NXP Ex. 1306, page 0001
`
`Samsung Ex. 1019, Page 1 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`RFID
`HAND/BOOK
`
`NXP Ex. 1306, page 0002
`
`Samsung Ex. 1019, Page 2 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`Radio-Frequency Identification
`Fundamentals and Applications
`
`KLAUS FINKENZELLER
`Giesecke & Devrient GmbH, Munich, Germany
`
`Translated by
`Rachel Waddington
`Swad/incote, UK
`
`JOHN WILEY & SON, LTD
`Chichester • New York • Weinheim • Brisbane • Singapore •Toronto
`
`NXP Ex. 1306, page 0003
`
`Samsung Ex. 1019, Page 3 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`First published under the title RFID-Handbuch by Carl Hanser Verlag
`©Carl Hanser Verlag, Munich/FRG, 1998. All Rights Reserved
`
`Copyright ©1999 John Wiley & Sons Ltd
`Baffins Lane, Chichester,
`West Sussex, P019 IUD, ~ngland
`
`01243 779777
`National
`International (+44) 1243 779777
`
`e-mail (for orders and customer service enquiries): cs-books@wiley.co.uk
`
`Visit our Home Page on http://www.wiley.co.uk or http://www.wiley.com
`
`All Rights Reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted,
`in any form or by any means, electronic, mechanical, photocopying, recording, scanning or otherwise, except
`under the terms of the Copyright, Designs and Patents Act 1988 or un4er the terms of a licence issued by the
`Copyright Licensing Agency, 90 Tottenham Court Road, London W1P 9HE, UK, without the permission in
`writing of the Publisher.
`
`Neither the author nor John Wiley & Sons Ltd accept any responsibility or liability for loss or damage
`occasioned to any person or property through using the material, instructions, methods or ideas contained herein,
`or acting or refraining from acting a5 a result of such use. The author(s) and Publisher expressly disclaim all
`implied warranties, including merchantability or fitness for any particular purpose.
`
`Designations used by companies to distinguish their products are often claimed as trademarks. In all instances
`where John Wiley & Sons is aware of a claim, the product names appear in initial capital or all capital letters.
`Readers, however, should contact the appropriate companies for more complete information regarding
`trademarks and registration.
`
`Other Wiley Editorial Offices
`
`John Wiley & Sons, Inc., 605 Third Avenue,
`New York, NY 10158-0012, USA
`
`Weinheim • Brisbane • Singapore • Toronto
`
`Library of Congress Cataloging-in-Publication Data
`
`Finkenzeller, Klaus.
`[RFID Handbuch. English]
`RFID handbook : radio-frequency identification fundamentals and
`applications I Klaus Finkenzeller: translated by Rachel Waddington
`p. em.
`Includes bibliographical references and index.
`ISBN 0-471-98851-0 (alk. paper)
`1.
`Inventory control--Automation. 2. Radio frequency
`identification systems.
`I. Title.
`TS160.F5513 1999
`658.7-dc21
`
`99-16221
`CIP
`
`British Library Cataloguing in Publication Data
`
`A catalogue record for this book is available from the British Library
`
`ISBN047198851 0
`
`Produced from PostScript files supplied by the translator
`Printed and bound in Great Britain by Antony Rowe Ltd, Chippenham
`This book is printed on acid-free paper responsibly manufactured from sustainable forestry
`in which at least two trees are planted for each one used for paper production.
`
`NXP Ex. 1306, page 0004
`
`Samsung Ex. 1019, Page 4 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`TS I~O
`FSS/3
`199;!
