the disc. The body 48 defines a sealing face 50 that bears against the disc annulus A ( FIG. 1 ) to create a fluid tight seal.
Extending from the sealing face 50 is an engagement boss 52 . The boss 52 is preferably configured in accordance with the shape of the annulotomy cut into the annulus. As illustrated in FIG. 2 , the boss 52 is also cruciate in shape with wings 53 that are sized to fit within corresponding legs of a cruciate cut into the annulus A. The leading edges 53 a of the wings 53 can be rounded to facilitate placement of the boss 52 within the annulotomy.
The vent 44 provides an additional wing 57 for the boss 52 . The wing 57 includes a channel 58 that integrates with the hollow vent 44 . Preferably, the vent wing 57 is co-extensive with the other wings of the boss 52 . Alternatively, the working end of the wing 57 can project slightly farther into the disc space. The injection needle 42 feeds to a channel 55 defined in the boss 52 to provide a pathway for the injectable nucleus into the disc cavity.
In accordance with another aspect of the procedure, the needle is introduced through the annulotomy, while carefully retracting the nerve root, until the seal 46 seats against the annulus. Preferably, the needle is positioned so that the vent 44 is facing upward during the injection, as depicted in FIG. 1 . Pressure is applied to the seal 46 to ensure that no injectable nucleus leaks out between the seal and annulus. Preferably, this pressure is applied manually by the surgeon by simply pressing the injection catheter 42 toward the annulus. Since the injectable nucleus injection occurs at low pressures, the amount of force required to maintain a fluid-tight seal between the seal face 50 and the annulus is minimal.
The injectable nucleus is injected into the space until injectable nucleus is seen flowing through or out of the vent tube. At this point, the injection is stopped and the needle is held in place until the injectable nucleus takes its initial set. A microscope or loupe may be used to visualize the injection process. The injectable nucleus composition is preferably allowed to substantially completely cure before the injection needle assembly 40 is removed and the surgical site is closed. The cure period depends upon the particular injectable nucleus material. For the specific proteinaceous polymer discussed above, the cure period is a minimum of about five minutes.
The seal 46 is formed of a resilient and deformable material so that it can be compressed against the annulus A to form a fluid tight seal. In a particular form, the seal 46 is formed of SILASTIC® or a similar elastomeric material. The seal 46 in the illustrated embodiment is cylindrical with a circular sealing face 50 ; however, other configurations are contemplated provided they can adequately conform to the outer surface of the disc annulus.
The procedures described heretofore are particularly well suited for open surgical procedures where a microdiscectomy is performed to remove all or a portion of the disc nucleus. One such procedure is for the treatment of degenerative disc disease (DDD) where a total or partial nucleotomy is indicated. In such an open procedure access to the spinal disc is accomplished through an incision made through the skin and subcutaneous body tissue down to the surgical site is displaced and retracted. In the case of DDD, the annulus is typically relatively intact so that a minimal annulotomy is required to gain access to the intradiscal space. It is preferred that the opening is as small as feasible to minimize damage to the annulus. In one embodiment, access can be via a K-wire over which a dilator, or a series of dilators, is passed. However, the nucleus pulposus may be significantly under-hydrated or may contain fissures throughout the nucleus material, producing patient pain and giving rise to the need for a total or substantially total discectomy.
In such a DDD procedure, in addition to the steps described hereinabove, the surgeon may also chose to perform an intraoperative step of determining the integrity of the annulus, to confirm that the annulus is competent to withstand the distraction and injectable nucleus injection pressures. To accomplish this test, upon completion of the partial or total nucleotomy and creation of an intradiscal space within the disc annulus, a saline solution may be injected into the intradiscal space through the annulotomy opening. A saline solution is preferred since it is relatively easy to aspirate for removal from the intradiscal space. However, other suitable solutions may also be used. The saline solution may be injected through a vented needle, in design and construction similar to the needle 40 shown in FIGS. 1-2 . When the saline injection is under relatively low pressure (on the order of 25-40 psi under thumb pressure from the syringe and pressing the seal 46 against the external surface of the annulus), this step evaluates the integrity of the disc annulus—i.e., detects whether fissures or rents may be present in the annulus. This detection may be by tactile feel and/or by observation of leakage only at the injection needle site.
