AUSTRALIA Patents Act 1990 PROVISIONAL SPECIFICATION FOR A PROVISIONAL PATENT Name of Applicant: RICHARD VAUGHAN AND PENG TJOEAN THE Actual Inventor: RICHARD VAUGHAN AND PENG TJOEAN THE Address for Service: Chrysiliou Law Patent and Trade Mark Attorneys 114-115 Biztek, 20 Dale Street Brookvale NSW 2100 Invention Title: Electronic Identification System The following statement is a description of this invention \\server\e\docs\patents\applications\l 8513.docpy Electronic Identification System Innovative Patent No 2010101223 Technical Field 5 This invention is concerned with an electronic identification system using surface acoustic wave (SAW) devices or tags. In particular, the invention concerns a system which facilitates identification of unique codes or addresses, which use two coding, namely mask and lambda, SAW propagation path crossing buses, and processing of entities carrying such codes or addresses. In one form, the io invention includes biometric identification ability. Background to the Invention SAW technology has developed substantially over the past few years. Passive label interrogation systems employing SAW technology are disclosed in Cole and Vaughan US patents 3,706,094, 3,755,803, 4,058,217 and 4,399,441, 15 and in a later device as disclosed in W090/05409, SAW transponders or tags can take the form of a thin metal film structure deposited on top of a piezo electric crystal substrate without power supply. SAW devices are adapted to receive electromagnetic energy, convert it to acoustic energy, store the converted energy for a period of time, re-convert the stored 20 energy to electromagnetic form and re-transmit the electromagnetic energy. The tags can thus produce a reply signal in response to an interrogation signal from a remote interrogator or scanner. The reply signal can be processed to recover the code unique to the tag or transponder. The early SAW devices used a frequency of 925 Mhz. With recent improvements 25 in photolithography, it is now possible to increase the fundamental frequency used in the SAW arrangements to, for example, between 2.46 GHz and 4.92 GHz and substantially decrease the dimensions required for the piezoelectric substrate. The decrease in dimensions of the substrate allows the costs of the manufacture of the tag to be substantially reduced, whereby the use of such tags in identification systems has become more viable, in that costs are reduced as well as having an identification means which is substantially unobtrusive. Prior to the development of the smaller, less expensive SAW tags, the use of bar codes or RFID tags was deemed more suitable for identification of entities. 5 However, bar codes suffered from the defect that, being mass produced, they were not usually uniquely identifiable but rather identified a class of entities. RFID tags had the drawback that they required an energy source and/or were readable only at short distances. SAW tags, on the other hand, require no wiring or a battery to provide power and to are capable of being read over a significant distance of several metres. It is an object of the present invention, at least in some embodiments, to provide an electronic identification system suitable for accurately identifying an entity and having the ability to prevent double counting of the entity or to, in effect, counteract the normal effect of a second reading of the entity. 15 Biometric identification systems have been known and used in various applications for some years. Biometric identification systems can authenticate, certify, validate and/or identify personal identification in various ways, including through fingerprints and facial recognition. Scanning apparatus for these purposes is also known. 20 It is an object of the present invention, at least in some embodiments, to provide an electronic identification system which can be produced in a version which unites the benefits of SAW tags together the precision of biometric identification, to add one or more extra layers of security. 25 Summary of the Invention Accordingly, in a first aspect, the present invention provides an electronic identification system including: a surface acoustic wave device capable of reflecting a code unique to the device; an interrogator for transmitting an interrogation signal to the device and 5 receiving a response signal including the unique code; An electronic identification system(IES or BASidentity) including; a surface acoustic wave (SAW) device capable of reflecting a code unique to the device that uses two layer lithographic processes, with tap transducers 21, each having a number of interdigitated fingers 22, which is able to encode a 32-bit 10 identifier onto a surface acoustic wave (SAW) device with an interrogator for transmitting an interrogation signal to the device and receiving a response signal to the device including the unique 32-bit identifier code which is able to produce up to and including 232 = 4,294,967,296 tags 15 a data storage means for storing the unique code; means for recording in the data storage means receipt of the received signal by the interrogator for a first purpose; and means for processing a second response signal, received from the device by the interrogator and including the unique code, for a second purpose 20 different from the first purpose. In a second aspect, the invention provides a method for electronic identification including the steps of: An electronic identification system , as mentioned in claim 1 wherein which minimizes SAW reflections using a UHF signal, preferably at 400 kHz, 25 generated by the transceiver and beamed along a conical path with an overall "read angle" of up to 700 ; hence this A/6 transducer structure self cancels finger reflections caused by the discontinuous step functions change in surface mass loading and electrical conductivity as well as places all increased transducers along the single propagation path by increasing 30 the fundamental frequency of 5.6Ghz or higher.