`t:::::- ;1) cr
`
`Contents
`
`PREFACE
`
`LIST OF ABBREVIATIONS
`
`1
`
`iNTRODUCTION
`1.1 Automatic Identification Systems
`1.1.1 Barcode systems
`1.1.2 Optical character recognition
`1.1.3 Biometric procedure
`1.1.3.1 Voice identification
`1.1.3.2 Finger printing procedures (dactyloscopy)
`1.1.4 Smart cards
`1.1.4.1 Memory cards
`1.1.4.2 Microprocessor cards
`1.1.5 RFID systems
`
`1.2 A Comparison of Diffe~ent ID Systems
`
`1.3 Components of an RFID System
`
`2
`
`DIFFERENTIATION FEATURES OF RFID S'YSTEMS
`2.1 Fundamental Differentiation Features
`
`2.2 Transponder Construction Formats
`2.2.1 Disks and coins
`2.2.2 Glass housing
`2.2.3 Plastic housing
`2.2.4 Tool and gas bottle identification
`2.2.5 Keys and key fobs
`2.2.6 Clocks
`2.2.7 ID-1 format, contactless smart cards
`
`xiii
`
`XV
`
`1
`2
`2
`3
`4
`4
`4
`4
`5
`5
`6
`
`6
`
`7
`
`11
`11
`
`13
`13
`14
`15
`16
`17
`19
`19
`
`NXP Ex. 1306, page 0005
`
`Samsung Ex. 1019, Page 5 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`vi
`
`The RFID Handbook
`
`2.2.8 Other formats
`
`2.3 Frequency, Range and Coupling
`2.3.1 Close coupling
`2.3.2 Remote coupling
`2.3.3 Long range
`2.3.4 System performance
`
`3
`
`FUNDAMENTAL OPERATING PRINCIPLES
`
`3.1 1 Bit Transponder
`3.1.1 Radio frequency
`3.1.2 Microwaves
`3._1.3 Frequency divider
`3 .1.4 Electromagnetic types
`
`3.2 Full and Half Duplex Procedure
`3.2.1 Inductive coupling
`3.2.1.1 Power supply to passive transponders
`3.2.1.2 Data transfer transponder~ reader
`3.2.2 Electromagnetic backscatter coupling
`3.2.2.1 Power supply to the transponder
`3.2.2.2 Data transmission ~ reader
`3.2.3 Close coupling
`3.2.3.1 Power supply to the transponder
`3.2.3.2 Data transfer transponder~ reader
`3.2.4 Data transfer reader --7 transponder
`
`3.3 Sequential Procedures
`3.3.1 Inductive coupling
`3.3.1.1 Power supply to the transponder
`3.3.1.2 A comparison between FDXIHDX and SEQ systems
`3.3.1.3 Data transmission transponder --7 reader
`3.3.2 Surface acoustic wave transponder
`
`4
`
`PHYSICAL PRINCIPLES OF RFID SYSTEMS
`
`4.1 Magnetic Field
`4.1.1 Magnetic field strength H
`4.1.1.1 Path of field strength H(x) in conductor loops
`4.1.1.2 Optimal antenna diameter
`4.1.2 Magnetic flux and magnetic flux density
`4.1.3 Inductance L
`4.1.4 Mutual inductance M
`4.1.5 Coupling coefficient k
`4.1.6 Faraday's law
`4.1. 7 Resonance
`
`21
`
`21
`21
`22
`22
`23
`
`25
`26
`26
`29
`31
`32
`
`34
`35
`35
`37
`41
`41
`41
`43
`43
`44
`44
`
`45
`45
`45
`45
`47
`48
`
`53
`
`53
`53
`55
`57
`58
`59
`60
`62
`64
`66
`
`NXP Ex. 1306, page 0006
`
`Samsung Ex. 1019, Page 6 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`Table of Contents
`
`4.1.8 Practical operation of the transponder
`4.1.8.1 Power supply to the transponder
`4.1.8.2 Voltage regulation
`4.1.9 Interrogation field strength Hmin
`4.1.9.1 "Energy range" of transponder systems
`4.1.1 0 Total transpm;:tder - reader system
`4.1.1 0.1 Transformed transponder impedance Zr'
`4.1.10.2 Influencing variables of Zr'
`4.1.1 0.3 Load modulation
`4.1.11 Measuring the coupling coefficient k
`4.1.12 Magnetic materials
`4.1.12.1 Properties of magnetic materials and ferrite
`4.1.12.2 Ferrite antennas in LF transponders
`4.1.12.3 Ferrite shielding in a metallic environment
`
`4.2 Electromagnetic Waves
`4.2.1 The creation of electromagnetic waves
`4.2.2 Reflection of electromagnetic waves
`4.2.3 Radar cross section of an antenna
`4.2.4 Modulated radar cross section