Alternatively, or additionally, the injected saline solution may be used to determine the volume of the disc space to be filled with injectable nucleus material. If preferred, a trial balloon may be used to ascertain the volume of the intradiscal space to be filled. After the annulus integrity and volume tests have been completed, suction is applied to aspirate the nuclear cavity and a surgical swab may be used to wick away excess moisture that may interfere with the injection of the injectable nucleus material. Thereafter, the surgeon may use a distraction balloon to apply a distraction force within the intradiscal space to distract the opposing vertebral bodies on either side of the intradiscal space, further separating apart such vertebral bodies. A subsequent saline test may be conducted to further verify the integrity of the annulus. The injectable nucleus may then be sealably injected under pressure using the vented needle 40 as described hereinabove. Such injection of injectable nucleus is preferred to be at a pressure that is not greater than the pressure under which the saline solution is injected and is typically on the order of 25-40 psi. While the saline solution has been described as preferably being injected with a vented needle such as described herein, it should be appreciated that a needle without a vent, but with a sealing element, could also be used in the practice of the annulus integrity test.
Other open surgical procedures are also contemplated, such as an adjunct to microdiscectomy (AMD) procedure. An AMD procedure is indicated where a total discectomy is not required, or more particularly where only a partial discectomy is necessary to restore normal or near normal function to the affected disc. In a typical case, the affected disc has a herniation or tear in the disc annulus. Access to the intradiscal space is thus available through the tear in the annulus.
Prior to the start of the surgery, the injectable curable polymer constituents are pre-loaded into the mixing assembly, as described above, and left on the sterile instrument table until the appropriate time for injection of the injectable nucleus material. The surgeon uses a traditional open or microdiscectomy technique of preference for access to the disc herniation site. Typically, the patient will be placed on a laminectomy frame in the prone position with the spine flexed to aid intraoperative exposure. The ligamentum flavum and laminar edge are identified. A hemilaminectomy/medial facetectomy may be performed as necessary, with the aid of lateral fluoroscopy. Exposure of the hernia proceeds in a known manner, taking care to protect the dura and nerve root. The epidural space is explored to ensure that all disc fragments have been identified.
Once the disc herniation has been identified, a determination is made as to whether a further annulotomy is needed for improved access. If so, an annulotomy may be performed as described above. The herniated disc tissue is then removed according to known techniques, such as using pituitary rongeurs and/or curettes. Laminar distraction and/or flexion of the hips can be used to aid in exposure of the hernia site. In addition, distraction of the affected disc may be desired to improve the stability of the disc. This distraction may be accomplished using any of the techniques described above. If sufficient disc tissue has been removed around the herniation site, a distraction balloon may be used, provided that the balloon is removed once the desired distraction has been achieved.
The balloon distraction may also be supplemented in a two stage distraction technique described as follows. After a total or partial nucleotomy has been performed, in the first stage, a distraction balloon is inserted into the intradiscal space. The balloon is then inflated to gain distraction of the anterior column of the disc space.
In the second stage, a secondary distraction instrument is introduced to act on any posterior bony structures at the particular intervertebral level in accordance with known surgical techniques. The secondary instrument is used to obtain distraction of the posterior column at an appropriate amount decided by the surgeon. The nature and amount of this second stage distraction may increase the overall amount of distraction of the total space, change the lordotic angle at the intervertebral level or cause no appreciable increase in the overall distraction of the space.
Once the appropriate amount and type of secondary distraction has been obtained, the first stage distraction balloon is removed, while the secondary instrument remains in place to prevent any loss of distraction that may occur. With the distraction balloon removed, the injectable nucleus may be injected as described above. After suitable distraction has been achieved, a saline solution as described above with respect to the DDD procedure may be injected through a vented needle into the intradiscal space to check the integrity of the annulus and to determine that there are no other leakage paths, as well as to estimate the volume of the intradiscal space to be filled. While this annulus integrity test is described as being conducted after distraction, it may also be done after removal of nucleus and prior to distraction.
