Attorney Docket No. 00599-01
`
`U.S. DEPARTMENT OF COMMERCE
`PATENT AND TRADEMARK OFFICE
`
`PROVISIONAL APPLICATION FOR PATENT
`COVER SHEET
`
`Address to: Box Provisional Application
`Assistant Commissioner for Patents
`Washington, DC 20231
`(703) 308-4357
`
`Certificate Under 37 CFR 1.10
`Date of Deposit: August 23,2000
`I hereby certify that this correspondence is being
`deposited with the United States Postal Service as
`"Express Mail" service under 37 CFR 1.10 on the
`date indicated above addressed to Box Provisional
`Application, Assistant Commissioner for Patents,
`Washin on, DC 20231.
`
`This is a request for filing a Provisional Application for
`Patent under 37 CFR 1.53(c)
`
`Express Mail No. EJ944978262US
`
`...
`
`Inventor(s) and Residence(s) (city and either state or foreign country):
`
`Last Name
`
`Felder
`Graves
`Gunderson
`
`First Name
`
`Middle Initial
`
`City
`
`State or Country
`
`Robin
`Sean
`James
`
`A.
`
`P.
`
`Charlottesville
`Charlottesville
`Charlottesville
`
`VA
`VA
`VA
`
`For: AUTOMATED STORAGE AND RETRIEVAL APPARATUS FOR FREEZERS
`AND RELATED METHOD THEREOF
`
`11
`
`Sheets of specification.
`Sheets of drawings.
`__ _ _ Small Entity Statement.
`Assignment from the inventor(s) with Recordation Form Cover Sheet.
`
`Please charge the Large Entity Fee of$150.00 to Deposit Account No. 50-0423
`
`Please direct all communication relating to this application to:
`Robert J. Decker, Esq.
`Patent Counsel
`University of Virginia Patent Foundation
`1224 West Main Street, Suite 1-110
`Charlottesville, VA 22903 U.S.A.
`
`Telephone: (804) 924-2640
`Fax:
`(804) 924-2493
`
`This invention was made by an agency of the United States Government or under a
`contract with an agency of the United States Government.
`YES o
`NO 181
`Grant No.
`
`Dated: August 23,2000
`
`Respectfully submitted,
`
`Hamilton Ex. 1009
`Page 1
`
`

`
`Attorney Docket No. 00599-01
`
`Automated Storage And Retrieval Apparatus For Freezers
`And Related Method Thereof
`
`BACKGROUND
`The increasing need for high quality hie-repositories in hospitals, research institutions, and
`pharmaceutical clinical research laboratories provides a market for automated ultra-cold storage
`devices that will dramatically reduce operating costs and increase laboratory efficiency. These
`robotic devices will improve sample quality, organize storage, provide rapid access to all
`specimens, and maintain electronic records of all specimens stored within the container. This
`system, designed as a slide-in unit for existing ultra-cold freezers, will keep the majority of the
`hardware in the door and insulated from the freezer compartment, minimizing both the number
`of low-temperature hardware components and the actual alteration to the freezer itself. Only one
`moving component is continuously exposed to the design temperature of -80 C, reducing the cost
`of production. The robotic freezer can operate in a stand-alone mode or can be integrated into a
`completely automated laboratory. It is scalable to meet the needs of small laboratories as well as
`large institutions that will require long-term storage of large numbers of samples.
`
`BRIEF SUMMARY OF INVENTION
`An electro-mechanical apparatus and related method thereof that automatically performs the
`insertion and removal of standard sized sample storage units into the insulated compartment of a
`freezer. The apparatus includes a rotating storage carousel consisting of an annular arrangement
`of vertical racks, to which are mounted standard sized trays. The insertion/retrieval device
`consists of a vertical elevator arranged tangentially to the storage device. This elevator contains a
`pickup tray that can be aligned vertically with any storage location, and either retract a stored unit
`from the storage location, or insert a unit into an empty storage location. The elevator is encased
`in an insulated sleeve, which provides access to the freezer compartment, while protecting the
`electro-mechanical pickup tray from constant exposure to the freezer temperatures. The elevator
`and sleeve can rotate about their vertical axis to align with an access port, which provides for the
`introduction and removal of units from the storage location. This rotation prevents direct
`connection ofthe freezer compartment with external air, a source of heat loss, humidity, and
`thermal shock of the units. This results in improved sample quality, lowered operating costs, and
`reduced maintenance of the freezer.
`
`Also included in the access port is a bar-code scanner for the confirmation of the unique
`identifier associated with each stored unit. The entire apparatus is controlled by a device that
`1) Maintains information relating to the location and contents of each stored unit,
`2) Controls the rotation of the storage device,
`3) Controls the vertical position and rotation of the elevator, and
`4) Controls the bar-code reader.
`
`This controller also provides authentication of the user requests to insert or retrieve units into the
`freezer, supporting both controlled access to the contents, and audit trials of all access and the
`users.
`
`Hamilton Ex. 1009
`Page 2
`
`