`4.2.5 Effective length
`4.2.6 Antenna construction formats for microwave transponders
`4.2.6.1 Slot antennas
`4.2.6.2 Planar antennas
`4.2.6.3. Overview- antenna parameters
`
`5
`
`FREQUENCY RANGES AND RADIO LICENSING
`REGULATIONS
`,
`
`5.1 Frequency Ranges Used
`5.1.1 Frequency range 9-135kHz
`5.1.2 Frequency range 6.78 MHz
`5.1.3 Frequency range 13.56 MHz
`5 .1.4 Frequency range 27.125 MHz
`5.1.5 Frequency range 40.680 MHz
`5.1.6 Frequency range 433.920 MHz
`5.1.7 Frequency range 869.0 MHz
`5.1.8 Frequency range 915.0 MHz
`5.1.9 Frequency range 2.45 GHz
`5.1.10 Frequency range 5.8 GHz
`5.1.11 Frequency range 24.125 GHz
`5 .1.12 Selection of a suitable frequency for inductively coupled RFID systems
`
`5.2 International Licensing Regulations
`5.2.1 CEPT/ERC 70-03
`5.2.2 EN 300330: 9kHz- 25 MHz
`
`vii
`
`71
`71
`71
`74
`76
`78
`80
`83
`90
`98
`99
`99
`101
`101
`
`102
`102
`105
`106
`109
`109
`110
`110
`110
`110
`
`111
`111
`114
`114
`114
`115
`115
`115
`116
`116
`116
`116
`116
`
`119
`119
`119
`
`NXP Ex. 1306, page 0007
`
`Samsung Ex. 1019, Page 7 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`viii
`
`The RFID Handbook
`
`5.2.2.1 Carrier power -limit values for class 1 transmitters
`5.2.2.2 Carrier power -limit values for class 2 transmitters
`5.2.2.3 Modulation bandwidth
`5.2.2.4 Spurious emissions
`5.2.3 EN 300220-1, EN 300220-2
`5.2.4 EN 300440
`
`5.3 National Licencing Regulations- U.S.A
`
`6
`
`CODING AND MODULATION
`6.1 Coding in the Baseband
`
`6.2 Digital Modulation Procedures
`6.2.1 Amplitude shift keying (ASK)
`6.2.2 2 FSK
`6.2.3 2 PSK
`6.2.4 Modulation procedures with subcarrier
`
`7
`
`DATA INTEGRITY
`7.1 The Checksum Procedure
`7 .1.1 Parity checking
`7.1.2 LRC procedure
`7 .1.3 CRC procedure
`
`7.2 Anticollision
`7 .2.1 How collision arises
`7 .2.2 Anticollision procedures
`7 .2.2.1 Spatial domain anticollision procedures
`7 .2.2.2 Frequency domain anticollision procedures
`7 .2.2.3 Time domain anticollision procedures
`7 .2.3 Application example -binary search algorithm
`
`8
`
`DATA SECURITY
`8.1 Mutual Symmetrical Authentication
`
`8.2 Authentication Using Derived Keys
`
`8.3 Encrypted Data Transfer
`8.3 .. 1 Stream cipher
`
`9
`
`STANDARDISATION
`9.1 Animal Identification
`9.1.1 ISO 11784- Code structure
`9.1.2 ISO 11785- Technical concept
`
`120
`120
`122
`122
`122
`123
`
`125
`126
`
`128
`129
`132
`133
`134
`
`137
`137
`137
`138
`139
`
`141
`141
`142
`142
`143
`143
`144
`
`151
`151
`
`153
`
`154
`155
`
`159
`159
`159
`160
`
`NXP Ex. 1306, page 0008
`
`Samsung Ex. 1019, Page 8 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`Table of Contents
`
`9.1.2.1 Requirements
`9.1.2.2 Full/half duplex system
`9.1.2.3 Sequential system
`
`9.2 Contactless Smart Cards
`9.2.1 ISO 10536- Close coupling smart cards
`9.2.1.1 Part 1- Physical characteristics
`9.2.1.2 Part 2- Dimensions and locations of coupling areas
`9.2.1.3 Part 3- Electronic signals and reset procedures
`9.2.1.4 Part 4- Answer to reset and transmission protocols
`9.2.2. ISO 14443- Proximity coupling smart cards
`9.2.3 ISO 15693- Vicinity coupling smart cards
`
`9.3 ISO 69873 - Data Carriers for Tools and Clamping Devices
`
`9.4 ISO 10374- Container Identification
`
`9.5 VDI 4470- Anti-theft Systems for Goods
`9.5 .1 Part 1 - Detection gates - inspection guidelines for customers
`9.5 .1.1 Ascertaining the false alarm rate
`9.5.1.2 Ascertaining the detection rate
`9.5.1.3 Forms in VDI 4470