When the nuclear cavity has been prepared, the surgeon mixes the injectable nucleus constituents, as described above, to prepare the injectable nucleus material for injection. An injection needle (which is not required to be a vented and sealed needle) is introduced through the opening in the annulus until the needle tip reaches the far side of the cavity. As the injectable nucleus material is injected, the needle is preferably angled side-to-side and gradually withdrawn toward the annulus to ensure a complete fill of the space. When the injectable nucleus material is detected at the inner border of the annulus opening, the injection is stopped and the needle is removed from the site. Alternatively, a vented needle 40 with a seal 46 may be used, such as where the rent through the annulus is relatively small and not too irregular. With a vented needle 40 , the injection is stopped when the injectable nucleus material is seen at the vent. It is contemplated that the injectable nucleus material will be injected under pressure, typically on the order of 25-40 psi, to ensure complete fill of the cavity, with the seal 46 of the vented needle 40 being pressed against the annulus during injectable nucleus injection.
Another procedure for percutaneous direct injection of a curable biomaterial for treatment of degenerative disc disease is indicated where the disc annulus is generally intact, but the nucleus pulposus has been compromised, either by dehydration or the creation of fissures and the patient suffers from significant pain. In some DDD procedures, for example, as described hereinabove, some or all of the nucleus is removed to create an intradiscal space for injection of curable biomaterial. The defective or degenerated nucleus is not removed, but is instead augmented by a curable biomaterial or injectable nucleus material in a percutaneous procedure.
In a percutaneous procedure, access to the spinal disc is achieved simply by introduction of a relatively small and sharp cannulated device, which may include a needle, through the skin and body tissue down to the surgical site under fluoroscopy or by using other conventional surgical navigation techniques. No incision is made nor is any body tissue retracted. Further, injection is continued by insertion of the cannulated device through the annulus into the nucleus pulposus, preferably without additional dilators and without removing any of the annulus tissue. As such, a percutaneous procedure provides a minimally invasive approach to treating DDD conditions.
In accordance with the percutaneous procedure, the injectable nucleus material is prepared in the same manner described above, with the loaded mixing assembly and crosslinker syringes made available on a sterile instrument table until the appropriate time for injection of the injectable nucleus material. In particular, an injection assembly 70 shown in FIG. 3 may be used to accomplish the injection step. Details of the injection assembly may be obtained from previously incorporated co-pending application Ser. No. 11/170,657 with particular attention to FIGS. 19-20 thereof, the disclosure of which is incorporated herein by reference. The assembly 70 includes a sharp cannulated device, such as a thin-walled docking cannula 72 with an integral mating hub 76 . In this particular construction, the cannula 72 has a relatively smooth outer surface and substantially constant outer and inner diameters along its length. An injection needle 74 ( FIG. 4 ) is slidably disposed within the docking cannula in a relatively close dimensional fit. The needle 74 is integral with a hub 78 that may be configured to mate with the hub 76 of the cannula. A stopcock valve 80 is fluidly connected to the hub 78 , and the injection syringe 82 is configured to engage the stopcock valve in any known manner effective to create a fluid tight connection.
The patient is preferably placed in a prone position on an appropriate conventional Andrews frame or equivalent table, in the proper lordotic posture with the hips flexed to aid in the exposure of the posterior disc. The docking cannula 72 is introduced to the disc in an extraforaminal location using a typical posterolateral discography approach. A guide stylet may extend through and be disposed in the cannula to assist in passing the cannula through the body tissue to the disc annulus A. Once the docking cannula is properly docked within the annulus, it forms a substantially fluid-tight interface with the disc annulus. Since the procedure does not require an annulotomy, the elasticity of the annulus and other tissues surrounding the disc cause those tissues to compress around the cannula 72 to create a seal. Once the cannula 72 has been docked within the annular wall the injectable nucleus may be prepared and injected under pressure into the nucleus pulposus to fill all voids, interstices and fissures that may exist in the existing nucleus. When the polymer cures in situ, it adheres to the existing natural disc material for essentially seamless integration with the existing disc nucleus, thereby substantially restoring the normal disc function.