sending an interrogation signal to a surface acoustic wave device capable of reflecting a code unique to the device; receiving a response signal including the unique code; recording for a first purpose in a data storage means receipt of the received 5 signal; transmitting a second interrogation signal to the device; receiving a second response signal including the unique code; and processing the second response signal for a second purpose, different from the first purpose. 10 In a third aspect, the present invention provides an electronic identification system including: An electronic identification system, as mentioned in claim 1, wherein which uses an interrogation signal to the SAW device and receiving the reply signal with the resulting identifier transducer being read as part of a 15 unique serial number of the SAW chip; this code will then be processed and converted into binary or ASCII code for integration by the "apparatus" with our BASidentity biometrics and smartcard software/firmware modules as well as combining this second tier security feature that enables the combined encrypted code to 20 produce a customized code that can only be known to the owner user once a reciprocal challenge response authentication is successful between the user by means of a smartcard reader as well as valid cryptographic keys. 25 a surface acoustic wave device capable of reflecting a code unique to the device; an interrogator for transmitting an interrogation signal to the device and receiving a response signal including the unique code; a data storage means for storing the unique code; 30 a biometric scanning device for receiving biometric identification data; means for comparing the received biometric identification data with stored biometric identification data and accepting or rejecting authentication of the received biometric identification data; and 0 means for comparing the unique code in the received response signal with the data storage means. In a fourth aspect, the invention provides a method for electronic identification including the steps of: 5 An electronic identification system, as mentioned in claim 3 , wherein which the "apparatus" converts the unique code, commencing with analog -to-digital of the unique code of the SAW chip with serial number and BASidentity system software then combines this new code with biometric template or minutia points generated by own algorithm will produce a third 10 tier security feature resulting in the form of a programming command/routine that can only be read by the custom-made "apparatus" consisting of fingerprint scanner, smartcard reader and transceiver. sending an interrogation signal to a surface acoustic wave device capable of 15 reflecting a code unique to the device; receiving a response signal including the unique code; comparing the unique code in received response signal with a unique code in a data storage means; receiving biometric identification data from a biometric scanning device; 20 comparing the received biometric identification data with stored biometric identification data; and outputting information as to whether there is a match between the unique code in the data base and the unique code in the received response signal as well as a match between the received biometric identification data and 25 the stored biometric identification data. The system and method of the invention preferably employs a SAW device operational at a frequency of 2.46 GHz and includes an appropriate antenna, but it is to be understood that any SAW device suitable for the application is within the scope of the invention. 30 Preferably, the code bit capacity of the SAW device is increased using a combination of amplitude and phase modulation.
The SAW device is preferably attached to an entity to be identified. The entity can cover a wide range. Non-limiting examples of entities are as follows: items of merchandise, particularly those to be scanned at checkouts in 5 commercial establishments, tickets providing entry into sports grounds or other restricted-entry arenas, livestock such as cattle, sheep, ,passports, smartcards, smartcard readers with identification capability, eftpos and pressure sensors (application made use of SAW technology. SAW velocities are strongly affected by stresses applied to the piezoelectric substrate on 10 which the wave propagates- SAW pressure sensors are passive (no power required), wireless, low cost, rugged, and extremely small and lightweight, making them well suited for measuring pressure in moving objects (e.g., car and truck tyres). These characteristics offer advantages over technologies such as capacitive and piezoresistive sensors, which require operating 16 power and are not wireless. Such a system allows the driver to view the pressure in each tyre from the comfort car front seat. Correctly inflated tyres lead to improved safety, greater fuel efficiency, and longer tyre life. It is particularly preferred, in relation to the third and fourth aspects of the invention, that the SAW device forms part of a card or other token adapted to be 20 inserted in a reader which includes the interrogator. Other applications are within the scope of the present invention. The code which is unique to the device may be produced in any suitable way. Reference is made, for example, to International Patent Application WO 9005409, the contents of which are incorporated herein by reference. This specification 25 contains a detailed disclosure of producing individually coded devices. The interrogator for transmitting the interrogation signal to the SAW device is known in the art. Preferably, especially in the case of the first and second aspects of the invention the interrogator transmits a continuous interrogation signal and is able to receive the response signal from the SAW device over a 30 range of about six metres. In the case of the third and fourth aspects of the invention, it is preferred that the interrogator has a smaller range, especially if the interrogator is included in a card reading device.