`9.5 .2 Part 2- Deactivation devices, inspection guidelines for customers
`
`10 THE ARCHITECTURE OF ELECTRONIC DATA
`CARRIERS
`10.1 Transponder with Memory Function
`10.1.1 HF interface
`10.1.2 Address and security logic
`10.1.2.1 State machine
`10.1.3 Memory architecture
`10.1.3.1 Read-only transponder
`10.1.3.2 Writeable transponder
`10.1.3.3 Transponder with cryptological function
`10.1.3.4 Segmented memory
`10.1.3.5 MIFARE® application directory
`
`10.2 Microprocessors
`1 0.2.1 Dual interface card
`10.2.1.1 MIFARE® plus dual interface card
`
`10.3 Memory Technology
`10.3.1 RAM
`10.3.2 EEPROM
`10.3.3 PRAM
`10.3.4 Performance comparison PRAM- EEPROM
`
`ix
`
`160
`162
`162
`
`163
`163
`163
`164
`164
`165
`165
`166
`
`167
`
`167
`
`168
`168
`169
`169
`169
`170
`
`171
`172
`172
`173
`174
`175
`175
`177
`177
`179
`181
`
`185
`187
`189
`
`190
`190
`191
`192
`194
`
`NXP Ex. 1306, page 0009
`
`Samsung Ex. 1019, Page 9 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`X
`
`The RFID Handbook
`
`10.4 Measuring Physical Variables
`10.4.1 Transponder with sensor functions
`10.4.2 Measurements using microwave transponders
`
`11 READERS
`11.1 Data Flow in an Application
`
`11.2 Components of a Reader
`11.2.1 HF-interface
`11.2.1.1 Inductively coupled system, FDX/HDX
`11 .2.1.2 Microwave systems - half duplex
`11 .2.1.3 Sequential systems - SEQ
`11.2.2 Control unit
`
`11.3 Low Cost Configuration - Reader IC U2270B
`
`11.4 Connection of Antennas
`11.4.1 Antennas for inductive systems
`11.4.1.1 Connection using current matching
`11.4.1.2 Supply via coaxial cable
`11.4.1.3 The Influence of the Q Factor
`11.4.2 Antennas for microwave systems
`
`11.5 Reader Designs
`
`12 THE MANUFACTURE OF TRANSPONDERS AND
`CONTACTLESSSMARTCARDS
`12.1 Module Manufacture
`
`12.2 Semi-Finished Transponder
`
`12.3 Completion
`
`12.4 Contactless Smart Cards
`
`13 EXAMPLE APPLICATIONS
`13.1 Contactless Smart cards
`
`13.2 Public Transport
`13.2.1 The starting point
`13.2.2 Requirements
`13.2.2.1 Transaction time
`13.2.2.2 Resistance to degradation, lifetime, convenience
`13.2.3 Benefits of RFID systems
`13.2.4 Fare systems using electronic payment
`13.2.5 Market potential
`
`194
`194
`195
`
`199
`199
`
`200
`202
`202
`203
`204
`205
`
`207
`
`209
`209
`209
`211
`215
`216
`
`217
`
`219
`219
`
`221
`
`222
`
`222
`
`227
`227
`
`229
`229
`230
`230
`231
`231
`232
`234
`
`NXP Ex. 1306, page 0010
`
`Samsung Ex. 1019, Page 10 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`Table of Contents
`
`13.2.6. Example projects
`13.2.6.1 Korea - Seoul
`13.2.6.2 Germany- Liineburg, Oldenburg
`
`13.3 Ticketing
`13.3.1 Lufthansa Miles & More card
`13.3.2 Ski tickets
`
`13.4 Access Control
`
`13.5 Transport Systems
`13.5.1 Eurobalise S21
`13.5.2 International container transport
`
`13.6 Animal ldentificatio~
`13 .6.1 Stock keeping
`13.6.2. Carrier pigeon races
`
`13.7 Electronic lmmobilisation
`13.7.1 The functionality of an immobilisation syste~
`13.7.2 Brief success story
`13.7 .3 Predictions
`
`13.8 Container Identification
`13.8.1 Gas bottles and chemical containers
`13.8.2 Waste disposal
`
`13.9 Sporting Events
`
`13.10 Industrial Automation
`13.10.1 Tool identification
`13.10.2 Industrial Production
`13.10.2.1 Benefits from the use ofRFID systems
`13.10.2.2 The selection of a suitable RFID system
`13.10.2.3 Example projects
`
`14 MARKET OVERVIEW
`14.1 Selection Criteria
`14.1.1 Operating frequency
`14.1.2 Range
`.