`
`Attorney Docket No. 00599-01
`
`BRIEF SUMMARY OF THE DRAWINGS
`Figure 1: Perspective overview of the apparatus
`Figure 2: Plan view of internal components
`Figure 3: Details of Storage tray, and attachment to vertical rack
`Figure 4: Detail of the Vertical Rack
`Figure 5: Detail of Storage Unit
`Figure 6: Detail of Access Port, including barcode reader
`Figure 7: Detail of the Insertion I Retraction Device
`
`DETAILED DESCRIPTION OF THE INVENTION
`
`Overview
`The apparatus and related method thereof relates to an electro-mechanical device and controller
`that provides controlled access to items stored in an upright freezer. It comprises five main sub(cid:173)
`systems:
`1)
`2)
`3)
`4)
`5)
`
`Storage Device,
`Insulated Elevator,
`Pickup Tray and insertion/retraction Device,
`Access Port, and
`Controller.
`
`The entire apparatus is part of a freezer system, designed to operate at -80C, which automatically
`inserts and retrieves items from the freezer compartment.
`
`The general access method is to rotate the storage device until the correct vertical rack is aligned
`with the vertical elevator, then raise or lower the pickup tray to the correct height. The
`insertion/retraction device is extended into the storage device, and the stored item is engaged by
`the insertion/retraction device and retracted from the rack, and is transported to the access port.
`To reduce the exposure of the retrieval hardware to the freezer temperature, the elevator and
`pickup tray and insertion/retraction device are encased in an insulating shell and rotated into the
`retrieval position only after the storage device is correctly aligned and the pickup tray is at the
`correct height. This should reduce the exposure to less than 10 seconds during any retrieval or
`insertion.
`
`2
`
`Hamilton Ex. 1009
`Page 3
`
`

`
`Attorney Docket No. 00599-01
`
`Freezer Compartment
`
`Storage Cylinder
`
`Rotating, Insulated
`Elevator
`
`___ Insertion/Retraction
`Device
`
`Access Port
`
`Barcode Reader
`
`Figure 1: Perspective overview of the apparatus
`
`Benefits
`This apparatus can be designed as a slide-in unit with a door replacement, and can be designed to
`keep the majority of the hardware either partially or totally insulated from the freezer
`compartment. This minimizes both the amount oflow-temperature hardware needed and the
`amount of alteration to the freezer itself. There is only one moving component that is
`continuously exposed to the design temperature of -80C, and this is the rotation shaft and support
`bearings ofthe Rotating Storage Device.
`
`3
`
`Hamilton Ex. 1009
`Page 4
`
`

`
`Attorney Docket No. 00599-01
`
`Pl0n View of Internal CoMpon
`
`s
`
`Figure 2: Plan view of internal components
`
`Storage Device
`The storage system comprises three main sub-components: the storage cylinder with rotational
`drive, the vertical racks, and the individual storage trays.
`
`Storage Trays
`The storage trays provide a support surface and positional guides for the storage units. The
`support trays are attached to the vertical racks by an attachment assembly that prevents the tray
`from either rotating or sliding along the vertical rack.
`
`The attachment assembly compises a threaded slider that travels in a slot of the vertical rack, and
`can be engaged by screws inserted through the channel slot. This allows shelves to be located at
`any position along the vertical rack, providing the ability to adapt the storage system to storage
`items of different heights. This adjustment can be completed with the system in place in the
`freezer.
`
`Figure 3: Details of Storage tray, and attachment to vertical rack
`
`4
`
`Hamilton Ex. 1009
`Page 5
`
`

`
`Attorney Docket No. 00599-01
`
`The open center of the tray allows the introduction of the insertion/retraction device to engage
`the storage units to either slide a unit onto the storage tray, or retract one. The raised guides along
`the sides of the storage tray prevent the storage unit from becoming mis-aligned on the storage
`tray. These raised guides can be stamped out of the tray surface.
`
`Vertical Rack
`
`Storage Trays
`
`Vertical Support
`
`Figure 4: Detail of the Vertical Rack
`
`The vertical racks are built from extruded aluminum. The material is an Aluminum-Magnesium
`alloy, 6063 T6. One critical concern is the behavior of the alloy at the design temperature. The
`alloy has a heat extension of23.8 * 10"6 K"1
`. Given the length of each vertical rack is 48", and
`that the system will undergo a temperature change of
`-105 C, this gives an expected heat
`extension of -0.12" in length, and -0.00275" in width.
`
`Storage Carousel
`The storage device consists of three horizontal, circular plates connected by an annular ring of
`vertical Storage racks. Two of the circular plates form the lower and upper surfaces of the storage
`device, and the third acts as a bearing race to support the storage device while allowing free
`rotation about the vertical axis. The vertical racks are arranged around the circumference of the
`circular plates, and extend vertically from the lower plate to the upper plate. These are oriented
`such that the storage plates face outwards from the central vertical axis, allowing access to stored
`units.
`
`5
`
`Hamilton Ex. 1009
`Page 6
`
`