Once the desired amount of injectable nucleus material has been injected, the stopcock valve 80 is closed to maintain the fluid pressure. The injection assembly 70 is preferably held in place during the minimum cure time, which is about five minutes in the specific embodiment. After the initial cure period, the injection needle is removed. The natural disc and augmenting injectable nucleus material will collapse to fill the minimal channel left by removal of the injection needle 74 .
While the injection assembly 70 has been described herein as including the docking cannula 72 and a separate injection needle 74 , it should be understood that other injection alternatives are contemplated. For example, in certain situations where perhaps the surgeon has more time to inject a curable material than the particular embodiments described, the needle 74 itself may be directly injected without use of the docking cannula 72 .
In an alternative approach depicted in FIGS. 5-6 , a docking cannula 90 may be provided that includes a threaded tip 92 . The threads are configured to pierce the annulus as the docking cannula 90 is rotated. With this alternative, the hub may be modified from the hub 76 of the cannula 72 to provide a gripping surface suitable for manual threading of the cannula 90 into the disc annulus. Thus, the threaded cannula 90 may provide a more positive anchoring of the cannula 90 to the annulus. In addition, a seal may be provided between the threaded tip 92 and the wall of the annulus since the cannula 90 is threaded into the annulus without an annulotomy being performed. As such, it is considered that such a threaded cannula 90 would allow injection of curable biomaterial at pressures greater than 160 psi and potentially up to as high as 200 psi.
In a modification of the threaded docking cannula 90 , a flange 95 may be defined on the cannula, as depicted in phantom lines in FIG. 6 . This flange 95 may act as a stop to control the amount of insertion of the threaded tip 92 into the disc annulus. The flange may also assist in providing and maintaining a fluid-tight seal at the opening formed in the annulus. The flange may also include a fitting, such as a Luer lock fitting, to mate with the hub 78 of the injection needle. In this case, the fitting is preferably sized so that the fitting is accessible outside the percutaneous wound in the patient. Such a flanged cannula may have particular application in the open DDD and/or AMD surgical procedures described hereinabove.
In a further modification, a threaded docking cannula 100 , depicted in FIGS. 7-8 , includes an expandable flange 106 . The cannula includes a cannula body 102 terminating in threads 104 for engagement within the disc annulus, as with the embodiments described above. The expandable flange 106 is interposed between a fixed collar 108 and a sleeve 110 that is slidably disposed about the cannula body 102 . The expandable flange is configured to have an un-expanded condition 106 , as shown in FIG. 7 and then to move to an expanded condition 106 ′, shown in FIG. 8 , upon pressure from the sleeve 110 . In a specific embodiment, the flange 106 is formed of a resilient material that deforms when pressed by the sleeve but returns substantially to its un-expanded condition ( FIG. 7 ) when the pressure is removed. In its un-expanded condition, the flange 106 has a small enough outer profile or diameter to be used percutaneously.
In the previous embodiments, the sealing element of the injectable nucleus injection device is fixed relative to the injection tube or cannula. These devices are therefore limited to a particular needle length. Variations in needle length may allow a surgeon to introduce the injectable nucleus at a desired location within the disc. Moreover, different needle lengths may be necessary to account for variations in patient anatomy. Similarly, the devices described above include a certain seal geometry. However, in some procedures, the anatomy of the disc, and particularly the disc annulus, may require a more specialized seal configuration to effectively seal around the disc access opening. For instance, in an open DDD procedure, an annulotomy is used to form a controlled access opening in the annulus. On the other hand, in an AMD procedure, access to the disc nucleus may be through an irregular opening in the annulus that may be the result of a tear or rupture. The injection seal that is suitable for the DDD procedure may not be sufficient for the AMD procedure. Other variations in disc anatomy may dictate or restrict the geometry of the seal that is acceptable.
Thus, the present invention contemplates a modular injection needle and seal apparatus. In particular, a modular injection apparatus 200 shown in FIG. 9( g ) includes an injection needle 210 with a modular seal 220 mounted thereon. The needle 210 may be configured like the needle 40 described above, namely including a primary cannula 212 through which the injectable nucleus may be injected and a secondary vent cannula 214 . As shown in FIGS. 10( a )-( b ), the primary cannula may terminate in a fitting 213 for engagement to a source of injectable nucleus fluent material. Similarly, the vent cannula 214 may also terminate in a fitting 215 for engagement to a reservoir for receiving fluid venting through the cannula. It should be understood, however, that in some applications the injection needle 210 may be used only with a primary cannula 212 without the vent cannula 214 .