`14.1.3 Security requirements
`14.1.4 Memory size
`
`14.2 System Overview
`
`14.3 Contact Addresses, Technical Periodicals
`14.3.1 Industrial associations
`14.3.2 Technical journals and events
`14.3.3 RFID on the Internet
`
`xi
`
`234
`234
`236
`
`237
`237
`239
`
`241
`
`242
`242
`244
`
`245
`245
`251
`
`253
`253
`256
`257
`
`257
`257
`259
`
`261
`
`263
`263
`266
`269
`270
`271
`
`275
`275
`275
`276
`277
`278
`
`278
`
`287
`287
`290
`292
`
`NXP Ex. 1306, page 0011
`
`Samsung Ex. 1019, Page 11 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`xii
`
`The RFID Handbook
`
`15 APPENDICES
`15.1 Relevant Standards and Regulations
`15 .1.1 Sources of supply for standards and regulations
`
`15.2 References
`
`16 INDEX
`
`293
`293
`294
`
`294
`
`299
`
`NXP Ex. 1306, page 0012
`
`Samsung Ex. 1019, Page 12 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`Preface
`
`This book is aimed at an extremely wide range of readers. First and foremost it is intended
`for students and engineers who find themselves confronted with RFID technology for the
`first time. A few basic chapters are provided for this audience describing the functionality
`of RFID technology and the physical and IT -related principles underlying this field. The
`book is also intended for practitioners who, as users, wish to or need to obtain as
`comprehensive and detailed an overview of the various technologies, the legal framework
`or the _possible applications of RFID as pos ible.
`Although a wide range of .individual articles are now available on thi. su ~e t, the task
`of gathering all this scattered information together when it is needed is a tiresome and time(cid:173)
`consuming one - as researching this book has proved. This book therefore aims to fill a gap
`in the range of literature on the subject of RFID.
`This book uses numerous pictures and diagrams to attempt to give a graphic
`representacjon of RFID technology in the truest sense of the word. Particular emphasis is
`placed on practical considerations. For this reason
`the chapter entitled "Example
`Applications" is particUlarly comprehensive.
`Technological developments in the field of RFID technology are proceeding at such a
`pace that although a book like this can explain the general scientific principles it is not
`dynamic enough to be able to explore the latest trends regarding the most recent products
`on the market. I am therefore grateful for any suggestions and advice - particularly from the
`field of industry. The basic concepts and underlying physical principles remain, however,
`and provide a good background for understanding the latest developments.
`At this point I would also like to express my thanks to those companies who were kind
`enough to contribute to the success of this project by providing numerous technical data
`sheets, lecture manuscripts and photographs.
`
`Munich, January 1998
`
`Klaus Finkenzeller
`
`NXP Ex. 1306, page 0013
`
`Samsung Ex. 1019, Page 13 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`NXP Ex. 1306, page 0014
`
`Samsung Ex. 1019, Page 14 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`List of Abbreviations
`
`J.lP
`J.lS
`
`ABS
`AFC
`AM
`ASIC
`ASCII
`ASK
`
`BAPT
`Bd
`BMBF
`
`BP
`
`c
`CEN
`CEPT
`CICC
`CLK
`CRC
`CCITT
`
`dBm
`
`DBP
`DIN
`
`BAN
`BAS
`EC
`
`Microprocessor
`Microsecond ( 10-6 seconds)
`
`Aery lnitrilbutadienstyrol
`Automatic Fare Collection
`Amplitude Modulation
`Application Specific Integrated Circuit
`American Standard Code for Information Interchange
`Amplitude Shift Keying
`
`Bundesamt filr Post und Telekommunikation
`Baud, transmission speed in biUs
`Bundesministerium ftir Bildung und Forschung (Ministry for Education
`and Research, was BMFT)
`Bandpass filter
`
`Capacitance (of a capacitor)
`Comite Buropeen de Normalisation
`Conference Buropeene des Postes et Telecommunications
`Close Coupling Integrated Circuit Chip Card
`Clock (timing signal)
`Cyclic Redundancy Checksum
`Comite Consultatif International Telegraphique et Telephonique
`
`Logarithmic measure of power, related to 1 m W HF-power (0 dBm =
`1 mW, 30 dBm = 1W)
`Differential Bi-Phase encoding
`Deutsche Industrienorm (German industrial standard)
`
`European Article Number (barcode on groceries and goods)
`Electronic Article Surveillance
`Eurocheque or electronic cash
`
`NXP Ex. 1306, page 0015
`
`Samsung Ex. 1019, Page 15 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`xvi