`
`Attorney Docket No. 00599-01
`
`Carousel
`-----·Tap Plate
`(Transparent for clanty)
`
`Vertical Rack
`
`Motor
`Driveshaft
`
`Freezer Base
`Plate
`
`Figure 5: Detail of Storage Unit
`
`These racks are mounted to the upper and lower plates at two points using right-angle braces.
`The lower connection is to a 60cm diameter aluminum platform, which is driven by a motor,
`allowing the base to rotate about the vertical axis. A second stabilizing plate is used at the top of
`the Vertical Racks. The storage cylinder rests on a PTFE ball bearing system to provide reduced
`friction at low temperatures.
`
`The storage device drive motor will be mounted under the floor of the freezer compartment, and
`the refrigeration equipment will be arranged around the motor.
`
`6
`
`Hamilton Ex. 1009
`Page 7
`
`

`
`Attorney Docket No. 00599-01
`
`Elevator
`
`The pickup is a vertical lead screw that carries
`a pickup tray along with the insertion/
`retraction arm. The entire elevator is mounted
`to allow 120-degree rotation about the
`vertical. This allows the elevator to rotate to
`align with the storage device, retrieve a
`storage unit, and rotate to align with the access
`mechanism. The elevator is encased in a 1 0"
`diameter insulated cylinder, with a vertical gap
`to allow the pickup tray to travel vertically. As
`a result, when the arm is rotated to align with
`the access mechanism, it is insulated from the
`Figure 7: Detail of the Insertion/Retraction Device
`freezer compartment. It is only exposed to the design temperature for a few seconds during
`insertion or retrieval. This allows the use of components not rated for continuous service at -
`80C.
`
`A silicon seal is used to between the moving insulated cylinder and the outside wall of the
`freezer. This seal must accommodate the movement of the cylinder as it rotates to and from the
`plate hotel. If friction is a problem, we can install a pneumatic collapsible seal. Such a seal would
`be collapsed before the cylinder turns and then expanded after the cylinder stops.
`
`Insertion/Retraction Device
`The retractor arm is a narrow sheet metal piece, bent into the form of a shallow 'U'. The width of
`the 'U' allows the upright arms to enclose a storage unit. Hence, if this arm is extended into the
`central gap of a support tray, and raised, the arm will engage the storage unit and allow it to be
`retracted onto the pickup tray. The retraction is accomplished via a horizontally mounted lead
`screw, which runs under the central gap of the pickup tray. The required vertical motion is
`achieved by using the vertical lead screw to raise or lower the pickup tray by 1/8 inch.
`
`Access Port
`The access port integrates a barcode reader with a support tray. It is located at bench height,
`allowing external access by either human or robotic transporters. When a storage unit is placed
`into the access port, the unit barcode is scanned, and a database record is entered logging the unit
`ID and the storage location. The storage unit is retracted onto the elevator and stored. Storage
`unit retrieval is the reverse of this process.
`
`7
`
`Hamilton Ex. 1009
`Page 8
`
`

`
`Attorney Docket No. 00599-01
`
`Rotating, Insulated
`Elevator
`
`Insertion/Retraction
`Device
`
`Barcode Reader
`
`Storage Unit
`
`Figure 6: Detail of Access Port, including barcode reader
`
`Sequence of Operation
`The sequence of operation is as follows. The system begins in its rest state, with the elevator
`aligned with the access port, and the retractor arm extended.
`
`1. Storage Unit is inserted.
`2. Storage Unit's barcode is scanned, and storage location is assigned
`3. Storage Unit is retracted onto pickup tray.
`4. Carousel is rotated to align correct Vertical Rack to the insertion position
`5. Pickup arm is moved vertically to align with correct tray height.
`6. Pickup arm is rotated to align with Vertical Rack (begin low-temp exposure)
`7. Storage Unit is inserted onto Support tray.
`8. Pickup arm is lowered 118 " and retracted
`9. Pickup arm is rotated to align with access port. (End low-temp exposure)
`10. Pickup arm is moved vertically to align with access port, and retractor arm extended (rest
`position)
`
`In the case of retrieval the following occurs:
`1. Storage Unit ID is entered electronically or via keyboard
`2. Storage Unit ID is looked up in the database, and storage location is determined.
`3. If required, an access code is entered and confirmed to allow access to the sample
`4. Carousel is rotated to align correct V-Rack to the insertion position
`5. Retractor arm is retracted, and Pickup arm is moved vertically to align with correct tray
`height.
`6. Pickup arm is rotated to align with V-Rack (begin low-temp exposure)
`7. Retractor arm is extended below Support tray.
`8. Pickup arm is raised 118 inch and Retractor arm is retracted
`
`8
`
`Hamilton Ex. 1009
`Page 9
`
`