As further shown in FIGS. 10( a )-( b ), the injection needle 210 includes a stop 217 connected to the needle offset from the distal end 211 of the needle. The stop 217 is positioned at a distance L ( FIG. 9( g )) from the distal end. This distance varies among a selection of injection needles 210 from a base location (0 mm) to a farthest upstream position (15 mm in the illustrated example). The selection of injection needles may have the stop 217 located at 5 mm increments from this base location. Thus, in the illustrated example, the selection of injection needles 210 will have the stop 217 located at 0 mm, 5 mm, 10 mm and 15 mm. The base location (0 mm) is preferably established so that the distal end 211 extends just inside the interior surface of the disc annulus A ( FIG. 1) when the seal 220 is engaged to the outer surface of the annulus. The base location is preferably indexed to a minimum expected thickness for the disc annulus. The alternative stop positions may thus account for variations in annulus geometry or may position the distal end 211 at variable incursions into the interior of the disc space.
As shown in the detail views of FIGS. 11( a )-( d ), the stop 217 includes a contoured surface 218 which is preferably defined at a spherical radius. This contoured surface engages the seal, as described herein. The stop further defines an opening or bore 219 therethrough that is configured to conform to the outer surface geometry of the injection needle 210 . Thus, the bore 219 includes a larger portion 219 a that is sized to snugly receive the primary cannula 212 and a smaller portion 219 b that is sized to snugly receive the secondary vent cannula 214 . The stop 217 is connected to the injection needle 210 in a manner so that the stop cannot slip along the needle when the seal 220 is pressed between the stop and the disc annulus. Moreover, it is preferable that the stop be connected to the needle in a fluid-tight manner so that no fluid (or no appreciable amount of fluid) may leak between the stop and needle. Thus, in a preferred embodiment the stop 217 is affixed in a conventional manner, such as by welding or bonding. Other forms of connection are contemplated provided that the stop cannot slip proximally along the needle and provided that a fluid-tight connection is ensured.
Returning to FIGS. 9( a )-( f ), various seal configurations are shown for use in the needle assembly 200 . The configuration of the seals may vary to accommodate different surgical procedures and different disc anatomies. For example, three seals 221 , 222 and 223 in FIGS. 9( a ), 9 ( b ) and 9 ( c ), respectively, including corresponding sealing surfaces 221 a , 222 a and 223 a that are optimally configured for use in AMD procedures. As explained above, in a typical AMD procedure, the disc access is obtained through an existing tear or rupture in the disc annulus. In this case, the irregularity of the opening in the annulus requires a greater coverage area for the seal. Thus, the sealing surface 221 a of the seal 221 provides a circular coverage area at a relatively large diameter, about 9.5 mm in the illustrated embodiment, as shown in the detail views of FIGS. 12( a )-( b ). Likewise, the cup-shaped sealing surface 222 a of the seal 222 may be provided in the same diameter, as shown in FIGS. 13( a )-( b ). For cases in which the opening in the annulus is in the nature of a tear, an elliptical sealing surface 223 a of the seal 223 in FIGS. 14( a )-( c ), may be provided. The elliptical shape of sealing surface 223 a also allows for greater potential angulation of the injection needle 210 while still sealably covering an irregular opening in the annulus.
As described above, the typical DDD procedure involves providing a prepared access opening through the annulus. Thus, the opening may be more readily controlled and sized to receive the injection needle 210 . In certain cases, the controlled opening may have a diameter of about 2.5 mm, or less than about 5.0 mm. This controlled access opening size permits the use of a smaller seal, such as the circular seal 225 shown in FIGS. 16-18 . This seal may have an outer diameter of about 6.5 mm. Alternatively, since the prepared opening in the annulus in a DDD may be made circular (as opposed to the irregular openings encountered in an AMD), the seal may be conical, like the seals 226 and 227 of FIGS. 9( e )-( f ). As shown in the detail view of FIGS. 19( a )-( b ), the sealing surfaces 226 a , 227 a and 228 a of these seals may taper from a diameter of 3 mm to a diameter of 6.5 mm. The taper may be at a 30° or a 45° angle, for example, with commensurate adjustments in the overall length of the seal.