`
`EEPROM
`ERP
`ETCS
`ETS
`ETSI
`EMC
`EVC
`
`FDX
`FM
`FRAM
`FSK
`
`GSM
`
`HDX
`HF
`
`ICC
`ID
`ISM
`ISO
`
`L
`LAN
`LF
`LPD
`
`LRC
`LSB
`
`MAD
`MSB
`
`nomL
`
`NRZ
`NTC
`
`OCR
`OEM
`OTP
`
`PC
`PICC
`
`The RFID Handbook
`
`Electric Erasable and Programmable Read Only Memory
`Equivalent Radiated Power
`European Train Control System
`European Telecommunication Standard
`European Telecommunication Standards Institute
`Electro-Magnetic Compatibility
`European Vital Computer (part of ETCS)
`
`Full-Duplex
`Frequency modulation
`Ferroelectric Random Access Memory
`Frequency Shift Keying
`
`Global System for Mobile Communication (was Groupe Special Mobile)
`
`Half-Duplex
`High Frequency (3 ... 30 MHz)
`
`Integrated Chip Card
`Identification
`Industrial Scientific Medical (frequency range)
`International Standardization Organization
`
`Loop (inductance of a coil)
`Local Area Network
`Low Frequency (30 ... 300 kHz)
`Low Power Device (low power radio system for the transmission of data
`or speech over a few hundred meters)
`Longitudinal Redundancy Check
`Least Significant Bit
`
`MIFARE® Application Directory
`Most Significant Bit
`
`Non-public mobile land radio (industrial radio, transport companies, taxi
`radio, etc.)
`Non-Return to Zero Encoding
`Negative Temperature Coefficient (thermal resistor)
`
`Optical Character Recognition
`Original Equipment Manufacturer
`One Time Programmable
`
`Personal Computer
`Proximity Integrated Circuit Chip Card
`
`NXP Ex. 1306, page 0016
`
`Samsung Ex. 1019, Page 16 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`List of Abbreviations
`
`xvii
`
`pp
`PPS
`PSK
`PVC
`
`RADAR
`RAM
`RCS
`RFID
`RTI
`RWD
`
`SAM
`SAW
`SEQ
`SMD
`SRAM
`
`TR
`
`UHF
`UPC
`
`VDE
`
`VICC
`
`XOR
`
`zv
`
`Plastic Package
`Polyphenylensulfide
`Phase Shift Keying
`Polyvinylchloride
`
`Radio Detecting and Ranging
`Random Access Memory
`Radar Cross Section
`Radio Frequency Identification
`Road Transport Information System
`Read Write Device
`
`Security Authentication Module
`Surface Acoustic Wave
`Sequential System
`Surface Mounted Devices
`Static Random Access Memory
`
`Technische Richtlinie (Technical Guideline)
`
`Ultra High Frequency (300 MHz ... 3 GHz)
`Universal Product Code
`
`Verein Deutscher Elektrotechniker (German Association of Electrical
`Engineers)
`Vicinity Integrated Circuit Chip Card
`
`eXclusive-OR
`
`Zulassungsvorschrift (Licensing Regulation)
`
`HITAG® and
`MIFARE®
`LEGIC®
`MICRO LOG®
`TIRIS®
`TROYAN®
`
`are registered trademarks of Philips elektronics N. V.
`is a registered trademark of Kaba Security Locking Systems AG.
`is a registered trademark of Idesco.
`is a registered trademark of Texas Instruments.
`is a registered trademark of AEG ID systems.
`
`NXP Ex. 1306, page 0017
`
`Samsung Ex. 1019, Page 17 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`NXP Ex. 1306, page 0018
`
`Samsung Ex. 1019, Page 18 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`1
`
`Introduction
`
`In recent years automatic identification procedures (Auto ID) have become very popular in
`many service industries, purchasing and distribution logistics, industry, manufacturing
`companies and material flow systems. Automatic identification procedures exist to provide
`information about people, animals, goods and products in transit.
`The omnipresent barcode labels that triggered a revolution in identification systems
`some considerable time ago, are being found to be inadequate in an increasing number of
`cases. Barcodes may be extremely cheap, but their stumbling block is their low storage
`capacity and the fact that they cannot be reprogrammed.
`The technically optimal solution would be the storage of data in a silicon chip. The most
`common form of electronic data carrying device in use in everyday life is the smart card
`based upon a contact field (telephone smart card, bank cards). However, the mechanical
`contact used in the smart card is often impractical. A contactless transfer of data between
`the data carrying device and its reader is far more flexible. In the ideal case, the power
`required to operate the electronic data carrying device would also be transferred from the
`reader using con tactless technology. Because of the procedures used for the transfer of
`power and data, contactless ID systems are called RFID systems (Radio Frequency
`Identification).