The data storage means for the storage of the unique code of the SAW device may be incorporated in or connected to the interrogator, by any suitable means. In one embodiment, the data storage means is designed to store the unique code of the SAW device prior to interrogation of the SAW device. In an alternate 5 embodiment, the data storage means does not store the unique code until the recording means records receipt of the received signal from the interrogator. The stored biometric identification data may be incorporated in the same data storage means as that for storage of the unique of the SAW device, or it may be a separate data storage means. 10 Especially in the case of the first and second aspects of the invention, receipt of the received signal by the interrogator is recorded in the data storage means for a first purpose. The first purpose is different from the second purpose, discussed below. The first purpose may be chosen according to the context in which the system of method of the invention is to be used. By way of example, the first 15 purpose may be to record that an entity carrying the SAW device has passed a scanning point. This purpose may apply in a supermarket checkout facility, for example. It may also apply in registering entry of an entity, such a person, into a restricted-entry arena, such as a sports stadium. It may apply in registering passage of an item of livestock. It may apply to recordal of an entity such as a 20 person carrying a passport through a migration control threshold. The system and method of the first and second aspects of the invention contemplates the receipt of a second response signal from the SAW device and processing that signal for a second purpose which is different from the first purpose. The choice of the second purpose will also be influenced by the context 25 of use of the system and method of the invention. For example, if an entity such as an item of merchandise has passed a scanning point in a supermarket check out or a similar commercial establishment, the receipt of the second response signal can be processed so as to prevent a second charge arising at the check out point, thus preventing double charging for 30 the same item. As another example, the second response signal can be processed so as to enable an entity carrying the SAW device to pass through a second scanning point without raising an alarm or other relevant outcome. This can be useful in ensuring that self-operated checkout points are effective in counting merchandise and permitting the counted merchandise to be taken out of the commercial establishment, while detecting uncounted merchandise and helping to prevent theft. 5 Another example arises in the context where the SAW device is embedded in or attached to a ticket for a restricted entry arena. Scanning of the ticket may take place at a range of up to six metres, without the need for the ticket holder to pass the ticket through a small scanning portal. Thus, the ticket may be left in the ticket holder's pocket or wallet. The initial scanning of the ticket can provide io automated entry of the entry of the ticket holder into the arena. An attempt to use the same ticket for a second entry can be prevented by the system and method of the invention, because the received signal can be processed to cancel the automated entry facility and to deny entry. The third and fourth aspects of the invention are particularly useful in situations 1s where a high level of security is desired, for example, for access to credit reports, financial records, bank services, safety deposit boxes and the like. In relation to these applications, the system and method of the invention can provide dual levels of security. Especially if the SAW device is embedded in a card, a customer requiring access to bank services, for example, will be required to insert 20 the card in a reader, where the SAW device is interrogated. Simultaneously or sequentially, the customer can be required to provide biometric identification to ensure that the card which has been presented is held by an authorised user. For example, the card reading device may incorporate a fingerprint scanner. If a customer inserts the card and presents his or her finger for scanning, the system 25 and method can ensure that the transaction which the customer wishes to effect is properly authorised. This is a far more secure procedure than the use of a card plus a password or PIN. The invention in the third and fourth aspects can also be used in connection with electronic commerce, if the biometric identification scanner is incorporated as part 30 of the computer hardware of the user, together with a card reader.