In certain embodiments, the interface between any of the seals 220 - 227 and the stop 217 may be fixed—i.e., the seal is pressed onto the needle 212 and against the stop 217 in a manner that does not permit any relative angulation or articulation. In these embodiments, the surface 218 of the stop 217 may be generally flat to bear against an interior surface of the seal, such as surface 230 of the seal 221 shown in FIG. 12( b ). However, it is preferable that the interface between the seal and the needle accommodate some articulation since some manipulation of the injection needle within the disc may be desirable. For instance, movement of the distal end 211 of the needle 210 may be desirable to direct the fluent material, or injectable nucleus material, throughout the disc space. In this case it is important that the seal 220 maintain fluid-tight contact with the disc annulus.
Thus, in certain embodiments a bearing element 240 , as shown in FIGS. 16( b ) and 18 , may be disposed in the body of the selected seal in which the bearing element includes a complementary contoured surface 246 adapted for articulating contact with the surface 218 of the stop 217 ( FIG. 11) . Thus, for the spherical contoured surface 218 , the complementary contoured surface 246 of the bearing element is preferable a spherical convex surface, as illustrated in FIG. 18 . The bearing element 240 includes a circumferential flange 242 and a cylindrical portion 244 in which the convex surface is defined. A tapered exit surface 248 is defined in the flange 242 , as shown in FIG. 18( b ), to provide clearance for the needle 210 as it moves through a spherical angle. In the illustrated embodiment, the exit surface may be tapered at a 60° spherical radius.
The body of the seal, such as seal 225 shown in FIGS. 9( d ) and 17 , is configured to receive the flange 242 . Thus, in the illustrated embodiment, the seal defines an internal groove 231 at the mating surface 230 . The internal groove is sized to receive the flange 242 in fluid-tight engagement. Similarly, the seal 225 defines a cylindrical bore 234 for fluid-tight engagement around the cylindrical portion 244 of the bearing element 240 . The central bore 232 extends through the seal to receive the needle 210 , as described above.
The body of the seals 221 - 227 may be similarly configured to receive a corresponding bearing element 240 . The elliptical seal 223 may incorporate a modified bearing element 240 ′, as shown in FIG. 15 , to interface with the elliptical interior features 230 ′, 231 ′ and 234 ′ of the seal 223 illustrated in FIG. 14 . However, the bearing element 240 ′ includes the same spherical convex interior surface 246 for articulating engagement with the surface 218 of the stop 217 .
Since the seals 221 - 227 are intended for fluid-tight engagement to the disc annulus the seals are preferably formed of a resilient conformable or compliant biocompatible material. Most particularly for the seals 221 , 222 , 223 and 225 , the seal material must be compliant enough to conform to the surface of the annulus under manual pressure. Thus, in one embodiment, the seals are formed of a resilient polymer, such as silicone. In one specific embodiment, the seal is formed of Dow Corning MDX4-4210 silicone. It can be appreciated that the conical seals 226 and 227 may also be formed of the same compliant and resilient material; however, since the body of the conical seals is intended to be engaged within the opening in the annulus the need for the seal to conform to the annulus is less critical. Thus, for the conical seals 226 and 227 , the body of the seal may be formed of a more rigid biocompatible material, such as a high density plastic or resin, or a metal such as stainless steel.
Since the stop 217 and bearing element 240 are intended to articulate in bearing contact, these components are preferably formed of a bearing material, such as 304 stainless steel. Alternatively, these elements may be formed of a high density plastic or resin suitable for bearing contact, such as DELRIN® acetal resin.