`The number of companies that are actively involved in the development and sa)e of
`RFID systems indicates that this is a market that should be taken seriously. Total worldwide
`sales of RFID systems for the year 2000 are estimated at above 2 billion US$. The RFID
`market therefore belongs to the fastest growing sector of the radio technology industry,
`including mobile phones and cordless telephones.
`Furthermore, in recent years contactless identification has been developing into an
`independent interdisciplinary field, which no longer fits into any of the conventional pigeon
`holes. It brings together elements from extremely varied fields: HF technology and EMC,
`semiconductor
`technology, data protection and cryptography,
`telecommunications,
`·manufacturing technology and many related areas.
`As an introduction, the following chapter gives a brief overview of different auto ID
`systems, that perform similar functions to RFID.
`
`NXP Ex. 1306, page 0019
`
`Samsung Ex. 1019, Page 19 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`2
`
`The RFID Handbook
`
`1.1
`
`Automatic Identification Systems
`
`Figure 1.1: Overview of the most important Auto ID procedures
`
`1.1.1
`
`Barcode systems
`
`Barcodes have successfully held their own against other identification systems over the past
`20 years. According to experts, the turnover volume for barcode systems totalled around 3
`billion DM in Western Europe at the beginning of the 1990s [virnich].
`The barcode is a binary code comprising a field of bars and gaps arranged in a parallel
`configuration. They are arranged according to a predetermined pattern and represent data
`elements that refer to an associated symbol. The sequence, made up of wide and narrow
`bars and gaps can be interpreted numerically and alphanumerically. It is read by optical
`laser scanning, i.e. by the different reflection of a laser beam from the black bars and white
`gaps [ident 1]. However, despite being identical in their physical design, there are
`considerable differences between the code layouts in the approximately ten different
`barcode types cur:rently in use.
`The most popular barcode by some margin is the EAN code (European Article Number),
`which was designed specifically to fulfil the requirements of the grocery industry in 1976.
`The EAN code represents a development of the UPC (Universal Product Code) from the
`USA, which was introduced in the l.JSA as early as 1973. Today, the UPC represents a
`subset of the EAN code, and is therefore compatible with it [virnich].
`The EAN code is made up of 13 digits: the country identifier, the company identifier,
`the manufacturer's item number and a check digit.
`
`NXP Ex. 1306, page 0020
`
`Samsung Ex. 1019, Page 20 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`Introduction
`
`3
`
`Country
`ldentifer
`
`Company Identifier
`
`Manufacturer's Item
`Number
`
`CD
`
`4Jo 1121314(5 olal1(s(o 9
`FRG
`Company Name
`Chocolate Rabbit
`1 Road Name
`100g
`80001 Munchen
`
`Figure 1.2: Example of the structure of a barcode in EAN coding (EAN =European Article
`Number)
`
`In addition to the EAN code, the following barcodes are popular in other industrial
`fields:
`
`• Code Codabar: Medical I clinical applications, fields with high safety requirements.
`• Code 2/5 interleaved: Automotive industry, goods storage, pallets, shipping containers
`and heavy industry.
`• Code 39: Processing industry, logistics, universities and libraries.
`
`ISBN 0-471-98851-0
`
`Figure 1.3: This barcode is printed on the back of this book and contains the ISBN number of the
`book.
`
`1.1.2
`
`Optical character recognition
`
`Optical character recognition (OCR) was first used in the 1960s. Special fonts were
`developed for this application that stylised characters so that they could be read both in the
`normal way by people and automatically by machines. The most important advantage of
`OCR systems is the high density of information and the possibility of reading data visually
`in an emergency (or simply for checking) [ vimich].
`Today, OCR is used in production, service and administrative fields, and also in banks
`for the registration of cheques (personal data (name, account number) is printed on the
`bottom line of a cheque in OCR type).
`However, OCR .systems have failed to become universally applicable because of their
`high price and the complicated readers that they require in comparison with other ID
`procedures.
`
`NXP Ex. 1306, page 0021
`
`Samsung Ex. 1019, Page 21 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`4
`
`The RFID Handbook
`
`1.1.3
`
`Biometric procedure
`
`Biometrics is defined as the science of counting and (body) measurement procedures
`involving living beings. In the context of identification systems, biometry is the general
`term for all procedures that identify people by comparing unmistakable and individual
`physical characteristics. In practice, these are finger printing and hand printing procedures,
`voice identification and, less commonly, retina (or iris) identification.