An electronic identification system, as mentioned in claim 4 wherein by using our innovative BASauthenX interface software, is able to be interfaced with the "apparatus" to a URL as demonstrated on successful online verification within the Asia Pacific Economic Cooperation for Small 5 and Medium Enterprises (APEC-SME) website www.sme-centers.com An example of an embodiment is set out below: 1. The user logs in to the administration centre by typing the URL 2. The server host checks to see if a smart card reader is attached to the user's to personal computer. If not, the server host displays an instruction to the user to attach the reader. If the reader is already attached, the server host checks that the reader is powered up and there is a smart card in the reader. Otherwise, the server instructs the user to power up the reader and insert the smart card. 3. The server host next instructs the user to scan his or her fingerprint through 1s the scanner attached to the user's personal computer. 4. The interrogator transmits the unique code of the SAW device to the server host and compares the received biometric data with the biometric identification data in the server host's data base. As part of this procedure, the server host may receive user-id and a password which are stored in the card. This data is 20 encrypted and sent back to the server. The server host decrypts the received data and checks it against the data base held by the server. 5. If the unique code and the received biometric identification data are the same as that stored in the server host's data base, the server host then allows the user to log in to the required transaction and the transaction can proceed. 25 6. Optionally, new data can be written to the card by the server through the user's personal computer. For example, a password may be update or transaction activities recorded. 7. At completion of the transaction or all transactions, the user can log out and the server will close the smart card reader and biometric scanning device. 30 Brief Description of the Drawings 11 The first and second aspects of the invention will now be described in connection with certain non-limiting embodiments thereof in the accompanying drawings, in which: Figure Ia is a schematic diagram showing arrangement of a preferred 5 embodiment of the present invention and illustrating initial interrogation; Figure 1b is a schematic diagram similar to that in Figure 1a but illustrating second interrogation; Figure 2 is a schematic plan view showing layout of a SAW device suitable for use in the present invention; and 10 Figure 3 is a detail view of the metalisation pattern of a single transducer. Referring first to Figure la, scanning identification system 10 is used to identify an entity or item 11 by using a passive surface acoustic wave (SAW) device 12 attached to item 11. The SAW device 12 is similar to those disclosed in W090/05409. However, the fundamental frequency of the SAW device is 15 increased to 2.46 Gz which substantially reduces the dimension of the piezoelectric substrate layer which enables the SAW device 12 to be inexpensive. The system 10 includes an interrogation signal module 13 which includes a transmitter 14 and a receiver 15 whereby a continuous interrogation signal 16 is transmitted from the transmitter 14. The preferred range of the transmitted signal 20 is about six metres. When item 11 is within this range of the continuous signal, SAW device 12 receives the interrogation signal 16 and SAW device 12 produces its own coded surface acoustic wave which is then retransmitted as a response signal 17a back to the module 13. The module 13 includes processing and control apparatus 18 adapted to be connected to a memory storage device 19. 25 The memory storage device 19 can be included in the module 13. Referring now to Figure 1b , if item 11 is brought within range of transmitter 14 a second time, either accidentally or deliberately, interrogation signal 16 will produce a response signal 17b back to the module 13. Response signal 17b is the same as response signal 17a referred to in Figure 1a, but it will be processed 3o differently in or through module 13, depending on the context of use of system . In one application of the embodiment illustrated in Figures 1a and lb, item 11 is a 12 ticket having embedded therein SAW device 12. Transmitter 14 and receiver 15 are located at an entry gate, being, in this embodiment, 1 metre wide by 2.5 metres high and barred by an automated boom gate. A person having ticket 11 in his or her pocket or other clothing walks towards the gate and as soon as SAW 5 device 12 is within range, interrogation signal 16 is transmitted from transmitter 14 producing response signal 17b to receiver 15. This in turn is sent to processing and control apparatus 18 connected to data storage device 19. Data storage device 19 has recorded in it receipt of response signal 17a from the initial scanning. When response signal 17b is processed by processing and control 10 apparatus 18, data storage device 19 is programmed to signal to apparatus 18 that SAW device has already been scanned. As a result, module 13 is programmed so that no signal to open is transmitted to the automated boom gate. As a result, entry is denied to the bearer of ticket 11. Turning now to Figures 2 and 3, SAW device 12 as seen in Figures 2 and 3 has a 15 number of tap transducers 21, each having a number of interdigitated fingers 22 which are connected as in the W090/05049 