In accordance with one aspect of the invention, a kit of modular needle components may be provided. In particular, several needles 210 having different stop locations may be provided in the kit. Likewise, a selection of seals may be provided in the kit, including the seals 221 - 227 and variations thereof. The kit allows the surgeon to defer the selection of the injection needle assembly until the nature of the injectable nucleus injection procedure is ascertained. In other words, the surgeon may determine whether an AMD or a DDD procedure is indicated and evaluate the disc anatomy to determine what combination of needle and seal is appropriate. Once the selection is made, the seal 220 is easily slid onto the distal end 211 of the needle 210 until the seal contacts the stop 217 . In use, the surgeon may maintain manual pressure on the needle assembly 200 to press the seal against the disc annulus.
Referring to FIGS. 20-21 , an articulating modular seal 250 is provided that permits a wider range of angulation between the seal and the cannula. The seal assembly 250 includes a substantially spherical ball 252 that is affixed to the injection needle 210 that operates as the stop. In one embodiment, the ball 252 is formed of a bearing material, such as 304 stainless steel, and is suitably affixed in sealed engagement to the injection cannula 212 and the vent cannula 214 . The ball may define bores 253 through which the injection needle 210 is inserted and welded in position. It is understood that the ball 252 operates as a stop, similar to the stop 220 affixed to the injection needle shown in FIGS. 9-10 as described above.
In this embodiment, the modular seal 250 incorporates a snap-fit or press-fit engagement between the seal and the ball/stop. Thus, the modular seal may include a seal 254 that incorporates a cap or collar 256 configured to be fixed in bearing contact with the ball 252 . The cap 256 may thus include a spherical cavity 257 a that terminates in an upper lip 257 b . The cavity and lip are configured to capture the ball therein in a snap-fit or press-fit engagement. Thus, the lip 257 b is configured so that over half of the ball 256 is captured within the spherical cavity 257 a . The cap 256 may be provided with slits 258 that separate as the ball is pressed past the lip 257 b into the cavity 257 a.
The seal 254 further includes a seal body 260 that may be configured like any of the seals 221 - 225 illustrated in FIG. 9 . The body 260 preferably defines a cavity 262 as shown in FIG. 21( a ) that is positioned over the opening in the disc annulus. The cavity further includes an angled wall 264 that provides clearance for the injection needle 210 as the seal and needle are pivoted relative to each other. Thus, in one specific embodiment, the injection needles 210 may be manipulated through a 20° spherical angle as the injectable nucleus material is introduced through the cannula 212 . Of course, as with the prior embodiments, the modularity of the modular seal 250 contemplates a selection of seals 254 and a selection of injection needles 210 with different positions for the ball stop 252 , as described above.
In an alternative embodiment, the seal may incorporate self-anchoring features—i.e., features that temporarily anchor the seal to the disc annulus in a fluid-tight connection. One such seal is the seal 270 shown in FIG. 22 . This seal may be a modification of the seal 226 or 227 shown in FIGS. 9 and 19 . In particular, the seal 270 includes a conical body 272 that is adapted to be pressed into the prepared opening through the disc annulus, as might arise in an AMD procedure. Threads 274 are provided on the conical body for threaded engagement within the annulus to anchor the seal as well as the injection needle to the disc. In practice, the needle, with the seal mounted thereon, is introduced through the opening in the annulus until the threads of the seal contact the opening. The seal 270 may then be manually rotated to engage the opening and advance the seal farther into the annulus.
While the invention has been illustrated and described in detail in the drawings and foregoing description, the same should be considered as illustrative and not restrictive in character. It is understood that only the preferred embodiments have been presented and that all changes, modifications and further applications that come within the spirit of the invention are desired to be protected. | A kit for injecting a biomaterial into an intradiscal space accessed through an opening in the disc annulus comprises a plurality of needles, each sized for introduction through the annulus opening with a passageway for injecting the biomaterial therethrough, and each including a distal end to be disposed within the intradiscal space when the needle extends through the annulus opening. Each needle includes a stop affixed thereto at different pre-determined distances from the distal end to define the location of the distal end within the intradiscal space when the needle extends through the opening in the annulus. The kit further includes a plurality of seals defining a bore for sliding engagement with a needle, each of the plurality of seals including a sealing face for engaging the annulus around the needle. Each sealing face defines a differently configured area of contact, such as circular, elliptical, tapered and threaded. | 48,918 |