`
`1.1.3.1 Voice identification
`Recently, specialised systems have become available to identify individuals using speaker
`verification (speaker recognition). In such systems, the user talks into a microphone linked
`to a computer. This equipment converts the spoken words into digital signals, which are
`evaluated by the identification software.
`The objective of speaker verification is to check the supposed identity of the person
`based upon their voice. This is achieved by checking the speech characteristics of the
`speaker against an existing reference pattern. If they correspond, then a reaction can be
`initiated (e.g. "open door").
`
`Finger printing procedures (dactyloscopy)
`1.1.3.2
`Criminology has been using finger printing procedures for the identification of criminals
`since the tum of the century. This process is based upon the comparison of papillae and
`dermal ridges of the finger tips, which can be obtained not only from the finger itself, but
`also from objects that the individual in question has touched.
`When finger printing procedures are used for personal identification, usually for
`entrance procedures, the finger tip is placed upon a special reader. The system calculates a
`data record from the pattem,it has read and compares this with a stored reference pattern.
`Modem finger print ID systems require less than half a second to recognise and check a
`finger print. In order to prevent violent frauds, fingerprint ID systems have even been
`developed that can detect whether the finger placed on the reader is that of a living person
`[schmidhausler].
`
`1.1.4
`
`Smart cards
`
`A smart card is an electronic data storage system, possibly with additional computing
`capacity (microprocessor card), which -
`for convenience -
`is incorporated into a plastic
`card the size of a credit card. The first smart cards in the form of prepaid telephone smart
`cards were launched in 1984. Smart cards are placed in a reader, that makes a galvanic
`connection to the contact surfaces of the smart card using contact springs. The smart card is
`supplied with energy and a clock pulse from the reader via the contact surfaces. Data
`transfer between the reader and the card takes place using a bidirectional serial interface
`(I/0 port). It is possible to differentiate between two basic types of smart card based upon
`their internal functionality: memory card and microprocessor card.
`One of the primary advantages of the smart card is the fact that the data stored on it can
`be protected against undesired (read) access and manipulation. Smart cards make all
`services that relate to infohnation or financial transactions simpler, safer and cheaper. For
`this reason, 200 million smart cards were issued worldwide in 1992. In 1995 this figure had
`
`NXP Ex. 1306, page 0022
`
`Samsung Ex. 1019, Page 22 of 323
`Samsung Electronics America, Inc. v. RFCyber Corp.
`IPR2021-00981
`
`

`

`Introduction
`
`5
`
`risen to 600 million, of which 500 million were memory cards and 100 million were
`microprocessor cards. The smart card market therefore represents one of the fastest
`growing submarkets of the microelectronics industry.
`One disadvantage of contact-based smart cards is the vulnerability of the contacts to
`wear, corrosion and dirt. Readers that are used frequently are expensive to maintain due to
`their tendency to malfunction. In addition, readers that are accessible to the public
`(telephone boxes) cannot be protected against vandalism.
`
`1.1.4.1 Memory cards
`In memory cards the memory- usmi.lly an EEPROM- is accessed using a sequential logic
`(state machine). It is also possible to incorporate simple security algorithms, e.g. stream
`ciphering using this system. The functionality of the memory card in question is usually
`optimised for a specific application. Flexibility of application is highly limited but, on the
`positive side, memory cards are very cost effective. For this reason, memory cards are
`predominantly used in price sensitive, large-scale applications [rankl]. One example of this
`is the national insurance card used by the state pension system in Germany [Iemme].
`
`(Vee )(GND)
`( RST)( Vpp J
`(eLK) 1/0
`
`Address and
`Security Logic
`
`EEPROM
`
`ROM
`
`Figure 1.4: Typical architecture of a memory card with security logic
`
`1.1.4.2 Microprocessor cards
`As the name suggests, microprocessor cards contain a microprocessor, which is connected
`to a segmented memory (ROM-, RAM- and EEPROM-segment).
`The mask programmed ROM incorporates an operating system (higher programme
`code) for the microprocessor and is inserted during chip manufacture. The contents of the
`ROM are determined during manufacturing, are identical for all microchips from the same
`production batch, and cannot be overwritten.
`The chip's EEPROM contains application data and application-related programme code.
`Reading from or writing to this memory area is controlled by the operating system.
`The RAM is the microprocessor's tem