specification. The selected connections of the fingers 22 provides a substantial number of unique codes to be interrogated by the system 10. The continuous interrogation signal 16 has amplitude and phase modulation 20 applied thereto, whereby QAM modulation of the continuous signal, which is preferably transmitted at 4,800 bps for 600 band, provides a code bit capacity of 48,000 bps for 600 baud as 8 amplitude - phase combinations are provided. With an interrogation frequency of 400kHz, the summing and averaging over time of multiple identical interrogations for a predetermined time period of a SAW 25 device 12 provides substantial synchronous noise cancellation. The preferred code capacity of the system is 128 bits, which is obtained by the uniquely coded device 12 and the ability to have phase and amplitude modulation. It is to be understood that the concept of "lambda over six" transducers as shown 30 in Figure 3 are unlike "standard" SAW tags, since they accomplish self cancelling-finger reflections caused by the discontinuous step functions change in surface mass loading and electrical conductivity. This increases the number of transducers which can be placed in line in a single SAW propagation path (as distinct from multiple propagation paths). It will be appreciated by one skilled in the art that the system and method of the invention have wide application and that the preferred embodiments herein are s illustrative only and not intended to be limiting on the scope of the invention. It is to be noted that the present invention is to be included as a new part of the range to be sold under the trade mark BASidentityTM(Biometrics Application System of Identification) SoftwareTm which is registered under Australian trade mark registration No. 757542 in the following classes: 10 1. class 9 covering computer hardware and software in respect of fingerprinting, identification systems and other commercial applications using fingerprinting technology, biometrics application systems; 2. class 38 covering telecommunication; data communication, security access authentication to LAN (Local Area Network), WAN (Wide Area Network), and 16 internet, transmission of images; and 3. class 42 covering computer software design in respect of fingerprinting identification systems and other commercial applications using fingerprint technology, biometric application systems. The trade mark BASidentity T M has been registered in Indonesia under class 9 20 (No. 433976), class 38 (No. 433977), and class 42 (No. 433978). 25 vI-t AMENDED CLAIMS 14, 15 To the Innovative Patent No 2010101223 5 1. An electronic identification system(IES or BASidentity) including; a surface acoustic wave (SAW) device capable of reflecting a code unique to the device that uses two layer lithographic processes, with 10 tap transducers 21, each having a number of interdigitated fingers 22, which is able to encode a 32-bit identifier onto a surface acoustic wave (SAW) device with an interrogator for transmitting an interrogation signal to the device and receiving a response signal to the device including the unique 32-bit identifier code which is able to 15 produce up to and including 232 = 4,294,967,296 tags 2. An electronic identification system , as mentioned in claim I wherein which minimizes SAW reflections using a UHF signal, preferably at 400 kHz, generated by the transceiver and beamed along a conical 20 path with an overall "read angle" of up to 700 ; hence this A/6 transducer structure self cancels finger reflections caused by the discontinuous step functions change in surface mass loading and electrical conductivity as well as places all increased transducers along the single propagation path by increasing the fundamental 25 frequency of 5.6Ghz or higher. 3. An electronic identification system, as mentioned in claim 1, wherein which uses an interrogation signal to the SAW device and receiving the reply signal with the resulting identifier transducer being 30 read as part of a unique serial number of the SAW chip; this code will then be processed and converted into binary or ASCII code for integration by the "apparatus" with our BASidentity biometrics and smartcard software/firmware modules as well as combining this second tier security feature that enables the 35 combined encrypted code to produce a customized code that can only be known to the owner user once a reciprocal challenge response authentication is successful between the user by means of a smartcard reader as well as valid cryptographic keys.
15 4. An electronic identification system, as mentioned in claim 3 , wherein which the "apparatus" converts the unique code, commencing with analog -to-digital of the unique code of the SAW chip with serial 5 number and BASidentity system software then combines this new code with biometric template or minutia points generated by own algorithm will produce a third tier security feature resulting in the form of a programming command/routine that can only be read by the custom-made "apparatus" consisting of fingerprint scanner, 10 smartcard reader and transceiver. 5. An electronic identification system, as mentioned in claim 4 wherein by using our innovative BASauthenX interface software, is able to be interfaced with the "apparatus" to a URL as demonstrated on 15 successful online verification within the Asia Pacific Economic Cooperation for Small and Medium Enterprises (APEC-SME) website www.sme-centers.com Richard Vaughan and 20 Peng Tjoean THE Tuesday, 30 August 2011