`
`Attorney Docket No. 00599~0 1
`
`9. Pickup arm is rotated to align with access port. (End low~ temp exposure)
`10. Pickup ann is moved vertically to align with access port.
`11. Retractor ann is extended. (Rest position)
`12. Storage Unit is scanned, and database is updated
`
`User Interface
`The user interface will be based on a stand-alone PC attached to the system or connected by
`wireless communication. The primary functions will be to insert and retrieve Storage Units. In
`addition, basic summary statistics will be kept, including free space in the freezer, numbers of
`Storage Units, etc. In future versions, a touch-screen interface and an embedded computer would
`replace this PC interface. Various embodiments of software, hardware, or firmware may be
`employed.
`
`CLAIMS
`Provided below, for illustrative purposes only and without limitation, is an exemplary claim
`drawn to an embodiment of the present invention.
`
`A method of storing DNA or other biological specimens in a freezer
`1.
`compartment, wherein said specimens are retrieved from said freezer compartment, said method
`comprising the steps of:
`
`a.
`
`b.
`
`c.
`
`d.
`
`extending an insertion/retraction device into a storage cylinder that is used for
`storing said specimens;
`
`engaging and removing said stored specimens;
`
`transporting said removed specimens to an access port;
`
`scanning said specimens in said access port to provide output data regarding the
`origin and particulars of said specimens; and
`
`e.
`
`storing said output data for use by a controller means.
`
`REFERENCES
`The following references are hereby incorporated by reference in their entirety.
`
`Pat Number Date
`4,678,894
`July 1987
`4,783,740
`November 1988
`August 1989
`4,855,909
`4,870,829
`October 1989
`5,025,140
`June 1991
`
`5,125,240
`
`June 1992
`
`Title
`Sample identification system
`Inventory management system
`Forensic sample tracking system and print station therefor
`Biological freezing apparatus
`Apparatus for receiving articles, storing them after
`processing and subsequently re-issuing them
`Storage apparatus, particularly with automatic insertion and
`
`9
`
`Hamilton Ex. 1009
`Page 10
`
`

`
`Attorney Docket No. 00599-01
`
`5~176,202
`5,233,844
`
`5,546,315
`5,638,686
`
`5,842,179
`
`5,964,095
`
`5,964,562
`
`6,068,437
`
`January 1993
`August 1993
`
`August 1996
`June 1997
`
`October 1999
`
`October 1999
`
`retrieval
`Method and apparatus for use in low-temperature storage
`Storage apparatus, particularly with automatic insertion and
`retrieval
`Simplified storage media library subsystem
`Method and apparatus for cryogenic storage of
`thermolabile products
`November 1998 Method and apparatus for inventorying laboratory
`specimens
`Method and apparatus for cryogenic storage of
`thermolabile products
`Rotating elevator mechanism for article transfer in an
`automated storage system
`Automated laboratory specimen organizer and storage unit
`
`May2000
`
`10
`
`Hamilton Ex. 1009
`Page 11
`
`

`
`Attorney Docket No. 00599-01
`
`Non-Confidential Summary
`
`Increasing demands for long-term, high quality storage of DNA and other biologic specimens can
`be met by automated devices designed and engineered to function at ultra-cold ( -40C - -160C)
`temperatures. In particular, cold storage devices equipped with automation can be cost justified
`due to the fact that automation can provide a more organized storage and retrieval system,
`provide less accumulation of moisture and frost within the cold storage compartment, less
`temperature fluctuations from sample withdrawal, and rapid random access to all specimens. An
`added benefit will be the ability to maintain an up to date record of all specimens stored within
`the container. We have designed an automated freezer to store standardized specimen containers,
`maintain inventory records, and provide fast, controlled, and automated access to all samples
`without causing sample degradation to other samples in the system.
`
`Advantages of the Present Invention, But Not Limited Thereto
`
`More efficient
`Higher sample quality
`Faster retrieval times
`Lower maintenance costs
`Lower operating costs
`Higher security for samples
`Audit trail for legal requirements
`Less wastage of time sensitive samples
`
`11
`
`Hamilton Ex. 1009
`Page 12